Grant Reynolds

Legalism and the Qin Experiment

The basic origins of legalism in ancient China. The Guan-zi and the Book of Shang, while disagreeing in part, lay
down the foundations of philosophy. Han Fei is the greatest legalist. He believes in a strong, sage-king, strict legal
codes, rejection of morality, agrarian-military society, and strong authoritarian government. The Qin Dynasty adopts
these principles under Li Sis direction. The empire unites, feudalism rejected, and greater stability. However, forced
labor, burning books, killing Confucians, military service, and strict laws cause the people to rebel and overthrow
the Qin. The values of legalism are debatable because of their harshness.

It was during the turmoil and chaos of the Warring States that legalism found its greatest
stride. While legalism in theory has been the subject of debate among scholars around the world,
legalism in practice made the Qin Dynasty into Chinas first empire. However, legalism also
ultimately proved to be the downfall of Qin. The Qin Dynasty of the 3rd Century BC gives
historians and philosophers a chance to see Chinas best attempt of implementing the
classical tenants of legalist philosophy.
In modern scholarship, clear and standard definitions of legalism are almost universally
understood by political philosophers: Legalism stresses the enforcement of law, unbending to
privilege or circumstance. Legalism severely punishes those who break laws, and richly rewards
those who obey them. Legalism opposes tradition and upholds social reform. Legalism creates
strong central governments and rejects hereditary appointments.1 While legalist writings out of
ancient China would more or less agree with these tenets, a surprising number of legalist
philosophers would have their own diverging opinions.
Considered to be the forerunner for legalist philosophy, the Guan-zi was written in an
academy founded by the King Xuan in the 3rd Century BC.2 It is considered to be legalistic in
nature because of its realistic and practical approach to politics, even though the text extols the
traditional values of Confucius. In the text, we see some of the more classical qualities of
1 Benjamin Schwartz. The World of Thought in Ancient China. (Cambridge, MA:
Belknap Press of Harvard University Press, 1985), 323-324.
2 Lang Ye, Zhenggang Fei, and Tianyou Wang. China: Five Thousand Years of History and
Civilization. (Kowloon, Hong Kong: City University of Hong Kong Press, 2007), 44.

