Six Essential Schools Chapter 05 Legalist School

尽明职分的法家

Chapter 5

The Legalist School: Understanding and Fulfilling One's Duties

说到法家，现代人可能比较熟悉，因为经常可以看到关于秦朝的电影和电视剧。整个春秋战国时期，法家的代表人物，要从管仲开始，还有乐毅，子产，吴起，李悝，商鞅，慎到，申不害，直到战国末期的韩非子和李斯，都属于法家。

When speaking of Legalism, many modern readers may already be somewhat familiar with it, as the Qin Dynasty is frequently portrayed in films and television dramas. However, the Legalist tradition did not begin with Qin Shi Huang. Throughout the Spring and Autumn Period (770–476 BCE) and the Warring States Period (475–221 BCE), many influential statesmen, reformers, and political thinkers contributed to the development of Legalist thought.

Among its most notable representatives were Guan Zhong, Zichan, Wu Qi, Li Kui, Shang Yang, Shen Dao, Shen Buhai, Han Feizi, and Li Si. These figures, although differing in their approaches, are generally regarded as belonging to the Legalist tradition.

我们先读太史公的论述：

Let us first read Tai Shigong's discussion:

法家严而少恩；然其正君臣上下之分，不可改矣。

“The Legalists are strict and show little benevolence; however, their emphasis on clearly defining the roles and responsibilities of rulers and ministers, superiors and subordinates, cannot be abandoned.”

法家主张严刑峻法却刻薄寡恩，但法家主张的君主和臣民都要遵守自己的本分和职责，则是不可更改的。

The Legalists advocated strict laws and severe punishments, and were often regarded as harsh and lacking in compassion. However, their insistence that rulers and subjects, as well as those in positions of authority and those under them, should clearly understand and fulfill their respective duties and responsibilities is a principle that cannot be disregarded.

法家不别亲疏，不殊贵贱，一断于法，则亲亲尊尊之恩绝矣。可以行一时之计，而不可长用也，故曰“严而少恩”。若尊主卑臣，明分职不得相逾越，虽百家弗能改也。

“The Legalists make no distinction between relatives and strangers, nor between the noble and the humble. Once matters are judged according to the law, personal affection and considerations of status are set aside. Such an approach may be effective for a time, but it cannot be relied upon indefinitely. Therefore, it is said that the Legalists are ‘strict and lacking in benevolence.’ However, their emphasis on respecting the distinction between rulers and ministers, and on ensuring that each person fulfills the duties of his position without overstepping proper boundaries, is something that even the Hundred Schools of Thought cannot alter.”

法家不论亲疏远近，不论贵贱尊卑，一律依据法令来决断，那么这样就没有亲情和人情可以讲，与亲人和尊长的亲情和恩情就断绝了。这样的做法，可以作为一时之计来施行，偶尔用一次，可能就是历史上的英雄，但是却不可以长期执行，如果长期执行的话，就变成六亲不认，最终众叛亲离。所以历史上说很多法家的人完全讲法制，不顾人情道义，是“刻薄少恩”的人。法家的精要之处在于主张“明分职不相逾越”，就是说要遵守自己的本分和职责。不论君主还是臣民，都要遵守自己的本分，责任和义务，不能做出逾越法令和规矩的事，这是诸子百家的任何学派都不能更改的。

Legalism makes no distinction between relatives and strangers, nor between the noble and the humble. All matters are judged according to the law. As a result, personal affection and human relationships are set aside, and the bonds of kinship and respect for one's elders may be weakened.

Such an approach may be effective as a temporary measure and, in certain circumstances, may even produce remarkable results. However, it cannot be practiced indefinitely. If carried to an extreme, people may become indifferent to family ties and personal relationships, eventually finding themselves isolated from those around them. For this reason, Legalists have often been described in history as being “strict and lacking in benevolence,” placing legal principles above personal feelings and human considerations.

