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卷四十六 志第二十六: 經籍上

Volume 46 Treatises 26: Literature 1

Chapter 50 of 舊唐書 · Old Book of Tang
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Treatise 30: Penal Law
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The sages of antiquity, in their role as fathers and mothers of the people, invariably instituted ritual to inspire reverence and established penal law to manifest authority, forestalling wrongdoing before it could take root, lest contentious hearts should soon arise. Hence the varying severity of the three canonical codes and the gradations of the five punishments, with measures adapted to the times and institutions shaped according to circumstance. Major offenses were punished in the open countryside; lesser ones in the marketplace and at court, all to repel treachery and villainy and to chastise calamity and disorder. No state ever flourished in good order without relying upon this principle. Once simplicity and honesty had faded and decadence and deceit had taken hold, punishments multiplied to nine categories and statutes piled up to three thousand articles. Even when penalties were as harsh as congealed fat and crushed bone, people still wrangled over every last awl-tip and knife-edge of the law. From the Han through the Sui, each dynasty added to or subtracted from the code, yet few ever achieved a balanced standard. Emperor Wen of Sui drew on the old policies of the Northern Zhou and Northern Qi to codify laws and ordinances, abolishing harsh and cruel measures in favor of leniency and fairness. In his later years, however, he gradually grew more oppressive. Emperor Yang was suspicious and harsh; his laws and ordinances were especially severe. The people could not endure their lot, and the dynasty perished.
3
便
When the High Ancestor first raised his army of righteousness at Taiyuan, he immediately issued orders of leniency and magnanimity. The common people, weary of the Sui's harsh rule, flocked to join him. Within a matter of months he had accomplished the imperial enterprise. After pacifying the capital, he reduced the law to twelve articles. He ordained death only for murder, robbery, desertion, and rebellion; all other capital offenses were abolished. Upon receiving the abdication, he ordered Counselor-in-Chief Liu Wenjing and the learned men of the court to revise the Kaihuang code, adding and subtracting as needed, and to abolish entirely the cumbersome and severe laws of the Daye reign. He also drew up fifty-three supplementary regulations, aiming for leniency and simplicity and adapting to the needs of the moment. Shortly thereafter he also ordered Left Vice Director Pei Ji, Right Vice Director Xiao Yu, Director of the Court of Judicial Review Cui Shannai, Attendant Wang Jingye, Secretariat drafters Liu Linpu, Yan Shigu, and Wang Xiaoyuan, Jingzhou Vice Prefect Jing Yan, Court of Imperial Sacrifices Vice Director Ding Xiaowu, former Sui judicial review official Fang Zhou, General-in-Chief's staff officer Li Tongke, Court of Imperial Sacrifices erudite Xu Shangji, and others to compile laws and ordinances, taking the Kaihuang code as their general standard. At that time affairs had only just been settled and the borderlands were still unsettled; pressing needs left no time for thorough revision. They corrected only the fifty-three supplementary regulations and incorporated them into the new code; nothing else was changed. In the fifth month of the seventh year of Wude it was submitted for approval, and an edict was issued, saying:
4
沿 使
Did not the ancients say, "The lord of ten thousand states has canonical models and standards"? The ordering of the Nine Categories arose in the Xia dynasty, and the law of the Two Towers was fully perfected in the flourishing Zhou. To restrain violence and punish villainy, to enlarge customs and unfold civilization, to settle the people and establish government—nothing takes precedence over this. From the turmoil of the Warring States onward, when men relied on deceit and trusted in brute force, harsh regulations and cumbersome punishments arose in endless succession. Qin united the realm, destroyed ritual and teaching, and wantonly practiced cruelty and severity, harming and oppressing the common people until the realm was in turmoil and the dynasty fell. The Han, in settling the chaos, sought to change the former course. Though they strove to simplify the law and abolish severe punishments, they still practiced the punishment of dismemberment and still set prohibitions as fine as a fraction of an ounce. The way of governing the people was not yet fully realized, and the ideal of laying punishments aside was never achieved. Through Wei and Jin, corrupt practices continued in succession; leniency and severity lost their proper balance, and the guiding principles fell into disorder. Inferiors overstepped their superiors and the throne was usurped; government disintegrated and the people withered. All of this stemmed from laws and ordinances that had fallen into obscurity and error, and from articles and regulations that had become confused and mistaken. From this time onward the realm was carved up and war-horses galloped against one another; there was no leisure to establish canonical institutions. In the Sui dynasty, though reforms were undertaken, additions and subtractions were never settled, oversights and errors remained numerous, and categories, forms, and regulations could rarely be examined and made complete. Moreover, subtle wording and tortuous extensions confused readers as to their meaning; different precedents were lumped into the same category, and those who applied the law made severity and leniency vary at will. Crafty clerks twisted the law and arbitrarily granted or withheld punishment; foolish commoners rashly transgressed and constantly fell into the net. Reforms were repeatedly announced, yet in the end nothing was accomplished.
5
使
We have received the mandate at the appointed season and bring peace to the realm; ever mindful of supreme governance, We rise from sleep and lie down in toil. We repair the fallen canons of a thousand years and rescue the remaining defects of a hundred kings, seeking to rectify the root and clarify the source, to set a pattern for purifying what flows downstream, to hand down constitutional norms forever, and to bequeath a model to posterity. We therefore command the assembled talents to revise and fix the statutes and laws. Yet ancient and modern affairs differ, and ornament and substance are not the same; after the age of ruin and disorder, matters are unlike former generations. To respond to the moment and adapt to change, to remedy defects—herein lies the need. Therefore We weigh what is cumbersome and what is simplified, taking what accords with the needs of the time, correcting discrepancies and oversights, and striving to follow the essential substance. Several years have now passed and the compilation is at last complete; it should be sent down to the four quarters and immediately put into use. We hope thereby to make the offices of clerks simple and orderly, not burdened with the weight of a hanging stone; and to make presented judgments fair and even, with no wrangling over the tip of an awl or knife-edge of the law. To overcome cruelty and abolish killing—this is not far off.
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Thereupon it was promulgated throughout the realm.
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便 便 便
When Emperor Taizong took the throne, he again ordered Zhangsun Wuji, Fang Xuanling, and the academicians and judicial officials to revise the code further. Dai Zhou and Wei Zheng also argued that the old laws and ordinances were too severe; at that time they deliberated on fifty articles involving strangulation and similar capital offenses. They exempted these offenders from the death penalty and instead cut off the right foot; of those who should have died, many were spared. Before long Taizong again pitied their suffering under punishment and said to his attendant ministers: "Former ages have not practiced corporal punishment for a long time; now suddenly to cut off a person's right foot—Our mind is deeply unwilling. Remonstrance Counselor Wang Gui replied: "In antiquity corporal punishment was practiced for what were considered light offenses. Now Your Majesty, taking pity on the multitude of death sentences, established the law of cutting off the foot; those who by the standard should die now obtain life. Those punished are fortunate to preserve their lives—how would they fear losing one foot? Moreover, for those who witness it, the punishment is quite sufficient as a warning." The Emperor said: "We originally thought it lenient, and therefore put it into practice. Yet whenever We hear of it We are filled with compassion and cannot put it from Our mind." He also said to Xiao Yu, Chen Shuda, and others: "We, thinking that the dead cannot be brought back to life and wishing to show compassion, therefore selected fifty death-penalty articles and substituted cutting off the right foot. We again reflect on their suffering and are utterly unwilling to inflict such pain." Shuda and the others all said: "The corporal punishments of antiquity were applied in addition to the death penalty. Your Majesty, within the death penalty, substituted cutting off the foot—this is to exchange life for death and is fully sufficient as a lenient law." The Emperor said: "Our mind thought it thus, and therefore We wished to put it into practice. There was also a memorial saying this was not convenient; you may reconsider it." Thereafter Pei Hongxian, Legal Bureau staff officer under the Prince of Shu, again refuted more than forty matters in the laws and ordinances that were inconvenient for the times, and Taizong ordered him to participate in revising them. Hongxian thereupon joined Xuanling and the others in proposing that in antiquity there were five punishments, of which amputation of the foot was one. When corporal punishment was abolished, they established death, exile, beating with the staff, and beating with the rod—altogether five grades—to replace the five punishments. Now to establish again the cutting off of the foot is to make six punishments in error. Reducing death lies in leniency and magnanimity; adding a punishment again adds severity and cumbersomeness. They then joined the Eight Seats in fixing the deliberation and submitting it for report; thereupon the law of cutting off the foot was abolished and changed to penal servitude exile for three thousand li with two years of labor.