legalism, such as a strict system of reward and punishment to motivate the population and the
impartiality of those who govern. Yet, the Guan-zi also calls the virtue of the people central to
good governance. A ruler was expected to earn the hearts of his people and not to concern
himself pointlessly with large armies or conquest. The happiness of his people was to be a rulers
prime concern. When things are done well and credit is given to the people, they are happy.3 It
seems that legalism still had some developing to do before it arrived in the Qin Dynasty.
The Guan-zi, however, wasnt the only proto-legalist literature available during the early 200s
BC. The Book of Lord Shang was written by Shang Yang, a chancellor of the Qin State in the 4th
Century BC.4 Like many ancient texts, it is in the form of a discussion. Four mighty leaders
discuss the events of the land, one in particular wishing to remove the old laws of the land. While
this leader is fearful that the people will be angry with him, he comes to see that the kings of old
acted practically according to their needs, in truth, out of love for their people.5
The Book of Lord Shang continues with similar ideals of practicality and realism. While
many philosophies out of ancient China were devoted to the study and conceptualization of
ethereal things and the purpose of life, legalism was a completely practical and real study of
what qualities a government should have to properly rule its people. It promoted reforms that
devoted the nation solely to agriculture and military expansion.6 Legalism also becomes less tied
to Confucian teachings than was the Guan-zi. Shang Yang taught the notion of solving social
concerns with the legal system but he rejected the notion of a Confucian moral education. The
Book of Shang even makes the most blatant anti-Confucian argument against public officials,
3 Guanzi 11:32, tr. W. Allyn Rickett, 426.
4 Lang Ye, China, 46.
5 The Book of Lord Shang 1, tr. J. J. L. Duyvendak, 169.
6 Robert Eno, The Qin Revolution and the Fall of Qin, Indiana University. Accessed
Aug 6, 2014, http://www.indiana.edu/~e232/08-Qin.pdf
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suggesting, if officials are wicked, people will love the statutes and spy on others so that
crimes will be punished.7 It is the ideal of legalism that in a perfect system of laws, rewards and
punishments will make corruption and abuse of the system impossible by the bureaucracy and
officials. Only then would virtue and love be possible between the people and the state.
The name most associated with legalism in ancient China is Han Fei. Born around 280 BC as a
prince in Han state, Han Fei grew up privileged and educated. He was tutored by Li Si, another
realist philosopher of the day, and studied the realist teachings of Xun Zi.8 In adulthood, Han Fei
wrote extensively on philosophy, the military, and governance, but his work was never much
appreciated by his master, the Han King. These writings, however, did find their way to Shi
Huang Di, King of the Qin State. In 234 BC, the King of Qin attacked the Han State and
captured Han Fei.9 The Han prince quickly earned the ear of the king and taught him his
philosophies while trying to turn his armies away from the rest of the Han state. The realist and
practical nature of his argument almost convinced the King, but Han Feis old teacher and
companion, Li Si, had become a high official in the Qin State and betrayed Han Fei. Han Fei was
poisoned in 233 BC.10
Han Feis own brand of legalist or realist philosophy came to be known as fajia. It was a unique
blend of ideas drawn from numerous philosophers, including the Book of Lord Shang and even
Daoism. Han Fei often referred to the Way in discussing the the Way of the Ruler and other
manners in which a king must govern his kingdom. These rules were often to prevent a kings
7 Eno, The Qin Revolution and the Fall of Qin, says essentially that Shang is
arguing that if an official is a corrupt, the people will be forced to enforce the
statues of the law and will spy on their own neighbors. The perfect crime prevention
system is one that is enforced by the entire population.
8 Lang Ye, China, 47.
9 Ibid.
10 Eno, The Qin Revolution and the Fall of Qin
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corruption, vanity, or overthrow. The document Ten Faults was written by Han Fei to
specifically lay out the most damnable traits a king might have.11
Central to Han Fei legalist system was a law code that the state would have to enact to establish
order. These laws usually carried very harsh punishments, but also very large rewards. Protection
of helpless was a prime concern. The weak, old, young, the oppressed, the invaded, the
victimized, all needed protection and the law would provide it.12 While Han Fei still believed
forgiveness and mercy to be virtuous traits for man to have, he taught that only harsh, ruthless
punishment by the state brought justice and stability. Harsh penalties to crimes were considered
ideal, since they also served as an example to deter future crimes.13
This focus on the strictness of punishment and reward within a stern legal code can be traced in
large part to Han Feis belief that the human soul is naturally evil. This tenant, which most likely
came from his teachers Hsun-Tzu and Xunzi, means it is the natural inclination of man to be
selfish and to get gain at the expense of others.14 Han Fei believed the only way to satisfy the
innate human nature to be greedy and self-centered was with strict laws.15 Laws with
punishments severe enough to dissuade individuals from committing evil, while rewarding
enough to tempt man to live well and righteously were the only way.
The conceptual utopian society of Han Feis design was to be led by a powerful king. This king
must be virtuous, dedicated, sagely, and resolved to serve his people. He would lead by himself,

11 Sanderson Beck. Legalism, Qin Empire and Han Dynasty, China, Korea and
Japan to 1800: Volume 3 of Ethics of Civilization. Accessed Aug 1, 2014,
http://www.san.beck.org/EC16-Legalism.html.
12 Beck, Legalism, Qin Empire and Han Dynasty.
13 Eno, The Qin Revolution and the Fall of Qin
14 Schwartz, The World of Thought in Ancient China, 328.
15 Beck, Legalism, Qin Empire and Han Dynasty.
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without becoming reliant on minister or advisors who might attempt to usurp his power.16 The
king must make laws that are benevolent and rewarding enough to encourage the good people to
stay. He must also make laws that are strict and cruel enough to suppress the bad people. The
laws must be sufficient to prevent self-seeking officials from working their way into the
government, leaving only those selfless officials to lead and serve the people. The king must also
personally regulate officials to the best of his ability and weed out corruption whenever he finds
it.17 Needless to say, the perfect king required of Han Feis perfect state was all but mythical.
Finding the perfect ruler with all of the traits required to rule a legalist state would be miraculous
indeed.
Many of Han Feis teachings have been illustrated in the book Han Feizi. Because the text was
compiled after his death by his followers, it is unsure whether or not Hen Fei was truly the
author. The Han Feizi was a compilation of 55 chapters, one of the most remembered chapters
being number 49, The Five Vermin.18 In this section, Han Fei explains that the perfection of
law requires the people to be merciless and unflinching. Humaneness cannot but used to
achieve order in the state.19 Han Fei also explains that a perfect society must function in unity,
and should therefore be purged of those vermin who endanger a societys stability: clever

