Abstract
In this chapter I will discuss Chinese legalism. I will summarize and analyze the origin of Chinese legalism, its major propositions and its characteristics. This chapter compares the difference between Chinese legalism and other Chinese philosophies including Confucianism, Taoism and Mohism. It also discloses the difference between Chinese legalism and Western legalism in their concerns with morality. Western legalism defended the Rule-of-Law but argued against the morality of law. In contrast, Chinese legalism, especially in the early Pre-Qin era, did not separate morality from law. However, the fidelity to law in Chinese legalism was interpreted as the fidelity to the monarch, and was thus different from the Western Rule-of-Law.
—古者未有君臣上下之时,民乱而不治。是以圣人别贵贱,制爵位,立名号,以别君臣上下之义。地广,民众,万物多,故分五官而守之。民众而奸邪生,故立法制为度量以禁之…明王之治天下也,缘法而治,按功而赏。
Shang Yang (B.C.390–B.C.338), Shang Jun Shu, Prince and Minster, see online texts: http://chinese.dsturgeon.net/text.pl?node=47249&if=en&remap=gb. Accessed 02 Feb 2012.
(In the days of antiquity, before the time when there were princes and ministers, superiors and inferiors, the people were disorderly and were not well administered, and so the sages made a division between the noble and the humble; they regulated rank and position, and established names and appellations, in order to distinguish the ideas of prince and minister, of superior and inferior. As the territory was extensive, the people numerous and all things many, they made a division of five kinds of officials, and maintained it; as the people were numerous, wickedness and depravity originated, so they established laws and regulations and created weights and measures, in order to prohibit them, and in consequence there were the idea of prince and minister, the distinctions between the five kinds of officials, … The way in which an intelligent prince administers the empire is to do so according to the law, and to reward according to merit.)
Chapter note: Part of this chapter was published with Higher Education Press and Springer-Verlag. 2011. Frontiers of Law in China 6:645–669.
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- 1.
See Zhongxin Fan. 2001. The Basic Spirit of the Tradition of Chinese Law. 143. Shandong: Shandong Renmin Publishing House.
- 2.
Zenon Bankowski. 2001. Living Lawfully-Love in Law and Law in Love. 49. Dordrecht: Kluwer.
- 3.
We had discussion of Chinese legalism and formalism and I disagree with this equation. But our interesting debates inspired this comparative study of Western legalism and Chinese legalism.
- 4.
See Honglie Yang. 2004. History of Chinese Legal Ideology. 51. Beijing: China University of Political Science and Law Press. The period was named after wars among the states in China at that time. Plato, Aristotle, Kyng Alisaunder and Maurya Dynasty existed around the same period in other places of the world.
- 5.
The Master said, ‘if the people are guided by law, and kept in order by punishment, they may try to avoid crime, but have no sense of shame. If they are guided by virtue, and kept in order by the rules of propriety, they will have a sense of shame, and moreover will come to be good.’ Confucius. 2004. The Analects of Confucius. II. Wei Zheng. 11. Shandong: Qi Lu Press.
- 6.
The Master said, ‘if every one in the world will love universally; states not attacking one another; houses not disturbing one another; thieves and robbers becoming extinct; emperor and ministers, fathers and sons, all being affectionate and filial—if all this comes to pass the world will be orderly. Therefore, how can the wise man who has charge of governing the empire fail to restrain hate and encourage love? So, when there is universal love in the world it will be orderly, and when there is mutual hate in the world it will be disorderly. This is why Mozi insisted on persuading people to love others.’ Mohism. Book IV Universal Love. Chinese Text Project, http://chinese.dsturgeon.net/text.pl?node=1069&if=en&remap=gb. Accessed 02 Feb 2012.
- 7.
The Master said, ‘man takes his law from the Earth; the Earth takes its law from the Heaven; the Heaven takes its law from the Tao; the law of the Tao is its being what it is.’ Tao Te Ching, chapter 25. Chinese Text Project, http://chinese.dsturgeon.net/text.pl?node=11591&if=en&remap=gb. Accessed 02 Feb 2012.
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Si Maqian. 2008. Historical Records. Liaoning: Volumes Publishing Company. See records of each legalist.
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- 20.
