The Book of Lord Shang: Apologetics of State Power in Early China 9780231550383

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THE BOOK OF LORD SHANG ABRIDGED EDITION

Translations from the Asian Classics

Translations from the Asian Classics Editorial Board: Paul Anderer Allison Busch David Lurie Rachel McDermott Wei Shang Haruo Shirane

THE BOOK OF LORD SHANG Apologetics of State Power in Early China ABRIDGED EDITION

SHANG YANG

EDITED AND TRANSLATED BY

YURI PINES

CO LU M BI A U N I VERSI TY P R E S S

New York

Columbia University Press Publishers Since 1893 1HZ@ +XOVHZp$VHHDOVRDJRRG@ QDPHDQGODQGVFDQEHDWWDLQHG

7KHVHRXWVSRNHQVWDWHPHQWVFODULI\RQHRIWKHSUHPLVHVRIWKHWH[WWKH SHUVLVWHQWFRQˣLFWEHWZHHQVRFLHW\´WKHSHRSOHµ DQGWKHVWDWH7KH SHRSOH·VLQWULQVLFVHOˡVKQHVVFRQVWDQWO\HQGDQJHUVVRFLDORUGHUDQGWR VDIHJXDUGWKLVRUGHUWKHUXOHUVKRXOGUHVROXWHO\UHLQLQKLVVXEMHFWV ZKLFKLQWXUQUHTXLUHVHPSRZHULQJWKHVWDWHYLVjYLVVRFLHW\ 7KHSULPDU\PHDQVRIFRQWUROOLQJWKHSRSXODWLRQDVRXWOLQHGLQWKH TXRWDWLRQIURPVHFWLRQ¬LVODZfa 法 Fa is a multifaceted term in HDUO\&KLQHVHWH[WVLQJHQHUDODQGLQWKHBook of Lord Shang in particuODU20EXWZKHQHYHULWLVXVHGLQWKHFRQWH[WRIFRQWUROOLQJWKHSHRSOH it refers primarily to punitive laws. The Book of Lord Shang is notoriRXVIRUDGYRFDWLQJKHDY\SXQLVKPHQWVIRUHYHQSHWW\R˫HQVHV)RU H[DPSOH :KHQSHQDOWLHVDUHKHDY\DQGUHZDUGVDUHOLJKWWKHQVXSHULRUVORYH WKHSHRSOHDQGWKHSHRSOHDUH>UHDG\@WRGLHIRUWKHLUVXSHULRUV૰૰૰૰ >,QWKHVWDWHRIWKH7UXH@0RQDUFKIRUHYHU\QLQHSXQLVKPHQWVWKHUH LVRQHUHZDUGLQDSRZHUIXOVWDWHIRUHYHU\VHYHQSXQLVKPHQWVWKHUH DUH WKUHH UHZDUGV LQ D GXHWREHGLVPHPEHUHG VWDWH IRU HYHU\ ˡYH¬SXQLVKPHQWVWKHUHDUHˡYHUHZDUGV

+RZHYHUWKLVV\VWHPLVQHLWKHUDUELWUDU\QRUVHQVHOHVVO\FUXHO7KH authors repeatedly clarify that the goal of their harshness is to overDZHWKHSHRSOHWKHUHE\HOLPLQDWLQJWUDQVJUHVVLRQVDQGXOWLPDWHO\ EULQJLQJDERXWDUHGXFWLRQLQWKHXVHRISXQLVKPHQWV)RULQVWDQFH FKDSWHU¬´5HZDUGVDQG3XQLVKPHQWVµFODULˡHV 7KHSURKLELWLRQVRIWKHIRUPHUNLQJVVXFKDV>FDUU\LQJRXW@H[HFXWLRQVFXWWLQJR˫IHHWRUEUDQGLQJWKHIDFHZHUHLPSRVHGQRWEHFDXVH they sought to harm the people but only to prohibit villainy and to VWRSWUDQVJUHVVLRQV+HQFHWRSURKLELWYLOODLQ\DQGVWRSWUDQVJUHVsions nothing is better than making punishments heavy. When punLVKPHQWV DUH KHDY\ DQG >FULPLQDOV@ DUH LQHYLWDEO\ FDSWXUHG WKHQ WKH SHRSOH GDUH QRW WU\ >WR EUHDN WKH ODZ@ +HQFH WKHUH DUH QR

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SHQDOL]HGSHRSOHLQWKHVWDWH:KHQWKHUHDUHQRSHQDOL]HGSHRSOH LQ WKH VWDWH LW LV VDLG ´&OHDU SXQLVKPHQWV HOLPLQDWH H[HFXWLRQVµ 

([HFXWLQJDQGPXWLODWLQJFULPLQDOVDUHMXVWLˡHGQRWRQO\DVH˥FLHQW PHDQVRIHQVXULQJWKHSHRSOH·VFRPSOLDQFHZLWKWKHVWDWH·VUHTXLUHments but also as ways to make punishments redundant. This is also the goal of the regulations that encourage mutual denunciation by famLO\PHPEHUVDQGFROOHDJXHVZKLFKWKHWH[WDGYRFDWHVHOVHZKHUH  ´(UDGLFDWLQJSXQLVKPHQWVWKURXJKSXQLVKPHQWVµLVDUHFXUULQJWKHPH not only in the Book of Lord ShangGLVFXVVHGPRUHIXOO\ODWHULQWKLV FKDSWHU EXWDOVRPRUHEURDGO\LQHDUO\&KLQHVHOHJDOWKRXJKWLQJHQHUDODVVRFLDWHGHYHQZLWKDFDQRQLFDOWH[WVXFKDVWKHFKDSWHU´'DDIWHU@KDYLQJUHTXHVWHGDQ DXGLHQFH³ZLOOEHDOORZHGWREHFRPHULFKDQGQREOHWRFULWLFL]HSXQLVKPHQWVRUWRHVWDEOLVKWKHLUSULYDWHRSLQLRQVLQGHSHQGHQWO\DQG VXEPLWWKHPWRVXSHULRUV૰૰૰૰(YHQLIRQHLVVDJDFLRXVDQGNQRZOHGJHDEOHFUDIW\DQGJOLEWRQJXHGJHQHURXVRUVLPSOHKHVKRXOGQRWEH DEOHWRVHHNEHQHˡWVIURPVXSHULRUVXQOHVVKHKDVPHULW7KXVWKH JDWHVRIULFKHVDQGQRELOLW\DUHH[FOXVLYHO\LQWKHˡHOGRIZDU+HZKR LVDEOHWR>GLVWLQJXLVKKLPVHOIDW@ZDUZLOOSDVVWKURXJKWKHJDWHVRI riches and nobility; he who is stubborn and tenacious will meet with constant punishments and will not be pardoned. 7KHUHIRUHIDWKHUVDQGHOGHUEURWKHUVPLQRUEURWKHUVDFTXDLQWDQFHVUHODWLYHVE\PDUULDJHDQGFROOHDJXHVDOOVD\´:KDWZHVKRXOG EHGHYRWHGWRLVRQO\ZDUDQGWKDWLVDOOµ+HQFHWKHDEOHERGLHGDUH GHYRWHGWRZDUWKHHOGHUO\DQGLQˡUPDUHGHYRWHGWRGHIHQVHWKH dead have nothing to regret; the living are ever more devoted and HQFRXUDJHG7KLVLVZKDW,\RXUPLQLVWHUFDOOWKH´XQLˡFDWLRQRI WHDFKLQJµ 7KHSHRSOH·VGHVLUHIRUULFKHVDQGQRELOLW\VWRSVRQO\ZKHQWKHLU FR˥Q LV VHDOHG $QG >HQWHULQJ@ WKH JDWHV RI ULFKHV DQG QRELOLW\ PXVW EH WKURXJK PLOLWDU\ >VHUYLFH@ 7KHUHIRUH ZKHQ WKH\ KHDU DERXW ZDU WKH SHRSOH FRQJUDWXODWH HDFK RWKHU ZKHQHYHU WKH\ PRYH RU UHVW GULQN RU HDW WKH\ VLQJ DQG FKDQW RQO\ DERXW ZDU 7KLVLVZK\,\RXUPLQLVWHUVD\´&ODULI\LQJWHDFKLQJLVOLNHDUULYLQJDWQRWHDFKLQJµ

7KLVSDVVDJHLVIDVFLQDWLQJ,ILWGLGQRWEHORQJWRWKHKXPRUOHVVBook of Lord Shang,ZRXOGVXJJHVWWKDWLWVXVDJHRIWKHWHUPjiaoWHDFKLQJ 

The Ideology of the Total State

79

ZLWKLWVXQPLVWDNDEOHDVVRFLDWLRQZLWK&RQIXFLDQGLVFRXUVHLVLURQLF )URPWKHˡUVWSKUDVHVWKHDXWKRUVGLVVRFLDWHWKLVWHUPIURPDQ\NLQG RIHGXFDWLRQDODFWLYLW\ZKLFKWKH\SHUFHLYHDVDFWXDOO\GHWULPHQWDOWR jiao:KDWLVFDOOHG´XQLˡFDWLRQRIWHDFKLQJµKHUHUHIHUVWRDUHFXUULQJ topic in the Book of Lord Shang: strict adherence to the system of the H[FOXVLYHGLVWULEXWLRQRIUDQNVDQGKRQRUWKURXJKPLOLWDU\VHUYLFH :KHQWKLVV\VWHPIXQFWLRQVLWFDXVHVWKHSHRSOHWRLQWHUQDOL]HWKH notion that the only way to satisfy their desires for riches and glory is WRHQJDJHLQZDUKHQFHZDUZKLFKHOVHZKHUHLQWKHERRNLVIUDQNO\ DVVRFLDWHGZLWKZKDWWKHSHRSOHKDWH EHFRPHVWKHIRFXVRIWKH SHRSOH·VDVSLUDWLRQV:HKDYHHQFRXQWHUHGWKHVDPHZDURULHQWHGPHQWDOLW\LQSDVVDJHTXRWHGHDUOLHU7KHUHWRRWKHDGRUDWLRQRIZDU FRPHVSXUHO\IURPHJRLVWLFPRWLYHVˡUVWZDULVWKHRQO\ZD\WRHQKDQFH RQH·VVWDWXVDQGVHFRQGˡJKWLQJLVDOVRWKHRQO\ZD\WRDYRLGDGHVHUWHU·V GXH SXQLVKPHQW :KHQ WKH LQHYLWDELOLW\ DQG GHVLUDELOLW\ RI ZDU DUHLQWHUQDOL]HGWKHSHRSOHQRORQJHUQHHGWREHHQFRXUDJHGWRJRWR the front: they will eagerly volunteer to do it! ,WLVLPSRUWDQWWRQRWLFHKHUHWKDWIXQGDPHQWDOO\WKHBook of Lord Shang does not envision any more sophisticated military indoctrination. Any person knowledgeable of the history of mass armies in the :HVWHUQ +HPLVSKHUH PD\ EH SHUSOH[HG :K\ GLG WKH DXWKRUV QRW SURPRWHDQ\SRVLWLYHPHDQVRIHQFRXUDJLQJWKHSHRSOH·VFRPPLWPHQW WRZDU":K\GRZHQHYHUHQFRXQWHULQWKLVWH[WRUDQ\RWKHU WKHDGRUDWLRQRIWKHPDUWLDOVSLULWDNLQIRUH[DPSOHWRWKH5RPDQV·PD[LP ´'XOFHHWGHFRUXPHVWSURSDWULDPRULµ,WLVVZHHWDQGJORULRXVWRGLH IRUWKHIDWKHUODQG WKHGHKXPDQL]DWLRQRIWKHHQHP\WKHLGHQWLˡFDtion of martiality with masculinity; the presentation of war as the RQO\ZD\WRHQVXUHWKHSHRSOH·VVHFXULW\RUDQ\RWKHUGHYLFHHPSOR\HG ZRUOGZLGHWRHQFRXUDJHPHQWRˡJKW"7KHDQVZHUSHUKDSVKDVWRGR ZLWKWKHDXWKRUV·IXQGDPHQWDOPLVWUXVWRIDQ\HGXFDWLRQDQGLQGRFWULQDWLRQ5DWKHUWKDQEHLQJEUDLQZDVKHGWRVDFULˡFHWKHPVHOYHVIRUWKH VWDWHRXWRIVRPHDEVWUDFWFRPPLWPHQWWKHSHRSOHVKRXOGEHGLUHFWHG WRGRVRDFFRUGLQJWRWKHLULQWULQVLFDQGLPPXWDEOHVHOˡVKQHVV)LJKWing to the death in order to attain rank or just to avoid the inevitable SXQLVKPHQWLQˣLFWHGRQGHVHUWHUVDQGWKHLUNLQLVSUHIHUDEOHWRˡJKWLQJIRUWKHVDNHRIVRPHFKLPHUD,QVWHDGRIFKHDWLQJWKHSHRSOHZLWK

80 PA RT I : I N T R O D U C T I O N

KROORZLGHRORJLFDOFRQVWUXFWVWKHDXWKRUVSUHIHUWRFODULI\VXEVWDQWLDO JDLQV DQG ORVVHV IURP HQJDJHPHQW LQ ZDU RU HYDGLQJ LW UHVSHFWLYHO\DQGWKHQOHWWKHSHRSOH·VEDVLF´GLVSRVLWLRQµGLUHFWWKHPWRWKH ends desired by the state. ,QWKHˡQDOUHFNRQLQJWKHBook of Lord Shang does not propose an ideological superstructure that should bind the people together or that VKRXOGVRPHKRZLQˣXHQFHWKHLUDFWLRQV,QGRFWULQDWLRQLVHQYLVLRQHG SULPDULO\DVDQHJDWLYHDFWLRQZKLFKVKRXOGSUHYHQWWKHFRUURVLYH LPSDFWRIPRUDOL]LQJGLVFRXUVHIURPGLVWUDFWLQJWKHSHRSOHIURPDJULFXOWXUHDQGZDUIDUH7KHDXWKRUVKRZHYHUGRQRWSXWIRUZDUGDQ\ DOWHUQDWLYHVHWRIPHVVDJHVWRUHSODFHWKLVGLVFRXUVH6LPLODUO\ZKHQHYHUWKH\WDONRI´WHDFKLQJµRURI´WUDQVIRUPLQJµhua 化 DQGXQLI\LQJWKHSHRSOH·VFXVWRPV they do not imply any active dissemination of ideas or ideals among the populace. A perfect state should manipuODWHLWVVXEMHFWVH[FOXVLYHO\WKURXJKWKHFRPELQDWLRQRIUHZDUGVDQG SXQLVKPHQWVFOHDUO\RXWOLQHGUXOHVWKDWH[SOLFDWHSHUVRQDOJDLQVDQG losses for compliance or transgression. Any ideological incentives then EHFRPHUHGXQGDQW7KXVWKHWH[W·VODFNRILQWHUHVWLQEUDLQZDVKLQJ PDNHVLWLQVX˥FLHQWO\´WRWDOLWDULDQµ

(3,/2*8(,0025$/0($16$1'025$/(1'6 7KHˡQDOTXHVWLRQ,ZDQWWRDGGUHVVKHUHLVWKHLVVXHRI6KDQJFRQWURORYHU@PRXQWDLQVDQGPDUVKHVWKHQWKRVHZKRKDWH DJULFXOWXUHZKRDUHLQGROHQWDQGZKRKDYHLQVDWLDEOHGHVLUHVZLOOKDYH no means of sustenance.,IWKH\KDYHQRPHDQVRIVXVWHQDQFHWKH\ ZLOOVXUHO\WXUQWRDJULFXOWXUHLIWKH\WXUQWRDJULFXOWXUHWKHQZDVWHlands will surely be cultivated. *** 2.10: Raise the prices of wine and meat by placing heavy levies on WKHP LQFUHDVLQJ WKHP WR WHQ WLPHV WKH RULJLQDO FRVW Then merFKDQWVDQGSHGGOHUVZLOOEHIHZSHDVDQWVZLOOQRWEHDEOHWRJHWH[FHVVLYHO\GUXQNDQGWKHJUHDWPLQLVWHUVZLOOQRWRYHUHDWLQDZDVWHIXO PDQQHU,IPHUFKDQWVDQGSHGGOHUVDUHIHZVXSHULRUVZLOOQRWZDVWH JUDLQLIWKHSHRSOHDUHQRWDEOHWRJHWH[FHVVLYHO\GUXQNWKHSHDVDQWVZLOOQRWEHLGOHLIWKHJUHDWPLQLVWHUVDUHQRWZDVWHIXOWKHUH ZLOOEHQRGHOD\LQWKHVWDWH·VD˫DLUVDQGWKHVRYHUHLJQZLOOQRWHUULQ KLVXQGHUWDNLQJV,IVXSHULRUVGRQRWZDVWHJUDLQDQGWKHSHRSOHDUH QRWLGOHDWDJULFXOWXUHWKHQZDVWHODQGVZLOOVXUHO\EHFXOWLYDWHG ***  'RXEOH WKH SXQLVKPHQWV DQG ELQG WKH FULPLQDOV WKURXJK >WKH V\VWHP RI@ PXWXDO UHVSRQVLELOLW\ WKHQ QDUURZPLQGHG DQG VKRUW WHPSHUHGSHRSOHZLOOQRWˡJKWUXWKOHVVSHRSOHZLOOQRWFRQWHQGOD]\ DQGLQGROHQWSHRSOHZLOOQRWGULIWZDVWHIXOSHRSOHZLOOQRWDSSHDUDQG HYLOSHRSOHZLOOQRWFKHDW,IWKHVHˡYHW\SHVRISHRSOHGRQRWH[LVW ZLWKLQWKHERUGHUVWKHQZDVWHODQGVZLOOVXUHO\EHFXOWLYDWHG ***

Orders to Cultivate Wastelands 117

2.12: Do not allow the people to shift locations on their own initiative; then ignorant people and those who disrupt agriculture will have nothing to rely upon for sustenance and will have to engage in agriFXOWXUH,IWKHPLQGVRILJQRUDQWDQGLPSHWXRXVSHRSOHDUHRQHWKH SHDVDQWVZLOOVXUHO\EHWUDQTXLO,IWKHSHDVDQWVDUHWUDQTXLODQGLJQRUDQWWKHQZDVWHODQGVZLOOVXUHO\EHFXOWLYDWHG *** ,VVXHDFRPSUHKHQVLYHRUGHUWRFRQVFULSWPLQRUVRQV employ HDFK DFFRUGLQJ WR KLV WDVN and enhance the conditions for their H[HPSWLRQ /HW WKHP REWDLQ WKHLU SURYLVLRQV IURP WKH R˥FLDOV LQ FKDUJHRIIRRGUDWLRQVZKRZRXOGUHJXODWH>WKHDPRXQWSURYLGHG@19,I PLQRUVRQVDUHXQDEOHWRDYRLGFRUYpHVHUYLFHRUWRDWWDLQKLJKR˥FLDO SRVLWLRQVWKH\ZLOOQRWGULIWLQWRWKHVHUYLFHRIRWKHUSHRSOH20 Then WKH\ZLOOKDYHWRHQJDJHLQDJULFXOWXUH,IWKH\HQJDJHLQDJULFXOWXUH then wastelands will surely be cultivated. *** *UHDWPLQLVWHUVDQGQREOHVRIWKHVWDWH·VFDSLWDO21 should not be DOORZHG WR HQJDJH LQ D˫DLUV RI EURDG HUXGLWLRQ VRSKLVWLFDWHG DUJXPHQWDWLRQRUGULIWLQJDQGVHWWOLQJ22 Do not allow them to drift and VHWWOH DPRQJ WKH KXQGUHG FRXQWLHV VR WKDW SHDVDQWV ZLOO QHLWKHU KHDUDERXWH[WUDRUGLQDU\WKLQJVQRUREVHUYHGL˫HUHQWPHWKRGV,I SHDVDQWVQHLWKHUKHDUDERXWH[WUDRUGLQDU\WKLQJVQRUREVHUYHGL˫HUHQW PHWKRGV WKHQ NQRZOHGJHDEOH SHDVDQWV ZLOO KDYH QR ZD\ WR GHSDUWIURPWKHLURULJLQDORFFXSDWLRQDQGLJQRUDQWSHDVDQWVZLOOQRW EHFRPH NQRZOHGJHDEOH RU IRQG RI OHDUQLQJ ,I LJQRUDQW SHDVDQWV GR QRWEHFRPHNQRZOHGJHDEOHRUIRQGRIOHDUQLQJWKH\ZLOOVWUHQXRXVO\ GHYRWHWKHPVHOYHVWRDJULFXOWXUH,INQRZOHGJHDEOHSHDVDQWVKDYHQR ZD\ WR GHSDUW IURP WKHLU RULJLQDO RFFXSDWLRQ WKHQ ZDVWHODQGV ZLOO surely be cultivated. ***

