V.

LEGALISM/LEGISM (FAJIA
) AND
LEGALIST/LEGIST TEACHINGS

A. General Surveys and Collective Works

standard works
BODDE, Derk Chinas First Unifier. A Study of the Chin Dynasty as seen in
the life of Li Ssu (280?208). Leiden 1938.
BODDE, Derk The state and empire of Chin. CHC I pp. 21102.
CREEL, Herrlee G. The Fa-chiaLegalists or Administrators? In: Studies
Presented to Tung Tso Pin on His Sixty-Fifth Birthday. The Bulletin of the
Institute of History and Philology. Academia Sinica. Extra Volume 4 (1961)
pp. 607636. Rp in: id., What Is Taoism? pp. 92120.
HANSEN, Chad D. Fa (Standards; Laws) and Meaning Changes in Chinese
Philosophy. PEW 44.3 (1994) pp. 435488.
LI Yu-ning [LI Youning] The First Emperor of China: The Politics of Historiography. New York 1975.
RUBIN, Vitaly A. Individual and State in Ancient China: Essays on Four Philosophers. New York 1976. [from the Russian Ideologiia yi kultura drevnego kitaia by von Steven I. LEVINE]
VANDERMEERSCH, Leon La formation du lgisme. Recherche sur la constitution dune philosophie politique charactristique de la Chine ancienne.
Paris 1965.

works indispensable for the specialist

BODDE, Derk Basic Concepts of Chinese Law: The Genesis and Evolution
of Legal Thought in Traditional China. In: Charles LE BLANC and Dorothy BORER eds., Essays on Chinese Civilization. Princeton 1981. pp.
171194.
FU Zhengyuan Chinas Legalists. The Earliest Totalitarians and Their Art of
Ruling. Armonk 1996. New Studies in Asian Culture.
HSIAO Kung-chuan Legalism and Autocracy in Traditional China. THJ NS
4.2 (1964) pp. 108121. Rp in: CSH 10.12 (19761977) pp. 125143 and
in: LI Yu-ning ed., Shang Yangs Reforms and State Control in China pp.
125143. [from the Chinese]
WANG Gungwu Burning Books and Burying Scholars Alive: Some
Recent Interpretations concerning Chin Shih-huang. Papers on Far Eastern History 9 (1974) pp. 137186.

works with additional information

BODDE, Derk A Totalitarian Form of Government in Ancient China. In:
Far Eastern Leaflets 16. Washington 1942, pp. 2325.

152

legalism/legism and legalist/legist teachings

BODDE, Derk and Clarence MORRIS Basic Concepts of Chinese Law.

