The Book of Lord Shang

The Book of Lord Shang

Duke Xiao of Qin discussed with his ministers the great plan for strengthening the state. Three senior officials—Gongsun Yang, Gan Long, and Du Zhi—attended him. Together they analyzed changes in social conditions, examined the fundamental principles for revising the legal system, and sought methods for governing the people.

Duke Xiao said, “Having succeeded the former ruler and assumed the position of sovereign, one must never forget the affairs of the state and its ancestral altars. This is the principle a ruler ought to uphold. When establishing laws and regulations, one must ensure that the ruler's authority is clearly manifested. This is the standard of conduct for a minister. Now I wish to govern the state by reforming its laws and to educate the people by changing its established rites and customs, yet I fear that people throughout the realm will criticize me.”

Gongsun Yang replied, “I have heard it said: ‘Those who hesitate in their actions will accomplish nothing; those who waver in conducting affairs will achieve no results.’ Your Majesty should promptly resolve to reform the laws and pay no heed to criticism from the world. Moreover, those whose actions surpass those of ordinary people have always been condemned by conventional opinion, while those who possess original insights are ridiculed by the people around them. As the saying goes, ‘Foolish people do not understand how success was achieved even after it has occurred, whereas intelligent people can foresee developments before the first signs appear.’ It is also said, ‘The people cannot be consulted about the initiation of a great undertaking; they can only be brought to celebrate its success.’ The legal writings of Guo Yan state: ‘Those who pursue the highest virtue do not conform to conventional prejudices, and those who accomplish great undertakings do not seek the approval of the multitude.’ Laws exist to protect the people, and rites exist to facilitate the conduct of affairs. Therefore, when a sage governs a state, if he can make it prosperous and powerful, he need not adhere to its former laws; if he can benefit the people, he need not follow its old rites.”

Duke Xiao said, “Excellent!”

Gan Long said, “That is not so. I too have heard it said: ‘A sage does not change the established customs of the people when educating them, and a wise man does not alter existing laws when governing a state.’ Those who educate the people according to their established customs can accomplish their work without great difficulty. Those who govern according to existing laws allow officials to perform their duties with familiarity and ease, while the people remain settled and content. Now, if Your Majesty changes the laws, abandons Qin's established legal system, and alters the rites by which the people are instructed, I fear that the world will criticize you. I hope Your Majesty will consider this matter carefully.”

Gongsun Yang replied, “What you have said is precisely the opinion of conventional people. Those attached to antiquity cling stubbornly to old customs, while pedantic scholars confine themselves to doctrines they have already heard. Such people may be appointed to official positions to observe established laws, but they cannot be consulted about reforming those laws. The Xia, Shang, and Zhou dynasties followed different ritual systems, yet all three ruled the realm as kings. The Five Hegemons of the Spring and Autumn period employed different legal systems, yet each attained supremacy among the feudal lords. Thus intelligent people are capable of creating laws, while foolish people can only be constrained by them. Capable people reform rites, while incapable people can only be bound by them. Those constrained by old rites cannot be consulted on affairs of state, and those restricted by old laws cannot be consulted about legal reform. Your Majesty should hesitate no longer.”

Du Zhi said, “I have heard it said: ‘Unless there is a hundredfold advantage, do not change the laws; unless there is a tenfold improvement in effectiveness, do not replace existing implements.’ I have also heard: ‘One who follows the laws of antiquity will not commit errors, and one who observes established rites will not go astray.’ I hope Your Majesty will deliberate carefully on this matter.”

Officials must not be permitted to delay the handling of government affairs. In this way, self-serving officials will find no opportunity to seek private advantages from the people, and official business among senior ministers will not be delayed. When government business is handled without delay, farmers will have more time available. When self-serving officials have no opportunity to extract private benefits from the people, farmers will not be exploited. If farmers are neither exploited nor deprived of their available time, uncultivated land will certainly be reclaimed.

Land taxes should be collected according to grain production. In this way, state policy will be consistent, and the people will regard it as fair. Consistent state policy gives the people a clear understanding of the regulations. Once the people understand the regulations, senior officials will not dare to pursue private interests. When the people consider the system fair, they will feel content; when they feel content, they will not harbor disloyal intentions. If the state's land-tax system is clearly defined and officials dare not seek private gain, while the people are content and unlikely to develop disloyal thoughts, then the people will harbor no resentment toward the ruler above them and will have no reason to fear exploitation by officials.

When the people neither resent the ruler nor fear exploitation by officials, the older generation will devote itself actively to agriculture rather than changing occupations. When the older generation works diligently at farming, its descendants will certainly imitate their predecessors from generation to generation. If successive generations continue to devote themselves to agriculture, uncultivated land will certainly be reclaimed.

Official appointments and noble titles must not be granted to individuals because of their connections with foreign powers. In this way, the people will not place excessive value on learning or look down upon agriculture. If the people do not regard learning as a source of high status, they will remain ignorant. Being ignorant and lacking broad knowledge, they will not travel abroad to establish connections. If the people do not cultivate foreign connections, the state will face no danger from such activities. If they do not despise agriculture, they will work diligently rather than become idle. When the state faces no such danger and the people devote themselves tirelessly to farming, uncultivated land will certainly be reclaimed.

When scholar-officials and nobles receive generous salaries, collect substantial rents and taxes, and maintain numerous retainers, agricultural production suffers. Taxes should therefore be levied according to the number of retainers they support, and those retainers should be subjected to heavier labor obligations. In this way, idle dependents will no longer find places where they can live without working. Having nowhere to obtain food without labor, they will necessarily turn to agriculture. If they all engage in farming, uncultivated land will certainly be reclaimed.

Merchants must be prohibited from selling grain, and farmers must be prohibited from buying it. If farmers cannot buy grain, those who are lazy will be compelled to work diligently at agricultural production. If merchants cannot sell grain, they will be unable to obtain large profits even in years of abundant harvests. When large profits cannot be made in good years, excessive profits will be even less attainable in years of poor harvests. Without the prospect of substantial gains, merchants will have misgivings about their business. These misgivings will encourage them to take up farming. When idle farmers work diligently and merchants also wish to farm, uncultivated land will certainly be reclaimed.

Licentious music and extravagant or unusual clothing must not be allowed to become fashionable in the commanderies and counties. Thus farmers will not encounter strange clothing when they go out to work, nor will they hear decadent music when resting at home. If they do not hear decadent music during their rest, their minds will not become distracted. If they do not see unusual clothing while working in the fields, their thoughts will remain concentrated on agriculture. When their attention is undivided and their determination is not weakened, uncultivated land will certainly be reclaimed.