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Moreover, under the old commentaries on the articles, when brothers had divided their household, hereditary privilege did not extend to one another; collective punishment meant all were put to death, while grandparents and grandchildren were sentenced to confiscation. It happened that Fang Qiang of Tongzhou had a younger brother serving as army commander at Minzhou who was executed for plotting rebellion; Qiang was subject to collective punishment. Taizong once reviewed prisoners and pitied those about to die; his countenance was moved for them. Turning to his attendant ministers he said: "That the penal code is still in use is surely the fault of customs and transformation not yet being harmonized. What crime have foolish men committed, that heavy punishments are applied so freely? This further displays Our lack of virtue. The way of applying punishments should examine the lightness or heaviness of the offense, and only then impose penalties. How can one fail to examine the root of the matter and apply execution indiscriminately? This is not the way to show compassion in punishment and value human life. Rebellion has two kinds: one is raising troops and moving the masses; the other is evil words violating the law. In severity and leniency there is a difference, yet collective punishment puts all to death—how can this be what Our mind finds acceptable? He again ordered the hundred officials to deliberate in detail. Thereupon Xuanling and the others again fixed the deliberation, saying: "According to the Rites, the grandson serves as the corpse for the grandfather. According to the Ordinances, the grandfather has the meaning of hereditary privilege for the grandson. Thus the bond between grandfather and grandson is closer in kinship while the tie between brothers is lighter; what should be heavy is reversed to exile, while what should be light is reversed to death. Judging by ritual and weighing by feeling, this is deeply unsatisfactory. Now in fixing the law, grandparents and grandchildren together with brothers, through collective punishment, are all sentenced to confiscation. For those who through evil words violate the law but cannot cause harm, the circumstances are somewhat lighter; exempting brothers from death and sentencing them to exile and confiscation is acceptable. This was approved. From this time onward, compared with the death penalties of antiquity, nearly half were abolished.
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Xuanling and the others thereupon joined the judicial offices in fixing five hundred articles of law, divided into twelve scrolls: General Principles; Imperial Guard and Prohibitions; Official Regulations; Households and Marriage; Stables and Storehouses; Unauthorized Mobilization; Banditry and Theft; Assault and Litigation; Fraud and Forgery; Miscellaneous Statutes; Apprehension of Fugitives; and Trial and Judgment. There were beating with the rod, beating with the staff, penal servitude, exile, and death—the five punishments. Rod punishment had five grades, from ten strokes to fifty; Staff punishment had five grades, from sixty strokes to one hundred; Penal servitude had five grades, from one year, increasing by half a year each step, up to three years; Exile had three grades, from two thousand li, increasing by five hundred li each step, up to three thousand li; The death penalty had two forms: strangulation and decapitation. In all there were twenty grades. There were also eight methods of deliberation, petition, reduction, commutation, and exemption: deliberation for kin; for old associates; for worthies; for ability; for merit; for nobility; for guests; and for diligence. Under the Eight Deliberations, all who committed capital offenses were to set forth the offense charged and the circumstances warranting deliberation in a memorial petition; after deliberation was concluded, the case was submitted for imperial decision. For offenses of exile and below, one grade was reduced. If one held official rank of the fifth grade or above, or was a relative within great-achievement mourning of the crown prince's consort, or was a relative within the Zhou mourning circle who qualified for deliberation, and committed a capital offense, a petition was submitted upward. For offenses of exile and below, one grade was also reduced. If one was an official of the seventh grade or above, or the grandparents, parents, brothers, sisters, wife, and descendants of one whose official rank qualified for petition, and they committed offenses of exile and below, each had one grade reduced. If one qualified for deliberation, petition, or reduction, or was an official of the ninth grade or above, or the grandparents, parents, wife, and descendants of one whose official rank qualified for reduction, and they committed offenses of exile and below, commutation was permitted. The commutation method: for ten strokes of the rod, one jin of copper; increasing by one jin each step, up to one hundred strokes of the staff, which commuted to ten jin of copper. From this upward, increasing by ten jin each step, up to three years of penal servitude, which commuted to sixty jin of copper. For exile of two thousand li, eighty jin of copper; for exile of two thousand five hundred li, ninety jin of copper; for exile of three thousand li, one hundred jin of copper. For strangulation and decapitation, one hundred twenty jin of copper. They also permitted using official rank to offset punishment. For using office to offset penal servitude, those of the fifth grade and above who committed private offenses had one office offset two years of servitude; those of the ninth grade and above had one office offset one year of servitude. If they committed public offenses, each added one year. For using office to offset exile, the three grades of exile together equaled four years of servitude, and each still had their current appointment removed. Removal from the register was equivalent to three years of penal servitude. Dismissal from office was equivalent to two years of penal servitude. Removal from the office held was equivalent to one year of penal servitude. There were also the Ten Abominations: plotting rebellion; plotting great treason; plotting defection; plotting wicked rebellion; unnatural conduct; great irreverence; unfilial conduct; discord within the clan; unrighteous conduct; and internal disorder. Those who committed the Ten Abominations could not rely on the precedents of deliberation and petition. Those seventy years and above, fifteen and below, and the disabled, who committed offenses of exile and below, were also permitted commutation. Those eighty and above, ten years and below, and the gravely disabled, who committed rebellion, treason, or murder warranting death, submitted petitions upward; for theft and wounding others, commutation was also accepted; all else was not prosecuted. Those ninety and above and seven and below, though they had capital offenses, were not subjected to punishment. Compared with the old Sui code, ninety-two articles reducing capital punishment were cut, and seventy-one articles reducing exile to penal servitude. The method of offsetting servitude stripped only one office; those removed from the register were still treated the same as common soldiers. In all, the cutting of cumbersomeness and removal of harm, changing the heavy to the light, could not be fully recorded.
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便 祿宿
They also fixed one thousand five hundred ninety articles of ordinances in thirty scrolls. In the first month of the eleventh year of Zhenguan it was promulgated. They also deleted more than three thousand imperial edicts and regulations since Wude and Zhenguan, retaining seven hundred articles in eighteen scrolls of regulations to be kept and implemented by the original bureaus. Weighing ancient and modern, removing cumbersomeness and eliminating defects, it was very lenient and simple and convenient for the people. Taking the various bureaus of the Department of State Affairs as its categories, it was at first seven scrolls. The standing articles of each bureau that were kept only by the original bureau were separately compiled as one scroll of Retained Bureau Regulations. This compiled the regulations and edicts of the time, making them forever constitutional norms and taking them as precedent. The Zhenguan Regulations in eighteen scrolls were revised and fixed by Fang Xuanling and others. The Yonghui Retained Bureau Regulations in eighteen scrolls and the Broadly Promulgated Regulations in seven scrolls were revised by Zhangsun Wuji and others; in the Yonghui reign, Yuan Zhixin and others were again ordered to revise them, only changing the names of official titles and bureau offices, not altering the section titles. The Later Edition of the Yonghui Retained Bureau Regulations was revised by Liu Rengui and others. The Chuigong Retained Bureau Regulations in six scrolls and the Broadly Promulgated Regulations in three scrolls were revised by Pei Judao. The Taiji Regulations in ten scrolls were revised by Cen Xi and others. The Pre-Kaiyuan Regulations in ten scrolls were revised by Yao Chong and others. The Post-Kaiyuan Regulations in ten scrolls were revised by Song Jing and others. All took the twenty-four bureaus of the Department of State Affairs as section titles. In all there were thirty-three sections of forms, also naming their section titles from the listed bureaus of the Department of State Affairs and the Secretariat, Court of Imperial Sacrifices, Court of the National Granaries, Court of the Imperial Stud, Court of the Imperial Carriages, Court of the Imperial Treasury, Court of the Imperial Manufactories, and the Directorates of Gatekeepers, Palace Guards, and Accounting, making twenty scrolls. The Yonghui Forms in fourteen scrolls, and the Chuigong, Shenlong, and Kaiyuan Forms each in twenty scrolls—their revision of regulations and ordinances followed the same pattern.
