Analysis of the Rise and Fall of the Qin Dynasty in Relation to Legalism

Abstract

This study mainly focuses on how the ancient Chinese philosophy, Legalism, affected the Qin in its warring state and empire periods. This essay will proceed chronologically from how the idea of Legalism emerged in Qin-Shang Yangs law reformation, how it brought Qin to become a glorious state in the warring state period, how it affected Qin to become a centralized empire with the system of prefectures and counties, and finally, how it caused the fall of Qin. Legalism was one of the core reasons why Qin could evolve into the first empire and others could not, but due to its cruelty, it was abandoned by the empire afterward eventually. Legalism was a practical philosophy under some specific circumstances but not always. The core of Legalism is how everyone will be doing things due to their best interest, so there is a need for strict and precise laws is correct. However, the way of processing Legalism in an extreme way was not acceptable under a peace period, and Qin fell to establish cultural recognition of the new empire.

Full text

Analysis of the Rise and Fall of the Qin Dynasty in Relation
to Legalism
Ziqi Liu1,a,† and Donghui Song2,b,*,†
1Affiliated High School of South China Normal University, Zhongshan Avenue, Guangzhou, China
2Dexter Southfield School, Newton St, Brookline, United States
a. Lzq13060678326@163.com, b. 24songdo@dextersouthfield.org
*corresponding author
†These authors contributed equally.
Abstract: This study mainly focuses on how the ancient Chinese philosophy, Legalism,
affected the Qin in its warring state and empire periods. This essay will proceed
chronologically from how the idea of Legalism emerged in Qin-Shang Yang’s law
reformation, how it brought Qin to become a glorious state in the warring state period, how
it affected Qin to become a centralized empire with the system of prefectures and counties,
and finally, how it caused the fall of Qin. Legalism was one of the core reasons why Qin
could evolve into the first empire and others could not, but due to its cruelty, it was abandoned
by the empire afterward eventually. Legalism was a practical philosophy under some specific
circumstances but not always. The core of Legalism is how everyone will be doing things due
to their best interest, so there is a need for strict and precise laws is correct. However, the way
of processing Legalism in an extreme way was not acceptable under a peace period, and Qin
fell to establish cultural recognition of the new empire.
Keywords: Chinese history, Qin, legalism
1. Introduction
The Qin dynasty (221 BC ~ 207 BC) was the first empire in Chinese history. Its origin is Qin State
(born in 770 BC), a vassal state in the Warring States Period. In 221 BC, Ying Zheng (259 BC ~ 210
BC), the ruler of the Qin State, unified the six states and then established the Qin Empire. He was the
first emperor in Chinese history and called himself Shi Huang Di. In history, he was called Qin Shi
Huang. In 210 BC, Qin Shi Huang died, and then his youngest son Huhai (230 BC ~ 207 BC)
ascended the throne. He was known as Qin Ershi. In 207 BC, Qin Ershi committed suicide. Ziying (?
~ 206 BC) became emperor of the Qin Empire, which collapsed after only 46 days of his reign.
The development of Qin from a vassal state to an empire and its quick collapse were closely related
to Legalism, which is the fundamental thought of governing the state. The connection between Qin
and Legalism emerged during the reign of Qin Xiao Gong (Ying Qu Liang, 381 BC ~ 338 BC) in the
Qin State era. In 359 BC, Qin Xiao Gong appointed Shang Yang (c. 390 BC ~ 338 BC), a
representative of Legalism, to carry out a reform known in history as Shang Yang’s Reform. During
the reign of Qin Shi Huang, he greatly appreciated the ideas of the legalist thinker Han Fei (c. 280
BC ~ 233 BC). Qin Shi Huang also highly valued another legalist, Li Si (? ~ 208 BC). After Qin Ershi
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ascended the throne, he still basically followed ideas of Legalism to govern the empire. Legalism
profoundly influenced the Qin; Qin was also a practical embodiment of Legalism.
In this paper, the authors will divide the process of rising and fall of Qin into three main parts: the
development of the Qin State before the establishment of the Qin Empire, the growth of the Qin
Empire, and the decline and collapse of the Qin Empire. By analyzing Qin’s policies and its rulers’
decisions, the authors will discuss the positive effects of Legalism on the development and expansion
of Qin and how Legalism led to the decline and fall of the Qin Empire. In addition, the authors will
also focus on the analysis of the main reasons causing the collapse of the Qin Empire and the defects
of Legalism reflected in practical applications.
