Legalism

中国的法家思想   Legalist thinkers and their thoughts

Born in 390 B.C. Shang Yang (商鞅) was a statesman and reformer of the state of Qin during the Warring States period. His policies laid the foundation that enabled Qin to conquer all of China, uniting the country for the first time and ushering in the Qing Dynasty. He and his followers contributed to the Book of Lord Shang, which has been considered by many as the key text of Chinese Legalism (法家), a philosophical tradition comparable to Machiavellian worldview. Lord Shang’s political philosophy could be characterized by his views of the state as a war machine, of the people as farmer-warriors, and of the human being as political-economic animals. Thanks to him as a political thinker, all the assets of Qin were repossessed by the state and redistributed to those serving the state well. By Qin legislation and law (known as lian zuo 连坐), society is subdivided into family groups held (as hostage) responsible for any incident in which the interests of the state were compromised; no police necessary. In both before and after the unification, the state of Qin was ruled by what Lord Shang viewed as the weak who were held together by fear. The power of the strong, the nobles who had power and wealth through hereditary rights, the craftsmen and the learned, was checked and limited when they were treated as parasites (六蝨). His belief in weakening the people (弱民) kept everyone in want, never having enough to be self-sufficient, a strategy to eliminate the threat or defiance of the strong (去强). In Qin as a totalitarian state, everyone was mobilized and kept a captive, not very unlike Orwell’s dystopian novel 1984. Lord Shang saw his own demise in 338 B.C. right after the King died and Qin dynasty overthrown, when he was quartered by the very nobles whose power he had sought to weaken. It was said that he was denied shelter by an inn keeper who told the fleeing fugitive that by law anyone giving shelter to undocumented person would be harshly punished.

凡人主之所以勸民者，官爵也；國之所以興者，農戰也。今民求官爵，皆不以農戰，而以巧言虛道，此謂勞民。勞民者，其國必無力。無力者，其國必削。

The means whereby a ruler of men encourages the people are office and rank; the means whereby a country is made prosperous are agriculture and war. Now those who seek office and rank, never do so by means of agriculture and war, but by artful words and empty doctrines. That is called “wearying the people”. The country of those who weary their people will certainly have no strength, and the country of those who have no strength will certainly be dismembered.

善為國者，其教民也，皆從壹空而得官爵。是故不以農戰，則無官爵。國去言則民樸，民樸則不淫。民見上利之從壹空出也，則作壹，作壹則民不偷。民不偷淫則多力，多力則國強。

Those who are capable in organizing a country teach the people that office and rank can only be acquired through one opening, and thus, there being no rank without office, the state will do away with fine speaking, with the result that the people will be simple; being simple, they will not be licentious. The people, seeing that the highest benefit comes only through one opening, will strive for concentration, and having concentration, will not be negligent in their occupations. When the people are not negligent in their occupations, they will have much strength, and when they have much strength the state will be powerful.

以強去強者，弱；以弱去強者，強。國為善，姦必多。國富而貧，治曰重富，重富者強。國貧而富，治曰重貧，重貧者弱。兵行敵所不敢行，強；事興敵所羞為，利。主貴多變，國貴少變。國少物，削；國多物，強。千乘之國，守千物者削。戰事兵用曰強。戰亂兵息而國削。

To remove the strong by means of a strong people brings weakness; to remove the strong by means of a weak people brings strength. If the country practises virtue, criminals are many. If the country is rich, but is administered as if it were poor, then it is said to be doubly rich, and the doubly rich are strong. If the country is poor, but is administered as if it were rich, it is said to be doubly poor, and the doubly poor are weak. If its army accomplishes what the enemy dares not accomplish, (a country) is strong; if affairs are undertaken which the enemy is ashamed to perform, (a country) profits. A ruler values many changes, but the country values few changes. If the country has few products it will be dismembered, but if it has many products it will be strong. A country of a thousand chariots that keeps only one outlet for its products will flourish, but if it keeps ten outlets it will be dismembered. If in war its army is efficient, a country will be strong; but if fighting is disorderly and the army unwilling, the country will be dismembered.