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Taizong also ordained that for prisoners detained in the capital, the Ministry of Justice should report once a month; from the Beginning of Spring to the Autumn Equinox, death sentences could not be reported and decided. On great sacrifices and days of ritual abstinence, new and full moons, first and third quarter moons, the twenty-four seasonal nodes, days when rain had not cleared, nights when dawn had not come, days of prohibition on slaughter, and holidays, death sentences likewise could not be reported and decided. On days when there was an amnesty, the Director of the Armory set up a golden rooster and drum to the right outside the palace-city gate, assembled the prisoners before the gate-tower, and when a thousand drumbeats had finished, proclaimed the edict and released them. The amnesty document was promulgated to the prefectures, written on silk and sent down. Moreover, the implements for restraining prisoners included cangues, fetters, manacles, and locks, all having regulations for length, shortness, breadth, and narrowness; according to the lightness or heaviness of the offense, they were applied by graded steps. The staffs all had their nodes shaved off and were three chi five cun in length. The staff for interrogating prisoners had a large end three fen two li in diameter and a small end two fen two li. The staff for regular execution had a large end two fen seven li and a small end one fen seven li. The rod had a large end two fen and a small end one fen five li. For those receiving rod punishment, the legs received it in divided parts. For those receiving staff punishment, the back, legs, and buttocks received it in divided parts. For those requiring repeated interrogation by torture, it was likewise the same. Torture of prisoners could not exceed three rounds, and the total number could not exceed two hundred strokes. For staff offenses and below, it could not exceed the number prescribed for the offense committed. In all cases of judging crimes where there was no proper article, for those who should be released from guilt, cite the heavy to clarify the light; for those who should be entered into guilt, cite the light to clarify the heavy. Where it says to add, proceed to the heavier grade; where it says to reduce, proceed to the lighter grade. Only the two forms of death and the three grades of exile together counted as one reduction and could not be added up to death. Those who in judging cases erred in severity were punished according to the crime involved. For erroneous severity, each had three grades reduced; for erroneous leniency, each had five grades reduced.
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便
At first, Taizong, because in antiquity judging cases required inquiry before the officials of the Three Pagoda Trees and Nine Thorns, ordained that for capital offenses, officials of the fifth grade and above in the Secretariat and Chancellery and the Ministers of the Department of State Affairs should deliberate. Thereafter Li Haode of Henei, suffering from wind illness and mental confusion, uttered deluded and reckless words; an edict ordered investigation of the matter. Assistant Director of the Court of Judicial Review Zhang Yungu memorialized that Haode's epileptic illness had clear signs and that by law he should not be punished. Secretarial Attendant Investigating Censor Quan Wanji impeached Yungu, saying he had passed through Xiangzhou, where Haode's elder brother Houde was its prefect, and that affection led to partial indulgence and that his memorial was untrue. Taizong said: "We often confined prisoners within the prison; Yungu played chess with them. Now again to indulge Haode partially is to throw Our law into disorder. He was thereupon executed at the Eastern Market. Shortly afterward the Emperor regretted it. Moreover, Regional Commander of Jiaozhou Lu Zushang was executed in the court hall for defying the imperial will, and the Emperor also later regretted it. An edict was issued: for all who were sentenced to death, even when ordered to be killed immediately, there were still three repeated memorials. Shortly afterward he said to his attendant ministers: "Human life is of utmost weight; once dead it cannot be brought back to life. In former times Wang Shichong killed Zheng Ting and afterward regretted it, but pursuit to stop it did not arrive in time. This spring a prefectural clerk took not much property; We in anger killed him, and afterward also soon regretted it—all because Our reflection was not thorough. Recently in deciding prisoners, though there were three repeated memorials, within a brief moment the three memorials were finished; there was no time for reflection at all—what use were three memorials? From now onward, within two days there should be five repeated memorials; sent down to the prefectures, three repeated memorials. Moreover, in antiquity when carrying out punishment, the ruler withdrew music and reduced his meals. We now have no regularly set music in the court hall and do not know what to withdraw, yet when facing a meal We do not eat wine or meat. From now onward, order the Imperial Commissary to be informed; on days when punishments are carried out, do not present wine or meat. The Inner Instruction Office and the Court of Imperial Sacrifices should both cease instruction. Moreover, when the bureaus judged cases they mostly relied on the text of the code; though compassion was warranted in feeling, they did not dare violate the law, adhering to the text to fix guilt—perhaps there were wrongful convictions. From now the Chancellery should review; where according to law death was warranted but feeling permitted pardon, the circumstances should be recorded and memorialized. From this time those fully preserved in life were very numerous. The five repeated memorials were: one and two days before the decision, repeated memorials; on the day of decision, again three repeated memorials. Only for those who committed wicked rebellion was one repeated memorial sufficient; this was written into the ordinances.
13
便
After Taizong had executed Zhang Yungu, judicial officials took leniency in judgment as a warning; when there were erroneous severity cases, they also did not add punishment—thereby the penal net became rather dense. The Emperor once asked Director of the Court of Judicial Review Liu Dewei: "Recently the penal net has become somewhat dense—why? Dewei replied: "In the text of the code, erroneous severity reduces three grades; erroneous leniency reduces five grades. Now if there is erroneous severity there is no guilt, but if there is erroneous leniency one immediately receives a great punishment—the clerks responsible all apply the law harshly." Taizong approved his words. Thereby for errors in severity, they were ordered to follow the text of the code, and those judging cases gradually became fair and even. In the fourteenth year, they also ordained three grades of exile offenses, not limited by li distance, but assigned according to measure to border regions and harsh prefectures. Thereafter, though lenient canons remained, offenders gradually became fewer.
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便 使 祿 便 便
When Emperor Gaozong took the throne, he followed the precedents of Zhenguan and strove to show compassion in punishment. He once asked Director of the Court of Judicial Review Tang Lin the number of prisoners detained in the prisons; Lin replied: "The prisoners presently seen are more than fifty persons; only two warrant death. The Emperor, because the number of prisoners was entirely few, showed ease in his countenance. In the beginning of Yonghui, he commanded Grand Preceptor Zhangsun Wuji, Minister of Works Li Ji, Left Vice Director Yu Zhining, Right Vice Director Xing Cheng, Attendant-in-Ordinary Gao Jifu, Vice Directors of the Secretariat Yuwen Jie and Liu Shi, Right Assistant Director Duan Baoxuan, Vice Director of the Court of Imperial Sacrifices Linghu Defen, Vice Director of the Ministry of Personnel Gao Jingyan, Vice Director of the Ministry of Justice Liu Yanke, Attendant within the Yellow Gate Zhao Wenke, Secretariat drafter Li Youyi, Assistant Director of the Court of the Imperial Manufactories Zhang Xingshi, Assistant Director of the Court of Judicial Review Yuan Shao, Assistant Director of the Court of the Imperial Treasury Wang Wenduan, Bureau Director of the Ministry of Justice Jia Minxing, and others jointly to compile laws, ordinances, regulations, and forms. Old institutions that were inconvenient were all revised and changed as they went. They then divided the regulations into two parts: standing duties of the bureaus became the Retained Bureau Regulations; what was shared throughout the realm became the Broadly Promulgated Regulations. The Broadly Promulgated Regulations were sent down to prefectures and counties; the Retained Bureau Regulations were kept only by the original bureaus for implementation. In the third year, an edict said: "Legal studies have no fixed commentary; each year those recommended for mastery of law thus have no standard to rely on. It is fitting broadly to summon those who understand law to set forth the articles in commentary and memorialize for report. They should also have the Secretariat and Chancellery supervise and fix it. Thereupon Grand Preceptor Zhangsun Wuji, Duke of Zhao; Minister of Works Li Ji, Duke of Ying; Left Vice Director Yu Zhining, Duke of Yan, who also served as Junior Tutor to the Crown Prince and supervisor of the national history; Tang Lin, Minister of Justice; Duan Baoxuan, Acting Grand Justice; Liu Yanke, Acting Right Vice Director of the Secretariat; Jia Minxing, Acting Vice Censor-in-Chief; and others jointly compiled the Code Commentary in thirty juan. In the tenth month of the fourth year they submitted it to the throne and promulgated it throughout the realm. From then on, all who tried cases cited the Code Commentary in their analysis. In the fifth month of the fifth year of Yonghui, the emperor said to his attendant ministers: "Lawsuits are numerous, all because punishments are wrongly and excessively applied. As the saying goes, punishment means completion—once fixed, it must not be changed. Magistrates in declining ages all took harshness for wisdom. That is why the Qin regime cast so tight a net—dense as autumn's bitter tea—and so many were found guilty. Now the realm is at peace and the four seas are tranquil. I wish to pursue lenient government together with you. Are punishments today not still being wrongly and excessively applied? Wuji replied: "Your Majesty wishes the criminal code to be lenient and fair, yet your officials still fail to grasp your intent. These abuses in the law have persisted for a long time; they did not begin only today. If one truly cares for the welfare of the state, everyone calls him a fool; if one aims to word charges as severely as possible, he is praised as an excellent official. That is why, even when guilt warranted only flogging, officials insist on penal servitude; even when the case reasonably allowed life, they strive to secure a death sentence—not because they hate the accused, but because they wish to trap him in a capital charge. When Your Majesty shows mercy and orders release, the judicial offices ought to petition firmly in support. But if Your Majesty does not capriciously visit favor or anger upon people, punishments will naturally fall into proper balance. The emperor agreed. In the seventh month of the sixth year of Yonghui, the emperor said to his attendant ministers: "The code relies too heavily on analogical application, and there are far too many articles and precedents. Left Vice Director Yu Zhining and others replied: "The old code decided many cases by analogical application, which made it somewhat hard to understand. The statutory provisions were extremely numerous, numbering as many as three thousand. Under the Sui it was revised twice, leaving only five hundred provisions. Cases of similar type were decided by applying analogous statutes. What has now been discontinued is precisely the material that was revised and simplified with reference to the Sui code. With fewer articles and chapters, the code is greatly simplified and easier to use. Closing quotation mark.