2. Establishment of Qin Empire
Legalism was already developed in the warring state time period of Qin. Han Fei Zi was considered
as the philosopher who created the official concept of Legalism. Before digging into what impact Han
Fei Zi’s thought had on Qin. There is another character that must be mentioned. Shang Yang, a
Chinese statemen. Shang Yang’s thought and reformation of the Qin has a large impact on Han Fei
Zi’s idea. His reformation of Qin and ideas generally can be considered as the early version of the
Legalism. Many historians think that the reason why Qin could success later in time is because of
what Shang Yang did to Qin. His law reformation of Qin is one of the main factors of why Qin could
success [1].
2.1. Shang Yang’s Law Reformation
“Shang Yang believed that the integrity of a state could be maintained only with power and that power
consisted of a large army and full granaries.” [2]. Shang Yang’s idea is somewhat related to the ideas
that Han Fei Zi conducted about Legalism in the end. Legalism is based on the belief that humans are
easy to do the wrong things more than the right things because they are all starting from their own
perspectives and interest. Legalism believed in strict laws and laws needed to have complete power
because those clear and strict rules can restrict those biased things in people’s minds. Shang Yang’s
law reformation in Qin has connection with the idea of Legalism because Shang Yang made Qin to
have a stricter law system than before, and strict laws is the core of Legalism.
At this point, it’s important to research what Shang yang really did to Qin’s law reformation. He
first made a compulsory military system. Because of this compulsory military system, Qin was able
to have the most powerful military when Qing Shi Huang was trying to conquer all the other warring
states. This new military system increased Qin’s military power by a lot. He also made a complicated
award system called twenty-class nobility for the military, and basically, when Qin’s people are in
the military, each enemy they killed on the battlefield will count, and everything they did will be
recorded. Awards will be given to everyone after battles. soldiers will receive servants, land, and all
kinds of different awards based on their actions on the battlefield The defined rules of promotion and
demotions under Shang Yang’s new system provided people a chance to climb up in the social
pyramid if they want to. This new award soldier system made people fight more bravely in battles,
which again increase Qin’s military power. Shang Yang’s law reformation in Qin’s military made an
incredibly strong base for Qin’s military power [3].
Other than reforming the military system, he also made changes to the land and taxation system.
Shang Yang somewhat made a new land division and taxation system, and under that new system,
everyone was treated equally. Nobles would not have more power or more right under the law of the
new system. Under this new system, all the taxation and division of land and the rent of land were
under strict and clear rules. At the same time, under this new system, the law favored farming rather
than doing business. Taxes on business was increased and Shang Yang encourage people to develop
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agriculturally. Shang Yang planned to make Qin focus on developing its own agriculture economy,
and there were even awards given to farmers who were willing to open up wastelands. Also, Shang
Yang eliminated the old land rule where the nobles in the warring state had control of all the land.
Under the old system, nobles had the main control of the lands. In the new system, Shang Yang made
private land legal, and lands were open to the market. This eliminated noble’s power, but it would
boost Qin’s economy [3].
2.2. Connections between Shang Yang’s Law Reformation and Legalism
In Shang Yang’s law reformation, there are many connections that can be discovered between his
idea and the overall Legalism idea. Strict laws were obvious, but also, the idea of people being equally
treated under administrative regulations. For example, Qin nobles had less power and fewer privileges
after the law reformation, because Shang Yang made it clear that laws are on top of the nobles. Also,
Shang Yang changed the whole system of who can be nobles and who cannot. Before, if one is family
related to the King in Qin, they were considered nobles, but now under Shang Yang’s new system
everyone who wanted to be considered nobles need to have military merit. That made all the Qin’s
old nobles become just normal peasants like everyone else, which angered the nobles a lot. The new
system reformed by Shang Yang took away the nobles’ special rights and powers, which led to Shang
Yang’s death at the end [3].
Shang Yang’s idea is like a prototype of Legalism. idea is more focused on one part of Legalism—
the law, while Legalism is a relatively larger scale of philosophy for the emperor to rule an empire,
and laws are just part of it. His law reformation is the earliest impact Legalism had on Qin before Qin
had grown into an empire. From Shang Yang’s law reformation, it can be discovered that ideas in
Legalism had many positive effects on Qin during its high development stage (Qin Xiao Gong period).