16 Lang Ye, China, 47. Kings often came under the influence of trusted advisors and
had their power stolen. A legalist king must always keep his circle of assistants
around him at a distance.
17 Ibid.
18 Ibid 46.
19 Five Vermin, Han Feizi, Chapter 49, From Sources of Chinese Tradition,
compiled by Wm. Theodore de Bary and Irene Bloom, 2nd ed., vol. 1 (New York:
Columbia University Press, 1999), 199-203.
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talkers, Confucians, vigilantes, draft dodgers, and merchants.20 Han Fei did not believe in half
measures if establishing perfect statehood was on the line.
Han Fei was a great teacher of unique philosophies regarding the drastic manipulation of society
in an effort to create a powerful, authoritarian state. And just before his death in 233 BC, Han Fei
brought these ideas to the leadership of the Qin State.
The very name of China itself comes from the Qin Empire formed by King Zheng in 221
BC. Recasting himself as Shih Huang Di, the Emperor set to enact great changes to state and
society with the inspiration of legalistic teachings and his advisor Li Si.21 The Emperor set out to
end the constant infighting throughout the land by dividing it into provinces instead of leaving
feudal lords in control of the countryside.22 This also meant the end of the system of feudal
landownership and the beginning of private landownership. These new provinces were
administered not by royal blood, but by appointed governors and military commanders. The
Emperor now had direct power to appoint and remove those governing his land. To further
centralize his authority, the Emperor forcibly relocated tens of thousands of educated and
wealthy families to the imperial capital of Xian-yang to make use of their talents and abilities.23
It was important for the Qin state to establish superiority over the people. This was done by
confiscating and destroying all weapons among the population. New weights and standards were
enforced in all markets and trade houses across the empire, at times creating market confusion.24
20 Ibid.
21 Yuri Pines, Shelach, Gideon; von Falkenhausen, Lothar; & Yates, Robin D.S. Birth
of an Empire: The State of Qin Revisited (2013) Location: Global, Area, and
International Archive. Retrieved from: http://escholarship.org/uc/item/4h74v49p
22 William Theodore de Bary. Sources of Chinese Tradition. New York: Columbia University
Press, 1999, 208.

23 Eno, The Qin Revolution and the Fall of Qin.

24 Pines, Birth of an Empire, 48.
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Inscriptions of the laws were erected in population centers to warn the people of the penalties of
their misdeeds. Forced labor became central to the Qin. Through the effort of convicts, or often
just the general population, canals and irrigation systems were built to focus efforts on
agriculture, the walls of cities within the empire were demolished to show none could defy the
Emperor, massive palace complexes were built for the king, and the Great Wall was slowly
erected to halt barbarians.25 The citizens of the empire not engaged in forced labor were often
involved in the massive Qin military, which was constantly at war with nomadic barbarians and
rogue states.26
Legalism in the Qin Empire took an unfortunate turn in 213 BC. While most any philosophy
would welcome debate and learning from most any source, the advisor and legalist Li Si thought
otherwise. When the Qin Emperor was criticized for being too innovative and breaking tradition
as a ruler, Li Si decided that great rulers dont look to the past and shouldnt be compared to
historical predecessors. To this end, Li Si ordered that no one should possess any writings of a
historical or philosophical nature that might be used to criticize the Emperor.27 All books other
than those of practical value, those belonging to approved scholars, and records written by Qin
authors, were to be burned. Confucian scholars were killed. According to one Han writer Li Si
ordered, Anyone referring to the past to criticize the present should, together with all members
of his family, be put to death.28 In this sense, we see a very dramatic power move by an

