Han Fei Lays Out the Legalist View of Good Government

Han Fei (ca. 280–233 B.C.E.) is the best-known proponent of the Chinese philosophy called Legalism, created by combining elements of Confucianism, Daoism, and Han Fei’s own ideas. Han Fei studied under a Confucian master, Xunzi, and wrote a commentary on the Dao De Jing (Document 4-4). He served as a minister of the Qin Dynasty until a rival forced him to commit suicide. Legalism is renowned for its emphasis on harsh punishments and penalties for petty crimes. In Legalism, power should be concentrated in the hands of the ruler.

Past and present have different customs; new and old adopt different measures. To try to use the ways of a generous and lenient government to rule the people of a critical age is like trying to drive a runaway horse without using reins or whip. This is the misfortune that ignorance invites.

Now the Confucians and the Mohists3 all praise the ancient kings for their universal love of the world, saying that they looked after the people as parents look after a beloved child. And how do they prove this contention? They say, “Whenever the minister of justice administered some punishment, the ruler would purposely cancel all musical performances; and whenever the ruler learned that the death sentence had been passed on someone, he would shed tears.” For this reason they praise the ancient kings.

Now if ruler and subject must become like father and son before there can be order, then we must suppose that there is no such thing as an unruly father or son. Among human affections none takes priority over the love of parents for their children. But though all parents may show love for their children, the children are not always well behaved. . . . And if such love cannot prevent children from becoming unruly, then how can it bring the people to order? . . .

Now here is a young man of bad character. His parents rail at him, but he does not reform; the neighbors scold, but he is unmoved; his teachers instruct him, but he refuses to change his ways. Thus, although three fine influences are brought to bear on him — the love of his parents, the efforts of the neighbors, the wisdom of his teachers — yet he remains unmoved and refuses to change so much as a hair on his shin. But let the district magistrate send out the government soldiers to enforce the law and search for evildoers, and then he is filled with terror, reforms his conduct, and changes his ways. . . .

The best rewards are those that are generous and predictable, so that the people may profit by them. The best penalties are those that are severe and inescapable, so that the people will fear them. The best laws are those that are uniform and inflexible, so that the people can understand them. . . .

Hardly ten men of true integrity and good faith can be found today, and yet the offices of the state number in the hundreds. If they must be filled by men of integrity and good faith, then there will never be enough men to go around; and if the offices are left unfilled, then those whose business it is to govern will dwindle in numbers while disorderly men increase. Therefore the way of the enlightened ruler is to unify the laws instead of seeking for wise men, to lay down firm policies instead of longing for men of good faith. Hence his laws never fail him, and there is no felony or deceit among his officials. . . .

Farming requires a lot of hard work, but people will do it because they say, “This way we can get rich.” War is a dangerous undertaking, but people will take part in it because they say, “This way we can become eminent.” Now if men who devote themselves to literature or study the art of persuasive speaking are able to get the fruits of wealth without the hard work of the farmer and can gain the advantages of eminence without the danger of battle, then who will not take up such pursuits? . . .

Therefore, in the state of an enlightened ruler there are no books written on bamboo slips; law supplies the only instruction. There are no sermons on the former kings; the officials serve as the only teachers. There are no fierce feuds of private swordsmen; cutting off the heads of the enemy is the only deed of valor. Hence, when the people of such a state make a speech, they say nothing that is in contradiction to the law; when they act, it is in some way that will bring useful results; and when they do brave deeds, they do them in the army. Therefore, in times of peace the state is rich, and in times of trouble its armies are strong. . . .

These are the customs of a disordered state: Its scholars praise the ways of the former kings and imitate their humaneness and rightness, put on a fair appearance and speak in elegant phrases, thus casting doubt upon the laws of the time and causing the ruler to be of two minds. Its speechmakers propound false schemes and borrow influence from abroad, furthering their private interests and forgetting the welfare of the state’s altars of the soil and grain. Its swordsmen gather bands of followers about them and perform deeds of honor, making a fine name for themselves and violating the prohibitions of the five government bureaus. Those of its people who are worried about military service flock to the gates of private individuals and pour out their wealth in bribes to influential men who will plead for them, in this way escaping the hardship of battle. Its merchants and artisans spend their time making articles of no practical use and gathering stores of luxury goods, accumulating riches, waiting for the best time to sell, and exploiting the farmers.

These five groups are the vermin of the state. If the rulers do not wipe out such vermin, and in their place encourage men of integrity and public spirit, then they should not be surprised, when they look about the area within the four seas, to see states perish and ruling houses wane and die.

READING AND DISCUSSION QUESTIONS