The essence of Legalism lies in the principle of “clearly defining duties and preventing people from overstepping their proper roles.” In other words, whether ruler or subject, everyone should understand and fulfill his responsibilities, obligations, and proper place within society. No one should act beyond the limits of the law or violate established rules and regulations. This principle of respecting one's duties and responsibilities is something that none of the Hundred Schools of Thought would seek to overturn.

诸子百家都出自于道家，法家也同样出于道家。可能有人会觉得奇怪，道家是讲究仁慈，清净无为的。讲究清净无为修道的人，怎么会苛刻严酷呢? 这一点就是我们常说的掌握分寸的问题：“过与不及都不好”。道家的人都要修行，修行的人要守戒律，守规矩，就会对自己要求严格，对自己要求严格以后，就会把这样的要求推广到身边或者周围的人，也会对别人要求严格。对自己和别人都严格到一丝不苟，铁面无私，就是法家了。我们平常人还很难做到法家的这一点，人们一般都是对自己比较宽容，对别人比较苛刻。我们经常说，做人应当“严以律己，宽以待人”，对于自己需要严格，对于别人需要宽容。这个宽容的限度怎样掌握？规定是死的，人是活的。制定了规矩，到执行起来的时候，就要看每个人的执行力度了，也就是人情道义和法令规范都要兼顾，都要做得合适。

All the Hundred Schools of Thought originated from the broader tradition of Daoist thought, and Legalism is no exception. Some people may find this surprising. Daoism is often associated with compassion, simplicity, and non-forcing (wuwei). How, then, could a tradition that values inner cultivation and tranquility give rise to the strictness and severity of Legalism?

The answer lies in the question of balance. As the Chinese saying goes:

“Both excess and deficiency are undesirable.”

Those who follow a path of self-cultivation must observe disciplines, rules, and moral standards. When people become very strict with themselves, they may naturally extend the same standards to those around them. If this tendency develops to its extreme, demanding meticulous compliance and impartial enforcement in all circumstances, it begins to resemble the Legalist approach.

Most ordinary people, however, do not reach this point. More often, people are lenient with themselves while being strict with others. Chinese tradition therefore teaches:

“Be strict with yourself and tolerant toward others.”

The challenge, of course, is determining the proper limits of tolerance. Rules are fixed, but human situations are constantly changing. Once rules are established, their application depends upon those who enforce them. Therefore, both human considerations and legal principles must be taken into account. The key is to find an appropriate balance between them.

历史上每一个朝代，随着文明和经济的发展，社会都会变得越来越复杂，越复杂就越难调控。古人说：“法网恢恢，疏而不漏”，这个“疏“就是简明的意思，反过来的意思就是法网越密，可钻的漏洞越多。司马迁写《史记》的年代是汉武帝的年代，当时的法令已经不同于汉初时候修养生息的简明法令。《史记.高祖本记》里有记载，汉高祖刘邦入关中，废除了秦朝的严刑峻法，只与父老约法三章：杀人者死，伤人及盗抵罪。经过汉朝初期的修养生息，到了汉武帝的时期，法律规范就开始越来越复杂了。汉武帝是非常精明的人，也精于法令，法令文字写得越多，漏洞也就越多。越懂得法令的人越会犯法，越会钻法令的漏洞。所以老子在《道德经》里说：

“天下多忌讳，而民弥贫；人多利器，国家滋昏；人多伎巧，奇物滋起；法令滋彰，盗贼多有。故圣人云：我无为，而民自化；我好静，而民自正；我无事，而民自富；我无欲，而民自朴。"

朴实的民风和人情是社会和谐的基础。

Throughout history, as civilization advanced and economies developed, societies became increasingly complex. The more complex a society becomes, the more difficult it is to govern and regulate.

The ancients said:

“The net of the law is vast; though wide-meshed, nothing escapes it.”

The word shu (疏) here can be understood as meaning simple and uncluttered. In other words, the simpler the laws, the fewer the loopholes. Conversely, the more numerous and complicated the regulations become, the more opportunities there are for people to exploit them.

