Qin State vs. the Qin Dynasty

1. Qin State vs. the Qin Dynasty • The Qin State rose to power during the Warring States Period; • The Shang Yang Reform paved the way for its new status; • The Qin Dynasty (221 BC–206 BC) marks a new era: Imperial China; • This lasted all the way to the Qing Dynasty (1644–1912). • Though the Qin Dynasty didn’t last very long, its political structure and its ideology turned out to be consequential.

2. a Chinese statesman and political philosopher. He was one of the founders of Chinese Legalism and organized the rise to power of the Ch'in dynasty. The first reform: 359 BC; The second reform: 350 BC; Shang Yang Reform ca. 390-338 BC

3. Content of Shang Yang’s Reform • Establish the county system--31 total for a stronger centralized government; county magistrates are appointed directly by the central government; • Household Registration system and chain punishment to tighten the leash; • Grown up sons must live independently, which enlarged the population for tax purpose;

4. His most famous economic reform was the abolition of the idealized system of landholding known as the "well-field system," in which a section of land was divided into nine portions, tilled by eight families in common, with the produce from the ninth portion reserved for the overlord--廢井田 【fèijǐngtián】 開阡陌【kāiqiānmò】 crisscross footpaths between fields. Basically get rid of boundaries, carrying out private-ownership by commoners. This is a further development in Guan Zhong’s land reform; Private ownership marks a break from that of the Zhou Dynasty in which 分封制 【fēnfēngzhì】 the system of enfeoffment dominated, (of the Western Zhou Dynasty, c.11th. century-771 B.C., investing the nobility with hereditary titles, territories and slaves). Land Reform

5. 重农轻商来自商鞅【zhòngnóngqīngshāngláizì shāngyāng 】 • Central to Shang Yang's economic theory was an over-whelming emphasis on agriculture and a rejection of "nonessential" activities such as commerce and manufacturing. He proposed that anyone engaging in secondary professions be sold as slaves; different from Guan Zhong’s model. • In ancient China, merchants and businessmen suffered a bad reputation. Nowadays, many college students flood into business schools…

6. Establish a 20-rank military system on the one hand, and on the other hand, eliminate the old tenure system (which fundamentally challenged those princes). 取【qǔ】 cut “ear” off to claim credit The goal is to set up more centralized government. 据《漢書》記載：“商君為法于秦，戰斬一首賜爵一級，欲為官者五十石”。 According to Han shu or Book of Han, Shang code regulates that someone could be promoted by one rank for one chopped-off head in battle or promoted as a minor officer whose salary is 50 shi of grain; a unit of dry measure for grain (＝1 hectolitre) Double-Edged Military Reform

7. Shang Yang’s Legal CodeIts Appeal lies in Equality • Central to Shang Yang’s new law is equality by which a prince be punished the same way as a commoner. • 王子犯法与庶民同罪 a prince who commits a crime will be punished the same way as commoners. • Once the crown prince Ying Si 嬴駟 or Zhao Si 赵驷 committed a crime—he killed someone (during a tax season when some cheating was involved), he was sent to an exile; and his teachers Ying Qian and Gongsun Jia was punished by 劓刑【yìxíng】 • 劓【yì】 cutting off the nose (a punishment in ancient China)

8. Ying Si vs. Shang Yang • Ying Si 赢驷 was the son of Duke Xiao 秦孝公, and succeeded his father as ruler of Qin after the latter's death. When Ying was still in his adolescent years as the crown prince, he committed a crime and was severely punished for it. Shang Yang was implementing his reforms to the laws of Qin then, and he insisted that the crown prince should be punished for the crime, regardless of his royal status. Duke Xiao approved of the draconian punishments and Ying Si's tutors, Prince Ying Qian and Gongsun Jia, had their noses cut off, for neglecting their duties in educating the crown prince, while Ying Si was banished from the royal palace.