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便 使
In the second year of Longshuo, official titles were changed. By edict, Yuan Zhixin, Grand Minister of Criminal Affairs; Li Jingxuan, Junior Minister; Li Wenli, Senior Commissioner of Criminal Affairs; and others were ordered to revise the statutes and forms, changing only bureau names while leaving the chapters and sections unchanged. It was submitted to the throne in the second year of Linde. By the Yifeng era, official titles had been restored. Another edict ordered Left Vice Director Liu Rengui, Right Vice Director Dai Zhide, Palace Attendant Zhang Wenjin, Grand Secretary Li Jingxuan, Right Vice Director of the Crown Prince's Household Hao Chujun, Huangmen Vice Director Lai Heng, Left Vice Director of the Crown Prince's Household Gao Zhizhou, Right Vice Director Li Yiyan, Vice Directors of Personnel Pei Xingjian and Ma Zai, Vice Directors of War Xiao Dezhao and Pei Yan, Vice Director of Works Li Yichen, Vice Director of Justice Zhang Chu, Jinbu Bureau Director Lu Lushi, and others to revise and compile the statutes and forms. On the ninth day of the second month of the second year of Yifeng, the revised compilation was submitted to the throne. Earlier, Vice Minister of Detailed Punishment Zhao Renben had compiled three juan of Legal Precedents, which were cited in deciding cases and were widely regarded as a reasonable compromise. Later, when Gaozong reviewed them, he found the verbose text impractical. He therefore said to his attendant ministers: "Codes, ordinances, regulations, and forms are the universal standards of the realm—not something that I, unworthy as I am, could have created on my own. All of them date from the Wude period and the Zhenguan era onward—sometimes fixed by imperial decision, sometimes worked out through broad consultation. Their articles are complete and their standards clear, yet even when one tries to follow them in practice, one cannot do so fully. Why must we add further precedents, only to create endless doubt whenever a case is examined? This habit of clinging to old ways is nothing new. The course should be changed at once and not allowed to continue. From then on, the Legal Precedents were abandoned and no longer used.
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西 便 便
When Wu Zetian assumed the regency, she at first wished greatly to win popular support. In the early Chuigong period, she ordered copper cast into boxes with gates on all four sides, each colored according to its direction, together forming one chamber. The eastern side was called the Extended Favor Box; those submitting encomia and those petitioning for office and rank deposited sealed memorials there. The southern side was called the Recruitment of Remonstrance Box; those commenting on the merits and failings of current policy or offering blunt remonstrance deposited their submissions there. The western side was called the Petition for Wronged Innocence Box; those who had been wrongfully convicted deposited their petitions there. The northern side was called the Communication of Mysteries Box; those reporting celestial omens, disasters, or secret military plans deposited their submissions there. Each day the boxes were placed in the court hall to receive memorials from throughout the realm. Once the boxes were opened to the public, unscrupulous people sometimes used them to attack others' private affairs or slander the government. Later, one official each from the Secretariat and Chancellery was assigned to supervise the submissions, and an endorsing official was required before a sealed petition could be accepted—a practice that continues to the present. Wu Zetian also ordered Imperial Secretary Pei Judao, Minister of Summer Offices Cen Changqian, Fengge Vice Director Wei Fangzhi, and more than ten revising officials including Yuan Zhihong to revise the statutes and forms, adding accounting and audit forms, for a total of twenty juan together with the old forms. She also compiled edicts and orders from Wude down to before Chuigong that remained useful into two juan of the New Regulations, for which Wu Zetian herself wrote the preface. Beyond those two juan, six additional juan were separately compiled for use by the relevant departments, titled the Chuigong Retained-Office Regulations. At the time Wei Fangzhi was thoroughly versed in legal doctrine, and the work was also entrusted to Xianyang Prefect Wang Shoushen, who had a gift for administration. Commentators therefore praised the Chuigong Regulations and Forms as detailed and thorough. Of the code and ordinances, only twenty-four articles were changed; where revision would have been inconvenient, the old provisions were largely retained.
17
使
Yet Wu Zetian was severe in the use of punishment. After Xu Jingye's rebellion and the uprisings in Yu and Bo, fearing that hearts would waver, she sought to control the realm through terror and gradually brought in harsh officials, insisting on severe wording of charges to prosecute criminal cases. In the Changshou era a sealed memorial reported that exiles in Lingnan were secretly plotting rebellion. Wan Guojun, a judicial reviewer acting as investigating censor, was dispatched to investigate; anyone for whom evidence of rebellion could be obtained was to be executed. Guojun reached Guangzhou, summoned all the exiles, gathered them at a bend in the river, and executed them one after another. More than three hundred people were killed at once; only afterward were confessions of rebellion forged and twisted into shape. He then submitted a false memorial saying: "Exiles in the various circuits mostly harbor resentment. If this is not thoroughly investigated, rebellion will not be far off. Wu Zetian strongly agreed. She further ordered Acting Censors Liu Guangye, Wang Deshou, Bao Sigong, Wang Chuzhen, Qu Zhenyun, and others to go separately to the six circuits of Jiannan, Qianzhong, Annam, Lingnan, and elsewhere to investigate and interrogate exiles. Wherever Liu Guangye went, slaughter followed. Guangye executed nine hundred people, Deshou seven hundred, and the others no fewer than several hundred each. Miscellaneous offenders and exiles from years long past were also wrongly swept up in the slaughter. At that time Zhou Xing, Lai Junchen, and others were successively ordered to investigate major cases. A separate Office of Interrogation Commissioners was established inside Lijing Gate in the capital, which people of the time called the "Newly Opened Prison." Junchen also joined Attending Censors Hou Sizhi, Wang Hongyi, Guo Ba, and Li Jingren, Reviewers Kang Wei and Wei Suizhong, and others in gathering several hundred informants to weave false charges and entrap the innocent. The number of people wrongfully killed in this way was beyond counting. He also compiled one juan of the Classic of Secret Accusation and Fabricated Charges, whose whole purpose was to ensnare people and fabricate charges of rebellion. Whenever Junchen interrogated prisoners, regardless of the severity of the charge, he often poured vinegar into their noses. In secret dungeons, some were placed in jars with fire built around them to roast them alive. He also cut off their food, so that some tore the cotton padding from their clothes to eat. The great cangues he devised numbered ten in all: Fixes the Hundred Pulses, Cannot Breathe, Earth-Shaking Roar, Put On and Confess at Once, Loss of Soul and Gall, Truth Same as Rebellion, Rebellion Is the Truth, Dead Pig's Sorrow, Seek and Die at Once, and Seek and Destroy the Family. He also made them sleep amid filth and ordure, subjecting them to every kind of torment. Whenever an imperial edict granted leniency to prisoners, Junchen would first send jailers to kill all those charged with serious crimes, and only then announce the edict. At that time the whole realm lived in terror; people on the roads dared only to glance at one another. Chen Ziao, Rectifier of the Office of the Archive, submitted a memorial saying:
18
I have heard that those who governed the realm in antiquity pursued three kinds of policy: kings transformed the people through benevolence and righteousness; hegemons awed them through authority and cunning; strong states coerced them through punishments alone. When transformation proved insufficient, they turned to awe; when awe proved insufficient, they turned to punishment. Thus punishment was never what true kings valued most. How much less should one who wishes to illuminate the realm and surpass the achievements of the former sovereign rely exclusively on killing as a means of imposing authority—surely this is a mistaken policy.
