Han Xing

Abstract： The Book of History is rich in ideas on governance， which can be summarized as follows： virtue-based governance， having reverence for virtue and protecting the people， illustrious virtue and prudent punishment， punishment as a supplement to education and rites， and education before punishment. According to the book， virtue is the inner spirit of the ritual institution; the rule of virtue and the rule of rites are the basis of punishment; and there are dialectical and complementary relationships among the rule of virtue， the rule of rites， ritual institution， and punishment. On the basis of the Book of History， Confucius formed an overall framework for Confucian governance， integrating virtue， rites， regulation， and punishment， which can serve as an important resource underpinning todays efforts to modernize Chinas system and capacity for governance.

Keywords： Book of History， reverence for virtue， protecting the people， illustrious virtue， prudent punishment， punishment as a supplement to rites， system of governance， overall framework

The Book of History， also known as the Shujing or the Classic of History， is a multi-genre collection of ancient historical documents that was compiled and processed by Confucius to teach his students. It became more and more influential as one of the important Confucian classics. The Book of History is rich in ideas on governance. This paper examines its ideas of governance and summarizes its governance system， in order to provide intellectual resources and historical reference for modernizing Chinas system and capacity for governance.

Making Virtue the Basis of Governance， Having Reverence for Virtue， and Protecting the People [Refer to page 52 for Chinese. Similarly hereinafter]

The Book of History makes virtue the basis for governance. Its account of Yao and Shuns political practices reflects the rule of virtue that prevailed in the Mythical Period of the Five Emperors. According to “The Chronicle of Yao” [尧典] in the Book of History，

Emperor Yao was also sincere， able and his reputation lit up the four corners of the world， reaching from Heaven itself down to Earth. In him were combined all that was best from his ancestors and all that will be best of the generations to come. As a result， he was enlightened and virtuous and so he was able to make sure that the whole world lived in balance and harmony.

Yaos virtues created the ideal governance which Confucianism praised and aspired to： “When the Grand course was pursued， a public and common spirit ruled all under the sky” （Book of Rites， “Li Yun” [禮运]）. According to “The Chronicle of Shun” [舜典] in the Book of History， Emperor Shun proposed the virtues of uprightness and gentleness， generosity and prudence， fortitude without tyranny， and simplicity without arrogance as the basic requirements for a ruler. As recorded in “The Counsels of Gaoyao” [皋陶谟] chapter， Gaoyao discussed with Yu the Great how to govern the country with virtue， and proposed that a ruler should have nine virtues： “generosity balanced by discipline; evenness balanced by resolve; willingness balanced by respect; confidence balanced by reverence; assurance balanced by boldness; directness balanced by gentleness; simplicity balanced by discernment; verve balanced by integrity; and courage balanced by justice.” The nine virtues emphasize both virtue and actions， laying down the basic principle of Chinese political philosophy that virtue and actions are one and the same.

The reigns of Yao， Shun， and Yu the Great were based on morality and the selection of virtuous persons， which formed the traditional political culture of ancient China and was the source of Confucian political thought. In this culture， abdication was highly recommended by later Confucians. Abdication not only required the ruler to investigate the candidate he would abdicate to， but it also could not materialize until after the candidate was discussed and recommended by all leaders of the princes and had passed a test of performance. This illustrates that the abdication system was a primitive democratic system. Abdication was actually the intent to give up the throne to a virtuous candidate based on the fundamental principle of choosing the virtuous and appointing the capable. In a word， virtues were the fundamental requirements of a candidate that was to be abdicated to and he could not ascend to the throne until after he had been observed and tested over a long period of time.

