THE LEGALIST SCHOOL OF CHINESE PHILOSOPHY:

A TOTALITARIAN REVOLUTION IN ANCIENT CHINA

A POTENTIAL VISION OF THE FUTURE OF MODERN CHINA

MISCONCEPTIONS ABOUT CHINESE HISTORY

In discussing Chinese philosophy and history, we should first mention that this is a subject shrouded by many misconceptions. Chinese history is a very difficult subject to study for two reasons. The first is the limitation on the freedom of speech in China today. The extreme censorship of information in China, makes it very difficult to get an objective, non-biased account of history.

The second limitation comes from Western thought. In the Western world today, much of the ancient Chinese philosophies, such as Daoism and Confucianism have been reinterpreted as if they supported ideas such as peace and democracy. This is rubbish. Ideas like democracy were almost non-existant in the large scheme of Chinese history.

There is also a misconception in the West that Confucianism is a sort of religion. This is also wrong. Confucianism is a philosophy and ideology, not a religion.

What the West doesn't understand is that Chinese thought is a fusion of synthetic ideologies. Often, ideas such as daoism, Confucianism and legalism were fused together throughout Chinese History.

As you will read below, the state of China itself is a history of totalitarian rule. While "totalitarianism" is a new word invented by Mussolini, the idea of authoritarian rule is not new. The ideas of Lord Shang mentioned below would set the stage for China's authoritarian history. Many of the philosophies that would emerge in China would be blended together to support authoritarian ideas.

Authoritarian rule in general was the norm in the ancient world.

A TOTALITARIAN REVOLUTION SWEEPS THE ANCIENT WORLD

In the fourth and third centuries B.C. a totalitarian revolution swept across the ancient world.   In 404 BC the mad imperialist plans of Pericles ended in total disaster as Athens surrendered to Sparta.  Pericles himself died of the plague that his war brought to Athens.  The defeat of Athens was the end of democracy as major force in Greek politics.  The major Greek philosophers who came after him had nothing but contempt for democracy and saw it as a failed system.    Alexander the Great swept what little was left of it into the trash can of Greek history as he created a super state that stretched from the Mediterranean to India.

THE LEGALIST IDEAS OF LORD SHANG

SET THE STAGE FOR A TOTALITARIAN REVOLUTION IN CHINA

In China and India totalitarian systems would also arise.  In India they evolved as an indirect result of the Greek invasion of India by the armies of Alexander.  In China the road to totalitarianism came from within with the evolution of the "Legalist" school of philosophy.  This would turn the state of Qin into the Sparta of the East and would enable it to create the first Chinese Empire in 221 BC.

Legalism itself first developed in the 4th century BCE and the founder of the Legalist school was Hsün Tzu. The most important principle in his thinking was that humans are inherently wicked and that morality does not naturally exist in nature. Rather, morality must be enforced through an absolute leader and the mechanism of state authority.

Lord Shang, a key Legalist thinker who would emerge later, penned many of these ideas in "The Book of Lord Shang." Shang states that laws are designed to maintain the stability of the state from the people, who are believed to be innately selfish and ignorant. This is no such thing as objective goodness or virtue in Legalism; it is obedience that is of paramount importance. A harsh ruler is demanded to keep the people of the state under tight control.

A QUOTE FROM LORD SHANG ON REWARDS AND PUNISHMENTS:

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 the punishment for demerit later, nor should good behavior in the past cause any derogation of the law for wrong done later. If loyal ministers and 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. In neither high nor low offices should there be automatic hereditary succession to the office, rank, lands, or emoluments of officials. Therefore I say that if there are severe penalties that extend to the whole family, people will not dare to try [how far they can go], and as they dare not try, no punishments will be necessary... [Wm. Theodore de Bary and Irene Bloom (editors), Sources of Chinese Tradition, 2nd Edition, Volume 1 (New York: Columbia University Press, 1999), p. 197.]

A brief history of China's unification is explained below, along with the significance of the Legalist Ideology in this process.

OUT THE WARRING STATES PERIOD

QIN, THE SPARTA OF THE EAST, EMERGES SUPREME

The Warring States Period in Chinese History (475 - 221 BCE) was an extremely lengthy and bloody time where several competing kingdoms vied for power.