His law reformation increases Qin’s military power and agricultural economy. The new military
system is what makes Qin’s army way stronger than other warring state’ armies.
3. The Qin Empire in the System of Prefectures and Counties
In 221 BC, Qin Shi Huang united six states and established the Qin Empire. Legalism, as the most
important way of helping the development of the Qin State, was highly valued by Qin Shi Huang and
regarded as the fundamental thought of the Qin Empire. Since Qin Shi Huang appreciated Legalism
and valued Li Si, a legalist, most of Qin Shi Huang’s decisions for the development of the empire and
the consolidation of imperial power were influenced by and consistent with Legalist thought.
3.1. Thought of “Running a Country without Following the Ancient Methods” and the
Implementation of the System of Prefectures and Counties
The system of enfeoffment was the primary political system of the Western Zhou Dynasty. Since the
territory owned by the Zhou was too wide to be efficiently controlled by the central government, the
king distributed the land and people to the seigneurs. He then granted them the authority of land
management, administration, and military in these territories [4].
Shiji: Basic Annals of Qin Shi Huang, a famous ancient Chinese history book written in the Han
dynasty, tells that after the Qin Empire was established, most ministers contended that the emperor
should follow the ancient method, which is the system of enfeoffment. They suggested that Qin Shi
Huang should title princes as kings who needed to manage fiefs since the territories of Yan, Qi and
Chu were far away from the location of the Qin. For instance, a minister named Chun Yuyue believed
that the Zhou Dynasty survived for more than a thousand years because the king conferred titles to
relatives and officials to assist himself.
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However, Qin Shi Huang still decided to implement the system of prefectures and counties. To a
large degree, this decision was affected by the thought of “running a country without following the
ancient methods” of Legalism. Han Fei, a legalist, wrote in Wu Du that he opposed the ruler’s practice
of governing the state by following ancient methods because ancient customs did not apply to the
actual circumstances and conditions of today. He believed the king should make policies in light of
the status quo. Qin Shi Huang read Wu Du and agreed with Han Fei’s view.
Li Si, another legalist, who was highly regarded by Qin Shi Huang, also encouraged Qin Shi Huang
to promote the system of prefectures and counties. According to Shiji: Basic Annals of Qin Shi Huang,
Li Si said that the practices of past dynasties were not worth imitating and that the emperor should
study the current situation and make new decisions.
Thus, the thought of “running a country without following the ancient methods” of Legalism was
primarily responsible for Qin Shi Huang’s insistence on implementing the system of prefectures and
counties. Qin Emperor abandoned the system of enfeoffment, which had many disadvantages, and
chose the system of prefectures and counties, which was more suitable for the present environment.
This decision was a bold innovation. It played a positive role in the development of Qin.
3.2. Centralization as well as the System of Prefectures and Counties
Kings of the Zhou Dynasty used the system of enfeoffment to manage the state. Some disadvantages
of this system led to the collapse of Zhou. Seigneur states were relatively independent. Gradually,
they became more and more powerful. Eventually, they were not under the control of the king. Under
the system of enfeoffment, the imperial power was dispersed so that the king usually could not rule
the entire state.
Legalists found the disadvantage and put forward the idea of centralization.
In an article named Developing Power in Han Feizi, which is a collection of Han Fei’s works
compiled by later generations after his death, Han Fei mentions that a centralized state with the
characteristic that “affairs lie at the local level and the key lies at the central level; the sage king holds
the key, and then all the subjects come to service” should be established. The king needed to
independently control the state’s military, political and financial power.
According to Shiji: Basic Annals of Qin Shi Huang, Li Si said, “Now all within the seas has been
unified thanks to Your Majesty’s divine power, and everywhere has been turned into provinces and
districts. Moreover, if the sons and the successful officials are richly rewarded from the public
revenues, that will be sufficient to secure easy control. If there is no dissension throughout the empire,
this is the technique for securing tranquillity” [5]. He believed that the system of prefectures and
counties based on the centralized system was an effective way for the emperor to strengthen the
imperial power and rule and manage the state efficiently.