When Sima Qian wrote the Records of the Grand Historianduring the reign of Emperor Wu of the Han Dynasty (r. 141–87 BCE), the legal system had already become far more complex than the simple policies adopted during the early Han period. According to the Annals of Emperor Gaozu, when Liu Bang entered Guanzhong and established the Han Dynasty, he abolished the harsh laws of Qin and made only three agreements with the local people:

“Those who commit murder shall be executed; those who injure others or steal shall be punished according to their crimes.”

After decades of recovery and prosperity during the early Han Dynasty, laws and regulations gradually became more numerous and detailed under Emperor Wu. The more elaborate the legal system became, the more loopholes it inevitably created. Those who understood the law best often became the most skilled at finding ways around it.

For this reason, Laozi wrote in the Dao De Jing:

“The more prohibitions there are, the poorer the people become.

The more sharp weapons there are, the greater the disorder of the state.

The more clever skills people possess, the more strange things appear.

The more laws and regulations are promulgated, the more thieves and robbers there will be.

Therefore the sage says:

I practice non-action, and the people transform themselves.

I love stillness, and the people correct themselves.

I interfere not, and the people become prosperous.

I am free from excessive desire, and the people return to simplicity.”

Simple customs, honest human relationships, and an unpretentious way of life are the true foundations of social harmony.

在人情道义和法令规范上都做得恰到好处，就能够国富民强，例如春秋时期的管仲。管仲担任齐国的宰相辅佐齐桓公“九合诸侯，一匡天下”，成为春秋第一霸主。管仲最有名的一段话就是：

“仓廪实而知礼节，衣食足而知荣辱。上服度则六亲固。四维不张，国乃灭亡。下令如流水之原，令顺民心。”

意思是，国家政府的府库财富充盈，人们的衣食住行都能够安稳而有保障了，才能顾及到礼仪，重视荣誉和耻辱。君王的享用要有一定制度和限制，才能得到六亲的支持和依附；“四维”，指礼、义、廉、耻四种纲纪，是中国传统社会共同的行为规范与道德标准。如果这四维的价值观不能在社会中盛行，国家就会走向灭亡。颁布政令就好像流水的源头，要能顺乎民心。

When both human considerations and legal principles are applied appropriately, a nation can achieve prosperity and strength. Guan Zhong of the Spring and Autumn Period is a classic example.

As Chancellor of the State of Qi, Guan Zhong assisted Duke Huan of Qi in “uniting the feudal lords on nine occasions and bringing order to the realm,” helping Qi become the leading power of the Spring and Autumn Period.

One of Guan Zhong’s most famous statements is:

“When the granaries are full, people will understand propriety and moderation.

When food and clothing are sufficient, people will understand honor and shame.

When those above observe proper limits, family relationships will remain strong.

If the Four Pillars are not upheld, the state will perish.

Government orders should flow like water from its source, in harmony with the hearts of the people.”

This means that only when the state is prosperous and people's basic needs are secure can they devote attention to propriety, morality, honor, and shame. Those in positions of authority should also observe appropriate limits and standards, thereby earning the trust and support of those around them.

The “Four Pillars” refer to propriety (li礼), righteousness (yi义), integrity (lian廉), and a sense of shame (chi耻). These have long been regarded as fundamental moral values and standards of conduct in traditional Chinese society. If these values are neglected, society will gradually lose its moral foundation and eventually decline.

Guan Zhong also taught that government policies should be like water flowing from its source—natural, unobstructed, and in accordance with the needs and sentiments of the people. Only in this way can laws, institutions, and social order be truly effective.

在人情道义上完全不留余地，只顾法令规范，就会“作法自毙”，这是《史记·商君列传》里记载的商鞅自己的叹息。秦孝公时期的商鞅坚持严格执法，违法必究，那个时候还有“连坐”的法律。一人犯法，还要连累家人。连当时的太子也不能逃脱责任，当时的秦孝公的太子犯法，太子的师傅就要被问责受罚，所以当时的太子太傅，公子虔就被商鞅处以刑罚。虽然商鞅变法是成功了，但是秦国的贵族公卿都对商鞅恨之入骨，最后商鞅的结局也是悲惨的。

When human considerations and moral obligations are completely set aside in favor of rigid legal enforcement, people may ultimately become victims of the very system they create. This is reflected in Shang Yang's own lament, recorded in the Records of the Grand Historian (Shiji), a phrase later summarized as:

“One may be destroyed by the very laws one has established.”

