The Symbolic Economy of the Hanfeizi

Home , Guanzi (text), Guan Zhong, Han Fei, Han Feizi, Li Kui (legalist), Shen Buhai

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ual efforts to cultivate virtue as the primary so- The Symbolic Economy of lution for the state’s most significant political, economic, and military challenges, Legalist the Hanfeizi thought was arguably more congruent with the bellicose and highly competitive political cli- Brandon King mate of its time. University of Pennsylvania This exceptional suitability most famously culminated in Legalism becoming the official state ideology of the Qin dynasty (221-207 B.C.), which unified the Chinese empire for the first The term “Legalism” has been generally used time. Even after the collapse of the Qin dynas- to refer to a group of Chinese thinkers who ty, however, the legacy of Legalist thought car- achieved some prominence during the Warring ried on. Although the Han dynasty adopted States period (481-222 B.C.). This group of Confucianism as its official state ideology, it thinkers typically includes, but is not necessarily nevertheless maintained much of the Qin em- limited to, Guan Zhong,1 Li Kui, Wu Qi, Shen pire’s governing infrastructure. Perhaps more Dao, Shen Buhai, Shang Yang, Li Si, and Han importantly was the ongoing legacy of structur- Fei. These figures and their contributions to al competition, along with a merit-based hierar- statecraft represented an opposing political vi- chical ranking system meant to reflect the re- sion from other competing schools of thought sults of this competition, being used as a meth- at the time—schools such as Confucianism, od of organizing the empire—a legacy that last- Mohism, and Daoism. ed throughout imperial Chinese history. My use of the term “Legalism,” however, is In this paper however, I will focus on Le- different. I use it to refer to a group of extant galist thought as revealed in the Hanfeizi texts that possess distinctly shared characteris- (HFZ)3—a text traditionally attributed to Legal- tics. More specifically, I use the term to refer to ist founder, “Master Han Fei.”4 In particular, the political visions expressed in Book of Lord much of the analysis in this piece comes from Shang, the “Shen Buhai fragments,” the “Shen the “Outer Compendium of Explanations, Dao fragments,” the Han Feizi, and even select 2 chapters in the Guanzi. 3 OCELL 33 uses Confucians (Ru ) and their behav- Regardless of how the term is used, the re- ioral rituals to illustrate a unique aspect of the HFZ’s markable success of the political philosophy political vision: a pedagogical mission. For a deeper dis- associated with it is impossible to ignore. cussion of the pedagogical quality of the Legalist political Known especially for its harsh criticisms of ear- vision, see: Brandon King, “The [Not So] Hidden Cur- riculum of the Legalist State in the Book of Lord Shang ly Confucian thought that championed individ- and the Han-Fei-Zi,” Comparative Philosophy 9, no. 2 (2018): 69-92. 4 The authorship of OCELL has been a subject of de- 1 It is important to note that Guan Zhong is the only bate, but the possibility of Han Fei’s authorship has not figure that is thought to have lived during the Spring and been ruled out. In fact, Lundahl saw enough justification Autumn period (770-482 B.C.). to consider the inner and outer “Compendium of Expla- 2 A longer discussion of the textual core, or distinctly nations” chapters “authentic.” See: Bertil Lundahl. Han shared characteristics, of Legalist texts can be found in Fei Zi: The Man and the Work.(Stockholm: Institute of Brandon King, Adapting with the Times: Fajia Law and State Oriental Languages, Stockholm University, 1992), 146- Development (Dissertation, Chinese University of Hong 153. Kong, 2015).

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Lower Left” (OCELL),1 which is a subdivision and disadvantages of their promoted statecraft, within a larger unit of chapters in the Hanfeizi approaching Legalist governance as pedagogy (HFZ). Each subdivision begins with assertions requires more exploration of the shared experi- and advice about governance, followed by sto- ence of state subjects. Grounding itself on the ries or excerpts meant to illustrate them. distinctly shared conception of law found in Throughout, I will explore how rewards and Legalist texts, this methodology concentrates its state organization accomplish a state objective attention on rewards and what their associated beyond coordinating the interests of the ruler state institutions communicate to the populace. and his subjects.5 So, while there is an appreciation for the im- Typically, examinations of pedagogy are re- portance of punishment and its deterring ef- served for texts associated with the Confucian fects, I am most interested in the aspects of tradition. In contrast, Legalist texts,6 such as the statecraft that facilitate positive action common HFZ, the Book of Lord Shang (BLS), the “Shenzi amongst the populace. Fragments,” the “Shen Buhai Fragments,” and Additionally, I also appreciate the Legalist the Guanzi, are considered either anti- view of history—perhaps best articulated in the pedagogical or unconcerned with populace BLS and HFZ. In other words, Legalist peda- learning. gogy should be understood as context- Indeed, we can find passages in the BLS dependent, or responding to the problems of that specifically criticize Confucian moral culti- its time through requiring the subject’s contri- vation and education. However, if we reex- bution to state wealth and strength. amine Legalist texts with a broader, sociological In short: The ruler creates laws that are in- conception of pedagogy, one that recognizes fused with values suitable for the times and cir- how learning and education can take place be- cumstances. Laws then facilitate a social prac- yond the context of individual cultivation, then tice through rewarding contributions to collec- it becomes apparent that the Legalist political tive survival and prosperity that are in accord- vision does facilitate a distinctly shared collec- ance with state values, while punishing the sub- tive culture through specific state practices. ject’s pursuits of profit and fame that occur at While much of the analysis of Legalist texts the state’s expense. In this sense, the law and its focuses on the ruler, methods for creating and reinforcements fundamentally shape individual maintaining social order, and the advantages identity according to what the ruler defines as collective need.