In the Xia and Shang dynasties （ca. 2070–1046 BCE）， whether a ruler had virtues or practiced rule of virtue also became one of the important bases for political legitimacy. In the Book of History， virtue-based governance is discussed everywhere. For example，

It is not that I have given up on virtue， but you do not give me any respect. （“King Pan Geng， Part I” [盤庚上]）

Be virtuous toward the people. （ibid.）

One cannot reward virtue when it is not there. （ibid.）

Those who are criminals will die. Those who are good will be honored for their virtue. （ibid.）

And bear in mind that true virtue is the basis of good governance， and governance is deemed to be good if it contributes to the wellbeing of the people. See how the cosmos regulates the elements of water， fire， metal， wood， earth， and grain in order that it functions properly. Therefore， uphold virtue and this will increase wellbeing; support creativity and this will help balance all life. （“The Counsels of Yu the Great” [大禹谟]）

Yi Yin once again spoke sincerely to the king： “Come now， my king. As you know， Heaven does not have favorites. It simply rewards those who are respectful. It is the same with the people. They are not uncritical in their affection because they look to see who is really benevolent. The gods do not just accept any offering made to them. They only accept those offered with real sincerity. As you know， it is not easy to sit on the throne Heaven bestows. Where virtue is， order is there too. Where virtue is not—chaos.” （“Instructions to King Tai Jia， Part III” [太甲]）

Before the Western Zhou dynasty （1046–771 BCE）， the rule of virtue was mainly embodied in political practice， and as a conceptual form， it was still weak， or in its infancy. By the Western Zhou dynasty， it was further conceptualized and developed considerably， with the emergence of several concepts such as reverence for virtue， illustrious virtue， and protecting the people. In the Western Zhou dynasty， the idea that rulers should be virtuous as dictated by Heaven and have reverence for virtue and protect the people became the core of the rule of virtue. The early Zhou rulers reflected on the lessons from the fall of the Shang dynasty and reached a high degree of awareness of the rule of virtue. Wang Guowei 王國维 （1877–1927） said， “Virtue played a key role in the fall of Shang. Therefore， after Zhou defeated Shang， it was utterly devoted to the rule of virtue.” The Duke of Zhou and King Cheng of Zhou often recalled the virtues of former wise kings of Shang and Kings Wen and Wu of Zhou， and always denounced the sins of Jie of Xia and King Zhou of Shang. They governed the country based on the rule of virtue， and the most obvious facts were that the concepts of having reverence for virtue and being virtuous were established and they required that the concepts be implemented in concrete political practice.

Having reverence for virtue means acting on morality and pursuing the rule of virtue with reverence. This idea requires rulers to be careful not to indulge themselves or relax their duties. The early Zhou rulers summarized the lessons learned from the rise and fall of the Xia and Shang dynasties， and realized that the rise of the Xia and Shang was due to the fact that their former kings were virtuous， having received the Mandate of Heaven， were able to act according to the Mandate of Heaven， and had reverence for virtue. However， these dynasties “did not last as long as they should because they （later kings） did not have reverence for virtue” （Book of History， “The Pronouncement of Shao” [召诰]）. The rise of Zhou was due to the fact that their ancestors were able to “accumulate virtue and practice good deeds” and had virtue from generation to generation， and King Wen was “benevolent， respectful of the elderly， kind to the young， and courteous to the wise” （Records of the Grand Historian， “Annals of the Zhou Dynasty” [周本纪]）. Only by holding reverence for virtue like King Wen could a ruler win the hearts of the people and the blessing of Heaven， and make his reign last for a long time. Therefore， the Zhou rulers advocated “reverence for virtue.”

Moreover， phrases such as “undertake with proper respect” （Book of History， “The Solemn Announcement about Luo” [洛誥]） and “carry out duties with due care” （“Prince Shi” [君奭]） were frequently found in early Zhou announcements. Li Zehou 李泽厚 said， “‘Respect requires compliance and obedience and includes the meaning of prudence and worship since ‘virtue was originally associated with primitive shamanism， with the worship of mysterious ancestors， and with the beliefs in and concepts of ‘Heavens will and ‘Heavens Way.” Therefore， reverence for virtue means reverence for Heaven. It is an idea of heavenly legitimacy that the Zhou people derived from their past and current experiences.

Specifically， to have reverence for virtue， one has to “beware idleness，” “understand how hard farming is，” and “rule with reverence and compassion.” If one wants to “beware idleness” and “avoid excess， idleness， and sports such as hunting” （Book of History， “Beware Idleness” [无逸]）， one must be diligent in the affairs of state and restrain ones material desires to an appropriate level. It is immoral and dangerous to pursue material pleasures excessively. Shang defeated Xia because Jie was particularly lascivious during the later period of the dynasty， and Zhou replaced Shang also because King Zhou of Shang indulged in wine and sex all day long in the later period of the Shang dynasty， causing discontent in Heaven and among the people. To “beware idleness，” one also has to be thrifty and industrious， and to cherish resources such as food. The Duke of Zhou criticized those who did not know how hard farming was and the nobles for despising the common people.