In: James T. C. LIU and Wei-ming TU eds., Traditional China. Englewood
Cliffs 1970. pp. 92108. [from id., Law in Imperial China. Cambridge/Mass.
1967. pp. 329; without the footnotes]
CHENG Chung-ying Legalism versus Confucianism: A Philosophical
Appraisal. JCP 8.3 (1981) pp. 271302. Rev. ed. in: id., New Dimensions
pp. 311338.
CHENG Yung [ZHENG Yong], YEN Yen [YAN Yan] et al. A Tentative Discussion of Legalist Military Thought during the Warring States Period.
CSP 7.3 (1976) pp. 4056. [from the Chinese]
CHUNG Cheh Chin Shih Huang and the struggle between the Confucians
and the Legalists. China Reconstructs 24.9 (1975) pp. 811.
CREEL, Herrlee G. The Meaning of
Hsing-ming. In: Sren
EGERD and Else GLAHN eds., Studia Serica Bernhard Karlgren Dedicata. Kopenhagen 1959. pp. 199211. Rp in: id., What Is Taoism? pp. 79
91.
FELBER, Roland Zur Interpretation des Legismus in der VR China 1972
1975. In: Festschrift zum 70. Geburtstag von M. J. SLADKOVSKIJ.
Berlin-Ost 1976. pp. 3852.
FIELDS, Lanny B. The Legalists and the Fall of Chin: Humanism and Tyranny. JAH 17 (1983) pp. 139.
HSIEH, Shan-yuan The Legalist Philosophers. In: Donald H. BISHOP ed.,
Chinese Thought pp. 81109.
HULSEW, Anthony F. P. The Legalists and the Laws of Chin. In: Wilt L.
IDEMA ed., Leyden Studies in Sinology. Leiden 1981. pp. 122.
HUNG Cheng [HONG Cheng] A Tentative Discussion of Pre-Chin Legalists
Ideas Concerning War Preparedness. CSH 9.2 (19751976) pp. 2136.
JAN Yn-hua Taoist Silk Manuscripts and Early Legalist Thought. In: Julia
CHING and Richard W. L. GUISSO eds., Sages and Filial Sons pp. 6579.
[main focus on SHEN Buhai, Shangjun shu and SHEN Dao]
KUDO Motoo The Chin Bamboo Strip Book of Divination (Jih- shu) and
Chin Legalism. AA 58 (1990) pp. 2437.
KUNG, Charles C. The Legalist School and Shi Huang Ti. In: CC 4.3 (1962)
p. 107114.
LAU, Ulrich. Vom Schaf zur GerechtigkeitDer sakrale Hintergrund einiger
frhchinesischer Rechtstermini. In: Christiane HAMMER und Bernhard
FHRER eds., Tradition und Moderne pp. 3747.
LEANG Ki-chao [LIANG Qichao] La conception de la loi et les thories des
lgistes la veille des Tsin. Traduction, introduction et notes par Jean
Escarra et Robert Germain. Peking 1926. [from the Chinese (Yinbingshi
wenji
) by Jean ESCARRA and Robert GERMAIN]
LEE Kwang Kyu The Legalist School and Legal Positivism. JCP 3.1 (1975
1976) pp. 2356.
LVI, Jean Solidarit de lordre de la nature et de lordre de la societ: loi
naturelle et loi sociale dans la pense lgiste de la Chine ancienne.
EOEO 3 (1983) pp. 2336.
LVI, Jean Qin Shi Huang Di und die Staatsdoktrin von Shang Yang und
Han Fei. In: Dokumentation - China -Akademie - Herbst 1990. Dortmund
1991. pp. 103119.

bibliography

153

LVI, Jean Quelques aspects de la rectification des noms dans la pense et

la pratique politiques de la Chine ancienne. EOEO 15 (1993) pp. 2353.
[concerning the xingming-discussion, main focus on Hanfeizi]
LVI, Jean and Franois LACHOUQUE Llimination des intellectuels par
le pouvoir lgiste. Note I. EOEO 4 (1984) pp. 2734.
LI Ma A Comparison of the Legitimacy of Power Between Confucianist and
Legalist Philosophies. I: AP 10.1 (2000) pp. 4959.
LIANG En-yuan [LIANG Enyuan] The Legalist School Was the Product of
Great Social Change in the Spring and Autumn and Warring States Periods. CSP 8.1 (1976) pp. 420. [from the Chinese]
LIANG Ling-i [LIANG Lingyi] The Crystallization of Pre-Chin Legalist
Thought. CSP 7.4 (1976) pp. 3556. [from the Chinese]
LO Szu-ting [LUO Siding] The struggle for and against restoration in the
course of the founding of the Chin dynastyalso on the social basis of the
contention between the Confucianists and the Legalists. In: Selection
from Peoples Republic of China Magazines no. 763764. pp. 3346. Rp as
The struggle between restoration and counterrevolution in the course of
the founding of the Chin dynasty. In: LI Yu-ning ed., The First Emperor
of China pp. 5573. [from the Chinese]
German translation: Der Kampf zwischen der Restauration und dem Widerstand dagegen im Laufe der Herausbildung der Tjin-Dynastie.ber
die gesellschaftliche Basis der Polemik zwischen der konfuzianischen und
der legalistischen Schule. In: Kritik an Lin Biao und Konfuzius pp. 95
126. [from the Chinese]
MAKEHAM, John T. The Legalist Concept of hsing-ming: An Example of
the Contribution of Archaeological Documents to the Re-interpretation of
Transmitted Texts. MS 39 (19901991) pp. 87114.
MARTIN, Franois Le cas Zichan: entre Lgistes et Confucianistes. In:
Jacques GERNET and Marc KALINOWSKI eds., En suivant la voie royale pp. 6983.
MATSUMOTO Masaaki The Fa-chia
and the Shang-shu
.
MTB 26 (1968) pp. 1538.
MAY, Reinhard Frieden und die Aufgabe des Rechts. Rechtstheoretischer Versuch zur Friedensforschung im rechtsvergleichenden Bereich unter Einschlu einer Darstellung chinesischen Rechtverstndnisses. Wiesbaden
1979. [Rev. version of Diss. Mainz 1978] [on the concept of law in Dade
jing, Lunyu, Mozi, but main focus on the Legalists]
NOETHER, Roger E. The Reformers of 1898 and Pre-Chin Legalist
Thought. Ph.D. St. Johns 1980.
OPITZ, Peter J. Die Fa-chia - Eine Schule im Zwielicht. Indo-Asia 38.4
(1996) pp. 3842.
PERELOMOV, Leonard S. Legizm I problema stanovlenija pervogo centralizovannogo gosudarstva i Kitai (V-III do n.e.). Diss. Moskau 1970.
PETERSEN, Jens . Which Books Did the First Emperor . . . see p. 19 above.
RUBIN, Vitaly A. Ancient Chinese Cosmology and Fa-chia Theory. In:
Henry ROSEMONT Jr. ed., Exploration in Early Chinese Cosmology pp.
95104.

