Legalism 法家 : Han Feizi

Legalism法家: Han Feizi

Han Feizi 韓非子(280-233 B.C.) • Han Feizi • A prince: rich, high status • Royal to his state, the state of Han (韓): • small & weak, in central China, surrounded by strong states • always in danger • Mission: only to strengthen Han • not the inventor of Legalism, but its perfector • Confucius, Mencius, Xunzi, Mozi, Laozi, Zhuangzi etc: • the very humbleness of their birth • a freedom of thought • physical movement to various states • Better lives for all people

II.1 The Life of Han Feizi 1. Han Fei repeatedly submitted letters of remonstrance to the King of Han but completely ignored 2. Han Fei then wrote a book 3. King of Chin (who later unified China in 246 B.C.): • Love & follow his ruling policies in book • 234 B.C.: want to launch an attack on the state of Han 4. Hanfei went to the Chin court & was well-received 5. Li-si李斯, a high official in Chin, (a former student of Hanfei) • warned the king: Hanfei must be on the side of Han • Hanfei was handed over to the law officials for investigation. 6. Before the king changed his decision, Li-si sent poison to the prison. Han Fei was confined.

II.1 Why Li-si send his own teacher, Han Feizi to death? • Legalists’ sole concern: To preserve and strengthen the state • Li-si= a good legalist • Anyone (even his parents/children/teacher): against Chin, should be executed. • He is also executed by the later kings

II.2 Mission of Legalism • Legalist School: • to preserve and strengthen the state 富國強兵 • Take no interest in private individuals/ their lives, • Only for the interests of the King. • Unlike Confucianism/ Mo-ism: • to preserve/restore customs of the past • moral value ***Like Machiavelli’s treatise, The Prince: • Han’s book = a handbook for the prince • Rules & principles to control officials & people • with a few chapters added for the guidance of his ministers.

II.3 Policies • Strengthening power of the KING • strong central government • Absolute control of land and population • By strict laws: heavy penalties • Rule by fear & ignorance • No education for all = no question/ criticism • All ruling class: wise, helpful officials • emphasize agriculture, food production • steady food supply for the stability of the state • well-disciplined people = easy to be ruled • enlarge population = strong army • Plenty of food for soldiers • Invade wars to expand the border

II.4 Laws/ fa 法 • An elaborate system of laws: • Set by the ruler • distributed to his officials • taught and explained to the illiterate common people • Strict Law & Heavy Punishment • all in ordered

II.5 Methods of Governing (H, ch.7) : The Two Handles (favor & punishment) (二柄) 1. The ruler: • the author of law • outside and above law • BUT must live according to another set of strict principles, in order to attain a powerful state. 2. All others (officials & the common people): • controls by punishment罰 and favor賞 • By the KING only

Text on “Two Handles” • (H, ch.7) “The enlightened ruler controls his ministers by means of two handles alone. The two handles are punishment and favor. What do I mean by punishment and favor? To inflict mutilation and death on men is called punishment; to bestow honor and reward is called favor. Those who act as ministers fear the penalties and hope to profit by the rewards. Hence, if the ruler wields his punishments and favors, the ministers will fear his sternness and flock to receive his benefits. But the evil ministers of age are different. They cajole the ruler into letting them inflict punishment themselves on men they hate and bestow rewards on men they like…. • “…Now if the ruler of men does not insist upon reserving to himself the right to dispense profit in form of rewards and show his sternness in punishments, but instead hands them out on the advice of his ministers, then the people of the state will all fear the ministers and hold the ruler in contempt, will flock to the ministers and desert the ruler. This is the danger that arises when the ruler loses control of punishment and favors…

Text on “Two Handles” • “…The tiger is able to over power the dog because of his claws and teeth, but if he discards his claws and teeth and lets the dog use them, then on the contrary he will be overpowered by the dog. In the same way the ruler of men uses punishment and favors to control his ministers, but if his discards his punishments and favors and lets his ministers employ them, then on the contrary he will find them in the control of his ministers...”