以強攻強，弱，強存；以弱攻弱，強，強去。強存則削，強去則王。故以強攻弱，削；以弱攻強，王也。《弱民》

With a strong people to attack the strong brings weakness, whereas on the other side strength remains; with a weak people to attack the strong brings strength, whereas on the other side strength is removed. If strength remains on the other side, one perishes, but if strength is removed on the other side, one attains supremacy. Therefore, with a strong people to attack the strong brings dismemberment, but with a weak people to attack the strong brings supremacy. ____Weakening the People

治国能令贫者富，富者贫，则国多力，多力则王。

If the state is capable of making the poor rich, and the rich poor, then the state power multiplies and its strength grows supreme.

能生不能殺，曰「自攻之國」，必削；能生能殺，曰「攻敵之國」，必強。故攻官，攻力，攻敵，國用其二，舍其一，必強；令用三者，威必王.

A country which knows how to produce strength but not how to reduce it, may be said to be a country that attacks itself, and it is certain that it will be dismembered; but a country that knows how to produce strength and how to reduce it may be said to be one that attacks the enemy, and it is certain that it will become strong. Therefore, the combating of the bureaucrats, the curtailing of the strong, and the attacking of its enemy – if a country employs two of these methods and sets aside only one, it will be strong; but that which employs all three methods will have so much prestige that it will attain supremacy.

重罰輕賞，則上愛民，民死上；重賞輕罰，則上不愛民，民不死上。《去强》

“If penalties are made heavy and rewards light, the ruler loves his people and they will die for him; but if rewards are made heavy and penalties light, the ruler does not love his people, nor will they die for him.” _____ Elimination of the Strong

重刑少賞，上愛民，民死上；重賞輕刑，上不愛民，民不死上。利出一空者，其國無敵；利出二空者，國半利；利出十空者，其國不守。重刑明大制，不明者，六蝨也。六蝨成群，則民不用。是故興國罰行則民親，賞行則民利。行罰，重其輕者，輕者不至，重者不來，此謂以刑去刑，刑去事成。罪重刑輕，刑至事生，此謂以刑致刑，其國必削。《勒令》

If penalties are heavy and rewards few, then the ruler loves his people and they will die for him; if rewards are heavy and penalties light, then the ruler does not love his people nor will they die for him. If the profit disappears through one outlet only, the state will have no equal; if it disappear through two outlets, the state will have only half the profit; but if the profit disappears through ten outlets, the state will not be preserved. If heavy penalties are clear, there will be great control, but if they are not clear, there will be the six parasites. If the six kinds of parasites come together, then the people are not fit for employment. Therefore, in a prosperous country, when punishments are applied, the people will be closely associated with the ruler, and when rewards are applied they will reap profit. In applying punishments, light offences should be punished heavily; if light offences do not appear, heavy punishments will not come. This is said to be abolishing penalties by means of penalties, and if penalties are abolished, affairs will succeed. If crimes are serious and penalities light, penalties will appear and trouble will arise. This is said to be bringing about penalties by means of penalties, and such a state will surely be dismembered. ____ Making Orders Strict

六蝨：曰禮樂，曰詩書，曰修善，曰孝弟，曰誠信，曰貞廉，曰仁義，曰非兵，曰羞戰。國有十二者，上無使農戰，必貧至削。十二者成群，此謂君之治不勝其臣，官之治不勝其民，此謂六蝨勝其政也。十二者成樸，必削。是故興國不用十二者，故其國多力，而天下莫之能犯也。兵出必取，取必能有之；按兵而不攻，必富。朝廷之吏，少者不毀也，多者不損也。效功而取官爵，雖有辯言，不得以相干也，此謂以數治。以力攻者，出一取十，以言攻者，出十亡百。國好力，此謂以難攻；國好言，此謂以易攻。

