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卷五十 志第三十: 刑法

Volume 50 Treatises 30: Punishment and Law

Chapter 54 of 舊唐書 · Old Book of Tang
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Treatise 30: Punishment and Law
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The sages of antiquity, acting as parents to the people, invariably established ritual to inspire reverence and instituted punishments to make authority manifest. They sought to forestall wrongdoing before it could take shape, dreading the rise of contentious hearts. Hence arose the varying grades of the three great codes and the gradations of the five bodily punishments—mutilation, branding, and the rest—applied as the times required and shaped to the matter at hand. Grave offenders were executed in the open country; lesser ones were put to death in the marketplace and at court—all to ward off treachery and insurrection and to chasten disaster and rebellion. No state has ever been raised to glory or brought to good governance without recourse to such measures. Once innocent simplicity faded and corrupt artifice took hold, punishments multiplied to nine degrees and statutes piled up to three thousand clauses. Even when penalties were as harsh as congealed grease and pulverized bone, people still wrangled over the smallest legal niceties. From the Han through the Sui, successive dynasties revised the code, yet few managed to strike a balanced middle path. Emperor Wen of Sui adopted elements of the Zhou and Northern Qi legal systems to draft his statutes, repealing cruel and oppressive laws in favor of leniency and fairness. By his later years, however, his rule grew increasingly harsh. Emperor Yang was mistrustful and vindictive; his laws were extraordinarily severe. The people could no longer endure their lot, and the dynasty fell.
3
便
When Gaozu first raised his army of righteousness at Taiyuan, he immediately issued orders of clemency and leniency. The people, ground down by the Sui's harsh rule, flocked to join him. Within a matter of weeks he had secured the throne. After pacifying the capital, he promulgated a provisional code of twelve articles. Only murder, robbery, desertion, and treason were made capital offenses; all other punishments were abolished. After taking the throne, he commanded Counselor-in-Chief Liu Wenjing and other learned officials of the court to revise the Kaihuang code, eliminating entirely the burdensome and severe laws of the Daye era. He also drafted fifty-three supplementary regulations, aiming for simplicity and leniency suited to the needs of the day. He soon charged Vice Ministers Pei Ji and Xiao Yu, Grand Judge Cui Shanwei, Attending Gentleman Wang Jingye, Secretariat drafters Liu Linfu, Yan Shigu, and Wang Xiaoyuan, Registrar Jing Yan of Tongzhou, Vice Director of Imperial Sacrifices Ding Xiaowu, former Sui judge Fang Zhou, staff officer Li Tongke of the generalissimo's headquarters, Erudite Xu Shangji of the Court of Imperial Sacrifices, and others to compile the statutes, taking the Kaihuang code as their general model. Affairs were only just settling and the frontiers remained troubled; pressing urgencies left little time for thorough revision. Only the fifty-three supplementary regulations were corrected and incorporated into the new code; nothing else was changed. In the fifth month of the seventh year of Wude the code was submitted to the throne, and the emperor issued an edict that read:
4
沿 使
Did not the ancients say, "The ruler of all lands possesses statutes and norms"?" Thus the ordering of the Nine Categories arose in the Xia, and the laws of the two audience halls reached their full development in the great Zhou. Through such means violence is restrained, treachery punished, customs elevated, civilization spread, the people secured, and government established—nothing takes precedence over this. From the turmoil of the Warring States onward, rulers relied on deceit and brute force; harsh regulations and excessive punishments arose in endless succession. When Qin united the realm it destroyed ritual and learning, practicing cruelty without restraint and oppressing the people until the empire was in turmoil and the dynasty fell. The Han, having restored order, sought to reform the old ways. Though they pursued simplified laws and reduced harsh penalties, they still practiced dismemberment and maintained prohibitions as minute as grains of millet. Their governance of the people had not yet reached its full breadth, and the ideal of punishments lying unused could not be realized. By the Wei and Jin dynasties, abuses had accumulated through generations; leniency and severity were applied at cross purposes, and the bonds of governance fell into disorder. Inferiors overawed their superiors, government dissolved, and the people languished. All of this stemmed from statutes that had fallen into confusion and regulations that had become muddled and contradictory. Thereafter the realm was carved into rival domains, armies clashed without cease, and there was no leisure to establish proper institutions. Under the Sui, though reforms were proclaimed, revisions remained unsettled, errors and omissions abounded, and the categories and forms of the code were rarely brought to completion. Moreover, subtle clauses and tortuous applications left readers uncertain of their meaning; disparate cases were lumped under the same category, and magistrates applied them with inconsistent severity. Crafty officials twisted the law at will, while ignorant commoners stumbled unawares into the net of justice. Reforms were repeatedly announced, yet in the end nothing was achieved.
5
使
Having received the Mandate of Heaven in due season, I have brought peace to the realm; ever striving toward perfect governance, I labor whether waking or asleep. I seek to restore canons a thousand years fallen into neglect, to remedy the lingering abuses of a hundred reigns, to rectify the root and clarify the source, to set a standard for purging corruption at its farthest reach, and to establish constitutional norms that will endure as a model for generations to come. I have therefore charged men of talent to revise and complete the code. Yet the tasks of past and present differ, and the forms of law must change with the times. After an age of ruin and disorder, affairs are unlike those of former dynasties; the need is to adapt to circumstances and remedy present abuses. We have therefore weighed what to retain and what to simplify, adapting the code to present needs, correcting errors and omissions, and adhering to essentials. After years of labor the compilation is at last complete. Let it be sent throughout the realm and put into immediate effect. May the offices of clerks be simplified and disciplined, no longer burdened with volumes as weighty as hanging stones; judgments reported to the throne be fair and even-handed, and none wrangle over the pettiest legal niceties. To overcome cruelty and abolish capital punishment—this goal is not far to seek.
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The code was then promulgated throughout the empire.