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,VVXHRUGHUVWREDUIHPDOHVIURPWKHDUP\·VPDUNHWV Order the PHUFKDQWVLQWKHVHPDUNHWV WRSUHSDUHDUPRUDQGZHDSRQVIRUWKHPVHOYHVOHWWKHPZDWFKZKHQWKHDUP\ULVHV$OVRRUGHUWKDWQRRQH WUDQVIHUJUDLQSULYDWHO\WRWKHDUP\·VPDUNHWV7KHQHYLOVWUDWDJHPV ZLOOKDYHQRSODFHIURPZKLFKWRDULVHWKRVHZKRLOOLFLWO\WUDQVSRUW JUDLQZLOOQRWKRDUGLWSULYDWHO\DQGOD]\DQGLQGROHQWSHRSOHZLOOQRW GULIWWRWKHDUP\·VPDUNHWV7KHUHZLOOEHQRSODFHWRVHOOVWROHQJUDLQ DQGWKHVXSSOLHUVRIJUDLQZLOOKDYHQRSULYDWH>EHQHˡWV@,IOD]\DQG LQGROHQWSHRSOHGRQRWGULIWWRWKHDUP\·VPDUNHWVWKHQWKHSHDVDQWV ZLOOQRWEHOLFHQWLRXVDQGWKHVWDWH·VJUDLQZLOOQRWEHZDVWHGWKHQ wastelands will surely be cultivated. *** /HWWKHKXQGUHGFRXQWLHVEHJRYHUQHGE\WKHVDPHSDWWHUQWKHQ WKRVHZKRIROORZGHYLDQW>R˥FLDOV@ZLOOQRWEHDEOHWRDOWHUUHJXODWLRQV and those who commit transgressions and are dismissed will not EH¬DEOHWRFRYHUXSIRUWKRVHZKRKDGSURPRWHGWKHP,IWUDQVJUHVVLRQVDQGSURPRWLRQVDUHQRWFRYHUHGXSWKHUHZLOOEHQRZLFNHGPHQ DPRQJ WKH R˥FLDOV ,I WKH GHYLDQW >R˥FLDO@ GRHV QRW HPEHOOLVK >KLV GHHGV@ DQG D UHSODFHPHQW GRHV QRW DOWHU >UHJXODWLRQV@ WKHQ R˥FLDO HQWRXUDJHVZLOOEHVPDOODQGWKHSHRSOHZLOOQRWEHH[KDXVWHG,IWKHUH DUHQRZLFNHG>PHQ@DPRQJWKHR˥FLDOVWKHSHRSOHZLOOQRWGULIW if WKHSHRSOHGRQRWGULIWWKHLURFFXSDWLRQVZLOOQRWEHXQGHUPLQHG,I R˥FLDOHQWRXUDJHVDUHVPDOOOHYLHVZLOOQRWEHFRPHWURXEOHVRPH,IWKH SHRSOHDUHQRWH[KDXVWHGSHDVDQWVZLOOKDYHPRUHWLPH,ISHDVDQWV KDYH PRUH WLPHOHYLHVDUHQRWWURXEOHVRPHDQGRFFXSDWLRQVDUHQRW XQGHUPLQHGWKHQZDVWHODQGVZLOOVXUHO\EHFXOWLYDWHG *** 0DNHWROOVDWWKHSDVVHVDQGWKHPDUNHWVKHDY\WKHQSHDVDQWVZLOO KDWHWKHPHUFKDQWVDQGWKHPHUFKDQWVLQWKHLUKHDUWVZLOOFDVWGRXEW XSRQ>WKHLURZQ@LQGROHQFH,ISHDVDQWVKDWHWKHPHUFKDQWVDQGWKH PHUFKDQWVGRXEW>WKHLURZQ@LQGROHQFHWKHQZDVWHODQGVZLOOVXUHO\EH cultivated.

Orders to Cultivate Wastelands 119

*** &RQVFULSWWKHPHUFKDQWVDFFRUGLQJWRWKHQXPEHURIPHPEHUVRI WKHLUKRXVHKROGV2UGHUVHUYDQWVJURRPVUXQQHUVDQGSDJHVDOOWREH QDPHG>IRUFRUYpHVHUYLFH@WKHQSHDVDQWVZLOOEHDWHDVHZKHUHDVWKH merchants will be overworked.,IWKHSHDVDQWVDUHDWHDVHJRRGˡHOGV ZLOOQRWEHFRPHZDVWHODQGVLIPHUFKDQWVDUHRYHUZRUNHGWKHQWKH rites of sending gifts back and forth will not spread over the hundred counties.297KHQWKHSHDVDQWVZLOOQRWVWDUYHDQGRQH·VFRQGXFWZLOOEH without embellishments.,IWKHSHDVDQWVGRQRWVWDUYHDQGRQH·VFRQGXFWLVZLWKRXWHPEHOOLVKPHQWVWKHSHRSOHZLOOEHVWUHQXRXVLQSXEOLF ZRUNVDQGZLOOQRWQHJOHFWWKHLUSULYDWHD˫DLUV7KHQWKHSHDVDQWV· XQGHUWDNLQJVZLOOVXUHO\EHVXFFHVVIXO,IWKHSHDVDQWV·XQGHUWDNLQJV DUHVXUHO\VXFFHVVIXOWKHQZDVWHODQGVZLOOVXUHO\EHFXOWLYDWHG *** 2.19: Do not allow those who transport grain to rent carts or rent out WKHLUFDUWVRQUHWXUQ7KHZHLJKWORDGHGRQFDUWVDQGR[HQVKRXOGEH UHJLVWHUHG7KHQWUDQVSRUWEDFNDQGIRUWKZLOOEHVZLIWDQGRFFXSDWLRQ>LQWUDQVSRUWDWLRQ@ZLOOQRWXQGHUPLQHDJULFXOWXUH,IWKLVRFFXSDWLRQGRHVQRWXQGHUPLQHDJULFXOWXUHWKHQZDVWHODQGVZLOOVXUHO\ be cultivated. *** 'RQRWOHW>FRQYLFWHG@FULPLQDOVUHTXHVWIRRGIURPFOHUNVWKLVZD\ villainous people will remain without a master.,IWKHYLOODLQRXVSHRSOHDUHZLWKRXWDPDVWHUWKHQYLOODLQ\ZLOOQRWEHHQFRXUDJHGLIYLOODLQ\LVQRWHQFRXUDJHGWKHQYLOODLQRXVSHRSOHZLOOKDYHQRRQHWR GHSHQGRQ,IYLOODLQRXVSHRSOHKDYHQRRQHWRGHSHQGRQSHDVDQW >ZRUN@ZLOOQRWEHXQGHUPLQHGZKHQSHDVDQW>ZRUN@LVQRWXQGHUPLQHG then wastelands will surely be cultivated.

3 AGRICULTURE AND WARFARE (農戰)

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KDSWHU¬  LV WKH ORQJHVW LQ WKH Book of Lord Shang DV LV DSSURSULDWH WR RQH WLWOHG ´$JULFXOWXUH DQG :DUIDUHµ ,QGHHGWKHFHQWUDOPHVVDJHRIWKHHQWLUHERRNSRLQWVWR agriculture as the singularly appropriate way of enriching the state and ZDUIDUHDVWKHRQO\H˫HFWLYHZD\RIRYHUSRZHULQJULYDOVDQGDWWDLQLQJ VHFXULW\DQGSHDFH7KHFKDSWHUUHSHDWHGO\UHLWHUDWHVWKLVPHVVDJH  0RUHRYHULWHPSKDVL]HVKRZFORVHO\WKHVHWZRSXUVXLWVDUH OLQNHGWKLVOLQNDJHLVUHˣHFWHGLQWKHLUGHVLJQDWLRQDV´WKH2QHµyi 壹  Agriculture provides material resources that enable the state to wage ZDUZDUH[SDQGVWKHWHUULWRU\XQGHUVWDWHFRQWURODQGDOORZVIXUWKHU agricultural enrichment. The chapter promises that the ruler who is able to unify the population in pursuing the One will become the True 0RQDUFK³WKDWLVWKHXQLˡHURI$OOXQGHU+HDYHQ  ,WVWLWOHQRWZLWKVWDQGLQJFKDSWHU¬GRHVQRWDGGUHVVSUDFWLFDOLVVXHV FRQFHUQLQJDJULFXOWXUDODQGPLOLWDU\DFWLYLWLHV5DWKHULWVIRFXVLVRQ KRZWRPDNHWLOOLQJDQGˡJKWLQJVLQJXODUO\DWWUDFWLYHIURPDVRFLDO SRLQWRIYLHZ7KHVROXWLRQLVVLPSOHUDQNVDQGR˥FHVVKRXOGEHDOORFDWHGH[FOXVLYHO\WRGLOLJHQWWLOOHUVDQGYDOLDQWVROGLHUV ZKHUHDV WKRVHLQYROYHGLQLQWHOOHFWXDOSXUVXLWVFRPPHUFHDQGDUWLVDQVKLS should be prevented from advancing up the social ladder. This recommendation encapsulates the new social system based on the ranks of PHULWWKDWEHFDPHWKHKDOOPDUNRI6KDQJULFKHV@ ,I WKH SHRSOH GR QRW PDNHUHFNOHVVGHPDQGVWKH\ZLOOKDYHDEXQGDQWIRUFHZKHQIRUFHLV DEXQGDQWWKHVWDWHZLOOEHVWURQJSURSHU@ WHDFKLQJ the state will be dismembered. *** +HZKRH[FHOVDWUXOLQJWKHVWDWHGRHVQRWQHJOHFWDJULFXOWXUHHYHQ LIKLVJUDQDULHVDUHIXOOKHGRHVQRWLQGXOJHLQWDONHYHQLIWKHVWDWHLV large and the population is plentiful: then the people will be simple and DUH>FRPPLWWHGWR@WKH2QH,IWKHSHRSOHDUHVLPSOHDQGDUH>FRPPLWWHGWR@WKH2QHWKHQR˥FHVDQGUDQNVFDQQRWEHREWDLQHGWKURXJKJOLEQHVVLIWKH\FDQQRWEHREWDLQHGWKURXJKJOLEQHVVWKHQWUHDFKHU\ZLOO QRWDULVHLIWUHDFKHU\GRHVQRWDULVHWKHQWKHVRYHUHLJQLVQRWGHOXGHG QRUPV@ IRU R˥FHV DQG UDQNV 7KHUHIRUH ZKHQ HQWHULQJ >WKH FRXUW@WKH\SUHYDULFDWHLQIURQWRIWKHVRYHUHLJQZKLOHZKHQUHWUHDWLQJWKH\WKLQNRIWKHLUSULYDWH>LQWHUHVWV@$V>WKH\WKLQN@KRZWRIXOˡOO WKHLUSULYDWH>LQWHUHVWV@WKH\SHGGOHLQˣXHQFHWRWKHXQGHUOLQJV Lying

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WRWKHVRYHUHLJQDQGWKLQNLQJRISULYDWH>LQWHUHVWV@DUHQRWEHQHˡFLDOWR WKHVWDWHEXWWKH\GRVREHFDXVHRIUDQNVDQGHPROXPHQWV3HGGOLQJ LQˣXHQFHWRWKHXQGHUOLQJVLVLQDSSURSULDWHIRUDOR\DOPLQLVWHUEXW they do so to seek wealth. 7KHUHIRUHORZHUR˥FLDOVZKRKRSHWREHSURPRWHGDOOVD\´,I,KDYH HQRXJKZHDOWKWKHQ,FDQPDNHWKHVXSHULRUR˥FLDOGRZKDW,ZDQWµ 7KH\>DOVR@VD\´,I,VHHNSURPRWLRQZLWKRXWXVLQJZHDOWKLWLVOLNHXVLQJ DFDWDVEDLWIRUWKHUDWVXUHO\LWLVKRSHOHVV,I,VHHNSURPRWLRQWKURXJK HDUQHVWO\ VHUYLQJ WKH VXSHULRU LW LV OLNH XVLQJ D VHYHUHG URSH WR VWUDLJKWHQDFURRNHGWUHHLWLVHYHQPRUHKRSHOHVV,IWKURXJKWKHVHWZR PHDQV,FDQQRWJHWSURPRWLRQWKHQKRZFDQ,DYRLGSUHVVLQJWKHSHRple below to get their wealth in order to serve my superior and thereby UHTXHVWSURPRWLRQ"µ7KHKXQGUHGFODQVVD\´,GLOLJHQWO\IDUPWRˡOO WKHUXOHU·VJUDQDULHVˡUVWDQGWKHQXVHWKHUHPQDQWVWRIHHGP\SDUHQWV,ˡJKWVHOˣHVVO\IRUP\VXSHULRUVVRDVWRDWWDLQJORU\IRUWKHUXOHU DQGSHDFHIRUP\VWDWHULFKHV@7KHUHIRUHWKHIRUFHRIWKHVWDWHLV consolidated.9 A state with consolidated force is strong; the state that LVIRQGRIWDONZLOOEHGLVPHPEHUHG+HQFHLWLVVDLGZKHQRQHWKRXVDQGSHRSOHDUHHQJDJHGLQDJULFXOWXUHDQGZDUIDUH\HWWKHUHLVD single man among them engaged in Poems Documents DUJXPHQWDWLYHQHVVDQGFOHYHUQHVVRQHWKRXVDQGSHRSOHZLOODOOEHFRPHUHPLVV

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in agriculture and warfare. When one hundred people are engaged in DJULFXOWXUHDQGZDUIDUH\HWWKHUHLVDVLQJOHPDQDPRQJWKHPHQJDJHG LQVNLOOIXODUWVRQHKXQGUHGSHRSOHZLOODOOEHFRPHUHPLVVLQDJULFXOture and warfare. The state relies on agriculture and warfare for its security; the sovereign relies on agriculture and warfare to be UHVSHFWHG6RLIWKHSHRSOHDUHQRW>HQJDJHGLQ@DJULFXOWXUHDQGZDUIDUHLWLVEHFDXVHWKHUXOHULVIRQGRIZRUGVDQGKDVORVWWKHFRQVWDQW >QRUPVLQDSSRLQWLQJ@R˥FLDOV10:KHQWKHUHDUHFRQVWDQW>QRUPVLQ DSSRLQWLQJ@R˥FLDOVWKHVWDWHLVZHOOJRYHUQHGZKHQWKHUHLVFRPPLWPHQWWRWKH2QHWKHVWDWHLVULFKZKHQWKHVWDWHLVULFKDQGZHOOJRYHUQHGWKLVLVWKH:D\RIWKH0RQDUFK11+HQFHLWLVVDLGWKH:D\RIWKH 0RQDUFKLVQRWH[WHUQDO12³EHSHUVRQDOO\HQJDJHGLQWKH2QHDQGWKDW is all. *** 1RZLIWKHUXOHUDSSRLQWV>WKHSHRSOH@RQO\DIWHUFRQVLGHULQJWKHLU WDOHQWVDELOLWLHVNQRZOHGJHDQGFOHYHUQHVVWKHQWKHNQRZOHGJHDEOH DQGWKHFOHYHUZLOOREVHUYHWKHVRYHUHLJQ·VOLNHVDQGGLVOLNHVDQGKRZ KHHPSOR\VR˥FLDOVWRPDQDJHD˫DLUVVRDVWRFRQIRUPWRWKHVRYHUHLJQ·VPLQG7KHUHIRUH>WKHDSSRLQWPHQWRI@R˥FLDOVZLOOODFNFRQVWDQW >QRUPV@WKHVWDWHZLOOEHLQWXUPRLODQGQRWHQJDJHGLQWKH2QHDQG DUJXPHQWDWLYHSHUVXDGHUVZLOOQRW>EHUHLQHGLQE\@WKHODZ,QWKLV FDVHKRZFDQWKHSHRSOH·VSXUVXLWVQRWEHQXPHURXVKRZFDQODQGQRW EHODLGZDVWH" PoemsDocumentsULWHVPXVLFJRRGQHVVVHOIFXOWLYDWLRQEHQHYROHQFHXSULJKWQHVVDUJXPHQWDWLYHQHVVFOHYHUQHVVZKHQWKHVWDWHKDV WKHVHWHQVXSHULRUVFDQQRWLQGXFH>WKHSHRSOH@WR>HQJDJHLQ@GHIHQVH DQGˡJKWLQJ,IWKHVWDWHLVUXOHGDFFRUGLQJWRWKHVHWHQWKHQLIWKH HQHP\DUULYHVLWZLOOVXUHO\EHGLVPHPEHUHGDQG>HYHQ@LIWKHHQHP\ GRHVQRWDUULYHWKHVWDWHZLOOVXUHO\EHLPSRYHULVKHG,IWKHVWDWHHUDGLFDWHVWKHVHWHQWKHQWKHHQHP\ZLOOQRWGDUHDUULYHDQGHYHQLIKH DUULYHVKHZLOOVXUHO\EHUHSHOOHGZKHQDQDUP\LVUDLVHGDQGVHQWRQ DFDPSDLJQLWZLOOVXUHO\VHL]H>WKHHQHP\·VODQG@ZKHUHDVLIWKHDUP\ LVUHVWUDLQHGDQGGRHVQRWDWWDFNWKHVWDWHZLOOVXUHO\EHULFK:KHQ WKHVWDWHLVIRQGRIIRUFHLWDWWDFNVZLWKZKDWLVGL˥FXOW>WRUHVLVW@KH

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ZKRDWWDFNVZLWKZKDWLVGL˥FXOW>WRUHVLVW@ZLOOVXUHO\SURVSHU>:KHQ WKHVWDWHLV@IRQGRIDUJXPHQWDWLRQLWDWWDFNVZLWKZKDWLVHDV\>WR UHVLVW@ KH ZKR DWWDFNV ZLWK ZKDW LV HDV\ >WR UHVLVW@ ZLOO VXUHO\ EH endangered. *** 7KXVZKHUHDVWKHVDJHDQGWKHFOHDUVLJKWHGUXOHUFDQQRWIXOO\ JUDVSWKHP\ULDGWKLQJVWKH\XQGHUVWDQGWKHHVVHQWLDOVRIWKHP\ULDG WKLQJV+HQFHLQUXOLQJWKHVWDWHWKH\LQYHVWLJDWHWKHHVVHQWLDOVDQG WKDWLVDOO>WKHVWDWH·VGHPLVH@ LV¬QRWIDUDZD\:KHQ>VXFK@DVWDWHKDV>PLOLWDU\@XQGHUWDNLQJVWKHQ LWVVWXGHQWVKDWHWKHODZLWVPHUFKDQWVDUHIRQGRIWUDQVIRUPDWLRQV DQGLWVVNLOOIXODUWLVDQVDUHXVHOHVVKHQFHWKLVVWDWHLVHDV\WRGHIHDW $IWHU DOO ZKHQ IHZ DUH HQJDJHG LQ DJULFXOWXUH \HW ´SHULSDWHWLF HDWHUVµDUHSOHQW\WKLVVWDWHZLOOEHLPSRYHULVKHGDQGHQGDQJHUHG Now: various sorts of caterpillars are born in spring and die in DXWXPQEXWRQFHWKH\DSSHDUWKHSHRSOHODFNIRRGIRUVHYHUDO\HDUV $QGQRZZKHQDVLQJOHSHUVRQWLOOVEXWRQHKXQGUHGDUHHDWLQJZKDW KH SURGXFHV LW LV PXFK ZRUVH WKDQ DOO WKH FDWHUSLOODUV +HQFH HYHQ LI¬LQHYHU\UXUDOFDQWRQ there is a bundle of Poems and DocumentsDQG LQHYHU\KRXVHKROGRQHVFUROOLWLVVWLOORIQRXVHIRURUGHUO\UXOH,WLV QRWWKHWHFKQLTXHWRUHYHUVH>SRYHUW\DQGGDQJHU@7KHUHIRUHWKHIRUPHUNLQJVUHYHUVHGWKHPWKURXJKDJULFXOWXUHDQGZDUIDUH7KXVLWLV VDLG´+H>LQZKRVHVWDWH@RQHKXQGUHGSHRSOHIDUPDQGDVLQJOHRQH OLYHVIURPWKHLUZRUNZLOOEHWKH>7UXH@0RQDUFKKH>LQZKRVHVWDWH@ ten people farm and a single one lives from their work will be strong; he in whose state half of the people farm and another half lives from WKHLUZRUNLVHQGDQJHUHGµ+HQFHKHZKRUXOHVWKHVWDWHZHOOZDQWVWKH