In addition, legalists sought a “king - government staffs - the people” social structure, allowing all
state members, including officials and peasants, to be directly under the king’s control. In this way,
centralization can be further strengthened [6].
Qin Shi Huang agreed with the ideas of Legalism and then implemented the system of prefectures
and counties. According to Shiji: Basic Annals of Qin Shi Huang, Qin Shi Huang divided the Qin into
thirty-six provinces and then established a governor, an army commander, and an inspector for each.
Under this system, officials were appointed and removed directly by the emperor. Besides, land and
people were owned by the central government. This system is consistent with the political ruling
pattern of “king - government staffs - the people” supported by Legalists [6].
In this way, the local government had no absolute control over the land and people of the area,
while all the power was concentrated on the emperor. Due to the use of the system of prefectures and
counties, which was based on the idea of Legalism, the centralization of power in the emperor
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promoted the empire’s political stability and economic development and helped the Qin Empire
further develop.
4. The Decline and Fall of the Qin Empire
The Qin Emperor always regarded Legalism, which has many advantages, as the primary thought
governing the empire. However, the Qin collapsed in 207 BC. The decline and fall of the Qin Empire
were also closely related to Legalism, mainly caused by the limitation of Legalism and the emperor’s
distortion and violation of Legalism.
4.1. Obscurantism as well as Burning Books and Burying the Literati
During the Spring and Autumn Period and the Warring States Period, the vassal states fought with
each other, and various schools of thought were scrambling to develop. People from various schools
traveled from country to country, spreading their ideas.
However, Qin Shi Huang thought different ideas would deceive the people and lead to chaos and
instability in the state. After the establishment of the Qin Empire, to maintain his rule over the empire
and his leadership over the people, Qin Shi Huang decided to implement obscurantist policy, which
was one of the propositions of Legalism.
Shang Yang, as a Legalist, was the proponent of obscurantism. According to “The Book of Lord
Shang: Quieting Strife”, an article in a book that is one of the masterpieces of Legalism in the Warring
States Period, Shang Yang stated, “It is easier to govern when the people are stupid”. Han Fei also
agreed with obscurantism. He wrote in Han Feizi: Discussing Doubt that to avoid the occurrence of
things that are not conducive to the king’s rule and the stability of the state, the ruler should forbid
the people from thinking against the king and unify the people’s thoughts.
Besides, Li Si put forward some opinions related to obscurantism. According to Shiji: Basic Annals
of Qin Shi Huang, Li Si stated that people criticized the current system by praising their favorite
doctrines and expressing different opinions. This kind of slander would cause the formation of
political parties. It would be harmful to the emperor’s rule.
Qin Shi Huang agreed with the statements above and then carried out some obscurantist policies.
First and Foremost, Shiji: Basic Annals of Qin Shi Huang states Qin Shi Huang ordered all books
other than Qinji to be burned, especially Shijing, Shangshu, and books related to a hundred schools
of thought. Also, people who discuss Shijing and Shangshu would be executed.
Besides, according to Shiji: Basic Annals of Qin Shi Huang, Qin Shi Huang buried alive all the
Confucians in Xianyang whom he believed had slandered him by hearing rumors. By killing more
than 460 scholars, Qin Shi Huang told others not to criticize him.
Burning books and burying Confucian scholars alive are extreme practices that destroyed culture
and thought. Such strict laws restricted the people’s minds in Qin and led to the intensification of
social conflicts. In addition, these laws aroused the general resistance of literati and officialdom to
the Qin Empire, so Qin gradually failed to unite the people [7]. These policies also excluded
intellectuals, which prevented Qin Shi Huang from incorporating advantages of each school of
thought in governing the state, instead continuing the old traditions.
The implementation of the policies above, connected with the Legalism thought of keeping the
people in ignorance, accelerated the decline of the Qin Empire. It shows that Legalism did have some
limitations and flaws.
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4.2. Doctrine of Severe Punishment and Harsh Penalties
Law is essential to regulate people’s behavior and strengthen the king or emperor’s rule. Criminal
law is a type of law used against serious crimes. Legalists advocated the doctrine of severe
punishment. Qin Shi Huang accepted this idea of Legalism and enacted many harsh penal laws.