5 Schneider argued that the HFZ ideal state possesses a public “justice” (gong yi ), one of “order giving and Precedent for Treating Legalist order taking” (Schneider 2014: 30), that aligns the ruler’s interests with those of his ministers and the rest of his Thought as Pedagogical populace. See: Henrique Schneider, “Han Fei and Jus- tice,” Cambridge Journal of China Studies, 9, no.4 (2014): 20- It should be noted that this study would not be 37. the first to suggest that there is a pedagogical 6 I will not engage in a discussion over the ways the term “Legalist” has been problematized. An extended discus- quality to Legalist governance. sion of this can be found in Paul R. Goldin, “Persistent Xu argued that the HFZ’s law can be con- Misconceptions about Chinese ‘Legalism’,” Journal of Chi- ceptualized as moral education. Since the HFZ nese Philosophy 38, no. 1 (2011): 88-104. Generally, I will insists that there are only a few people who can follow the argument in favor of the use of the term “Le- be relied upon to engage in goodness on their galist” found in King (2015).

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own accord, the law primarily educates by He suggested, given the objectives of the ideal blocking the pathways that would allow sub- state in the HFZ, that Legalist statecraft en- jects to engage in malfeasance, while causing courages behavioral conformity with a non- subjects to conform to what the state architec- moral normativity.10 Pines likewise noted that ture of governance encourages and discourages. the BLS does not speak of any “active dissemi- Xu also asserted that law is made public and nation of ideas or ideals amongst the popu- clear, accommodates the natural inclinations of lace.”11 human beings, and generally employs subjects Zhou, however, pointed out how some according to their respective talents. Through parts of the HFZ refer to Confucius approving- these aspects, the HFZ’s law teaches and trans- ly or as an authoritative source. This, according forms subjects on a social level rather than rely- to Zhou, is evidence of a general reverence for ing on them to do so on an individual basis.7 Confucius and his ideas about legal reinforce- Xie described the HFZ’s method of educa- ment, the reliability of the state apparatus, fair- tion through five aspects of his own. The quali- ness, balance, and the division between the rul- ty of education is rigid and non-accommodative er and ministers.12 Regardless of one’s position, to the love found in interpersonal relationships. it is clear that discourse about the moral and In addition, the HFZ’s law is used as a primary educational concern in Legalist text challenges source of teaching. As a result, the people will how they are traditionally interpreted.13 learn qualities and behavior the state considers So, whether or not HFZ’s reference to desirable from the good faith and mutual trust Confucians represents an appeal to authority or demonstrated by the implementation of the law merely a mouthpiece through which it com- and the ruler-subject relationship. Xie also ar- municates its own ideas, the text nevertheless gued that the ruler himself should exemplify the depicts a culture within which economic and aforementioned desirable character traits and symbolic capital are accumulated through the behaviors to further reinforce the teachings in enforcement of state law—that is, they are the law.8 Shi has asserted that the Legalist notion of law uses morality to assist in the implementa- 10 Eirik Lang Harris, “Han Fei on the Problem of Morali- tion of the legal system by praising those who ty,” in Paul R. Goldin (Ed.), Dao Companion to the Philoso- earn rewards and eliminating those who deserve phy of Han Fei, (New York: Springer, 2013), 126. 9 punishment. By way of contrast, Harris put 11 Yuri Pines, The Book of Lord Shang: Apologetics of State forth an argument that would bring into ques- Power in Early China (New York: Columbia University tion the moral nature of Legalist governance. Press, 2017), 95. 12 Zhou Chi Cheng. “Lun Hanfeizi Dui Kongzi Jiqi Sixiang De Renshi He Taidu” 7 Xu Jianliang , Xian Qin Fajia De Daode Shijie , Zhexue Yan- (Beijing : Renmin Chu- jiu no. 11 (2014): 31-32. banshe , 2012), 345-369. 13 Zhao asserted that Legalist government was mainly 8 Xie Yun Fei . Hanfeizi Xilin (Taibei: about enhancing the power of the ruler and making the waging of war more efficient. This, according to Zhao, Dong Da Tushu Youxiangongsi , partly explains how absolutism remained in China while 1989), 104-105. the Europeans experienced the emergence of liberalism 9 Shi Xianqun . Fajia “yifazhiguo” sixiang yanjiu and socialism much sooner. See: Zhao Dingxin. The Con- “” (Beijing : Renmin fucian-Legalist State: A New Theory of Chinese History (New chubanshe , 2010), 175. York: Oxford University Press, 2015).

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meant to inculcate and reinforce state-based State Work Ethic valuation14 of the subject’s worth.15

I have previously argued that the state ap- The HFZ imagines proper administration of paratus described in Legalist texts inherently the law to subtly teach subjects what is some- possesses the pedagogical quality of Philip Jack- 16 times referred to today as the “myth of person- son’s “hidden curriculum.” Focusing on one al responsibility,” a phenomenon associated aspect of it, this study will elaborate on the with conservative politics seeking to legitimize HFZ’s “symbolic economy,” how it works, and the influence of market forces on social out- what function it serves. Drawing from the 17 18 comes. thought of Bourdieu and Goffman, this Subjects are supposed to internalize the idea study ultimately hopes to show that deep un- that they are the makers of their own fate, with derstanding of the ideal state found in HFZ and their material circumstances and social prestige other so-called Legalist texts requires a socio- being solely authored by their own efforts.19 logical or institutional approach to state values This explains why the HFZ conceptualizes the and pedagogy. rewarded as feeling no indebtedness to the rul-

er, because they understand that they deserve the reward, and the punished as feeling no resent-