The six parasites are: (1) rites and music, (2) odes and history, (3) moral culture and virtue, (4) filial piety and brotherly love, sincerity and faith, (5) chastity and integrity, benevolence and righteousness, (6) criticism of the army and being ashamed of fighting. If there are these twelve things, the ruler is unable to make people farm and fight, and then the state will be so poor that it will be dismembered. If these twelve things come together, then it may be said that the prince’s administration is not stronger than his ministers and that the administration of his officials is not stronger than his people. This is said to be a condition where the six parasites are stronger than the government. When these twelve gain an attachment, then dismemberment ensues. Therefore to make a country prosperous, these twelve things should not be practised; then the state will have much strength, and no one in the empire will be able to invade it. When its soldiers march out, they will capture their objective, and having captured it, will be able to hold it. When it keeps its soldiers in reserve and does not attack, it will certainly become rich. The court officials do not reject any merits, however few they may be, nor do they detract from any merits, however many they may be. Office and rank are obtained according to the acquired merit, and even though there may be sophistical talk, it will be impossible thereby to obtain undue precedence. This is said to be government by statistics. In attacking with force, ten points are gained for every one point undertaken, but in attacking with words, a hundred are lost for every one marched out. If a state loves force, it is said to attack with what is difficult; if a state loves words, it is said to attack with what is easy.

昔之能制天下者，必先制其民者也；能勝強敵者，必先勝其民者也。故勝民之本在制民，若冶於金，陶於土也。

In the past, the one who could regulate the empire was he, who regarded as his first task the regulating of his own people; the one who could conquer a strong enemy was he, who regarded as his first task the conquering of his own people. The way in which the conquering of the people is based upon the regulating of the people is analogous to the effect of smelting in regard to metal or the work of the potter in regard to clay.

夫刑者所以禁邪也；而賞者，所以助禁也。羞辱勞苦者，民之所惡也；顯榮佚樂者，民之所務也。故其國刑不可惡而爵祿不足務也，此亡國之兆也。刑人復漏，則小人辟淫而不苦刑，則徼倖於民上。徼倖於民上以利求，顯榮之門不一，則君子事勢以成名。小人不避其禁，故刑煩；君子不設其令，則罰行。刑煩而罰行者，國多姦；國多姦則富者不能守其財，而貧者不能事其業，田荒而國貧。《算地》

Now the idea of punishments is to restrain depravity, and the idea of rewards is to support the interdicts. Shame and disgrace, labour and hardship are what the people dislike; fame and glory, ease and joy are what the people pay attention to. So, if the penalties of the country are such that they do not cause dislike, and the titles and emoluments are not worth attention, it is an omen of the ruin of the country. If culprits often escape through the meshes, inferior people will be depraved and dissolute and will not think of the punishments as deterrents, and thus they will be applied to the people in a haphazard manner. That being so, and the way to fame and glory by means of gain not being one, then superior men will apply power to obtain a name and inferior people will not avoid what is prohibited. Therefore, the punishments will be numerous. If the superior man does not set up his commands clearly, minor penalties will be applied. If punishments are numerous and minor penalties are applied, the country will have many criminals. Then the rich will not be able to keep their wealth, nor the poor to apply themselves to their occupations; the fields will lie fallow and the state will be poor.  ____ Calculation of Land

民辱則貴爵，弱則尊官，貧則重賞。以刑治民則樂用，以賞戰民則輕死。故戰事兵用曰強。民有私榮，則賤列卑官；富則輕賞。治民羞辱以刑，戰則戰。民畏死事亂而戰，故兵農怠而國弱。《弱民》

If the people live in humiliation, they value rank; if they are weak, they honor office; and if they are poor, they prize rewards. If the people are governed by means of punishments, they enjoy service, and if the people are made to fight by means of rewards, they scorn death. Therefore if, in war, one’s army is efficient, one is called strong. If the people have private honors, they hold rank cheap and disdain office, if they are rich, they think lightly of rewards. Orderly people are ashamed of humiliations, and if they are made to fight by means of punishments, they will fight; if in fighting people are afraid of death and behave in a disorderly manner, the result will be that soldiers and farmers will be lazy and the country weak.      ______ Weakening the People

国以善民治奸民者，必乱，至削。国以奸民治善民者，必制，至强。《去强》

A country will disintegrate through chaos when the kind-hearted people rule over the treacherous; it will be well regulated and strong when the treacherous control the kind-hearted people.   ____ Eliminating the Strong

～～～～～～～～～～～～～～～～

文王问太公曰：“守土奈何？”　太公曰：“无疏其亲，无怠其众，抚其左右，御其四旁。无借人国柄，借人国柄，则失其权。无掘壑而附丘，无舍本而治末。日中必慧，操刀必割，执斧必伐。日中不彗，是谓失时；操刀不割，失利之期；执斧不伐，贼人将来。涓涓不塞，将为江河。荧荧不救，炎炎奈何；两叶不去，将用斧柯。是故人君从事于富。不富无以为仁，不施无以合亲。疏其亲则害，失其众则败。无借人利器，借人利器，则为人所害，而不终于世。”

文王曰：“何谓仁义？”　太公曰：“敬其众，合其亲。敬其众则和，合其亲则喜，是谓仁义之纪。无使人夺汝威，因其明，顺其常。顺者任之以德，逆者绝之以力。敬之勿疑，天下和服。”

《六韬，文韬，守土》西周/姜子牙(?–1046 B.C.)