Shang Yang claims in The Book of Lord Shang: Rewards and Penalties, “there is no better way to
deter crime than to use harsh punishment”. In Han Feizi: Six Kinds of Treacherous and Useless
People, Han Fei states, “People do not want to suffer severe penalties for a small profit so that evil
will be stopped”. They claim that severe punishment is the most effective way to avoid evil.
Agreeing with the Legalist thoughts above, Qin Shi Huang established many extremely harsh
punitive laws. One kind of punishment is depriving persons’ lives, including hanging, beheading,
cutting at the waist, tearing by five carts, burying alive, and so on. People who divulged the emperor’s
residence criticized the emperor, talked about Shijing and Shangshu, disobeyed filial piety, and
assembled in the military late than the scheduled time were sentenced to death. Another kind of
punishment was corporal punishment. It includes “Bin” which is a penalty of amputation of a
prisoner’s foot or kneecap; “Gong” which means to castrate a male’s genitalia or destroy a female’s
reproductive function; and so on [8].
In the Qin, two or three kinds of punishments depriving a person’s life were often used together
[8]. According to Shiji: Basic Annals of Qin Shi Huang, when Qin Ershi acceded to the throne, he
introduced more draconian laws.
The people suffered from harsh punishments. They became increasingly dissatisfied with the
ruling class, and social conflicts soared. Uprisings and rebellions followed. Witten in Shiji: Chen
Family, for example, Qin Ershi summoned poor civilians to guard Yuyang. However, the deadline
was missed because of heavy rain. Chen Sheng and Wu Guang, who are in the team, had been
oppressed by the Qin for a long time. Considering they would be sentenced to death if they missed
the deadline according to the military law of the Qin Empire, they revolted.
Therefore, the Qin emperor’s application of the Legalism doctrine of severe punishment was one
of the most important causes of social chaos and the collapse of the Qin empire. It shows that Legalist
thoughts have some limitations and downsides.
4.3. The Thought of Non-existence of Powerful Officials and the Favoring of Ministers by the
Emperors of Qin
In some cases, favored subjects of kings would do things to the detriment of him and the state for
their benefit, such as confusing the king, plotting against him, or usurping the throne.
Legalists suggested that the king should not over-trust and favor ministers. For instance, in Being
Lonely and Angry written by Han Fei, thinks that a good ruler should not favor his ministers. Besides,
powerful ministers are harmful to the state. However, neither of the two emperors of the Qin Empire,
Qin Shi Huang, and Qin Ershi, followed this advice of Legalism, which indirectly or directly led to
the collapse of Qin.
Qin Shi Huang highly valued Li Si and Zhao Gao and doted on prince Huhai. According to Shiji:
the Biography of Li Si, Li Si was appointed the prime minister by Qin Shi Huang, which means no
other minister at that time had a higher status than him. Besides, Shiji: the Biography of Meng Tian
indicates that Qin Shi Huang appointed Zhao Gao, a minister, as Zhong Che Fu Ling, an official in
charge of chariots in ancient China. In addition, written in Shiji: the Biography of Li Si, Huhai was
the favored youngest son of Qin Shi Huang.
Favoring these people by Qin Shi Huang led to tragedy. Zhao Gao and Li Si betrayed Qin Shi
Huang by borrowing his trust and their power for personal gain. As stated in Shiji: Basic Annals of
Qin Shi Huang, after Qin Shi Huang’s death, Zhao and Li tampered with his testamentary edict, in
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which he had designated his eldest son Fusu to ascend to the throne. Therefore, Huhai, who lacked
the intellect and ability of an emperor, became the emperor of the Qin Dynasty. The succession of
Huhai indirectly led to the collapse of the Qin Empire.
When Hushai succeeded to the throne, he went against the Legalists’ idea of not valuing ministers
and favored Zhao Gao. According to Shiji: Basic Annals of Qin Shi Huang, Qin Ershi appointed Zhao
Gao to be Lang Zhong Ling, who was in charge of the palace guards, and then promoted him to the
prime minister. Qin Ershi listened to Zhao Gao’s advice on almost all matters and allowed him to
manage the affairs of the court.
The Qin Empire was nearly destroyed as Qin Ershi highly favored Zhao Gao and listened to his
advice. Qin Ershi killed all the loyal officials in the court. The ministers did not dare to voice their
opinions. Zhao Gao gradually gained government control, and Qin Ershi Emperor lost real power.
Eventually, Zhao Gao rebelled, and the emperor was forced to commit suicide.