Text on “Two Handles” • “明主之所導制其臣者,二抦而已矣.二柄者,刑德也.何謂刑德?曰:殺戮之謂刑,慶賞之謂德.為人臣者畏誅罰而利慶賞,故人主自用其刑德,則群臣畏其威而歸其利矣.故世之奸臣則不然,所惡,則能得其主而罪之;所愛,則能得之其主而賞之.今人主非使賞罰之威早出于己也,聽其臣而行其賞罰,則一國之人皆畏其臣而易其君,歸其臣而去其君矣.此人主失刑德之患也.夫虎之所以能服狗者,爪牙也,使虎釋其爪牙而使狗用之,則虎反服狗矣.人主者,以刑德制臣者也,今君人者釋其刑德使臣用之,則君反制于臣矣.”

II.5.1 Special Features of Legalism • Legalism: • rejected all appeals to religion and morality • Only: to glorify the ruler. • Legalist king: • absolute power • above everyone • above the system of law for all others • above conventional good/evil in the world

II.6 The Rise of the Legalists • Nobles / states of late Zhou: • grew in size = new problems arose • Unable to attend to all affairs in person • To secure his state: • employ officials (rather than sub-nobles/realtives) to rule • new rules for management and personnel control.

II.8 Han Fei’s Views on Human Nature • originate from Xunzi荀子: human nature = evil • cited historical cases of human follies • All attempts to educate and uplift the common people are useless • The ruler-- to attain success: • NO mercy / affection • guided solely by self-interest • should not trust anyone: • Family, friends, ministers etc • somehow they would profit by his death. • never reveal his inner thoughts and desires to anyone • or he would be manipulated by others.

II.9 The Influence of Han Feizi • The Han Feizi: political philosophy for his own state, Han • The state of Qin • unified China (Qin Dynasty- 221-206B.C.) after ruling with Han Fei’s ideas • The Qin King unified China • Named himself as The First Emperor(始皇), • bureaucratic empire proposed by Han Feizi • Empire=36 provinces, administered by a governor (appointed & dismissed by the king) • Encourage agriculture and warfare • Discipline its people with stern laws • no weapon in the community • Conduct its foreign affairs with cold-blooded cynicism

II.11 Policies of Qin (221-206B.C.) • 1. Abolishment of feudalism • 2. Standardized weights, measures, and the writing system • 3. Rule with strict laws • people were divided into groups, watching each other. • to report their neighbors’ fault or the whole group would be heavily punished • 4. Families with 2 sons or above have to be divided, encouraged small independent families • 5. Undertook huge public works (e.g. roads & The Great Wall). Brought long-term good to the state but short-term suffering

II.11 Policies of Qin • 6. Launched foreign wars to expand the borders • 7. Criticized by scholars, buried them alive • 8. Suppressed education [officials: also uneducated?] • 9. Burnt all books, except those on law/agriculture • -- kill anyone with forbidden books • 10.Luxurious life: e.g. 270 palaces in the capital, collection of all wealth/ jewel, pretty women **** completely opposite to the ruling principles of Legalism****

II.12 Two Emperors of Qin • Qin Ziwangdi (First Emperor) • hard-working & intelligent person • All detail of government was in his attention • Paid regular visits to different provinces • not to be cheated by officials • Afraid of death, ordered alchemists for immortal drugs • died in 210 B.C. • Qin Edi (Second Emperor) • State fall apart in 207 B.B • harsh and ruthless policies on people • A lazy & stupid person: lives against rules for a legalist king e.g. ignore court affairs, only enjoy luxurious life, kill Lisi

II.13 Long-term Influence of Qin • China: no more legalism in undiluted form. • Long-term contribution of Legalism: • Law & order • Confucian model: ren/ junzi– too high a standard for the majority

II.14 Passages from the Han FeiziCh. 5 The Way of the Ruler主道 • “The Way is the beginning of all beings and the measure of right and wrong. Therefore the enlightened ruler holds fast to the beginning in order to understand the wellspring of all beings, and minds the measure in order to know the source of good and bad. He waits, empty and still, letting names define themselves and affairs reach their own settlement… • “道者,万物之始,是非之紀也.是以明君守始以知万物之源,治紀以知善敗之端.故虛靜以待令,令名自命也,令事自定也...” • “Those whose duty it is to speak will come forward to name themselves; those whose duty it is to act will produce results. When names and results match, the ruler need do nothing more and the true aspect of all things will be revealed. • “有言者自為名,有事者自為形,形同參同,君乃無事焉,歸之其情.”

