韓非子 Hanfeizi · Chapter 35

外儲說右下

Outer Collected Sayings, Right Series, Part Two

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經一至經五：統馭之失

Principles One through Five: Failures of Control

△經一

賞罰共則禁令不行。何以明之？明之以造父、於期。子罕為出彘，田恆為圃池，故宋君、簡公弒。患在王良、造父之共車，田連、成房之共琴也。

△經二

治強生於法，弱亂生於阿，君明於此，則正賞罰而非仁下也。爵祿生於功，誅罰生於罪，臣明於此，則盡死力而非忠君也。

△經三

明主者，鑒於外也，而外事不得不成。人主鑒於上也，而居者不適不顯。

△經四

人主者，守法責成以立功者也。聞有吏雖亂而有獨善之民，不聞有亂民而有獨治之吏，故明主治吏不治民。

△經五

國事之理，則不勞而成。

Principle One: When rewards and punishments are shared, prohibitions and commands will not be enforced. How is this demonstrated? Through the cases of Zaofu and Yu Qi. Zi Han served as the 'startled pig' and Tian Heng as the 'garden pool' -- hence the rulers of Song and Duke Jian were assassinated. The danger lies in Wang Liang and Zaofu sharing a chariot, and Tian Lian and Cheng Fang sharing a zither.

Principle Two: Strength and order arise from the law; weakness and disorder arise from indulgence. If the ruler understands this, he will enforce rewards and punishments straightforwardly rather than being benevolent to subordinates. Rank and salary arise from merit; punishment arises from crime. If the minister understands this, he will devote his strength to the death rather than merely being loyal to the ruler.

Principle Three: The enlightened ruler uses external situations as a mirror, and so external affairs cannot fail to succeed. The ruler uses what is above as a mirror, and so those beneath cannot help but be revealed.

Principle Four: The ruler guards the law and demands results to establish achievement. One hears of officials in disorder yet individual people of goodness, but never of a disordered populace yet an individual official of good governance. Hence the enlightened ruler governs his officials, not his people.

Principle Five: When the principles of state affairs are followed, achievements are accomplished without toil.

Notes

1context

Principle One's metaphor of 'sharing a chariot' means sharing the instruments of power. When two skilled drivers (ruler and minister) each hold one rein, the horse cannot move forward. When two musicians each play one string, no melody can be completed. Power must be undivided.

2person造父Zaofu

Zaofu (造父) was the legendary charioteer of King Mu of Zhou, considered the greatest driver in Chinese antiquity. Wang Liang (王良) was another celebrated charioteer.

3translation

Principle Four -- 'govern officials, not people' (治吏不治民) -- is a fundamental axiom of Legalist administrative theory. The ruler manages the bureaucracy; the bureaucracy manages the population.

說一：造父共車與子罕出彘

Explanation One: Zaofu Sharing a Chariot and Zi Han's Startled Pig

造父御四馬，馳驟周鏇而恣欲於馬。恣欲於馬者，擅轡策之制也。然馬驚於出彘而造父不能禁制者，非轡策之嚴不足也，威分於出彘也。

司城子罕謂宋君曰："慶賞賜與，展之所喜也，君自行之；殺戮誅罰，民之所惡也，臣訪當之。"宋君曰："諾。"於是出威令，誅大臣。君曰"問子罕"也。於是大臣畏之，細民歸之。處期年，子罕殺宋君而奪政。故子罕為出彘以奪其君國。

When Zaofu drove four horses, he could gallop, circle, and do whatever he wished with them -- because he alone controlled the reins and whip. Yet when the horses were startled by a pig bursting from cover, Zaofu could not restrain them -- not because his reins and whip lacked severity, but because his authority was divided by the startled pig.

Minister of Works Zi Han said to the ruler of Song: 'Rewards, gifts, and grants -- the people delight in these. Let Your Majesty perform them personally. Executions, punishments, and penalties -- the people hate these. Let your minister take charge of them.' The ruler of Song agreed. From then on, Zi Han issued the severe orders and punished the great ministers. The ruler would say: 'Consult Zi Han.' The great ministers feared him and the common people turned to him. After a year, Zi Han killed the ruler of Song and seized the government. Thus Zi Han served as the 'startled pig' and stole his ruler's state.