In short， the Zhou people， through the idea of reverence for virtue， transformed the Shang dynastys theory of Heavens Mandate by filling it with the spirit of humanism. They turned a Deity-based culture into a human-based culture on the basis of the principle of change. To be more specific， they shifted from the God→king→subject theory of the “divine right of kings，” which was originally based on natural bloodlines， into the people→Heaven→king theory that “rulers should be virtuous as is dictated by Heaven.” This is a historical achievement.

Later the idea of protecting the people was developed based on a reverence for virtue. The reverence for virtue required the ruler to be virtuous as dictated by Heaven， and protecting the people was designed to maintain consistency between the will of the people and the Mandate of Heaven， so that the shift of Heavens Mandate was based on whether or not the ruler could protect the people. In this regard， the ruler was obliged to protect his subjects as if they were his children， so that they could live in peace and work happily. He was also required to be diligent in government， cultivate his morality， refrain from lust， impose lenient punishments on offenders， and to be oriented toward improving peoples wellbeing， as well as to formulate specific policies to protect the people.

Illustrious Virtue and Prudent Punishment as a

Supplement to Education [56]

The idea of “illustrious virtue and prudent punishment” is a philosophy and a system of governance. It was first introduced during the reign of King Wen of Zhou and flourished during the reigns of Kings Cheng and Kang. The idea can be found in the “Announcement to Kang” [康誥] and “The Many Places” [多方] in the Book of History. With a focus on governance， the former says that the Duke of Zhou told Prince Kang how to use punishment while implementing virtuous governance， wherein he must use the idea of “illustrious virtue and prudent punishment” as his guiding principle and code of conduct for governance， and he should rule， divide， conciliate， and punish the former residents of the Shang dynasty.

The idea of “illustrious virtue and prudent punishment” puts virtue first and punishment last， and the two supplement and support each other. This was the first time in the history of Chinese thought that virtue and punishment were explicitly combined together as one of the guiding principles of governance in the Western Zhou dynasty. This political philosophy was the origin of the classical Confucian idea that governance is based on virtue complemented by punishment. The political thoughts of Confucius， Mencius， and Xunzi in the pre-Qin period were mostly based on this idea.

How to apply illustrious virtue in the specific legal practice of prudent punishment？ The Book of History has the basic propositions as follows.

First， virtue is the foundation supplemented by education and punishment. The Duke of Zhou recognized that from Tang to Emperor Yi， the kingly Way was practiced and education and punishment were used to encourage people to behave better. According to him， “All the rulers were illustrious and virtuous. They were careful in how they decided upon punishments and therefore provided a good example. Whether they were executing those charged with many crimes or granting freedom to those who had been falsely accused， what they did inspired others” （“The Many Places”）.

By education， the Duke of Zhou referred to moral education， and he wanted kings to be virtuous themselves， thus the Book of History emphasizes the virtue of the kings first. As long as the king acted with virtue and set a good example in abiding by rites and laws， then the laws would be enforced by others. Later， Confucius inherited these ideas of the Duke of Zhou， and required rulers to “rule by means of virtue” （Analects 2：1） and to educate the people with virtue. He proposed education principles that “To govern means to be correct” （12：17）; “If one cannot rectify himself， what has he to do with rectifying others” （13：13）; and “The virtue of superior men is like the wind and that of petty men is like the grass： when the wind blows over the grasses， they will surely bend” （12：19）.

Second， education should come before punishment and punishment should serve to promote education. The Duke of Zhou recognized that in cases where both education and punishment are used together， the person should be educated first to give them a chance to reform. If a person continues to commit an offense after being educated， then it may be considered a deliberate transgression and must be penalized. It is said in “The Many Places” that， “As Tang taught in order to encourage people; he punished sinners also in order to encourage them.” This is an example of using punishment to promote education. The legal principle of integrating punishment with education to encourage people to behave well was highly respected and applied by the Zhou rulers. It was under the guidance of this idea of putting education first that the rulers of the Zhou dynasty repeatedly issued proclamations to teach criminals who did not respect Heavens Mandate， those who broke the law， those who stirred up trouble， and those dissidents who seriously undermined the ruling order， and when they rebelled， they were only suppressed， captured， and imprisoned， but were not killed indiscriminately. Only when they were stubborn in resisting education was heavy punishment inflicted on them.