9. Shang Yang, a Chinese Draco • It was believed that Ying Si harbored a personal grudge against Shang Yang and when he came to the throne as King Huiwen of Qin, Ying Si had Shang Yang put to death on charges of treason. However, King Huiwen retained the reformed systems in Qin left behind by his father and Shang Yang.

10. Draꞌconian punishmentshttp://dictionary.reference.com/browse/Draconian?s=t /translation function • –adjective • 1.of, pertaining to, or characteristic of Draco or his code of laws. • 2.(often lowercase ) rigorous; unusually severe or cruel: Draconian forms of punishment. • Draco (pronounced /ˈdreɪ.koʊ/; from Greek Δράκων, pronounced [ˈdra.kɔːn]) was the first legislator of ancient Athens, Greece, 7th century BC. He replaced the prevailing system of oral law and blood feud by a written code to be enforced only by a court. Because of its harshness, this code also gave rise to the term "draconian".

11. Unified Ideology • 定秦律，“燔詩書而明法令” • Books burning (213 BCE) per Qin’s Legal Code; • As a result, Qin, either as a state or as an empire, did not leave much literature behind; the landscape is barren. It is a cultural wasteland.

12. Unification of Weight and Measurement • Unification in weight and measurement, which paved the way for later regulations standardized by Qinshihuang, the first emperor in China.

13. Shang Yang’s Royal/Loyal Supporter秦孝公Duke Xiao of Qin(381 BC - 338 BC) • Duke Xiao is best known for employing the Legalist statesman Shang Yang from the Wei state (衛), and authorizing him to conduct a series of upheaving political, military and economic reforms in Qin. Although the reforms were potentially controversial and drew violent opposition from many Qin politicians, Duke Xiao supported Shang Yang fully and the reforms did helped to transform Qin into a dominant superpower among the Seven Warring States.

14. In a recent TV series, The Great Qin Empire, Duke Xiao of Qin is depicted more like a brother to Shang Yang than a king. 秦孝公 Duke Xiao of Qin

15. PostersThe Great Qin EmpireMore brotherlike

16. Legalism: Rule by LawLegalists: Shang Yang; Li Si; and Han Feizi • Legalism was a system that proved to be quite effective in gaining power but was problematic for establishing a stable political power. • The doctrine of Legalism originated in the practical political operations of the State of Qin. • In the 3rd century BCE, the philosopher Han Fei developed an intellectual rationale for Legalism. Han Fei argues that people need careful guidance by strong rulers to live in an orderly society. • The Qin State, with Legalism as its ideology, succeeded in ending the Warring States era.

17. Theoretical Rationale for Shang Yang’s Reform • The prime minister of Qin in the mid-4th century BCE was Shang Yang who set out the basic ideas of Legalism. • The central principle of Legalism was the use of rewards and punishments to produce conformity to the rule of clear and well-developed laws. • The law was to be applied uniformly and strictly to both high and low so that everyone understood their duties and knew the penalties for failing to fulfill them. • Consult Xunzi: “Human Nature Is Evil” (worksheet 2)

18. Is Human Nature Good or Evil? • Implicit or explicit behind Shang Yang’s model of rewards and punishments lies a crucial question regarding whether human nature is good or evil. • Xunzi or Xun Kuang: Human Nature is Evil; the essay is uploaded online on our class website; (See Xun Kuang ppts) • Mencius: Human nature is good…(a baby falling into a well…)

19. 徙木为信 【 xǐmùwéixìn 】 Before the new law was promulgated, A three-yard pole to be moved from the south gate to the north gate for 50 gold pieces—to establish credibility Shiji 68: The Biography of Lord Shang See Burton Watson’s translation: The Record of the Grand Historian, Qin Dynasty published by Columbia University Press, page 93 作法自毙 【zuòfǎzìbì】 make a law only to fall foul of it oneself; be hoist with or by one's own petard; get caught in one's own trap. Right after Duke Xiao of Qin passed away, Shang Yang tried to escape. He could not even check into a hotel without an ID, a law made by himself; 车裂【chēliè】 tearing a person asunder by horse-drawn chariots going in five directions. Two Idioms associated with Shang Yang