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SHRSOHWRIDUP,IWKHVWDWHLVQRWHQJDJHGLQIDUPLQJWKHQLWFDQQRW be self-reliant in power struggles with other regional lords: it is because WKHVWUHQJWKRILWVPXOWLWXGHVLVLQVX˥FLHQW7KXVUHJLRQDOORUGVH[SORLW its weaknesses and rely on its deterioration; the country is invaded and GLVPHPEHUHG\HWQRQHLVLQVSLUHG>WRUHVFXHLW@E\WKHQLWLVDOUHDG\ too late. *** 7KHVDJHNQRZVWKHHVVHQWLDOVRIRUGHULQJWKHVWDWHKHQFHKHFDXVHV WKH SHRSOH WR GLUHFW WKHLU PLQG WRZDUG IDUPLQJ ,I WKH PLQG WXUQV WRZDUGIDUPLQJWKHSHRSOHDUHVLPSOHDQGFDQEHUHFWLˡHGLIWKH\DUH LJQRUDQWWKH\FDQEHHDVLO\HPSOR\HGLIWKH\DUHUHOLDEOHWKH\FDQ EH¬XVHGLQGHIHQVHDQGˡJKWLQJ:KHQ>FRPPLWWHGWR@WKH2QHWKH\ are rarely deceitful and place great weight on their dwelling; when >FRPPLWWHGWR@WKH2QHWKH\FDQEHPRWLYDWHGE\UHZDUGVDQGSXQLVKPHQWVZKHQ>FRPPLWWHGWR@WKH2QHWKH\FDQEHXVHGDEURDG After DOOWKHSHRSOHDUHFORVHWRWKHLUVXSHULRUVDQGVDFULˡFHWKHPVHOYHVIRU the regulations just because from morning to dusk they are engaged in agriculture. And the people cannot be used whenever they see that talkative peripatetic men-of-service who serve the ruler can attain UHVSHFWWKDW PHUFKDQWV DQG SHGGOHUV FDQ HQULFK WKHLU KRXVHKROGV DQG WKDW WKRVH HQJDJHG LQ VNLOOIXO DUWV FDQ ˡOO WKHLU PRXWKV ,I WKH SHRSOHVHHKRZWKHVHWKUHHHQMR\FRQYHQLHQFHDQGEHQHˡWVWKH\ZLOO VXUHO\ DYRLG IDUPLQJ LI WKH\ DYRLG IDUPLQJ WKH SHRSOH ZLOO WUHDW WKHLU GZHOOLQJV OLJKWO\ LI WKH\ WUHDW GZHOOLQJV OLJKWO\ WKH\ VXUHO\ ZLOOQRWHQJDJHLQGHIHQVHRUˡJKWLQJIRUWKHVDNHRIWKHLUVXSHULRUV ,QJHQHUDOKHZKRUXOHVWKHVWDWHZHOOLVZRUULHGWKDWWKHSHRSOHZLOO GLVSHUVHDQGFDQQRWEHFRQVROLGDWHGKHQFHWKHVDJHHQJDJHVLQWKH2QH VRDVWRFRQVROLGDWHWKHP,IWKHVWDWHHQJDJHVLQWKH2QHIRURQH\HDU LWZLOOEHVWURQJIRUWHQ\HDUVLILWHQJDJHVLQWKH2QHIRUWHQ\HDUVLW will be strong for one hundred years; if it engages in the One for one KXQGUHG\HDUVLWZLOOEHVWURQJIRUDWKRXVDQG\HDUVKHZKRLVVWURQJ IRUDWKRXVDQG\HDUVZLOOEHFRPHWKH>7UXH@0RQDUFK ***

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7KHUXOHUPDLQWDLQVUHZDUGVDQGSXQLVKPHQWVVRDVWRDVVLVWWKH WHDFKLQJRIWKH2QHKHQFHKLVWHDFKLQJFDQDWWDLQFRQVWDQF\DQGJRYHUQDQFHFDQ\LHOGDFFRPSOLVKPHQWV>7UXH@0RQDUFKDWWDLQV WKHXWPRVWHVVHQWLDOVRIRUGHUO\UXOHRYHUWKHSHRSOHKHQFHKHGRHV QRWUHO\RQUHZDUGV\HWWKHSHRSOHDUHLQWLPDWHZLWKWKHLUVXSHULRUV KHGRHVQRWUHO\RQUDQNVDQGHPROXPHQWV\HWWKHSHRSOHIROORZWKHLU RFFXSDWLRQVKHGRHVQRWUHO\RQSXQLVKPHQWVDQGSHQDOWLHV\HWWKH people will give up their life to him.19 *** :KHQWKHVWDWHLVLPSHULOHGDQGWKHVRYHUHLJQLVZRUULHGSHUVXDGers form legions: but they are of no use for assuaging the perils. After DOO WKH VWDWH LV LPSHULOHG DQG WKH VRYHUHLJQ LV ZRUULHG EHFDXVH RI >ULYDOU\@ZLWKSRZHUIXOHQHPLHVDQGJUHDWVWDWHV7KHUXOHUFDQQHLWKHU VXEGXHDVWURQJHQHP\QRUGHIHDWDJUHDWVWDWHKHQFHKHPDLQWDLQV GHIHQVLYHSUHSDUDWLRQVLQYHVWLJDWHVWKHOD\RIWKHODQGDQGFRQVROLGDWHV WKHSHRSOH·VIRUFHVRDVWRSUHSDUHKLPVHOIIRUH[WHUQDOHQJDJHPHQWV 2QO\WKXVFDQWURXEOHVEHHUDGLFDWHGDQGWKH0RQDUFK\UHDOL]HG+HQFH a clear-sighted ruler cultivates his governance and engages in the One. +HHUDGLFDWHVZKDWHYHULVXVHOHVVDQGSXWVDQHQGWRWKHSHRSOH·VHQJDJHPHQWLQVXSHUˡFLDOOHDUQLQJDQGLQH[FHVVLYHRFFXSDWLRQV+HXQLˡHV WKHPLQIDUPLQJWKHQWKHVWDWHFDQEHHQULFKHGDQGWKHSHRSOH·VIRUFH can be consolidated. *** 1RZDGD\VDOOWKHUXOHUVRIRXUDJHDUHZRUULHGWKDWWKHLUVWDWHV DUHHQGDQJHUHGDQGWKHLUVROGLHUVDUHZHDNVRWKH\VWULYHWRKHHGWKH persuaders. Persuaders form legions; they multiply words and adorn sayings but are of no real use. The sovereign is fond of their arguments DQGGRHVQRWVHHNWKHLUVXEVWDQFH7KHSHUVXDGHUVDUHVDWLVˡHGWKH URDGVDUHIXOORIVNLOOIXOWDONHUVDQGIURPJHQHUDWLRQWRJHQHUDWLRQWKH\ JRRQDQGPXOWLSO\7KHSHRSOHVHHWKDWWKLVLVWKHZD\WRUHDFKNLQJV ORUGVDQGJUDQGHHVDQGDOOOHDUQIURPWKHP7KH\IRUPFOLTXHVDQG DVVRFLDWLRQVGHEDWHVWDWHD˫DLUVDQGFRPHLQSURIXVLRQ/RZHUSHRSOH

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DUHIRQGRIWKHPJUDQGHHVOLNHWKHP7KHUHIRUHDPRQJWKHSHRSOHIHZ DUHHQJDJHGLQDJULFXOWXUHZKHUHDV´SHULSDWHWLFHDWHUVµDUHSOHQW\DV WKH\DUHSOHQW\WKHIDUPHUVDUHLQGROHQWDVWKHIDUPHUVDUHLQGROHQW the land becomes wasteland. ,IOHDUQLQJEHFRPHVKDELWXDOWKHSHRSOHWXUQWKHLUEDFNVRQIDUPLQJWKH\IROORZWDONHUVDQGSHUVXDGHUVVSHDNJUDQGZRUGVDQG>HQJDJH LQ@IDOVHGHEDWHV7KH\WXUQWKHLUEDFNVRQIDUPLQJDQGWUDYHOWRJHW IRRGWU\LQJWRH[FHHGHDFKRWKHULQZRUGV+HQFHWKHSHRSOHDEDQGRQ WKHLUVXSHULRUVDQGWKRVHZKRGRQRWEHKDYHDVVXEMHFWVEHFRPHPRUH and more numerous. This is the teaching that impoverishes the state DQGZHDNHQVWKHDUP\,IWKHVWDWHPDNHVXVHRIWKHSHRSOHDFFRUGLQJ WRWKHLUZRUGVWKHQWKHSHRSOHGRQRWWDNHFDUHRIIDUPLQJ,WLVRQO\ the clear-sighted ruler who knows that being fond of words will neiWKHUVWUHQJWKHQWKHDUP\QRUH[SDQGWKHWHUULWRU\2QO\WKHVDJHLQ UXOLQJWKHFRXQWU\HQJDJHVLQWKH2QHLHDJULFXOWXUHDQGZDUIDUH  KHFRQVROLGDWHV>H˫RUWV@RQDJULFXOWXUHDQGWKDWLVDOO

4 ELIMINATING THE STRONG with 20. Weakening the People DQG([SODLQLQJWKH3HRSOH

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KDSWHU¬RFFXSLHVDVSHFLDOSODFHLQWKHBook of Lord Shang. )LUVWLQWHUPVRILWVWKHPDWLFVFRSHLWSUHVHQWVDV\QRSVLV of almost all the topics covered in the rest of the book. 6RFLDOHFRQRPLFPLOLWDU\DQGFXOWXUDOSROLFLHVOHJDOSULQFLSOHVYLHZV RIWKHSHRSOH·VSROLWLFDOUROHHOHPHQWVRIDGPLQLVWUDWLYHWKRXJKW³DOO DUHPHQWLRQHGHYHQLIEULHˣ\LQWKLVFKDSWHUWKHRQO\PHDQLQJIXO VLOHQFHVDUHDERXWUXOHU²PLQLVWHUUHODWLRQVDQGDERXWUXQQLQJWKHVWDWH DSSDUDWXV 6HFRQGLQWHUPVRIVW\OHLWXVHVVKRUWDQGHQHUJHWLFVHQWHQFHVVRPHDOPRVWVORJDQOLNHHYHU\WKLQJ³LQFOXGLQJJUDPPDWLFDO SDUWLFOHV³LVVDFULˡFHGIRUWKHVDNHRIEUHYLW\HYHQWKHXELTXLWRXVSDUticle ye 也LVSUHVHQWRQO\RQFH 7KLVODFRQLVPQRWRQO\FRPSOLFDWHV RXUXQGHUVWDQGLQJRIWKHWH[WDWWLPHVEXWDOVRFUHDWHVDSHFXOLDU´WDNH LW RU OHDYH LWµ H˫HFW SROLFLHV DUH SURFODLPHG EXW WKH UDWLRQDOH IRU WKH¬SURSRVHGFRXUVHRIDFWLRQLVUDUHO\LIHYHUSURYLGHG7KLUGWKLVLV WKHRQO\FKDSWHULQWKHHQWLUHWUHDWLVHWRPHULWDGHWDLOHGOLQHE\OLQH LQWHUQDOH[HJHVLV7KLVH[HJHVLVLVSURYLGHGLQWZRFKDSWHUVDQG 7KHUHODWLRQ EHWZHHQ WKH WKUHH FKDSWHUV ZDV ˡUVW QRWLFHG E\ 0HQJ -LIX ZKRVHDQDO\VLVLVQRZZLGHO\DFFHSWHGE\WKHVFKRODUO\FRPPXQLW\ ,W VHHPV WKDW FKDSWHU¬  ZDV FRQFHLYHG DV D FDQRQLFDO WH[W SUREDEO\ D VXPPD RI 6KDQJ WKH@JRRGµ DQGDGYRFDWHVPLOLWDU\YLFWRU\E\SHUIRUPLQJ ´ZKDWHYHU WKH HQHP\ LV DVKDPHG RIµ   7KHVH SURYRFDWLYH SURnouncements may have contributed to the negative image of the Book of Lord ShangIRUPLOOHQQLDWRFRPH&KDSWHUV¬DQGLQGLVWLQFWLRQ WHQGWRPRGHUDWHWKLVKDUVKPHVVDJHE\SUHVHQWLQJH[SODQDWLRQVIRU VXFKVWDWHPHQWVIRULQVWDQFH´YLOODLQVµDUHQRWUHDOO\´YLOODLQVµEXW MXVWODZDELGLQJSHRSOH LQZDUVKDPHIXODFWVDUHQRWHQFRXUDJHG  DQGWUDGLWLRQDOPRUDOYDOXHVDUHGHULGHGQRWDVVXFKEXWEHFDXVH WKH\JHQHUDWHPRUDOOD[LW\ZKLFKZLOOEULQJDERXWWKHVWDWH·VZHDNQHVV DQGLWVXOWLPDWHFROODSVH ,WLVOLNHO\WKHQWKDWWKHH[HJHWLFDOFKDSWHUVUHˣHFWDQDWWHPSWE\6KDQJPLOLWDU\@D˫DLUVDGYDQFHVZKDWHYHUWKHHQHP\LVDVKDPHGRIEHQHˡWV7KH sovereign values multiple changes; the state values minimal changes. :KHQWKHVWDWHKDVIHZWKLQJVLWZLOOEHGLVPHPEHUHGZKHQWKHVWDWH KDV PDQ\ WKLQJV LW ZLOO EH VWURQJ When a thousand-chariot state S  UHVHUYHV RQH WKRXVDQG WKLQJV LW ZLOO EH GLVPHPEHUHG :KHQ >LWV@ ZDUIDUH LV RUGHUHG DQG WKH DUP\ LV >UHDG\ WR EH@ XVHG WKLV LV FDOOHG ´VWURQJµ:KHQ>WKHSHRSOH@DUHFKDRWLFDWZDUDQGWKHDUP\LVLQGROHQW the state will be dismembered. :KHQWKHSHRSOHDUHZHDNWKHVWDWHLVVWURQJZKHQWKHSHRSOHDUHVWURQJWKHVWDWHLVZHDN+HQFHWKHVWDWHWKDWSRVVHVVHVWKH :D\GHYRWHVLWVHOIWRZHDNHQLQJWKHSHRSOH^:KHQWKHSHRSOHDUH ZHDNWKH\DUHVLPSOHZKHQWKH\DUHVWURQJWKH\DUHH[FHVVLYH`9 :KHQWKH\DUHVLPSOHWKH\DUHVWURQJZKHQWKH\DUHH[FHVVLYH WKH\ DUH ZHDN ZKHQ WKH\ DUH VLPSOH 10 they are regulated; ZKHQ WKH\ DUH H[FHVVLYH WKH\ DUH LQFOLQHG WR RYHUVWHS >UHJXODWLRQV@ :KHQ WKH\ DUH ZHDNWKH\FDQEHHPSOR\HGZKHQWKH\DUH LQFOLQHGWRRYHUVWHS>UHJXODWLRQV@WKH\DUHVWURQJ11+HQFHLWLVVDLG “One who eliminates the strong with strength is weak; one who eliminates the strong with weakness is strong.” $VIRUWKHSHRSOHLI>WKHUXOHU@LVJRRGWRWKHPWKHQWKH\ DUH FORVH >WR KLP@12 LI WKH\ EHQHˡW IURP EHLQJ XVHG WKH\ DUH

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KDUPRQLRXVLIWKH\DUHXVDEOHWKH\FDQEHDSSRLQWHGLIWKH\DUH KDUPRQLRXV WKH\ IXOO\ GHGLFDWH WKHPVHOYHV ZKHQ WKH\ DUH DSSRLQWHGWKH\HQULFKWKHPVHOYHVWKURXJKJRYHUQPHQW>VHUYLFH@ When superiors abandon the standards and rely on those whom the people consider good, there are many villains. :KHQWKHSHRSOHDUHSRRUWKH\VWUHQXRXVO\VHHNZHDOWK ZKHQWKH\VWUHQXRXVO\VHHNZHDOWKWKH\EHFRPHH[FHVVLYHZKHQ WKH\DUHH[FHVVLYHWKHQWKHUHDUHSDUDVLWHV+HQFHZKHQWKHSHRSOHDUHULFKDQGFDQQRWEHXVHGOHWWKHSHRSOHXVHSURYLVLRQVWR DWWDLQ>UDQNV@>UDQNV@ZLOOVXUHO\>EHEHVWRZHG@DFFRUGLQJWRRQH·V H˫RUWV then the farmers will not be indolent. When the farmers DUHQRWLQGROHQWWKHVL[SDUDVLWHVZLOOKDYHQRVSURXWV+HQFHthe state is richDQGWKHpeople are well ordered; this is “multiplying strength.”  $V IRU WKH DUP\ LW LV HDV\ WR ZHDNHQ LW DQG GL˥FXOW WR VWUHQJWKHQLW:KHQWKHSHRSOHHQMR\WKHLUOLIHDUHSHDFHIXODQGDW HDVHLWLVGL˥FXOWWRPDNHWKHPULVNWKHLUOLYHVLQWLPHRIGDQJHU :KHQLWLVHDV\WRGRVRWKH>VWDWH@LVVWURQJ:KHQRQHLVDVKDPHG RI>PLOLWDU\@D˫DLUVYLOODLQ\PXOWLSOLHV:KHQUHZDUGVDUHIHZ you ZLOOQRWORVH:KHQQXPHURXVYLOODLQVDUHVWRSSHGWKHHQHP\ORVHV ,WLVVXUHO\EHQHˡFLDO³WKHDUP\ZLOODWWDLQXWPRVWSRZHUDQGDZHVRPHQHVV:KHQLQ>PLOLWDU\@D˫DLUVRQHLVDVKDPHGRIQRWKLQJLWLV EHQHˡFLDOWRXVHWKHDUP\+HZKRUHVLGHVIRUDORQJWLPHLQWKHSRVLWLRQ RI EHQHˡW DQG SRZHU ZLOO VXUHO\ EHFRPH WKH 7UXH 0RQDUFK +HQFH“he whose army performs whatever the enemy dares not perform is strong; he who in [military] affairs advances whatHYHUWKHHQHP\LVDVKDPHGRIEHQHÀWVµ :KHQWKHUHDUHVWDQGDUGVWKHSHRSOHDUHDWSHDFHZLWKKLHUDUFK\ZKHQWKHVRYHUHLJQPDNHVFKDQJHVKHHPSOR\VWKHDEOHDQG DWWDLQVWKHVXLWDEOHZKHQWKHVWDWHSUHVHUYHVSHDFH while the sovHUHLJQKROGVSRZHULWLVEHQHˡFLDO7KHUHIRUH“the sovereign values multiple changes; the state values minimal changes.”  :KHQ EHQHˡWV FRPH IURP D VLQJOH RSHQLQJ WKH VWDWH KDV SOHQW\RIWKLQJVZKHQWKH\FRPHIURPWHQRSHQLQJVWKHVWDWHKDV¬IHZ things.19+HZKRSUHVHUYHVDVLQJOH>RSHQLQJZLOODWWDLQ@RUGHUO\UXOH KH ZKR SUHVHUYHV WHQ >RSHQLQJV ZLOO DWWDLQ@ WXUPRLO 2UGHUO\ UXOH

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PHDQVVWUHQJWKWXUPRLOPHDQVZHDNQHVVZKHQRQHLV¬VWURQJWKLQJV ZLOOFRPHZKHQRQHLVZHDNWKLQJVZLOOOHDYHHence,´the state that is able to bring things is strong; when it makes thingsOHDYHLWLV ZHDNµ20 :KHQWKHSHRSOHDUHGHEDVHGWKH\YDOXHUDQNVZKHQWKH\DUH ZHDNWKH\UHVSHFWR˥FLDOVZKHQWKH\DUHSRRUWKH\WDNHUHZDUGV VHULRXVO\ :KHQ RQH UXOHV WKH SHRSOH E\ SXQLVKPHQWV WKH\ HQMR\ EHLQJXVHGZKHQRQHPDNHVWKHSHRSOHˡJKWE\UHZDUGVWKH\UHJDUG death lightly. Hence: “When [the state’s] warfare is ordered and the army is [ready to be] used, this is called¶strong.’૸” :KHQWKHSHRSOHKDYHSULYDWH>DYHQXHVRI@JORU\WKH\GLVGDLQWKH UDQNLQJV\VWHPDQGGHVSLVHR˥FLDOVZKHQWKH\DUHULFKWKH\WUHDW UHZDUGVOLJKWO\,IRQHUHJXODWHVWKHSHRSOH·VVKDPHDQGKXPLOLDWLRQ WKURXJKSXQLVKPHQWVWKHQZKHQZDUFRPHVWKH\JRWRZDU:KHQ WKHSHRSOHDUHDIUDLGWRGLHWKHLUD˫DLUVDUHchaoticDQG\HWWKH\ >VWLOODUHREOLJHGJRWR@ZDUWKH\ZLOOWKHQEHindolent in military VHUYLFHDQGDJULFXOWXUHDQGthe state will be weak.21

)DUPHUVPHUFKDQWVDQGR˥FLDOVDUHWKHWKUHHFRQVWDQWIXQFWLRQV LQWKHVWDWH7KHWKUHHIXQFWLRQVJLYHELUWKWRVL[SDUDVLWLFD˫DLUV´HQG RI\HDUµ´IRRGµ´EHDXW\µ´OLNHVµ´DVSLUDWLRQVµ´FRQGXFWµ:KHQWKH VL[WDNHURRW22>WKHVWDWH@ZLOOVXUHO\EHGLVPHPEHUHG7KHURRWRIWKH WKUHHIXQFWLRQVLVLQWKHWKUHHNLQGVRISHRSOHWKHURRWRIWKHVL[>SDUDVLWLF@D˫DLUVLVLQRQH0DQ>7KHVWDWH@WKDWLVRUGHUHGE\VWDQGDUGV is strong; that which is ordered by administrative measures will be dismembered.:KHQR˥FLDOVZKRUXOHDFFRUGLQJWRFRQVWDQW>SDWWHUQV@ RUGHU>WKHLUD˫DLUV@ZHOOWKH\VKRXOGEHSURPRWHG When governance LVODUJHWKHVWDWHLVVPDOOZKHQJRYHUQDQFHLVVPDOOWKHVWDWHLVODUJH :KHQ\RXVWUHQJWKHQWKHP>WKHSHRSOH@\RXDJJUDYDWHGLVPHPEHUPHQWZKHQ\RXZHDNHQWKHP\RXLQFUHDVHVWUHQJWK+HQFHKHZKR attacks the strong with strength will collapse; he who attacks the VWURQJZLWKZHDNQHVVZLOOEHFRPHWKH>7UXH@0RQDUFK :KHQDVWURQJVWDWHLVQRWHQJDJHGLQZDUIDUHSRLVRQLQˡOWUDWHVLWV LQWHVWLQHVULWHVPXVLFDQGSDUDVLWLFD˫DLUVDUHERUQ>WKHVWDWH@ZLOO VXUHO\EHGLVPHPEHUHG:KHQWKHVWDWHZDJHVZDUSRLVRQLQˡOWUDWHV WKHHQHP\LWODFNVULWHVPXVLFDQGSDUDVLWLFD˫DLUV>WKHVWDWH@ZLOO