II.14 Passages from the Han FeiziCh. 5 The Way of the Ruler • “Hence it is said, ‘The ruler must not reveal his desires, for if he reveal his desires his ministers will put on the mask that pleases him. He must not reveal his will; for if he does so his ministers will show a different face. • “So it is said: Discard likes and dislikes and the ministers will show their true form; discard wisdom and the ministers will watch their steps. • “故曰: ‘君無見其所欲,君見其所欲,臣將多雕琢;君無見其意,君見其意,臣將自表異.’故曰: ‘去好去惡,臣乃見素;去歸去智,臣乃自備.”

II.14 Passages from the Han FeiziCh. 5 The Way of the Ruler • “Hence, though the ruler is wise, he hatches no schemes from his wisdom, but causes all men to know their place. Though he has worth, he does not display it in his deeds, but observes the motives of his ministers. Though he is brave, he does not present his bravery in shows of indignation, but allows his subordinates to display their valor to the full. • “故有智而不以慮,使万物知其處;有賢而不以行,觀臣下之所因;有勇而不以怒,使群臣盡其武.” • “Thus, though he discards wisdom, his rule is enlightened; though he discards worth, he achieves merit; and though he discards bravery, his state grows powerful. • “是故去智而有明,去賢而有功,去勇而有強.”

Ch. 5 The Way of the Ruler • “When the ministers stick to their posts, the hundred officials have their regular duties, and the ruler employ each according to his particular ability, this is know as the state of manifold constancy… • “群臣守職,百官有常,因能而使之,是謂習常…” • “Hence it is said, ‘So still he seems to dwell nowhere at all; so empty no one can seek him out.’ The enlightened ruler reposes in non-action above, and below his ministers tremble with fear… • “故曰: ‘寂乎其無位而處,謬乎莫得其所...”

Ch. 5 The Way of the Ruler • “This is the way of the enlightened ruler: he causes the wise to bring forth all their schemes, and he decides his affairs accordingly; hence his own wisdom is never exhausted. He causes the worthy to display their talents, and he employs them accordingly; hence his own worth never comes to an end. Where there are accomplishments, the ruler takes credit for their worth; where there are errors, the ministers are held responsible for the blame; hence the ruler’s name never suffers. • “明君之道,使智者盡其慮,而君因以斷事,故君不窮于智;賢者勑其材,君因而任之,故君不窮于能;有功則君有其賢,有過則臣任其罪,故君不窮于名.”

Ch. 5 The Way of the Ruler • “Thus , though the ruler is not worthy himself, he is the leader of the worthy; though he is not wise himself, he is the corrector of the wise. The ministers have the labor; the ruler enjoys the success. This is called the maxim of the worthy ruler… • “是故不賢而為賢者師,不智而為上智者正.臣有其勞,君有其成功,此之謂賢主之經也...”

Ch. 5 The Way of the Ruler • “The way lies in what cannot be seen, its function in what cannot be known. Be empty, still and idle, and from your place of darkness observe the defects of others. • “See but do not appear to see; listen but do not seem to listen; know but do not let it be known that you know. • “When you perceive the trend of a man’s words, do not change them, do not correct them, but examine them and compare them with the results. Assign one man to each office and do not let them talk to each other, and then all will do their utmost… • “道在不可見,用在不可知;虛靜無事,以暗見疵.見而不見,聞而不聞,知而不知.知其言以往,勿变勿更,以參合閱焉.官有一人,勿令通言,則万物皆盡…”

Ch. 5 The Way of the Ruler • “The ruler of men stands in danger of being blocked in five ways. • “1. when the ministers shut out their ruler… • “2. when they get control of the wealth and resources of the state • “3. when they are free to issue orders as they please • “4. when they are able to do righteous deeds in their own name • “5.when they are able to build up their cliques • “All these are rights that should be exercised by the ruler alone, they should never pass into the hands of his ministers…” • “人主有五壅:臣閉其主曰壅,臣制財利曰壅,臣擅行令曰壅,臣得樹人曰壅.此人主之所以獨擅也,非人臣之所以得操也.”