154

legalism/legism and legalist/legist teachings

SCHI Ding [SHI Ding] Zum Verbrennen von Bchern und lebendigen
Begraben von Konfuzianern. Peking Rundschau 19 (1974) pp. 23 27.
Rp in: Joachim SCHICKEL, Confucius. Materialien pp. 239 252.
TAI Tong-tschung [DAI Dongzhong] Der chinesische Legalismus (Fa Chia)
unter besonderer Bercksichtigung seiner rechtspositivistischen Elemente. Diss. Mainz 1969.
TOMKINSON, Leonard The Early Legalist School of Chinese Political
Thought. Open Court 45 (1931) pp. 357369, 438448, 566570, 636639,
683691.
TURNER, Karen The Theory of Law in the Ching-fa. EC 14 (1989) pp. 55
76.
TURNER, Karen War, Punishment, and the Law of Nature in Early Chinese Concepts of the State. HJAS 53.2 (1993) pp. 285324.
WEI Chin Chin Shih-huangs bookburning as seen from the bamboo slips
unearthened in Ying-cheh shan. CSH 8 (19741975) pp. 145153.
WILHELM, Hellmut Schriften und Fragmente zur Entwicklungsgeschichte
der staatsrechtlichen Theorien der Chou Zeit. MS 12 (1947) pp. 4196.
WU, John C. H. Chinese Legal Philosophy: A Brief Historical Survey. CC
1.4 (1958) pp. 748. Rp in: Yi Chn KOO et al. eds., Confucianism pp.
323364.
XU Zhen Zhou [XU Zhenzhou] Lart de la politique chez les lgistes chinois.
Paris 1995.
YANG Ming-che The Legalists. Free China Review 2 (1968) pp. 1926.

specialized studies of a comparative nature

STEENSTRUP, Carl On Legalism as an Heuristic Device in the Comparative Study of the History of Western and Chinese Institutions. In: Leif
LITTRUP ed., Analecta Hafniensia. 25 Years of East Asian Studies in
Copenhagen. London 1988. pp. 137147. Scandinavian Institute of Asian
Studies. Occasional Papers 3.

B. SHANG Yang

and the Shangjun shu (Shang-chn shu)

standard works

DUYVENDAK, Jan J. L. The Book of Lord Shang. Rp London 1963 (1928).