See Moruo Guo, Dejian Jin, Jiacong Hu and Yuanming Ding’s arguments in Zhang Guye. 2006. Criticisms on the Three Arcitles of Guan Zi. Social Science Front 5.
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Si Maqian. 2008. Historical Records. 295–298. Liaoning: Volumes Publishing Company.
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Guan Zi. Guan Zi Ming Fa Jie. http://ctext.org/guanzi/ming-fa-jie/ens. Accessed 02 Feb 2012.
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Shang Yang, A representative legalist of Chinese legalism, was a retainer of the prime minister of Wei state. Before the prime minister’s death, the minister told his king that Shang Yang was a very talent man. The king could use him as the succeed prime minister, or kill him just in case he would bring troubles to the state of Wei. The king, however, did not listen to the minister’s words. He neither employed nor killed Shang Yang. Another king, the king of Qin state, appreciated Shang Yang’s talents and invited him to serve for Qin. Later on, Shang Yang led the legal reform of Qin and assisted Qin to become the most powerful state in the Warring State period. Qin eliminated other states, unified China, and in the end built the first empire in Chinese history—All these historic achievements should owe to Shang Yang’s successful legal reform, according to Si Maqian’s records and comments. Book of Lord Shang. Reform of the Law. Chinese Text Project, http://chinese.dsturgeon.net/text.pl?node=47113&if=en&remap=gb. Accessed 02 Feb 2012. See also Si Maqian. 2008. Historical Records. 312–315. Liaoning: Volumes Publishing Company.
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Book of Lord Shang, Reform of the Law, Chinese Text Project, http://chinese.dsturgeon.net/text.pl?node=47113&if=en&remap=gb. Accessed 02 Feb 2012.
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See J. Needham. 1980. Science and Civilization in China. History of Scientific Thought 2. 521, 532, 539, 544. Cambridge: the Syndics of the Cambridge University Press.
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Zhiping Liang. 1997. Searching for the Harmony of the Natural Order: Studies on Traditional Chinese Legal Culture. 326. Beijing: China University of Political Science and Law Press.
- 29.
As a contrast, Chinese philosophy Taoism concentrated on the harmonious relationship between the nature and the human world. Dao De Jin (or Tao Te Ching), 1. See English translation: http://acc6.its.brooklyn.cuny.edu/~phalsall/texts/taote-v3.html. Accessed 02 Feb 2012.
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Ibid.
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Han Feizi. 1996. He Shi, and Jian Jie Shi Chen. 119. Literatures of Historical Chinese Legal Thoughts. Law Press.
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Han Fei. Han Fei Zi. Bei Nei. http://chinese.dsturgeon.net/text.pl?node=1967&if=en&remap=gb. Accessed 02 Feb 2012.
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Ibid.
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Ibid.
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Han Fei. Han Fei Zi. Wu Du. http://chinese.dsturgeon.net/text.pl?node=2660&if=en&remap=gb. Accessed 02 Feb 2012.
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Ibid.
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Han Fei Zi. Nei Chu Shuo (shang) 33 http://chinese.dsturgeon.net/text.pl?node=2141&if=en&remap=gb. Accessed 02 Feb 2012.
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Ibid.
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Si Maqian. 2008. Wang Bojun ed. Shang Jun Lie Zhuan. Historical Records.312–315. Liaoning: Volumes Publishing Company.
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Han Feizi. 1996. He Shi and Jian Jie Shi Chen. 119. Literatures of Historical Chinese Legal Thoughts. Beijing: Law Press.
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Si Maqian. 2008. Chen She Shi Jia. Historical Records. 249–253. Liaoning: Volumes Publishing Company.
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Fan Zhongxin. 2001. The Spirit of Chinese Legal Traditions. 340–354. Shandong: Shandong People’s Publishing House. see also Yu Ronggen ed. 2000. History of Chinese Legal Thoughts. 345–347. Beijing: Law Press.
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Meng Zi. Gao Zi I. Gong Sun Chou I. Teng Wen Gong I. http://ctext.org/mengzi/gong-sun-chou-i/ens. Accessed 02 Feb 2012.
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Si Maqian. 2008. Wang Bojun ed. Shang Jun Lie Zhuan. Historical Records. 312–315. Liaoning: Volumes Publishing Company.
- 47.
