Shen Buhai (; c. 400c. 337) was a Chinese essayist, philosopher, and politician. He served as

Chancellor Chancellor ( la, cancellarius) is a title of various official positions in the governments of many nations. The original chancellors were the of Roman courts of justice—ushers, who sat at the or lattice work screens of a basilica or law cou ...

of the Han state under Marquis Zhao of Han for fifteen years, from 354 BC to 337 BC. A contemporary of syncretist

Shi Jiao Shi or SHI may refer to: Language * ''Shi'', a Japanese title commonly used as a pronoun * ''Shi'', proposed gender-neutral pronoun * Shi (kana), a kana in Japanese syllabaries * Shi language * ''Shī'', transliteration of Chinese Radical 4 ...

and Legalist

Shang Yang Shang Yang (; c. 390 – 338 BC), also known as Wei Yang () and originally surnamed Gongsun, was a Chinese jurist, philosopher, and politician.Antonio S. Cua (ed.), 2003, p. 362, ''Encyclopedia of Chinese Philosophy'"The fifth important legali ...

, he was born in the State of Zheng, and was likely a minor official there. After Han conquered Zheng in 375 BC, he rose up in the ranks of the Han officialdom, dividing up its territories and successfully reforming it. Though not dealing in penal law himself, his administrative innovations would be incorporated into "Chinese Legalist" statecraft by

Han Fei Han Fei (233), also known as Han Feizi or Han Fei Zi, was a Chinese philosopher or statesman of the "Legalist" (Fajia) school during the Warring States period, and a prince of the state of Han. Han Fei is often considered to be the greatest r ...

, his most famous successor, and Shen Buhai's book most resembles the

Han Feizi The ''Han Feizi'' or ''Hanfeizi'' (" ritings ofMaster Han Fei") is an ancient Chinese text named for its attribution to the political philosopher Han Fei. It comprises a selection of essays in the Legalist tradition on theories of state power, ...

(though more conciliatory). He died of natural causes while in office. Though Chinese administration cannot be traced to any one individual, emphasizing a

merit system The merit system is the process of promoting and hiring government employees based on their ability to perform a job, rather than on their political connections. It is the opposite of the spoils system. History The earliest known example of a me ...

figures like 4th century BC reformer Shen Buhai may have had more influence than any other, and might be considered its founder, if not valuable as a rare pre-modern example of abstract theory of administration.

Sinologist Sinology, or Chinese studies, is an academic discipline that focuses on the study of China primarily through Chinese philosophy, language, literature, culture and history and often refers to Western scholarship. Its origin "may be traced to the ex ...

Herrlee G. Creel Herrlee Glessner Creel (January 19, 1905June 1, 1994) was an American Sinologist and philosopher who specialized in Chinese philosophy and history, and was a professor of Chinese at the University of Chicago for nearly 40 years. On his retirement ...

sees in Shen Buhai the "seeds of the

civil service examination Civil service examinations are examinations implemented in various countries for recruitment and admission to the civil service. They are intended as a method to achieve an effective, rational public administration on a merit system for recruitin ...

", while the correlation between Shen's conception of the inactive (

Wu-wei ''Wu wei'' () is an ancient Chinese concept literally meaning "inexertion", "inaction", or "effortless action". ''Wu wei'' emerged in the Spring and Autumn period, and from Confucianism, to become an important concept in Chinese statecraft and Ta ...

) ruler and the handling of claims and titles likely informed the Taoist conception of the formless Tao (name that cannot be named) that "gives rise to the ten thousand things." He is attributed the dictum "The Sage ruler relies on standards and does not rely on wisdom; he relies on technique, not on persuasions."