During the reign of Duke Xiao of Qin, Shang Yang insisted on the strict enforcement of the law. Violations were punished without exception, and the system of “collective responsibility” (lianzuo) was widely applied. Under this system, when one person committed a crime, family members and associates could also be held accountable.

Even the Crown Prince was not exempt. When the Crown Prince violated the law, his tutors were punished in his place. As a result, Prince Qian, one of the Crown Prince's teachers, was subjected to punishment under Shang Yang's reforms.

Although Shang Yang's reforms successfully strengthened the State of Qin and laid the foundation for its future unification of China, they also earned him the deep resentment of many nobles and officials. In the end, Shang Yang himself met a tragic fate.

另外一个法家的著名代表人物是李斯，是荀子的弟子。荀子和孟子都是战国时期的大儒，在对人性的分析上，孟子主张“人性善”，荀子主张“人性恶”，要靠后天的教育来纠正人性的恶习，儒家都是讲仁义道德教育的。韩非子和李斯都是荀子的学生，李斯追求功名富贵，却抛弃了仁义道德，李斯跟他的老师荀子说：人都没有饭吃了，还讲什么学问道德，荀子就把李斯赶走了。后来李斯到了秦国做了宰相，还因为嫉妒害死了韩非子，虽然帮助秦始皇统一中国，但是李斯的结局同样是悲惨的。

Another famous representative of the Legalist school was Li Si, a disciple of Xunzi.

Both Xunzi and Mencius were great Confucian scholars of the Warring States Period. However, they held different views on human nature. Mencius maintained that human nature is inherently good, while Xunzi argued that human nature is inclined toward selfish desires and therefore requires education and moral cultivation to correct its flaws. Despite their differences, both remained within the Confucian tradition and emphasized ethical and moral education.

Han Feizi and Li Si were both students of Xunzi. Li Si pursued power, status, and worldly success, but abandoned the Confucian ideals of benevolence and righteousness. According to traditional accounts, Li Si once said to his teacher Xunzi, “If people do not even have enough food to eat, what is the use of talking about learning and morality?” Xunzi strongly disapproved of such thinking and dismissed him.

Later, Li Si went to the State of Qin, where he rose to become Chancellor. He played an important role in assisting Qin Shi Huang in the unification of China. However, out of jealousy, he was also responsible for the downfall and death of Han Feizi. Although Li Si achieved great political success, his final fate, like that of Shang Yang, was ultimately a tragic one.

在平时生活中，我们每天都可能碰到人情和规范之间的矛盾问题。在人情和规范之间找到一个平衡，是千古的话题。人类是群居动物，人类与动物最大的区别就是在礼仪和情感上。中国人自古就讲人情道义。在人际关系上面，不论是工作关系，还是家庭成员之间的关系，父母和孩子们的交流，都有这样的分寸问题。我们是否能在坚持原则的情况之下，也不伤害彼此的感情？例如，小孩子要糖吃，是给还是不给？吃多了会影响牙齿生长，不给的话，又觉得孩子想吃，很可怜。这就是作为父母的矛盾心理。古人说：

“恩生于害，害生于恩”。

严格管教孩子，打骂的目的也是爱，父母亲一边打，一边自己流泪；另一方面，过分的纵容就是溺爱，反而害了孩子。中国人的传统教育是守规矩，现代西方人又说要自由，发挥个性。讲规矩还是放任自由，这样的分寸，怎样掌握？

In everyday life, we constantly encounter tensions between human relationships and rules, between personal feelings and established norms. Finding the right balance between the two has been a challenge throughout human history.