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VXUHO\EHVWURQJ:KHQSURPRWLRQLVEDVHGRQRQH·VWRLODQGDSSRLQWPHQWRQRQH·VPHULWWKDWLVFDOOHG´VWUHQJWKµZKHQSDUDVLWLFD˫DLUV DUHERUQGLVPHPEHUPHQWLVFHUWDLQ:KHQWKHUHDUHIHZIDUPHUVDQG PDQ\PHUFKDQWVWKHQWKHQREOHVDUHSRRUWKHPHUFKDQWVDUHSRRUDQG WKHIDUPHUVDUHSRRUWKHWKUHHIXQFWLRQVDUHSRRUDQGWKHVWDWHZLOO surely be dismembered. ´)DUPHUVPHUFKDQWVDQGRIÀFLDOV: these three are the constant functions in the state.”)DUPHUVRSHQXSODQGVPHUFKDQWV EULQJSURGXFWVR˥FLDOVRUGHUWKHSHRSOH“Three functions give birth to six parasitic affairs that are: ‘end-of-year,’ ‘food,’ ‘beauty,’ ‘likes,’ ‘aspirations,’ ‘conduct.’ When the six take root, [the state] will surely be dismembered.”:KHQIDUPHUVKDYHH[WUDIRRGWKH\ ODYLVKO\IHDVWDWWKHHQGRIWKH\HDU:KHQPHUFKDQWVKDYHH[FHVVLYH SURˡWVGXHWR>WKHFXVWRPHUV·@OLNHRIEHDXW\WKLVKDUPV>SURGXFWLRQ RI@XWHQVLOV:KHQR˥FLDOVDUHSXWLQSODFHEXWDUHQRWPDGHXVHRI WKH\KDYHWKHGLVWUHVVRI´DVSLUDWLRQVµDQG´FRQGXFWµ:KHQWKHVL[ SDUDVLWHVEHFRPHDFXVWRPWKHDUP\ZLOOVXUHO\EHGHIHDWHG :KHQODZVDUHFURRNHGUXOHLVGLVRUGHUHG:KHQWKHJRRG DUHDSSRLQWHGWKHUHLVPXFKWDON:KHQRUGHULVDWWDLQHGWKURXJK PXOWLSOH >URXWHV@ WKH VWDWH LV GLVRUGHUHG29 When there is much WDONWKHDUP\LVZHDN:KHQODZVDUHFOHDUJRYHUQDQFHLVPRGHUDWHZKHQRQHUHOLHVRQIRUFHWDONLVTXHOOHG:KHQJRYHUQDQFHLV PRGHUDWH WKH VWDWH LV ZHOO RUGHUHG :KHQ WDON LV TXHOOHG WKH army is strong. Hence: “when governance is large, the state is small; when governance is small, the state is large.” :KHQWKHJRYHUQPHQWGRHVZKDWHYHUWKHSHRSOHGHWHVWWKH people are weak; when the government does whatever the people GHOLJKW LQ WKH SHRSOH DUH VWURQJ :KHQ WKH SHRSOH DUH ZHDN WKH VWDWHLVVWURQJZKHQWKHSHRSOHDUHVWURQJWKHVWDWHLVZHDN:KHQ WKHJRYHUQPHQWGRHVZKDWHYHUWKHSHRSOHGHOLJKWLQWKHSHRSOHDUH VWURQJZKHQWKHSHRSOHDUHVWURQJDQGDUHIXUWKHUHPSRZHUHGWKH DUP\·V ZHDNQHVV PXOWLSOLHV :KHQ WKH JRYHUQPHQW GRHV ZKDWHYHU WKHSHRSOHGHWHVWWKHSHRSOHDUHZHDNZKHQWKHSHRSOHDUHZHDN DQGDUHZHDNHQHGIXUWKHUWKHDUP\·VVWUHQJWKLVPXOWLSOLHG+HQFH HPSOR\LQJ WKH VWURQJ PXOWLSOLHV ZHDNQHVV >HPSOR\LQJ@ WKH ZHDN PXOWLSOLHVVWUHQJWKDQGWXUQVRQHLQWRWKH>7UXH@0RQDUFK+HZKR

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rules the strong by strength is weak; his weakness is preserved; he who rules the weak by weakness is strong; the strong are eliminated. :KHQWKHVWURQJDUHSUHVHUYHG>WKHUXOHU@LVZHDNZKHQWKHVWURQJ DUH HOLPLQDWHG >WKH UXOHU EHFRPHV@ 0RQDUFK +HQFH “he who governs the strong with strength, [his state] will be dismembered; he who governs the strong with weaknessLVWKH>7UXH@Monarch.”

:KHQWKHVWDWHKDVULWHVDQGPXVLFPoems and DocumentsJRRGQHVV DQGVHOIFXOWLYDWLRQˡOLDOLW\DQGIUDWHUQDOREOLJDWLRQV  uprightness DQGDUJXPHQWDWLYHQHVV³ZKHQLWKDVWKHVHWHQVXSHULRUVFDQQRWFDXVH >WKHSHRSOH@WRˡJKWDQG>WKHVWDWH@ZLOOVXUHO\EHGLVPHPEHUHGWRWKH SRLQWRIˡQDOFROODSVH:KHQWKHVWDWHODFNVWKHVHWHQVXSHULRUVFDQ FDXVH>WKHSHRSOH@WRˡJKWDQG>WKHVWDWH@ZLOOVXUHO\SURVSHUWRWKH SRLQW RI >LWV UXOHU@ EHFRPLQJ >WKH 7UXH@ 0RQDUFK :KHQ WKH VWDWH HPSOR\VJRRGSHRSOHWRUXOHYLOODLQVLWZLOOVX˫HUWXUPRLOWRWKHSRLQW of dismemberment; when the state employs villains to rule good peoSOHLWZLOOEHUXOHGZHOOWRWKHSRLQWRIHPSRZHUPHQW,IWKHVWDWHUXOHV through PoemsDocumentsULWHVPXVLFˡOLDOLW\IUDWHUQDOREOLJDWLRQV JRRGQHVVDQGDUJXPHQWDWLYHQHVVWKHQZKHQWKHHQHP\DUULYHVWKH VWDWHZLOOEHGLVPHPEHUHGDQGHYHQLIWKHHQHP\GRHVQRWDUULYHLW ZLOO EH LPSRYHULVKHG :KHQ RQH GRHV QRW UXOH WKURXJK WKHVH HLJKW WKHQ WKH HQHP\ GDUHV QRW DUULYH DQG HYHQ LI KH DUULYHV KH ZLOO EH UHSHOOHGDQGZKHQDQDUP\LVUDLVHGLQLQYDVLRQLWZLOOEHDEOHWRVHL]H >WKHHQHP\·VWHUULWRU\@DQGDIWHUVHL]LQJLWZLOOVXUHO\EHDEOHWRKROG LW ZKHUHDV ZKHQ RQH UHVWUDLQV WKH DUP\ DQG GRHV QRW DWWDFN >WKH VWDWH@ ZLOO VXUHO\ EH ULFK :KHQ WKH VWDWH LV IRQG RI IRUFH LW LV FDOOHG ´DWWDFNLQJZLWKZKDWLVGL˥FXOW>WRUHVLVW@µ:KHQWKHVWDWHLVIRQGRI WDONLWLVFDOOHG´DWWDFNLQJZLWKZKDWLVHDV\>WRUHVLVW@µ:KHQWKHVWDWH DWWDFNV ZLWK ZKDW LV GL˥FXOW >WR UHVLVW@ LW UDLVHV >DQ DUP\@ RQFH DQG UHFHLYHVWHQIROGJDLQVZKHQLWDWWDFNVZLWKZKDWLVHDV\>WRUHVLVW@LW GLVSDWFKHV>DQDUP\@WHQWLPHVDQGORVHVRQHKXQGUHG $UJXPHQWDWLYHQHVVDQGFOHYHUQHVVDUHWKHDVVLVWDQWVRIWXUPRLO ULWHVDQGPXVLFDUHV\PSWRPVRIH[FHVVLYHQHVVDQGLQGROHQFHNLQGness and benevolence are the mother of transgression; appointment based on reputation  is the rat  of villainy. When turmoil has DVVLVWDQWVLWLVDFWXDOL]HGZKHQH[FHVVLYHQHVVDQGLQGROHQFHKDYH

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V\PSWRPVWKH\DUHSUDFWLFHGZKHQWUDQVJUHVVLRQKDVDPRWKHULW LVERUQZKHQYLOODLQ\KDVDUDWLWFDQQRWEHVWRSSHG:KHQWKHHLJKW FRPHWRJHWKHUWKHSHRSOHRYHUFRPHWKHJRYHUQPHQWZKHQWKHUHDUH QRQH RI WKH HLJKW WKH JRYHUQPHQW RYHUFRPHV WKH SHRSOH :KHQ WKHSHRSOHRYHUFRPHWKHJRYHUQPHQWWKHVWDWHLVZHDNZKHQWKH J RYHUQPHQW RYHUFRPHV WKH SHRSOH WKH DUP\ LV VWURQJ +HQFH “when the state has theseHLJKWthe superiors cannot cause [the people] to put up defense and ÀJKWDQGLWZLOOVXUHO\EHGLVPHPbered to the point of collapse; when the state has none of the eight, superiors can cause [the people] to put up defense and ÀJKWDQGWKHVWDWHZLOOVXUHO\SURVSHUWRWKHSRLQWRI>LWVUXOHU@ becoming [the True] Monarch.”  :KHQ WKH JRRG DUH HPSOR\HG WKH SHRSOH DUH DWWDFKHG WR WKHLUUHODWLYHVZKHQYLOODLQVDUHHPSOR\HGWKHSHRSOHDUHDWWDFKHG to regulations. Those who are harmonious and cover up for each RWKHUDUH´JRRGµWKRVHZKRDUHVHSDUDWHDQGUHJXODWHHDFKRWKHU DUH ´YLOODLQVµ :KHQ WKH ´JRRGµ DUH FRPPHQGHG WUDQVJUHVVLRQV DUHFRQFHDOHGZKHQ´YLOODLQVµDUHDSSRLQWHGFULPHVDUHSXQLVKHG :KHQWUDQVJUHVVLRQVDUHFRQFHDOHGWKHSHRSOHRYHUFRPHWKHODZ ZKHQ FULPHV DUH SXQLVKHG WKH ODZ RYHUFRPHV WKH SHRSOH :KHQ WKHSHRSOHRYHUFRPHWKHODZWKHVWDWHLVLQWXUPRLOZKHQWKHODZ RYHUFRPHVWKHSHRSOHWKHDUP\LVVWURQJ+HQFHLWLVVDLG“When the state employs good people to rule villains, it will suffer turmoil to the point of dismemberment; when the state employs villains to rule good people, it will be ruled well to the point of empowerment.” :KHQWKHVWDWHDWWDFNVZLWKZKDWLVGLIÀFXOW>WRUHVLVW@LW raises [an army] once and receives tenfold gains; when it attacks with what is easy [to resist], it raises [an army] ten times and loses one hundred. When the state is fond of force, it is called ´DWWDFNLQJZLWKZKDWLVGLIÀFXOW>WRUHVLVW@µ:KHQWKHVWDWHLV fond of talk, it is called “attacking with what is easy [to resist].” )RUWKHSHRSOHLWLVHDV\WRHQJDJHLQWDONDQGLVGL˥FXOWWREHXVDEOH :KHQWKHVWDWH·VODZVHQFRXUDJHWKHSHRSOHWRPDNHZKDWLVGL˥FXOW IRUWKHPWKHDUP\HPSOR\VZKDWLVGL˥FXOWIRUWKHSHRSOHDQGWKH VWDWHDWWDFNVZLWKIRUFHLWUDLVHV>DQDUP\@RQFHDQGUHFHLYHVWHQIROG

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JDLQV:KHQWKHVWDWH·VODZVHQFRXUDJHWKHSHRSOHWRPDNHZKDWLV HDV\IRUWKHPWKHDUP\HPSOR\VZKDWLVHDV\IRUWKHSHRSOHDQG WKHVWDWHDWWDFNVZLWKWDONLWUDLVHV>DQDUP\@WHQWLPHVDQGORVHVRQH hundred.

:KHQSHQDOWLHVDUHKHDY\DQGUHZDUGVDUHOLJKWWKHQVXSHULRUVORYH WKHSHRSOHDQGWKHSHRSOHDUH>UHDG\@WRGLHIRUWKHLUVXSHULRUV:KHQ UHZDUGVDUHKHDY\DQGSHQDOWLHVDUHOLJKWWKHQVXSHULRUVGRQRWORYH WKHSHRSOHDQGWKHSHRSOHDUHQRW>UHDG\@WRGLHIRUWKHLUVXSHULRUV :KHQDWKULYLQJVWDWHLPSOHPHQWVSHQDOWLHVWKHSHRSOHEHQHˡWDQGIHDU >VXSHULRUV@ZKHQLWLPSOHPHQWVUHZDUGVWKHSHRSOHEHQHˡWDQGORYH >VXSHULRUV@:KHQ>WKHVWDWH@LPSOHPHQWVSXQLVKPHQWV>LWVKRXOG@ LQˣLFWKHDY\>SXQLVKPHQWV@RQOLJKW>R˫HQVHV@^^DQGOLJKWRQKHDY\ >FULPHV@``WKHQOLJKW>R˫HQVHV@ZLOOQRWDULVHDQGKHDY\>FULPHV@ZLOO not come. When the state lacks strength yet implements knowledgeDEOHDQGVNLOOIXO>SROLFLHV@LWZLOOVXUHO\FROODSVH Use punishments to handle cowards: they will surely become brave. 8VHUHZDUGVWRKDQGOHWKHEUDYHWKH\ZLOO>EHUHDG\WR@GLH:KHQFRZDUGVDUHEUDYHDQGWKHEUDYHDUH>UHDG\@WRGLHWKHVWDWHZLOOKDYHQR ULYDOVDQGLWZLOOEHVWURQJWKHVWURQJZLOOVXUHO\EHFRPHWKH>7UXH@ Monarch. Use punishments to make the poor become rich; use rewards to make the rich become poor. When a well-ordered state can cause WKHSRRUWREHFRPHULFKDQGWKHULFKWREHFRPHSRRUWKHQLWZLOOKDYH abundant force; he who has abundant force will become the Monarch. >,QWKHVWDWHRIWKH7UXH@0RQDUFKIRUHYHU\QLQHSXQLVKPHQWVWKHUH LVRQHUHZDUGLQDVWURQJVWDWHIRUHYHU\VHYHQSXQLVKPHQWVWKHUHDUH WKUHHUHZDUGVLQDGXHWREHGLVPHPEHUHGVWDWHIRUHYHU\ˡYHSXQLVKPHQWVWKHUHDUHˡYHUHZDUGV :KHQSHQDOWLHVDUHKHDY\UDQNVDUHUHVSHFWHGZKHQUHZDUGV DUHOLJKWSXQLVKPHQWVLQVSLUHDZH:KHQUDQNVDUHUHVSHFWHG VXSHULRUVORYHWKHSHRSOHZKHQSXQLVKPHQWVLQVSLUHDZHWKHSHRSOHDUH>UHDG\WR@GLHIRUWKHLUVXSHULRUV+HQFH“when a thriving VWDWHLPSOHPHQWVSHQDOWLHVWKHSHRSOHEHQHÀWµ when it employs UHZDUGVWKHVXSHULRUVDUHUHYHUHG:KHQWKHODZLVGHWDLOHGSXQLVKPHQWVDUHRYHUˣRZLQJZKHQWKHODZLVVLPSOHSXQLVKPHQWVDUH

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moderate. The people can be both ordered and in turmoil: if you RUGHUWKHPZKHQWKH\DUHLQWXUPRLOWKHUHLVHYHQPRUHWXUPRLO +HQFHRUGHUWKHPZKHQWKH\DUHRUGHUHGDQGRUGHUO\UXOHZLOO FRPHRUGHUWKHPZKHQWKH\DUHLQWXUPRLODQGWXUPRLOZLOOFRPH 7KHSHRSOH·VGLVSRVLWLRQLVWREHUXOHGZHOOEXWWKHLUDFWLYLWLHVEULQJ DERXWWXUPRLO+HQFH“when [the state] implements punishments, >LWVKRXOG@LQÁLFWKHDY\>SXQLVKPHQWV@RQOLJKW>RIIHQVHV@OLJKW [offenses] will not arise, and heavy [crimes] will have no chance of arriving.”7KLVLVZKDWLVFDOOHG´RUGHULQJWKHPZKHQ WKH\ DUH RUGHUHGµ ,I LQ LPSOHPHQWLQJ SXQLVKPHQWV \RX SXQLVK KHDYLO\ >RQO\ WKH@ KHDY\ >FULPHV@ DQG OLJKWO\ WKH OLJKW RQHV WKHQ OLJKW>R˫HQVHV@ZLOOQRWEHVWRSSHGDQGKHDY\>RQHV@ZLOOKDYHQR FKDQFHWREHVWRSSHGHLWKHU7KLVLVZKDWLVFDOOHG´RUGHULQJWKHP ZKHQ WKH\ DUH LQ WXUPRLOµ +HQFH ZKHQ OLJKW >R˫HQVHV DUH SXQLVKHG@KHDYLO\WKHQSXQLVKPHQWVDUHHOLPLQDWHGD˫DLUVDUHDFFRPSOLVKHGDQGWKHVWDWHLVVWURQJZKHQKHDY\>FULPHVDUHSXQLVKHG@ KHDYLO\ DQG OLJKW >R˫HQVHV DUH SXQLVKHG@ OLJKWO\ WKHQ SXQLVKPHQWVDUULYHDQG>WURXEOHVRPH@D˫DLUVDUHERUQWKHVWDWHZLOOEH dismembered. :KHQWKHSHRSOHDUHFRXUDJHRXVUHZDUGWKHPZLWKZKDWWKH\ GHVLUH ZKHQ WKH\ DUH FRZDUGO\ HUDGLFDWH this with what they GHWHVW +HQFH ZKHQ FRZDUGV DUH HQFRXUDJHG ZLWK SXQLVKPHQWV WKH\ EHFRPH EUDYH ZKHQ WKH EUDYH DUH HQFRXUDJHG ZLWK UHZDUGV WKH\DUH>UHDG\WR@GLH“When cowards are brave, and the brave are [ready] to die, the state will have no rivals, and>LWVUXOHU@will surely become the Monarch.” :KHQWKHSHRSOHDUHSRRUWKH\DUHZHDNZKHQWKH\DUHULFK WKH\ DUH H[FHVVLYH ZKHQ WKH\ DUH H[FHVVLYH WKHUH DUH SDUDVLWLF >D˫DLUV@ ZKHQ WKHUH DUH SDUDVLWLF >D˫DLUV@ >WKH VWDWH@ LV ZHDN +HQFHwhen they [the people] are poorLQFUHDVHWKHLU>ZHDOWK@by punishmentsand they will become rich; when they are rich GLPLQLVK>WKHLUZHDOWK@E\rewards, and they will become poor. >7R@UDLVHXSDQRUGHUHGVWDWHYDOXHcausing the poor to become rich and the rich to become poor:KHQWKHSRRUEHFRPHULFKDQG WKHULFKSRRUWKHVWDWHLVVWURQJ:KHQWKHWKUHHIXQFWLRQV are ZLWKRXWSDUDVLWLF>D˫DLUV@WKHVWDWHLVVWURQJDQGZKHQIRUDORQJ

Eliminating the Strong

139

WLPH WKH\ DUH ZLWKRXW SDUDVLWLF >D˫DLUV@ >WKH UXOHU@ ZLOO VXUHO\ become the Monarch.  Punishments give birth to force; force gives birth to strength; strength gives birth to awesomeness; awesomeness gives birth to virtue; virtue is born of punishments. +HQFH ZKHQSXQLVKPHQWVDUHSOHQWLIXOUHZDUGVDUHKHDY\ZKHQUHZDUGV DUH PLQXVFXOH SXQLVKPHQWV DUH KHDY\ 7KH SHRSOH KDYH WKLQJV WKH\GHVLUHDQGWKLQJVWKH\GHWHVWWKH\GHVLUHWKHVL[H[FHVVHVDQG GHWHVWWKHIRXUGL˥FXOWLHV:KHQWKH\IROORZWKHVL[H[FHVVHVWKH VWDWHLVZHDNHQHGZKHQWKH\LPSOHPHQWWKHIRXUGL˥FXOWLHVWKH DUP\LVVWURQJ+HQFHWKH7UXH0RQDUFKSXQLVKHVQLQHWLPHVDQG UHZDUGVRQFH:KHQKHSXQLVKHVQLQHWLPHVWKHVL[H[FHVVHVDUH VWRSSHG ZKHQ KH UHZDUGV RQFH WKH IRXU GL˥FXOWLHV DUH LPSOHPHQWHG:KHQWKHVL[H[FHVVHVDUHVWRSSHGWKHUHDUHQRYLOODLQVLQ WKHVWDWHZKHQWKHIRXUGL˥FXOWLHVDUHLPSOHPHQWHGWKHDUP\KDV no rival.