20. Wang Xu王诩, better known by his pseudonym Guiguzi鬼谷子 • A philosopher from the Warring States Period. He was the founder of the School of Diplomacy of the Hundred Schools of Thought during that period. According to popular belief, Guiguzi was a master of politics, diplomacy, military strategy and fortune-telling. • Guiguzi was born in Gui Valley (归谷) in present-day Dengfeng County, Henan province. As the pronunciation of the Chinese character of "归" (meaning: return) is quite similar to "鬼" (meaning: ghost; demon), Guiguzi's birthplace was hence popularly referred to as "Guigu" (鬼谷; Ghost Valley or Demon Valley).

21. 纵横家【zònghéngjiā】 Political Strategists (in the Warring States Period, 475-221 B.C.) . 纵横【zònghéng】 in length and breadth; vertically and horizontally; 经纬【jīngwěi】 warp and woof; longitude and latitude; The earliest records of Guiguzi were found in historian Sima Qian's Records of the Grand Scribes/Historian, in which it was stated that Guiguzi was the teacher of famous diplomats, statesmen and military strategists, including Su Qin, Zhang Yi, Sun Bin and Pang Juan. Political Strategists

22. was a military strategist who lived during the Warring States Period. An alleged descendant of Sun Tzu, Sun Bin was tutored in military strategy by the hermit Guiguzi. Sun Bin (? - 316 BC)

23. The Art of Waris a Chinese military treatise that was written by Sun Tzu in the 6th century BC, during the Spring and Autumn period. Composed of 13 chapters, each of which is devoted to one aspect of warfare. See the text online The Art of War孙子兵法Required Reading of MBAs in UShttp://www.chinapage.com/sunzi-e.html

24. a Victorian scholar, translator and the son of British diplomat and sinologist, Herbert Giles. Lionel Giles served as assistant curator at the British Museum and Keeper of the Department of Oriental Manuscripts and Printed Books. Lionel Giles is most notable for his 1910 translation of The Art of War by Sun Tzu and The Analects of Confucius. Lionel Giles(1875 - 1958)http://www.chinapage.com/sunzi-e.html

25. 吴王阖庐 Duke He Lü of Wu （?－496 BC） • in 515 BC the prince ascended the throne of Wu and became King Helü. The king assigned Wu Zixu 伍子胥 to lead the design and building of the "great city," which evolved into the city of Suzhou today. • 上有天堂,下有苏杭【shàngyǒutiāntáng,xiàyǒusūháng】 Just as there is paradise in heaven, there are Suzhou and Hangzhou on earth. • In 506 BC Helü with the help of Wu Zixu and Sun-tzu, the author of The Art of War, launched major offensives against the state of Chu. They prevailed in five battles, one of which was the Battle of Boju柏舉之戰 506 BCE) , and conquered the capital of Ying (Chinese: 郢).

26. Sun Wu(c. 544 BC - c. 496 BC) • An anecdote goes as follows: The king of Wu tested Sun Tzu's skills by commanding him to train a harem of 180 concubines into soldiers. Sun Tzu divided them into two companies 连 , appointing the two concubines most favored by the king as the company commanders 连长. When Sun Tzu first ordered the concubines to face right, they giggled. In response, Sun Tzu said that the general, in this case himself, was responsible for ensuring that soldiers understand the commands. Then, he reiterated the order, and again the concubines giggled. Sun Tzu then ordered the execution of the king's two favored concubines, to the king's protests.

