The Social Philosophy of the Legalist School

The very name of this philosophical school—“School of Law” (法家, Fa Jia)—indicates that its philosophers focused on social issues prevalent in ancient Chinese thought. This doctrine falls within the realm of social philosophy, particularly legal philosophy.

The founder of the Fa Jia tradition was Gongsun Yang, who lived in the 4th century BCE and was a thinker and statesman, also known as Shang Yang (the Yang of the Shang state). His views are detailed in a treatise titled "The Book of the Shang State Ruler" (《商君书》), written by his followers in the 4th and 3rd centuries BCE. Another significant philosopher of the Legalist tradition was Han Fei (3rd century BCE), whose book "Han Fei Zi" conveys his philosophical and political perspectives.

The social and political context of China during the 5th and 4th centuries BCE, when the Fa Jia doctrine emerged, can be explored in works such as those by F.S. Bykov. The key aspect of this context is the growing need for codified laws and the desire to replace the governance based on li (unfixed traditional norms and relations between the noble and the common) with governance based on strictly defined written laws (法, Fa). This shift marked a move away from Confucian ideas of governance based on moral principles (benevolence, universal love, duty) and rituals, rather than laws.

Thus, Gongsun Yang's focus was on reforming laws and finding a method of governing the people. Like most Chinese philosophers, he approached these issues from a historical perspective. Therefore, he can be seen as having a particular historical conception, which we will discuss in his views.

In the times when heaven and earth were formed and humans first appeared, they knew their mothers but not their fathers. This reflects a notion of matriarchal times and pair marriage. However, Shang Yang’s treatise provides its own historical periodization and understanding of its content.

The historical process is divided into three stages: "ancient times," "middle times," and "later times," which are also referred to as three moral-political "paths" that people follow in social life. In ancient times, at the dawn of heaven and earth and the emergence of humanity, people loved only their relatives, were selfish, sought superiority over others, and attempted to dominate them by force. This led to disputes and turmoil, characterizing ancient times as lacking any regulators of social relations (moral, legal, political) and marked by instability.

This situation was somewhat corrected in the middle times when wise individuals established justice in resolving disputes, instilled selflessness in people, and fostered benevolence. Instead of love for relatives, respect for the wise became established. This indicates the emergence of moral principles in human relations. However, Shang Yang believed that morality alone (benevolence, duty, ritual) was insufficient to guarantee societal order, as the pursuit of surpassing others through benevolence again led to turmoil. Therefore, he saw the further stabilization of social life in the later times, where a sage established boundaries concerning land, property, and people, and introduced laws and prohibitions. To ensure these laws were enforced, he appointed officials and placed the ruler above all. Respect for the wise was replaced with respect for those in high positions. This suggests that while political power emerged in later times, law and regulations were still lacking, which did not contribute to order in the state. Thus, Shang Yang leads us to the central idea of the Fa Jia school—the necessity of laws and the supplementing of political power with legal authority: "Now we have rulers, but no laws. This causes harm equivalent to the absence of a ruler." The path to becoming a true ruler is the exaltation of the law.

Addressing the two main questions from "The Book of the Shang State Ruler"—the governance of the state (the people) and the nature of laws—requires balancing various approaches. It is necessary to reconcile emulating the past (a Confucian principle) with contemporary realities to neither lag behind one’s time nor encounter obstacles created by previous circumstances. Yet, Shang Yang advocates prioritizing the present, as expressed in his statements: “To benefit the state, it is not necessary to imitate the past… one who opposes the past is not necessarily deserving of condemnation.”

Similarly, the relationship between ritual (another Confucian cornerstone) and laws is described as follows: “Law is the expression of love for the people; ritual is what facilitates [established] affairs.” However, as with the relationship between past and present, Shang Yang sides with the law: “If a sage can benefit the people through laws, he should not adhere to rituals.” This is not contradicted by statements such as: “The wise create laws; the foolish are constrained by them; the gifted alter rituals, while the worthless are bound by them.”