,IWKHVWDWHHQJDJHVLQWKH2QHIRURQH\HDULWZLOOEHVWURQJIRUWHQ \HDUVLILWHQJDJHVLQWKH2QHIRUWHQ\HDUVLWZLOOEHVWURQJIRURQHKXQGUHG\HDUVLILWHQJDJHVLQWKH2QHIRURQHKXQGUHG\HDUVLWZLOOEH strong for a thousand years; he who is strong for a thousand years is WKH>7UXH@0RQDUFK$ZHVRPHQHVVLVZKDWDOORZVRQHWRWDNHRYHUWHQ ZKDWDOORZVYRLFHWRWDNHRYHUVXEVWDQFH+HQFHKHZKRLVDEOHWR inspire awe will become the Monarch.>7KHVWDWH@WKDWLVDEOHWRJLYH ELUWK>WRIRUFH@EXWQRWWRUHGXFH>LW@LVFDOOHGD´VHOIDWWDFNLQJVWDWHµLW ZLOOVXUHO\EHGLVPHPEHUHG>7KHVWDWH@WKDWLVDEOHWRJLYHELUWK>WR IRUFH@DQGWRUHGXFH>LW@LVFDOOHGDQ´HQHP\DWWDFNLQJVWDWHµLWVXUHO\ will be strong.+HQFHDWWDFNWKH>SDUDVLWLFD˫DLUV@DWWDFNWKH>SHRSOH·V@IRUFHDWWDFNWKHHQHP\,I\RXDUHDEOHWRGRWZRRIWKHVHDQG GLVFDUGRQO\RQH\RXZLOOEHVWURQJLI\RXDUHDEOHWRGRDOOWKUHHRI WKHVH \RX ZLOO EH DZHLQVSLULQJ DQG ZLOO VXUHO\ EHFRPH WKH >7UXH@ Monarch. 7KHSHRSOH·VGHVLUHVDUHP\ULDGEXWEHQHˡWFRPHVIURPDVLQJOH>RSHQLQJ@,IWKHSHRSOHDUHQRWHQJDJHGLQWKH2QHWKH\ZLOO QRWEHDEOHWRVDWLVI\WKHLUGHVLUHVKHQFH>KDYHWKHP@HQJDJHLQ

140 PA RT I I : T H E B O O K O F L O R D S H A N G

WKH2QH:KHQWKH\DUHHQJDJHGLQWKH2QHWKHLUIRUFHLVFRQVROLGDWHGZKHQWKHLUIRUFHLVFRQVROLGDWHGWKH\DUHVWURQJZKHQWKH\ DUH VWURQJ DQG DUH XVHG WKHLU VWUHQJWK PXOWLSOLHV +HQFH ´>WKH VWDWH@ that is able to give birth to force and to reduce it is called an “enemy-attacking state”; it surely will be strongµ :KHQ\RXEORFNWKHSULYDWHZD\V>WKURXJKZKLFKWKHSHRSOHKRSHG WR@IXOˡOOWKHLUDVSLUDWLRQVDQGRSHQDVLQJOHJDWH>WKURXJKZKLFK DQG RQO\ WKURXJK ZKLFK WKH\ ZLOO@ DWWDLQ ZKDWHYHU WKH\ GHVLUH WKLV FDXVHV WKH SHRSOH ˡUVW WR HQJDJH LQ ZKDWHYHU WKH\ GHWHVW  DQGRQO\WKHQWRDWWDLQZKDWHYHUWKH\GHVLUHKHQFHWKHIRUFHLV DEXQGDQW:KHQWKHIRUFHLVDEXQGDQWEXWLVQRWXVHGWKHQWKHLU DVSLUDWLRQV DUH QRW"  H[KDXVWHG when their aspirations are QRW"  H[KDXVWHG WKH\ KDYH SULYDWH >LQWHUHVWV@ ZKHQ WKH\ KDYH SULYDWH >LQWHUHVWV@ >WKH VWDWH@ LV ZHDN +HQFH ´>WKH VWDWH@ that is able to give birth to force but not to reduce it is called a ‘selfattacking state;’ it will surely be dismemberedµ +HQFH LW LV VDLGWKHVWDWHRIWKH7UXH0RQDUFKGRHVQRWVWRUHXSIRUFHDQGLWV households do not hoard grain. The state does not store up force >EHFDXVH@ WKH LQIHULRUV FDQ EH XVHG WKH KRXVHKROGV GR QRW KRDUG JUDLQ>EHFDXVH@VXSHULRUVDFFXPXODWHLW

:KHQGHFLVLRQVDUHPDGHE\HYHU\WHQWKKDPOHWWKHVWDWHLVZHDN ZKHQWKH\DUHPDGHE\HYHU\QLQWKˡIWK" KDPOHWWKHVWDWHLVVWURQJ +HZKRRUGHUV>D˫DLUV@E\WKHGD\WLPHLVWKH0RQDUFKKHZKRRUGHUV >D˫DLUV@E\QLJKWLVVWURQJKHZKRRUGHUV>D˫DLUV@E\WKHQH[WGD\>KLV VWDWH@ZLOOEHGLVPHPEHUHG 7KLVLVWKHRUGHUO\UXOHRIWKHVWDWHZKHQ>D˫DLUV@DUHGHWHUPLQHG E\DKRXVHKROG\RXZLOOEHFRPHWKH0RQDUFKZKHQ>WKH\DUH@GHWHUPLQHGE\R˥FLDOV\RXZLOOEHVWURQJZKHQ>WKH\DUH@GHWHUPLQHG E\WKHUXOHU>KLPVHOI@\RXZLOOEHZHDN>3XQLVK@KHDYLO\IRUOLJKW >R˫HQVHV@ >WKHUHE\@ HOLPLQDWLQJ SXQLVKPHQWV OHW WKH R˥FLDOV >DGKHUH WR@ FRQVWDQW >PHWKRGV@ WKHQ WKHUH ZLOO EH RUGHUO\ UXOH 5HVWULFWSXQLVKPHQWVDQGELQG>WKHSHRSOH@WKURXJKPXWXDOVXUYHLOODQFH>3URPLVHVRI@UHZDUGVVKRXOGQRWEHEURNHQ,IFULPLQDOVDUH LQYDULDEO\GHQRXQFHGWKHQWKHSHRSOHZLOOPDNHGHFLVLRQVLQWKHLU

Eliminating the Strong

141

KHDUWV:KHQVXSHULRUVLVVXHRUGHUVDQGWKHSHRSOHNQRZWRUHVSRQG ZKHQXWHQVLOVWDNHVKDSHLQWKHKRXVHKROGDQGDUHXWLOL]HGE\R˥FLDOV WKHQ D˫DLUV DUH GHWHUPLQHG E\ D KRXVHKROG +HQFH >LQ WKH VWDWHRI@WKH7UXH0RQDUFKSXQLVKPHQWVDQGUHZDUGVDUHGHWHUPLQHGE\WKHSHRSOH·VKHDUWVWKHXVHRIWKHXWHQVLOVLVGHWHUPLQHG at the household level. :KHQRUGHUO\UXOHLVFOHDU>WKHSHRSOHDUH@XQLIRUPZKHQLWLV GLPWKH\GL˫HU:KHQWKH\DUHXQLIRUP>SROLFLHV@FDQEHLPSOHPHQWHGZKHQ>WKHSHRSOH@GL˫HU>SROLFLHV@DUHVWRSSHG:KHQWKH\ DUHLPSOHPHQWHGWKHUHLVRUGHUO\UXOHZKHQWKH\DUHVWRSSHGWKHUH LVWXUPRLO:KHQWKHUHLVRUGHUO\UXOHGHFLVLRQVDUHPDGHE\DKRXVHKROGZKHQWKHUHLVWXUPRLOWKH\DUHPDGHE\WKHUXOHU7KHZHOO RUGHUHG VWDWH YDOXHV GHFLVLRQV PDGH EHORZ +HQFH >WKH VWDWH@ LQ which decisions are made by every tenth hamlet is weak>WKH VWDWH@LQZKLFKGHFLVLRQVare made by everyˡIWKhamlet is strong. :KHQGHFLVLRQVDUHPDGHE\WKHKRXVHKROGRQHKDVH[WUD>WLPH@ KHQFHLWLVVDLG“he who orders [affairs] by the daytime is the Monarch.”:KHQR˥FLDOVPDNHGHFLVLRQV>WKHWLPH@LVQRWVX˥FLHQW KHQFHLWLVVDLG“he who orders [affairs] by night is strong.” When WKHUXOHUKLPVHOIPDNHVGHFLVLRQVWKHUHLVWXUPRLOKHQFHLWLVVDLG “he who orders [affairs] by the next day, [his state] will be dismembered.” ,Q WKH VWDWH WKDW SRVVHVVHV WKH :D\ RUGHUO\ UXOH LV DWWDLQHGZLWKRXWKHHGLQJWKHUXOHUDQGWKHSHRSOHKDYHQRQHHGWR IROORZR˥FLDOV

,QUHJLVWHULQJWKHQXPEHURIWKHSHRSOHUHFRUGWKHOLYLQJDQGHUDVH WKHGHDG:KHQWKHSHRSOHGRQRWDEVFRQGIURP>SURGXFLQJ@JUDLQ ˡHOGVZLOOQRWEHFRYHUHGE\ZLOGJUDVVHV7KHQWKHVWDWHLVULFK+H whose state is rich is strong. *** :KHQRQHHUDGLFDWHVSXQLVKPHQWVWKURXJKSXQLVKPHQWVWKHVWDWH LVRUGHUHGZKHQRQHEULQJVSXQLVKPHQWVWKURXJKSXQLVKPHQWVWKH VWDWH LV GLVRUGHUHG +HQFH LW LV VDLG ´ZKHQ LQ LPSOHPHQWLQJ SXQLVKPHQWV\RX>SXQLVK@KHDYLO\IRUOLJKW>R˫HQVHV@SXQLVKPHQWVDUH

142 PA RT I I : T H E B O O K O F L O R D S H A N G

HUDGLFDWHGD˫DLUVDUHDFFRPSOLVKHGDQGWKHVWDWHLVVWURQJZKHQ\RX >SXQLVK@KHDYLO\IRUKHDY\>R˫HQVHV@DQGOLJKWO\IRUOLJKW>RQHV@SXQLVKPHQWVDUHEURXJKWLQ>PRUH@D˫DLUVDUHERUQDQGWKHVWDWHLVGLVPHPEHUHGµ 3XQLVKPHQWV JLYH ELUWK WR IRUFH IRUFH JLYHV ELUWK WR strength; strength gives birth to awesomeness; awesomeness gives birth to kindness: kindness is borne of force. One puts forward force WRDFFRPSOLVKYDOLDQWˡJKWLQJˡJKWLQJLVXVHGWRDFFRPSOLVKFOHYHU stratagems. *** :KHQJUDLQLVERUQJROGLVGHDGZKHQJROGLVERUQJUDLQLVGHDG :KHQEDVLFFRPPRGLWLHVDUHFKHDS\HWSURGXFHUVDUHPDQ\ZKLOHFRQVXPHUV DUH IHZ WKHQ IDUPHUV ZLOO IDFH GL˥FXOWLHV DQG GHFHLWIXO >XQGHUWDNLQJV@ZLOOEHHQFRXUDJHGWKHDUP\ZLOOEHZHDNDQGWKHVWDWH ZLOOVXUHO\EHGLVPHPEHUHGWRWKHSRLQWRIˡQDOFROODSVH When a liang RXQFH RIJROGLVERUQZLWKLQWKHERUGHUVWZHOYHshiSLFXOV RIJUDLQ are dead outside the borders. When twelve shi of grain are born within WKHERUGHUVRQHliang of gold is dead outside the borders. When the state LVIRQGRIJLYLQJELUWKWRJROGZLWKLQWKHERUGHUVWKHQERWKJROGDQG JUDLQDUHGHDGERWKJUDQDULHVDQGWUHDVXU\DUHHPSW\ When the VWDWHLVIRQGRIJLYLQJELUWKWRJUDLQZLWKLQWKHERUGHUVWKHQERWKJROG DQGJUDLQDUHERUQERWKJUDQDULHVDQGWUHDVXU\DUHIXOODQGWKHVWDWH is strong. *** $VWURQJVWDWHVKRXOGNQRZWKLUWHHQQXPEHUVZLWKLQLWVERUGHUV the number of granaries and residents; the number of adult men and ZRPHQWKHQXPEHURIWKHROGDQGLQˡUPWKHQXPEHURIR˥FLDOVDQG men-of-service; the number of those who obtain emoluments by talkLQJWKHQXPEHURIEHQHˡFLDOSHRSOHWKHQXPEHURIKRUVHVR[HQKD\ DQGVWUDZ,IRQHZDQWVWRVWUHQJWKHQRQH·VVWDWHEXWGRHVQRWNQRZ WKHVHWKLUWHHQQXPEHUVWKHQHYHQLIWKHVWDWH·VVRLOLVDGYDQWDJHRXVDQG UHVLGHQWVDUHQXPHURXVLWZLOOEHLQFUHDVLQJO\ZHDNHQHGWRWKHSRLQW of dismemberment.

Eliminating the Strong

143

*** 7KHVWDWHLQZKLFKWKHUHDUHQRUHVHQWIXOSHRSOHLVFDOOHGDVWURQJ VWDWH:KHQ>WKHVWDWH@UDLVHVDQDUP\DQGODXQFKHVDQDWWDFNWKHQ UDQNVDQGUHVSRQVLELOLWLHVDUHJUDQWHGEDVHGRQPLOLWDU\>H[SORLWV@DQG LWZLOOVXUHO\EHYLFWRULRXV:KHQLWUHVWUDLQVWKHDUP\DQG>SXUVXHV@ IDUPLQJWKHQUDQNVDQGUHVSRQVLELOLWLHVDUHJUDQWHGEDVHGRQJUDLQ >SURGXFWLRQ@DQGWKHVWDWHZLOOEHFRPHULFK+HZKRUDLVHVDQDUP\DQG GHIHDWVWKHHQHP\ZKRUHVWUDLQVKLVDUP\DQGHQULFKHVKLVVWDWHLVWKH >7UXH@0RQDUFK

$33(1',;$''(1'8072&+$37(5¬ 7KHODVWVHJPHQWRIFKDSWHU¬QHLWKHULVUHODWHGWRWKHH[HJHVLVRIFKDSWHU¬QRUVKDUHVWKHVW\OLVWLFFKDUDFWHULVWLFVRIWKHUHVWRIFKDSWHU¬,W LVOLNHO\WKDWLWZDVPLVSODFHGLQWKLVFKDSWHUIURPDQRWKHUWH[W7KH ˡUVWVHQWHQFHVRIWKLVVHJPHQWRYHUODSZLWKDVHJPHQWRIFKDSWHU¬DQG WKH ODVW VHFWLRQ DSSHDUV DV D EHODWHG DQG KLVWRULFDOO\ LQDFFXUDWH  abridgment of a discussion borrowed from the Xunzi. Judging from the KLVWRULFDOLQIRUPDWLRQLQWKLVVHJPHQWLWFOHDUO\FRXOGQRWKDYHEHHQ SURGXFHGEHIRUHWKHPLG²WKLUGFHQWXU\คทเ,WVH[WHQVLYHUHIHUHQFH WRUHFHQWKLVWRU\UHVHPEOHVFKDSWHU¬RIWKHBook of Lord ShangDJDLQ RQHRIWKHODWHVWLQWKHWUHDWLVH ZKLFKPD\UHˣHFWDFRPPRQWUHQGRI ODWH:DUULQJ6WDWHVSHULRGWKLQNHUVDVH[HPSOLˡHGLQPDQ\FKDSWHUV RIIRUH[DPSOHXunziHan FeiziDQG/VKLFKXQTLX WRUHVRUWWRKLVWRU\ in order to demonstrate the correctness of their arguments. *** :KHQDFOHDUVLJKWHGUXOHUHPSOR\VKLVPLQLVWHUVWKHLUXWLOL]DWLRQVKRXOGEHUHODWHGWRWKHLUPHULWVDQGUHZDUGVVKRXOGUHˣHFWWKH IXOOH[HUWLRQRIWKHLUODERU:KHQWKHVRYHUHLJQOHWVKLVSHRSOHWUXVWWKLV DV>WKH\WUXVW@WKHVXQDQGPRRQKHZLOOKDYHQRULYDOV1RZ/L/RX could see an autumn hair from the distance of one hundred paces but FRXOGQRWH[FKDQJHKLVH\HVZLWKRWKHUV:X+XRFRXOGOLIWWKHZHLJKW

144 PA RT I I : T H E B O O K O F L O R D S H A N G

of one thousand junEXWFRXOGQRWH[FKDQJHKLVVXSHULRUVWUHQJWKZLWK RWKHUV7KHZRUWKLQHVVRIWKHVDJHLVKLVGLVSRVLWLRQEXWLWFDQQRWEH lent to others. 1RZ DOO WKH SRZHU KROGHUV RI RXU DJH ZDQW WR EH VXSUHPHO\VDJDFLRXV>\HWWKHUHDOL]DWLRQRIWKLVJRDO@LVLQZKDWLVFDOOHG upholding standards. Rejecting standards yet trying to attain orderly rule is like carrying heavy luggage along a distant road without horses RUR[HQRUFURVVLQJDJUHDWULYHUZLWKRXWERDWRURDUV 1RZPXOWLWXGHVRIVXEMHFWVDQGDVWURQJDUP\DUHWKHDVVHWVRI WKHDUFKVDQGPRQDUFKV\HWLIRQHGRHVQRWXWLOL]HFOHDUVWDQGDUGVWR SUHVHUYHWKHPWKLVPHDQVSODFLQJRQHVHOIQH[WGRRUWRGDQJHUDQG UXLQ+HQFHZKHQWKHFOHDUVLJKWHGUXOHUH[DPLQHVWKHVWDQGDUGV DPRQJWKHSHRSOHZLWKLQWKHERUGHUVQRRQHKDVDGHYLDQWDQGH[FHVVLYHKHDUWDOOWKHGULIWLQJDQGUHVLGHQWPHQRIVHUYLFHDUHSUHVVHGLQWR EDWWOHOLQHVDQGWKHP\ULDGSHRSOHDUHIXOO\FRPPLWWHGWRWLOOLQJDQG ˡJKWLQJ +RZGR,NQRZWKDWWKLVLVVR"7KHSHRSOHRI&KXDUHVZLIWLQDUUDQJing ranks and fast like the whirlwind; their steel produced at Wan and iron spears are sharp as wasps and scorpions; their armor made of shark skin and rhinoceros hides is as hard as metal and stone. The WKHPHDQVWRJUDQW@UHZDUGV +HQFHZKHQWKHVDJHH[HUFLVHVRUGHUO\UXOHFRQYLFWVKDYHQRSRVLWLRQLQWKHVWDWHDQGIHORQVKROGQRR˥FH:KHQFRQYLFWVDUHUDQNHG >WRJHWKHUZLWKQREOHPHQ@QREOHPHQGLVUHJDUGWKHLUSRVLWLRQ:KHQ ^IHORQV`ZHDUEURFDGHDQGHDWPHDWSHWW\PHQKRSH>WRJDLQ@VLPLODU EHQHˡWV :KHQ WKH QREOH PHQ GLVUHJDUG WKHLU SRVLWLRQ WKH\ DUH DVKDPHGWRFODLPPHULWVZKHQSHWW\PHQKRSHWRUHDSEHQHˡWVWKH\ are proud of their depravity. So punishments and penalties are to stop WKHYLOODLQVR˥FHVDQGUDQNVDUHWRHQFRXUDJH>JDLQLQJ@PHULWV1RZ LIWKHVWDWHKDVUDQNVEXWWKHSHRSOHDUHDVKDPHGRIWKHPRUZKHQLW HVWDEOLVKHVSXQLVKPHQWVEXWWKHSHRSOHDUHIRQGRIWKHPWKLVPHDQV that the techniques and the methods are in deep trouble. *** +HQFHZKHQWKHQREOHPDQKROGVDXWKRULW\ he establishes techQLTXHV RI UXOH E\ UHFWLI\LQJ >HYHU\WKLQJ@ KH HVWDEOLVKHV R˥FHV DQG PDNHVUDQNHVWHHPHGVRDVWRFRUUHVSRQG>WRR˥FH@KHLQYHVWLJDWHV RQH·VODERUHOHYDWHVWKHPHULWRULRXVDQGWKHQPDNHVWKHDSSRLQWPHQWV Then superior and inferior are balanced. When superior and inferior DUHEDODQFHGWKHQPLQLVWHUVDUHDEOHWRIXOO\FRPPLWWKHLUVWUHQJWK DQGWKHVRYHUHLJQLVDEOHWRPRQRSROL]HWKHKDQGOHVRIDXWKRULW\