Shenzi

Shen was known for his cryptic writing style. Because the writings attributed to him appear to be pre-Han dynasty, he is credited with writing a now extinct two chapter text, the ''Shenzi'' (), which is concerned almost exclusively with the philosophy of governmental administration. In 141 BC, under the influence of Confucians, the reign of

Emperor Wu of Han Emperor Wu of Han (156 – 29 March 87BC), formally enshrined as Emperor Wu the Filial (), born Liu Che (劉徹) and courtesy name Tong (通), was the seventh emperor of the Han dynasty of ancient China, ruling from 141 to 87 BC. His reign last ...

saw Shen Buhai's name was listed with other legalist thinkers whose ideas were officially banned from the government; from that point on, scholarship relating to Shen's ideas went into a steep decline, despite continued use of his foundational ideas in administration (much of which, consisting of skill and report checking, would be unavoidable). Widely read in Han times, in comparison to the still-complete

the Shenzi was listed as lost by the

Liang dynasty The Liang dynasty (), alternatively known as the Southern Liang () in historiography, was an imperial dynasty of China and the third of the four Southern dynasties during the Northern and Southern dynasties period. It was preceded by the South ...

(502-556). Appearing again in the bibliographies of both Tang histories, it's only traces remain as quotes in surviving texts in ''Qunshu Zhiyao'', compiled in 631, and ''Yilin'', compiled around 786. During the

Qing Dynasty The Qing dynasty ( ), officially the Great Qing,, was a Manchu-led imperial dynasty of China and the last orthodox dynasty in Chinese history. It emerged from the Later Jin dynasty founded by the Jianzhou Jurchens, a Tungusic-speak ...

, three major attempts were made to reconstruct the contents of the work, the last mention occurring in 1616, and in a library catalogue from 1700. Its fragments were re-assembled by

in Shen Pu-Hai: A Chinese Political Philosopher of the Fourth Century B. C.

Philosophy

The

Huainanzi The ''Huainanzi'' is an ancient Chinese text that consists of a collection of essays that resulted from a series of scholarly debates held at the court of Liu An, Prince of Huainan, sometime before 139. The ''Huainanzi'' blends Daoist, Confuci ...

says that when Shen Buhai lived, the officials of the state of Han were at cross-purposes and did not know what practices to follow. Though not unifying the laws as

did, what Shen appears to have realized is that the "methods for the control of a bureaucracy" could not be mixed with the survivals of feudal government, or staffed merely by "getting together a group of 'good men'", but rather must be men qualified in their jobs. Unlike Shang Yang, Shen therefore emphasizes the importance of selecting able officials as much as Confucius did, but insists on "constant vigilance over their performance", never mentioning virtue. In comparison with

on the other hand his system required a strong ruler at the center, emphasizing that he trust no one minister. Ideally, Shen Buhai's ruler had the widest possible sovereignty, was intelligent (if not a sage), had to make all crucial decisions himself, and had unlimited control of the bureaucracy - over which, in contrast to Shang Yang, he is simply the head. Championing ''Fa'' (法 "method"), Shen believed that the greatest threat to a ruler's power came from within, and unlike Han Fei, never preaches to his ministers about duty or loyalty. He insisted that the ruler must be fully informed on the state of his realm, but couldn't afford to get caught up in details and was advised to listen to no one - and does not, as

says, have the time to do so. The way to see and hear independently is by grouping particulars into categories through mechanical or operational decision making (Fa or "method"). Shen's doctrines, posthumously referred to by Han Fei as Shu or Techniques (a term Shen does not appear to have used), are described as concerned almost exclusively with the "ruler's role and the methods by which he may control a bureaucracy", that is, its management and personnel control: the selection of capable ministers, their performance, the monopolization of power, and the control of and power relations between ruler and minister which he characterized as

Wu Wei ''Wu wei'' () is an ancient Chinese concept literally meaning "inexertion", "inaction", or "effortless action". ''Wu wei'' emerged in the Spring and Autumn period, and from Confucianism, to become an important concept in Chinese statecraft and T ...

. They can therefore easily be considered the most crucial element in controlling a bureaucracy. More specifically, Shen Buhai's methods (Fa) focused on "scrutinizing achievement and on that ground alone to give rewards, and to bestow office solely on the basis of ability". Liu Xiang wrote that Shen Buhai advised the ruler of men use technique (shu) rather than punishment, relying on persuasion to supervise and hold responsible, though very strictly. Liu considered Shen's "principal tenet" to be (''Xing-Ming'' 刑名).Creel 1970 p.62. What Is Taoism? https://books.google.com/books?id=5p6EBnx4_W0C&pg=PA62 Representing equally applied checks against the power of officials, Xing-Ming seeks the right person for the job through the examination of skill, achievement and (more rarely) seniority.