Shang Yang, Book of Lord Shang. Policies. http://chinese.dsturgeon.net/text.pl?node=47226&if=en&remap=gb. Accessed 02 Feb 2012.
- 48.
Ibid.
- 49.
See works of Shang Yang, Han Fei, Li Si and Lü Buwei, in Si Maqian. 2008. Historical Records. 312–315. 295–298. 386–393. 378–380. Liaoning: Volumes Publishing Company. See also Chen Yanqing. 2001. A Comparative Study of the Aristotelian Rule-of-Law Idea and Chinese Legalism. Journal of Gansu Social Science 3:19–22.
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Han Fei Zi. Nei Chu Shuo. http://chinese.dsturgeon.net/text.pl?node=2141&if=en&remap=gb. Accessed 02 Feb 2012.
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Shang Jun Shu. Rewards and Punishments. http://chinese.dsturgeon.net/text.pl?node=47220&if=en&remap=gb. Accessed 02 Feb 2012.
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Guan Zi. Qi Fa. http://chinese.dsturgeon.net/text.pl?node=48238&if=en&remap=gb. Accessed 02 Feb 2012.
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Shen Dao. Shen Zi. Yi Wen. http://chinese.dsturgeon.net/text.pl?node=47109&if=en&remap=gb . Accessed 02 Feb 2012.
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Shang Yang. Shang Jun Shu. Xiuquan. http://chinese.dsturgeon.net/text.pl?node=47207&if=en&remap=gb. Accessed 02 Feb 2012.
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Han Fei. Han Fei Zi. Wai chu shuo you xia. http://chinese.dsturgeon.net/text.pl?node=2479&if=en&remap=gb. . Accessed 02 Feb 2012.
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Han Fei. Han Fei Zi. Gui Shi. http://chinese.dsturgeon.net/text.pl?node=2616&if=en&remap=gb. Accessed 02 Feb 2012
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Si Maqian. Historical Records. Zixu. http://chinese.dsturgeon.net/text.pl?node=9270&if=en&remap=gb. Accessed 02 Feb 2012.
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Ibid.
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Li Ji. Qu Li I. http://chinese.dsturgeon.net/text.pl?node=9480&if=en&remap=gb. Accessed 02 Feb 2012.
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Ibid.
- 61.
See Han Fei. Han Fei Zi. You Du. http://chinese.dsturgeon.net/text.pl?node=1905&if=en&remap=gb. Accessed 02 Feb 2012. Same conclusions see also Zheng Liangshu.1989. Shang Yang and His School. Shanghai: Shanghai Ancient Books Publishing House. Wu Shuchen and Li Li. 1998. Chinese Legalism and its Spirits. Beijing: China Radio and Television Publishing House. Su Nan. 2000. Aspects of the Chinese Culture of Legalism. Shandong: Qilu Book Press. Su Fengge. 2008. Pre-Qin Chinese Legalism and Its Influences to Posterity. Journal of XinXiang University 22:21–24.
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Shang Jun Shu. Rewards and Punishments. http://chinese.dsturgeon.net/text.pl?node=47220&if=en&remap=gb. Accessed 02 Feb 2012.
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The Spring and Autumn Period:722 B.C.–481 B.C.
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Honglie Yang. 2004. History of Chinese Legal Ideology. 51. Beijing: Chinese University of Political Science and Law Press.
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Han Fei. Han Fei Zi. Nan San. http://chinese.dsturgeon.net/text.pl?node=2562&if=en&remap=gb. Accessed 02 Feb 2012.
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Shang Yang. Shang Jun Shu. Ding Fen. http://chinese.dsturgeon.net/text.pl?node=47260&if=en&remap=gb. Accessed 02 Feb 2012.
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Guan Zhong. Guan Zi. Fa Fa. http://chinese.dsturgeon.net/text.pl?node=48351&if=en&remap=gb. Accessed 02 Feb 2012.
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The Analects. Yao Yue. http://chinese.dsturgeon.net/text.pl?node=1101&if=en&remap=gb. Accessed 02 Feb 2012.
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Hegao Yang. 2000. History of Chinese Legal Thoughts. 39–84. 125–183. Beijing: Beijing University Press.