Early on in the Warring States Period, the state of Qin was in a condition of under development and decline. Its population was mainly composed of semi-tribal people. This was part of the reason Qin was referred to as a "half barbarian" state. However, Qin was equipped with natural defenses that later allowed it to defend its borders and build up its military.

Through a series of dramatic reforms, Qin would eventually emerge supreme and become the state that unified all of China under its grasp.

In the 4th century, the State of Qin went through a period of dramatic reformation. At the time, Qin was lacking in cultural sophistication. When Duke Xiao (381-338 BCE) came to the throne, he called forth men of talent (including scholars, administrators, theorists, military strategists) from other states to help him with his reforms. Key among these foreign talents was a Legalist scholar who later came to be known as Shang Yang.

Lord Shang conducted a serious overhaul to the political structure of Qin and centralized the bureaucracy of the state, much to the opposition of several politicians. The most important reform was the changes made to Qin's military. Control of the army was taken away from nobles, and the aristocracy was abolished. Military discipline was strongly enforced and the troops were trained to adapt to all situations in battle. By 318 BCE, the military might of Qin was so great, that they held off an invasion from the combined forces of four different states: Wei, Zhao, Han and Chu. This alliance of the four states crumbled after the failure of their military campaign, and Qin emerged as a superior military power in the region - they became the Sparta of the East.

Ironically, even though Lord Shang advocated the need for a harsh and ruthless ruler - it was precisely such a ruler who later put Lord Shang to death. After the death of Duke Xiao, his successor King Huiwen had Lord Shang executed on charges of treason, for a minor slight Shang's reforms caused against Huiwen in his adolescence.

In the century after Lord Shang's Legalist reforms, the state of Qin continued to grow in power. In 247 BCE a new leader of Qin emerged named Ying Zheng, this was the man who would eventually conquer the six other warring states and sculpt a unified empire from their ashes.

By 221 BCE Ying Zheng accomplished his goal after subduing the last rival state in his way, and declared himself "Qin Shi Huang" (meaning First Emperor of Qin). He founded the Qin dynasty and became the first ruler of China. The Western name "China" even comes from the word "Qin."

THE QIN STATE UNIFIES CHINA

THE FIRST EMPEROR UNLEASHES A REIGN OF TERROR

When Emperor Qin (260-210 BCE) established his empire, he unleashed a Totalitarian reign of terror to maintain order. This was a radical legal revolution that forever changed the history of the nation and was crucial in forming the state that we know as China today. To achieve total unification, the people of China were yoked to a spartan existence of harsh labor, heavy taxes, rigorous laws and compulsive military service.

To strengthen the unity of his newly built empire, Qin carried out many reforms in the fields of politics, military and culture. Executive power in both central and local regions was reorganized and local counties were restructured. Qin also imposed a widespread standardization of weights, measurements, currency and the written character.

The infrastructure of the nation experienced radical growth. National roads and irrigation works were built. Qin also began work on one of China's greatest wonders - the Great Wall. In addition to these public works, Qin built several luxury palaces for himself and a city sized mausoleum. Thousands of laborers died in the construction of these immense projects. So many people died in the building of The Great Wall, that it is referred to as one of the longest cemeteries on Earth.

Even the freedom of thought was crushed by Qin's heavy hand. To prevent people from criticizing his policies, many books were burned - including books about past rulers and alternative political ideologies. There was also the infamous execution of scholars. In his second year of rule, after discovering some scholars had discussions about his arrogance, he buried 460 of them alive.

The words of the Legalist Theorist Han Fei Tzu (233 BCE) are relevant in understanding the nature of Qin's policies:

"Listening to the people would be enough. But the wisdom of the people is useless: They have the minds of little infants! If an infant's head is not shaved, its sores will spread, and if its boil is not opened, it will become sicker. Yet while its head is being shaved and its boil opened, one person has to hold it tight so that the caring mother can perform the operation, and it screams and wails without end. Infants and children don't understand that the small pain they have to suffer now will bring great benefit later (The Book of Master Han Fe)."