Personnel selection

Shen Buhai's personnel control, or

rectification of names The rectification of names () is originally a doctrine of feudal Confucian designations and relationships, behaving accordingly to ensure social harmony. Without such accordance society would essentially crumble and "undertakings would not be comp ...

(such as titles) worked through "strict performance control"(Hansen), correlating performance and posts (Xing or Shih and Ming).Chad Hansen, 1992 p.359 A Daoist Theory of Chinese Thought https://books.google.com/books?id=nzHmobC0ThsC&pg=PA359 It would become a central tenet of both "Legalist" statecraft and its Taoistic derivatives. The correlation between Wu-wei and Xing-ming may have informed the Taoist conception of the formless Tao that "gives rise to the ten thousand things." In the Han Dynasty secretaries of government who had charge of the records of decisions in criminal matters were called Xing-Ming, a term used by

, which

Sima Qian Sima Qian (; ; ) was a Chinese historian of the early Han dynasty (206AD220). He is considered the father of Chinese historiography for his ''Records of the Grand Historian'', a general history of China covering more than two thousand years be ...

(145 or 135 – 86 BC) and Liu Xiang (77 BC – 6 BC) attributed to the doctrine of Shen Buhai(400 BC – c. 337 BC). Liu Xiang goes as far as to define Shen Buhai's doctrine as Xing-Ming. Shen actually used an older, more philosophically common equivalent, ming-shih, linking the "Legalist doctrine of names" with the name and reality (ming shih) debates of the

school of names The School of Names (), sometimes called the School of Forms and Names (), was a school of Chinese philosophy that grew out of Mohism during the Warring States period in 479–221 BCE. The followers of the School of Names were sometimes called the ...

. Such discussions are also prominent in the

. Sima Qian and Liu Xiang define Xing-Ming as "holding actual outcome accountable to Ming".Pines, Yuri, "Legalism in Chinese Philosophy", The Stanford Encyclopedia of Philosophy (Winter 2014 Edition), Edward N. Zalta (ed.), 1. Defining Legalism http://plato.stanford.edu/archives/win2014/entries/chinese-legalism/ Ming sometimes has the sense of speech—so as to compare the statements of an aspiring officer with the reality of his actions—or reputation, again compared with real conduct (xing "form" or shih "reality"). Rather than having to look for "good" men, Xing-Ming (or ming-shih) can seek the right man for a particular post, though doing so implies a total organizational knowledge of the regime. More simply though, it can allow ministers to come forward with proposals of specific cost and time frame, leaving their definition to competing ministers—the doctrine favored by Han Fei. Preferring exactness, it combats the tendency to promise too much; the correct articulation of Ming is considered crucial to the realization of projects.John Makeham 1994 p.67. Name and Actuality in Early Chinese Thought. https://books.google.com/books?id=GId_ASbEI2YC&pg=PA67 The logician

Deng Xi Deng Xi (; , c. 545 – 501 BCE) was a Chinese philosopher and rhetorician who was associated with the Chinese philosophical tradition School of Names. Once a senior official of the Zheng state, and a contemporary of Confucius, he is regarded ...

(died 501 BCE) is cited by Liu Xiang for the origin of the principle of Xing-Ming. Serving as a minor official in the state of Zheng, he is reported to have drawn up a code of penal laws. Associated with litigation, he is said to have argued for the permissibility of contradictory propositions, likely engaging in hair-splitting debates on the interpretation of laws, legal principles and definitions. Shen Buhai solves this through

Wu wei ''Wu wei'' () is an ancient Chinese concept literally meaning "inexertion", "inaction", or "effortless action". ''Wu wei'' emerged in the Spring and Autumn period, and from Confucianism, to become an important concept in Chinese statecraft and T ...