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Guan Zhong. Guan Zi. Fa Fa. http://chinese.dsturgeon.net/text.pl?node=48351&if=en&remap=gb. Accessed 02 Feb 2012.
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Han Fei. Han Fei Zi. Wu Du. http://chinese.dsturgeon.net/text.pl?node=2660&if=en&remap=gb. Accessed 02 Feb 2012.
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Han Fei Zi. Jie Lao. http://chinese.dsturgeon.net/text.pl?node=1981&if=en&remap=gb. Accessed 02 Feb 2012.
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Guan Zi. Xing Shi Jie. http://chinese.dsturgeon.net/text.pl?node=48731&if=en&remap=gb. Accessed 02 Feb 2012.
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See also about Hongyi Chen’s 12 major topics of Chinese Legalism in Hongyi Chen. 2002. Introspect of Legalists’ (Fajia) Thoughts. China and Western Legal Traditions 2:108–135.
- 75.
About the debates of Legalism with Confucianism, Taoism, Mohism see Liangshu Zheng. 1989. Shang Yang and His School. Shanghai: Shanghai Ancient Books Publishing House. Shuchen Wu and Li Li. 1998. Chinese Legalism and its Spirits. Beijing: China Radio and Television Publishing House. Nan Su. 2000. Aspects of the Chinese Culture of Legalism. Shandong: Qilu Book Press. Honglie Yang. 2004. History of Chinese Legal Ideology. Beijing: China University of Political Science and Law Press.
- 76.
According to Definition per genus et differentiam: definition = a genus + species; in this way of definition, Chinese Legalism = Legalism + Chinese (characteristic). It is, however, not a correct definition.
- 77.
Zenon Bankowski. 2001. Living Lawfully—Love in Law and Law in Love. 43. Dordrecht: Kluwer.
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J.N. Shklar. 1986. Legalism, Law, Morals and Political Trials. vii-viii, ix-x. 2–3. p.5. 35. Cambridge, Mass.: Harvard University Press. See also Bankowski’s introduction of Shklar’s legalism in, Zenon Bankowski. 2001. Living Lawfully—Love in Law and Law in Love. 44. Dordrecht: Kluwer.
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Zenon Bankowski. 2001. Living Lawfully—Love in Law and Law in Love. 48. Dordrecht: Kluwer.
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Guan Zhong. Zhong Ling. Guan Zi. http://chinese.dsturgeon.net/text.pl?node=48343&if=en&remap=gb. Accessed 02 Feb 2012.
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Shang Yang. Hua Ce. Shang Jun Shu. http://chinese.dsturgeon.net/text.pl?node=47226&if=en&remap=gb. Accessed 02 Feb 2012.
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Guan Zhong. Ren Fa. Guan Zi. http://chinese.dsturgeon.net/text.pl?node=48580&if=en&remap=gb. Accessed 02 Feb 2012.
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Deng Xi, a famous scholar in Pre-Qin era, also a legalist, was killed because he privately made Law. See Zuo Zhuan. Ding Going Jiu 2. Lü Shi Chun Qiu. Li Wei. 1996. Literatures of Historical Chinese Legal Thoughts. 56. Beijing: Law Press.
- 85.
Hobbes T. 2002. Leviathan. Toronto: Broadview Press. J. Bodin and J.H. Franklin. 1992. On Sovereignty: Four Chapters From the Six Books of the Commonwealth. Cambridge: Cambridge University Press.
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Pound R. 1959. Jurisprudence. III .579–584. St Paul: West Publishing co.
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Ingram A. 1994. A Political Theory of Rights 203. Oxford: Oxford University Press.
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In history, the British parliamentary sovereignty included the structure of the King-in-Parliament, which meant the King and the rest of the Parliament shared the sovereignty together from the sixteenth century to the Glorious Revolution. After the Glorious Revolution, however, the Parliament (or in a strict illustration, the Commons of the House) was the only substantive sovereignty.
- 89.
Parliamentary sovereignty meant that Parliament (rather than the monarch) was the supreme legal authority in the UK. According to A.V. Dicey (Law of the Constitution. 1885), ‘in theory Parliament had total power. It was sovereign.’ Dicey’s view of parliamentary sovereignty consisted of four factors: (1) Parliament was competent to pass laws on any subject; (2) Parliament’s laws could regulate the activities of anyone, anywhere; (3) Parliament could not bind its successors as to the content, manner and form of subsequent legislation; and (4) Laws passed by Parliament could not be challenged by the courts. However, Parliament might in practice limit its own sovereignty. Two examples were: (1) The European Communities Act 1972; (2) The Human Rights Act 1998.