Probsthains Oriental Series vol. XVII. [with Chinese characters]
LVI, Jean Le Livre du prince Shang. Paris 1981. [very good translation]
LVI, Jean Shang chn shu
. In: Michael LOEWE ed., Early
Chinese Texts pp. 368375.
LI Yu-ning ed. Shang Yangs Reforms and State Control in China. White
Plains 1977.
YANG Kuan Shang Yangs Reforms. In: LI Yu-ning ed., Shang Yangs
Reforms and State Control in China pp. 399; rp in: CSH 10.12 (1976
1977). [from the Chinese]

bibliography

155

works indispensable for the specialist

HUAN Kuan [HUAN Kuan] In Criticism of Shang Yang. In: LI Yu-ning
ed., Shang Yangs Reforms and State Control in China pp. 113124; rp in:
CSH 10.12 (19761977). [from the Chinese]
KANDEL, Jochen E. Das Buch des Frsten Shang und die Einfhrung der
Monodoxie. Eine bersetzung der Kapitel II und VIII des Shang-chn
shu. In: Gert NAUNDORF, Karl-Heinz POHL, and Hans-Herrmann
SCHMIDT eds., Religion und Philosophie in Ostasien. Festschrift fr Hans
Steininger. Wrzburg 1985. pp. 445465.
LI Ya-nung [LI Yanong] Shang Yangs Reforms. In: LI Yu-ning ed., Shang
Yangs Reforms and State Control in China pp. 144179; rp in: CSH 10.12
(19761977). [from the Chinese]
LIANG Hsiao [LIANG Xiao] On Shang Yang. In: LI Yu-ning ed., Shang
Yangs Reforms and State Control in China pp. 180195; rp in: CSH 10.12
(19761977). [from the Chinese]
RUBIN, Vitaly A. The Theory and Practice of a Totalitarian State. Shang
Yang and Legalism. In: id., Individual and State pp. 5588.
YUAN Shao-chi
[YUAN Shaoji] Some Reflections on Shang
Yang and His Political Philosophy. CC 9.3 (1968) pp. 8192. Rp in: Yi
Chn KOO et al. eds., Confucianism pp. 249260.

works with additional information

DUYVENDAK, Jan J. L. Shang Yang (Schang Yang, der Begrnder der
Macht des Staates Tsin). Sinica 3 (1928) pp. 200207.
DUYVENDAK, Jan J. L. The Book of Lord Shang and the School of Law.
CSH 10.12 (19761977) pp. 196250.
FELBER, Roland Die Reformen des Shang Yang und das Problem der
Sklaverei in China. In: Elisabeth Ch. WELSKOPF ed., Neue Beitrge zur
Geschichte der Alten Welt 1. Berlin 1964. pp. 111121.
FORKE, Alfred Schang Yang, der eiserne Kanzler, ein Vorlufer
Nietzsches. OZ 11 (1924) pp. 249260.
HOIZEY, Dominique Shang Yang ou le Machiavel chinois. Revue de Mtaphysique et de Morale 88 (1983) pp. 269270.
KROKER, Eduard J. M. Der Gedanke der Macht im Shang-kn-shu. WienMdling 1951.
LAO D. C. and CHEN Feng Ching eds. Shangjunshu zhuzi suoyin
(A Concordance to the Shangjunshu). Hongkong 1992.
LVI, Jean Chang Yang. In: Jean LVI, Dangers du discours pp. 118131.
[selective translation; without Chinese characters]
MARUO Kanehira Jordbruksutveckling och Shang Yangs Reformer. Ph.D.
Gteborg 1989.
OPITZ, Peter J. Die Geschichte vom Aufstieg und Fall des Kung-SunYang.
Indo-Asia 39.1 (1997) pp. 3137.
TRAUZETTEL, Rolf Shang Yang. KNLL 15 (1988) pp. 364.
URBAN, Olaf Die Figur des Shang Yang in der Anti-Konfuzius-Kampagne
197375. M.A. Thesis Mnchen 1978.

156

legalism/legism and legalist/legist teachings

specialized studies of a comparative nature

DUYVENDAK, Jan J. L. Chinesischer Bildersaal. IV. Schang Yang, der

Begrnder der Macht des Staates Tsin. 2. Schang Yang. Sinica 3.5/6 (1928)
pp. 200207.
KUHN, Franz Chinesischer Bildersaal. IV. Schang Yang, der Begrnder der
Macht des Staates Tsin. 1. Chinas Macchiavell. Sinica 3.5/6 (1928) pp.
197199.
LEE Gong-way [LI Gongwei] A Comparative Study Between Shang Yang
and Niccolo Machiavelli: Their Views of Human Nature and History. CC
37.1 (1996) pp. 3955.

