The wise ruler uses two handles to control his ministers: rewards and punishments.
Ministers fear reprimands and punishment, and are drawn away from the dread of them. Ministers like encouragements and rewards, and are drawn towards their abundance.
The wise ruler
sets up a system of positions, promotions, rewards, and encouragements for the people who are excellent and apply and display
their excellence. Thus, they will remain eager and motivated to achieve gain,
and everybody will achieve their objectives and benefits
To do anything
other than this will bring misfortune to the ruler.
We all know it
is human nature to choose safety and fortune over danger and misfortune.
Let’s say
the ruler’s ministers who are loyal to the ruler, are devoted to his advantages, and utilize their skills and wisdom
to do excellent acts, only end up miserable, poor, and encountering problems for themselves and their family.
And let’s
say the ruler’s ministers who are not loyal to the minister, and who constantly deceive him, and bribe others to procure
their own personal unjust gains, only end up achieving glory, riches and prosperity for themselves and their families.
If this indeed
is the case, why would anyone expect people to choose to leave a way of safety and fortune in order to choose a place of danger
and misfortune? And why would any leader expect his people to right and not wrong?
If this indeed is the case, the officials will definitely think, “It is impossible
for us to procure safety and fortune through being loyal, honest, proper, uncorrupt, well-serving to the ruler, obedient to
the law, and not greedy for money and rank. Thus, why shouldn’t we deceive
the ruler, participate in bad acts, neglect the law, only act in our interests, and do things to please and gain favor of
influential people?”
And then they will end up not caring at all about the ruler’s objectives, nor
will they care about his laws.
They will end up forming alliances to promote their own interests below, while the
ruler is getting increasingly vulnerable above.
However, if the ruler avoids this scenario, and instead uses the right people in
the right way, then they will enforce and clarify the laws, and discourage bad ministers.
This will bring respect and esteem to the ruler, and peace and strength to the state.
And with the laws clarified and enforced, this will ensure that reward and punishment are in place. And then the ruler will have a sage’s good decision making, and not be forced to follow normal convention. He will base his decisions on what really exists, and examine through checking and
seeing all angles.
If this indeed is the case, then all the people working for the ruler will know that
they cannot find gain and safety through deceit, falsehood, and unjust profits, and they will definitely think, “If
we do not avoid doing bad things, do not use our skills and strengths to aid the ruler, do not obey the law, do not stay uncorrupted,
and if we aim to make unjust profits by aligning with the wrong people and going against the law, then our situation will
be hopeless.”
If this indeed is the case, then the way to safety and danger will be clarified,
and no one will dare betray or deceive the ruler, or exploit the community for gain.
So the ministers will have all the motives and the freedom to act loyally and benefit from it, and the people will
do right, and the government will be strengthened.
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The wise ruler uses a system of advantages and disadvantages. He shows
everyone what is right and what is wrong. He clarifies standards. He offers rewards that can be earned, and institutes punishments that would be avoided.
Rewards should
be guaranteed and sufficient, so that people will pursue them. Punishments should
be guaranteed and sufficient, so that people will avoid them. Laws should be
consistent and steady, so that people will comprehend them.
If a ruler is constant
in giving rewards, and does not grant pardons when giving punishments, and if he makes rewards honorable and punishments disgraceful,
then everyone will try hard.
The wise ruler
makes punishment definite and authority clear.
If he is excessively
compassionate, then the law will be weak. If he lacks authority, then obedience
will be weak. If he does not make definite penalties, then law will be ineffective.
The wise ruler
is reliable in conferring rewards and honors, and making everyone utilize their ability.
If the rewards and honors are not enough or not absolute, there will be lack of obedience. But if they are adequate, then the people will be willing to do almost anything.
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If the ruler does not give properly, and instead gives aimlessly and heedlessly, then the ministers will take recklessly
and chaotically, and will expect rewards they are not worthy of. Then excellent
actions will not be regarded highly, and the excellent people will not be sufficiently rewarded. And then, it is only a matter of time before the state’s resources begin to deplete, the people will
be upset over this, and they will not utilize themselves to do what needs to be done.
Overuse rewards,
and you will lose the people. Overuse penalties, and you will lose the people’s
submission and respect. And if the rewards are unable to encourage and penalties
are unable to discourage, then the nation—even if large—will be vulnerable.
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King Hui of Wey
said to Pu P’i, “What do you associate with me?”
He replied, “I
hear your Majesty’s compassion and generosity.”
Delighted to hear
this, the King said, “So what do you think my endeavors will lead to?”
“Problems,”
Pu P’i replied.
The King curiously
said, “But compassion and generosity are good—so why would they lead to problems?”
Pu P’i replied,
“Compassion causes mercy. Generosity causes an enjoyment in conferring
favors. If you are too merciful, you will neglect condemning the faulty, and
if you are too enjoying of conferring favors, you will give out rewards before excellence appears. If the faulty go unpunished and the excellent are un-rewarded, then how can problems not arise?”
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If positions can be attained through influential personages, and rewards and ranks
can be procured by bribery, then this opens the way for misfortune.
If
the ruler is fond of dishing out unjust punishments, does not maintain the law, is fond of and easily drawn into impractical
arguments and debates, and participates in excessive wordiness, then this opens the way for misfortune.
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With clarified
law, there is strength. With neglected law, there is weakness.
In normal circumstances,
everyone knows that water overwhelms fire. However, when there is a kettle between
them, the fire will endure beneath, and the water will bubble and boil away on top.
In
normal circumstances, everyone assumes that the government will stop wrong just like water overwhelms fire. However, if the official in charge of affirming the law acts like a kettle, then the law will only be apparent
from the ruler’s viewpoint, and there will be no effective way to stop wrong.
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The way I have
described is the way to maintain strength among the people, and wealth among the nation.
A nation that runs this way will be strong and wealthy, even if small and not heavily populated. But conversely, a nation that runs contrary to this, even if large and populous, will not have the
backing of the people. The soldiers will not care about the land, and the people
will not identify themselves as citizens. No ruler—not even the sage rulers
Yao and Shun—and no dynasty—not even the three dynasties Hsia, Yin, and Chou—could reign well and be strong
in such conditions.
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Orders must deal
with human feelings—which have their fine points that reward and punishment must be based on.