Emperor Qin's Dynasty did not last for long; it ended a mere four years after Qin's death. Yet even in death, Emperor Qin Shi Huang surrounded himself with a massive martial force. The Terra-Cotta Warriors, buried east of Qin's vast mausoleum, are a symbol of Qin's military might. The Terra-Cotta Warriors include 7,000 life sized pottery horses, soldiers, chariots and weapons. It is considered one of the greatest archaeological finds in history and serves as a reminder for those of us living today of the vast wartime machine that was under one man's control.  It is also a grim reminder of his reign of terror.  It's the only major ancient tomb never to be robbed.  Why?  Because he probably had everyone killed who knew where it was.

AS SUCCESSIVE DYNASTIES EMERGE

CONFUCIAN THOUGHT MIXES WITH LEGALISM

Many later emperors and philosophers regarded Qin's reign as cruel. Yet the ideas of Legalism embraced by the state of Qin remained a crucial part of Chinese thought. Rather than disappearing from the books of history, they blended with other major philosophies of governance, such as Confucianism and Daoism. While Qin's reign is regarded as harsh, a brutal leader may have been the only way to end the civil war and mass blood shed of the Warring States Period.

After the Qin dynasty ended, the Han Dynasty (206 BCE - 220 CE) emerged as the new authority in China. Han scholars, such as Jia Yi (201-169 BCE) portrayed the previous Qin dynasty as a brutal regime. However, archaeological evidence from Zhangjiashan and Shuihudi reveal that many of the statues in the Han law code were derived from Qin law.

The Han dynasty accepted the philosophical teachings of Legalism, Huang-Lao Daoism and Confucianism in the shaping of government policy. Confucianism also called for government hierarchy and adherence to tradition.

When Wu Di (meaning "Martial Emperor") became emperor in 141 BCE, he initially dismissed his Legalist advisers and surrounded himself with those who believed only in Confucianism. Yet by 110 BCE, Emperor Wu's punishments began to resemble Legalism more than Confucianism. Throughout Wu Di's entire reign he had seven chancellors, and only one died of natural causes, the others were condemned for crimes. Also when the rebellious plans of three kings were discovered in 122 BCE, more than 20,000 people were tried and sentenced to death.

Later dynasties combined the policies of Confucianism, Legalism and Daoism throughout the ages.  In modern times we have seen the influence of Legalism on Chairman Mao, of the People's Republic of China.

CHAIRMAN MAO: LEGALISM IN OUR TIME

Mao Tse-tung, the founding father of the People's Republic in China was a great admirer of Legalism. The quotes below reflect Mao's admiration for Lord Shang.

"Shang Yang's laws were good laws.  If you look today at the four thousand-odd years for which our country's history has been recorded, and the great political leaders who have pursued the welfare of the country and the happiness of the people, is not Shang Yang one of the very first on the list?"

Mao was also the greatest mass murderer of all time. He states that his policies were much harsher than that of the first emperor.

"He (Ch'in-Shih-huang, the first emperor of China) only buried alive 460 scholars, while we buried 46,000. In our suppression of the counterrevolutionaries, did we not kill some counterrevolutionary intellectuals? I once debated with the democratic people: You accuse us of acting like Ch'in-shih-huang, but you are wrong; we surpass him 100 times".  (Mao's First Speech to the Party Congress, May 17, 1958)

Mao was a blood thirsty reformer. He ultimately caused the deaths 80 million over the course of his regime.

For more resources on Legalist thought and philosophy, read our links below

WORLD FUTURE FUND REPORTS ON KEY LEGALIST FIGURES

CHAIRMAN MAO TSE-TUNG:

MAO TSE-TUNG ON LEGALISM AND LORD SHANG: HOW CHINA'S ANCIENT PAST HAS INFLUENCED ITS PRESENT

MAO AND TERROR: THE GLORIFICATION OF MASS MURDER

CHINESE TEXTS

SHANG YANG (LORD SHANG)

Book of Lord Shang    Chinese Traditional Text
WORLD FUTURE FUND EDITION - BOOK MARKS IN ENGLISH AND CHINESE

LINKS ON LEGALISM, AUTHORITARIAN WORKS AND CHINESE HISTORY

LEGALIST PHILOSOPHERS

Han Fei Zu 

Han Fei Zu (280–233 BC) was a legalist philosopher who synthesized the ideas of his predecessors in developing the doctrine of Legalism. Unlike other famed philosophers, he was a member of the ruling aristocracy. He believed that the ideal ruler was like an inevitable force of nature, that he made laws that the people could not resist.