14 ment, because they understand that they deserve My use of “values” here follows that found in King 20 (2018: 3). My conception of “values” refers to the activi- the punishment. This attitude is also illustrat- ties that state law most positively reinforces. In other ed in HFZ by the amputee who explains why words, I am considering the pursuit of one’s personal he did not seek vengeance against Zi Gao.21 gain through what the state considers a recognizable con- In addition to the so-called “myth of per- tribution to its wealth and strength as behavior that nec- 22 essarily upholds state values. sonal responsibility,” “Prominent Teachings” 15 In fact, Yi went so far as to assert that the idea of a adds that when a state lacks a culture of merit, ruler informing the law with norms and standards that it not only encourages free-riding but creates an define social practice, determine individual fortune, and impoverishing welfare state. The chapter says: facilitate the state’s economic development through the encouragement and restraint of specific behaviors origi- nates with Pre-Qin Confucian thought. Yi Xian Rong, The learned men-of-service of the present “Xian Qin Rujia Zhidu Sixiang Ji Xiandai Zhuandai—Yu generation speak of order a lot saying: Xiangdai Zhidu Jingji Xue Bijiao Yanjiu” “Give the poor and destitute land in order —, Qi Lu to enrich those who lack resources.” Now Xue Kan no. 5 (1995): 22. Yi even mentioned suppose there is a person [in] similar [con- that “Outer Compendium of Explanations, Upper Left” ditions] to others that does not experience chapter quotes Confucius in an effort to describe how a bumper-harvest year and is without the the ruler acts as the embodiment of the political system: “When the basin is square, the water in it will also be benefit of a side (additional) income; yet, square. When it is round, the water in it will be round.” (Yi 1995: 22) 19 This can be found in the “Five Vermin” (Wu Du) 16 King, 2018. [49] chapter. See: Chen Qiyou , Hanfeizi Xin 17 Pierre Bourdieu, The State Nobility: Elite Schools in the Field of Power, translated by Loïc Wacquant, (Cambridge: Jiaozhu (Shanghai : Shang Hai Gu Ji Polity Press, 1996). Chu ban she, 2000), 19.49.1111-1112. 18 Erving Goffman, Asylums: Essays on the Social Situation of 20 Ibid., 16.38.906. Mental Patients and Other Inmates, (Garden City, N.Y.: 21 Ibid., 12.33.722. Doubleday, 1961). 22 xian xue [50].

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by himself, he is able to become self- ly, discourages a work ethic that is central to its sufficient. If it is not due to his diligence, it sociopolitical project. is due to his frugality. Now suppose there is a person [in] similar [conditions] to oth- The Symbolic Economy ers that did not suffer famine, major illness,

significant calamity, and committed crimes. Reinforcing subjects’ cultivation of a work ethic Yet, by himself, he has become poor and and personal responsibility for their material destitute. If it’s not due to his extravagance, and social conditions, the state’s architecture of it is due to his laziness. The extravagant governance in HMZ creates what this study is and lazy are poor. The diligent and frugal calling a “symbolic economy.”24 are wealthy. Now, when the ruler levies Assuming a natural inclination towards taxes in order to give to poor households, profit and fame and an aversion to danger and this is to steal from the diligent and frugal loss,25 wealth and social privilege serve as moti- and give to the extravagant and lazy. Under vating forces. The more extraordinary a sub- these conditions, it is impossible to desire ject’s performance in state-promoted pursuits, and demand the people to endure suffering the more merit she accumulates. This results in (making great effort in agriculture) and be 23 higher rank, office, wealth, and social status. frugal. Through these causal relationships, the state

correlates individual performance of state val- This judgment against the poor indicates an ues with their material conditions and prestige. ideological commitment to establishing a cul- OCELL 33 begins to depict the ritualistic ture of personal responsibility. Not only are the foundation for such a sociopolitical project poor described as extravagant and lazy, but the when it assigns greater value to that which is in act of levying taxes and providing assistance to a higher spatial position. It states: the poor is called stealing (duo) from the wealthy whose riches are assumed to be a Viscount Jian of Zhao said to his attend- product of diligence and frugality (jian). The ants: “The mat in the carriage is too beauti- wealthy are therefore more deserving of greater ful. Indeed, the crown, however humble [in material welfare and social privilege. appearance], must be worn on the head. Moreover, material conditions are actually Shoes, however noble [in appearance] must indicators of the presence of certain virtues or be worn on the feet. Now, the carriage mat character flaws. The state credits the wealthy is extraordinarily beautiful. What shoes can with possessing the virtues of diligence and fru- I wear [on it]? Wearing the beautiful below gality, while disparaging the poor for their ex- and the humble above is to harm the foun- travagance and laziness. The wealthy earned dation of righteousness.”26 their privilege while the poor deserve to suffer for their depravity. This explains why taxing the The above passage’s promoted form of right- wealthy to give to the poor interrupts what the eousness (yi ) does not have the same mean- HFZ views as an already distributively just out- ing as what we find in the Analects. come. This kind of tax policy, just as important-