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便 便 便
When Taizong ascended the throne, he again charged Zhangsun Wuji, Fang Xuanling, and the legal scholars and judges with further revision of the code. Dai Zhou and Wei Zheng also argued that the old code was too severe; at that time fifty articles carrying the death penalty by strangulation were under discussion. They were spared execution and instead had their right foot amputated; many who would otherwise have died were allowed to live. Before long Taizong again took pity on their suffering and told his ministers, "Former dynasties long ago abandoned bodily mutilation as punishment. To suddenly amputate a man's right foot—I find this deeply distressing." Remonstrating Counselor Wang Gui replied, "In antiquity bodily punishments were applied to lesser offenses. Your Majesty, pitying the great number of death sentences, established amputation of the foot as an alternative. Those who by statute deserved death now received life. The condemned, fortunate to preserve their lives, would hardly shrink from losing a foot. Moreover, the sight of them would serve as ample warning to others." The emperor said, "I adopted it in the belief that it was lenient, and therefore put it into practice. Yet whenever I hear of it I am filled with compassion and cannot put it from my mind." He also said to Xiao Yu, Chen Shuda, and others, "The dead cannot be restored to life. Seeking to show compassion, I selected fifty capital offenses and substituted amputation of the right foot. Yet when I reflect on the pain they endure, I find it almost unbearable." Shuda and the others all replied, "In antiquity bodily punishments were applied in addition to, not in place of, the death penalty. Your Majesty, by substituting amputation for execution within the category of capital crimes, exchanged life for death—this is surely a lenient measure." The emperor said, "That was my intention, and therefore I wished to put it into practice. Moreover, a memorial has been submitted arguing that this measure is impracticable. Gentlemen, reconsider the matter." Thereafter Pei Hongxian, a legal affairs officer under the Prince of Shu, submitted more than forty objections to provisions of the code ill suited to the times, and Taizong ordered him to participate in their revision. Hongxian thereupon joined Fang Xuanling and others in proposing that in antiquity there were five punishments, of which amputation of the foot was one. When bodily punishments were abolished, death, exile, beating with the staff, and beating with the rod were instituted as five grades to replace the five punishments. To reintroduce amputation of the foot is to create a sixth category of punishment. Sparing offenders from death is an act of leniency, but adding a new punishment only increases severity and complexity. They joined the eight chief ministers in deliberation and reported their decision. The law of amputation was abolished and replaced by exile to a distance of three thousand li with two years of penal servitude.
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Moreover, under the old code, when brothers had established separate households they were not liable for one another's hereditary privileges, yet collective punishment still required all to die together, and grandparents and grandchildren were sentenced to confiscation of property. It happened that Fang Qiang of Tongzhou had a younger brother serving as army commander at Minzhou who was executed for treason; Qiang was liable to collective punishment. Taizong once reviewed the prisoners and, pitying those about to die, was visibly moved. Turning to his ministers he said, "That the penal code is still in use reflects the failure of moral transformation to permeate society fully. What crime have these simple men committed, that such heavy punishments are inflicted upon them? This only highlights my own want of virtue. The proper application of punishment requires careful weighing of the gravity of each case before penalties are imposed. How can we fail to examine the root of each case and apply execution indiscriminately? This is not the way to show compassion in punishment and value human life. Rebellion, then, takes two forms: one is raising armies and mobilizing forces; the other is seditious speech in violation of the law. These differ greatly in severity, yet collective punishment condemns all to death alike—how can my conscience accept this?" He then ordered the officials to deliberate the matter in detail. Thereupon Fang Xuanling and others submitted their deliberation: "According to the Rites, a grandson serves as the ritual substitute for his paternal grandfather. According to the ordinances, a grandfather may confer hereditary privilege upon his grandson. The bond between grandfather and grandson is weightier than that among brothers, yet the heavier tie receives exile while the lighter tie receives death. Judged by ritual propriety and human feeling, this is deeply unsatisfactory. Under the present code, grandparents, grandchildren, and brothers alike suffer collective liability and are sentenced to confiscation and exile. Where the offense consists of seditious speech that could do no actual harm, the circumstances are lighter; brothers should be spared death and sentenced to exile—this we deem acceptable." The emperor approved. From this point onward, nearly half the capital offenses of earlier ages were eliminated.
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Fang Xuanling and his colleagues, working with the judicial offices, compiled five hundred statutes in twelve sections: General Principles; Palace and Frontier 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. The five punishments were beating with the rod, beating with the staff, penal servitude, exile, and death. Rod punishments comprised five grades, from ten to fifty strokes; Staff punishments comprised five grades, from sixty to one hundred strokes; Penal servitude comprised five grades, from one year, increasing by half a year at each step, up to three years; Exile comprised three grades, from two thousand li, increasing by five hundred li at each step, up to three thousand li; capital punishment two forms: strangulation and decapitation. In all there were twenty grades of punishment. There were also eight categories of statutory privilege—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 capital offenders were required to submit a memorial setting forth the offense and the grounds for deliberation; after deliberation the case was submitted for imperial decision. For exile and lesser offenses, the penalty was reduced by one grade. Officials of the fifth rank and above, relatives within the great-mourning circle of the crown prince's consort, and relatives within the circle of those eligible for deliberation who committed capital offenses were required to submit a petition for imperial review. For exile and lesser offenses, the penalty was likewise reduced by one grade. Officials of the seventh rank and above, and the grandparents, parents, siblings, wives, and descendants of those entitled to petition who committed exile or lesser offenses, each received a reduction of one grade. Those eligible for deliberation, petition, or reduction, officials of the ninth rank and above, and the grandparents, parents, wives, and descendants of those entitled to reduction who committed exile or lesser offenses were permitted to commute their penalties. The commutation rates were as follows: ten strokes of the rod, one jin of copper; increasing by one jin at each step, up to one hundred strokes of the staff, for which ten jin of copper was required. Above this level the rate increased by ten jin at each step, up to three years of penal servitude, for which sixty jin of copper was required. 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. Official rank could also be used to offset punishment. When office was used to offset penal servitude, officials of the fifth rank and above who committed private offenses could offset two years of penal servitude with one office; officials of the ninth rank and above could offset one year with one office. For public offenses, one year was added in each case. When office was used to offset exile, all three grades of exile were equivalent to four years of penal servitude, and the incumbent was removed from office. Removal from official registers was equivalent to three years of penal servitude. Dismissal from office was equivalent to two years of penal servitude. Removal from the office then held was equivalent to one year of penal servitude. There were also the ten abominations: plotting rebellion, plotting great sedition, plotting defection, plotting wicked sedition, depravity, great irreverence, unfilial conduct, discord within the clan, unrighteous conduct, and internal disorder. Those who committed any of the ten abominations were ineligible for deliberation, petition, or commutation. Persons seventy years of age or older, fifteen or younger, or suffering from crippling disability who committed exile or lesser offenses were also permitted to commute their penalties. Persons eighty or older, ten or younger, or suffering grave illness who committed rebellion, sedition, or capital murder were required to petition for imperial review; theft and assault were subject to commutation; all other offenses were not prosecuted. Persons ninety or older and seven or younger, though guilty of capital crimes, were not subjected to punishment. Compared with the Sui code, capital offenses were reduced by ninety-two articles and exile converted to penal servitude by seventy-one articles. When office was used to offset penal servitude, only one office was forfeited; those removed from the registers were still conscripted as common soldiers. The simplifications and reductions in severity were too numerous to record in full.