27. The Art of War’s most governing principles were as follows: first, know yourself, your enemy, and the situation in which you must fight; second: fight only if you absolutely must; third, speed, decisive action, and discipline are what win battles, not force. These three general ideas form the basic framework for the way of war know as “guerilla warfare 游击战【yóujīzhàn】 bushwhacking..” Sun Wu & Mao ZedongBrenden Mclane, 2009

28. Sun Bin (?- 316 BC) memorized The Art of War; Sworn Brothers; Upon his departure, Guiguzi gave Sun Bin a slip of paper; In State of Wei, Pang Juan tricked Sun Bin and had his kneecaps removed/feet cut off and had his face tattooed; Sun Bin vs. Pang JuanBoth Studied with Guiguzi

29. Escape to Qi • In jail, Sun Bin tried to write down The Art of War for Pang Juan; • A servant revealed the true intention of Pang Juan; • Sun Bin feigned madness as Hamlet did, which was the strategy from his teacher as the last resort; • Sun Bin escaped to the State of Qi

30. Sun Bin’s friend Tian Ji, a general in Qi, loved horse racing, but he always lost the game. Sun Bin’s advice: Third class horse vs. Duke Qi’s best horse; First class horse vs. Duke Qi’s second class horse; Second class horse vs. Duke Qi’s third class horse; Tian Ji won 1000 pieces of gold; 田忌经常与齐国诸公子赛马，设重金赌注。孙膑发现他们的马脚力都差不多，可分为上、中、下三等。于是孙膑对田忌说：“您只管下大赌注，我能让您取胜。”田 忌相信并答应了他，与齐王和诸公子用千金来赌注。比赛即将开始，孙膑说：“现在用您的下等马对付他们的上等马，拿您的上等马对付他们的中等马，拿您的中等 马对付他们的下等马。”三场比赛完后，田忌一场不胜而两场胜，最终赢得齐王的千金赌注。于是田忌把孙膑推荐给齐威王。威王向他请教兵法后，就请他当作老 师。 “田忌赛马”在后世亦成为“错位竞争”的代名词 及典型案例，在商战及体育竞赛中时有运用。 Horse Racing 田忌赛马 Deliberate Mismatch in Competition

31. Battle of Guiling354 BC • 围魏救赵 • 【wéiWèijiùZhào】 besiege Wei to rescue Zhao - relieve the besieged by besieging the base of the besiegers. • Marshaled by Pang Juan, Wei attacked Zhao. Zhao’s capital Han Dan was in great danger. • Instead of going directly to Han Dan, which will exhaust Qi’s troops, Sun Bin suggested Qi attack Wei’s capital Daliang (now Kaifeng, Henan Province); • On his way back to the capital, Pang Juan was ambushed by Qi’s troops; • Pang Juan was caught alive!

32. In 342, Pang Juan attacked the State of Han (403 BC–230 BC). Sun Bin suggested Qi’s troops wait till both sides got exhausted. After 5 rounds of bloody fighting, Qi sent its troops to Han’s capital (now Yuzhou). Qi’s troops pretended defeated and escaped; en route, they reduced the number of camp fires for cooking for bivouac (French) , a way to estimate how many troops involved. At Maling, a valley like a long sack, Pang Juan was ambushed. 在桂陵之战后，庞涓不服输，而魏王亦想扩张领土，因此在公元前 342年，魏王派庞涓进攻邻近弱国、韩国 。韩国向齐国求援，孙膑向齐威王提议坐山观虎斗，待魏韩火拼一番后才出兵救援，这样则“尊名”与“重利”皆得。结果在韩国奋战五场皆败后，齐王派 田忌及孙膑统兵去救韩国。庞涓这次直接回兵与孙膑决战，孙膑则选择避其锋芒，以减灶之计成功引诱庞涓进入预定埋伏地点，万箭齐发，大败庞涓，逼使庞涓自 杀，报回当年被害之仇。从此齐国称霸东方，魏国则每况越下，无力争霸。 Battle of Maling (342 BC)Dazhangjia Town (大張家鎮), Xin County (莘縣), Henan Province

33. Battle of Maling

34. Intrigues of the Warring States战国策【Zhànguócè】 One Origin for the Warring States (403-221 B.C.) • The Zhanguo ce is a collection of 497 items pertaining to the Warring States Period. Most are short fables, speeches put in the mouths of historical figures, and anecdotes. • The present version is based on an edition prepared by Liu Xiang 劉向 (ca.79-ca. BC), who selected from six different collections of Warring States stories and speeches that allegedly were derived from the actual words of youshui 游说 (traveling persuaders).