24 Inspired by Bourdieu (1996). 25 Chen, Hanfeizi Xin Jiaozhu, 4.14.279. 23 Ibid., 19.50.1134. 26 Ibid., 12.33.736.

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For instance, the Analects says: “With regard Our chapter of focus then connects this to the world, the gentleman has no predisposi- anatomy of symbolic organization to the ritual- tions for or against any person. He merely asso- istic behavior of the Confucians. One story in ciates with those he considers right.”27 Slinger- OCELL 33 says: land notes that this passage is often understood metaphorically. It describes how a Princely Man King Xuan of Qi asked Kuang Qian: “Do (junzi), the embodiment of correct Confu- the Confucians (Ru) shoot dice?” Kuang cian practice, “relies upon his internal moral Qian replied: “No.” The King asked: sense” of right, along with his “situational re- “Why?” Kuang Qian says: “Those who sponsiveness.”28 To put it another way, an in- shoot dice attach great importance to the ternal sense of righteousness guides the morally owl. The winner must discard the dice [ef- excellent man to the most appropriate behavior fectively doing so to the engraved owl]. To even when there is no external set of standards discard the dice is to discard that which is coercing him. esteemed. The Confucians consider this On the other hand, righteousness in our harmful to righteousness. Therefore, they OCELL 33 passage refers to what is organiza- do not shoot dice.” The King again asked: tionally right, or just, based on an assignment of “Do the Confucians shoot [birds] with values to spatial position external to the self. stringed arrows?” Kuang Qian replied: Fundamentally, it contains no reference to spe- “No, because to do so is to shoot from be- cific ruler-approved channels for the subject’s low harming what is above. This is like a pursuit of personal gain. Instead, it represents a subject harming his Prince from below. general symbolic expression of assigned spatial The Confucians consider this harmful to values. righteousness. Therefore, they do not What is spatially higher should represent shoot [birds] with stringed arrows.”30 greater value than that which is spatially lower. More specifically, our passage insists on two The beginning of the passage makes clear that correlative relationships. The beauty of one’s what this study is calling “spatial position” clothing or accessories should reflect their val- should not be interpreted too literally. In other ue; while their value should correspond with their spatial position. This explains why the car- must use his worthiness in service to his superior, the riage mat being so beautiful presented a prob- ruler. If a minister allows his own fame and reputation to lem. The Viscount requested the mat’s removal undermine the ruler’s authority, this will bring chaos to because he lacked shoes, which would be posi- all under Heaven and should therefore be punished. See: tioned above the mat, which had greater beau- Luo Shi Lie, “Ruhe Renshi Ru Fa Liang Jia De ty.29 Sixiang—Jing Da Li Jin QuanTongzhi” ——, Si- chuan Daxue Xuebao: Zhexue Shehui 27 Edward Slingerland, Confucius: Analects: With Selections Kexueban no. 3 from Traditional Commentaries (Indianapolis, IN: Hackett (1982): 50-57. Publishing, 2003), 32. 28 Ibid., 32. 30 Chen, Hanfeizi Xin Jiaozhu, 12.33.737-738. Chen Qiyou 29 Luo metaphorically interpreted a similar passage from explained that there is an owl engraved on the dice. The OCELL 33 that asserts how the crown, regardless of its objective is to land on the owl, but when this occurs the relative beauty, should always be spatially higher than dice must be discarded. When one rolls and the dice do shoes. This, according to Luo, explains how a minister not land on the owl, then they can remain.

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words, the Confucians (Ru) didn’t shoot dice ennobling them by making them officers because of the conceptual value of the engraved and chiefs. Those who were unworthy they owl on them. To discard an object with an im- curbed and demoted, impoverishing and age of a living organism that is generally associ- debasing them by making them followers ated with a higher spatial position than Confu- and servants. In this way, the people were cians offended their sensibilities about what is all encouraged by their rewards and intimi- organizationally right. Not only is the engraved dated by their punishments, and followed owl not a living organism, but its spatial posi- each other in becoming worthy. In this tion is not necessarily above the Confucian way, the worthy were numerous and the shooting dice. Nevertheless, the conceptual unworthy few. This was spoken of as “ex- value of what the engraved owl represented alting worthiness.”31 required deferential behavior. Yet the passage does specifically connect In the Mozi, merit is primarily defined by virtue. the spatial position and value generally associat- The above passage argues that creating social ed with a bird to state organization. The text hierarchy according to this ideal has two main considers shooting birds flying above from a benefits. lower spatial position analogous to regicide or First, it harmonizes social relations. This harming one’s ruler. This is not necessarily as- form of social organization prevents factional- serting that birds generally have more value ism, partiality, and favoritism. Since all three of than human beings. However, it is worth noting these phenomena spring from people prioritiz- that the ritual of showing reverence to that ing their pursuit of personal gain at the state’s which is spatially higher corresponds with a rit- expense, we can say that this form of statecraft ual of showing deference to those in positions seeks to shape how its countrymen conceptual- of greater cultural value. The spatial ritual is not ize their self-interest. about recognizing a superiority of the birds Second, if we define a “worthy” as a person themselves relative to humans. Rather, it is who ideally exemplifies state values, then pro- meant to inculcate and reinforce a norm that moting the most virtuous helps to maximize recognizes the value of position and, by exten- the population of these individuals. This occurs sion, social station through ritual practice. in at least three ways. When a person’s actions Extrapolating this value system to the state lack worthiness, or they pursue their personal level creates a hierarchy of state worth based on gain and violate the law, they are impoverished, individual achievement of merit. Of course, this debased, and made into servants and followers. idea can also be found in the Mozi. In “Exalting This necessarily results in the experience of Worthiness II” we read: deprivation relative to other countrymen with more privilege, wealth, and status. Thus, supe- Therefore, the sage kings of old particularly riors effectively serve as extensions of the law followed exalting worthiness and employed that embody the relatively better material and utilizing ability and there were no factions social fates that await inferiors upon more suc- with fathers and older brothers, no partiali- cessful performance of state values. As a result, ty towards the noble and rich, and no favoritism towards those of fine appearance. They selected those who were worthy and 31 shang xian zhong [9], Mozi 9:1, Ian Johnston. The Mozi: A Complete Translation. (New York: Columbia Uni- gave them high positions, enriching and versity Press, 2010), 63.