Third， death should not be decreed according to personal views or whims， but according to what is right， to prevent indiscriminate killing. The idea is that the punishment should be appropriate to the crime and vice versa. This was a lesson learned from King Zhou of Shangs abuse of torture and killing of innocents， and a warning to the Zhou rulers that they could not abuse the punishment as they pleased.

The idea that death should not be decreed according to ones own views or whims， but according to what is right requires the use of punishment according to the code of law， namely the “old code of law” as Kong Anguo 孔安國 （ca. 156–76 BCE） said. The Duke of Zhou warned Prince Kang： “Do not listen to bad advice nor behave badly” （“Announcement to Kang”）. Rulers should base their punishments on the law， which was crucial to maintain social stability and prevent social unrest.

The Duke of Zhou also advocated that the severity of punishment should be adjusted according to the sinners confession of guilt， saying that： “Be enlightened in your use of punishments. If someone commits a minor crime but does so deliberately and persistently， never mind how minor， execute him. If someone commits a major crime， but does not do so deliberately but by accident or mistake， and confesses to this， then do not execute him” （“Announcement to Kang”）. The rulers of the Western Zhou dynasty were able to consider the subjective state of offenders when sentencing them， and deliberate and habitual offenders were given heavier sentences， while occasional offenders or those acting without deliberation were given lighter sentences. For example， “The Penal Codes and the Prince of Lü” [吕刑] in the Book of History， says，

If appropriate， downgrade a punishment. Likewise， if it is appropriate， upgrade a punishment. Depending upon the circumstances， balance the use of a major or minor punishment.

Do not confuse major and minor offences; do not allow complications to arise and ignore outmoded laws; investigate; work within the law; make a judgement accordingly and you will show you are equal to the task.

The idea of “illustrious virtue and prudent punishment” was proposed by the Duke of Zhou after learning lessons from the fall of the Shang dynasty and adapting these to the needs of governance in the Western Zhou dynasty. At the end of the Shang dynasty， social tensions were intensifying， and the cruelty of its rulers provoked the resistance of slaves and commoners， leading to the fall of the Shang dynasty. In the early days of the Western Zhou dynasty， the rulers realized that relying solely on Heavens Mandate， heavenly punishment， and heavy penalties was not enough to maintain long-lasting peace and stability， and that it was necessary to grant favor to the people， implement punishments cautiously， and teach morality to the people in order to win their support， reduce resistance， and achieve long-lasting peace and stability.

Education First and Punishment Second as a Supplement to Rites [58]

The rule of rites refers to the idea of governance based on rituals and music and its corresponding political practices. The Western Zhou dynasty and the Spring and Autumn period （770–476 BCE） can be called a period of the rule of rites. The Zhou people emphasized that violations of the rule of rites should be punished and that punishment should serve to promote rites. The criminal law of the Zhou dynasty was inherited from the Shang dynasty. According to the “Announcement to Kang，” “The law was created by King Wen，” indicating that the criminal law of the Western Zhou dynasty started from King Wen. Its outline can be found in the “Announcement to Kang.” The most noteworthy parts are： Those who rob， steal， are rebels， murderers， looters and those who laugh at death are to be executed without mercy; Any son who offends his father and wounds him to the heart， any father who no longer loves his son and this in turn hurts the son， and any younger brother who fails to respect his older brother and causes his older brother to despise his younger brother is to be executed swiftly without mercy; Those in charge of teaching and order who promote dissent and peddle falsehoods and those who jeopardize the ruler are to be executed swiftly without mercy.

All this shows that the laws of the early Zhou dynasty were formulated to observe the ritual institutions， so that violations of these rules were punishable by criminal law. Rites were a positive prevention of crime， and punishment was a negative way of dealing with crime; the two fell under different categories and served different purposes.