7 OPENING THE BLOCKED (開塞)

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+HDYHQDOOVDLG´+HGLGQRWGHSDUW>IURPDSSURSULDWHSXQLVKPHQWV@LQ GHDOLQJZLWKKLV\RXQJHUEURWKHUVVRKRZPXFKOHVVZLOOKHIRUVWUDQJHUV"µ +HQFH $OOXQGHU+HDYHQ NQRZ WKDW ZKHQ WKH NQLIH DQG WKH sawDUHHPSOR\HGDWFRXUWDOOZLWKLQWKHVHDVZLOOEHSURSHUO\UXOHG 7KHUHIRUHLWLVVDLG´&ODULI\LQJSXQLVKPHQWVLVOLNHDUULYLQJDWQR SXQLVKPHQWVµ *** :KDWLVFDOOHG´XQLˡFDWLRQRIWHDFKLQJµLVWKDWQRQHRIWKHVH³WKH EURDGO\HGXFDWHGWKHDUJXPHQWDWLYHWKHNQRZOHGJHDEOHWKHWUXVWZRUWK\WKHKRQHVWWKRVHVNLOOHGDWULWXDODQGPXVLFWKRVHZKRFXOWLYDWH WKHLU FRQGXFW WKRVH ZKR HVWDEOLVK FOLTXHV RU WKRVH ZKR DUH DSSRLQWHG GXH WR WKHLU UHSXWDWLRQ RU >DIWHU@ KDYLQJ UHTXHVWHG DQ audience³ZLOOEHDOORZHGWREHFRPHULFKDQGQREOHWRFULWLFL]HSXQLVKPHQWVRUWRHVWDEOLVKWKHLUSULYDWHRSLQLRQVLQGHSHQGHQWO\DQGVXEmit them to superiors. The solid will be broken; the sharp will be blunted.(YHQLIRQHLVVDJDFLRXVDQGNQRZOHGJHDEOHFUDIW\DQGJOLE WRQJXHGJHQHURXVRUVLPSOHKHVKRXOGQRWEHDEOHWRVHHNEHQHˡWVIURP VXSHULRUVXQOHVVKHKDVPHULW7KXVWKHJDWHVRIULFKHVDQGQRELOLW\DUH H[FOXVLYHO\LQWKHˡHOGRIZDU+HZKRLVDEOHWR>GLVWLQJXLVKKLPVHOIDW@ war will pass through the gates of riches and nobility; he who is stubborn and tenacious will meet with constant punishments and will not be pardoned. 7KHUHIRUH IDWKHUV DQG HOGHU EURWKHUV PLQRU EURWKHUV DFTXDLQWDQFHVUHODWLYHVE\PDUULDJHDQGFROOHDJXHV19DOOVD\´:KDWZHVKRXOG EHGHYRWHGWRLVRQO\ZDUDQGWKDWLVDOOµ+HQFHWKHDEOHERGLHGDUH GHYRWHGWRZDUWKHHOGHUO\DQGLQˡUPDUHGHYRWHGWRGHIHQVHWKHGHDG have nothing to regret; the living are ever more devoted and encourDJHG7KLVLVZKDW,\RXUPLQLVWHUFDOOWKH´XQLˡFDWLRQRIWHDFKLQJµ 7KHSHRSOH·VGHVLUHIRUULFKHVDQGQRELOLW\VWRSVRQO\ZKHQWKHLUFRIˡQLVVHDOHG$QG>HQWHULQJ@WKHJDWHVRIULFKHVDQGQRELOLW\PXVWEH WKURXJKPLOLWDU\>VHUYLFH@7KHUHIRUHZKHQWKH\KHDUDERXWZDUWKH SHRSOHFRQJUDWXODWHHDFKRWKHUZKHQHYHUWKH\PRYHRUUHVWGULQNRU HDWWKH\VLQJDQGFKDQWRQO\DERXWZDU7KLVLVZK\,\RXUPLQLVWHU VD\´&ODULI\LQJWHDFKLQJLVOLNHDUULYLQJDWQRWHDFKLQJµ

200 PA RT I I : T H E B O O K O F L O R D S H A N G

*** 7KHVHDUHZKDW,\RXUPLQLVWHUFDOOWKH´WKUHHWHDFKLQJVµ7KH sage cannot comprehensively understand the essentials of all the myrLDGWKLQJV+HQFHLQRUGHULQJWKHVWDWHKHIRFXVHVRQWKHHVVHQWLDOWR GHDOZLWKWKHP\ULDGWKLQJV7KXVKLVWHDFKLQJVDUHIHZEXWDWWDLQPHQWV DUH PDQ\ 7KH VDJH·V >ZD\ RI@ RUGHULQJ WKH VWDWH LV HDV\ WR XQGHUVWDQGEXWGL˥FXOWWRLPSOHPHQW7KXVWKHVDJHGRHVQRWQHFHVVDULO\DGG>DQ\WKLQJWRWKHH[LVWLQJQRUPV@DQGWKHRUGLQDU\UXOHUGRHV QRWQHFHVVDULO\FDVW>WKHH[LVWLQJQRUPV@DZD\:KHQNLOOLQJWKHSHRSOHLWLVQRWFRQVLGHUHGHYLODQGUHZDUGLQJWKHPLWLVQRWFRQVLGHUHG EHQHYROHQWLWLVEHFDXVHWKHODZRIWKHVWDWHLVFOHDU7KHVDJHJUDQWV R˥FHVDQGEHVWRZVUDQNVDFFRUGLQJWRPHULWKHQFHWKHZRUWK\GRQRW ZRUU\7KHVDJHLVQRWOHQLHQWWRZDUGWUDQVJUHVVLRQVQRUGRHVKHSDUGRQFULPHVKHQFHGHSUDYLW\GRHVQRWDULVH7KHVDJHLQRUGHULQJWKH VWDWHLQYHVWLJDWHVWKH2QHDQGWKDWLVDOO20

18 CHARTING THE POLICIES (畫策)

C

KDSWHU¬LVDODUJHDQGKHWHURJHQHRXVFKDSWHULQGLYLGual sections of which are not directly related to each other. ,WV SULPDU\ IRFXV LV RQ WKH RYHUDUFKLQJ LPSRUWDQFH RI ODZ¬ EXW LW FRQWDLQV PDQ\ DGGLWLRQDO GHSDUWXUHV VRPH RI ZKLFK DUH IDLUO\ LQWHUHVWLQJ )RU LQVWDQFH HQVXULQJ WKH ODZ·V H˥FDF\ UHTXLUHV not just the combination of heavy punishments and inevitable appreKHQVLRQRIWKHFXOSULWV EXWDOVR³XQFKDUDFWHULVWLFDOO\IRUPRVW of the Book of Lord ShangH[FHSWFKDSWHU¬ ³WKHDSSRLQWPHQWRIZRUthy ministers who will facilitate the dissemination of law among the SRSXODFH &KDSWHU¬LVDOVRSHFXOLDULQLWVUHMHFWLRQRIWKHLPSRUWDQFHRIUHZDUGVZKLFKDUHFRQVLGHUHGQDUURZO\DVUHZDUGLQJQRUPDWLYHEHKDYLRU´,WLVXQDFFHSWDEOHWRUHZDUGWKHJRRGLWLVOLNHUHZDUGLQJ WKRVH ZKR GR QRW VWHDOµ   2GGO\ WKH LGHD RI UHZDUGV IRU PHULWRULRXVWLOOHUVDQGˡJKWHUVHVFDSHVWKHDXWKRUV·DWWHQWLRQ &KDSWHU¬VWDUWVE\H[SORULQJWKHLVVXHRIWKHJHQHVLVRIWKHVWDWH ZKLFKZDVDGGUHVVHGPRUHV\VWHPDWLFDOO\LQFKDSWHU¬7KHQDUUDWLYH LQ FKDSWHU¬  LV OHVV WKHRUHWLFDOO\ VRSKLVWLFDWHG DQG PRUH GLUHFWO\ UHODWHGWRWKHOHJHQGDU\SDVW,WVJRDOLVWRUHLWHUDWHWKHLPSRUWDQFHRI FKDQJLQJZLWKWKHWLPHV\HWLWVGL˫HUHQFHIURPFKDSWHU¬LVDFOHDUHU assertion that primeval society enjoyed a pleasant and tranquil life: ´PHQSORZHGWRREWDLQIRRGZRPHQZRYHWRREWDLQFORWKLQJKH>6KHQQRQJ@XVHGQHLWKHUSXQLVKPHQWVQRUUHJXODWLRQV\HWWKHUHZDVRUGHUµ   7KLV SULPHYDO LG\OO LV PRUH DNLQ WR WKH RQH GHSLFWHG LQ WKH

202 PA RT I I : T H E B O O K O F L O R D S H A N G

Zhuangzi>´5REEHU=KLµ@ DQGLWFRQWUDVWVZLWKWKHQHJDWLYHYLHZ of a stateless society found elsewhere in the Book of Lord Shang  PLOLWDU\@ODZDQGGLVREH\RUGHUV\RXZLOOGLHDQG,VKDOOGLH8QGHU WKHFDQWRQ·VFRQWUROWKHUHLVQRSODFHWRˣHHIURPWKHDUP\UDQNVDQG migrantsFDQˡQGQRUHIXJHµ 7RRUGHUWKHDUP\UDQNVOLQNWKHPLQWRˡYHPDQVTXDGVGLVWLQJXLVKWKHPZLWKEDGJHVDQGELQGWKHPZLWKRUGHUV7KHQWKHUHZLOO EHQRSODFHWRˣHHDQGGHIHDWZLOOQHYHUHQVXH7KXVWKHPXOWLWXGHV RIWKHWKUHHDUPLHVZLOOIROORZRUGHUVDV>ZDWHU@ˣRZV>GRZQZDUG@DQG even facing death they will not turn back. *** 7KHVWDWHLVLQWXUPRLOQHLWKHUEHFDXVHLWVODZVDUHLQWXUPRLOQRU EHFDXVHWKHODZVDUHXVHOHVV(YHU\VWDWHKDVODZVEXWWKHUHLVQRODZ to make laws inevitably implementable. Every state has laws that proKLELW YLOODLQ\ DQG ZLFNHGQHVV DQG SXQLVK UREEHUV DQG EDQGLWV EXW WKHUHLVQRODZWKDWPDNHVWKHYLOODLQRXVDQGZLFNHGWKHUREEHUVDQG the bandits inevitably be apprehended. Capital punishments are LQˣLFWHGRQWKHYLOODLQRXVDQGZLFNHGRQUREEHUVDQGEDQGLWVEXWYLOODLQ\ZLFNHGQHVVUREEHU\DQGEDQGLWU\GRQRWVWRSWKLVLVEHFDXVH >SHUSHWUDWRUV@ DUH QRW LQHYLWDEO\ DSSUHKHQGHG :KHQ WKH\ DUH

Charting the Policies 205

LQHYLWDEO\DSSUHKHQGHGDQGVWLOOWKHUHLVYLOODLQ\ZLFNHGQHVVUREEHU\ DQGEDQGLWU\LWLVEHFDXVHSXQLVKPHQWVDUHOLJKW:KHQSXQLVKPHQWV DUHOLJKWQRWDOODUHSURVHFXWHG\HWZKHQDOODUHLQHYLWDEO\DSSUHKHQGHGWKHUHDUHPDQ\SXQLVKPHQWV9 +HQFHKHZKRLVJRRGDWJRYHUQDQFHSXQLVKHVWKHEDGDQGGRHVQRW UHZDUGWKHJRRG,QVXFKDFDVHWKHUHDUHQRSXQLVKPHQWVDQGWKHSHRple are good. When there are no punishments and the people are JRRGWKLVLVEHFDXVHSXQLVKPHQWVDUHKHDY\:KHQSXQLVKPHQWVDUH KHDY\WKHSHRSOHGDUHQRWEUHDN>WKHODZ@+HQFHWKHUHDUHQRSXQLVKPHQWVDQGQRQHDPRQJWKHSHRSOHWUDQVJUHVVHVWKHQWKHHQWLUH VWDWHLVJRRG+HQFHWKHJRRGDUHQRWUHZDUGHG\HWWKHSHRSOHDUHJRRG ,WLVXQDFFHSWDEOHWRUHZDUGWKHJRRGLWLVOLNHUHZDUGLQJWKRVHZKR do not steal.10 +HQFHKHZKRDWWDLQVJRRGRUGHUPDNHV>5REEHU@=KLWUXVWZRUWK\ and how much more Boyi!11 He who is unable to attain good order makes %R\LVXVSLFLRXVDQGKRZPXFKPRUH=KL:KHQWKHSRZHU>RIWKHUXOHU@ PDNHVLWLPSRVVLEOHWREHKDYHZLFNHGO\HYHQ=KLEHFRPHVWUXVWZRUWK\ZKHQWKHSRZHUDOORZVRQHWREHKDYHZLFNHGO\WKHQHYHQ%R\LLV made suspect. *** 6RPHVWDWHVPXOWLSO\RUGHUO\UXOHRWKHUVPXOWLSO\WXUPRLO:KHQ WKHFOHDUVLJKWHGVRYHUHLJQLVDERYHKHH[FOXVLYHO\HOHYDWHVWKHZRUWK\KHQFHPDQDJHPHQWRIWKHODZVLVLQWKHKDQGVRIWKHZRUWK\12 :KHQPDQDJHPHQWRIWKHODZVLVLQWKHKDQGVRIWKHZRUWK\WKHQWKH ODZVDUH>GLVVHPLQDWHG@EHORZDQGWKHXQZRUWK\GDUHQRWWUDQVJUHVV WKLVLVFDOOHG´WRPXOWLSO\RUGHUO\UXOHµ:KHQDUXOHUDERYHLVQRWFOHDU VLJKWHG KH H[FOXVLYHO\ HOHYDWHV WKH XQZRUWK\ WKH VWDWH ODFNV FOHDU ODZVDQGWKHXQZRUWK\GDUHWRWUDQVJUHVVWKLVLVFDOOHG´WRPXOWLSO\ WXUPRLOµ ,QWKHDUP\VRPHPXOWLSO\VWUHQJWKVRPHPXOWLSO\ZHDNQHVV:KHQ WKHSHRSOHˡUPO\ZDQWWRˡJKWLQZDUDQGDOVRKDYHQRFKRLFHEXWWR ˡJKWWKLVLVFDOOHG´WRPXOWLSO\VWUHQJWKµ:KHQWKHSHRSOHUHVROXWHO\ GRQRWZDQWWRˡJKWDQGDOVRDUHDEOHWRHVFDSHˡJKWLQJWKLVLVFDOOHG ´WRPXOWLSO\ZHDNQHVVµ

206 PA RT I I : T H E B O O K O F L O R D S H A N G

***  7KH FOHDUVLJKWHG VRYHUHLJQ GRHV QRW HQULFK DQG HQQREOH KLV PLQLVWHUVH[FHVVLYHO\:KDWLVFDOOHG´ULFKHVµGRHVQRWUHIHUWRJUDLQ ULFHSHDUOVDQGMDGHZKDWLVFDOOHG´QRELOLW\µGRHVQRWUHIHUWRUDQNV SRVLWLRQVR˥FHVDQGGXWLHV>:KHQWKHUXOHU@GLVFDUGVODZVDQGFUHDWHVSULYDWHUDQNVDQGHPROXPHQWV>WKLVLVZKDW,UHIHUWRDV@´ULFKHV DQGQRELOLW\µ 7KHVRYHUHLJQGRHVQRWH[FHHGRWKHUVLQKLVYLUWXRXVFRQGXFWKH GRHVQRWH[FHHGRWKHUVLQNQRZOHGJHQRUGRHVKHVXUSDVVRWKHUVLQ FRXUDJHDQGVWUHQJWK1RQHWKHOHVVHYHQWKHVDJDFLRXVDQGWKHNQRZOedgeable from among the people dare not plot against you; the courageous and the strong dare not kill you; the multitudes dare not overpower their sovereign. Although the people are numbered in myrLDGVRQFHKHIW\UHZDUGVDUHSXEOLFL]HGWKHSHRSOHGDUHQRWFRQWHQG RQFHKHDY\SHQDOWLHVDUHLPSOHPHQWHGWKHSHRSOHGDUHQRWUHVHQWWKLV >LVWKHSURSHULPSOHPHQWDWLRQRI@WKHODZ The state is disordered when the people have too much private justice; the army is weak when the people have too much private courDJH7KXVWKHGXHWREHGLVPHPEHUHGVWDWHKDVPXOWLSOHZD\VWKURXJK which ranks and emoluments can be obtained; the customs of the due-to-perish state are to disdain ranks and to think lightly of emoluPHQWV7KRVHZKRGRQRWZRUNEXWHDWZKRGRQRWˡJKWEXWDWWDLQJORU\ ZKRKDYHQRUDQNEXWDUHUHVSHFWHGZKRKDYHQRHPROXPHQWEXWDUH ULFKZKRKDYHQRR˥FHEXWOHDG³WKHVHDUHFDOOHG´YLOODLQVµ *** ´$ZHOOUXOLQJVRYHUHLJQKDVQROR\DOPLQLVWHUVDNLQGIDWKHUKDV QRˡOLDOVRQVµWKLVPHDQVWKDWWKH\GRQRWUHVRUWWRJRRGZRUGVEXW VXSHUYLVH>PLQLVWHUVDQGVRQV@DFFRUGLQJWRWKHODZDQGFRUUHFWWKHP WKURXJKRUGHUV>7KXV@QRRQHFDQHLWKHUWUDQVJUHVVRUMRLQRWKHUVLQ transgressing. ´+HZKRLVZHDOWK\µKDVSOHQW\RILQFRPHDQGIHZH[SHQGLWXUHV :KHQWKHUHDUHUHJXODWLRQVIRUJDUPHQWVDQGIRRGZKHQIRRGDQG GULQNVDUHPHDVXUHGWKHQH[SHQGLWXUHVDUHIHZ:KHQZRPHQ·VD˫DLUV

Charting the Policies 207

DUHIXOO\PDLQWDLQHGZLWKLQ>WKHKRXVHKROG@DQGPHQ·VD˫DLUVDUHIXOO\ PDLQWDLQHGRXWVLGHLQFRPHLVSOHQWLIXO ´+HZKRLVFOHDUVLJKWHGµVHHVHYHU\WKLQJVRWKDWWKHPLQLVWHUVGDUH not behave villainously and the hundred clans dare not transgress. +HQFHWKHUXOHUUHVWVRQDFRPIRUWDEOHEHGDQGOLVWHQVWRWKHVRXQGVRI VLONDQGEDPERR>PXVLFDOLQVWUXPHQWV@ZKLOH$OOXQGHU+HDYHQLVZHOO ordered.:KDWLVFDOOHG´FOHDUVLJKWHGµPHDQVFDXVLQJWKHSHRSOHWR EHXQDEOHQRWWRSHUIRUP>ZKDWLVUHTXLUHG@ ´+HZKRLVVWURQJµRYHUSRZHUV$OOX QGHU+HDYHQ2YHUSRZHULQJ $OOX QGHU+HDYHQLVGXHWRFRPELQLQJ>LWV@VWUHQJWK7KHUHIRUHWKH courageous and strong dare not act violently; the sage and the knowlHGJHDEOHGDUHQRWFKHDWDQGVHHNHPSOR\PHQWGXHWRHPSW\>UHSXWDWLRQ@19 He unites the multitudes of All-under-Heaven: hence none dares QRWEXWWRSHUIRUPZKDWHYHU>WKHSRZHUIXOUXOHU@OLNHVRUDYRLGZKDWHYHU>WKHUXOHU@GHWHVWV´+HZKRLVVWURQJµOHWVWKHFRXUDJHRXVDQG SRZHUIXOWREHXQDEOHQRWWRVHUYHKLP,IKLVGHVLUHVDUHVDWLVˡHG$OO XQGHU+HDYHQDVVLVWVKLPLIWKH\DUHQRWVDWLVˡHG$OOXQGHU+HDYHQ >LVVWLOO@IRQGRIKLP20+HZKRUHOLHVRQ$OOXQGHU+HDYHQ$OOXQGHU Heaven abandons him; he who relies on himself will attain All-under+HDYHQ+HZKRDWWDLQV$OOXQGHU+HDYHQLVWKHRQHZKRLVˡUVWDEOH to attain himself; he who overpowers a strong enemy is the one who is ˡUVWDEOHWRRYHUSRZHUKLPVHOI21 *** 7KHVDJHXQGHUVWDQGVWKHSULQFLSOHRIZKDWLVLQHYLWDEO\VRDQG WKHSRZHURIWLPHO\LQHYLWDEOHDFWLRQ+HQFHKHLPSOHPHQWVWKHJRYHUQPHQW WKDW ZLOO LQHYLWDEO\ EULQJ RUGHUO\ UXOH KH ˡJKWV XVLQJ WKH people who are inevitably courageous; he issues orders that will inevLWDEO\ EH KHHGHG +HQFH ZKHQ KLV DUP\ LV GLVSDWFKHG LW KDV QR ULYDOVZKHQKLVRUGHUVDUHLVVXHG$OOXQGHU+HDYHQVXEPLWVDQGIROORZV KLP $ \HOORZ FUDQH RQFH LW ULVHV ˣLHV IRU RQH WKRXVDQG li EHFDXVH LW LV HTXLSSHG ZLWK ZKDW PDNHV LW LQHYLWDEO\ ˣ\ 7KH WKRUoughbreds Lili and Juju cover one thousand li a day because they have WKH SRZHU WKDW PDNHV WKHP LQHYLWDEO\ UXQ 7LJHUV OHRSDUGV EHDUV and brown bears are unmatched in their ferocity because they possess

