《韓非子》Vol. 3

The Han Feizi enumerates ten types of faults that lead to disaster for states or individuals. The first is when petty loyalty (xiao zhong) undermines greater loyalty; the second is when small gains destroy greater benefits; the third is when eccentric behavior, obstinacy, and discourtesy toward feudal lords invite fatal consequences; the fourth is neglecting governance while indulging in music, leading to personal peril; the fifth is greed, stubbornness, and profit-seeking that bring about state collapse and personal ruin; the sixth is drowning in sensual pleasures while ignoring state affairs, resulting in national downfall; the seventh is leaving court for distant travels while disregarding remonstrance, endangering oneself; the eighth is persisting in errors despite loyal ministers' advice, destroying one's reputation and inviting ridicule; the ninth is overestimating internal strength while relying on feudal lords externally, leading to territorial loss; the tenth is when a weak state ignores ritual propriety (li) and rejects counsel, facing extinction.

Regarding the peril of "petty loyalty," the text cites the battle between King Gong of Chu and Duke Li of Jin at Yanling. After the Chu army's defeat, King Gong suffered an eye injury. During the fierce combat, General Zifan, parched with thirst, asked for water, but his attendant Gu Yang offered fine wine instead. Though Zifan knew it was wine, he indulged until thoroughly drunk. When King Gong later sought to renew the battle and summoned Zifan, the general excused himself, claiming heart pain. The king personally investigated, detected the alcohol, and declared: "Today I bore wounds in battle, yet the commander I relied on lies drunk! This will destroy Chu!" He withdrew the army, executed Zifan upon returning. Gu Yang's well-intentioned offering inadvertently caused Zifan's death—a classic case of petty loyalty harming greater loyalty.

On the folly of "small gains," the text recounts Duke Xian of Jin's plan to attack Guo by borrowing passage through Yu. Minister Xun Xi advised bribing Duke Yu with exquisite jade from Chuiji and fine steeds from Qu. Though Duke Xian hesitated to part with these treasures... (Note: The Daoist glossary terms were preserved where applicable, though this passage primarily concerns political philosophy. The translation maintains the original's didactic tone while clarifying historical context.)

This passage from Han Feizi recounts two historical anecdotes illustrating the consequences of coveting petty gains and acting recklessly.

The first story describes how the State of Jin sought passage through Yu to attack Guo. Jin minister Xun Xi advised bribing Duke Yu with exquisite jade from Chui Ji and fine horses from Qu Chan. Yu's minister Gong Zhiqi warned that Yu and Guo were interdependent like a chariot and its sideboards—if Guo fell, Yu would follow. But the covetous Duke Yu accepted the bribes. After Jin conquered Guo, it destroyed Yu three years later, with Xun Xi retrieving the original jade and horses. Duke Xian of Jin jested that the jade remained unchanged though the horses had aged—demonstrating how small profits invite great calamities.

The second tale recounts how King Ling of Chu, hosting a covenant at Shen, detained the Song crown prince for tardiness, insulted the ruler of Xu, and imprisoned Qi minister Qing Feng. When advisors warned that tyrants like Jie and Zhou had fallen through similar arrogance, the king ignored them. Within a year, his own ministers rebelled during his travels, leaving him to starve at Ganxi—showing how willful disregard for propriety brings ruin.

The third fragment mentions Duke Ling of Wei hearing strange music by the Pu River en route to Jin. Though attendants heard nothing, he summoned court musician Shi Juan to record it. Though incomplete, this likely introduces another cautionary tale about indulgence in sensory pleasures.

This story recounts an incident involving Duke Ling of Wei and Duke Ping of Jin listening to music. While by the Pu River, Duke Ling of Wei heard a strange new melody and ordered his court musician Shi Juan to memorize it. The next day, Shi Juan reported he had memorized it but needed another night to practice. On the third day, when they arrived in Jin and held a banquet at Shiyi Terrace, Duke Ling asked Shi Juan to perform the piece.

As soon as the music began, Jin’s court musician Shi Kuang pressed down on the strings to stop it, saying, "This is the music of a doomed state—it must not be played further." He explained that this decadent tune was composed by Shi Yan, the court musician of the tyrannical King Zhou of Shang. After King Zhou’s downfall, Shi Yan drowned himself in the Pu River, and whoever first heard this music would bring decline upon their state. Yet Duke Ping of Jin insisted on hearing it to the end.

