A commentary on Jie Lao of Han Fei: Concerning Statecraft - 1

An analysis of some of the Statecraft policies that are seen in the Jie Lao of Han Fri

Though there may be doubts as to whether Han Fei wrote the commentaries on a few verses of Dao De Jing or not, nevertheless, since the substance is important to know, over the one who conceived it, only the interpretation of the substance in the commentary shall be talked about, while I leave the question of authorship open. But so that we may be able to understand the entire chapter conveniently, it is necessary to divide it into the thought and the statecraft aspects, though it will be found that the latter depends on the former, and in the second part, we shall investigate the nature of the virtue that Han Fei-Tzu expounds.

Statecraft in Jie Lao:

On divination:

Though we may be prepared in statecraft, against many dangers, it is not possible to know and anticipate every danger which is to come. For this reason, divination was resorted to, by the various principalities and Republics. Rome had its augurs, the Indians had their astrology from the Veda-s, and the Chinese used tortoise shells for divination.

Nevertheless, in all these nations, is seen the disdain for divinatory methods, especially when it concerns the rulers. Machiavelli, in the Discourses, explains that when necessity called for taking action, despite unfavourable omens, the Romans did so, but without showing disdain for the divinatory rites themselves¹. Kauṭilya too shows some disdain, when he states faith in favourable omens to be an obstruction to wealth, and says that wealth passes away from him who enquires after the stars.²

Han Fei, in the Jie Lao, has stated that to anticipate something, is to make an arbitrary guess. The example of Chan Tzu and the white horned ox³, shows us that whatever was to be anticipated using elaborate methods of divination, can be achieved by using human effort instead, as shown by the example of the ignorant boy, who is able to find out what the ox is like, just by looking at it, instead of resorting to divination which requires elaborate processes, and which is prone to failure, more than direct perception is. And hence we see, that in another place⁴, Han Fei tells us that to seek victory or determine outcomes through divination, is stupid.

Instead, all the thinkers have emphasised, that what is necessary, ought to be done in any mode⁵, that wealth is attracted by power⁶, and instead of arbitrary guesses, one must emphasise principles⁷, which are qualities that distinguish things, over things like arbitrary guesses and divination, which are prone to error.

One therefore, draws a conclusion which does not fail: Relying on divination in the case of power, is to subject oneself to ruin, for by reliance on the stars, you either slacken in efforts when omens are favourable, or lose morale when they are not. In both cases, the one with greater spirit and discipline, will overcome those who are lacking, and Fortuna is conquered by one with Virtù.

On the need for frugality:

In our ages, frugality is derided, for it is seen to be an obstacle to living well. Regardless, Machiavelli and Han Fei have emphasised frugality as an important part of statecraft.

This may be contrasted with the emphasis on Artha in the Indian tradition, which means power, as well as wealth, and is considered to be one of the four aims of life. Apart from this, liberality is emphasised in the Indian tradition, being a duty for the wealthier men.

For Machiavelli, frugality is central to keeping any constitution stable. And for this, he says that to sustain a republic, one must keep the public rich, and the citizens poor⁸. Though by their words, it may appear that Machiavelli and Han Fei encourage poverty in the modern sense, which is another way to say destitution, but a closer examination will reveal, that this is actually the encouragement of frugality.

Now in the case of the former, the encouragement of frugality is necessary because if wealth is encouraged in a republic, it brings with it many dangers, like it happened with the Agrarian Law⁹, and also, the pursuit of wealth creates princes out of those who have greater spirit, bringing with it, corruption. This is the beginning of the end of a free mode of life, and this is what leads to the ruin of republics.

Han Fei, through the teachings of Tao, encourages frugality, because by the exercise of frugality, the spirits of the people are made orderly, and this causes lesser crimes to happen, which leads to lesser punishments. ¹⁰

Though one says that frugality is the basis of order, and the other says that frugality is the basis of liberty, I do not hold that order and liberty are opposed, for as spoken before, liberty itself is maintained with good orders of laws, customs and education.

But the Indian tradition, while encouraging wealth, tells us to be cautious, and to only pursue it as long as it does not harm Dharma (piety) and Kāma (ability to pursue pleasures). ¹¹

Thus we draw this conclusion: Though the pursuit of wealth is considered good, it is nevertheless of no good for the populace in the long run, for the great acquire at the expense of the others, and this breeds resentment against them. It is thus, preferable to have lesser desires, among the great and the masses, and to keep their possessions in check, so that they do not become a danger to liberty.