25 Ibid 143.
26 Ibid 122.
27 Beck, Legalism, Qin Empire and Han Dynasty.
28 William Theodore De Bary. Sources of Chinese Tradition. (New York: Columbia
University Press, 1999), 209.
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authoritarian state as it attempts to eliminate all resistance, even at the expenses of the scholarly
philosophy it is founded on.
The Emperor proved to be a cruel and spiteful ruler. At times he would order the executions of
entire groups or towns simply to punish one individual.29 At his death, and without an appointed
heir, his advisors consorted and secretly designated the Emperors son, Fusu, to be the next ruler.
Fusu was a young Emperor and relied heavily on his advisors, despite the warnings of Han Feis
writings. The result was even stricter laws and greater forced labor works in the capital.30
Rebellion finally came when a convict-transporter named Chu, knowing he would be wrongfully
condemned to death, led a rebellion of 900 criminals in 209 BC. They tore through the
countryside attacking Qin officials and gaining support. The rebellion grew in strength until it
marched on the capital in the winter of 209 BC, but was repelled.31 Even with this victory, power
struggles and distrust grew between the Emperor and his advisors. The infighting and division
left the empire weak enough for the rebellion to regain strength and overthrow the Qin, once and
for all in 206 BC.32
In the writings of the later Han historian, Chia Yi, we see the Chinese condemnation of legalism
within the Qin Dynasty and its blame for destroying the empire.
Thereupon he discarded the ways of the former kings and burned the
writings of the hundred schools in order to make the people ignorant. He
destroyed the major fortifications of the states, assassinated their powerful
leaders, collected all the arms of the empire, and had them brought to his
capital at Hsien-yang where the spears and arrowheads were melted down to
make twelve human statues, all in order to weaken the people of the
empire Then he had thus pacified the empire, the First Emperor believed
29 Beck, Legalism, Qin Empire and Han Dynasty. In 211 BC a meteor landed, and
someone inscribed on the stone, "The First Emperor will die, and his land will be
divided." Failing to find the author, the Emperor had everyone in the area put to
death and the stone pulverized.
30 Ibid
31 Pines, Birth of an Empire, 136.
32 Eno, The Qin Revolution and the Fall of Qin.
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in his heart that with the strength of his capital within the Pass and his walls
of metal extending a thousand miles, he had established a rule that would be
enjoyed by his descendants for ten thousand generations.33
It was clear that the ancient Confucian and Taoist philosophers that followed this time period
could see the how harsh and drastic the tenants of legalism were and how quickly they could
drive a population to rebellion.
The popularity of the legalist philosophy had some resurgence in the Han Dynasty, but
for the most part, it never regained the acceptance it had before and during the Qin Dynasty. The
scholars and philosophers of the 3rd and 2nd Centuries BC quickly returned to the study of
Confucianism, yet some legalistic tenets held on. Many rulers in ancient China looked to recreate
the strong militaries that legalism had promoted. Many governments implemented laws with
strict punishments and generous rewards. Legalism, while not practiced in name, was still
practiced in spirit to some extent.34
The flaws of legalism as a philosophy have been debated for centuries. The flaws of legalism as
a governing system in the Qin Empire, however, are more easily seen. The strict laws of the land
were only temporary solutions for the Qin, which actually made the people bitter. The Qin
destroyed their own culture by burning books and banning the study of moral education. The
overbearing government that forced the people into work camps or military service became a
symbol of oppression. The Emperor, who was supposed to remain wise, noble, and impartial,
became vain, greedy, and cruel. While legalism was meant to create a utopian society by
weeding out all the undesirables, it ended up trying to pull up good, healthy plants that it only
saw as weeds.

33 The Faults of Chin translated by Burton Watson

34 Beck, Legalism, Qin Empire and Han Dynasty.
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Bibliography
Primary
The Book of Lord Shang 1, tr. J. J. L. Duyvendak. The Book of Lord Shang: A Classic of the
Chinese School of Law. London: Arthur Probsthain, 1928.
Five Vermin, Han Feizi, Chapter 49, From Sources of Chinese Tradition, compiled by Wm.
Theodore de Bary and Irene Bloom, 2nd ed., vol. 1, New York: Columbia University
Press, 1999.
The Faults of Chin tr. Burton Watson. From Sources of Chinese Tradition, compiled by Wm.
Theodore de Bary and Irene Bloom, 2nd ed., vol. 1, New York: Columbia University
Press, 1999.
Guanzi 11:32, tr. W. Allyn Rickett. Guanzi: Political, Economic, and Philosophical Essays
From Early China. Princeton, NJ: Princeton University Press, 1998.

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Beck, Sanderson. Legalism, Qin Empire and Han Dynasty, China, Korea and Japan to 1800:
Volume 3 of Ethics of Civilization. Accessed Aug 1, 2014,
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de Bary, William Theodore and Irene Bloom. Sources of Chinese Tradition. 2nd ed., vol. 1, New
York: Columbia University Press, 1999.
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2014, http://www.indiana.edu/~e232/08-Qin.pdf.
Li, Feng. Early China: a Social and Cultural History. Cambridge, New York: Cambridge
University Press, 2013.
Pines, Yuri. Shelach, Gideon; von Falkenhausen, Lothar; & Yates, Robin D.S. Birth of an
Empire: The State of Qin Revisited. Global, Area, and International Archive. Accessed
Aug 1, 2014, http://escholarship.org/uc/item/4h74v49p.
Schwartz, Benjamin. The World of Thought in Ancient China. Cambridge, MA: Harvard
University Press, 1985.
Ye, Lang, Zhenggang Fei, and Tianyou Wang. China: Five Thousand Years of History and
Civilization. Kowloon, Hong Kong: City University of Hong Kong Press, 2007.

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