The Legalist Idea of Rule by Law

Legalism was an important school that concentrated on the idea of rule by law in the Warring States Period. The emergence of Legalism accorded with the historical condition: How to treat tradition and face reality. Specifically, Legalism dealt with how to balance the interests of the new and old classes, how to rule in a fair rather than hereditary way, and how to maintain the leading position in the fierce competition by making or implementing measures. In some sense, Legalism contradicted Confucianism that respected the tradition and took conservative attitude. Amongst Legalists Li Kui, Wu Qi, Shang Yang, Shen Dao, Shen Buhai, Han Fei, and Li Si, the representative figures Shang Yang and Han Fei, especially Han Fei, will be discussed.

The most important contribution of Shang Yang was that he viewed history as dynamic and that accordingly, a ruler must take different measures:

The law system in the past differs the present, so there is no law to follow; the rite made by kings differs from each other, so there is no rite to follow. (The Book of Lord Shang, Changing the Law)

The law and rite are made in accordance with time and need. (The Book of Lord Shang, Changing the Law)

A sage does not follow the past, nor adhere to the present. A man who follows the past cannot keep pace with time; a man who adheres to the present cannot keep up with time. Zhou Dynasty did not follow Shang Dynasty, and Xia Dynasty did not follow Shun and Yu. All ruled the country in spite of the difference in rule. (Opening and Debarring)

Here Shang Yang embodied the idea of pursuing the new and reforming the old, which sounded more objective and realistic. It was also the common feature of Legalist thought.

Han Fei inherited and matured the thoughts of Legalism. Han Fei elaborated on the content and significance of law. He said, "The law should not favor the powerful people and the restrictive line should not incline toward the curving direction... Punishment should not shun officials and reward should not shun citizens. (Han Fei Zi, Ruling the Country with Law) In other words, law was equal and fair to everyone, in no matter high or low status. In addition, law must be publicized among citizens: "Law was compiled in books, made by government, and publicized among citizens." (Legal System) Han Fei also stressed that no one could stand above the law, even the ruler: "A wise ruler chooses talents based on law rather than his opinion; a wise ruler evaluates officials based on law rather than his judgment. (Ruling the Country with Law) In short, law was a norm that possessed universal restrictive power, as Han Fei indicated:

A ruler who practices law effectively will strengthen the country and a ruler who practices law ineffectively will weaken the country. (Ruling the Country with Law)

If a ruler acts in accordance with law, citizens live in peace and the country enjoys stability; if officials observe law, the country owns powerful army and the enemy weakens. (Ruling the Country with Law)

Han Fei also contrasted Kingdom Qin and the Six Kingdoms: "When the law is made clearly, faithful officials are encouraged; when punishment is practiced uncompromisingly, treacherous officials are prohibited. These help to expand the land and enlarge the ruler's influence. Kingdom Qin is like that. However, when officials form clique to pursue self-interest, law is distorted. This helps to lose the land and weaken the ruler's influence. The Six Kingdoms are like that. (Rectifying Morality) Meanwhile, Han Fei knew the difficulty to reform and practice law: "Therefore, if one who knows tactics and law is appointed, the powerful officials must be punished by law. In this sense, one who practices law is an implacable enemy to the powerful officials." (Lonely Indignation) Besides, the reformers often ended miserably: "When the reformers cannot win the corrupted officials, there will be two opposite forces. How cannot the reformers exist in danger? If the reformers can be framed with a crime, the will be killed by law; if not, they will be killed by sword secretly." (Lonely Indignation) For instance, Shang Yang was turned asunder by five carts and Wu Qi was killed with arrow. Nevertheless, we can sense the firm determination and noble spirit in Han Fei".

In addition to law, Legalism discussed political trickery. Han Fei mentioned, "A ruler who cannot master political trickery will be deceived and officials who do not observe law will commit crime... A ruler should master both law and political trickery." (Making Law) That was to say, political trickery and law were complementary. Then, what's political trickery? Han Fei defined, "Political trickery hides in the heart of a ruler, by which the ruler controls the officials secretly. (Legal System) A prominent feature of political trickery was to hide, to underlie, or "(a ruler) to hide his like and dislike, thought, wisdom, and talent so that officials cannot understand what he really thinks and what he really means." (The Ruler's Law) Clearly, political trickery was a tool for ruler's despotism. In China, it was called Facing-South Trickeiy. In a word, political trickery was mysterious, hidden, and insidious. Political trickery was certainly the dregs in the thoughts of Han Fei or Legalism. However, it represented the historical reality and was necessary then26.

The thoughts of Legalism exerted profound influence on Chinese's history. Firstly, in the Warring States period, it was not the thoughts of Confucianism but Legalism that led to the prosperity of Kingdom Qin. Han Fei's idea of rule by law, in particular, came to the historical stage and helped King Zheng of Qin to unify China. This suggested that if the idea of the rule by law was practiced in a limited way, a country that practiced became stronger than the country that did not27. Secondly, when Qin Dynasty declined, Confucianism was exclusively valued in Han Dynasty and Legalism seemed to be excluded from orthodox thoughts. In fact, in the 2,000-year history of Chinese politics, the principle for ruling had been "Confucianism as the use and Legalism as the base" or "Co-existence of Confucianism and Legalism," to be accurate, "Confucianism as the use and Political Trickery as the base." The political trickery had been fully accepted, but the law spirit in Legalism was not embodied. We must treat the issue in order to learn the real Chinese history and tradition.