C. SHEN Buhai (SHEN Pu-hai)

and the Shenzi (Shen-tzu)

standard works
CREEL, Herrlee G. Shen Pu-hai: A Chinese Political Philosopher of the
Fourth Century B.C. Chicago 1974.

works indispensable for the specialist

LOUTON, John M. Shen Pu-hai: A Misunderstood and Wrongly Neglected
Thinker? JAOS 99.3 (1979) pp. 440449.

works with additional information

CREEL, Herrlee G. Shen Pu-hai: A Secular Philosopher of Administration. JCP 1.2 (1974) pp. 119126.
CREEL, Herrlee G. Shen tzu
(Shen Pu-hai
). In: Michael
LOEWE ed., Early Chinese Texts pp. 394398.

D. SHEN Dao (SHEN Tao)

and the Shenzi (Shen-tzu)

standard works
THOMPSON, Paul M. The Shen Tzu Fragments. Ph.D. Univ. of Washington 1970. [contains translations (pp. 512575), which are missing in the rev.
version below]
THOMPSON, Paul M. The Shen Tzu Fragments. Oxford 1979. London Oriental Series 29. [rev. Ph.D. Univ. of Washington 1970]

works indispensable for the specialist

BARRETT, Timothy H. On the Transmission of the Shen Tzu and of the
Yang shen Yao chi. JAOS 100 (1980) pp. 169171.
LVI, Jean Chen Tseu. In: Jean LEVI, Dangers du discours pp. 133149.
[selective translation without Chinese characters]

bibliography

157

RUBIN, Vitaly A. Shen Tao and Fa-chia. JAOS 94 (1974) pp. 337346.
THOMPSON, Paul M. Shen tzu
(Shen Tao
). In: Michael
LOEWE ed., Early Chinese Texts pp. 399404.

works with additional information

TIETZE, Klaus

E. Han Fei

Shen Dao. KNLL 15 (1988) pp. 409410.

and the Hanfeizi

(Han-Fei tzu)

standard works
LIAO Wen-kuei [LIAO Wengui] The Complete Works of Han Fei Tzu, a Classic of Chinese Political Science. Translated from the Chinese with Introduction, Notes and Index. Vol. 1 London 1938; vol. 2 London 1959.
Probsthains Oriental Series vols. XXV, XXVI. [with Chinese characters]

works indispensable for the specialist

CHEN, Ellen M. The Dialectic of Chih (Reason) and Tao (Nature) in the
Han Fei-Tzu. JCP 3.1 (1975) pp. 122.
LANDERS, James R. The Political Thought of Han Fei. Ph.D. Indiana
Univ. 1972.
LUNDAHL, Bertil Han Fei Zi: the Man and the Work. Stockholm 1992.
Stockholm East Asian Monographs no. 4.
MGLING, Hilmar Die Kunst der Staatsfhrung. Die Schriften des Meisters
Han Fei. Leipzig 1994. [first German complete translation; without Chinese characters and the footnotes. Rev. Diss. Leipzig 1987]
TONG Shuye A Study of Han Feis Thought. Transl. by AI Ping. CSP 14.4
(19821983) pp. 6198. [from the Chinese]
WATSON, Burton Han Fei Tzu. Basic Writings. New York 1964. [Teilbersetzung der Kap. 510, 12, 13, 17, 18, 49, and 50]
WU Geng Die Staatslehre des Han Fei. Ein Beitrag zur chinesischen Idee der
Staatsrson. Wien 1978. Forschungen aus Staat und Recht 44. [Rev. version
of Diss. Wien 1977]

works with additional information

BELPAIRE, Bruno Les plus belles pages du Philosophe chinois. Han Fei-tse.
Brssel 1963. Petits traits chinois peu connus no. 4. [without Chinese
characters]
CHEN En-cheng Han Feis Principle of Government by Law. CC 1.4 (1958)
pp. 91103. Rp. in: Yi Chn KOO et al. eds., Confucianism pp. 225238.
JOHNSON, Wallace A Concordance to the Han-Fei tzu (Han fei tzu yin te
). San Francisco 1975. Chinese Materials Center, Research
Aids Series no. 13.
KSTER, Hermann Anmerkungen zu einer bersetzung des Han Fei-tzu.
Sinologica 8 (1964) pp. 19. [comment on the translation by LIAO Wenkuei on the basis of CHEN Qiyou
Hanfeizi jishi shanyao
]