On taking inner feelings and qualities, and leaving outer appearances:

In the Indian tradition, the story of the potter-soldier and the king, illustrates that outer appearance is never an indicator of inner qualities. ¹²

Han Fei too, shows us, that outer appearance is never an indicator of inner qualities.¹³

By giving the example of the behaviour that takes place between father and son, Han Fei shows that familial ties need no superficial embellishment, for they are based on a deep feeling. On the contrary, are ties which are based on an elaborately designed code of conduct, like that between the courtiers, or that between courtiers and kings. Why such elaborate propriety exists, is because, being in a sovereign position, one is predisposed to conduct himself for maintaining or gaining influence and power; This is why, to prevent destablilizing conflicts, such codes are designed. Han Fei contrasts the case of familial ties with such relations, and concludes, that just like opposites can never flourish together, propriety and social bonds too, do not go together.

In the same way, Machiavelli shows, that the people are also deceived, by things which outwardly benefit, but beneath, there is harm and danger, and also in the cases of things which seem to harm outwardly, but beneath, is benefit.

Many times, deceived by a false image of good, the people desires its own ruin; and if it is not made aware that that is bad and what the good is, by someone in whom it has faith, infinite dangers and harms are brought into republics.

-Niccolò Machiavelli, Discourses on Livy, Book 1, Chapter 53

And when gain is seen in the things that are put before the people, even though there is loss concealed underneath, and when it appears spirited, even though there is the ruin of the republic concealed underneath, it will always be easy to persuade the multitude of it; and likewise it may always be difficult to persuade it of these policies if either cowardice or loss might appear, even though safety and gain might be concealed underneath.

-Niccolò Machiavelli, Discourses on Livy, Book 1, Chapter 53

From this, we may conclude, that to take no regard for outer appearances, and to consider inner feelings and qualities as the primary mode in which to judge people, is the best, for without this, one becomes a victim to deception.

Closing remarks

The nature of the statecraft thus seen in the Jie Lao, has parallels in other authors, who generally place later, or in the case of Indians, contemporarily to it.

But the parts seen thus far, seem to show that Han Fei was not someone who was fully wedded to an ideal vision, though the vision in Jie Lao does have elements which may be called ideal.

Nevertheless, the overarching themes in these few parts above suggest to us, a disdain for things based on a seemingly arbitrary basis which prevents power from being consolidated, an emphasis on frugality as well as focusing on inner qualities, over outer appearances.

On frugality though, is seen a discourse in an earlier chapter¹⁴, where it is seen that from the times of Yao to the times of the Shang dynasty, the extravagance increased and opposition to the state as well, from outside.

Han Fei would seem like a Luddite to many who read his work, and his emphasis on frugality may make us think of this. Yet, in a later chapter¹⁵, he seems to favour extravagant methods, by holding the usage of primitive technologies due to convention, to be worthy of contempt, despite them being effective in earlier times.

On divination, as we have seen above, the powerful, and those who seek power, have never held divinatory methods to be effective in the path to power. Han Fei makes this clear from his disdain for arbitrary guesses and divination, that it is not a very effective way to determine victory. For this, illustrative examples are given in chapter 19, where it is seen that many who set out for war, with favourable predictions, ended up losing it instead, along with their states. This he uses very effectively to illustrate his viewpoint.

Finally, his disregard for outer appearances and regard for inner qualities, while universal, is given a Daoist foundation, with the metaphor of the Yin and Yang, which never flourish together. This is one unique formulation, on which we do not see any parallels, or alternative conceptions, and this being unique, will always hold one in great fascination, on being read.

1. Discourses On Livy, Book 1, Chapter 14

2. Arthaśāstra, Book 9, Chapter 4, Verses 25-26

3. Han Feizi, Chapter 20, commentary on verse 38 of Daodejing

4. Han Feizi, Chapter 19

5. Discourses on Livy, Book 1, Chapter 14

6. Arthaśāstra, Book 9, Chapter 4, Verse 26

7. Han Feizi, Chapter 20, commentary on verse 38 of Daodejing

8. Discourses on Livy, Book 1, Chapter 37

9. Ibid.

10. Han Feizi, Chapter 20 commentary on verse 60 of Daodejing

11. Arthaśāstra Book 1, Chapter 7, Verse 5

12. Pañcatantra, Book 4

13. Han Feizi, Chapter 20, commentary on verse 38 of Daodejing

14. Han Feizi, Chapter 10

15. Han Feizi, Chapter 69