King of Wen asked “How to defend the motherland?” The King of Zhou replied “Do not estrange those bound by kinships, do not ignore the masses; support those nearby and control the neighbors. Do not outsource the state power to others. Lease it to others, your (state) authority is lost. Do not add dirt from ditches to hills, or waste the principle on the nonessentials. Bask at noon when the sun is hot, slaughter when knife is in hand, and go on punitive expedition when sharp weapons are available. Not to utilize the sunshine in the middle of the day is time lost; not to kill while holding a knife in hand is letting go of the chance for self gain; not to crush enemies with weapons is to invite enemies. Small brooks and rapids, when unregulated, become rivers in time; sparks, when not smothered, become conflagrations. Young sprouts, when left uncut, have to be chopped down with ax when grown. The gentle ruler therefore devotes himself to prosperity; without prosperity he cannot rule with humanity, without giving charity outright he cannot establish good will from people. When relatives and friends are neglected, you disadvantage yourselves. When the masses are lost, you defeat yourselves. When others are employed to exercise state power, you will be harmed and end badly.

King of Wen asked “What is kindness and humanity?” The King of Zhou replied “Respect the masses, unify the clan. When the masses are respected, peace results. When relatives are unified, happiness ensues. Such are the criteria of kindness and righteousness. Do not let others usurp your power and rights. Trust your own intelligence in handling daily affairs. Reward and employ those who follow you, and do away with those who are opposed to you. If and when you follow these advice without doubt or evasion, the world will be at peace with you as its rightful ruler.

King of Zhou, (Jiang Ziya, ?–1046 B.C.)

～～～～～～～～～～～～～～～～·

戮力本業，耕織致粟錦多者，復其身。事未利及怠而貧者，舉以為收孥。Give status to those who do honest work as farmers and weavers; take as slaves those who failed in profit driven businesses and bankrupt through their laziness.

上军工以立国威，孥频贷以绝消耗。The military built-up is to make the state strong, and the enslavement of the lazy and outcast is to stop the waste of resources.

Lord Shang Yang

～～～～～～～～～～～～～～～～

商鞅徙木立信论 (毛泽东) 

Mao Zedong on Lord Shang Yang’s pole-moving ceremony to gain public trust

原文：

吾读史至商鞅徙木立信一事，而叹吾国国民之愚也，而叹执政者之煞费苦心也，而叹数千年来民智之不开、国几蹈于沦亡之惨也。谓予不信，请罄其说。

法令者，代谋幸福之具也。法令而善，其幸福吾民也必多，吾民方恐其不布此法令，或布而恐其不生效力，必竭全力以保障之，维持之，务使达到完善之目的而止。政府国民互相倚系，安有不信之理？法令而不善，则不惟无幸福之可言，且有危害之足惧，吾民又必竭全力以阻止此法令。虽欲吾信，又安有信之之理？乃若商鞅之与秦民适成此比例之反对，抑又何哉？

商鞅之法，良法也。今试一披吾国四千余年之记载，而求其利国福民伟大之政治家，商鞅不首屈一指乎？鞅当孝公之世，中原鼎沸，战事正殷，举国疲劳，不堪言状。于是而欲战胜诸国，统一中原，不綦难哉？于是而变法之令出，其法惩奸宄以保人民之权利，务耕织以增进国民之富力，尚军功以树国威，孥贫怠以绝消耗。此诚我国从来未有之大政策，民何惮而不信？乃必徙木以立信者，吾于是知政者之具费苦心也，吾于是知吾国国民之愚也，吾于是知数千年来民智黑暗国几蹈于沦亡之惨境有由来也。

虽然，非常之原，黎民惧焉。民是此民矣，法是彼法矣，吾又何怪焉？吾特恐此徙木立信一事，若令彼东西各文明国民闻之，当必捧腹而笑，舌而讥矣。呜乎！吾欲无言。

Translation

When I read how Lord Shang Yang built public trust by rewarding whoever could move the pole from one end of the city to another, I could not help but sigh with emotion at the ignorance of the Chinese people and at the pain the rulers took. For millennia, the people would not wake up and our country was at the brink of becoming extinct. Let me explain if you don’t believe in what I said.