- 90.
A. V. Dicey. 2005. Introduction to the Study of the Law of the Constitution. 34. Boston, MA: Adament Media Corporation.
- 91.
Ronggen Yu. 2000. History of Chinese Legal Thoughts. 2–4; 9–17. Beijing: Law Press. see also Yang Hegao. 2000. History of Chinese Legal Thoughts. 6–15. Beijing: Beijing University Press. And Fan Zhongxin. 2001. The Spirit of Chinese Legal Traditions. 120–134; 210–225; 384–389. Shandong: Shandong People’s Publishing House.
- 92.
Guanzhong Luo. 2008. Romance of Three Kingdoms. 266. Beijing: Remin Publishing House.
- 93.
Henry Maine. 1861. Ancient Law. 165. The last paragraph of Ancient Law chapter 5, see texts from http://en.wikisource.org/wiki/Ancient_Law#Chapter_5_Primitive_Society_and_Ancient_Law. Accessed 02 Feb 2012.
- 94.
Ibid.
- 95.
Hairen He. 2007. The Enemy of the Legalists in Pre-Qin Era: The Normative Theory on Ruling the Country through the Law. Tribune of Political Science and Law 25:36–50.
- 96.
Ronggen Yu. 2000. History of Chinese Legal Thoughts. 67–79. Beijing: Law Press. See also Hegao Yang. 2000. History of Chinese Legal Thoughts. 84–125. Beijing: Beijing University Press.
- 97.
Shuchen Wu. 1998. Discussion on Rule-of-law in Chinese Legalism: A Reply to Shiqun Yang. Journal of the East China University of Politics and Law l:54–63.
- 98.
Zhiping Liang. 1991. Searching for the Harmony of the Natural Order: Studies on Traditional Chinese Legal Culture. 60. 83. Shanghai: Shanghai People’s Publishing House.
- 99.
Zhongqiu Zhang. 1991. A Comparative Study on Western and Chinese Legal Cultures. 278. 290. Nanjing: Nanjing University Press.
- 100.
Shiqun Yang. 1999. Further Discussion on Rule-by-law in Chinese Legalism: A Reply to Shuchen Wu. Journal of the East China University of Politics and Law 2:50–54.
- 101.
Yanqing Chen. 2001. On Similarities and Differences between Aristotelian Rule-of-law and Rule-by-law in Chinese Legalism. Gansu Social Science 3:19–21.
- 102.
From Professor Chen Jingliang’s lecture notes (1999–2005) at Zhongnan University of Economics and Law.
- 103.
Zhouya Li. 2003. The Legal Theory of the Legalists in Ancient China and its Influential Significance in Modern Times. 36–39. Modern Law Science 25.
- 104.
Shiqun Yang. 1999. Further Discussion on Rule-by-law in Chinese Legalism: A Reply to Shuchen Wu. Journal of the East China University of Politics and Law 2:50–54.
- 105.
See my previous discussion on the seventh major propositions of Chinese Legalism. In Fuller’s The Morality of Law, eight principles of legality, or, ‘eight routes of failure for any legal system’ were stated as: (1) the lack of rules or law, which leads to ad-hoc and inconsistent adjudication; (2) failure to publicize or make known the rules of law; (3) unclear or obscure legislation that is impossible to understand; (4) retroactive legislation; (5) contradictions in the law; (6) demands that are beyond the power of the subjects and the ruled. (7) unstable legislation (ex. Daily revisions of laws). (8) divergence between adjudication/administration and legislation. Lon. Fuller. 1996. The Morality of Law.33–94. Princeton: Yale University Press.
References
Needham, J. 1980. History of scientific thought. In Science and civilization in China. Cambridge: The Syndics of the Cambridge University Press.
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He, P. (2014). The Legitimation of Chinese Lawmaking (II): Chinese Legalism. In: Chinese Lawmaking: From Non-communicative to Communicative. Understanding China. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-642-39507-9_4
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