Professor Sheehan’s comments:

This is a good example of a well thought out thesis.  The author is arguing for the importance of Legalism in the Qin rise, but at the same time, recognizes that the Qin’s “geographical and political position” played a role too.  In addition, the first half of the paper makes great connections between the primary sources and the historical context by good utilization of quotes from Ebrey and Schirokauer.  The logical flow of the paper breaks down toward the end, and the comments about how such rule might seem today -- especially in relation to the harshness of Legalist thinking -- seems a little superficial.  More importantly, this line of argument is not tied into the main thesis.  Otherwise, this is an excellent paper.

 Original Paper:

            Several schools of philosophical thought emerged in China during the Eastern Zhou period, but none saw more acceptance or successful application than Legalism.  One state that utilized the teachings of the Legalists was the Qin state.  During the third century B.C.E., the Qin were able to unify China through shrewd economic, political, and military strategies proposed by Legalist thinkers of the time.  The geographical and political position of the Qin state helped it to conquer China, but there is no doubt that Legalism gave Qin rulers a governing technique that, when utilized, enabled the Qin state to dominate.

Han Fei Zi, a student of the “tough-minded” Confucian Xun Zi (Schirokauer, p.46), founded Legalism in the third century B.C.E.  Legalist thinkers, including Han Fei Zi and Lord Shang of Qin believed that government could control the people by using a system of laws based on punishment and reward.  Legalists rejected Confucian ideals such as the desire to return to the past; stating that the idea of a sage-ruler had worked in the past but was not possible in the world of their time. (Schirokauer, p.47)  As a further break from tradition, Legalists believed that old laws must be abolished in order to make room for more modern and practical laws.  The Book of Lord Shang states: “Rituals and laws should be established according to the times, rules and regulations according to what is right, and military equipment according to what is needed.” (“Legalist Teachings,” Ebrey, p. 33)  This idea was in stark contrast to many schools of thought that believed that maintaining tradition was paramount in achieving peace and stability.

Almost Machiavellian in nature, the Han Fei Zi advises rulers that they cannot trust anyone, including their own ministers, wives, or children.  “Among the wives, concubines, and sons of a ruler of state, large or small, there will probably be someone who would like to see the ruler die early.” (Ebrey, p. 34)  The wise and successful ruler is the one who understands this teaching and guards against the treachery of his subordinates.  According to the Legalists, this feat must be achieved by making the laws clear and making certain that subordinates follow them.  “The enlightened ruler, in ruling his country, increases the guards and makes the penalties heavier; he depends on the laws and prohibitions to control the people.” (“Legalist Teachings,” Ebrey, p. 36) 

Legalism was introduced to the Qin state by a foreigner now known as Lord Shang (d. 338 B.C.E.).  Shang instituted many changes in the Qin government, including the introduction of direct taxation, the conferring of rank on merit, and the introduction of a centralized bureaucracy.  (Schirokauer, p. 48)  Lord Shang believed strongly in the rule of law and offered great rewards for turning criminals in.  Conversely, Shang also incurred great penalties for criminals.  In The Book of Lord Shang, Shang proposed that the people’s “peacetime lives should be made harsh so that war would seem like a release.” (Schirokaur, p. 49)

From a modern perspective, it is easy to see why the Qin came to dominate using the Legalist teachings.  Legalist techniques can now be seen as pragmatic, albeit harsh.  It makes sense to us today to incur a harsh and rigid system of laws and punishments to keep subjects in line, but at the time of the Legalists this was a relatively new idea. 

Furthermore, it would be common sense for any government today to institute laws based on practical results rather than tradition and ritual, but this was not the case in ancient China.  Rituals, music, divination, and traditional views of world order were deeply rooted in Zhou China, and the occasional departure from them that Legalist teachings proposed must have seemed somewhat radical at the time. 

            It was these departures from tradition in favor of more practical courses that led the Qin to domination.  This no-nonsense approach to governing gave the Qin an edge their opponents did not have in domestic, foreign, and military affairs.

            It was the shrewd governing practices proposed by Legalists that gave the Qin the edge that they needed to dominate China in the third century B.C.E.  In the dog-eat-dog world of the Eastern Zhou period, it was the state that was willing to pull out all the stops that eventually came out on top.