Law and order are tools enabling people to achieve happiness. When they are good, people enjoy great happiness. What people often worry is that there is no law and order or the laws have no effect on people when no one is there to enforce them to achieve the intended goals. When and if the state and the governed support one another, there is no reason why law and order cannot be trusted. If law and order are bad, then there is no happiness to speak of, except the danger of creating fear among the people who have reason to resist these laws and orders. There is no reason why we the people should believe in law and order.  In the state of Qin during the time of Lord Shang Yang, the state and its people shared common interests, and yet they had to build mutual trust by this pole-moving exercise. Why was this?

Lord Shang Yang devised good laws. If we review the written records of the past four millennia in China to look for good statesmen who seek to strengthen the country and benefit the people, don’t we have to agree that he ranks number one? He lived in the time of Qin when central China was not stable and people were weary of the wars raging on. Was it not difficult to unify China by defeating dukes and princes of each state? That was when the institutional reforms were introduced to penalize the bad and protect the right of the people, rewarding the farmers who produced grain and cloth for strengthening the wealth of the nation, exalting military victories to make good state authority, taking in as slaves the poor and lazy in order to stop wasting national assets and resources. This was the most significant state policy that China had not seen. People had no reason not to believe in it. There had to be a moving-the-pole ceremony to establish public trust! From this event, I learned how much pain and hard work had to be endured on the part of the rulers, and how ignorant our people had been. From this I come to see how much wisdom and intelligence the people have been wanting in past millennia, so much so that the country was on the brink of total extinction.

However, when an unusual event took place, people tend to be surprised and afraid. The country being what it is and the people being who they are, why should I feel awed by this miracle? My only concern therefore is that those from countries with more advanced culture would burst out laughing or sneering at us when they heard this story of pole-moving exercise to cultivate public faith. Alas, I will say no more.

凡讼之可疑者，与其屈兄，宁屈其弟；与其屈叔伯，宁屈其侄；与其屈贫民，宁屈富民；与其屈愚直，宁屈刁顽。事在争产业，与其屈小民，宁屈乡宦，以救弊也。事在争言貌，与其屈乡宦，宁屈小民，以存体也。

_______海瑞(1514-1587)

When there is doubt in cases of litigation, be less lenient with the younger brother rather than older brother, with nieces or cousins rather than with uncles, with the wealthy rather than the poor, with the stubborn and conniving rather than the foolish and simple-minded. When there are disputes over property and business, protect the commoner rather than officials so as to prevent bankruptcy and foreclosure. When there are controversies over reputation and personal image, give the benefit of the doubt to the officials rather than plebeians so as to preserve moral integrity.

______Judge Hai Rui, political figure, government official of Ming Dynasty

Han Feizi 韓非子 The Five Vermin 五蠹

• • 夫明王治国之政，使其商工游食之民少而名卑，以寡趣本务而趋末作。今世近习之请行，则官爵可买；官爵可买，则商工不卑也矣。奸财货贾得用于市，则商人不少矣。聚敛倍农而致尊过耕战之士，则耿介之士寡而高价之民多矣。
  • The method of governing used by an enlightened ruler is to keep the number of merchants, craftsmen, and wandering tradesmen low and their status humble. In this way he promotes the primary occupations, and discourages the auxillary ones. In the current age, however, the requests of those dear to the ruler are granted, so offices and titles can be bought, and when offices  and titles can be bought, the status of merchants and artisans will not remain humble. When ill-gotten wealth and peddlers gain circulation in the marketplace, the number of merchants will not remain low. When those who collect taxes and exploit the farmers are more respected than officers who till their own land and go off to battle, then righteous and upright officers will be few while merchants and peddlers will be numerous.