, or not getting involved, making an official's words his own responsibility.Makeham, J. (1990) p. 91. The Legalist Concept of Hsing-Ming: An Example of the Contribution of Archaeological Evidence to the Re-Interpretation of Transmitted Texts. Monumenta Serica, 39, 87-114. Retrieved from https://www.jstor.org/stable/40726902 Shen Buhai says, "The ruler controls the policy, the ministers manage affairs. To speak ten times and ten times be right, to act a hundred times and a hundred times succeed - this is the business of one who serves another as minister; it is the not the way to rule."Creel 1970 p.65. What Is Taoism? https://books.google.com/books?id=5p6EBnx4_W0C&pg=PA65 Noting all the details of a claim and then attempting to objectively compare them with his achievements through passive mindfulness (the "method of yin"), Shen Buhai's ruler neither adds to nor detracts from anything, giving names (titles/offices) on the basis of claim. Shen supported reward for visible results, using ming-shih for investigation and appointment, but the legal system of Han was apparently confused, prohibiting uniform reward and punishment. We have no basis to suppose that Shen advocated the doctrine of rewards and punishment (of

, as Han Fei did), and Han Fei criticizes him for not unifying the laws.

Wu wei

Earlier modern scholars suggested that Shen's statecraft blended with

Taoism Taoism (, ) or Daoism () refers to either a school of philosophical thought (道家; ''daojia'') or to a religion (道教; ''daojiao''), both of which share ideas and concepts of Chinese origin and emphasize living in harmony with the '' Ta ...

. Rather, since the bulk of the

Tao Te Ching The ''Tao Te Ching'' (, ; ) is a Chinese classic text written around 400 BC and traditionally credited to the sage Laozi, though the text's authorship, date of composition and date of compilation are debated. The oldest excavated portion ...

appears to have been composed later, it might therefore be assumed that Shen influenced the Tao Te Ching. Lacking any metaphysical connotation, Shen used the term

to mean that the ruler, though vigilant, should not interfere with the duties of his ministers. Following Shen,

strongly advocated

. During the Han dynasty up until the reign of Han Wudi, rulers confined their activity "chiefly to the appointment and dismissal of his high officials", a plainly "Legalist" practice inherited from the

Qin dynasty The Qin dynasty ( ; zh, c=秦朝, p=Qín cháo, w=), or Ch'in dynasty in Wade–Giles romanization ( zh, c=, p=, w=Ch'in ch'ao), was the first dynasty of Imperial China. Named for its heartland in Qin state (modern Gansu and Shaanxi), ...

. This "conception of the ruler's role as a supreme arbiter, who keeps the essential power firmly in his grasp" while leaving details to ministers, has a "deep influence on the theory and practice of Chinese monarchy." Shen Buhai argued that if the government were organized and supervised relying on proper method (Fa), the ruler need do little—and must do little. Unlike " Legalists"

and Han Fei, Shen did not consider the relationship between ruler and minister antagonistic necessarily. Apparently paraphrasing the

Analects The ''Analects'' (; ; Old Chinese: '' ŋ(r)aʔ''; meaning "Selected Sayings"), also known as the ''Analects of Confucius'', the ''Sayings of Confucius'', or the ''Lun Yu'', is an ancient Chinese book composed of a large collection of sayings a ...

, Shen Buhai's statement that those near him will feel affection, while the far will yearn for him, stands in contrast to Han Fei, who considered the relationship between the ruler and ministers irreconcilable.Pines, Yuri, "Legalism in Chinese Philosophy", The Stanford Encyclopedia of Philosophy (Winter 2014 Edition), Edward N. Zalta (ed.), http://plato.stanford.edu/archives/win2014/entries/chinese-legalism/ However, Shen still believed that the ruler's most able ministers are his greatest danger, and is convinced that it is impossible to make them loyal without techniques.