10
便 祿宿
They also compiled one thousand five hundred ninety administrative ordinances in thirty scrolls. In the first month of the eleventh year of Zhenguan they were promulgated throughout the realm. More than three thousand edicts and regulations issued since the Wude and Zhenguan eras were reviewed, and seven hundred articles were retained as eighteen scrolls of supplementary regulations for implementation by the originating offices. Weighing past and present practice, complexity and abuse were eliminated; the result was notably lenient, simple, and convenient for the people. Organized under the bureaus of the Department of State Affairs, it initially comprised seven scrolls. Standing regulations retained only by the originating bureau were separately compiled as one scroll of Retained Bureau Regulations. These compiled contemporary edicts and orders as permanent legal norms and precedents. The Zhenguan Regulations in eighteen scrolls were compiled by Fang Xuanling and his colleagues. The Yonghui Retained Bureau Regulations in eighteen scrolls and the Broadly Promulgated Regulations in seven scrolls were compiled by Zhangsun Wuji and others. During the Yonghui era Yuan Zhixin and others revised them, changing only office and bureau titles while leaving the section headings unchanged. The Later Edition of the Yonghui Retained Bureau Regulations was compiled by Liu Rengui and others. The Chuigong Retained Bureau Regulations in six scrolls and the Broadly Promulgated Regulations in three scrolls were compiled by Pei Judao. The Taiji Regulations in ten scrolls were compiled by Cen Xi and others. The Pre-Kaiyuan Regulations in ten scrolls were compiled by Yao Chong and others. The Post-Kaiyuan Regulations in ten scrolls were compiled by Song Jing and others. All were organized under the twenty-four bureaus of the Department of State Affairs. There were thirty-three sections of Forms, organized under the bureaus of the Department of State Affairs and the Secretariat, Court of Imperial Sacrifices, Ministry of Agriculture, Court of Imperial Entertainments, Court of the Imperial Stud, Court of the Imperial Treasury, Court of the Imperial Manufactories, Directorate of Gate Guards, Palace Guards, and Accounts, in twenty scrolls. The Yonghui Forms comprised fourteen scrolls; the Chuigong, Shenlong, and Kaiyuan Forms each comprised twenty scrolls. The process of revision was the same as for the statutes and ordinances.
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Taizong also decreed that prisoners detained in the capital were to be reported monthly by the Ministry of Justice, and that from the Beginning of Spring to the Autumn Equinox no death sentences were to be submitted for approval. Death sentences were also prohibited on days of great sacrifice, ritual abstinence, new and full moon, quarter moons, the twenty-four solar terms, days of unbroken rain, nights before dawn, days when slaughter was forbidden, and holidays. On days of amnesty the Director of the Armory set up a golden rooster and drum to the right of the palace gate, assembled the prisoners before the palace, and after a thousand drumbeats proclaimed the edict of release. The amnesty document was promulgated to all prefectures, transcribed on silk and distributed. Restraints for prisoners included cangues, manacles, fetters, and locks, each regulated as to dimensions and applied in graded steps according to the severity of the offense. All beating staffs had their nodes removed and measured three chi five cun in length. Interrogation staffs measured three fen two li in diameter at the large end and two fen two li at the small end. Ordinary execution staffs measured two fen seven li at the large end and one fen seven li at the small end. Rod staffs measured two fen at the large end and one and a half fen at the small end. Rod punishments were administered on the legs in rotation. Staff punishments were administered on the back, legs, and buttocks in rotation. The same rule applied to repeated interrogation by beating. Interrogation by beating was limited to three sessions and two hundred strokes in total. For staff punishments and below, the strokes administered could not exceed the statutory number for the offense. When no statute directly applied to a case, if acquittal was warranted the judge cited a heavier analogous offense to establish the lighter principle; if conviction was warranted, he cited a lighter analogous offense to establish the heavier principle. Where the code specified an increase in penalty, the next heavier grade was applied; where it specified a reduction, the next lighter grade was applied. Only the two forms of capital punishment and the three grades of exile counted as a single reduction; no penalty could be increased to death. Judges who erred in acquitting or convicting were themselves punished according to the offense involved. For erroneous conviction, the judge's penalty was reduced by three grades; for erroneous acquittal, by five grades.
12
便
Initially Taizong, recalling that in antiquity capital cases were deliberated by the highest judicial officers, ordered that capital offenses be reviewed by officials of the Secretariat and Chancellery of the fifth rank and above and by the Department of State Affairs. Thereafter Li Haode of Henei, afflicted with mental illness, uttered deluded and seditious words, and the emperor ordered an investigation. Assistant Grand Judge Zhang Yungu memorialized that Haode showed clear signs of epilepsy and was not liable under the law. Drafting Attending Censor Quan Wanji impeached Yungu, alleging that while serving as prefect of Xiangzhou—where Haode's elder brother Houde was also prefect—Yungu had shown partiality and submitted a false memorial. Taizong said, "I once detained a prisoner, and Yungu played chess with him. Now he indulges Haode again—this subverts my laws." Yungu was thereupon executed at the Eastern Market. The emperor soon regretted his decision. Regional Commander Lu Zushang of Jiaozhou was also executed in the court hall for defying an imperial order, and the emperor again repented. He issued a regulation requiring three re-submissions for all death sentences, even when immediate execution was ordered. Shortly thereafter he told his ministers, "Human life is of the utmost weight; once taken it cannot be restored. In the past Wang Shichong executed Zheng Ting and afterward repented, but the order of reprieve arrived too late. This spring I executed in anger a prefectural clerk who had embezzled a small sum, and soon regretted it. All such errors stem from insufficient deliberation. Recently, though three re-submissions were required, all three were completed in a moment, leaving no time for reflection. Of what use is such a formality? Henceforth five re-submissions shall be required over two days in the capital; prefectures shall require three. Moreover, in antiquity the ruler withdrew music and reduced his meals on days of execution. My court has no standing musical establishment, so I know not what to withdraw, yet I abstain from wine and meat at my meals. Henceforth the Imperial Kitchen shall be notified, and on days of execution no wine or meat shall be served. The Inner Music Academy and the Court of Imperial Sacrifices shall suspend instruction on such days. Moreover, judicial offices rely chiefly on the letter of the law. Though circumstances may warrant compassion, officials dare not deviate from the statute, and strict adherence to the text may produce injustice. Henceforth the Chancellery shall review cases where the statute requires death but circumstances warrant mercy, recording the facts and memorializing the throne." From this time a great many condemned prisoners were spared. The five re-submissions were to be made one and two days before the execution, with three additional submissions on the day of execution. Only offenders guilty of wicked sedition required a single re-submission; this was written into the ordinance.