Another important factor in governance is the decline in moral standards among the people. In ancient times, people were simple and honest; now, they are cunning and dishonest. Consequently, governance should rely not on virtue but on laws of punishment. Shang Yang also notes: “People of our time are intelligent, and ruling over them can only be achieved through force.” This reiterates the main thesis of the Fa Jia school—governance based on laws, supported by a negative assessment of the spread of culture and humanity in society. Eloquence and sharp wit, ritual and music, kindness and benevolence—all these are seen as sources of disorder, moral laxity, offenses, and vices, ultimately leading to the strengthening of the people and weakening of the authorities and state, which should be stronger than the people. Additionally, "The Book of the Shang State Ruler" identifies six types of moral laxity that weaken the state: the desire to live carefree in old age, wasteful spending of grain, addiction to fine clothing, gourmet food, and luxury, and neglect of duties.

To overcome the negative consequences of moral laxity and strengthen the state, people should be placed in conditions of “four difficulties”: severe punishments, harsh laws, diligent agriculture, and participation in war. Shang Yang expresses this with the formula “concentrate the people’s efforts on one thing,” meaning agriculture and war, so that the army becomes powerful, and the state gains strength.

Thus, in governance, one should start with the premise that the people are immoral and must be subjected to the law. The ruler is advised to follow the rule: “If one governs people as if they were virtuous, disorder is inevitable, and the country will perish; if one governs people as if they were corrupt, exemplary order is always maintained, and the country achieves power.”

Order in the country through laws implies that they are primarily punitive, and “the people fear state laws.” In general, it can be said that in Shang Yang’s view, law is equivalent to punishment. He states: “When laws are detailed, the number of punishments increases.” He believes that “for eradicating crimes, there is no deeper foundation than severe punishments.” Shang Yang’s recommendations for state governance characterize him as a “totalitarian statesman” inclined towards repression: “In an ideally governed state, there are many punishments and few rewards.” He even specifies their quantitative ratio: for every nine punishments, there is one reward. In his view, “punishments should be severe... rewards insignificant, and punishments—fearsome.” People should be punished for minor offenses as severely as for grave crimes. He even advocates punishing before an offense is committed and maintaining order before turmoil erupts, as well as rewarding those who report crimes. Thus, he believes that the state will be orderly and powerful.

Moreover, Shang Yang is convinced that “the politics of repression” does not contradict justice and even leads to virtue. “What I call punishments,” he writes, “is the foundation of justice; what is called justice in our age is the path to violence.” Furthermore, punishments generate the ruler's greatness, which instills fear and, in turn, produces virtue. Shang Yang concludes: “Thus, virtue originates from punishment.” Here is another promising statement: “Such is my [method] of returning to virtue through capital punishments, reconciling justice with violence.” These statements from Shang Yang clearly illustrate the mindset of any statesman defending a tyrannical totalitarian regime.

However, Shang Yang’s views are not entirely uniform, as he has qualifications that somewhat soften his previously stated position. Notably, he acknowledges that the effective implementation and use of laws depend on the family’s attitude toward them, which extends to the call for unity between the ruler's and subjects' views on state governance. This unity leads to successful governance and order in the country. The principle of unified views in "The Book of the Shang State Ruler" is perhaps reflected in the position of the legalist from the treatise "Yang Te Lun" ("Discourse on Salt and Iron"), who advocates setting uniform standards, standardizing market prices and monetary systems, and supporting monopolies on salt and iron.

Turning to the "Han Fei Zi" and extracting what pertains to the Fa Jia school's views, the most notable theme is the alignment of governance and law. Han Fei essentially identifies himself as an advocate for the integration of governance and law, as evidenced by his statements: “If the ruler does not master the art of law, his rule will be without order and stability.” He advocates laws as the basis for government order, and a ruler must act according to the law and ensure its proper implementation, maintaining order and minimizing disturbances in state affairs.

Han Fei's political philosophy focuses on maximizing the ruler's power, organizing society through laws, and minimizing personal morality or ethics in governance. He underscores that laws and their enforcement are crucial for ensuring stability and achieving governance goals, emphasizing that rulers must not solely rely on moral virtues but rather on strict laws and their enforcement to govern effectively. His views suggest that laws must be stringent, apply uniformly, and be enforced rigorously to maintain social order.

The general conclusion from Shang Yang and Han Fei's positions is that the Fa Jia school, with its emphasis on strict legalism, advocates for governance based primarily on laws and punishments. This perspective reflects a broader trend in early Chinese philosophy where different schools grappled with issues of governance, order, and morality, each proposing its own solutions to these enduring questions.