208 PA RT I I : T H E B O O K O F L O R D S H A N G

the principle of inevitable victory. The sage observes the fundamentals of government and understands the principle of what is inevitaEO\VRKHQFHKHFDQUHJXODWHWKHSHRSOHDVLIUHJXODWLQJWKH>ˣRZRI@ ZDWHUIURPKLJKWRORZRUUHJXODWLQJWKH>VKLIWRI@ˡUHIURPZHWWRGU\ +HQFHLWLVVDLG´7KHEHQHYROHQWFDQEHKDYHEHQHYROHQWO\WRZDUG others but cannot cause them to behave benevolently; the righteous FDQORYHRWKHUVEXWFDQQRWFDXVHRWKHUVWREHORYLQJµ22)URPWKLV,NQRZ WKDWEHQHYROHQFHDQGULJKWHRXVQHVVDUHLQVX˥FLHQWWRUXOH$OOXQGHU Heaven. The sage possesses the nature of being inevitably trusted and also possesses the method of making All-under-Heaven trust him. :KDWLVFDOOHG´ULJKWHRXVQHVVµLVZKHQPLQLVWHUVDUHOR\DODQGVRQV ˡOLDOWKHUHDUHULWHVEHWZHHQWKH\RXQJDQGWKHROGDQGGLVWLQFWLRQV EHWZHHQPHQDQGZRPHQUHDO@ULJKWHRXVQHVV:KHQWKH KXQJU\FDQQRWJHWIRRGLPSURSHUO\ZKHQWKHG\LQJFDQQRWJHWOLIH improperly: this is the constancy of the law. Sage kings did not esteem ´ULJKWHRXVQHVVµEXWHVWHHPHGWKHODZODZVPXVWEHFOHDURUGHUVPXVW EHLPSOHPHQWHG³DQGWKDWLVDOO

19 WITHIN THE BORDERS (境内)

C

KDSWHU¬LVDVLQJXODUO\LPSRUWDQWWHVWLPRQ\WRWKHIXQFWLRQLQJRI6KDQJHQHP\@WKHUHGXFWLRQLVUHYRNHG)RUHYHU\ˡIW\PHQWKHUHLVDSODWRRQ OHDGHU IRU HYHU\ KXQGUHG PHQ D FHQWXULRQ ,Q EDWWOH FHQWXULRQV DQG SODWRRQOHDGHUVDUHQRWDOORZHGWRFXWR˫KHDGV>LQGLYLGXDOO\@ZKHQ>WKH EDWWDOLRQ" @JHWVWKLUW\WKUHHKHDGVDQGPRUHWKH\KDYHIXOˡOOHGWKH TXRWDDQGWKHSODWRRQOHDGHUVDQGFHQWXULRQVDUHJUDQWHGRQHUDQN9 *** $FRPPDQGHURIˡYHKXQGUHG>EXVKHO@UDQN10>LVJXDUGHGE\@ˡIW\ men with short combat weapons.11$FRPPDQGHURIWZRˡYHKXQGUHG UDQNFRPPDQGHUVLVDFKLHIJHQHUDOKH>LVJXDUGHGE\@E\RQHKXQdred short-weapon bearers. A one-thousand-bushel magistrate12 has one hundred men with short combat weapons. An eight-hundredbushel magistrate has eighty men with short combat weapons. A seven-hundred-bushel magistrate has seventy men with short combat ZHDSRQV$VL[KXQGUHGEXVKHOPDJLVWUDWHKDVVL[W\PHQZLWKVKRUW FRPEDWZHDSRQV$Q>HQIHR˫HGFRPPDQGHU\" @FRPPDQGDQW has one thousand men with short combat weapons. The generalissimo has four thousand men with short combat weapons. When during the battle >DFRPPDQGHU@LVNLOOHGKLVVKRUWZHDSRQJXDUGLDQVDUHUHGXFHG>LQ UDQN@WKRVHZKRDUHDEOHWRDWWDLQRQHHQHP\·VKHDGWKHLUUDQNLVWR be restored.

212 PA RT I I : T H E B O O K O F L O R D S H A N G

*** ,QDWWDFNLQJDEHVLHJHGIRUWUHVV>DQDUP\@WKDWLVDEOHWRFXWR˫ HLJKWWKRXVDQGKHDGVDQGPRUHKDVIXOˡOOHGWKHTXRWD,QDEDWWOHLQ DQRSHQˡHOG>DQDUP\@WKDWLVDEOHWRFXWR˫WZRWKRXVDQGKHDGVDQG PRUHKDVIXOˡOOHGWKHTXRWD As for the personnel from the rank of cao and [LDR and higher: the generalissimo rewards all the personnel from the army ranks.19 Those whose rank was gongshi ˡUVW UDQN  become shangzaoVHFRQGUDQN WKRVHZKRVHUDQNZDVshangzao become zanniaoWKLUGUDQN ^WKRVHZKRVHUDQNZDVzanniao`20 become bugeng IRXUWKUDQN 7KRVHZKRVHUDQNZDV^bugengEHFRPH`21 dafuˡIWKUDQN  7KRVHZKRUDQNDVR˥FHUVDQGDFWDVFRPPDQGDQWVRIDFRXQW\DUH JUDQWHGVL[SULVRQHUVDVWKHLUVODYHVDQGLQFDVK22 Those who rank as dafu and are employed by the state become guan dafuVL[WKUDQN ^7KRVHZKRVHUDQNZDVguan dafu` become gong dafuVHYHQWKUDQN 7KRVHZKRVHUDQNZDVgong dafu become gong sheng HLJKWKUDQN ^7KRVHZKRVHUDQNZDVgong sheng` become wu dafu QLQWKUDQN DQGFDQWKHQXWLOL]HWD[HVIURPWKHVHWWOHPHQWVRIWKUHH hundred families. Those whose rank was wu dafu ^EHFRPH OHIW DQG right shuzhang WHQWK DQG HOHYHQWK UDQN  Those who were left and right shuzhang become left gengWZHOIWKUDQN WKRVHZKRZHUHRQHRI the three gengWZHOIWKWRIRXUWHHQWKUDQN  become great liangzao ˡIWHHQWKUDQN `29 each of these is granted settlements of three hunGUHG IDPLOLHV DQG WD[HV IURP WKUHH KXQGUHG IDPLOLHV Those who rank wu dafu>"@HQMR\WD[HVIURPVL[KXQGUHGIDPLOLHVDQGFDQUDLVH retainers.7KHJHQHUDOLVVLPRKLVFKDULRWHHUDQGWKHWKLUGPHPEHURI WKH FKDULRW WHDP DUH JUDQWHG WKUHH UDQNV· SURPRWLRQ 7KRVH ZKR were guest-minister chancellors become regular ministers if the TXRWDLVIXOˡOOHG *** $IWHUWKHEDWWOHZKHQ>VHYHUHG@KHDGVDUHH[SRVHG  they are FKHFNHGIRUWKUHHGD\VLIWKHJHQHUDOKDVQRGRXEWVKHGHOLYHUVUDQNV RIPHULWWRVROGLHUVDQGR˥FHUV^$VIRUGHOLYHULQJUDQNVRIPHULWLI WKLVZDVQRWGRQHDIWHU>WKHKHDGV@ZHUHKXQJIRUWKUHHGD\V`WKHIRXU

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213

subcommandants of the county^VKRXOGEHGLVPLVVHG` and the counW\·VDVVLVWDQWPDJLVWUDWHDQGFRPPDQGDQWVKRXOGEHˡQHG+HZKRLV able to attain one head of an armored soldier should be promoted one UDQNKLVˡHOGVKRXOGEHLQFUHDVHGE\RQHqing; his house plot should be increased by nine mu)RUHYHU\UDQNKHLVJUDQWHGWKHULJKWWR DSSRLQWRQHUHWDLQHUDQGWKHQKHLVDOORZHGWREHFRPHDPLOLWDU\RU FLYLOLDQR˥FLDO *** 7KHUXOHVIRUOLWLJDWLRQDPRQJWKHP>WKHUDQNKROGHUV@DKROGHURI higher rank investigates holders of lower ranks. When a person has his KLJKUDQNDEROLVKHGKH>VWLOO@VKRXOGQRWEHJLYHQDVDVODYHRUVHUYDQW IRUDUDQNHGSHUVRQ)URPWKHVHFRQGUDQNXSZDUGLIWKH\>WKHUDQN KROGHUV@KDYHFRPPLWWHGDSXQLVKDEOHFULPHWKHLU>UDQN@VKRXOGEH GHFUHDVHGIRUWKHKROGHUVRIWKHˡUVWUDQNDQGEHORZLIWKH\KDYHFRPPLWWHGDSXQLVKDEOHFULPHWKHLUUDQNVKRXOGEHDEROLVKHG *** :KHQDQXQUDQNHGLQIHULRUGLHVRUZKHQLWKDSSHQVWRHYHU\RQH up to the dafuUDQNIRUHDFKUDQNWKH\VKRXOGEHDOORZHGWRSODQWRQH tree on their tomb. *** :KHQDIRUWUHVVLVDWWDFNHGRUDVHWWOHPHQWLVHQFLUFOHGWKH6WDWH 0LQLVWHURI:RUNVH[DPLQHVWKHEUHDGWKDQGWKHZLGWKRIWKHZDOOWKH State Commandant divides [LDR and tu soldiers for every square foot and RUGHUV>WKHP@WRDWWDFN+Hˡ[HVWKHWLPHDQGVD\V´7KRVHZKRDUHWKH ˡUVWWRVXFFHHGZLOOEHFRQVLGHUHGWKHEHVWRIWKHYDQJXDUGWKRVHZKR are the last will be censured as the worst of the rear; those who are WZLFHFHQVXUHGZLOOEHGLVPLVVHGµ 7KH\GLJWXQQHOV>EHQHDWKWKHZDOOV@DQGSLOHˡUHZRRGZKHQˡUHZRRGLVSLOHGLWLVEXUQHG$WHYHU\VLGHRIWKHZDOOHLJKWHHQVDSSHUV VKRXOGEHSODFHG7KHVDSSHUVˡJKWYDOLDQWO\EXWDUHQRWSHUPLWWHGWR

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FXWR˫KHDGVLIˡYHPHPEHUVRIWKHWHDPVXFFHHGLQSHQHWUDWLQJ>WKH IRUWUHVV@WKHQHYHU\VDSSHULVUHZDUGHGRQHUDQNLIKHGLHVLW>KLV UDQN@LVWUDQVIHUUHGWRRQHRIKLVKHLUV,I>WKHVDSSHUV@DUHDIUDLGRI GHDWKDWKRXVDQGSHRSOHJDWKHUDURXQGWKHPWKH\DUHDGPRQLVKHG DQGWKHQSXQLVKHGEHQHDWKWKHZDOOVE\WDWWRRLQJDQGWKHFXWWLQJR˫ of their noses. 7KH6WDWH&RPPDQGDQWGLYLGHVDUHDV>IRUDWWDFN@DQGDVVDXOWVWKHP with the troops of the central army. The general creates a wooden platform and observes the operation together with the Chief Supervisor DQG*HQHUDORU5R\DO" ,QVSHFWRU7KRVHZKRDUHWKHˡUVWWREUHDNLQWR >WKHIRUWUHVV@DUHGHVLJQDWHGWKHEHVWRIWKHYDQJXDUGWKRVHZKRDUH the last to enter are designated the worst of the rear. As for the sapSHUVWKHLUUDQNVDUHIXOO\ˡOOHGE\YROXQWHHUV if there are not enough YROXQWHHUVWKH\DUHVXSSOHPHQWHGE\WKRVHZKRZDQWSURPRWLRQV

21 PROTECTING FROM ROBBERS (禦盜)

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22 EXTERNAL AND INTERNAL (外内)

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KH VKRUW FKDSWHU¬  UHLWHUDWHV WKH PDMRU PHVVDJH RI WKH ERRNWKHVWDWH·VSULPDU\JRDOLVWRWXUQLWVSRSXODWLRQLQWR VROGLHUVDEURDGDQGIDUPHUVDWKRPH7KHH[WHUQDOWDVN³ WKDWLVWHUULWRULDOH[SDQVLRQ³FDQEHDFKLHYHGWKURXJKWKHSURSHUXWLOL]DWLRQRIUHZDUGVDQGSXQLVKPHQWVZLWKWKHIRUPHUJLYHQDVWURQJHU HPSKDVLV 7KHLQWHUQDOWDVN³ˡOOLQJLQWKHJUDQDULHV³VKRXOGEH achieved primarily through an economic assault on the merchants: by UDLVLQJWD[HVDQGOHYLHVRQWKHPDQGE\SXVKLQJXSIRRGSULFHVWKH UXOHUZLOOGLPLQLVKWKHPHUFKDQWV·SURˡWVDQGLQFUHDVHWKHIDUPHUV· LQFRPH´7KHQWKHSHRSOHZLOOKDYHWRFDVWDZD\>WKHRFFXSDWLRQVRI@ merchants and peddlers and crafty and tricky people and engage in SURˡWLQJIURPWKHVRLOµ 7KHUHVXOWZLOOEHWKHHQULFKPHQWDQG empowerment of the state en route to turning the ruler into the new 7UXH0RQDUFK  *** $PRQJWKHSHRSOH·VH[WHUQDOWDVNVQRWKLQJLVPRUHGL˥FXOWWKDQ ZDUKHQFHKHZKRWDNHVODZOLJKWO\FDQQRWFDXVHWKHP>WRHQJDJHLQ@ LW:KDWLVFDOOHG´WDNLQJODZOLJKWO\µ",WPHDQVWKDWUHZDUGVDUHIHZ DZHLVPHDJHUDQGH[FHVVLYHZD\VDUHQRWEORFNHG:KDWDUHFDOOHG ´H[FHVVLYH ZD\Vµ" ,W PHDQV WKDW WKH DUJXPHQWDWLYH DQG FOHYHU DUH HVWHHPHGLWLQHUDQWVHUYDQWVDUHHPSOR\HGPHQRIOHWWHUVDQGWKRVH

External and Internal

217

who have privately established a name are deemed illustrious.1 When WKHVHWKUHHDUHQRWEORFNHGWKHSHRSOHGRQRWHQJDJHLQZDUDQGXQGHUWDNLQJV HQG LQ GHIHDW 7KXV ZKHQ UHZDUGV DUH IHZ WKRVH ZKR KHHG >RUGHUV@GRQRWEHQHˡWZKHQDZHLVPHDJHUWKRVHZKRYLRODWH>RUGHUV@ DUHQRWKDUPHG+HQFHWRDWWUDFW>VXEMHFWV@E\RSHQLQJH[FHVVLYHZD\V and to let them wage war while taking law lightly are like making a cat EDLWIRUDUDW,VLWQRWWRRPXFK" +HQFHKHZKRZDQWVWRHQDEOHKLVSHRSOHWRZDJHZDUPXVWWDNHODZV VHULRXVO\+LVUHZDUGVPXVWEHDEXQGDQW>KLV@DZHPXVWEHVHYHUH H[FHVVLYHZD\VPXVWEHEORFNHGWKHDUJXPHQWDWLYHDQGFOHYHUVKRXOG QRWEHHVWHHPHGLWLQHUDQWVHUYDQWVVKRXOGQRWEHHPSOR\HGPHQRIOHWters and those who have privately established a name should not be LOOXVWULRXV:KHQUHZDUGVDUHDEXQGDQWDQGDZHLVVHYHUHWKHSHRSOH VHHWKDWKHZKR>H[FHOV@DWZDULVDEXQGDQWO\UHZDUGHGDQGWKH\IRUJHWDERXWGHDWKWKH\VHHWKDWWKRVHZKRGRQRWˡJKWDUHGHJUDGHGDQG then regard life with bitterness. When rewards cause them to forget DERXWGHDWKZKLOHDZHFDXVHVWKHPWRUHJDUGOLIHZLWKELWWHUQHVVDQG PRUHRYHUH[FHVVLYHZD\VDUHEORFNHGWRIDFHWKHHQHP\LQWKLVVLWXDWLRQ LV OLNH VKRRWLQJ DW D ˣRDWLQJ OHDI ZLWK D KXQGUHGshi-capacity FURVVERZ³+RZFDQLWQRWEHSLHUFHG2WKURXJK" *** $PRQJWKHSHRSOH·VLQWHUQDOWDVNVQRWKLQJLVPRUHELWWHUWKDQ IDUPLQJKHQFHKHZKRWDNHVRUGHUO\UXOHOLJKWO\ZRXOGQHYHUFDXVH WKHSHRSOHWRHQJDJHLQLW:KDWLVFDOOHG´WDNLQJRUGHUO\UXOHOLJKWO\µ" ,W PHDQV WKDW RQH·V IDUPHUV DUH SRRU ZKHUHDV PHUFKDQWV DUH ULFK KHQFHDVIRRGLVFKHDSPRQH\LVYDOXDEOH:KHQIRRGLVFKHDSIDUPHUV DUH SRRU ZKHQ PRQH\ LV YDOXDEOH PHUFKDQWV DUH ULFK :KHQ EUDQFK RFFXSDWLRQVDUHQRWIRUELGGHQWKHQFUDIW\DQGWULFN\SHRSOHEHQHˡW DQG´SHULSDWHWLFHDWHUVµPXOWLSO\,QWKLVFDVHIDUPHUVZKRXVHWKHLU force in the bitterest way still cannot compare with merchants and peddlers or crafty and tricky people. ,I\RXFDQFDXVHPHUFKDQWVDQGSHGGOHUVDQGFUDIW\DQGWULFN\SHRSOHQRWWRSURVSHUWKHQHYHQLI\RXGRQRWZDQWWRHQULFKWKHVWDWH\RX ZLOOQRWEXWDWWDLQWKDW+HQFHLWLVVDLG´+HZKRZDQWVWKHIDUPHUVWR

218 PA RT I I : T H E B O O K O F L O R D S H A N G

HQULFKKLVVWDWHPDNHVIRRGZLWKLQWKHERUGHUVH[SHQVLYH+HPXVW LPSRVHPXOWLSOHWD[HVRQWKRVHZKRGRQRWIDUPDQGKHDY\OHYLHVRQ SURˡWVIURPWKHPDUNHWVµ7KHQWKHSHRSOHZLOOKDYHWRZRUNLQWKH ˡHOGV7KRVHZKRGRQRWZRUNLQWKHˡHOGVZLOOKDYHWRH[FKDQJH>WKHLU SURGXFWV@IRUIRRGZKHQIRRGLVH[SHQVLYHWKRVHZKRZRUNLQWKHˡHOGV EHQHˡW:KHQZRUNLQJLQWKHˡHOGVEULQJVEHQHˡWWKHQWKRVHZKR HQJDJHLQLWDUHPDQ\:KHQIRRGLVH[SHQVLYHDQGSXUFKDVLQJLWLVQRW SURˡWDEOHDQGLQDGGLWLRQ>LW@LVKHDYLO\WD[HGWKHQWKHSHRSOHZLOOKDYH WRFDVWDZD\>WKHRFFXSDWLRQVRI@PHUFKDQWVDQGSHGGOHUVDQGFUDIW\ DQGWULFN\SHRSOHDQGHQJDJHLQSURˡWLQJIURPWKHVRLO7KXVWKHSHRSOH·VVWUHQJWKLVIXOO\FRPPLWWHGWRWKHVRLODORQH *** 7KHUHIRUHKHZKRUXOHVWKHVWDWHOHWVEHQHˡWVDWWKHERXQGDULHV FRPHH[FOXVLYHO\IURPWKHPLOLWDU\DQGEHQHˡWVDWWKHPDUNHWVFRPH H[FOXVLYHO\ IURP IDUPLQJ +H ZKRVH EHQHˡWV DW WKH ERXQGDULHV FRPH¬H[FOXVLYHO\IURPWKHPLOLWDU\LVVWURQJKHZKRVHEHQHˡWVDWWKH PDUNHWVFRPHH[FOXVLYHO\IURPIDUPLQJLVULFK7KXVZKHQH[WHUQDOO\ \RX DUH VWURQJ ZKHQ ZDJLQJ ZDU DQG LQWHUQDOO\ \RX DUH ULFK ZKHQ >WKHDUP\@LVDWUHVW\RXVKDOOEHFRPHWKH>7UXH@0RQDUFK