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inferiors become even more motivated to redi- ence relative to base people. When nobility rect their pursuits of personal gain to be in ac- does not signify greater stature or power, this cordance with state rewards. Recognizing that undermines the state’s attempt to instill certain personal gain can only be achieved by obtaining values and traits within its populace. state rewards, subjects will concentrate their Yet OCELL 33 extends its vision for a hi- time and energy toward activities that develop erarchy of wealth and privilege further. It also the state. explains how its ideal state develops character Similarly, OCELL 33 promotes a form of traits within individual subjects through state state organization in which those with greater practice and its notion of what is organization- state worth are given more wealth and social ally right. To more concretely accentuate this privilege. Our chapter of focus immediately point, the text demonstrates how excessive in- follows its earlier examination of Confucians dulgence in virtue can weaken the state’s peda- ritual saying: gogical mission: “If ministers engage in modesty and frugality, then rank will be insufficient to The King [Xuan of Qi] again asked: “Do encourage and reward them.”33 the Confucians play the Se harp?” Kuang Recall how “Prominent Teachings” pro- Qian said: “No. Now, the Se harp uses moted frugality as an admirable trait that was small strings to make large sounds and associated with individual wealth relative to the large strings to make small sounds. This in- laziness or extravagance of the poor. In this terchangeability of large and small is akin chapter however, frugality is discouraged as a to the [social positions of] noble and base harmful virtue. Immoralist, amoralist, or anti- being interchangeable. The Confucians pedagogical readings of these passages may at- consider this harmful to righteousness. tribute the discrepancy to a logical inconsisten- Therefore, they do not play the instru- cy in the HFZ, the two chapters having differ- ment.”32 ent authors, or Han Fei himself pandering to two different audiences. Besides assigning value to spatial relation like Song however argued that the assertion high and low, the above passage treats relative that the HFZ rejects morality is misguided. He size the same way. The text indirectly but ex- insisted that we must view passages that seem- plicitly tells us that big strings should make big- ingly reject virtue within the context of the pub- ger sounds than relatively smaller strings, be- lic-private dichotomy running throughout the cause size should not simply describe physicali- text. When this occurs, the reader will find that ty. when the HFZ rejects virtue, it is speaking of Size should also signify quantity and stature. private virtue that can enable emotion to harm- Hence, the Confucians considered the inter- fully affect public working relationships. changeability of big and small on the Se harp as He additionally argued that the HFZ explic- analogous to the interchangeability of noble itly illustrates an ethical consciousness that and base. Big strings should signify greater and champions the promotion of those who engage more powerful sounds relative to smaller in good deeds and punishing those who com- strings, the same way nobility should indicate mit evil, like in chapters “Having Standards”34 greater wealth and more social prestige or influ-

33 Ibid., 12.33.720. 32 Chen, Hanfeizi Xin Jiaozhu, 12.33.738. 34 you du [6].

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and “The Way to Maintain a State.”35 Accord- cial privilege, they fail to act as extensions of ing to Song, this perspective even challenges the law that has rewarded them. They shirk the notion that Han Fei’s thought represents a their responsibility to produce the necessary form of despotism.36 envy and relative deprivation within their fellow With slight disagreement, this study argues countrymen—envy and deprivation that will the difference in attitudes toward frugality re- encourage them to perform better. flect the public-private (gong si ) conflict,37 If subjects are not adequately motivated to where the public’s welfare depends on complic- obtain personal gain within state-promoted ity within the symbolic economy. On the one channels, this threatens the state rewards sys- hand, the frugality present in “Prominent tem itself. To illustrate this point, OCELL 33 Teachings” was law-abiding and contributed to provides two stories: the public, consistent with production within ruler-approved channels. On the other hand, Meng Xian Bo was the chief minister in the OCELL 33’s notion of frugality hinders the state of Lu. Below his hall, he grew pulses pedagogical effects of the symbolic economy. and lamb’s quarters (weeds) and outside of In other words, frugality, especially com- his gate grew thistles and thorns. He did not bined with modesty (bei ), can result in social have two dishes (or more) in a meal and did and political superiors, who are theoretically the not sit on extraordinarily thick place mats. most high-achieving and should therefore be His concubines did not wear silk, and, at amongst the wealthiest subjects, failing to re- home, he did not feed his horses. When go- flect their state worth with beautiful clothing, ing out, he did not ride his carriages. Shu rare accessories, or any other markers to distin- Xiang heard this and told Miao Ben Huang. guish themselves from their relatively inferior Ben Huang disapprovingly said: “This to countrymen. When social and political superi- cast out and use the lord’s rank and emolu- ors do not show their enviable wealth and so- ments in order to [individually] gain favor with subordinates.” 35 shou dao [26]. According to a different source: Meng 36 Song Hong Bing. “Hanfeizi De Beju Mingyun Jiqi Xian Bo was appointed to High Official and Sixiang Tezhi” , Wen Shu Xiang went to congratulate him. By the Shi Zhi Shi no. 6 (2015): 39. gate, there was a horse not eating grain and 37 It should be noted that Goldin has challenged the in- Meng Xian Bo asked: “Why don’t you have terpretation of gong as “public”. He has argued that the two horses and two carriages?” Xian Bo re- HFZ presents a doctrine of self-interest in which gong plied saying: “I saw countrymen still having merely refers to the ruler’s self-interest. See: Paul R. looks of hunger. Because of this I do not Goldin, “Han Fei’s Doctrine of Self-Interest,” in After Confucius: Studies in Early Chinese Philosophy, (Honolulu: feed my horses. As for the elderly, many University of Hawaii Press, 2005), 58-65. Brindley has walk on foot. Therefore, I do not use two opposed Goldin’s view, however. She interpreted the carriages.” Xiang said: “I first came to con- notion of the gong as a notion of the “public” which acted gratulate your appointment to High Official. as a “transcendent ideal” that kept “royal power in Now I congratulate your frugality.” Shu check” in the late Warring States period (481-222 B.C.). For more elaborate discussion of this, see: Erica Brindley, Xiang then went to Miao Ben and said: “The Polarization of the Concepts Si (Private Interest) “Join me in congratulating the frugality of and Gong (Public Interest) in Early Chinese Thought,” Xian Bo.” However, Miao Zi said: “Con- Asia Major 26, no. 2, (2013): 1-31. gratulate what? Rank, emoluments, flags,