Qin Shi Huang and Qin Ershi went against Legalism’s advice that rulers should not highly value
ministers, which had many severe negative impacts on the Qin Empire. The emperor gradually came
under the control of his ministers, and the empire was hurt by these powerful ministers for their own
benefit.
5. The Shortcomings of Legalism during the Qin Dynasty
5.1. Suitability of Legalism for the Qin Empire
After Qin has grown into an empire, Shi Huang Di still heavily favors the idea of Legalism. However,
Legalism’s idea was useful for Qin during the warring state time period and the positive effects it has
was way much greater than some of its negative effects, but when Qin conquered all the other warring
states and become this huge empire, Legalism’s negative effect has been completely exposed on the
surface. The first reason is the growth in size. With such a huge size that no one had ruled before,
there were way too many uncontrollable variables. During the Qin warring state time, it was small,
and soldiers and people were able to easily arrive at the location they were sent to, but when it grew
into that big of a size, it was not controllable how long it would take someone to arrive at a certain
location, and since the law is too cruel, soldiers would be killed because of late arriving [9]. Therefore,
it is seen that the Legalism is not suitable for the Qin Dynasty as a giant empire.
5.2. Unable to Absorb New Citizens
At the same time, there were more new citizens getting absorbed into the Qin empire. All of those
people were from the old warring state, and they were still emotionally attached to the old warring
state more than this new Qin empire. Because of the idea of Legalism, Qin’s government instead of
treating those new comings more gently and absorbing them slowly, the Qin’s government put the
new coming people under cruel rules. Under this kind of circumstance, the people would miss the old
warring state they came from and would eventually rebel.
Legalism would work in Qin because the people in Qin all agrees to the supreme authority of the
king, but after Qin become an empire, there were not only Qin people in the Qin empire. Those people
absorbed from other warring states would not think the emperor has supreme authority yet. A few
generations were needed in order to let those people completely get assimilated by Qin, and when
Qin put them under this Legalism cruel rule that they had never been through, they would eventually
not able to tolerate it. Instead of blaming the fault on Qin’s government, Legalism is the main reason
why Qin went to its downfall. Legalism has its positive side. It has been stated that it really fit the
warring state time where the situation was intense, and military discipline and strict laws, and heavy
punishment were needed. The thing is, Legalism is way too cold and cruel. It is necessary for the
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warring state period, but it is not that important when everything came down to peace especially when
the people in the Qin empire did not get assimilated completely [10].
Instead of blaming the fault on Qin’s government, Legalism is the main reason why Qin went to
its downfall. Legalism has its positive side. It has been stated that it really fit the warring state time
where the situation was intense, and military discipline and strict laws, and heavy punishment were
needed. The thing is, Legalism is way too cold and cruel. It is necessary for the warring state period,
but it is not that important when everything came down to peace especially when the people in the
Qin empire did not get assimilated completely.
6. Conclusions
The study focuses on the relationship between Legalism and Qin’s policies during the rise and fall of
it, analyzing the influences of Legalism on Qin.
Before the establishment of the Qin Empire, according to the legalist thought of the rule of law,
Qin carried out Shang Yang’s reform which strengthened the Qin State. In the development period
after the establishment of the Qin Empire, the thought of Legalism “running a country without
following the ancient methods” and centralization promoted the implementation and improvement of
the system of prefectures and counties, which made the Qin Empire stronger. However, the limitations
of Legalism and the ruler’s violation of Legalism led to the gradual decline of the empire. Following
obscurantism, the Qin Empire burned books and buried scholars; the doctrine of severe punishment
led to harsh punishments. The emperor did not value legalist thought of the non-existence of powerful
officials but rather highly favored them, which is one of the reasons for the collapse of Qin. Besides,
the growing size of the empire, the inability to create cultural recognition of new citizens, and the
shortcomings of Legalism all led to the fact that the Qin Empire ended only 15 years after its
establishment.
Studying the relationship between Legalism and Qin’s history can help people better understand
the constitution, core, and significance of Qin’s policies. Besides, people can find positive and
negative aspects of Legalism and Qin policies. By drawing lessons from the collapse of the Qin
Empire, avoiding shortcomings of Legalism, and using advantages of Legalism and Qin policies, it
is effective for people nowadays to promote the stability and development of society.
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