19
使 使
I humbly observe that Your Majesty is sage and wise, your heart set on the ideals of deepest antiquity, intent on pacifying the universe and preserving the people, issuing commands from genuine sincerity. The people of the realm all look up in hope for your sage influence, longing to witness true transformation; moral government is about to rest with Your Majesty. I have heard that when a sage ruler appears, wrongdoers must be driven out—surely a sign of accord between Heaven and man, answering a glorious mandate. Recently a petty rebel force in the southeast dared to plot rebellion. Your Majesty followed Heaven in carrying out punishment, and all wickedness was subdued—is this not Heaven's intent to display your martial glory! Yet those in charge failed to discern Heaven's intent and treated it as mere human zeal. Hating those who first stirred rebellion and spread calamity, they held that the law required execution, wishing to cut off the source of treachery and exhaust their associates. They therefore caused Your Majesty to open the edict prison on a vast scale and impose severe punishments anew, hoping thereby to punish treachery and make an example before the realm. Relatives of the rebels and their associates—wherever suspicion attached, testimony linked one case to another—all were hunted down, arrested, and interrogated without limit; branches and leaves were entangled and seized together. Great offenders sometimes shed blood; even petty suspects were pursued as if to drive off demons. Wicked men even took advantage of the turmoil to delude and accuse one another, lodging reports on mere suspicion in hope of rank and reward; several such cries were heard below the palace gates each day. At that time the court was unsettled and could not steady itself; the whole realm listened in anxiety, and fear spread among all. Thanks to Your Majesty's benevolence, pitying their terror, you issued a gracious edict permitting that even the gravest offenses would go unpunished. People at the time found relief and spoke of being given life anew. I privately rejoiced, congratulating Your Majesty on your sage clarity in seizing Heaven's timely opportunity. I did not expect that counsellors with other views would again cling to the former course; recently criminal prosecutions have repeatedly flared up. Your Majesty does not deeply ponder Heaven's intent so as to follow this auspicious age, yet still takes supervision as governance and terror through punishment as the chief task, so that your earlier edict is no longer trusted by the people. I am but a foolish servant, yet I privately fear this is not what the Five Emperors and Three Kings intended when they punished the guilty and comforted the people.
20
西 西 使 滿 使
I observe that the people of the realm today have long yearned for peace. Formerly they suffered northern barbarians invading the frontier and western tribes raiding the borders; armies slaughtered one another for nearly ten years. From the passes and rivers of the north, supplies were transported to You and Yan; west of Qin and Shu, armies galloped toward Huangzhong and the western sea. At that time the realm was utterly exhausted! Compounding the burden of great campaigns, famine years followed; people were displaced and starving, and nearly half the population died. Fortunately, through Your Majesty's supreme virtue in soothing and settling the people, the frontiers were secured, the heartland was at peace, yin and yang were in great harmony, harvests succeeded one another, and fathers and sons throughout the realm were at last able to support one another. When rebellion broke out in Yangzhou, it lasted nearly fifty days, yet the rest of the realm remained tranquil—not a ripple stirred. Is this not because the people are weary of calamity and disorder? From this I infer that the people have long yearned for peace. Yet Your Majesty does not cultivate quiet governance to relieve a weary people, but instead relies on harsh punishments and thereby forfeits their hopes, seeking to rule through relentless scrutiny and stern discipline across the realm. I am but a dull and ignorant subject, and I confess to deep perplexity. Moreover, I have heard that punishment is the last resort of government. The sage kings of old used punishments only to restrain violence and set right disorder, resorting to them only when they had no choice. Now the realm is fortunately at peace and all things yearn for tranquility, yet Your Majesty applies these last-resort methods to scrutinize ordinary people. I believe this fails the principle of adapting policy to the times. In recent years, I have observed denunciations pouring in from every quarter. Prisoners have accumulated by the hundreds and thousands. For the most part, the accusations all invoked Yangzhou by name, yet when fully investigated, scarcely one in a hundred proved true. Your Majesty, being benevolent and forgiving, bent the law to spare them, yet other matters were dug up on the side and likewise subjected to investigation. Thus factions of treacherous ministers took satisfaction in mutual vengeance; the slightest grudge was at once declared a secret denunciation. When one person was accused, a hundred filled the prisons. Investigators pursued and arrested; official carriages thronged the roads like a marketplace. Some say Your Majesty spares one person yet harms a hundred; throughout the realm people murmur in alarm, not knowing where they may rest in peace.
21
使 使
I have heard that unless one is a sage, if there is no external threat, there will be internal trouble—such is the natural order of things. I dare not speak from remote antiquity; permit me to point to the Sui and speak. I have heard elders say that in the final years of the Sui, the realm was still at peace. Emperor Yang was irreverent, exhausting cruelty and martial display; weary of the throne, he personally took command of the army and, with a million troops, paraded his forces at the Liao Sea—then the realm first grew turbulent. Thus Yang Xuangan seized the momentum of rebellion, harbored the heart of a great bandit, and sought through others' plotting to seize the throne. When he raised arms in central China and was about to seize Luoyang, the thunder of his rebellion seemed to shake heaven and earth. Yet the rebellion had not lasted a month before his head and body lay in different places. Why? The realm's ills had not yet reached the point of collapse; the hearts of the people still hoped to live in peace. Emperor Yang failed to understand; he blindly ignored the temper of the people. He thought that with the chief rebel already executed, no great scoundrels remained in the realm, and that the throne could be secured through punishments alone. He therefore had Minister of War Fan Zigai carry out wholesale slaughter, exhaustively pursuing factions and associates until eminent men throughout the realm none escaped ruin. It reached the point that men were killed like hemp stalks and blood pooled like marshes; throughout the realm all at once wished to rise in rebellion. Thereupon Xiao Xian and Zhu Can rose in southern Jing, while Li Mi and Dou Jiande stirred rebellion in Hebei. Within the four seas turmoil spread; they then rose together and extinguished the house of Sui. Is this not lamentable! Elders speak of it to this day; the full account is just as I have told it.
22
Observing the rise and fall of the Three Dynasties of Xia and Yin, down through the order and disorder of Qin, Han, Wei, and Jin—none failed to ruin themselves through cruel punishments. When great prosecutions arise, abuse cannot be avoided. Why? Petty clerks know little of the larger pattern; those skilled at deciding cases win renown for harsh severity. When legal language is dense and the net of prosecution tight, all praise it as utmost fairness; even the sovereign considers it faithful adherence to law. Thus profit lay in killing and harm lay in leniency; therefore prison officials admonished one another to make killing their watchword. It was not hatred of people, but profit for themselves. Upward they sought to match the sovereign's intent; for themselves they plotted personal advancement. Once pursuit of profit became widespread, abuse could not be avoided; when abuse reached the innocent, excessive punishments ran rampant. Human nature is such that all cherish their own lives; if Your Majesty scrutinizes by this standard, can there truly be no abuse! When the wronged cry out in lament, harmonious qi is injured; when harmonious qi is disturbed, pestilence afflicts the people; flood and drought follow, and famine years ensue. Once people lose their livelihoods, hearts of rebellion suddenly stir. Recently drought has violated the seasons: clouds gather yet no rain falls; farmers lay down their plows and look up in desperate longing—is this not because Your Majesty possesses sage virtue yet fails to send down nourishing rain upon the people? If drought should persist past spring and planting be abandoned, this year's harvest will surely suffer. Should Your Majesty not reverently heed Heaven's intent and thereby nourish and comfort the people? I have heard that enlightened kings of antiquity treated punishments with great caution—surely they feared this. Does not the Documents say: "Better to err in excess of leniency than to put the innocent to death"—" —yet how can Your Majesty, with such august sagehood, still pursue the majesty of a strong state? I privately consider this unworthy of Your Majesty.
23
使
Moreover, when the common people are secure they delight in life; when imperiled they think of change. Thus affairs may summon calamity, and laws may breed treachery. If great prosecutions do not cease and factions daily widen, the realm will fill with doubt and mutual fear for the innocent; changes in the temper of the people cannot go unobserved. Formerly in the time of Emperor Wu of Han the witchcraft prosecution arose; Jiang Chong practiced deceit and stirred disorder in the capital, until the crown prince fled and arms clashed at the palace gates; innocents harmed numbered in the tens of thousands. At that time the house of Liu was nearly extinguished; fortunately Emperor Wu received the memorial of the Three Elders of Huguan, suddenly awakened in understanding, exterminated Jiang Chong's three clans, and did not pursue the remaining cases—only then did the realm find some peace. When I read to this point in the histories, I have never failed to shed tears for Crown Prince Li. The ancients said: "Do not forget past affairs; they are teachers for later affairs." I humbly hope Your Majesty will bear it in mind. Now I do not shrink from the boiling cauldron, but with my insignificant life lightly venture before Your Majesty's august presence. It is not that I do not hate death yet covet life; truly I bear Your Majesty's gracious treatment and would not with my slight life block Your Majesty's clear judgment—nor do I dare ask Your Majesty suddenly to cease stern punishments; my hope lies only in compassionate punishment. I beg that this be deliberated with the Three Affairs Grandees on its feasibility. What is past cannot be remonstrated against; what is to come may still be pursued. Do not because I am insignificant neglect this memorial—the realm would be greatly fortunate.