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and banners are what is used to differentiate harmful to the state. Why? The second story merit and demerit and distinguish the wor- most directly explains how behavior exemplify- thy from the unworthy. Therefore, the law ing frugality can be harmful. of the state of Jin holds that High Grand Meng Xian Bo exemplifies a frugality based Masters have two carriages and two har- on his own individual assessment of state wel- nesses. Middle Grand Masters have two car- fare and needs. Despite his good intentions, riages and one harness. Lower Grand Mas- this kind of frugality treats the obtainment of ters have one harness. This is to clarify rank rank, emolument, and other social privileges as and grade. Moreover, High Officials must solely an individual matter. Shu Xiang takes engage in military matters. For this reason, note of Meng Xian Bo’s admirable intentions they must engage in maintenance for their and commends him for them. Therefore, he carriages and horses, train foot soldiers, and augments the problem by providing social prepare chariots for waging war. Upon war- recognition and positive reinforcement for time, they prepare contingencies. If there is Meng Xian Bo’s expression of frugality based peacetime, they provide service to the court. on his personal evaluation and objectives. Now, he is bringing chaos to the govern- Miao Ben enters the situation as the voice ment of the state of Jin and lacks the prepa- of reason and champion of state objectives. He ration for contingencies in order to achieve highlights the importance of prioritizing the some conception of moral integrity and use public welfare and order above private interests it to glorify his own private reputation. in two main ways. First, he points out how What can we commend about Xian Bo’s Meng Xian Bo’s behavior produced effects di- frugality? Again, congratulate what?”38 ametrically opposed to his intentions. Choosing not to feed his horses, Meng Xian Bo failed to Notice how the first story doesn’t mention the properly maintain them and make them war- virtue frugality at all. However, it does describe time-ready. This shirks his responsibilities to many acts that would be described as frugal, adequately prepare for battle. Such instances of namely not having two dishes (or more) in a frugality deleteriously affect the state’s ability to meal, not sitting on extraordinarily thick place defend itself, thereby weakening the state more mats, not feeding horses, and concubines not than it saves it wealth. wearing silk. Second, and most importantly, Meng Xian This suggests that the text’s critique targets Bo refusing to use the two horses and two car- specific behaviors rather than engaging in a riages to which he is entitled harms the efficacy general attack on virtue. Nevertheless, our pas- of the symbolic economy and impedes the sage expresses substantial disagreement with state’s pedagogical mission. Miao Ben shows Meng Xian Bo’s behavior, which is called fru- that Meng Xian Bo’s behavior was not only out gality in the second story. Ben Huang accuses of step with the spirit of the law because he was Meng Xian Bo of attempting to curry populist not distinguishing himself as he should, but it favor amongst subordinates. Essentially, Meng also demonstrated little to no awareness that Xian Bo is characterized like other evil minis- rewards are a collective enterprise. When the ters who are described throughout the HFZ: state bestows rewards on Meng Xian Bo, he displaying a frugality that is self-interested and becomes a pedagogical force himself, acting as an extension of the law for others who want to

