??Legalism

Leagal ism ( faj ia)

Emphasizes the need for order above all other human concerns

Main principle: humans are inherently evil and inclined toward criminal and selfish behavior, and the solution to this problem is harsh punishment

Provided the theoretic foundation for the centralization of power in the Qin Dynasty (221-207 BCE)

fa ( law or principle) – refers to several ways in which state power could be organized and exercised:

Through laws and punishments,

Administrative and military systems,

Policy planning,

Statecraft,

Or methods of personnel management

Definitions

In its earliest form, “Legalism” was probably the outgrowth of a need for more rational organization of society and resources so as to strengthen a state against its rivals.

This was to be achieved by:

Concentrating power in the hands of a single ruler

Adopting governmental institutions that afforded greater centralized control

Historical Background

As the struggle among the Warring States became more intense, technicians of power, who put the state and its interests ahead of all human and moral concerns came forward.

Shang Yang: completely rejected the traditional virtues of humanity and rightness that the Confucians had urged upon rulers, denying that such lofty ideas had any practical relationship to the harsh realities of political life.

Historical Background

A political order in which all old feudal divisions of power would be swept away and all authority would reside in one centralized administration headed by an absolute monarch

The state would be ordered by a set of laws that would be administered with complete regularity and impartiality

Severe punishments would restrain any violations, while generous rewards would encourage what was beneficial to the strength and well-being of the state

Legalist Ideas

War a means of strengthening the power of the ruler, expanding the state, and making the people strong, disciplined and submissive

Agriculture, as the basis of economy, would be promoted intensively, while commerce and intellectual endeavor, regarded as nonessential and diversionary, were to be severely restricted

The people would live frugal and obedient lives devoted to the interests of the state in peace and war

Legalist Ideas

The need for strong and decisive leadership

State domination over the people

Reliance on str ict laws

Generous rewards and harsh punishments rather than on traditional fiduciary relations and family ethics

Advocated concentration of the people’s energies on agriculture and war

Suppression of poli t ical par t ies, par ticularly targeting Confucian scholars who raised troublesome polit ical issues

Shang Yang (390-338 BCE)

The Book of Lord Shang

“Ordinary people abide by old practices, and scholars are immersed in the study of what is reported from antiquity. These two kinds of men are important for fil l ing offices and for maintaining the law, but they are not the kind who can take par t in a discussion that goes beyond the law… Therefore, a wise man creates laws, but a foolish man is controlled by them; a man of talent reforms rites, but a worthless man is enslaved by them… (p.171)

Reform of the Law

“The way to administer a state well is for the laws regulating officials to be clear; one does not rely on men to be intell igent and thoughtful. The ruler makes the people single-minded so they will not scheme for selfish profit. Then the strength of the state will be consolidated, and a state whose strength has been consolidated is powerful, but a country that loves talking is dismembered… (pp. 188-189)

AGRICULTURE and war

“The state depends on agriculture and war for its peace, and likewise the ruler, for his honor. Indeed, if the people are not engaged in agriculture and war, it means that the ruler loves words and that the officials have lost the consistency of conduct. If there is consistency of conduct in officials, the state is well governed, and if single-mindedness is strived for, the country is rich. To have the state both rich and well governed is the way to attain supremacy. (pp. 188-189)

Agriculture and War

“It is the nature of people to be orderly, but it is circumstances that cause disorder. Therefore, in the application of punishments, light of fenses should be regarded as serious; if l ight of fences do not occur, serious ones have no chance of coming. This is said to be ‘ruling the people while in a state of law and order.’

“If in the application of punishments, serious offences are regarded as serious, and light of fenses are regarded as light, light of fenses will not cease, and, in consequence, there will be no means of stopping the serious ones. This is said to be ‘ruling the people in a state of lawlessness.’

Discussing the People

“…So if light offenses are regarded as serious, punishments will be abolished, affairs will succeed, and the state will be strong; but if serious offenses are regarded as serious and light ones as light, then punishments will appear; moreover, trouble will arise and the state will be dismembered… (p.209)

Discussing the People

“The sage ruler understands what is essential in affairs and so, in the governing of the people, there is that which is most essential. Therefore, in administering rewards and punishments, he relies on uniformity. Humaneness is extending the heart. The sage ruler, by his governing of men, is cer tain to win their hearts; consequently he is able to exer t strength. Strength produces force; force produces prestige; prestige produces vir tue. Vir tue has its origin in strength. The sage ruler alone possesses it, and therefore he is able to transmit humaneness and rightness to all-under-Heaven… (pp.258-259)

Making Orders Strict

“Punishments should know no degree or grade, but from ministers of state and generals down to great officers and ordinary folk, whoever does not obey the king’s commands, violates the interdicts of the state, or rebels against the statutes fixed by the ruler should be guilty of death and should not be pardoned.