158

legalism/legism and legalist/legist teachings

LAU, D. C. Taoist Metaphysics in the Chieh Lao

and Platos Theory of
Forms. In: CHOW Tse-tsung ed., Wen-lin 2.
LVI, Jean Han Fei Tseu. In: Jean LVI, Dangers du discours pp. 19115.
[selective translation without Chinese characters]
LIAO Wen-kuei Learned celebrities: a criticism of the Confucians and the
Moists by Han Fei Tzu. HJAS 3 (1938) pp. 161171. [translation from the
Hanfeizi]
LIAO Wen-kuei Five Vermin: A Pathological Analysis of Politics. THM 10
(1940) pp. 179196.
MGLING, Wilmar Macht und Gesetz in den Auffassungen des Han Fei-zi.
Eine Studie zum altchinesischen Legismus. Diss. Leipzig 1987 [with footnotes and Chinese characters]
SMITH, Courtlandt The Bureaucratic Vision of Han Fei Tzu. Ph.D. Berkeley University 1975.
THIEL, Joseph Die Staatsauffassung des Han Fei-tzu. Sinologica 6.34
(19601961) pp. 171192; 225270. [translations of chaps. 43, 46, 49, 50]
TI Ching [DI Qing] A Reading of Han Feis Wu Tu (Five Vermin). CSP
10.1 (1978) pp. 1933. [from the Chinese]
TRAUZETTEL, Rolf Han Feizi. KNLL 7 (1988) pp. 241.
WANG Hsiao-po [WANG Xiaobo] The significance of the concept of fa in
Han Feis thought system. PEW 27 (1977) pp. 3552. [from the Chinese
by Leo S. CHANG]
WANG Hsiao-po and Leo S. CHANG The Philosophical Foundations of Han
Feis Political Theory. Honolulu 1986. Monographs of the Society for Asian
and Comparative Philosophy no. 7.
WONG Hao-hsing Lsprit de la loi et lsprit du monde dans la philosophie
de Han Fei Tseu. Diss. Paris 1941.
YANG Kuan [YANG Kuan] Han Feis Theory of the Rule of Law Played a
Progressive Role. CSP 10.1 (1978) pp. 418. [from the Chinese]
YEN Feng et al. Han Feis Critique and Reconstruction of Ideas in Lao
Tzu. CSH 11.3 (1975). [from the Chinese]
ZHOU Zhongling, SHI Xiaoshi, and XU Weixian eds. Hanfeizi suoyin
. Beijing 1982.

specialized studies of a comparative nature

DAOR, Dan Contrast of the concept of li in the, Chieh Lao chapter of Han
Fei Tzu with the idea of Plato. In: Ben-Ami SCHARFSTEIN ed., Philosophy East/Philosophy West. A Critical Comparison of Indian, Chinese,
Islamic and European Philosophy. Oxford 1978.
ETZ, Donald Han Fei Tzu: management pioneer. Public administration
review 24 (1964) pp. 3638.
MOODY, Peter R. The Legalism of the Han Fei Tzu and Its Affinition with
Modern Political Thought. International Philosophical Review 19 (1979)
pp. 317330.

bibliography

159

ROWE, Robert T. Han Fei Tzu and Niccolo Machiavelli. CC 23 (1982) pp.
2955.
VON SENGER, Harro Das Gesetzesrecht der Volksrepublik zwischen Mao
Zedong and Han Fei. In: Gregor S. PAUL and Martin WOESLER eds.,
Zwischen Mao und Konfuzius pp. 91116.
WILHELM, Richard Chinesischer Bildersaal. Han Fe Dsi. Sinica 4.3
(1929) pp. 110120. [with translations from the Shiji
by TANG
Quan, from the Hanfeizi by Xu Daolin]