13
便
After Zhang Yungu's execution, judges took acquittal as a warning to themselves. Erroneous convictions went unpunished, and the net of justice grew increasingly tight. The emperor once asked Grand Judge Liu Dewei, "The net of justice has grown tighter of late. Why is this?" Dewei replied, "The code reduces the penalty for erroneous conviction by three grades and for erroneous acquittal by five grades. Today erroneous conviction goes unpunished, while erroneous acquittal incurs severe penalty. Officials therefore apply the law with maximum severity." Taizong approved his reasoning. Judges who erred in acquitting or convicting were thereafter required to follow the statute, and judicial decisions gradually became more equitable. In the fourteenth year the three grades of exile were reformed: distance in li was no longer specified; offenders were assigned according to the severity of frontier prefectures. Thereafter, though lenient laws remained in force, offenders gradually diminished.
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便 使 祿 便 便
When Gaozong ascended the throne, he followed the Zhenguan precedents and strove to show compassion in the administration of justice. He once asked Grand Judge Tang Lin how many prisoners were detained. Lin replied, "There are somewhat more than fifty prisoners; only two merit the death penalty." The emperor, pleased that the number of prisoners was so low, showed his satisfaction openly. At the beginning of the Yonghui era the emperor charged Grand Preceptor Zhangsun Wuji, Minister of Works Li Ji, Vice Directors Yu Zhining and Xing Cheng, Attendant-in-ordinary Gao Jifu, Vice Directors Yu Wenjie and Liu Shi, Assistant Director Duan Baoxuan, Vice Director of Imperial Sacrifices Linghu Defen, Vice Director of Personnel Gao Jingyan, Vice Director of Justice Liu Yanke, Attending Gentleman Zhao Wenke, Secretariat drafter Li Youyi, Assistant Director Zhang Xingshi of the Court of Imperial Manufactories, Assistant Grand Judge Yuan Shao, Assistant Director Wang Wenduan of the Imperial Treasury, Bureau Director Jia Minxing of the Ministry of Justice, and others to compile the statutes, ordinances, regulations, and forms. Provisions of the old code found inconvenient were revised or deleted. The supplementary regulations were divided into two parts: routine bureau affairs became the Retained Bureau Regulations, and regulations applicable empire-wide became the Broadly Promulgated Regulations. The Broadly Promulgated Regulations were distributed to prefectures and counties; the Retained Bureau Regulations were kept by the originating offices for their own use. In the third year an edict declared, "Legal studies lack an authoritative commentary, leaving candidates for the legal examinations without a standard of reference. Let scholars versed in the law be summoned to prepare commentaries on each article and submit them for imperial review. The Secretariat and Chancellery were charged with supervising and approving the work." Thereupon Wuji, Duke of Zhao and Grand Preceptor; Li Ji, Duke of Ying and Minister of Works; Xu Zhining, Duke of Yan, Left Vice Director of the Secretariat and supervisor of the national history; Tang Lin, Minister of Justice; Duan Baoxuan, Chief Judge of the Court of Judicial Review; Liu Yanke, Right Vice Director of the Secretariat; Jia Minxing, Vice Censor-in-Chief; and others jointly drafted the Statutory Commentary in thirty scrolls, submitted it in the tenth month of the fourth year, and had it promulgated throughout the realm. Henceforth, all who adjudicated cases cited the commentary in their analysis. In the fifth month of the fifth year of Yonghui, the emperor told his ministers: "Prison cases and lawsuits abound, all because punishments are misapplied. As the saying goes, punishment means a settled judgment—once rendered, it must not be altered. In later ages, judges took harshness for clarity; thus the Qin wove its laws tight as autumn bitter herb, and multitudes were condemned. Now that the realm is untroubled and the four seas at peace, I wish to join you in practicing lenient governance. Are there no wrongful applications in today's punishments?" Wuji answered: "Your Majesty wishes the penal code to be lenient and fair, yet your officials still fail to grasp your intent. These abuses of the law have persisted for a long time; they did not begin only today. If one sought the welfare of the state, all would call him a fool; if one pursued harsh textual penalties, he was hailed as a capable official. Thus though an offense merited beating, they would push for penal servitude; though logic allowed sparing a life, they pressed for death—not from personal hatred, but to trap the accused in a capital sentence. When Your Majesty shows mercy and orders release, the courts should press their petitions as well; if Your Majesty does not capriciously vent favor or wrath upon others, punishments will naturally be balanced." The emperor agreed. In the seventh month of the sixth year of Yonghui, the emperor told his ministers: "The statutes rely too heavily on analogical application, and the articles are too numerous." Left Vice Director Zhining and others answered: "The old statutes relied heavily on analogical judgment, which made cases somewhat difficult to understand. The statutory articles were extremely numerous, numbering as many as three thousand. Under the Sui they were revised again, leaving only five hundred articles. Similar cases were adjudicated by analogical application of the relevant articles. The code now in force was revised with reference to the Sui statutes. With so few articles and chapters, the code is far more convenient and economical."
15
便 使
In the second year of Longshuo, when official titles were changed, an edict directed Yuan Zhixin, Director of Penal Affairs, Li Jingxuan, Vice Director, Li Wenli, Grand Master of Penal Affairs, and others to revise the regulations and forms, changing only bureau names while leaving the chapter sequence intact. It was submitted in the second year of Linde. During the Yifeng era, when official titles were restored, another edict charged Liu Rengui, Left Vice Director; Dai Zhide, Right Vice Director; Zhang Wenguan, Palace Attendant; Li Jingxuan, Grand Counselor; Hao Chujun and Li Yiyan, Attendants of the Heir Apparent; Lai Heng, Vice Director of the Imperial Secretariat; Gao Zhizhou, Left Attendant of the Heir Apparent; Pei Xingjian and Ma Zai, Vice Directors of Personnel; Xiao Dezhao and Pei Yan, Vice Directors of War; Li Yichen, Vice Director of Works; Zhang Chu, Vice Director of Justice; Lu Lüshi, Section Director of the Treasury; and others with revising and compiling the regulations and forms. On the ninth day of the second month of the second year of Yifeng, the revised code was completed and submitted. Earlier, Zhao Renben, Vice Director of Detailed Punishments, had compiled three scrolls of Legal Precedents for use in adjudication, and contemporary opinion regarded the work as a reasonable compromise. Later, when Emperor Gaozong reviewed it, he found the verbose text cumbersome. He therefore told his ministers: "Statutes, commands, supplementary regulations, and forms are the universal norms of the realm—not something a sovereign as mediocre as I could devise. All were established during the Wude era and refined since Zhenguan—sometimes settled by imperial decision, sometimes shaped through collective deliberation. The articles were fully set forth and the standards clearly marked; in practice one follows them and can scarcely exhaust their scope. Why must we compose further precedents, only to breed doubt at every turn? This inertia is nothing new; the course must be changed at once and must not continue." From that point the Legal Precedents were abandoned and no longer used.