Han Fei Zu - Part I    Part II   Chinese Traditional Text

About Han Fei Zu (Wikipedia)
Han Fei Tzu: Legalist Views on Good Government
Han Fei Tzu: Selected Quotations

Shen Bu Hai

Shen Bu Hai (351 BC to 337 BC) was a Chinese bureaucrat who was the Chancellor of Han. His philosophy was concerned with government administration through the use of bureaucracy. His system required a strong central ruler, one who would be distant from the people. Shen Buhai's own concept was Wu Wei, which is described as a blend between Legalism and Daoism.

Shen Bu Hai
About Shen Bu Hai (Wikipedia)

Shen Dao

Shen Dao (395–315 BCE) was a philosopher from the state of Zhao. His philosophy is seen as a precursor to both Daoist and Legalist thought.

Shen Dao
About Shen Dao (Wikipedia)

Excerpts from The Book of Lord Shang (English and Chinese)
The Book of Lord Shang (PDF)
Biography of Lord Shang
About Lord Shang (Wikipedia)

ANALYSIS AND HISTORICAL BACKGROUND OF CHINESE LEGALISM

Ethics of Legalism: Qin Empire and Han Dynasty by Sanderson Beck

CHINESE HISTORY

History of China (Wikipedia)
Timeline of Chinese History (Wikipedia)
China: Facts and History (Asian History)
Chinese Dynasties (Wikipedia)
Timeline of Chinese History and Dynasties (Asia for Educators)

BOOKS ON LEGALISM

China's Legalists. The Earliest Totalitarians and Their Art of Ruling. Zhengyuan Fu. A very good summary of early Chinese political theory.

Autocratic Tradition and Chinese Politics   Zhengyvan Fu.  A history of the influence of legalism on Chinese history.

Chinese Thought  by Herrlee G. Creel. By far the best study ever written of Chinese philosophy. Particular attention should be paid to Chapters VII, VIII and IX to understand the Asian mind. The influence of the totalitarian vision of Legalism on Chinese thought for thousands of years is not fully understood. The Chinese Empire, created in 221 B.C., was a fusion of Legalism and Confucianism. Chairman Mao was a great admirer of the first Chinese Emperor, who hated Confucianism and was a total Legalist. Indeed, modern "Communism" in China is really very much a continuation of some past trends.

Three Ways of Thought in Ancient China. Arthur Waley. A very interesting analysis of totalitarian roots of Chinese political philosophy.

The Book of Lord Shang: A Classic of the Chinese School of Law.  Translated from the Chinese with Introduction and Notes by Dr. J. J. L. Duyvendak. University of Chicago Press.

The Works of Hsuntze.  Translated from the Chinese, with Notes, by Homer H Dubs. Arthur Probsthain, London, 1928.

Han Fei Tzu: Basic Writings Translated from Chinese by Burton Watson. Columbia University Press, 1964. 

The Complete Works of Han Fei Tzu: A Classic of Chinese Legalism.  Translated from the Chinese by W.K Liao. Arthur Probsthain, London, 1939

LEGALISM AND CHINA'S FUTURE

LEGALISM AND THE WORLD'S FUTURE

MODERN PROBLEMS AND ANCIENT SOLUTIONS

After the collapse of the Soviet Union there was a lot of fairy tale thinking that the whole world would achieve paradise via America's political and economic policies.  US Presidents like Bill Clinton hailed China as America's "strategic partner".   China would soon become like the US, we were told.

It has not happened.  China is today more totalitarian than it was during Clinton's time in office.

Meanwhile, the trade policies of Bill Clinton and the US plutocratic elite have shifted the world economic balance of power to China.   Today, in terms of some measures of economic power, China actually has a larger economy than the US.

Unfortunately, all is not well in modern China.  China's environmental policies have created the world's largest environmental nightmare.   It's doubtful this will end well.    Mao killed 80 million.  If the problems in the "Green Revolution" in agriculture and other horrors get out of control, a far higher death toll could be coming.    However, the continuing influence of Legalist philosophy and modern variants of Chinese political ideologies will create the framework for a truly ruthless reign of terror if things explode.  This may be the only way to order in our time as it was in ancient times.    The celebration of Mao's takeover of China in 1999 shows the combination of ancient and modern.   It is a portent of the future as well as the past.