Human beings are social creatures. One of the greatest differences between humans and animals lies in our sense of propriety, morality, and emotional relationships. Since ancient times, Chinese culture has placed great importance on human feelings, moral obligations, and social responsibility.

Whether in the workplace, within families, or in the relationship between parents and children, questions of balance and proper judgment arise constantly. Can we uphold principles without damaging our relationships with others?

For example, when a child asks for candy, should a parent give it or not? Too much candy may harm the child's teeth, yet refusing the request may make the child unhappy. Such situations reflect the dilemmas parents face every day.

An old Chinese saying states:

“Kindness may give rise to harm, and harm may arise from kindness.”

Strict discipline is often motivated by love. Parents may scold or punish their children for their own good, sometimes feeling more pain themselves than the child. On the other hand, excessive indulgence can become overprotection and ultimately do harm.

Traditional Chinese education emphasizes discipline and respect for rules. Modern Western thought often places greater emphasis on freedom and the development of individual character. Should we emphasize discipline or allow greater freedom? How should we determine the proper balance between the two?

太史公说，法家主张的“明分职不得相逾越”是任何学派都不能修改的。可见这是人类社会的真理，因为道德上的本分和职责是和谐社会的根本，任何学派都不能放弃这样的主张。说得简单一点，就是要守本分。每一个人都应当明白自己的本分和职责，不能做违法乱纪的事情，做人做事要讲信用，要有责任心。古人讲尽忠职守，诸葛亮说的一句千古名言：“鞠躬尽瘁，死而后已”，让多少人落泪和感动。我们每一个人都有自己的本分，要担负家庭责任和社会责任。家庭的责任方面，例如，学生的本分是听话和学习；成年人的本分是养家糊口，教育子女，赡养老人；老年人的本分是颐养天年，为年轻人做个榜样。社会责任的本分就是职业道德。做农民，做手工艺者，做老师，做职员，做商人，不论做什么职业，都要讲诚信和责任心。

Tai Shigong stated that the Legalist principle of “clearly defining duties and not overstepping one's proper position” is something that no school of thought can alter. This suggests that it is a fundamental truth of human society. Moral duties and responsibilities form the foundation of a harmonious society, and no philosophical tradition can dispense with such principles.

Put simply, it means that people should know and fulfill their proper duties.

Every person should understand his or her responsibilities and act accordingly. One should not violate the law or engage in improper conduct. In both personal and professional life, integrity, trustworthiness, and a sense of responsibility are essential.

The ancient ideal of fulfilling one's duty with complete dedication is beautifully expressed in a famous saying by Zhuge Liang (181–234 CE):

“To devote oneself wholeheartedly to one's duty and continue until the very end of life.”

These words have inspired and moved generations of people.

Each of us has duties to fulfill, both within the family and within society. In family life, a student's duty is to respect their parents and teachers, and study diligently; an adult's duty is to support the family, educate children, and care for elderly parents; and an older person's duty is to enjoy later life with dignity while serving as a positive example for younger generations.

Social responsibilities are reflected in professional ethics. Whether one is a farmer, artisan, teacher, employee, or merchant, every profession requires honesty, integrity, and a strong sense of responsibility.

我们是否能够做到自己的本分和职责呢？如果做不到会怎样呢？我们可以在古人的智慧中去寻找答案。

Can we truly fulfill our own duties and responsibilities? What happens when we fail to do so? We can find the answers in the wisdom of the ancients.

《庄子.人间世》里面有一段孔子讲的人世间的哲学：

In the Zhuangzi, Chapter The Human World (Renjian Shi), there is a passage in which Confucius discusses the challenges of human affairs:

“凡事若小若大，寡不道以欢成。事若不成，则必有人道之患；事若成，则必有阴阳之患。若成若不成，而后无患者，唯有德者能之。”

“Whether a matter is great or small, it is rarely accomplished without some compromise. If it fails, there will inevitably be troubles arising from human relationships and social affairs; if it succeeds, there will inevitably be troubles arising from the changing circumstances of life. To act, whether successfully or unsuccessfully, and yet leave no troubles behind—this can only be achieved by a person of true virtue.”