The Duke of Zhou used education and punishment as a means to achieve the goal of everyone being virtuous and abiding by the ritual institutions， so that they could either develop the feeling of shame and abide by the ritual institution to achieve the goal of developing virtue， or fear punishment and dare not violate the ritual institutions. According to the “Announcement to Kang，” “Feng， use virtue when deciding what is the appropriate punishment.” Virtue was used to educate and inspire the people; punishment was meant to deter them from doing wrong. The Western Zhou was a patriarchal system in which the state ruled two opposing groups： people of the Zhou bloodline， who generally enjoyed privileges in the political life of the state， and people from other states， who were subjugated or conquered， and enjoyed little or no power in the political life of the state.

In the Western Zhou system of the rule of rites， education and punishment were each focused on different groups of people， with education being primary for people of the Zhou bloodline supplemented by punishment， and punishment being primary for people from other states supplemented by education.

In the Western Zhou dynasty， education and punishment were both indispensable means to implement the rule of rites and maintain the ritual institutions. Examples can be found in the Book of History：

Now listen all of you， officials， officers， nobles， listen to my instructions. （“The Pronouncement on Drinking” [酒誥]）

When the ministers， princes， and young people of our Western Lands followed the teachings of King Wen， they did not get drunk. （ibid.）

Furthermore， I instruct you that if you hear of people getting together to drink， then you trap them and send them here to me in Zhou. And I will execute them. If， however， a minister has been led into drunkenness， then it may not be necessary to execute him. We should try and educate and reform them instead. This cannot be put more clearly. I will execute anyone who disobeys. I， this man alone， will show no pity nor be swayed by any plea. I will just put them to death. （ibid.）

There comes a time when Heaven no longer helps those who fail to shine with virtue. Let us be clear， when a state falls， no matter how great or small， it does so for good reasons. （“The Many Officials” [多士]）

The Duke of Zhou said， “I have heard it said that in the past， the wise ones would constantly correct， advise and encourage each other and as a result there was hardly any bragging or deceit to be found amongst the people.” （“Beware Idleness”）

The Duke of Zhou then said， “Grand Recorder， revered Su， Minister of Justice， carry out your duties with care so that Our Royal Kingdoms fortunes will grow from strength to strength. Following these models， always practice moderation when handing down punishments.” （“The Foundations of Government” [立政]）

This shows that the Duke of Zhou recognized that both punishment and education were indispensable means of implementing the rule of rites. The means of education was milder， reflecting the rulers desire to protect the people like children， and was used to improve the rulers own words and deeds. The more frequent and thorough the education， the more beneficial it was to social mores and to the implementation of the rule of rites， and therefore， it had no side effects. In contrast， punishment was harsh， reflecting the rulers hate of evils， but there was a limit to the use of punishment， as excessive use of punishment would often have the opposite social effect， causing discontent and threatening the rulers rule. However， punishment was indispensable for certain crimes that could not be dealt with by education alone， such as “being unfilial and unfriendly，” “robbery， theft， and rebellion，” “murder and looting，” “murdering a man who oversteps his bounds，” and “greatly undermining the authority of the Royal Mandate.” The Duke of Zhou described these crimes as “against the true virtue of authority” （“Announcement to Kang”）.

As for the relationship between education and punishment， the Duke of Zhou promoted education and urged caution in using punishment. He believed that the purpose of both education and punishment was to encourage people to be virtuous and that both must be based on morality. In the case where both punishment and education were used together， education should be used first to give the offender a chance to reform; if the offender still committed the crime after being educated， it would be seen as a deliberate transgression and must be punished. This is known as the principle of putting education before punishment.

A System of Governance Based on the Integration of Virtue，

Rites， Regulation， and Punishment [59]

The Book of History explains the complex relationship between the rule of virtue， the rule of rites， ritual institution， and punishment. The rule of virtue was at the core of the Western Zhous governance system， while the ritual institution was dominant in its political system， and the two were mutually supportive and complementary. The rule of virtue was a prerequisite for the rule of rites， which was the driving force to make the former possible. The Duke of Zhou established the music–ritual system and completed the unification of virtue and rites. Therefore， in terms of the unity of rites and virtue， and the rule of rites and the rule of virtue， the rule of rites is equal to the rule of virtue; however， in terms of effectiveness， the rule of rites was predominant. Without the rule of rites， there could be no rule of virtue.

