Introduction

The Warring States period was a time of intense fighting between rival Chinese states. It began in either 481 or 475 BCE, when the Eastern Zhou dynasty lost its control over China. Almost 100 small states began fighting one another. Many of these states survived this period of conflict. However, seven large states had the most power. Among these powerful states were the Qin and the Han. In just over 300 years, there were more than 300 wars fought. In light of these battles, the main view of human nature at this time was not very positive. Many people believed that humans needed strict laws to keep them under control. As a result, an idea known as legalism became the leading principle for government.

Legalists believed that in order for a ruler to maintain order, people must obey a set of strict laws and follow rulers in government. Legalists created a system of punishment and reward for certain behaviors. If humans followed these rules, then the state would be stronger. They felt that if people followed these rules, then the state would be strengthened.

Legalism became especially important following the Warring States period. The Qin state attempted to create order in this time of chaos. There were two different kinds of leaders, legalists and Confucianists. Both wanted to create order, but they had different methods for doing so. Confucianists believed that peace could be restored if everyone lived by a code of conduct that encouraged respect. They were more traditional, and they wanted to restore the Chinese people to their former glory. Legalists also wanted to restore and reunite China. However, they thought that this could only be done through harsh laws.

The founders of legalism

Shang Yang was born around, or “circa,” 390 BCE. He died circa 338 BCE. He is considered one of the important early philosophers of legalism. A Qin state official, he reorganized the state under the Qin leader Duke Xiao. Shang Yang divided the Qin area into a number of regions, each with its own governor.¹ He set up a new system for paying taxes. Shang Yang also required citizens of the Qin state to join the military. His most famous achievement was the creation of a strict legal code. It was designed to strike fear into the members of the Qin community. Shang Yang eventually fell out of favor with Duke Xiao and was executed.

Han Feizi (circa 280-233 BCE) was the author of a series of essays on legalism. These writings became a guide for rulers on how to organize their states. Han Feizi stressed the importance of harsh laws. He believed that strong leaders must enforce these laws and have a strong military. Han Feizi worked as a government official for the state of Han. When the Qin leader attacked the Han, the Han leader sent Han Feizi to make a deal with the Qin. Han Feizi ended up staying at the emperor’s court. His teachings became influential in the principles of legalism. Here are two brief excerpts from his work that demonstrate those principles:

On Having Standards: “In our present age he who can put an end to private scheming and make men uphold the public law will see his people secure and his state well ordered; he who can block selfish pursuits and enforce the public law will see his armies growing stronger and his enemies weakening. Find men who have a clear understanding of what is beneficial to the nation and a feeling for the system of laws and regulations, and place them in charge of the lesser officials; then the ruler can never be deceived by lies and falsehoods. Find men who have a clear understanding of what is beneficial to the nation and the judgment to weigh issues properly, and put them in charge of foreign affairs; then the ruler can never be deceived in his relations with the other powers of the world…”

On Wielding Power: “The ruler does not try to work side by side with his people, and they accordingly respect the dignity of his position. He does not try to tell others what to do, but leaves them to do things by themselves. Tightly he bars his inner door, and from his room looks out into the courtyard; he has provided the rules and yardsticks, so that all things know their place. Those who merit reward are rewarded; those who deserve punishment are punished. Reward and punishment follow the deed; each man brings them upon himself. Therefore, whether the result is pleasant or hateful, who dares to question it? When compass and rule have marked out one corner of truth, the other three corners will become evident of themselves.”

Han Feizi showed a strong leader can establish order and create wealth and success. Laws are important and benefit all people. But these laws must be clearly written and strongly enforced. Society must also be taught to obey the law.

Han Feizi did not meet a good end. Qin leader Li Si imprisoned Han Feizi. Li Si was jealous of Han Feizi’s knowledge and skills. He feared Han Feizi might take over his position at court. So Li Si ordered Han Feizi to drink poison, killing him.

By getting Han Feizi out of the way, Li Si (c. 280-208 BCE) became the leading legalist philosopher. He implemented the ideas of the legalists across the growing Qin state. His achievements include the construction of the Great Wall to protect against invaders and the creation of a universal system of writing. But Li Si was critical of Confucianism. This led Confucian scholars to detest his reforms. Both legalists and Confucian scholars believed in order, but many Confucianists argued that people could be taught to promote and follow order through culture. Rather, strict laws and force were unnecessary. At one point Li Si prohibited history education and called for the burning of books. This increased the conflict between legalists and Confucianists.

Legalism eventually fell out of fashion at the beginning of the Han Dynasty. The Han emperor rejected the philosophy of legalism in favor of Confucianism. In addition, he expelled all followers of the legalist philosophy from government. Most believed that legalism was not a philosophy that could survive in the long term.

1 A feudal system of government was set up so that a ruler or aristocrat would exchange land for services from lower classes of citizens. These services included military protection or food. Each person in the system would benefit. However, these benefits could be unequal.