23 RULER AND MINISTERS (君臣)

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KDSWHU¬LVDQRWKHUVKRUWFKDSWHUWKDWDJDLQUHPLQGVWKH reader of the need to maintain rewards and promotions in DZD\WKDWEHQHˡWVWLOOHUVDQGVROGLHUVDQGSUHYHQWVWKH UHVWIURPDVFHQGLQJWKHVRFLDOODGGHU:KHQ´WKRVHZKRVWDUHDQJULO\ FOHQFKWKHLUˡVWVDQGVSHDNDERXWEUDYHU\µ´WKRVHLQIUHHO\IDOOLQJ UREHV ZKR GHEDWH GRFWULQHVµ DQG ´WKRVH ZKR VSHQG GD\ DIWHU GD\ H[SHQGLQJWKHLUODERUDWSULYDWHJDWHVµ DUHEORFNHGIURPDWWDLQLQJUDQNVDQGHPROXPHQWVWKHSHRSOHZLOOWXUQWRDJULFXOWXUHDQG warfare. This chapter is the third in the book that narrates the emergence of WKHVWDWHEXWWKHQDUUDWLYHKHUHGL˫HUVFRQVLGHUDEO\IURPWKDWRIFKDSWHUV¬DQGDQGUHVHPEOHVWKHPRUHVLPSOLVWLFVWRULHVVHHQIRUH[DPSOHLQWKHMozi,,²>´6KDQJWRQJVKDQJµ尚同上@ DQGWKH Guanzi;,>´-XQFKHQ[LDµ君臣下@ 1DPHO\WKHVWDWHOHVVVRFLHW\ZDV´LQWXUPRLODQGGLVRUGHUHGµ DQGLWLVRQO\WKURXJKWKH blessed intervention of the sages that it attained political and social RUGHU,QGLVWLQFWLRQIURPRWKHULQYRFDWLRQVRISUHVWDWHVRFLHW\LQWKH Book of Lord ShangWKHQDUUDWLYHLQFKDSWHU¬GRHVQRWHPSKDVL]HWKH PDJQLWXGHRIFKDQJHVLQWKHSDVWRUPXWDWLVPXWDQGLVLQWKHSUHVHQW  but rather uses the story of state formation to validate mechanisms of FRQWUROVXFKDV´GXWLHVRIUXOHUDQGPLQLVWHUVVXSHULRUVDQGLQIHULRUVµ ´DOORFDWLRQRIWKHˡYHR˥FHVµ´SURKLELWLRQVRIODZVDQGUHJXODWLRQVµ

220 PA RT I I : T H E B O O K O F L O R D S H A N G

 7KHVHPHFKDQLVPVDUHHVVHQWLDOIRUWKHVWDWH·VVXUYLYDOWKH\DUH QRWWREHPRGLˡHGEXWUDWKHUWREHSURSHUO\PDLQWDLQHG *** ,QWKHSDVWZKHQWKHUHVWLOOZHUHQHLWKHUUXOHUDQGPLQLVWHUVQRU VXSHULRUVDQGLQIHULRUVWKHSHRSOHZHUHLQWXUPRLODQGGLVRUGHUHG 7KHUHIRUHWKHVDJHVDUUD\HGWKHQREOHDQGWKHEDVHUHJXODWHGUDQNV DQGSRVLWLRQVHVWDEOLVKHGWLWOHVDQGGHVLJQDWLRQVVRDVWRGLVWLQJXLVK WKHGXWLHVRIWKHUXOHUDQGWKHPLQLVWHUVVXSHULRUVDQGLQIHULRUV$V WKHODQGZDVYDVWWKHSHRSOHQXPHURXVDQGWKHP\ULDGWKLQJVSOHQWLIXOWKH\DOORFDWHGˡYHR˥FHVWRSUHVHUYHWKHP$VWKHSHRSOHPXOWLSOLHG DQG YLOODLQ\ DQG ZLFNHGQHVV ZHUH ERUQ >WKH VDJHV@ HVWDEOLVKHGODZVDQGUHJXODWLRQVPDGHPHDVXUHVDQGZHLJKWVWRSURKLELW >WUDQVJUHVVLRQV@ 7KHUHIRUHRQHPXVWEHFDXWLRXVDERXWWKHGXWLHVRIUXOHUDQGPLQLVWHUVVXSHULRUVDQGLQIHULRUVDERXWWKHDOORFDWLRQRIWKHˡYHR˥FHV DQGDERXWWKHSURKLELWLRQVRIODZVDQGUHJXODWLRQV,I\RXRFFXS\WKH UXOHU·VSRVLWLRQEXW\RXURUGHUVDUHQRWLPSOHPHQWHG\RXDUHHQGDQJHUHGLIWKHˡYHR˥FHVDUHDOORFDWHGEXWWKHUHDUHQRFRQVWDQW>UXOHV WRJRYHUQWKHP@WKHUHLVWXUPRLOLIODZVDQGUHJXODWLRQVDUHHVWDEOLVKHGEXWSULYDWHJRRGQHVVLVSXWIRUWKWKHSHRSOHDUHQRWLQDZHRI SXQLVKPHQWV:KHQWKHUXOHULVUHVSHFWHGKLVRUGHUVDUHLPSOHPHQWHG ZKHQR˥FHVDUHUHJXODWHGWKH\KDYHFRQVWDQWWDVNVZKHQODZVDQG UHJXODWLRQV DUH FOHDU WKH SHRSOH DUH LQ DZH RI SXQLVKPHQWV ,I ODZV DQG¬UHJXODWLRQVDUHQRWFOHDURQHFDQQRWH[SHFWWKHSHRSOHWRLPSOHPHQW RUGHUV ,I WKH SHRSOH GR QRW IROORZ RUGHUV \HW \RX H[SHFW WKH UXOHUWREHUHYHUHGWKHQHYHQLI\RXDUHDVSHUFHSWLYHDVDQG@EHVWRZVUHZDUGVDFFRUGLQJWR PHULW,QJHQHUDOWKHSHRSOHDUHYLJRURXVDWZDUDQGGRQRWVKXQGHDWK because they seek ranks and emoluments. When the clear-sighted ruler

Ruler and Ministers

221

JRYHUQVKLVVWDWHWKRVHRIKLVVROGLHUVZKRKDYHWKHPHULWRIFXWWLQJ R˫>WKHHQHP\·V@KHDGVDQGFDSWXULQJSULVRQHUVZLOOVXUHO\KDYHDUDQN WKDWLVVX˥FLHQWO\KRQRUHGDQGHPROXPHQWVWKDWVX˥FHWROLYHRQ :KHQIDUPHUVGRQRWOHDYHWKHLUSORWVWKH\VKRXOGKDYHHQRXJKWR QRXULVKERWKSDUHQWVDQGWRSURYLGHIRUPLOLWDU\D˫DLUV+HQFHVROGLHUV EUDYHGHDWKIRUWKHVDNHRIQRUPVDQGIDUPHUVDUHQRWLQGROHQW *** WKHLU@EDFNRQPHULWVDQG>DGYDQFHWKHLU VXEMHFWV@DFFRUGLQJWRUHSXWDWLRQ+HQFHVROGLHUVGRQRWˡJKWDQG IDUPHUVGULIWDURXQG,\RXUPLQLVWHUKDYHKHDUGWKHJDWHRIGLUHFWLQJWKHSHRSOHLVWKURXJKZKDWWKHUXOHUSURPRWHV7KXVWKHSHRSOH FDQEHLQGXFHGWRWLOODQGˡJKWFDQEHLQGXFHGWREHFRPHLWLQHUDQWVHUYDQWVDQGFDQEHLQGXFHGWRVWXG\LWDOOGHSHQGVRQKRZVXSHULRUV1 JUDQW WKHP >UDQNV DQG HPROXPHQWV@ ,I VXSHULRUV JUDQW WKHVH LQ H[FKDQJHIRUPHULWDQGWRLOWKHSHRSOHJRWRZDULIWKH\JUDQWWKHP IRU>VWXG\LQJ@Poems and DocumentsWKHSHRSOHVWXG\7KHSHRSOHIROORZDIWHUEHQHˡWDVZDWHUˣRZVGRZQZDUGLWKDVQRSUHIHUHQFHDPRQJ the four directions.27KHSHRSOHGRRQO\ZKDWHYHUEULQJVWKHPEHQHˡW DQGWKHEHQHˡWLVJUDQWHGE\VXSHULRUV :KHQ >UDQNV DQG HPROXPHQWV@ DUH DWWDLQHG E\ WKRVH ZKR VWDUH DQJULO\FOHQFKWKHLUˡVWVDQGVSHDNDERXWEUDYHU\ZKHQWKH\DUH attained by those in freely falling robes who debate doctrines; when WKH\DUHDWWDLQHGE\WKRVHZKRVSHQGGD\DIWHUGD\H[SHQGLQJWKHLU labor at private gates³LIUHVSHFWLVJUDQWHGWRWKHVHWKUHHWKHQDOO WKRVHZKRKDYHQRPHULWVFDQDWWDLQ>UDQNVDQGHPROXPHQWV@>,QWKDW FDVH@WKHSHRSOHDEDQGRQDJULFXOWXUHDQGZDUIDUHDQGHQJDJHLQWKHVH >DFWLYLWLHV@VRPHHQJDJHLQGHEDWHVDQGGLVSXWDWLRQVWRDVNIRU>SURPRWLRQ@VRPHHQJDJHLQˣDWWHU\WRDVNIRULWVRPHFRQWHQGIRULWWKURXJK WKHLUEUDYHU\7KHUHIRUHWKRVHZKRDUHHQJDJHGLQDJULFXOWXUHDQGZDUIDUH GHFUHDVH GDLO\ ZKHUHDV ´SHULSDWHWLF HDWHUVµ PXOWLSO\ GDLO\ WKH VWDWHLVLQWXUPRLOLWVWHUULWRU\LVGLVPHPEHUHGWKHVROGLHUVDUHZHDN DQGWKHUXOHULVGHEDVHG$OOWKLVLVEHFDXVHODZVDUHFDVWDZD\ZKLOH RQH·VQDPHDQGUHSXWDWLRQDUHUHOLHGXSRQ

222 PA RT I I : T H E B O O K O F L O R D S H A N G

*** 7KHUHIRUHWKHFOHDUVLJKWHGVRYHUHLJQLVDWWHQWLYHWRODZVDQGUHJulations. He does not heed words that do not conform to the law; he does not esteem behavior that does not conform to the law; he does not XQGHUWDNHDWDVNWKDWGRHVQRWFRQIRUPWRWKHODZ,IZRUGVFRQIRUP WR WKH ODZ WKH\ DUH KHHGHG LI EHKDYLRU FRQIRUPV WR WKH ODZ LW LV HVWHHPHGLIDWDVNFRQIRUPVWRWKHODZLWLVXQGHUWDNHQ+HQFHWKH VWDWHLVRUGHUHGLWVODQGVH[SDQGWKHDUP\LVVWURQJDQGWKHVRYHUeign is revered. This is the utmost of orderly rule; the ruler of men must investigate this.

24 INTERDICTING AND ENCOURAGING (禁使)

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KDSWHU¬LVRIWHQFRQVLGHUHGWREHORQJWRDODWHUOD\HU of the Book of Lord ShangLWGL˫HUVIURPWKHUHVWRIWKH WH[W ERWK LQ LWV VW\OH³IRU H[DPSOH LWV IUHTXHQW XVH RI PHWDSKRUV³D QGLQLWVFRQWHQW7KHFKDSWHULVFRQFHUQHGH[FOXVLYHO\ ZLWKWKHPDLQWHQDQFHRIR˥FLDOVWKHFRPPRQWRSRLRIJRYHUQLQJWKH SHRSOHGLUHFWLQJWKHPWRDJULFXOWXUHDQGZDUIDUHDQGSURSHUO\PDLQtaining rewards and punishments are absent from it. Some scholars FRQVLGHULWDVUHˣHFWLQJWKHLPSDFWRI6KHQ'DRDQG6KHQ%XKDLEHFDXVH of the primacy in it of the terms shi 勢SRZHURIDXWKRULW\ DVVRFLDWHG ZLWKWKHIRUPHUDQGshu 數PHWKRGV DVVRFLDWHGZLWKWKHODWWHU7KH centrality of both terms in this chapter indeed distinguishes it from the rest of the Book of Lord Shang:KHWKHUWKHFKDSWHUUHˣHFWVWKHLQˣXHQFHRI6KHQ'DRDQG6KHQ%XKDLLVOHVVREYLRXVWKRXJK)RULQVWDQFH the usage of the term shi is not identical to its use in the remaining fragPHQWV RI 6KHQ 'DR·V ZULWLQJV DW WLPHV LW UHIHUV WR WKH SRZHU RI WKH VRYHUHLJQZKLFKLVLQGHHGFORVHWRWKHXVHE\6KHQ'DR EXWDWWLPHV LWUHIHUVWRWKHSRZHURIR˥FLDOVZKLFKVKRXOGEHFXUEHG WKHODWter usage is not attested in the Shènzi 慎子 6KHQ 'DR·V  IUDJPHQWV $V¬IRUshuLWVDVVRFLDWLRQZLWK6KHQ%XKDLLVGXELRXVEHFDXVHWKHWHUP LV QHYHU HODERUDWHG LQ WKH H[WDQW 6KɷQ]L 申子 6KHQ %XKDL·V  IUDJPHQWVWREHPHPRUL]HG@$OORZKLPDIHZGD\VWR OHDUQWKHFRQWHQWRIODZVDQGRUGLQDQFHVLIKHPLVVHVWKHVWDQGDUGSXQLVK KLP LQ DFFRUGDQFH ZLWK ODZV DQG RUGLQDQFHV ,I DQ\RQH GDUHV WR emendODZVDQGRUGLQDQFHVLIKHHUDVHVRUDGGVPRUHWKDQRQHFKDUDFWHUKHVKRXOGEHFRQGHPQHGWRGHDWKZLWKRXWSDUGRQ,IR˥FLDOVRUWKH people have questions about the contents of laws and ordinances from R˥FLDOVLQFKDUJHRIODZVDQGRUGLQDQFHVOHWWKHPFOHDUO\UHSRUWZKDW they want to inquire about. Prepare a table of one chiDQGVL[cunOHQJWK UHFRUGFOHDUO\WKH\HDUPRQWKGD\DQGKRXURIWKHTXHU\DERXWDQLWHP LQODZVDQGRUGLQDQFHVDQGSXEOLFL]HWKLVWRR˥FLDOVDQGWRWKHSHRSOH9 ,I DQ R˥FLDO LQ FKDUJH RI ODZV DQG RUGLQDQFHV GRHV QRW SXEOLFL]H WKH PDWWHUDQGDFULPHLVFRPPLWWHGYLRODWLQJWKHFRQWHQWRIWKHODZVDQG RUGLQDQFHVDERXWZKLFKKHZDVTXHULHGOHWKLPEHSXQLVKHGDFFRUGLQJ WRWKHSXQLVKPHQWVSHFLˡHGLQWKHODZVDQGRUGLQDQFHVDERXWZKLFKKH ZDVTXHULHG*LYHWKHOHIWVLGHRIWKHGRFXPHQWWRDQR˥FLDORUDFRPPRQHUZKRTXHULHVWKHODZVDQGRUGLQDQFHVDQGWKHR˥FLDOLQFKDUJHRI laws and ordinances will carefully preserve the right side in a wooden ER[.HHSLWLQDFKDPEHUDQGVHDOLWZLWKWKHVHDORIWKHFKLHIR˥FLDOLQ FKDUJHRIODZVDQGRUGLQDQFHV,IODWHUWKHR˥FLDOGLHVPDWWHUVVKRXOGEH maintained according to the right side of the document. *** $OOODZVDQGRUGLQDQFHVVKRXOGEHFRSLHG2QHFRS\VKRXOGEHNHSW in the palace of the Son of Heaven. Make a forbidden chamber for laws DQGRUGLQDQFHVZKLFKVKRXOGEHORFNHGDQGVHDOHGDQGHQWUDQFHSURKLELWHG,QVLGHWKHIRUELGGHQFKDPEHUDFRS\RIHDFKODZDQGRUGLQDQFH ZLOOEHSUHVHUYHGDQGVHDOHGZLWKDQLQWHUGLFWRU\VHDO,IVRPHRQHRSHQV the seals of the forbidden chamber without permission and enters the IRUELGGHQFKDPEHUWRH[DPLQHWKHODZVDQGRUGLQDQFHVNHSWWKHUHRU HPHQGVDVLQJOHFKDUDFWHURUPRUHRIWKHVHWH[WVKHVKRXOGEHFRQGHPQHGWRGHDWKZLWKRXWSDUGRQ2QFHD\HDUWUDQVPLWODZVDQGRUGLQDQFHVIURPWKHIRUELGGHQFKDPEHU>WRDOOWKHR˥FLDOV@10

234 PA RT I I : T H E B O O K O F L O R D S H A N G

*** 7KH6RQRI+HDYHQHVWDEOLVKHVWKUHHODZR˥FLDOV,QWKHSDODFH RQHODZR˥FLDOLVHVWDEOLVKHG7KHFKLHISURVHFXWRU11 establishes one law R˥FLDODQGRQHFOHUN7KHSULPHPLQLVWHUHVWDEOLVKHVRQHODZR˥FLDO12 All regional lords and heads of commanderies and counties establish RQHODZR˥FLDODQGRQHFOHUN$OOWKHVHVKRXOGSURYLGHIRURQHODZR˥FLDO +HDGV RI FRPPDQGHULHV DQG FRXQWLHV DQG UHJLRQDO ORUGV RQFH WKH\UHFHLYHWKHODZVDQGRUGLQDQFHVGLVSDWFKHGWRWKHPVKRXOGVWXG\ WKHLUFRQWHQW,IR˥FLDOVDQGWKHSHRSOHZDQW to understand laws and RUGLQDQFHVWKH\VKRXOGDVNWKHODZR˥FLDO+HQFHIRUWKDPRQJWKHSHRSOHDQGR˥FLDOVXQGHU+HDYHQDOOZLOOXQGHUVWDQGWKHODZV:KHQWKH R˥FLDOVFOHDUO\NQRZWKDWWKHSHRSOHXQGHUVWDQGWKHODZVDQGRUGLQDQFHVWKH\GDUHQRWWUHDWWKHSHRSOHEXWLQDFFRUGZLWKWKHODZDQG WKHSHRSOHZLOOGDUHQRWYLRODWHWKHODZDQGGLVREH\WKHODZR˥FLDOV ,I>WKHR˥FLDOV@LQWUHDWLQJWKHSHRSOHGRQRWGRVRLQDFFRUGZLWKWKH ODZ>WKHSHRSOH@ZLOODVNWKHODZR˥FLDOWKHODZR˥FLDOZLOOWHOOWKHP DERXWWKHSXQLVKPHQWDFFRUGLQJWRWKHODZDQGWKHSHRSOHZLOOWHOOKLV ZRUGVWRWKHR˥FLDOV:KHQHYHU\RQHXQGHUVWDQGV>ODZV@OLNHWKDWWKH R˥FLDOVZLOOGDUHQRWWUHDWWKHSHRSOHEXWLQDFFRUGZLWKWKHODZDQG WKHSHRSOHZLOOGDUHQRWYLRODWHWKHODZ,QWKLVFDVHDPRQJR˥FLDOV DQGWKHSHRSOHXQGHU+HDYHQHYHQLIWKHUHDUHZRUWK\JRRGDUJXPHQWDWLYHDQGFOHYHUWKH\ZLOOGDUHQRWXVHDVLQJOHZRUGWRWZLVWWKHODZ HYHQLIVRPHRQHSRVVHVVHVDWKRXVDQGSLHFHVRIJROGKHZLOOQRWEHDEOH WRXVHDVLQJOHFRLQ>WREULEHKLVZD\@+HQFHWKHNQRZOHGJHDEOHDQG WKHGHFHLWIXOWKHZRUWK\DQGWKHJRRGDOOZLOOIRFXVRQJRRGGHHGV all will devote themselves to self-regulating and to endorsing the comPRQ>UXOHV@^^:KHQWKHSHRSOHDUHLJQRUDQWLWLVHDV\WRUXOHWKHP`` $OOWKLVRULJLQDWHVIURPWKHIDFWWKHODZVDUHFOHDUDUHHDVLO\XQGHUVWDQGDEOHDQGDUHLQHVFDSDEO\DSSOLHG *** /DZVDQGRUGLQDQFHVDUHWKHPDWWHURIOLIHRUGHDWKIRUWKHSHRSOHWKHEDVLVRIRUGHUO\UXOHWKH\DUHZKDWVDIHJXDUGVWKHSHRSOH7KH\ are what the knowledgeable cannot trespass and the ignorant cannot

Fixing Divisions

235

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