“凡事若小若大，寡不道以欢成。”意思是，人世间的事情，不论大小，很少有圆满完成，皆大欢喜的结果。在人世间做人做事是很难的，有三种情况和结果。

第一种情况，“事若不成，则必有人道之患”，在接到一项任务和工作的时候，如果事情如果没有办成，就可能有“人道之患”，古时候，如果皇帝交代给大臣办的事情，没有办好，就会受到刑罚甚至杀头的危险。在现代的社会，如果职员失职，就要受到同事和老板的埋怨，如果公司管理层失职，经营不善，欠下无数的债务，就把公司搞垮了，同样是人道之患。

第二种情况，“事若成，则必有阴阳之患。”如果事情做成了，还是会有“阴阳”的后患。阴的祸患是指做成功的事情是坏事，古人说“丧尽天良”，做了违背良心的事情，冥冥之中就会受到报应，现代人同样有这样的问题，事业做成功了，是否是正当的事业，是否符合道德，是否合法，是否合情合理？靠欺骗得到的财富和成功不会有好结果。阳的祸患是指，如果做成的事情是好事，成就了功业，就会功高盖主，就会遭人嫉恨，“羡慕嫉妒恨”同样是现代人流行的一个词。

第三种情况，“若成若不成，而后无患者，唯有德者能之。”不论成功与否都不会有祸患的人，只有那些有最高道德和得道的人才能做到。

“Whether a matter is great or small, it is rarely accomplished to everyone's satisfaction,”

means that in human affairs, whether large or small, it is difficult to achieve a result that leaves everyone pleased and everything perfectly resolved. Living and working in the human world is never easy. According to this passage, there are three possible situations.

First, “If a matter fails, there will inevitably be troubles arising from human affairs.”

When a task or responsibility is not successfully completed, there are often consequences. In ancient times, if a minister failed to carry out an assignment entrusted by the emperor, he could face punishment or even execution. In modern society, if an employee fails to fulfill his duties, he may face criticism from colleagues and supervisors. If company executives make poor decisions, mismanage the business, and accumulate excessive debts, the company may collapse. These are all examples of what Zhuangzi called “the troubles of human affairs.”

Second, “If a matter succeeds, there will inevitably be troubles arising from yin and yang.”

Even success may bring unforeseen difficulties.

The “yin” aspect refers to success achieved through improper means. The Chinese expression sang jin tian liang (“to lose all conscience”) describes those who achieve success by violating moral principles. Whether in ancient times or today, people must ask themselves: Is my success based on honest and ethical conduct? Is it lawful? Is it morally justified? Wealth and success obtained through deception rarely lead to a good outcome.

The “yang” aspect refers to the difficulties that may arise even when one accomplishes something genuinely good. Great achievements often attract jealousy and resentment. Throughout history, those who have distinguished themselves have frequently become targets of envy. Even today, the feelings of envy, jealousy, and resentment remain common aspects of human nature.

Third, “Whether a matter succeeds or fails, yet leaves no troubles behind, only a person of true virtue can achieve this.”

According to Zhuangzi, whether one succeeds or fails, to act without creating future troubles requires the highest level of moral cultivation and wisdom. Only those who possess genuine virtue can accomplish their responsibilities while avoiding the hidden dangers that often accompany both failure and success.

这一段话，不管到底是庄子借孔子的名义说的这一段话，还是孔子的确说了这一段话，都是给我们讲述了人生做人做事的哲学和指导。凡事都应当以伦理道德为先，无论做什么事情都要问心无愧，才不会有祸患。要想怎样选择，还是在我们自己。

Whether this passage was spoken by Confucius himself or was attributed to him by Zhuangzi, it offers profound guidance on how to conduct oneself in life and in human affairs.

Its message is that ethics and morality should come first. Whatever we do, we should act with a clear conscience and remain true to what is right. In this way, we can avoid many of the troubles and misfortunes that arise in life.

As for how we choose to act, the decision ultimately rests with each of us.