38 Chen, Hanfeizi Xin Jiaozhu, 12.33.745-746. strive for similar material circumstances and

social privilege. His wealth and status signal to First, the state teaches through institutional other subjects an enhanced quality of life upon conditions and arrangements. In other words, upward mobility. values and human development are primarily Instead, Meng Xian Bo’s frugality presents taught through the conditions under which a him to the rest of the state as though he is base subject lives in the state as opposed to a specif- or less esteemed. Such a public appearance fails ic and overt content.41 Second, due to its estab- to motivate others to invest in the state’s larger lishment of state hierarchy on the basis of per- sociopolitical project. Effectively ignoring the formance merit, law in the state creates the organizational ideal (or what earlier passages foundation of symbolic capital or the legitimat- referred to as righteousness), Meng Xian Bo’s ed recognition of wealth and social privilege. frugality shirks his duty to reflect his state The HFZ’s ideal subject enjoys more re- worth with the markers the state provides. sources—like privilege, wealth, and power—the Therefore, Meng Xian Bo’s frugality repre- more she increases her performance merit. sented a prioritization of his own “private” There is also an increase in the value or worth evaluation of state conditions or even a self- within state culture that she represents in the centered desire to accrue more social adoration eyes of his ruler, fellow subjects, and, most im- above the preservation of the public’s symbolic portantly, herself.42 economy. This should at least partially explain to us why the HFZ consistently rejects any condition Law and the Creation of Social in which subjects who lack merit receive rewards. It destroys the symbolic organization of Groups the entire state system and flies in the face of the work ethic it attempts to cultivate. We can say that the wealthiest and noblest sub- Exclusion from symbolic capital and cultur- jects are not supposed to just abide by the letter al worth is meant to teach non-elite subjects of the law, but also embody the spirit of the law. character traits that are associated with the cul- Their behavior’s association with material wel- tural worth or value of a social superior. Mak- fare and upward mobility legitimizes state prac- ing visible the juxtaposition of the exemplary tice. embodiment of state values and the failure to Hence, the HFZ’s ideal state compares well cultivate them, symbolic capital is what sustains with what Pierre Bourdieu called the “rite of the pedagogical value of rewards as a rein- institution,” producing a separate group of forcement for the law. It also is revealing of those with rank and merit, while ritually exclud- why the HFZ, in “Five Vermin,” envisions the ing those outside of it through wealth and so- law as the only teaching and officers as the only cial privilege.39 In other words, law provides the teachers.43 Social superiors are necessarily the “rational justification” for social groupings, es- most qualified to act as “teachers” to inferiors. pecially explaining why the elite deserve their This is the case for two reasons. status, privilege, wealth, and power.40 How it accomplishes this is complex. 41 Ibid., 84. 42 For more detail see: King, 2018.

39 Pierre Bourdieu, The State Nobility: Elite Schools in the 43 Chen, Hanfeizi Xin Jiaozhu, 19.49.1112. These exact Field of Power, 73. phrases can also be found in the Book of Lord Shang’s last 40 Ibid., 73. chapter, “Fixing Divisions” [55].

The mere existence of those with member- On the whole, the administration of the ship in the more privileged social ranks legiti- OCELL 33’s ideal state facilitates “many acts of mizes state values to those who have less privi- separation and aggregation” within the popu- lege, status, power, wealth, and no rank. From lace.45 The acts are both the “cause and effect”46 this pedagogical perspective, social superiors of the progression of state development. Ex- are even more than embodiments of the vari- ceptional behavior or performance within ruler- ous fates associated with extraordinary perfor- approved boundaries results in the obtainment mance within the confines of the law. They of- of the reward (effect) for an individual subject. fer a range of social performances, cognitive Once rewards (recognition) are obtained, this frameworks, and collective habits, all of which only serves to perpetuate the subject’s appetite are associated with greater personal gain. for rewards even more, causing them to engage At the same time, social superiors also rep- in the same category (within ruler-approved resent greater competence, character develop- channels) of behavior and performance that ment, and discipline. They represent those who earned them rewards in the first place (cause). have more successfully obtained objects of val- Interestingly, this same phenomenon occurs ue (profit and fame) within the established so- with punishments as well. It is exceptional be- cial environment. This is what enables the sym- havior or performance outside those bounda- bolic to communicate with what the HFZ con- ries that results in the suffering of punishment ceptualizes as human nature. Indirectly, higher or deprivation (effect). Once punishments or social groupings communicate the range of deprivation (sanction) are meted out, this moti- possibilities that lower groupings can explore if vates a subject to never engage in the same cat- they wish to achieve greater material and social egory (outside ruler-approved channels) of be- outcomes. havior and performance that cause them to suf- To be clear, this symbolic economy does fer punishment in the first place (cause). not seek to eliminate an individual’s sense of As a result, OCELL 33’s ideal state pos- self-interest. Rather, the state is exercising its sesses the duality of what Pierre Bourdieu has most direct pedagogical influence by regulating called the “unending” processes of “circular how subjects display their personal success. reinforcement.”47 Through this aspect of active governance, the conferring of rank and emolument does not Conclusion merely change the way inferiors view superiors.

It also changes the way the superiors view Examining our chapter of focus within the themselves. HMZ with a sociological lens provides insight Bourdieu explains that this has the “social into the subject’s experience of a “Legalist” force of a collective representation,” not just state. getting those who are excluded to view those of Primarily teaching behaviors through the status, wealth, and privilege as “different,” “de- distribution of wealth and nobility, the law in serving,” or “worthy,” but to get those who are OCELL 33 cultivates compliant patterns of be- included to recognize their own “difference” havior that create and reinforce a collective uni- and “worthiness.”44

45 Ibid., 104. 44 Pierre Bourdieu, The State Nobility: Elite Schools in the 46 Ibid., 104. Field of Power, 104. 47 Ibid., 104.