Notes

1person子罕Zi Han

Zi Han (子罕), also known as Yue Xi (樂喜), was the Minister of Works (司城) of Song who usurped power by monopolizing the instruments of punishment while leaving the ruler only the power to reward.

2context

This is one of Han Fei's most important political parables. The ruler who gives away the power to punish -- keeping only the power to reward -- inevitably loses his state. Both halves of the 'two handles' (二柄, reward and punishment) must remain in the ruler's hands.

說二：秦昭王罰禱者與公儀休辭魚

Explanation Two: King Zhao of Qin Punishes Those Who Pray and Gongyixiu Refuses Fish

秦昭王有病，百姓里買牛而家為王禱。公孫述出見之，人賀王曰："百姓乃皆里買牛為王禱。"王使人問之，果有之。王曰："訾之人二甲。夫非令而擅禱，是愛寡人也。夫愛寡人，寡人亦且改法而心與之相循者，是法不立；法不立，亂亡之道也。不如人罰二甲而復與為治。"

公儀休相魯而嗜魚，一國盡爭買魚而獻之，公議子不受。其弟諫曰："夫子嗜魚而不受者，何也？"對日："夫唯嗜魚，故不受也。夫即受魚，必有下人之色；有下人之色，將枉於法；枉於法，則免於相。雖嗜魚，此不必致我魚，我又不能自給魚。即無受魚而不免於相，雖嗜魚，我能長自給魚。"此明夫恃人不如自恃也。

King Zhao of Qin fell ill. The people of each neighborhood bought oxen and prayed for the king's recovery household by household. Gongsun Shu went out, saw this, and congratulated the king: 'The people of every neighborhood are buying oxen to pray for Your Majesty.' The king sent someone to investigate and found it to be true. The king said: 'Fine them each two suits of armor. To pray without authorization is to show love for me. But if they love me, and I in turn alter the law to accommodate their sentiments, then the law is not established. If the law is not established, that is the path to disorder and ruin. Better to fine each person two suits of armor and then resume governing together.'

Gongyixiu was chancellor of Lu and loved fish. The entire state competed to buy fish and present it to him, but he would not accept. His brother remonstrated: 'You love fish but will not accept it -- why?' He replied: 'It is precisely because I love fish that I do not accept it. If I accept fish, I will inevitably show deference to others. If I show deference to others, I will bend the law. If I bend the law, I will be dismissed as chancellor. Though I love fish, then no one will necessarily provide me with fish, and I will no longer be able to provide fish for myself. If I do not accept fish and am not dismissed as chancellor, then though I love fish, I can provide fish for myself permanently.' This demonstrates that relying on others is not as good as relying on oneself.

Notes

1person秦昭王Qin Zhao Wang

King Zhao of Qin (秦昭襄王, r. 306-251 BC) was the Qin ruler during the critical period of expansion that included the Battle of Changping.

2person公儀休Gongyixiu

Gongyixiu (公儀休) was a chancellor of Lu known for his incorruptibility. His reasoning about fish is a classic Legalist argument: self-interest properly understood leads to virtuous behavior, because corruption ultimately harms the corrupt official himself.

說三：蘇代說燕王與潘壽禪讓

Explanation Three: Su Dai Persuades the King of Yan and Panshou's Abdication Plot

子之相燕，貴而主斷。蘇代為齊使燕，王問之曰："齊王亦何如主也？"對曰："必不霸矣。"燕王曰："何也？"對曰："昔桓公之霸也，內事屬鮑叔，外事屬管仲，桓公被發而御婦人，日游於市。今齊王不信其大臣。"於是燕王因益大信子之。子之聞之，使人遺蘇代金百鎰，而聽其所使。

潘壽謂燕王曰："王不如以國讓子之。人所以謂堯賢者，以其讓天下於許由，許由必不受也，則是堯有讓許由之名而實不失天下也。今王以國讓子之，子之必不受也，則是王有讓子之之名而與堯同行也。"於是燕王因舉國而屬之，子之大重。

Zizhi served as chancellor of Yan, with wealth and the power of decision. Su Dai came as an envoy from Qi. The King of Yan asked him: 'What sort of ruler is the King of Qi?' Su Dai replied: 'He will certainly not achieve hegemony.' The king asked why. Su Dai replied: 'In the past, Duke Huan achieved hegemony because he entrusted internal affairs to Bao Shu and external affairs to Guan Zhong. Duke Huan himself let down his hair, entertained women, and strolled the marketplace daily. The current King of Qi does not trust his great ministers.' The King of Yan thereupon placed even greater trust in Zizhi. When Zizhi heard of this, he sent Su Dai a gift of a hundred yi of gold and let Su Dai direct him as he wished.

