The questioner asked, “Between the teachings of Shen Buhai and Gongsun Yang, which is more urgent for the state?”
The reply was: “This cannot be measured by a single standard. If a person does not eat, he will die in ten days; in severe cold, he will also die without clothing. To ask whether food or clothing is more urgent for a person is to ask about two things neither of which can be dispensed with; both are means of sustaining life. Now Shen Buhai speaks ofshu, the art of rulership, while Gongsun Yang establishes fa, law. Shu means appointing officials according to ability, demanding actual results in accordance with their titles, holding the power of life and death, and examining the competence of ministers. This is what the ruler must hold. Fa means that statutes and commands are clearly proclaimed by the offices, that penalties are firmly established in the minds of the people, that rewards are given to those who carefully observe the law, and that punishments are inflicted on those who violate commands. This is what ministers must follow. If the ruler lacksshu, he will be deceived from above; if ministers lackfa, there will be disorder below. Neither can be dispensed with; both are instruments of imperial rule.”
The questioner said, “Why is it unacceptable to have shu without fa, or fa without shu?”
The reply was: “Shen Buhai was the assistant of Marquis Zhao of Han. Han was a state that had broken away from Jin. The old laws of Jin had not yet been abolished when the new laws of Han arose; the commands of former rulers had not yet been withdrawn when the commands of later rulers were issued. Shen Buhai did not consolidate the laws or unify the statutes, so deceit became widespread. Whenever it was advantageous to appeal to the old laws and earlier commands, officials did so; whenever it was advantageous to appeal to the new laws and later commands, they did so. When old and new contradicted each other and earlier and later commands conflicted, Shen Buhai might repeatedly urge Marquis Zhao to employ shu, yet deceitful ministers would still find ways to twist their words. Thus, although Han possessed the strength of a state with ten thousand chariots, it failed to achieve hegemony for seventy years. This was the harm of having shu at the top while failing to keep the laws in the offices properly ordered.
When Gongsun Yang governed Qin, he established mutual responsibility and accusation, held people accountable for actual results, grouped households into units of shi and wu with shared liability, gave generous and trustworthy rewards, and imposed heavy and inevitable punishments. Hence the people exerted themselves without rest and pursued the enemy without retreating despite danger. As a result, the state became rich and its army strong. Yet because he lacked shu for detecting deceit, this wealth and strength merely became resources that ministers could exploit. After Duke Xiao and Lord Shang died, King Hui ascended the throne. The laws of Qin had not collapsed, yet Zhang Yi used Qin to serve the interests of Han and Wei. After King Hui died, King Wu ascended the throne, and Gan Mao used Qin to serve the interests of Zhou. After King Wu died, King Zhaoxiang ascended the throne. The Lord of Rang crossed Han and Wei to attack Qi in the east; for five years Qin gained not an inch of land, yet he fortified his own fief at Tao. The Lord of Ying attacked Han for eight years and thereby established his fief in Runan. Since then, those who wielded power in Qin were mostly men of the type of Ying and Rang. Thus, when battles were won, great ministers gained honor; when territory was expanded, private fiefs were established. This happened because the ruler lacked shu for detecting deceit. Although Lord Shang had repeatedly strengthened the laws, ministers instead turned them to their own advantage. Hence, although Qin drew on its strength for decades, it did not achieve imperial rule. This was the harm of having laws in the offices while the ruler above lacked shu.”
The questioner said, “May the ruler employ Shenzi’s shu while the offices carry out Shang Jun’s fa?”
The reply was: “Shenzi did not fully perfect shu, and Shang Jun did not fully perfect fa. Shenzi said, ‘In governing, do not go beyond one’s office; even if one knows something, do not speak of it.’ Not going beyond one’s office may be called keeping to one’s duties; but knowing something and not reporting it cannot be called free of fault. The ruler sees with the eyes of the whole state, so no vision is clearer; he hears with the ears of the whole state, so no hearing is sharper. If those who know something do not speak, from whom can the ruler borrow sight and hearing?
Shang Jun’s law said, ‘Whoever cuts off one enemy head receives one rank of nobility; if he wishes to serve as an official, he may be appointed to a post with a salary of fifty shi. Whoever cuts off two heads receives two ranks; if he wishes to serve as an official, he may be appointed to a post with a salary of one hundred shi.’ Promotion in office and rank corresponded to the merit of cutting off heads. Suppose now a law declared, ‘Those who cut off heads shall be appointed as physicians or craftsmen.’ Then houses would not be built, and illnesses would not be cured. A craftsman depends on manual skill, and a physician on the proper preparation of medicines; to appoint them merely on the basis of decapitating enemies would be to mismatch ability and office. Those who govern offices require wisdom and intelligence, whereas cutting off heads depends on courage and strength. To assign posts requiring wisdom to men whose merit lies in courage and strength is like appointing head-cutters as physicians and craftsmen. Therefore it is said: both men were not yet fully perfect in their handling of fa and shu.”