explains: "The ruler's subjects are so numerous, and so on alert to discover his weaknesses and get the better of him, that it is hopeless for him alone as one man to try to learn their characteristics and control them by his knowledge... the ruler must refrain from taking the initiative, and from making himself conspicuous--and therefore vulnerable--by taking any overt action." Emphasizing the use of administrative methods (Fa) in secrecy, Shen Buhai portrays the ruler as putting up a front to hide his weaknesses and dependence on his advisers. Shen therefore advises the ruler to keep his own counsel, hide his motivations, and conceal his tracks in inaction, availing himself of an appearance of stupidity and insufficiency. Shen says: Acting through administrative method (Fa), the ruler conceals his intentions, likes and dislikes, skills and opinions. Not acting himself, he can avoid being manipulated. The ruler plays no active role in governmental functions. He should not use his talent even if he has it. Not using his own skills, he is better able to secure the services of capable functionaries. Creel argues that not getting involved in details allowed Shen's ruler to "truly rule", because it leaves him free to supervise the government without interfering, maintaining his perspective. Seeing and hearing independently, the ruler is able to make decisions independently, and is, Shen says, able to rule the world thereby. This Wu wei (or nonaction) might be said to end up the political theory of the "Legalists", if not becoming their general term for political strategy, playing a "crucial role in the promotion of the autocratic tradition of the Chinese polity." The (qualified) non-action of the ruler ensures his power and the stability of the polity.

Yin (passive mindfulness)

Adherence to the use of technique in governing requires the ruler not engage in any interference or subjective consideration.Makeham, J. (1990) pp. 90-91. The Legalist Concept of Hsing-Ming: An Example of the Contribution of Archaeological Evidence to the Re-Interpretation of Transmitted Texts. Monumenta Serica, 39, 87–114.

John Makeham John is a common English name and surname: * John (given name) * John (surname) John may also refer to: New Testament Works * Gospel of John, a title often shortened to John * First Epistle of John, often shortened to 1 John * Seco ...

explains: "assessing words and deeds requires the ruler's dispassionate attention; (yin is) the skill or technique of making one's mind a tabula rasa, non-committaly taking note of all the details of a man's claims and then objectively comparing his achievements of the original claims." A commentary to the Shiji cites a now-lost book as quoting Shen Buhai saying: "By employing (yin), 'passive mindfulness', in overseeing and keeping account of his vassals, accountability is deeply engraved." The Guanzi similarly says: "Yin is the way of non-action. Yin is neither to add to nor to detract from anything. To give something a name strictly on the basis of its form – this is the Method of yin." Yin also aimed at concealing the ruler's intentions, likes and opinions.

Legacy

The

Shiji ''Records of the Grand Historian'', also known by its Chinese name ''Shiji'', is a monumental history of China that is the first of China's 24 dynastic histories. The ''Records'' was written in the early 1st century by the ancient Chinese his ...

records

Li Si Li Si (Mandarin: ; BCSeptember or October 208 BC) was a Chinese philosopher, politician, and calligrapher of the Qin dynasty. He served as Chancellor (or Prime Minister) from 246 to 208 BC under two rulers: Qin Shi Huang, the king of the Qin ...

as repeatedly recommending "supervising and holding responsible", which he attributed to Shen Buhai. A stele set up by

Qin Shi Huang Qin Shi Huang (, ; 259–210 BC) was the founder of the Qin dynasty and the first emperor of a unified China. Rather than maintain the title of " king" ( ''wáng'') borne by the previous Shang and Zhou rulers, he ruled as the First Empero ...

memorializes him as a sage that, taking charge of the government, established Xing-Ming - Shen Buhai and Han Fei's doctrine of personnel selection. The Shiji states that

Emperor Wen of Han Emperor Wen of Han (; 203/202 – 6 July 157 BCE), born Liu Heng (), was the fifth emperor of the Western Han dynasty in China from 180 to his death in 157 BCE. The son of Emperor Gao and Consort Bo, his reign provided a much needed stability ...

was "basically fond of Xing-Ming." The scholar

Jia Yi Jia Yi (; c. 200169 BCE) was a Chinese essayist, poet and politician of the Western Han dynasty, best known as one of the earliest known writers of ''fu'' rhapsody and for his essay "Disquisition Finding Fault with Qin" (''Guò Qín Lùn'' ), w ...

advised Wen to teach his heir to use Shen Buhai's method, so as to be able to "supervise the functions of the many officials and understand the usages of government." Two advisors to Wen's heir,

Emperor Jing of Han Emperor Jing of Han (Liu Qi (劉啟); 188 BC – 9 March 141 BC) was the sixth emperor of the Chinese Han dynasty from 157 to 141 BC. His reign saw the limiting of the power of the feudal kings/princes which resulted in the Rebellion of the Sev ...