Panshou said to the King of Yan: 'Your Majesty should offer the state to Zizhi. The reason people call Yao worthy is that he offered All-Under-Heaven to Xu You. Xu You was certain not to accept, so Yao gained the reputation of offering to Xu You while not actually losing All-Under-Heaven. If Your Majesty now offers the state to Zizhi, Zizhi will certainly not accept it. Then Your Majesty will gain the reputation of offering to Zizhi and share in Yao's conduct.' The King of Yan thereupon entrusted the entire state to Zizhi, and Zizhi's power became supreme.

Notes

1person蘇代Su Dai

Su Dai (蘇代) was a Warring States diplomat, younger brother of the famous strategist Su Qin. Here he manipulates the King of Yan into empowering Zizhi -- while secretly being paid by Zizhi.

2context

The abdication of King Kuai of Yan to Zizhi (c. 316 BC) was one of the great political disasters of the Warring States period. Panshou's 'Yao comparison' was a rhetorical trap: unlike Xu You, Zizhi actually accepted the offer, plunging Yan into civil war and Qi's invasion.

說四：治吏不治民

Explanation Four: Govern Officials, Not the People

搖木者一一攝其葉，則勞而不遍；左右拊其本，而葉遍搖矣。臨淵而搖木，鳥驚而高，魚恐而下。善張網者引其綱，若一一攝萬目而後得，則是勞而難；引其綱，而魚已囊矣。故吏者，民之本、綱者也，故聖人治吏不治民。

One who shakes a tree by grasping each leaf one by one will be exhausted and still not reach them all. But shake the trunk from both sides, and every leaf trembles. Stand at the edge of a pool and shake the tree: birds fly high in alarm and fish dive deep in fear.

A skilled net-caster pulls the headrope. If one tried to grasp each of the ten thousand meshes before catching fish, it would be exhausting and difficult. But pull the headrope, and the fish are already in the bag. Officials are the trunk and headrope of the people. Therefore the sage governs his officials, not his people.

Notes

1context

This trunk-and-headrope metaphor is the classic statement of Legalist administrative theory: the ruler controls the bureaucracy, and the bureaucracy controls the populace. Direct rule over millions is impossible; indirect rule through institutional hierarchy is efficient.

說五：延陵卓子之馬

Explanation Five: The Horse of Yanling Zhuozi

延陵卓子乘蒼龍挑文之乘，鉤飾在前，錯錣在後。馬欲進則鉤飾禁之，欲退則錯錣貫之，馬因旁出。造父過而為之泣涕，曰："古之治人亦然矣。夫賞所以勸之，而毀存焉；罰所以禁之，而譽加焉。民中立而不知所由，此亦聖人之所為泣也。"

Yanling Zhuozi rode in a carriage drawn by the horse Azure Dragon with Patterned Markings. A hooked ornament jutted forward; spiked barbs were fixed behind. When the horse tried to advance, the hooked ornament blocked it. When it tried to retreat, the spiked barbs pierced it. The horse therefore bolted sideways.

Zaofu passed by and wept, saying: 'Governing people in antiquity was the same. Rewards are meant to encourage -- yet condemnation accompanies them. Punishments are meant to prohibit -- yet praise attaches to them. The people stand in the middle, not knowing which way to go. This too is what makes the sage weep.'

Notes

1context

This closing parable captures a deep Legalist insight: when the incentive structure contradicts itself -- rewarding what is publicly condemned, punishing what is publicly praised -- the people are paralyzed, like a horse blocked in every direction. The 'sage weeps' because contradictory signals from the state are the root cause of disorder.

Edition & Source

Text: 《韓非子》 Hanfeizi
Edition: 中華古詩文古書籍網 transcription, 《四部叢刊》本
Commentary: Han Fei (韓非), Warring States period