(H. ch.9) The Eight Villainies八奸 • Eight strategies which ministers customarily employ to work their villainy凡人臣之所道成奸者有八術: • 1. 同床“Making use of his bedfellows”: the ruler is easily beguiled by lovely women and charming boys. • 2.在旁“Making use of his attendants”: jesters and entertainers, attendants and favorites of the ruler • 3.父兄“Making use of his elders and kin”: The ruler feels close affection for his cadet families and for the princes of the blood, and consults with the elder statesmen and courtiers.

(H. ch.9) The Eight Villainies • 4.養殃“Encouraging baleful pursuits”: rulers love to beautify their palaces, terraces, and pools, to surround themselves with attractive attendants and fine dogs and horses for their amusements. • 5.民萌“Making use of the people”: Ministers often distribute funds in order to gratify the people, and hand out small favors in order to win the hearts of the commoners, till everyone in both court and countryside is praising them alone.

(H. ch.9) The Eight Villainies • 6.流行“Making use of fluent speakers”: The ruler, because the nature of his upbringing, has naturally been cut off from ordinary conversation, and has seldom had an opportunity to listen to debases and persuasive speaking. • 7.威強 “Making use of authority and might”: Rulers sometimes believe that the officials and common people are capable of wielding authority and might, and hence whatever these people approve of, rulers approve of too; whatever these people condemn, they condemn, too.

(H. ch.9) The Eight Villainies • 8.四方 “Making use of the surrounding states”: It is customary with a ruler that, if his state is small, he will do the bidding of larger states. When the larger states come with demands, the small state must consent. The ministers therefore double the taxes, empty the coffers, and exhaust the state in the service of the great powers and then make use of their influence with foreign powers in their efforts to mislead the ruler.

(H.ch.10) The Ten Faults十過 • Han Feizi uses historical examples to illustrate his ten points. • A legalist ruler should avoid committing the following faults.

(H.ch.10) The Ten Faults十過 • 十過 • 1.行小忠,則大忠之賊也 • 2.顧小利,則大利之殘也 • 3.行僻自用,無禮諸侯,則亡身之至也 • 4.不務聽治而好五音,則窮身之事也 • 5.貪愎喜利,則滅國殺身之本也 • 6.耽于女樂,不顧國政,則亡國之禍也 • 7.離內遠游百勿于諫士,則危身之道也 • 8.過而不聽于忠臣,而獨行其意,則滅高名為人笑之始也 • 9.內不量力,外恃諸侯,則削國之患也 • 10.國小無禮,不用諫臣,則絕世之勢也

(H.ch.10) The Ten Faults十過 • Each fault is further elaborated with a concrete example in history. • 1.行小忠,則大忠之賊也 To practice petty loyalty and thereby betray a larger loyalty. • i.e. In a battle, the commander-in-chief A refused to drink. His junior knew that A loved wine very much, so he told him that it was just “water.” Then commander A could not reject the temptation and kept on drinking until he was very drunk. On the next day, the enemies came and the Duke sent an order summoning A; yet A excused himself, claiming that he had a pain in his heart. The Duke later found out the truth and beheaded commander A.

(H.ch.10) The Ten Faults十過 • Han Fei’s analysis of Fault no.1: • “When the junior (Ku-yang) presented wine to the commander A, his heart was filled only with loyalty and love, yet he ended up by killing him.” • “故竪谷陽之進酒,不以仇子反也,其心忠愛之而適足以殺之.”

(H.ch.10) The Ten Faults十過 • 2.顧小利,則大利之殘也 To fix your eye on a petty gain and thereby lose a larger one. • i.e. Duke Hsien of Chin wanted to passed through the neighboring state Yu to launch an attack in another state and he was advised to give a precious jade (the jade of Chui-chi) to the Duke of state Yu. An official of Yu warned his Duke not to accept the gift because they would be attacked in the next. The Duke of Yu was greedy and accepted the present. Three years later, state Yu was conquered and the piece of Jade was back to the original state.

Chapter 10 The Ten Faults • 3.行僻自用,無禮諸侯,則亡身之至也 To behave in a base and willful manner and show no courtesy to the other feudal lords, thereby bringing about your own downfall. • i.e. Duke Chu summoned the other federal lords to a conference. One of the crown princes arrived late and he was held in prison. Duke Chu also insulted other rulers. He was advised not to do so but he did as he pleased. Ten years passed and Duke Chu went on a tour and his officials stole his throne from him. He was eventually starved to death.