Because the rule of virtue is politics based on internal factors， it does not focus on the external interrelationship between human beings to restrict them， but rather on the inherent nature of human beings to induce and incite them， so that they can be self-conscious and fulfill their obligations. The law emphasizes external control， while the rites regulate from within; therefore， the rites， the governance tools of the rule of virtue actually emphasize rites rather than law. . . . The universal flow of the principles of Heaven is expressed externally to be rites. Rites are Heavenly principles because they are closely related to virtues—when virtues are externally expressed， they are rites. Virtues and rites are the one and same thing.

The unity of virtues and rites， and of the rule of virtue and the rule of rites， were the governance goal of the Western Zhou dynasty.

The essence of the rule of virtue was to require nobles at all levels to consciously restrain their behavior with moral norms that are in the fundamental interests of the ruler. Such moral codes of conduct were established as a ritual institution. Wang Guowei noted， “The system and ceremony of the Zhou dynasty were based on morality. . . . The criminal law of the Zhou dynasty was also created to promote the rule of virtue and the rule of rites. This is why the dynasty was able to enjoy peace and stability and dispense with its criminal law.” The inherent spirit of the Western Zhous ritual institution was morality， and the rule of virtue and the rule of rites were the basis of punishment. There is a complementary and dialectical relationship between the rule of virtue， the rule of rites， and the ritual institution.

On the basis of the Book of History， Confucius formed the overall framework of governance based on the integration of virtue， rites， regulation， and punishment. He advocated the rule of virtue. How was one to rule by means of virtue？ As Analects 12：17 reads， when Jikangzi 季康子 （d. 468 BCE） asked Confucius about governance， he said， “To govern means to be correct. If you set an example by being correct， who will dare to remain incorrect？” To govern means to lead society on the right path. A ruler may rectify himself before he can rectify others and the process of governance is the process of moral probation： “When a princes personal conduct is correct， his government is effective without the issuing of orders. If his personal conduct is not correct， he may issue orders， but they will not be followed” （13：6）. This kind of moral probation can achieve the effect of the wind bending the grass. As Analects 12：19 reads， “The relation between superior men and petty men is like that between the wind and the grass. The grass must bend， when the wind blows across it.”

Confucius also proposed that “If you try to guide the common people with coercive regulations and keep them in line with punishments， they will become evasive and have no sense of shame. If， however， you guide them with virtue， and keep them in line with rites， they will have a sense of shame and rectify themselves” （2：3）. He believed that punishments and regulations were the auxiliary means to achieve governance， that virtue and rites were integral for governance， and that virtue was the most important of all. Confucius opposed execution without education： “In carrying on your government， why should you use killing at all？ Let your evinced desires be for what is good， and the people will be good” （12：19）. And he added， “If good men were to govern a country in succession for a hundred years， they would be able to transform the violently bad， and dispense with capital punishments” （13：11）. This is to say that although education in rites， righteousness， and virtue would not become effective in the short term， over time， it would overcome cruelty and dispense with the need for capital punishments. Confucius also said， “To lead an uninstructed people to war， is to throw them away” （13：30） and “To put the people to death without having instructed them—this is called cruelty” （20：2）. He hoped that those who governed would instruct the people first， and not to execute them without instructing them， which is tyrannical to the people.

In short， the philosophy of governance in the Book of History can be summarized as virtue-based governance， having reverence for virtue and protecting the people， illustrious virtue and prudent punishment， punishment as a supplement to education and rites， and education before punishment. Virtue is the inherent spirit of the ritual institution; the rule of virtue and the rule of rites are the basis of punishment; and there are dialectical and complementary relationships among the rule of virtue， the rule of rites， ritual institutions， and punishment. This laid the foundation for the overall Confucian framework of governance based on the integration of virtue， rites， regulation， and punishment under the general principle of the “rule of virtue.” In this framework， virtue and rites are primary and regulation and punishment secondary. The framework can also serve as an important resource underpinning todays efforts for modernizing Chinas system and capacity for governance. This is worth further research.

Bibliography of Cited Translations

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Translated by Tong Xiaohua