24
The memorial was submitted but received no response.
25
At that time Vice Director of the Ministry of Justice Xu Yougong often rebutted what the harsh officials submitted, daily disputing with them in court over right and wrong to clear wrongful prosecutions; those thereby fully saved were beyond counting—the account is in the Biography of Yougong. When Jun Chen, Hongyi, and others were executed, penal prosecutions gradually subsided. Successive chancellors Wang Jishan, Yao Yuanchong, Zhu Jingze, and others all said that since the Chui Gong era those who died or lost their families had all been wrongfully prosecuted; Empress Wu then also somewhat awakened. Thereupon Investigating Censor Wei Jing submitted a statement, saying:
26
滿 使
I have heard that a state's fundamental order lies in the power of life and death. Such men as Zhou Xing, Lai Junchen, Qiu Shenji, Wan Guojun, Wang Hongyi, Hou Sizhi, Guo Hongba, Li Jingren, Peng Xianjue, Wang Deshou, and Zhang Zhimò were the Four Evils of Yao's age. They unrestrainedly indulged folly and cruelty, tormented others and harbored malice, envied and hated those in office, and cruelly abused court ministers; crimes were inflated at whim and punishments altered at will. In their time, prisons were like marketplaces and the court communicated only by glances. Then plain truth was not obscured, wronged souls found refuge, evil deeds met their recompense, and the wicked were punished; Heaven's full severity was applied to chastise the leaders of disorder. I observe that Lai Junchen suffered the utmost penalty because he fabricated charges against the innocent, slaughtered and entrapped the loyal and worthy, confiscated property to warn the future, and was publicly executed to appease the realm. I have also heard on the roads that from the sage sovereign down to eminent ministers, all clearly knew there were fabricated prosecutions; once Junchen was dead, those who pursued cases gained merit—Hu Yuanli was promoted beyond measure, Pei Tan was conspicuously appointed—and within and without all rejoiced; the court was again at peace. Those who broke their faction were rewarded without delay; yet those entrapped by them—how could they be detained for years on end? Moreover, to call someone a rebel requires evidence of rebellion. Relying only on a fragment of testimony, they at once requested execution; torture was recklessly applied, and confessions—how limitless! Thus Xu Yougong was resented for leniency and fairness, and Khusro was detained on account of a courtesan; within and without all know where wrong and right lie—take these as examples; the rest may be told in detail. I have also heard that Guo Hongba stabbed himself and cried out in satisfaction, and Wan Guojun, when intercepted, suddenly died. Huo Xianké, at life's end, had knees drawn up to his neck; Li Jingren, about to die, had his tongue reach to his navel. All were cases of ghosts filling the courtyard and demons blocking the road; omens gathered in response like echoes following sound. Fully preserved in people's songs and tales, this is no empty talk; even Bo You appearing by day scarcely surpasses it. This too is proof of fabricated prosecution. I am utterly foolish and do not grasp the larger pattern, but if several persons were appointed to reverse wrongful verdicts and all together thoroughly reviewed the great prosecutions pushed by Lai Junchen and others, perhaps Deng Ai might be vindicated today and the dutiful wife would not be wrongfully condemned as in former times; grace would spread throughout the realm—the people would be greatly fortunate.
27
When the memorial was submitted, an edict ordered a record of those prosecuted to death and stripped of property by Lai Junchen, Qiu Shenji, and others, and commanded the Three Offices to reinvestigate; those wrongfully prosecuted were all cleared and exonerated.
28
In the first year of Shenlong under Emperor Zhongzong, an edict honored the late Vice Director of the Court of the Imperial Stud Xu Yougong for fair and forgiving enforcement of law, posthumously enfeoffing him as Governor-General of Yuezhou and specially granting one son an office. It also ordered that the twenty-three men Qiu Shenji, Lai Zixun, Wan Guojun, Zhou Xing, Lai Junchen, Yu Chengye, Wang Jingzhao, Suo Yuanli, Fu Youyi, Wang Hongyi, Zhang Zhimò, Pei Ji, Jiao Renxuan, Hou Sizhi, Guo Ba, Li Jingren, Huangfu Wenbei, Chen Jiayan, Liu Guangye, Wang Deshou, Wang Chuzhen, Qu Zhenyun, and Bao Sigong, who since the Chui Gong era had all wrongfully killed people, should have all their offices and enfeoffments retroactively stripped. Throughout the realm people rejoiced. Since the times had changed, edicts all followed the precedents of Zhenguan and Yonghui. An edict commanded Grand Counselor Wei Anshi, Vice Director of the Ministry of Rites Zhu Qinming, Right Assistant Director of the Department of State Affairs Su Gui, Bureau Director of the Ministry of War Di Guangsi, and others to revise edicts from after the Chui Gong Regulations through the first year of Shenlong, forming seven fascicles of Broadly Promulgated Regulations. They also revised and supplemented the old forms into twenty fascicles and promulgated them throughout the realm. At the beginning of Jingyun, Emperor Ruizong again commanded Minister of Revenue Cen Xi, Vice Director of the Secretariat Lu Xiangxian, Right Regular Attendant of the Palace Horse Xu Jian, Right Bureau Director Tang Shao, Vice Director of the Ministry of Justice Shao Zhiyu, revising official Assistant Director of the Court of Judicial Review Chen Yihai, Chief Secretary of the Right Guard Zhang Chubin, Judicial Review Evaluator Zhang Mingbo, Left Guard Rate-Fu Warehouse Section Officer Luo Sizhen, and Chief Clerk of the Ministry of Justice Yan Yizhuan—ten persons in all—to revise regulations, forms, statutes, and ordinances. In the second month of the first year of Taiji it was submitted and named the Taiji Regulations.
29
便 便 使
At the beginning of Kaiyuan, Emperor Xuanzong commanded Supervisor of the Yellow Gate Lu Huaiqian, Vice Director of the Purple Pavilion and concurrent Minister of Justice Li Yi, Vice Director of the Purple Pavilion Su Ting, Purple Pavilion Drafter Lü Yanzuo, Attendant within the Yellow Gate Wei Fenggu, Judicial Review Evaluator Gao Zhijing, Assistant Magistrate of Hancheng County in Tong Prefecture Hou Yingjin, and Legal Section Officer of Ying Prefecture Yan Yizhuan and others to revise regulations, forms, and ordinances; in the third month of the third year it was submitted and named the Kaiyuan Regulations. In the sixth year, Emperor Xuanzong again commanded Vice Director of the Ministry of Personnel and concurrent Palace Attendant Song Jing, Vice Director of the Secretariat Su Ting, Left Assistant Director of the Department of State Affairs Lu Congyuan, Vice Directors of the Ministry of Personnel Pei Cui and Murong Xun, Vice Director of the Ministry of Revenue Yang Tao, Secretariat Drafter Liu Lingzhi, Judicial Review Direct Examiner Gao Zhijing, and Merit Section Officer of You Prefecture Hou Yingjin—nine persons—to revise statutes, ordinances, regulations, and forms; in the third month of the seventh year it was submitted. Statutes, ordinances, and forms kept their old names; the regulations were called the Post-Kaiyuan Regulations. In the nineteenth year, Chief Councilor Pei Guangting and Grand Counselor Xiao Song observed that once post-regulation edicts had been put into effect, they often clashed with the regulatory text and proved impractical in administration. They memorialized the throne to have the responsible offices compile six fascicles of Long-standing Edicts after the Regulations and distribute them throughout the realm. In the twenty-second year, Minister of Revenue Li Linfu received another imperial edict to revise the regulations and ordinances. After Linfu was promoted to Grand Counselor, he joined Chief Councilor Niu Xianke, Vice Censor-in-Chief Wang Jingcong, and legal specialists including former Left Martial Guard Army Section Officer Cui Jian, Wei Prefecture Registrar Chen Chengxin on special assignment to the Secretariat, Suozao District Magistrate Yu Yuanqi on special assignment to the Ministry of Justice, and others in revising the old regulations, forms, statutes, ordinances, and edicts—a total of 7,026 articles. Of these, 1,324 articles were deemed unnecessary in practice and were all removed. 2,180 articles were revised as the text required; 3,594 were left unchanged. The work yielded twelve fascicles of statutes, thirty of Statutory Commentary, thirty of ordinances, twenty of forms, and ten of New Kaiyuan Regulations. They also compiled forty fascicles of Categories of Regulations, Forms, Statutes, and Ordinances, grouping related matters together for easier consultation. It was submitted in the ninth month of the twenty-fifth year. An edict ordered fifty copies made at the Executive Office of the Department of State Affairs and dispatched envoys to distribute them across the realm. That year, when the Ministry of Justice adjudicated cases, only fifty-eight people throughout the realm were sentenced to death. Vice Director of the Court of Judicial Review Xu Qiao reported: "In the prison yard of the Court of Judicial Review, tradition held that the air of death was so heavy birds would not alight there—yet now magpies have built nests in its trees." The officials then submitted memorials of congratulation, taking this as a sign that punishments were nearly unused. Emperor Xuanzong rewarded the chief ministers for transforming governance and the judicial officials for fair and evenhanded judgment by enfeoffing Xianke as Duke of Bin and Linfu as Duke of Jin, and granting officials of the Ministry of Justice and Court of Judicial Review two thousand bolts of silk together.