were students of Xing-Ming, one passing the highest grade of examination, and admonished Jing for not using it on the feudal lords. By the time of the civil service examination was put into place, Confucian influence saw outright discussion of Shen Buhai banned. However, the Emperor under which it was founded,

, was both familiar with and favorable to Legalist ideas, and the civil service examination did not come into existence until its support by Gongsun Hong, who wrote a book on Xing-Ming. The

Emperor Xuan of Han Emperor Xuan of Han (Liu Xun 劉詢, né Liu Bingyi 劉病已; born 91 BC – 10 January 48 BC) was the tenth emperor of the Chinese Han dynasty, reigning from 74 to 48 BC, and was one of the only four Western Han emperors to receive a temple na ...

was still said by Liu Xiang to have been fond of reading Shen Buhai, using Xing-Ming to control his subordinates and devoting much time to legal cases.

Zhuge Liang Zhuge Liang ( zh, t=諸葛亮 / 诸葛亮) (181 – September 234), courtesy name Kongming, was a Chinese statesman and military strategist. He was chancellor and later regent of the state of Shu Han during the Three Kingdoms period. He is ...

attached great importance to the works of Shen Buhai and Han Fei.

Emperor Wen of Sui The Emperor Wen of Sui (; 21 July 541 – 13 August 604), personal name Yang Jian (), Xianbei name Puliuru Jian (), alias Narayana () deriving from Buddhist terms, was the founder and the first emperor of the Chinese Sui dynasty. The ''Book of ...

is recorded as having withdrawn his favour from the Confucians, giving it to "the group advocating Xing-Ming and authoritarian government". Regarded as being in opposition to Confucians, as early as the Eastern Han its full and original meaning would be forgotten. Yet the writings of

Dong Zhongshu Dong Zhongshu (; 179–104 BC) was a Chinese philosopher, politician, and writer of the Han Dynasty. He is traditionally associated with the promotion of Confucianism as the official ideology of the Chinese imperial state. He apparently favored ...

discuss personnel testing and control in a manner sometimes hardly distinguishable from the ''

''. Like Shen Buhai, he dissuades against reliance upon punishments. As Confucianism ascended the term disappeared,Creel 1970 p.90, What Is Taoism? https://books.google.com/books?id=5p6EBnx4_W0C&pg=PA90 * Creel, 1959 p. 210. The Meaning of Hsing-Ming. Studia Serica: Sinological studies dedicated to Bernhard Kalgren though it appears in later dynasties.

References

;Footnotes ;Works cited * Creel, Herrlee G., The Origins of Statecraft in China. * Creel, Herrlee G., Shen Pu-hai: A Chinese Political Philosopher of the Fourth Century B.C. * Duyvendak, J.J.L., The Book of Lord Shang: Translated From the Chinese with Notes by J.J.L. Duyvendak. * * Li, Shen
"Shenzi"
''

Encyclopedia of China The ''Encyclopedia of China'' () is the first large-entry modern encyclopedia in the Chinese language. The compilation began in 1978. Published by the Encyclopedia of China Publishing House, the encyclopedia was issued one volume at a time, begin ...

'' (Chinese History Edition), 1st ed. * Pan, Fuen
"Shen Buhai"
''

'' (Philosophy Edition), 1st ed. * Zhang, Guohua
"Shen Buhai"
''

'' (Law Edition), 1st ed.

External links

Hong Kong University The University of Hong Kong (HKU) (Chinese: 香港大學) is a public research university in Hong Kong. Founded in 1887 as the Hong Kong College of Medicine for Chinese, it is the oldest tertiary institution in Hong Kong. HKU was also the fir ...

Philosophy Department,
Shen Buhai
' {{DEFAULTSORT:Shen, Buhai 330s BC deaths 4th-century BC Chinese philosophers Chinese reformers Legalism (Chinese philosophy) Han (state) Philosophers from Henan Politicians from Henan Writers from Henan Year of birth unknown Zhou dynasty essayists Zhou dynasty philosophers Zhou dynasty politicians Zheng (state)