35. born Liu Gengsheng (劉更生), courtesy name Zizheng (子政), was a famous Confucian scholar of the Han Dynasty. He was born in Xuzhou 徐州 (known as Pengcheng彭城 in ancient times) and related to Liu Bang 刘邦, the founder of the Han dynasty. His son, Liu Xin, developed the "Triple Concordance" 《三統曆譜》 astronomical system. Liu Xiang 劉向 (ca.79-ca. BC)

36. Su Qin, an advocate of zong 纵, or Confederation against the Qin State • Su Qin (380-284 BCE), was an influential political strategist during the Warring States Period. He was born in Chengxuan Village, Luoyang in present day Henan Province. According to some legend, Su Qin was a disciple of Gui Guzi (鬼谷子), the founder of the School of Diplomacy or strategists 縱横家. One theory of this school, Vertical Alliance or confederation , promoted an alliance of the other states against the state of Qin. The opposing theory, Horizontal Alliance 合横 supported an alliance with the State of Qin.

37. “悬梁”的故事见于《太平御览》卷三六三引《汉书》。 In Western Han, someone called Sun Jing… 　　“刺股”的故事见于《战国策·卷三秦一》。This refers to Su Qin… They both got humiliated previously. 悬梁刺股【xuánliángcìgǔ】 tie one's hair to a beam to keep from dozing off, or prod/prick in the thigh with an awl—study assiduously

38. 苏秦任六国相Chancellor for six states! • How persuasive he is? Check this out: • Su Qin’s speech to King Huiwen of Qin (Zhanguo ce, Sbby, 3.2a-3a) • Read “Double Persuasion” online.

39. enumeration of historical analogiesSu Qin’s Speech to King Huiwen of Qin 秦惠王356～ 310 BCE • In the past Shennong attacked the Bushui补遂 , • The Yellow Lord attacked Zhuolu 涿鹿 and captured Chiyou • 蚩尤 , • Yao attacked Huandou 驩兜 , • Shun attached the Three Miao三苗 , • Yu (Shun) 虞舜 attacked Gonggong 共工 , • Tang 商汤 attacked the Xia , • Wen 周文王 attacked Chong 崇侯虎 , • King Wu 周武王 attacked Zhou 商纣 , • Duke Huan of Qi 齐恒公 employed warfare to become hegemon of the empire. • Looking at it from this point of view, • One might ask, who has not gone to war? • Note The king did not hire Su Qin after all.

40. Political Persuasion • Most early Chinese rhetoric is concerned with political persuasion and usually involves an official who attempts to persuade his ruler of the merits of a particular proposal or action. The best collection is the Zhanguo ce. (James Crump’s book-- Legend of the Warring States: Persuasion, Romances, and Stories from the Chan-kuo ts’e. Ann Arbor: Center for Chinese Studies, The University of Michigan, 1998) • See the table of contents, consult the English version by Bramwell Seaton Bonsall at • http://lib.hku.hk/bonsall/zhanguoce/index1.html

41. Double Persuasion • The Three States attacked Qin and entered Hangu Pass 函谷关. The king of Qin—(the King Zhao of Qin, r. 325-251 BCE) • said to Lou Huan樓緩, “The troops of the Three States have deeply penetrated our territory. I wish to cede Hedong and negotiate with them.” Lou Huan replied, “To cede Hedong would be a great waste. To escape disaster to our state would be a great benefit. This is the responsibility of the elders. Why does not Your Majesty summon Gongzi Chi公子池 and ask him about it?”