ty and key cultural distinctions within it. It re- Goffman describes this ward system as a fers to a condition in which social practice suc- “resocialization chamber” in which the promo- cessfully corresponds with internalized values— tions and demotions are “officially interpreted all of which are state-approved. Therefore, as psychiatric relapses or moral backsliding.”55 comprehensive understanding of the ideal state What also occurs is a reconceptualization of in the HFZ mandates an institutional approach the self. Upon a demotion in living arrange- to pedagogy. This leads us to conceptualizing ment, the self also loses significant status within the ideal state in the HFZ much like Erving the institutional complex. In other words, there Goffman’s “total institution”: “a place of resi- is a positive correlation between how one val- dence and work where a large number of like- ues herself and how others value her, on the situated individuals ... together lead an enclosed, one hand, and the institution’s decisions to formally administered round of life.”48 promote and demote, on the other. Researching the experience of patients in In this sense, institutional arrangements do mental hospitals, Goffman described how they not really support the self as much as they con- implemented a “ward system,”49 in which there stitute it.56 Therefore, we fail to comprehensive- are “a series of graded living arrangements.”50 ly engage the experienced self when it is as- The worst level was characterized by depriva- sumed to be “a property of the person to tion, or a living situation with little material whom it is attributed.”57 Instead, with an insti- comforts, consisting of “nothing but wooden tutional approach, we can conceptualize the self benches to sit on,” “quite indifferent food,” as a product of social forces and relationships and “a small piece of room to sleep in.”51 that resides in “the pattern of social control” This is contrasted with the “best level.”52 and prevailing arrangements within a regulated Patients in these living circumstances are given space.58 “a room of one’s own, ground and town privi- Therefore, moral concern in the HFZ leges, contact with staff that are relatively un- should be thought of in the way Goffman con- damaging, and what is seen as good food and ceived of the “moral career.”59 He described it ample recreational facilities.”53 These graded as the “sequence of changes” in the way an in- living arrangements are directly correlated with dividual conceives of “selves,” including “his the rules for the patients in the mental hospital. own” and others.60 Punishments often result in a loss of privileges OCELL 33’s symbolic economy not only and downgrades in one’s living arrangement, challenges our current understanding of the while steadfast obedience allows for possible political vision found in the HFZ and other Le- upward mobility into better living arrange- galist texts, but it also urges us to think about ments.54 state action today, on at least two levels. First, it reminds us of the power and influence state institutions can and do have on citi- zen behavior. Mechanisms of economic and 48 Erving Goffman, Asylums: Essays on the Social Situation of Mental Patients and Other Inmates, 11. 49 Ibid., 137. 55 Ibid., 150. 50 Ibid., 138. 56 Ibid., 154. 51 Ibid., 138. 57 Ibid., 154. 52 Ibid., 138. 58 Ibid., 154. 53 Ibid., 138. 59 Ibid., 154. 54 Ibid., 138. 60 Ibid., 154.

political control do not merely incentivize or “personal attitudes,”65 my analysis of OCELL deter. They impose and distribute values and 33 suggests that we must consider the extent to meaning to such an extent that we cannot fully which institutional arrangements create and understand ourselves without taking into ac- shape our character traits and how we measure count the social forces and relationships they their worth. facilitate. Ignoring the hegemonic forces at Instead of getting “rid of the habit of think- work in the definition of valuable production, ing of democracy as something institutional and legitimate knowledge, and useful habits results external,” perhaps we should heighten our in the reproduction of an already established awareness of how democracy is both internal— sociopolitical order. An investment in a sym- acculturated as “a moral ideal” and “way of bolic economy by those with political and eco- personal life”—and external—functioning as nomic power can play a very important role institutional power capable of constituting the fortifying such an outcome. self, facilitating or hindering self-determination, Second, adequately recognizing the stakes and shaping intelligence and its value through involved in defining culture requires the estab- prevailing arrangements and a variety of social lishment of counteracting forces against state forces.66 hegemony. Such a move requires us to unlearn Dewey’s thought still inspires us to utilize institutional ways of being and the habits they our “inventive effort and creative activity”67 to promote. Given this, the turn to John Dewey is develop democratic spaces and institutions that more than appropriate. are critical, encourage social engagements that Dewey insisted that the “task before us” imagine greater possibilities, and work toward was to develop a “creative democracy.”61 On the realization of much needed change. How- the one hand, this idea reminds us of our agen- ever just as the HFZ and other Legalist texts cy in authoring our “personal way of individual advocated for a contextually-defined and sym- life”62 while also warning about the dangers of bolically-reinforcing pedagogy that responded conceptualizing democracy as a political mech- to the conditions and problems of their histori- anism that perpetuates itself “automatically.”63 cal period, so too must our democratic spaces On the other hand, Dewey’s conception of and institutions today respond to the tensions, democracy relied heavily on a “working faith” struggles, and symbols that pervade our social, in the human capacity for intelligent judgment political, and economic reality. and cooperative action along with the potential to cultivate personal attitudes and working rela- Brandon King is a postdoctoral fellow at the University tionships that can combat the enemies of equal- of Pennsylvania. He has taught several courses on Chi- ity, justice, and freedom.64 Rather than thinking na and East Asia that explored religion, history, phi- of our “dispositions and habits” as mere “ex- losophy, law, politics, and international relations. His pressions, projections, and extensions” of our research focuses on ancient Chinese philosophy, particularly the political thought of the Legalist tradition dur-

61 John Dewey, “Creative Democracy—The Task Before ing the Warring States period. Most recently, he pub- Us,” in Jo Ann Boydston and Larry A. Hickman (Eds.), lished “The [Not So] Hidden Curriculum of the Legal- John Dewey: The Later Works, vol. 14, (Charlottesville, VA.: InteLex Corporation, 1996), 224. 62 Ibid., 226. 65 Ibid., 226. 63 Ibid., 225. 66 Ibid, 228. 64 Ibid., 226-227. 67 Ibid., 225.

ist State in the Book of Lord Shang and the Han-Fei- Zi” in the journal, Comparative Philosophy. He can be contacted for further engagement about his research at: [email protected]