Afterward, Duke Ping asked Shi Kuang if there was an even more sorrowful melody. Shi Kuang replied that there was the Qingzhi mode, but only rulers of great virtue (De) could listen to it. When Duke Ping insisted, Shi Kuang reluctantly played. At the first notes, sixteen black cranes flew in from the south and perched on the eaves. As he continued, they formed orderly rows, and by the third movement, they stretched their necks to sing, spread their wings to dance, and their cries soared into the heavens, filling the audience with joy.

Finally, Duke Ping asked if there was anything more sorrowful than Qingzhi. Shi Kuang mentioned the Qingjue mode but warned that it was the music used by the Yellow Emperor when summoning spirits and deities at Mount Tai—a piece no ruler lacking sufficient virtue should hear. Through these musical episodes, the story illustrates the ancient belief in the profound connection between music and governance, where harmony in sound was seen as inseparable from harmony in statecraft.

During the reign of Duke Ping of Jin (ruler of the Jin state), the famous court musician Shi Kuang once played the sacred melody "Qingjiao" (said to have been composed by the Yellow Emperor). Shi Kuang warned: "This music should only be heard by rulers of profound virtue (De). Your Majesty's virtue is not yet sufficient - listening may invite misfortune." But Duke Ping insisted, saying he was old and simply loved music.

Reluctantly, Shi Kuang began playing. As the first movement sounded, black clouds gathered from the northwest. During the second movement, violent storms suddenly arose - tearing through ceremonial tents, overturning sacrificial vessels, and smashing roof tiles. The terrified audience fled in panic. Duke Ping cowered in a side chamber. Subsequently, Jin suffered three years of severe drought, and the duke himself developed malignant sores. This story illustrates how neglecting governance for sensual pleasures ultimately brings self-destruction.

Another anecdote tells of the greedy obstinacy of Zhi Boyao (a Jin minister of state). After allying with the Zhao, Han, and Wei clans to destroy the Fan and Zhonghang families, he demanded territory from Han Kangzi following years of military rest. Minister Duan Gui advised: "Zhi Bo is avaricious and stubborn. Refusal will provoke attack - better to appease him first. When he makes further demands on others and meets resistance, our opportunity will come." Han Kangzi complied, ceding a county of ten thousand households.

Emboldened by success, Zhi Bo next extorted land from the Wei clan, whose minister Zhao Jia similarly recommended temporary submission. But when demanding the territory of Caigaolang from Zhao Xiangzi, he met outright refusal. Zhi Bo then secretly conspired with Han and Wei to attack Zhao. In desperation, Zhao Xiangzi summoned strategist Zhang Mengtan for counsel. These episodes all demonstrate how greed, stubbornness, and rejecting wise counsel inevitably lead to self-ruin.

Zhang Mengtan (strategist) said to Lord Xiang of Zhao (ruler of the State of Zhao): "Lord Zhi Bo appears friendly outwardly but harbors treacherous schemes within. Having secretly contacted the states of Han and Wei three times while deliberately excluding you, his ulterior motives are evident. He will certainly dispatch troops to attack us—we must prepare our response now."

Zhang Mengtan advised: "When Dong Anyu (virtuous minister of Jin) governed Jinyang, Yin Zhuo (Jinyang official) continued his policies, preserving that administrative tradition. You should move the capital to Jinyang." Lord Xiang approved the proposal, sending Yan Lingsheng to lead an advance guard while following personally.

Upon arriving in Jinyang, they discovered broken city walls, empty granaries, depleted treasuries, armories lacking weapons, and nonexistent defensive structures. In panic, Lord Xiang summoned Zhang Mengtan: "Our defensive provisions are severely inadequate—how can we resist the enemy?"

Zhang Mengtan replied: "Enlightened rulers govern by nurturing their people, not hoarding supplies. Simply decree that citizens voluntarily contribute surplus grain to fill the granaries (requiring submission of excess after storing three years' rations), surrender spare funds to replenish the treasury (after reserving three years' expenses), and mobilize idle laborers to repair the walls." Within five days of the decree, granaries overflowed, treasuries were full, and the walls stood restored.

