On the Origin, Use, and Ideas of ‘Three Clan Extermination’ Penalty

The introduction of the essay cites popular media and well-known uses against historical figures for the author’s interest in the ‘Three Clan Extermination’ penalty, which involved the execution of offenders and their relatives. Brian proceeds to raise two guiding questions: “Under what circumstances was the ‘Three Clan Extermination’ penalty established?” and “What ruling principles of the Qin Dynasty do the ‘Three Clan Extermination’ penalty reflect?”

Brian finds that the three clans have been defined as that of one’s father, mother, and spouse. The implication of one’s kin was pushed in Confucianism. According to the Book of Documents, the penalty originated in the Xia or Shang Dynasty, employed by Xia Yu and Shang Tang against disobedient soldiers and traitorous officials. In the Shang Dynasty the penalty changed to include all descendents of an offender, from the great grandparent to great grandchild, expanding to ‘Seven Clan Extermination.’

In response to his first question, Brian notes that the ‘Three Clan Extermination’ was commonly used during the Spring and Autumn and Warring States periods. The penalty is referenced by Mengcius, and records exist of forty-six uses by Qin state alone. In warring times cruelty and violence were commonly employed to suppress citizens escaping from or rebelling against forced labor. Qi state punished escapees by cutting their legs off, a practice so common that creating prosthetics for such escapees became profitable. Qin state, after Shang Yang’s political reform, carried out the idea of controlling violence with violence. The state required heavy penalties including the ‘Three Clan Extermination’ policy to maintain order. Such punishment warned and scared common people against betraying state power.

In response to the second question, Brian states that, following legal reform, the ‘Three Clan Extermination’ policy reflected the ideas of meeting light crime with heavy punishment and ruling by law. He describes an idea from the Book of Lord Shang: If criminals are punished with severe penalties, others will be afraid to commit the same offense. Thus, severe penalties will no longer be necessary. Brian agrees that fear of heavy punishment would keep people from commiting crimes, meaning the penalty would ultimately not cause much harm. Other sanctions followed the same theory, including the penalty of humiliating litterers by tattooing their faces. Qin state laws were far stricter than today’s laws, which kept many from violating them. With the introduction of legalism, there was a significant increase in the authority of law. Qin state was established as a “war machine” in which citizens unconditionally obeyed the authority that controlled them with fear and violence. Though effective, such policies had huge ramifications. Shang Yang’s good friend Zhao Liang told him that harsh penalties would build hatred, and that his legal reform went against reason and the greater good. Shang Yang went as far as limiting the books common people had access to, controlling their reading, speech, and thought.

After summarizing the information given above, Brian relates how oppressive measures such as the ‘Three Clan Extermination’ penalty are thought of as the common people’s final straw, leading to later revolts against Qin state authority. By the Han Dynasty the penalty had fallen out of use, but was not formally abolished until the Qing Dynasty. While some think of harsh and violent laws such as the ‘Three Clan Extermination’ penalty as the reason for uprisings, others believe that they laid the foundation for a peaceful state. Brian believes that the benefit or harm of the penalty is up to personal interpretation.