外儲說右上

There are three means by which the ruler controls his ministers.

Principle One: When positional advantage is insufficient to transform, one must eliminate. Shi Kuang's response and Yanzi's advice both accord with the ease of using positional advantage and the difficulty of practicing virtue -- which is like trying to outrun a beast on foot, ignorant of how to eliminate the danger. That the danger can be eliminated is found in Zixia's commentary on the Spring and Autumn Annals: 'He who is skilled at holding positional advantage cuts off the sprouts of treachery early.'

Principle Two: The ruler is the hub of benefit and harm. The archers aiming at him are many, and so the ruler is besieged. Hence when his likes and dislikes are visible, subordinates exploit them and the ruler is confused. When his words are transparent, ministers find it easy to manage him, and the ruler loses his mystery.

Principle Three: There is a reason why techniques of control fail to work. If you do not kill the dog, the wine goes sour. The state too has its dogs, and the ruler's attendants are all 'shrine rats.'

Duke Jing was sightseeing with Yanzi at the Lesser Sea. He ascended the Terrace of Cedar Rest and gazed back at his state, saying: 'How beautiful! How vast and grand! Who will possess this in future generations?' Yanzi replied: 'The Tian Cheng clan, no doubt.' Duke Jing said: 'I possess this state, yet you say the Tian Cheng clan will have it. Why?' Yanzi replied: 'The Tian clan has deeply won over the people of Qi. In dealing with the people, above they request noble ranks and salaries to distribute among the great ministers; below they use large measures to lend grain and small measures to collect repayment. They slaughter one ox, take one vessel of meat for themselves, and distribute the rest to feed their retainers. At year's end, they take two garments' worth of cloth for themselves and distribute the rest to clothe their retainers. Thus timber from the market costs no more than from the mountains, and fish and turtles from the marshes cost no more than from the sea. The lord taxes heavily, while the Tian Cheng clan gives generously.'

Taigong Wang was enfeoffed in the east at Qi. On the eastern seaboard of Qi, there were two recluse brothers named Kuang Jue and Hua Shi, who declared: 'We will not serve the Son of Heaven as subjects, nor befriend the feudal lords. We plow to eat and dig wells to drink. We need nothing from others. We seek no name from above, no salary from the ruler. We serve not in office but in labor.' When Taigong Wang arrived at Yingqiu, he had officials seize and execute them as the first punishment of his rule.

The Duke of Zhou heard of this from Lu and sent an urgent dispatch: 'These two men are worthy. On the very day you receive your state, you execute worthy men -- why?' Taigong Wang replied: 'They will not serve the Son of Heaven -- so I cannot make them my subjects. They will not befriend the lords -- so I cannot make use of them. They plow to eat and dig wells to drink, seeking nothing from others -- so I cannot employ rewards and punishments to encourage or restrain them. They seek no official name; even if wise, they will not serve my purposes. They do not depend on the ruler's salary; even if worthy, they will not contribute to my achievements. They will not serve, and so they cannot be governed. They will not accept appointments, and so they cannot be loyal.

Moreover, the means by which the former kings controlled their subjects and people were nothing other than noble rank and salary on one hand, and punishments on the other. Now all four are insufficient to control these men. Then for whom am I ruler?'

Tanggu Gong said to Marquis Zhao: 'Suppose there were a jade cup worth a thousand in gold but with no bottom. Could it hold water?' Marquis Zhao said: 'It could not.' 'Suppose there were an earthenware vessel that did not leak. Could it hold wine?' Marquis Zhao said: 'It could.' Tanggu Gong replied: 'An earthenware vessel is the cheapest of things, yet because it does not leak, it can hold wine. Though a jade cup is worth a thousand in gold and supremely precious, if it has no bottom and leaks, it cannot hold water -- so who would pour anything into it? Now if a ruler leaks the private conversations between himself and his ministers, he is like a jade cup with no bottom. Though he may possess sage-like wisdom, none of his techniques can be fully employed, because they leak.'

Marquis Zhao said: 'Indeed.' After hearing Tanggu Gong's words, from that day on, whenever he wished to undertake a great affair of state, he always slept alone -- fearing that he might talk in his dreams and let someone learn his plans.

Shen Buhai said: 'He who sees alone is called perceptive. He who hears alone is called discerning. He who can decide alone -- he can be the ruler of All-Under-Heaven.'

A man of Song sold wine. His measures were perfectly fair, he treated customers with great courtesy, his wine was excellent, and his banner hung high. Yet the wine did not sell and went sour. Puzzled, he asked an elder of his neighborhood named Yang Qian. Yang Qian asked: 'Is your dog fierce?' The man said: 'If the dog is fierce, why would the wine not sell?' Yang Qian replied: 'People are afraid of it. When someone sends a child carrying money and a jug to buy wine, and the dog rushes out to bite -- this is why the wine goes sour and unsold.'

A state too has its dogs. When a man of the Way harbors his techniques and wishes to enlighten the ruler of ten thousand chariots, the great ministers act as fierce dogs, rushing out to bite. This is why the ruler remains obstructed, and why men of the Way go unused.

King Zhuang of Chu had a law for the Thatched Gate: 'When ministers, grandees, and princes enter court, if their horses' hooves tread in the rainwater channel, the court enforcer shall cut the carriage-pole and punish the driver.' The crown prince entered court and his horse trod in the channel. The court enforcer cut his carriage-pole and punished his driver.

The crown prince was furious. He went before the king weeping: 'Execute the court enforcer for me!' The king said: 'The law is what shows reverence for the ancestral temples and respect for the altars of soil and grain. He who can establish the law and follow commands, who reveres the altars of soil and grain -- he is the servant of the state. How can he be executed? He who violates the law and defies commands, who does not revere the altars -- he is a minister who rides over his ruler, a subordinate who contends with his superiors. When a minister rides over the ruler, the ruler loses authority. When subordinates contend, the ruler's position is endangered. Authority lost and position endangered, the altars of soil and grain cannot be preserved. What shall I then bequeath to my descendants?'

The crown prince withdrew in haste, left the palace, and slept in the open for three days. He then returned, bowed twice facing north, and begged forgiveness for his capital offense.

Duke Wen of Jin asked Hu Yan: 'Then what is sufficient to make the people fight?' Hu Yan replied: 'Credible rewards and certain punishments -- these are sufficient.' The duke asked: 'How far does punishment extend?' Hu Yan replied: 'It does not avoid kin or favorites. The law is applied to those the ruler loves.'

Duke Wen said: 'Excellent.' The next day, he ordered a hunt on the park grounds, with noon as the appointed time. Those who arrived late would face military law. Now the duke had a favorite named Dian Jie, who arrived late. The officers requested that he be punished. Duke Wen shed tears of grief. The officers said: 'We request that the law be applied.' They then severed Dian Jie's spine and displayed his body before the people, to demonstrate the credibility of the law.

After this, all the people trembled and said: 'The lord's esteem for Dian Jie was as great as that, yet the lord still applied the law. How much more so for us!'