Lord Xiang still worried: "Now we lack arrows—what then?" Zhang Mengtan explained: "Dong Anyu originally used reeds and sturdy grasses for palace walls—these materials surpass hardwood for arrow-making." Harvesting these indeed solved the shortage. Finally, when metal was needed, Zhang Mengtan noted the palace's bronze pillars could be smelted for weapons, ultimately completing all defensive preparations. True to prediction, the allied forces of three states soon invaded.

This passage recounts a pivotal episode from the Battle of Jinyang during the Warring States period, when Zhao Xiangzi was besieged in Jinyang city by an alliance formed by Lord Zhi (Zhi Bo) with the states of Han and Wei, facing dire circumstances.

After three years of siege, Jinyang's food supplies were exhausted, forcing citizens to dwell in makeshift nests atop high structures and cook meals with pots suspended by ropes. Zhao Xiangzi confided in his strategist Zhang Mengtan: "Our provisions are nearly depleted, our soldiers weakened by hunger and illness—I fear we cannot hold out much longer. To which state should we surrender?" Zhang Mengtan replied, "I've heard it said: if one cannot transform peril into safety, what use is wisdom? Permit me to secretly venture beyond the walls to meet the rulers of Han and Wei."

When Zhang Mengtan met the Han and Wei lords, he invoked the principle that "when the lips perish, the teeth grow cold": "You surely understand that after Lord Zhi uses you to conquer Zhao, your own states will be next." Though the lords acknowledged this truth, they expressed fear: "Lord Zhi is notoriously violent-tempered. Should our plan be discovered, calamity would surely befall us." After Zhang Mengtan guaranteed absolute secrecy, the three parties covertly agreed to jointly oppose Lord Zhi.

Upon Zhang Mengtan's triumphant return with this news, Zhao Xiangzi was both astonished and overjoyed. Later, when the Han and Wei lords paid respects to Lord Zhi, his advisor Zhi Guo detected something amiss in their demeanor and urged immediate preemptive action. Lord Zhi dismissed these concerns, confident in his territorial agreement to divide Zhao's lands with his allies and convinced of their loyalty. Even when Zhi Guo repeated his warning the following day, Lord Zhi remained unmoved—an exchange that foreshadowed his eventual downfall.

This passage comes from Han Feizi, recounting two historical stories about governance.

The first story tells of Zhi Guo advising the powerful Jin minister Zhi Bo to either eliminate or win over the rival advisors. Zhi Guo suggested that after conquering Zhao, Zhi Bo should grant fiefdoms of ten thousand households to Zhao Jia (advisor to Wei Xuanzi) and Duan Gui (advisor to Han Kangzi) to secure their loyalty. However, the greedy Zhi Bo refused, fearing it would reduce his own territorial gains. Later, the Zhao clan breached dikes to flood Zhi Bo's army, while Han and Wei launched a pincer attack, leading to Zhi Bo's defeat and death. His territories were then divided among the three families. Han Feizi concludes: greed, stubbornness, and profit-seeking are fundamental causes of national ruin and personal destruction.

The second story features a dialogue between Duke Mu of Qin and the envoy You Yu. Sent by the Rong king, You Yu was asked by Duke Mu about governance principles. You Yu replied: "I've heard ancient enlightened rulers gained the world through frugality and lost it through extravagance." He cited examples: Yao ate from earthenware bowls and united the realm; when Shun began using lacquered utensils, some nobles rebelled; Yu crafted even more elaborate ritual vessels with vermilion designs. Through this, Han Feizi illustrates how extravagance leads to national decline.

Both stories embody Han Feizi's political doctrines of "governing through frugality" and "restraining greed," using historical cases to warn rulers that unchecked desires bring ruin.

This passage from Han Feizi illustrates the dangers of rulers indulging in pleasure while neglecting governance through two historical anecdotes.