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西 便 便
When Empress Wu assumed the regency, she initially sought to win broad popular support. In the first year of Chuigong, she ordered copper cast into suggestion boxes with doors on all four sides, each painted according to its directional color, together forming one chamber. The eastern side was called the Box for Extending Grace; those submitting encomia or petitions for office and rank sealed their memorials and deposited them there. The southern side was called the Box for Soliciting Remonstrance; those wishing to speak on the merits and failings of current policy or to remonstrate directly deposited their submissions there. The western side was called the Box for Stating Grievances; those who had suffered wrongful conviction deposited their petitions there. The northern side was called the Box for Communicating Mysteries; those reporting celestial omens, natural disasters, or secret military plans deposited their submissions there. Each day the boxes were set out in the court hall to receive memorials from across the realm. Once the boxes were in place, unscrupulous persons sometimes used them to attack private matters and slander court policy. Later one official each from the Secretariat and Chancellery was assigned to supervise submissions; petitioners were still required to identify themselves, and only then was sealed submission permitted—a practice that continues to the present. Empress Wu also ordered Pei Judao, Grand Counselor; Cen Changqian, Minister of the Summer Office; Wei Fangzhi, Vice Director of the Phoenix Pavilion; and more than ten revision officials including Yuan Zhihong to revise the regulations and forms, adding accounting and audit forms; together with the old forms, the result was twenty scrolls. She also compiled edicts and orders from the Wude era through the period before Chuigong that remained useful into two scrolls of New Supplementary Regulations, for which Empress Wu herself wrote the preface. Beyond these two scrolls, six more were separately compiled for use by the respective offices, titled the Chuigong Retained Bureau Regulations. At the time Wei Fangzhi was thoroughly versed in legal principles and entrusted the work to Wang Shouzhen, Commandant of Xianyang, who also had a gift for administration; commentators therefore praised the Chuigong Regulations and Forms as thorough and meticulous. Of the statutes and commands, only twenty-four articles were revised; where difficulties remained, the old provisions were largely retained.
17
使
Yet Empress Wu was severe in applying punishments. After Xu Jingye's rebellion and the uprisings in Yu and Bo, fearing popular unrest, she sought to control the realm through terror and gradually brought in cruel officials, pressing for harsh textual penalties in criminal investigations. In the Changshou era a sealed memorial reported that exiles in the Ling region were secretly plotting rebellion. She sent Wan Guojun, a Penal Affairs Assessor acting as Investigating Censor, to investigate on the spot, with orders to behead any who showed evidence of treason. Guojun reached Guangzhou, summoned all the exiles, drove them to the water's edge, and executed them one by one. More than three hundred were killed at once; only afterward were confessions of rebellion forged through torture. He then submitted a false memorial stating: "Exiles in various circuits mostly harbor resentment. Unless thoroughly investigated, rebellion will not be far off." Empress Wu strongly approved his report. She also ordered Liu Guangye, Wang Deshou, Bao Sigong, Wang Chuzhen, Qu Zhenyun, and others, acting as Investigating Censors, to divide among the six circuits of Jiannan, Qianzhong, Annam, Lingnan, and elsewhere to investigate and interrogate exiles. Wherever Guangye went, he slaughtered. Guangye executed nine hundred, Deshou seven hundred, and the others, though fewer, still killed no less than several hundred each. Miscellaneous offenders and exiles from years past were also wrongly swept up in the slaughter. At the time Zhou Xing, Lai Junchen, and others were successively ordered to investigate major cases. They established a separate Office of Investigation Commissioners inside Lijing Gate in the capital, which people of the time called the "Newly Opened Prison." Junchen also joined with the Attending Censors Hou Sizhi, Wang Hongyi, Guo Ba, and Li Jingren and the Assessors Kang Wei and Wei Suizhong to recruit several hundred informants, who together fabricated charges to entrap the innocent. Those wrongly killed in this way were beyond counting. He also compiled a one-scroll Manual for Informing and Fabricating Charges, whose whole purpose was to ensnare the accused and weave confessions of treason. Whenever Junchen interrogated prisoners, regardless of the severity of the offense, he often poured vinegar into their nostrils. In underground dungeons he sometimes placed them in jars and roasted them with fire all around. He also cut off their rations, until some were reduced to stripping wadding from their clothing to eat. The great cangues he devised numbered ten in all: Fixing the Hundred Vessels; Cannot Breathe; Earth-Shaking Roar; Put It On and Confess; Lost Soul and Gall; Truth Is Rebellion; Rebellion Is Truth; Dead Pig's Distress; Seek Immediate Death; and Seek Ruin of the Family. He also made them sleep amid filth and subjected them to every form of torment. Whenever an imperial edict pardoned prisoners, Junchen would first send jailers to kill all those convicted of serious crimes, and only then announce the edict. At that time terror gripped the realm; on the roads people dared only exchange glances in silence. Chen Zi'ang, Rectifier of the Archives, submitted a memorial stating:
18
I have heard that those who governed the realm in antiquity pursued three policies: kings transformed it through benevolence and righteousness; hegemons awed it through authority and stratagem; powerful states coerced it through punishments. When transformation proved insufficient, they turned to awe; when awe proved insufficient, they turned to punishment. Thus punishment was not what true kings valued. How much less fitting, then, to seek to illuminate and settle the realm and match the achievements of the August Ancestor, yet rely exclusively on killing as the instrument of authority—this may be called a failure of policy.