30
輿 使 西 西 便
Over the sixty years from the Mingqing era to the Xiantian era, Emperor Gaozong was lenient and humane, and power passed into the inner palace. Empress Wu, ruling as female sovereign, was suspicious and ruthless in bloodshed; imperial clansmen and great ministers were framed by cruel officials; the dynasty itself was nearly overturned, and the House of Li almost destroyed. After the Shenlong restoration, the empress's clan meddled in government; under Jingyun the pattern continued, and Princess Guimei leaned on her power. During the Kaiyuan era, criminal policy and the dispensing of rewards and punishments were decided at the throne itself; for more than forty years the age could be called peaceful. When corrupt favorites at court turned wicked and frontier generals rose in rebellion, the emperor fled to Ba and Shu while the heir apparent was installed at Shuofang. In less than a year the capital was retaken—since the age of writing began, never had the dynasty been restored so swiftly. Yet many officials of the two capitals had been coerced into following the rebels, and now they came in succession to the palace gates to await judgment. Those in charge, however, sought to impress the realm with harsh punishments, exterminate entire clans, and enforce obedience throughout the empire. Debate dragged on without resolution until Three Offices commissioners were finally appointed: Vice Censor-in-Chief and concurrent Governor of Jingzhao Li Xian, Vice Director of the Ministry of War Lü Yun, Vice Director of the Ministry of Revenue and concurrent Vice Censor-in-Chief Cui Qi, Vice Director of the Ministry of Justice and concurrent Vice Censor-in-Chief Han Zemu, and Director of the Court of Judicial Review Yan Xiang—five men in all. At first, when civil and military officials of the Western Capital such as Lu Dajun who had fallen into rebel hands returned, Cui Qi drafted the ceremony and ordered them all to remove their caps and go barefoot, beating their breasts and wailing. Golden Guard and county clerks encircled them; at court they confessed their guilt and were handed over to the prisons of the Court of Judicial Review and Jingzhao prefecture. When several hundred great ministers including Chen Xilie arrived, they were again made to go barefoot in court as before, while Chief Ministers Miao Jinqing, Cui Yuan, Li Lin, and the rest of the officials were forced to watch. Considering this an outrage and humiliation, an edict was issued rebuking them. Because so many were under accusation and the prisons could not hold them all, the court granted Yang Guozhong's residence for interrogations. Cui Qi and Lü Yun largely sought to please the throne and pursued harsh sentences; Han Zemu took no clear stand; only Li Xian argued forcefully. They then fixed the recommended crimes in six grades and assembled the officials at the Department of State Affairs to deliberate. Emperor Suzong was then ruling through harsh penal law, and the high ministers simply assented and signed their names. Thirty-nine men, including Governor of Henan Dati Xun, were judged guilty of grave crimes and condemned together with their followers. Eleven of them, including Xun, were secretly executed west of Zi Gate. Seven men—Chen Xilie, Zhang Ya, Guo Na, Dugu Lang, and others—were granted permission to take their own lives in the prison of the Court of Judicial Review. Twenty-one men—including Dati Zhi, Zhang Bi, Li Youfu, Liu Ziying, and Ran Dahua—were beaten to death with heavy rods at the gate of Jingzhao prefecture. Director of the Court of Judicial Review Zhang Jun led others to the execution ground beneath the lone willow tree, where they were spared death and sentenced to exile in Hepu Commandery—but Dati Xun and Wei Heng were cut in two at the waist. Earlier, when Qingxu reached Xiangzhou, Shi Siming, Gao Xiuyan, and others had all submitted and pleaded for their lives. Emperor Suzong restored each to office and left him in command of his territory. Now, fearing for their safety, each led his followers in rebellion. Thereafter the Three Offices kept applying punishments year after year without bringing cases to resolution, and exile and demotion followed one after another. When Wang Yu became chief minister, having long heard public criticism, he requested an edict that from then on all cases still under investigation by the Three Offices should be wholly dismissed and pardoned—a move that greatly won popular esteem. Later, after Xiao Hua recovered Weizhou and returned to allegiance, he once told the court: "At first, when officials in Hebei heard the state's proclamation that all coerced followers of Chen Xilie and others would be released without question and restored to office, those who heard it regretted having delayed their return and lost their bearings. But when they later heard that Xilie and others had been executed, they congratulated one another on having judged wisely—and none dared return. Thereupon the generals and officials of Hebei grew only more resolute, and the great armies could not be stood down."
31
Later came men like Mao Ruoxu and Jing Yu—deeply cruel in extortion, suddenly grasping for power, killing to wield the law, and levying heavily to fill the treasury. Over six or seven years major prosecutions followed one after another, and in prefectures and counties most of those caught up in them were demoted or exiled. Emperor Suzong again heard how abusive the Three Offices had become and once lamented: "I was misled by the Three Offices, and I deeply regret it. At his final illness, with Yuan Zai as chief minister, he issued an edict ordering all exiled and demoted persons throughout the realm to be released and sent home.
32
使 使 使使 使使 使
In the first year of Baoying under Emperor Daizong, the Uyghurs fought Shi Chaoyi and won, capturing 480 people—generals, soldiers, wives, children, old and young. The emperor considered that although the women were counted as rebel household members, all were daughters of respectable families seized by force. Moved with pity, he ordered Wannian County to settle them at Shengye Buddhist Temple and provide grain rations. If relatives came forward to claim them, they were permitted to take them back; if they had no kin, they were free to go where they wished, and grain for traveling post stations was still provided. Thereupon the people were universally grateful and rejoiced. On the first day of the sixth month in the fourteenth year of Dali, Emperor Dezong proclaimed a great amnesty from Danfeng Tower. An excerpt from the amnesty document read: "Where articles of statutes, ordinances, regulations, and forms remain unreconciled, commission the Secretariat-Chancellery to select clear-minded officials to revise and fix them together. Edicts since the Zhide era, whether arising from individual petitions or issued on the spot for particular affairs, differ inconsistently and cause confusion. The Secretariat-Chancellery, together with the revising officials, shall examine them in detail, select those suitable for long-term use, and compile them into regulatory articles. Three Offices commissioners, according to established procedure, shall consist of one Vice Censor-in-Chief, one Secretariat Drafter, and one Attendant within, who each day receive petitions at court and investigate and dispose of cases." In the second year of Jianzhong, the commissioners for revising regulations and ordinances and the Three Offices commissioners were abolished. Previously, the Secretariat-Chancellery had served as commissioners for revising regulations and ordinances, while Attendants within, Secretariat Drafters, and Vice Censor-in-Chief had served as Three Offices commissioners. At this point the Secretariat-Chancellery memorialized to restore the old arrangement, with the Ministry of Justice, Censorate, and Court of Judicial Review taking up the role. Revision of the regulations and ordinances was entrusted to the Ministry of Justice. An edict of the ninth month in the fourth year of Yuanhe declared: "The Ministry of Justice and Court of Judicial Review take too long to decide cases of imprisoned persons—this only encourages wrongdoing and evasion. Henceforth, the Court of Judicial Review may take no more than twenty days to examine and decide a case, and the Ministry of Justice no more than ten days to review and transmit the decision. If the Ministry of Justice's review finds disagreement, the court may take no more than fifteen days for re-examination, and the Department no more than that same day for its review. If a case requires investigation in an outside prefecture or within the capital itself, the original investigating office shall report on the same day. Once the dispatch arrives, the investigated office's reply may take no more than five days. The Ministry of Justice shall also record the dates of outgoing and returning dispatches and notify the Executive Office and branch inspectors, who shall verify compliance and investigate violations according to the edict."