The first story concerns Yu You, an advisor to Duke Mu of Qin. When Yu You, a capable minister from the Western Rong tribes, posed a potential threat to Qin, the court official Neishi Liao devised a stratagem: presenting sixteen court musicians to the Rong king to ensnare him in sensual pleasures. The plan succeeded—the Rong king became so absorbed in revelry that he neglected even starving livestock. Yu You's remonstrations went unheeded, driving him to defect to Qin. With intelligence provided by Yu You, Duke Mu conquered twelve Rong states. This demonstrates how a ruler's indulgence in sensory pleasures at the expense of state affairs invites national ruin.

The second episode involves Tian Chengzi, a powerful Qi statesman. While vacationing by the sea, he decreed death for anyone urging his return to court. Minister Yan Zhuoju risked execution by admonishing him, citing historical precedents of tyrants executing loyal advisors like Jie of Xia executing Guan Longfeng and Zhou of Shang executing Bi Gan. Moved by this appeal to duty over personal safety, Tian Chengzi returned immediately—just three days before an attempted coup was uncovered. This shows how prolonged absence from governance creates openings for rebellion.

Through these parables, Han Feizi emphasizes that rulers must practice frugality and diligence, shunning extravagance to deny opportunities to adversaries. The conclusion crystallizes the core principle: "Frugality is the Dao (the Way) of governance"—positioning temperance as the fundamental path for ruling effectively.

This passage recounts a dialogue between Duke Huan of Qi and his minister Guan Zhong, revealing profound principles of governance and personnel selection.

The strength of the Qi state relied on the contributions of virtuous ministers like Yan Zhuoju. Thus, it is said that if a ruler strays far from court and indulges in wandering, he endangers his own safety.

What does it mean to err yet refuse the counsel of loyal ministers? In the past, Duke Huan of Qi convened the feudal lords nine times, rectifying the realm and becoming the foremost of the Five Hegemons of the Spring and Autumn period—all thanks to Guan Zhong’s assistance. Later, when Guan Zhong retired due to old age, the Duke visited him and asked, "Father Zhong (an honorific for Guan Zhong), while you rest at home recovering from illness, should misfortune befall you, to whom should state affairs be entrusted?"

Guan Zhong replied that he was too old to speak much but still reminded the Duke: "No one understands ministers better than the ruler, and no one understands sons better than the father." He urged the Duke to judge for himself. The Duke first suggested Bao Shuya (Guan Zhong’s close friend), but Guan Zhong rejected this, explaining that Bao Shuya was obstinate—his harshness toward superiors would provoke the ruler, and his brutality toward inferiors would alienate the people, making him unfit to assist a hegemon.

Next, the Duke asked about Shu Diao (a eunuch). Guan Zhong dismissed this even more firmly, pointing out that Shu Diao had mutilated himself to serve the ruler—how could someone who did not cherish his own body truly revere his lord?

The Duke then proposed Prince Kaifang of Wei. Guan Zhong noted that Kaifang had spent fifteen years ingratiating himself with the ruler without once returning home to visit his parents. Such a man, who violated the bonds of kinship, could never be loyal.

The Duke inquired about Yi Ya (a chef). Guan Zhong replied that Yi Ya had steamed his own son to satisfy the ruler’s palate—how could someone who lacked love for his own flesh and blood be sincerely devoted?

Finally, Guan Zhong recommended Xi Peng, praising his steadfast integrity, frugality, and trustworthiness. He was capable of both governing subordinates and fostering harmony with neighboring states—an ideal aide for a hegemon. Yet, a year after Guan Zhong’s death, the Duke ignored this advice and instead elevated Shu Diao. Three years later, while traveling south to Tangfu, the Duke met with disaster.

Through Guan Zhong’s analysis, this dialogue illustrates that selecting talent requires examining one’s fundamental nature: those who do not love their own kin cannot be truly loyal to their ruler, and actions that defy human ethics often conceal treachery. Tragically, Duke Huan ultimately disregarded this warning, leading to his downfall.

The text recounts two historical anecdotes that illustrate the critical importance of governance and personnel selection.

The first story concerns Duke Huan of Qi's tragic lesson. The duke once promoted treacherous ministers like Yi Ya and Lord Kai Fang of Wei, which eventually plunged the state into chaos. In his frail old age, these very ministers rebelled, leaving him to die of starvation and thirst—his corpse lay unburied for three months until it became worm-infested. Though Duke Huan's armies had once dominated the realm, making him foremost among the Five Hegemons of the Spring and Autumn period, he ultimately perished at his ministers' hands, becoming an object of ridicule. This stemmed entirely from his willful disregard of Guan Zhong's dying admonitions in his later years.