19
使 使
I humbly behold Your Majesty's sage virtue and intelligence, your heart set on the ways of high antiquity, intent on settling the cosmos in tranquility and protecting the people, issuing commands from sincere conviction. All the people under heaven look up to your sage influence, hoping to witness divine transformation; rule by virtue awaits Your Majesty. I have heard that when a sage appears, purging must follow—it is the accord of Heaven and man, responding to a glorious destiny. Recently a petty rebel band in the southeast dared to plot rebellion. Your Majesty followed Heaven in executing punishment, and all guilt was subdued—is this not Heaven's intent to display your martial power and merit! Yet those in charge failed to discern Heaven's intent, treating it as mere human will; they hated the ringleaders who stirred rebellion and spread calamity, held that the law warranted execution, and sought to still the source of treachery and exhaust their factions. Thus they caused Your Majesty to open wide the edict-prisons, reimpose harsh punishments, and display stern retribution to the realm. Relatives of rebels and their associates, whenever suspicion attached or testimony linked them, were hunted to the end, examined and tortured; every branch and leaf of the conspiracy was seized. In major cases blood was shed; in minor ones the condemned were punished as though to subdue demonic spirits. Wicked men, deluding others, seized opportunities to accuse one another, reporting suspected cases in hopes of rank and reward; several such petitioners cried out at the palace gates each day. At that time the court was restless and could not secure itself; throughout the realm all listened in dread, frightening one another. Thanks to Your Majesty's benevolence and pity for their terror, you granted a gracious edict providing that all whose complicity fell short of the closest conspiracy—including even distant kinship ties—would go unpunished. People at the time found relief and spoke of being given life anew. This foolish subject inwardly rejoiced, congratulating Your Majesty on your sage clarity in seizing Heaven's opportune moment. I did not expect counsellors with dissenting views to cling again to the former course; lately criminal cases have proliferated once more. Your Majesty has not deeply pondered Heaven's intent in this glorious season, but still takes investigation as governance and terror through punishment as the task, causing the former edict to lose credibility among the people. This foolish subject is blind, and I secretly fear this is not the intent of the Five Emperors and Three Kings in punishing the guilty and comforting the people.
20
西 西 使 滿 使
I secretly 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; war consumed them for nearly ten years. From Tong Pass and the Yellow River northward, transport lines ran toward You and Yan; west of Qin and Shu, supply lines raced toward the Huangshui and the western sea. At that time the realm was utterly exhausted! Compounded by the aftermath of great armies, they then suffered famine years; wandering in exile and starvation, nearly half the people died or were lost. Fortunately, through Your Majesty's supreme sage virtue in comforting and settling the myriad people, the borders were secured, the central provinces untroubled, yin and yang greatly accorded, and harvests abundant year after year—the fathers and sons of the realm at last could sustain one another. When Yangzhou stirred rebellion, it lasted nearly fifty days, yet the realm remained calm and undisturbed—is this not because the people loathe violent disorder? From this I infer that the people have long yearned for peace. Your Majesty does not practice quiet governance to relieve a weary people, yet again relies on harsh punishments and thereby forfeits their trust, aiming to rule through relentless scrutiny and impose stern order across the realm. Your humble servant is dull of mind and privately greatly perplexed. Moreover, I have heard that punishment is the last resort of governance. Former kings wielded them only to restrain violence and set disorder aright, turning to them when they had no choice. Now the realm is fortunately at peace and all things yearn for tranquility, yet Your Majesty applies last-resort measures to scrutinize ordinary people—your servant believes this fails the principle of adapting to the times. In recent years I have observed secret denunciations arising everywhere. Prisoners have accumulated by the hundreds. For the most part the accused were charged with ties to Yangzhou, yet when cases were fully investigated, scarcely one in a hundred proved true. Your Majesty, being benevolent and forgiving, would bend the law to spare them, yet side denunciations of other matters were still pursued and prosecuted. Thus factions of treacherous ministers gratified themselves in mutual vengeance; a trifling grudge was instantly reported as a secret accusation. When one person was accused, a hundred filled the prisons. Pursuing envoys swarmed the roads, officials' caps and carriage covers thick as a marketplace. Some said Your Majesty would spare one man yet harm a hundred; the realm murmured in fear, uncertain where safety lay.
21
使 使
I have heard that short of being a sage, if there is no external threat there will be internal troubles—such is the way of things. I dare not speak from remotest antiquity; permit me to take the Sui as my example. I have heard elders say that in the Sui dynasty's final years the realm was still at peace. Emperor Yang was irreverent, exhausting all severity and martial force, weary of dwelling at the imperial summit; he personally assumed command of the main army and paraded a million troops on the Liao coast—and the realm at last grew restive. This enabled Yang Xuangan to wield disloyal power, harbor the heart of a great rebel, and seek through conspiracy to seize the throne. When he raised arms in the central plains and was about to seize Luoyang, his roaring momentum seemed ready to overturn heaven and earth. Yet within a month of the rebellion his head and body lay in different places. Why? The realm's sickness had not yet reached total collapse; the common people still hoped to live and work in peace. Emperor Yang failed to understand, blindly ignoring the mood of the people. He believed that once the chief villain was dead no great scoundrels remained, and that imperial rule could be maintained through punishment alone. Thereupon he had Fan Zigai, Minister of War, carry out wholesale slaughter and exhaustively pursue associates; eminent men throughout the realm none escaped ruin. It reached the point where men were killed like hemp stalks and blood formed marshes; the whole realm turned to thoughts of rebellion. Then Xiao Xian and Zhu Can rose in southern Jing, and Li Mi and Dou Jiande stirred rebellion in Hebei. Turmoil swept the four seas; they rose together and destroyed the house of Sui. Is it not lamentable! Elders speak of it to this day in just these terms.
22
From the rise and fall of the Three Dynasties through Xia and Yin down to Qin, Han, Wei, and Jin, none failed to bring ruin through cruel punishment. When great trials are launched, abuse cannot be avoided. Why? Petty clerk-officials know little of broader principle; those skilled at deciding cases win renown for harsh urgency. When legal language grows dense and snares tighten, all praise it as supreme fairness; even the sovereign deems it faithful to law. Thus profit lay in condemning men to death and harm in leniency; prison officers warned one another to speak always of execution. It was not hatred of people, but profit for themselves. Above they sought to match the sovereign's intent; below they pursued personal advancement. Once the pursuit of profit spread, abuse became inevitable; when the innocent were swept up, cruel punishment ran rampant. No one fails to cherish his own life; if Your Majesty governs through such scrutiny, can abuse be avoided? The wronged cry out in lament, damaging harmonious qi; when harmonious qi turns perverse, pestilence afflicts all living things; floods and drought follow, bringing famine years. When people lose their livelihoods, the heart of calamity and disorder stirs awake. Recently drought brought clouds without rain; farmers laid down their plows and looked up in hunger—is this not because Heaven withholds its blessing despite Your Majesty's sage virtue? If drought persists past spring and planting is missed, this year's harvest will surely suffer. Should Your Majesty not reverently heed Heaven's intent and show compassion to the people? I have heard that enlightened kings of old weighed punishment carefully—surely they feared this. Does not the Book of Documents say: "Better to err through irregular leniency than to execute the innocent"?" How can Your Majesty, in such majestic sagehood, still pursue the awe of a strong state? Your humble servant privately believes Your Majesty should not choose this path.