42. Hangu Pass • Hangu Pass 函谷關 was a strategic pass in ancient China just south of the great eastern bend of the Yellow River in today's Lingbao County, Henan Province. The State of Qin built the pass in 361 BC as its eastern gate. • Because of its strategic location between the ancient lands of the State of Qin and the central plains of China, many famous ancient battles were fought at Hangu Pass. During the Warring States Period, Hangu Pass was heavily defended by the State of Qin, as the pass was the only reasonable route to invade the State of Qin from the central plains of China. Hangu Pass was also a vital route in invading the ancient capital of Luoyang from the west. • According to legend, Lao Zi supposedly wrote the Dao De Jing at Hangu Pass.

43. Strategic Location • 一夫当关【yīfūdāngguān】 one strong man stand in the way full of valor and vigor.，万夫莫开【wànfūmòkāi】 even 10,000 men can not break through; unbreakable.

44. The Qin army opened the pass to meet the enemy, yet the troops of the nine states, hesitant to move forward, dared not enter… Jia Yi’s “The Faults of Qin” 秦人开关而迎敌，九国之师逡巡而不敢进

45. Double Persuasion • The king summoned Gongzi Chi and asked him about it. He replied, “If you negotiate with them, you will regret it. If you don’t negotiate with them, you will regret it.” • “What do you mean?” • Gongzi Chi replied, “When Your Majesty has ceded Hedong and negotiated, even though the Three States have departed, you will certainly say, ‘Too bad! The Three States were about to depart, and I simply accommodated them with three cities.’ This is what you would regret about negotiating.”

46. Double Persuasion • If you do negotiate, and the three States enter Hangu Pass, Xiangyang will certainly be in danger. Your Majesty will say, “Too bad! I begrudged three cities and did not negotiate.’ This is what you would regret about not negotiating. • The king said, “The regret is equal in both cases. I would rather lose three cities and regret it than endanger Xiangyang and regret that. I have decided to negotiate.” • In the end, the king sent Gongzi Chi to use the three cities to negotiate with the Three States. They withdrew their troops. Zhanguo ce 6.1 b-2a.

47. It is Up to You to Decide… • The argument in which the persuader juxtaposes both pro and con alternatives is similar to a mode of persuasion used in later Chinese literature in which the writer gives the appearance of ambivalence on which course of action he actually favors, and leaves it to the reader or listener to choose between the alternatives. This ambiguity of purpose often seems to be deliberate, and perhaps is an attempt to give the impression that all possibilities have been explored and that there is a choice between alternatives. The person thus is led to the desired conclusion not by direct admonition, but through indirect suggestion, and this technique becomes a principal form of suasion. See a sample here.

48. Annotations on Double Persuasion • Three states that attacked the State of Qin refer to Qi, Han and Wei. This happened around 297 BCE; • The king of Qin refers to the King Zhao of Qin (r. 325-251 BCE) • Gongzi Chi, son of the King Hui of Qin, was the highest military leader, equivalent to the president of the military committee;

49. Stylistic features of the Zhanguo ceIntrigues of the Warring States • The enumeration of historical analogies is the most common device of Chinese suasive discourse. Toward the end of the speech, the persuader uses the repetition scheme known as expolitio, which involves the repetition of synonyms in adjacent lines. See the ending of Su Qin’s speech in “Double Persuasion.” • expolitio •  ex-po-li'-ti-o Latin, "adorning, embellishing" refining • One of the most common rhetorical techniques of the Zhanguo ce persuasion is what James I. Crump has called the double persuasion. • http://www.sino-platonic.org/complete/spp041_zhanguoce_intrigues.pdf

50. Double Persuasion • Double persuasion is the Chinese equivalent to the general topic of classical Western rhetoric and assumes several different forms. Its basic feature is the presentation of alternative or contraries that appear equally persuasive, either in a negative or positive way.