The second tale recounts the folly of overestimating one's strength, seen in the case of Han. When Qin attacked Han's Yiyang territory, Han minister Gongzhong Peng advised his king: "Rather than relying on untrustworthy allies, we should negotiate peace with Qin through Zhang Yi, cede a strategic city, and jointly attack Chu." But when King Huai of Chu learned of this, he grew fearful and dispatched Chen Zhen to deceive Han. The Chu ruler feigned plans to rescue Han militarily, and the credulous Han king abandoned peace talks with Qin. Gongzhong Peng protested: "Qin genuinely seeks reconciliation, while Chu merely bluffs." The unheeding Han ruler soon saw Yiyang fall to Qin's armies, making his state the laughingstock of rival kingdoms. This demonstrates how domestic overreach coupled with foreign dependence leads to national decline.

Both narratives share a common moral: rulers must employ wise ministers judiciously and distinguish truth from falsehood—failure to do so invites calamity.

This story recounts how Prince Chong'er of Jin suffered disrespect during his exile in the state of Cao and later took revenge.

When Chong'er was in exile and passing through Cao, the ruler of Cao not only failed to receive him with proper courtesy but even rudely opened his robe to gawk at him. Ministers Xi Fuji and Shu Zhan were present as attendants, and Shu Zhan advised the Cao ruler, saying, "This Jin prince is no ordinary man. If you treat him so discourteously and he later returns to power, he will surely seek vengeance against Cao. It would be better to kill him now." But the Cao ruler refused to listen.

Xi Fuji returned home in low spirits, and when his wife asked why, he replied, "Today, our ruler treated the Jin prince with disrespect, and I was present. I fear disaster may befall me as well." His wife said, "To me, the Jin prince has the bearing of a true ruler, and his followers all seem like ministers of state. Though he is now in dire straits, Cao has treated him with contempt. If he ever comes to power, the first state he will punish is Cao. Why not distance yourself from this early on?" So Xi Fuji prepared a pot of gold, filled it with food, placed a jade disc on top, and sent it to Chong'er under cover of night. Chong'er accepted the food but returned the jade disc.

Later, Chong'er traveled from Cao to Chu and then to Qin. Three years later, Duke Mu of Qin gathered his ministers and said, "Duke Xian of Jin was once my friend, but his sons are unworthy, and I fear the ancestral sacrifices of Jin will be abandoned. In keeping with the duty of friendship, I intend to escort Chong'er back to claim the throne." The ministers all agreed. So Qin dispatched 500 war chariots, 2,000 elite cavalry, and 50,000 infantry to escort Chong'er back to Jin, where he was enthroned.

Three years after ascending as the ruler of Jin, Chong'er raised an army to attack Cao. He sent a message to the Cao ruler: "Hang Shu Zhan from the city wall for public display—I want to execute him in vengeance." To Xi Fuji, he sent another message: "With my army at your gates, I know you will not defy your ruler’s orders," subtly indicating that he would not hold him accountable. This episode illustrates how discourtesy can invite grave consequences, while those who understand the times and act wisely can preserve themselves.

This passage recounts the story of the state of Cao (a minor state during the Spring and Autumn period) facing imminent destruction due to its disregard for ritual propriety. The narrative describes how the ruler of Cao initially intended to issue an order forbidding his troops from harassing the common people. However, when the citizens of Cao heard of this, over seven hundred households rushed to protect the residence of a virtuous man named Xi Fuji. This incident reveals that although Cao was a small state precariously sandwiched between the two major powers of Jin and Chu—with its ruler's position as unstable as a stack of eggs—it still treated its people with disrespect, which became the fundamental cause of its downfall.

Han Feizi concludes by observing that minor states that neglect ritual propriety (li) and ignore the counsel of remonstrating ministers inevitably court the danger of collapse. Here, "ritual propriety" refers to the fundamental norms and moral principles that maintain social order, regarded during the Spring and Autumn and Warring States periods as essential to governance.