23
使
Moreover, when ordinary people feel secure they delight in life; when endangered they think of rebellion. Thus policy can summon calamity, and law can breed treachery. If great trials do not cease and their branches spread daily, the realm grows doubtful, innocents fear one another, and shifts in popular sentiment cannot go unobserved. In the time of Emperor Wu of Han the witchcraft trials arose; Jiang Chong practiced fraud and stirred rebellion in the capital, driving the crown prince to flight and bringing arms to the palace gates—the innocent harmed numbered in the tens of thousands. The house of Liu was nearly destroyed; only when Emperor Wu received the memorial of the Elder of Huguan Pass, turned abruptly in realization, exterminated Jiang Chong's clan to three degrees, and ceased the remaining trials did the realm briefly find peace. Whenever I read to this point, I cannot help weeping for Crown Prince Li. The ancients said: "Do not forget past affairs; they are teachers for what follows." I humbly pray Your Majesty will bear this in mind. Now I do not shrink from the boiling cauldron, risking my insignificant life to touch Your Majesty's august presence. It is not that I cling to life and fear death; truly I am bound by Your Majesty's gracious favor and would block your clear judgment with my humble life—I do not ask you to halt stern punishment at once; I ask only for mercy in punishment. I beg leave to consult the Three Chief Ministers on whether this may be done. What is past cannot be changed; what is coming may still be set right—do not disregard this memorial because your servant is insignificant; the realm would be greatly fortunate.
24
The memorial was submitted but ignored.
25
At that time Xu Yougong, Vice Minister of Justice, often rebutted reports from harsh officials, disputing daily with them in court to clear wrongful abuse; those thereby saved were beyond counting—see the Biography of Xu Yougong. After Lai Junchen, Wang Hongyi, and others were executed, penal trials gradually subsided. Chief ministers including Wang Jishan, Yao Yuanchong, and Zhu Jingze said in succession that since the Chuigong era those who died or lost their families had all been wrongfully punished; Empress Wu herself came partly to realize it. Thereupon Investigating Censor Wei Jing submitted a memorial saying:
26
滿 使
I have heard that the bonds of the state lie in the power of life and death. Zhou Xing, Lai Junchen, Qiu Shenji, Wan Guojun, Wang Hongyi, Hou Sizhi, Guo Hongba, Li Jingren, Peng Xianjue, Wang Deshou, and Zhang Zhimò—these were the Four Evils of Yao's age. They indulged brutal folly, unleashed cruelty and poison, envied those in power, and callously abused court ministers; guilt was inflated by whim and punishments altered at will. In their time prisons teemed like marketplaces, and the court communicated only by glances. Then truth could not be obscured; wronged souls found justice; evil met retribution and excess wickedness was punished; Heaven's stern sentence fell upon the leaders of disorder. I observe that Lai Junchen suffered the utmost penalty for framing the innocent, destroying the loyal and worthy, confiscating property to warn the future, and displaying his execution to appease the realm. I have also heard along the roads that from the sage sovereign down to noble ministers all clearly knew cases were fabricated; once Junchen was dead those who pursued the cases were rewarded—Hu Yuanli was rapidly promoted and Pei Tan conspicuously appointed—and court and country rejoiced. Those who broke up their faction were rewarded without delay; yet those they had entrapped—how could they be detained for years? Moreover, when men are called rebels, proof of rebellion must be obtained. On a fragment of testimony alone execution was sought; torture was wantonly applied, and confessions poured forth without limit. Thus Xu Yougong was envied for leniency, and Husheluo was detained over a prostitute—all knew where wrong and right lay; these examples suffice, and the rest need no elaboration. I have also heard that Guo Hongba stabbed himself while shouting in triumph, and Wan Guojun was intercepted and died suddenly. Huo Xianke at his death had his knees drawn up to his neck; Li Jingren near death had his tongue extended to his navel. All were omens of ghosts filling the courtyard and demons warring in the streets, signs gathering in response like echo following sound. They are fully recorded in popular rumor—no idle tale; Bo You's daytime apparition scarcely surpasses them. This too is evidence of fabricated prosecutions. I, in my utmost foolishness, do not grasp the larger pattern; if several reviewers were appointed to reinvestigate the great trials pursued by Lai Junchen and others, perhaps Deng Ai would be vindicated today and the filial widow would not suffer as in former times—grace would flow uniformly, and the realm would be greatly fortunate.
27
When the memorial was submitted, an edict ordered a record of those whom Lai Junchen, Qiu Shenji, and others had prosecuted to death with confiscated property, and commanded the Three Offices to reinvestigate; all who had been wrongfully punished were cleared and pardoned.
28
In the first year of Shenlong under Emperor Zhongzong, an edict posthumously ennobled the late Vice Minister of the Court of Imperial Stud Xu Yougong as Regional Inspector of Yuezhou and specially granted one son an office, in recognition of his fair and lenient enforcement of the law. An edict also stripped titles and ranks from twenty-three men—from Qiu Shenji and Laizi Xun through Bao Sigong—who since the Chuigong era had wrongfully executed people. The realm rejoiced. As the dynasty changed hands, edicts entirely followed Zhenguan and Yonghui precedents. An edict charged Chief Minister Wei Anshi, Vice Minister of Rites Zhu Qinming, Vice Director of the Secretariat Su Gui, Bureau Director Di Guangsi, and others to compile edicts issued since the Chuigong Code through the first year of Shenlong into the Dispersed Promulgation Code in seven scrolls. They also revised and supplemented the old administrative formulary into twenty scrolls and promulgated it throughout the realm. At the beginning of Jingyun, Emperor Ruizong again charged ten officials—including Household Minister Cen Xi, Vice Director of the Secretariat Lu Xiangxian, Palace Officer Xu Jian, Bureau Director Tang Shao, Vice Bureau Director Shao Zhiyu, and revision officials Chen Yihai, Zhang Chubin, Zhang Mingbo, Luo Sizhen, and Yan Yizhuan—to revise the codes, formulary, statutes, and ordinances. In the second month of the first year of Taiji it was submitted under the title Taiji Code.