“Merit acquired in the past should not cause a decrease in punishment for demerit later, nor should good behavior in the past cause any derogation of the law for wrong done later.

Rewards and Punishments

“If loyal ministers or filial sons do wrong, they should be judged according to the full measure of their guilt, and if among the officials who have to maintain the law and to uphold an office, there are those who do not carry out the king’s law, they are guilty of death and should not be pardoned, but their punishment should be extended to their family for three generations.

“Colleagues who, knowing their offense, inform their superiors will themselves escape punishment…(p278-279)

Rewards and Punishments

“A weak people means a strong state and a strong state means a weak people. Therefore, a state that has the right way is concerned with weakening the people. If they are simple, they become strong, and if they are licentious, they let their ambition go too far; being weak, they are serviceable, but if they let their ambition go too far, they will become strong… (p.303)

Weakening the People

Emperor Qin Shihuang recognized Han Fei Z i , a phi losopher of the Warr ing States Per iod (475-221BC), af ter reading his works.

Han himself was a par t o f the ar is tocracy, as he was born into the rul ing fami ly of the state of Han.

In Han Fei 's phi losophy, the ruler f i rmly controls the state with the help of Fa, Shu, and Shi.

Han Fei Zi

Chapter 40: The Five Vermin

“When the sage rules, he takes into consideration the quantity of things and deliberates on scarcity and plenty. Though his punishments may be light, this is not due to his compassion; though his penalties may be severe, this is not because he is cruel; he simply follows the custom appropriate to the time. Circumstances change according to the age, and ways of dealing with them change with the circumstances… (p. 99)

“The world calls worthy… those whose words are subtle and mysterious. But even the wisest man has difficulty understanding words that are subtle and mysterious. Now, if you want to set up laws for the masses and you try to base them on doctrines that even the wisest men have difficulty in understanding, how can the common people comprehend them?... Now in administering your rule and dealing with the people, if you do not speak in terms that any man or woman can plainly understand… then you will defeat your own efforts at rule. (p. 108)

“The best rewards are those that are generous and predictable, so that the people may profit by them. The best penalties are those that are severe and inescapable, so that the people will fear them. The best laws are those that are uniform and inflexible, so that the people can understand them. (p. 104)

“Humaneness may make one shed tears and be reluctant to apply penalties but law makes it clear that such penalties must be applied. The ancient laws allowed law to be supreme and did not give in to tearful longing. Hence it is obvious that humaneness cannot be used to achieve order in the state. (p. 102)

“Its scholars praise the ways of the former kings and imitate their humaneness and rightness, put on a fair appearance and speak in elegant phrases, thus casting doubt upon the laws of the time and causing the ruler to be of two minds.

“Its speechmakers propound false schemes and borrow , fur thering their private interests and forgetting the welfare of the state’s altars of the soil and grain.

“Its swordsmen gather bands of followers about them and perform deeds of honor, making a fine name for themselves and violating the provisions of the five government bureaus.

The Five Vermin

“Those of its people who are worried about military service flock to the gate of private individuals and pour out their wealth and bribes to influential men who will plead for them, in this way escaping the hardship of battle.

“Its merchants and ar tisans spend their time in making ar ticles of no practical use and gathering stores of luxury goods, accumulating riches, waiting for the best time to sell, and exploiting the farmers (pp.116-117)

The Five Vermin

Feudal state of Qin

Centralization of power

Regimentation of its people

Aggressive warfare

Qin dynasty was established (221 BCE)

King Cheng Qin Shihuangdi

Li Si: prime minister of the Qin dynasty

Li Si: Legalist Theories in Practice

Changes:

Complete abolition of all feudal ranks and privileges and the disarmament of all private individuals

The entire area of China was brought under the direct control of the central court through an administrative system of prefectures and counties

Standardization of weights, measures and writing script

Destruction of all feudal barriers between districts

Construction of better roads and communications

Wars were undertaken to subdue neighboring peoples and expand the borders of the nation

Great masses of people were forcibly removed to new areas for the purposes of defense or resettlement

Construction of the Great Wall

Li Si: Legalist Theories in Practice