Chapter 10 The Ten Faults • 4.不務聽治而好五音,則窮身之事也 • To give no ear to government affairs but long only for the sound of music, thereby plunging yourself into distress. • i.e. Duke Ping of Chin loved music so much that he insisted to hear the music written by music-master Yen for the wicked King Zhou of the Shang dynasty. He was advised to listen to the pure shang mode which were for the rulers of virtue, yet he insisted that he loved music so much and he should enjoy what he delighted. His state suffered with a great drought for three years and his body broke out with sores.

Chapter 10 The Ten Faults • 5.貪愎喜利,則滅國殺身之本也 To be greedy, perverse, and too fond of profit, thereby opening the way to the destruction of the state and your own demise.

Chapter 10 The Ten Faults • 6.耽于女樂,不顧國政,則亡國之禍也 • To become infatuated with women musicians and discard state affairs, thereby inviting the disaster of national destruction. • i.e. Duke Mu of Chin discovered the official of Jung, Yu Yu, was a sage when he was visited by the latter. He knew that such a person would pose a threat to all the rival states around it. Duke Mu then sent a lot of women musicians to the Duke of Jung and suggested that Yu’s return to his state be postponed. Duke of Jung became crazy with the women and ignored his state for a year. When Yu returned, he warned his Duke but ignored. Yu left his state and went to Chin, where he was well received. The state of Chin later took over the state of Jung.

Chapter 10 The Ten Faults • 7.離內遠游百勿于諫士,則危身之道也 • To leave the palace for distance travels, despising the remonstrances of your ministers, which leads to grave peril for yourself. • i.e. Viscount Tian Chang of Chi enjoyed travel by sea so much that he announced that anyone mentioned going home would be killed. An official warned him and he was threatened to be beheaded. The official quoted historical examples of loyal officials being killed by their seniors. The viscount decided to return home and found out that some of his subjects were plotting to prevent him from entering the capital. Without that official, the viscount would have lose the state.

Chapter 10 The Ten Faults • 8.過而不聽于忠臣,而獨行其意,則滅高名為人笑之始也 • To fail to heed your loyal ministers when you are at fault, insisting upon having your own way, which will in time destroy your good reputation and make you a laughing stock of others. • i.e. Kuan Chung was the most helpful minister of Duke Huan of Chi, who became the first of the five dictators. When Kuan Chung was ill, he was asked by the Duke about his successor. The Duke proposed a number of officials but Kuan pointed out their weaknesses. At last, Kuan said His Ping could do. But when Kuan died, the Duke did not follow his advice and appointed someone Kuan rejected. Three years passed and the Duke journed to a trip and the new successor led a revolt. Duke Huan died of hunger and his body remained unburied for three months.

Chapter 10 The Ten Faults • 9.內不量力,外恃諸侯,則削國之患也 • To take no account of internal struggle but rely solely upon your allies abroad, which places the state in grave danger of dismemberment. • i.e. Chin attacked the small state, Han and the ruler of the latter was advised to give land to Chin for peace. The Duke of Chu was afraid that these two states would join together and attack her. The Duke of Chu then told the ruler of Han that they would help them if they were attacked. The Duke of Han decided to place trust on Chu and urged them to send troops to rescue him. Time flied and there was no troop and the state of Han was conquered by Chin.

Chapter 10 The Ten Faults • 10.國小無禮,不用諫臣,則絕世之勢也 • To ignore the demands of courtesy, though your state is small, and fail to learn from the remonstrance of your ministers, acts which lead to the downfall of your line. • i.e. Prince Chung-erh of Chin fled from his home and was treated with discourtesy by the Duke of Tsao. An official of Tsao worried about the situation and he sent a lot of gift to Chung-erh, as he believed that Chung-erh was fit as a good leader. Chung-erh eventually became the head of Chin and attacked Tsao. The Duke of Tsao was killed for his behavior and the clever official’s compound was not trespassed. People took refuge in the residential quarter of that official.

Legalism 法家 : Han Feizi