33
In the ninth month of the sixth year, Liang Yue of Fuping County killed Qin Guo to avenge his father's death and surrendered himself to the district magistrate to plead guilty. An edict declared: "Killing in revenge is governed by established law. Because he declared his grievance and surrendered himself, facing death as if returning home and coming of his own accord to the public gate—this sprang from natural feeling. His intent was to uphold duty; he had no wish to save his own life. Better to err on the side of mercy than enforce the letter of the law—apply the statute reducing the death penalty. He shall receive one hundred blows and be sentenced to exile in Xunzhou. Vice Director of the Bureau of Appointments Han Yu submitted a memorial, saying:
34
使 便
"I humbly received the edict of the fifth day of this month on revenge: according to the ritual classics, the duty of vengeance is as great as Heaven itself; according to the legal statutes, one who kills shall die." "Ritual and law are the two foundations of royal teaching. Where they conflict, debate is necessary. It is proper to order the Executive Office to assemble for deliberation and report to the throne." "I consider that a son avenging his father's murder appears in the Spring and Autumn Annals, the Book of Rites, the Rites of Zhou, and countless other classics and histories. Never has such an act been condemned and punished." "This matter ought above all to be spelled out in the statutes, yet the statutes contain no such article. This is not a textual omission." "The reason is that forbidding revenge would wound the filial son's heart and violate the instruction of the former kings;" "but permitting revenge would let people rely on the law to kill on their own authority, with no way to check where that would lead." "Although the statutes originate with the sages, those who hold and execute them are the officials." "What the classics illuminate is meant to govern the officials." "By fixing the meaning in the classics while burying the matter deep in the statutes, the intent is to make legal clerks decide solely by the law, while scholars of the classics may cite the classics in deliberation." "The Rites of Zhou says: 'For all who kill someone justly, order that no revenge be taken; if revenge is taken, the avenger dies.' Yi means fittingness.' This makes clear that where a person is killed without justification, the son may take revenge." "This concerns common people taking revenge on one another." "The Gongyang Commentary says: 'If the father was not lawfully executed, the son may take revenge.' Not subject to execution' means the crime did not warrant execution." "Again the Rites of Zhou says: 'For all who seek to repay a wrong, register it with the officer; if they then kill, there is no crime.' This means that if one intends revenge, one must first inform the authorities; then there is no crime." "Now Your Majesty turns his attention to the canonical regulations and seeks to establish fixed institutions." "Out of regard for the officials' adherence to law and sympathy for the filial son's heart, you show that you do not decide alone and seek deliberation from your ministers." "I consider that though the name of revenge is the same, the cases differ." "Some cases involve common people taking revenge on one another, as the Rites of Zhou describes—these may be considered for the present age;" "others involve those executed by officials, as the Gongyang describes—these cannot be applied today." "Again, what the Rites of Zhou describes—if one intends revenge and first informs the officer, there is no crime." "But if one is orphaned, young, weak, and frail, cherishing a small resolve and waiting for the enemy's moment, fearing one cannot speak for oneself to the authorities—this cannot yet be made a fixed rule for today." "Then whether to execute or pardon cannot be decided by one fixed rule." "It is proper to establish a rule thus: whenever one avenges a father's murder, when the matter arises, the full circumstances shall be set forth and sent to the Department of State Affairs for assembled deliberation and report to the throne." "Weigh what is fitting and dispose accordingly, and the classics and statutes will not lose their true aim."
35
使
In the eighth month of the thirteenth year of Yuanhe, Military Commissioner of Fengxiang Zheng Yuqing and others finalized thirty fascicles of Post-Regulation Edicts, compiled and submitted by Right Bureau Director Cui Yan and six others. That same year, Vice Directors of the Ministry of Justice Xu Mengrong, Jiang Yi, and others received an edict to revise them and again produced thirty fascicles. Vice Director of the Ministry of Justice Liu Boxu and others examined and confirmed them according to the original fascicles.
36
In the fifth month of the first year of Changqing, Vice Censor-in-Chief Niu Sengru memorialized: "Criminal cases throughout the realm suffer from delay and backlog. I request that fixed deadlines be established. For major cases, the Court of Judicial Review shall complete detailed judgment within thirty-five days and report to the Ministry of Justice, which shall report to the throne within thirty days. For medium cases, the Court of Judicial Review thirty days, the Ministry of Justice twenty-five days. For minor cases, the Court of Judicial Review twenty-five days, the Ministry of Justice twenty days. In one memorial, if the offenders numbered more than ten persons and the crimes judged exceeded twenty items, it was classified as large. If the offenders numbered more than six persons and the crimes judged exceeded ten items, it was classified as medium. If the offenders numbered five persons or fewer and the crimes judged were ten items or fewer, it was classified as small. If the charged offenses and the fixed punishments were all the same, then even though the number of persons was very great, it was treated by the precedent of a single person. Violators were punished according to the degree of the offense. In the fourth month of the second year, Vice Director of the Ministry of Justice Sun Ge memorialized: "Zhang Li of Yunyang County in the Metropolitan Prefecture owed money and grain to Kang Xian, an officer-rider of the Palace Guards. Xian pressed him for payment; Li, taking advantage of drunkenness, seized and pulled Xian until his breath was nearly gone. Xian's son Maidede was fourteen years old and sought to save his father. Because Li was powerfully built, Maidede did not dare grapple with him, but took a wooden spade and struck Li's head until blood appeared; three days later Li died. According to the code, when a father is beaten by another person and the son goes to rescue him and strikes that person causing broken injury, the offense is reduced three grades from ordinary assault. If death results, the regular code applies. Thus Maidede's saving his father from peril was filial by nature, not violent; striking Zhang Li was heartfelt urgency, not ferocity. At the age of childhood, to uphold the bond of father and son—if not for the sage transformation bestowed upon him, how could a youth reach this? The Royal Regulations say that the principle of the five punishments must trace back to the intimacy of father and son to weigh it, and carefully measure the degrees of severity to distinguish cases. The meaning of the Spring and Autumn Annals is to trace the heart to fix guilt. What the Book of Zhou instructs is that all punishments have discretionary latitude. Now Maidede, born under the imperial wind, in youth matched supreme filial piety—compassionate pardon lies in the sage's kindness. Your servant's duty is to judge punishments and should distinguish good from evil." An edict said: "Kang Maidede is still in childhood and yet knows the way of a son; though killing a man warrants death, acting for his father is pitiable. If the statute of sinking life were followed, one fears losing the meaning of tracing feeling; it is fitting to hand him to the judicial offices and reduce the capital offense by one grade."
37
使
In the twelfth month of the seventh year of Dahe, the Ministry of Justice memorialized: "We were previously commanded to examine and fix the sixty scrolls of Newly Compiled Post-Regulation Edicts by former Assistant Director of the Court of Judicial Review Xie Deng. Your servants, based on what Xie Deng submitted, examined all principles and precedents and compared them with regulations and forms; matters that were not long-term needs, favors issued for a moment, discrepancies between earlier and later versions, or errors in writing—all have been dropped or corrected. Removing the cumbersome and raising the essential, listing bureaus by categories, altogether fifty scrolls. We humbly request that it be proclaimed and sent down for implementation. This was approved. In the fourth month of the eighth year, an edict said that for those who should commit light offenses, except where the circumstances were great corruption and the law could hardly pardon them, all other errors of fault and guilt, and ordinary violations in official business, could not be flogged on the back. This followed the precedent of Taizong. Shortly afterward Metropolitan Prefect Wei Chang memorialized: "The capital is vast and crowded, a gathering place for villains and powerful men. Punishment all day long, yet offenders are still numerous; if there is slight leniency, it is immediately hard to restrain and suppress. If we respectfully obey the edict, there is no way to achieve order and purity; if we apply punishments when handling affairs, we violate the edict's command. We humbly hope to be permitted to dispose according to severity and leniency as before. This was approved.
38
In the fourth year of Kaicheng, the two departments examined and fixed the Penal Regulations in ten scrolls, and an edict ordered them into effect.
39
In the ninth month of the first year of Huichang, Bureau Director of the Storehouse and Drafter of Edicts Qian Ganquan and others memorialized: "According to the Ministry of Justice's memorial, corrupt officials of the fifth grade and above who should receive the death penalty—requesting approval of the prison officials' ordinance that they die at home—we humbly request this be made a permanent regulation forever. This was approved. In the fourth month of the fifth year of Dazhong, Vice Director of the Ministry of Justice Liu Yan and others received command to compile the Dazhong General Essentials of Penal Law Post-Regulation Edicts in sixty scrolls, from the twentieth day of the sixth month of the second year of Zhenguan to the thirteenth day of the fourth month of the fifth year of Dazhong—altogether two hundred twenty-four years of miscellaneous edicts, totaling six hundred forty-six categories and two thousand one hundred sixty-five articles. In the fifth month of the seventh year, Staff Officer of the Left Guard Rate Granary Bureau Zhang Kai presented the Dazhong Penal Law Classified Compendium in twelve scrolls; an edict ordered the Ministry of Justice to examine, fix, memorialize, and put it into practice.
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