Note
This Han Feizi ‑ Chapter 43 compares Shen Buhai’s shu (ruler’s art) and Shang Yang’s fa (law). It argues both are indispensable, yet neither thinker perfected them; mere military merit should not qualify one for administrative posts.
A Warring States statesman associated with shu, the ruler’s art of personnel control. He served Marquis Zhao of Han and emphasized appointing officials by ability and holding them accountable.
Gongsun Yang / Shang Yang / Lord Shang:
Fa and Shu:
Fa means public laws, statutes, rewards, and punishments. Shu means the ruler’s private methods for examining officials, preventing deception, and maintaining control. Han Fei argues that both are necessary.
Marquis Zhao of Han:
Ruler of the state of Han during Shen Buhai’s service. Han was one of the three states that emerged from the partition of Jin.
Jin and Han:
Jin was a powerful Spring and Autumn state. It later split into Han, Zhao, and Wei. Han Fei uses this background to explain why Han suffered from conflicting old and new laws.
Mutual responsibility and shi-wu groups:
Shang Yang’s system grouped households into small units that shared rewards and punishments. It aimed to make surveillance and enforcement more effective.
Zhang Yi, Gan Mao, the Lord of Rang, the Lord of Ying:
Successive Qin ministers and nobles. Han Fei uses them to argue that even strong laws cannot prevent powerful ministers from exploiting the state if the ruler lacks methods for detecting deceit.
Fiefs and private power:
In the Warring States period, high ministers could sometimes turn military success into personal landholdings and influence, weakening the ruler.
Cutting off heads for rank:
Qin rewarded military merit by granting noble ranks and offices based on enemy heads taken. Han Fei accepts the incentive but criticizes using military merit alone to appoint administrative officials.
Ruler’s eyes and ears:
Han Fei believes the ruler should not rely on his own limited perception, but should create institutions that make officials report truthfully.
定法第四十三
问者曰：“申不害、公孙鞅，此二家之言孰急于国？”
应之曰：“是不可程也。人不食，十日则死；大寒之隆，不衣亦死。谓之衣食孰急于人，则是不可一无也，皆养生之具也。今申不害言术而公孙鞅为法。术者，因任而授官，循名而责实，操杀生之柄，课群臣之能者也。此人主之所执也。法者，宪令著于官府，刑罚必于民心，赏存乎慎法，而罚加乎奸令者也。此臣之所师也。君无术则弊于上，臣无法则乱于下，此不可一无，皆帝王之具也。”
问者曰：“徒术而无法，徒法而无术，其不可何哉？”
对曰：“申不害，韩昭侯之佐也。韩者，晋之别国也。晋之故法未息，而韩之新法又生；先君之令未收，而后君之令又下。申不害不擅其法，不一其宪令，则奸多。故利在故法前令则道之，利在新法后令则道之，利在故新相反，前后相勃，则申不害虽十使昭侯用术，而奸臣犹有所谲其辞矣。故托万乘之劲韩，七十年而不至于霸王者，虽用术于上，法不勤饰于官之患也。公孙鞅之治秦也，设告相坐而责其实，连什伍而同其罪，赏厚而信，刑重而必。是以其民用力劳而不休，逐敌危而不却，故其国富而兵强；然而无术以知奸，则以其富强也资人臣而已矣。及孝公、商君死，惠王即位，秦法未败也，而张仪以秦殉韩、魏。惠王死，武王即位，甘茂以秦殉周。武王死，昭襄王即位，穰侯越韩、魏而东攻齐，五年而秦不益尺土之地，乃城其陶邑之封。应侯攻韩八年，成其汝南之封。自是以来，诸用秦者，皆应、穰之类也。故战胜，则大臣尊；益地，则私封立：主无术以知奸也。商君虽十饰其法，人臣反用其资。故乘强秦之资数十年而不至于帝王者，法不勤饰于官，主无术于上之患也。”
问者曰：“主用申子之术，而官行商君之法，可乎？”
对曰：“申子未尽于术，商君未尽于法也。申子言：‘治不逾官，虽知弗言’。治不逾官，谓之守职也可；知而弗言，是不谓过也。人主以一国目视，故视莫明焉；以一国耳听，故听莫聪焉。今知而弗言，则人主尚安假借矣？商君之法曰：‘斩一首者爵一级，欲为官者为五十石之官；斩二首者爵二级，欲为官者为百石之官。’官爵之迁与斩首之功相称也。今有法曰：‘斩首者令为医、匠。’则屋不成而病不已。夫匠者手巧也，而医者齐药也，而以斩首之功为之，则不当其能。今治官者，智能也；今斩首者，勇力之所加也。以勇力之所加而治者智能之官，是以斩首之功为医、匠也。故曰：二子之于法术，皆未尽善也。”
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