29
便 便 使
At the beginning of Kaiyuan, Emperor Xuanzong charged officials including Lu Huaihan, Li Yi, Su Ting, Lü Yanzuo, Wei Fenggu, Gao Zhijing, Hou Yingjin, and Yan Yizhuan to revise the codes, formulary, and ordinances; in the third month of the third year it was submitted as the Kaiyuan Code. In the sixth year Emperor Xuanzong again charged nine officials including Song Jing, Su Ting, Lu Congyuan, Pei Cui, Murong Xun, Yang Tao, Liu Lingzhi, Gao Zhijing, and Hou Yingjin to revise statutes, ordinances, codes, and formulary; in the third month of the seventh year it was submitted. The statutes, ordinances, and formulary kept their former names; the code was titled Post-Kaiyuan Code. In the nineteenth year, Palace Attendant Pei Guangting and Chief Minister Xiao Song, noting that edicts issued after the code often conflicted with its text and proved impractical, memorialized that the relevant offices compile the Post-Code Long-Applicable Edicts in six scrolls and promulgate them throughout the realm. In the twenty-second year, Minister of Revenue Li Linpu received another imperial order to revise the codes and ordinances. After Li Linpu was appointed Chief Minister, he worked with Palace Attendant Niu Xianke, Censor-in-Chief Wang Jingcong, and legal specialists including former Left Brave Guard armory clerk Cui Jian, Weizhou registrar Chen Chengxin on detail assignment to the Central Secretariat, Suanzao district captain Yu Yuanqi on detail assignment to the Ministry of Justice, and others to revise, prune, and collate the existing codes, formulary, statutes, ordinances, and edicts — 7,026 articles in all. Of these, 1,324 articles deemed nonessential were struck entirely. 2,180 were amended as the text required; 3,594 were left unchanged. The compilation totaled twelve scrolls of statutes, thirty scrolls of statute commentaries, thirty scrolls of ordinances, twenty scrolls of formulary, and ten scrolls of the New Kaiyuan Code. They also compiled Categories of Codes, Formulary, Statutes, and Ordinances in forty scrolls, grouped by subject for ease of reference. In the ninth month of the twenty-fifth year it was submitted to the throne; the emperor ordered fifty copies made at the Directorate-General of the Imperial Secretariat and dispatched throughout the realm. That year the Ministry of Justice handed down verdicts nationwide — only fifty-eight capital sentences in all. Vice Minister of Review Xu Qiao memorialized the throne: The Court of Review's prison yard had long been said to carry such a heavy air of death that birds would not settle there — yet now magpies had built nests in its trees. The officials took this as a sign that capital punishment had nearly been abolished altogether, and submitted congratulatory memorials. Emperor Xuanzong, crediting his chancellors with reforming governance and his judges with delivering equitable verdicts, enfeoffed Niu Xianke as Duke of Bin and Li Linpu as Duke of Jin, and granted officials of the Ministry of Justice and Court of Review two thousand bolts of silk between them.
30
輿 使 西 西 便
From the Mingqing era through the sixty years leading to Xiantian, Emperor Gaozong ruled with generosity and forbearance while power slipped to the inner court. Empress Wu, once enthroned, ruled with suspicion and ruthless bloodshed. Princes and ministers were broken on the rack of her cruel henchmen, until the dynastic succession itself was nearly wrenched from the House of Li. After the Shenlong restoration, the empress's kin again grasped at power; when Emperor Ruizong took the throne in the Jingyun era, Princess Taiping clung to authority at his side. During the Kaiyuan reign, criminal law and the dispensation of reward and punishment rested solely with the emperor — forty years that could truly be called an age of peace. When treacherous ministers and mutinous frontier generals drove the emperor into exile in Ba-Shu and installed the crown prince at Shuofang, the capital was retaken within a single year — a recovery of the dynasty swifter than any recorded since writing began. Yet many officials of both capitals, having been forced to submit to the rebels, now came in droves to the palace to await judgment. The men in charge, however, were bent on imposing harsh sentences to intimidate — they would wipe out entire families to make an example of the realm. Debate dragged on unresolved until the court appointed five commissioners — Chief Censor and Jingzhao Intendant Li Xian, Vice Minister of War Lu Shen, Vice Minister of Revenue and Censor-in-Chief Cui Qi, Vice Minister of Justice and Censor-in-Chief Han Zemu, and Chief Minister of Review Yan Xiang — to serve as the Three Commissions. At first, when Western Capital officials such as Lu Dajun who had fallen into rebel hands returned to the loyal side, Cui Qi drew up a ritual requiring them to remove their caps, go barefoot, beat their breasts, and wail. Gold Guard and prefectural officers surrounded them as they confessed their crimes at court, then they were handed over to the prisons of the Court of Review and the Jingzhao prefecture. When several hundred senior officials including Chen Xilie arrived, they were subjected to the same barefoot humiliation in the hall of audience while Chancellor Miao Jinqing, Cui Yuan, Li Lin, and the rest of the bureaucracy looked on. The court, regarding this as a disgraceful spectacle, issued an edict rebuking the commissioners. Because so many stood accused and the prisons could not hold them all, the court assigned Yang Guozhong's former residence as the venue for interrogations. Cui Qi and Lu Shen largely shaped their judgments to please the throne and pressed for harsh penalties; Han Zemu neither affirmed nor challenged their findings; only Li Xian fought back vigorously. They eventually ranked the proposed offenses in six grades and summoned the bureaucracy to the Ministry of Personnel for deliberation. Emperor Suzong was then governing through harsh penal law, and the senior officials merely murmured assent and affixed their signatures. Thirty-nine officials including Henan Intendant Daxi Xun were deemed to have committed grave offenses and were condemned along with their accomplices. Eleven, including Xun, were executed west of Zi Gate. Seven — Chen Xilie, Zhang Ya, Guo Na, Dugu Lang, and others — were permitted to take their own lives in the Court of Review prison. Twenty-one — Daxi Zhi, Zhang Pi, Li Youfu, Liu Ziying, Ran Dahua, and others — were beaten to death with heavy cudgels at the gate of the Jingzhao prefecture. Chief Minister of Review Zhang Jun was taken to the execution ground beneath the Lone Willow Tree, spared death, and banished to Hepu Commandery — but Daxi Xun and Wei Heng were cut in two at the waist. Earlier, when An Qingxu had reached Xiangzhou, Shi Siming, Gao Xiuyan, and others had all submitted pledges of loyalty and begged for pardon; Emperor Suzong had restored each to office and left them in command of their troops. Now, fearing for their lives, they each led their followers in revolt. Thereafter the Three Commissions continued their prosecutions year after year without resolution, and a stream of exiles and demotions followed. When Wang Yu became chancellor, responding to widespread public outrage, he persuaded the throne to decree that all pending Three Commissions cases be dismissed — a move that won him tremendous goodwill. Later, after Xiao Hua recaptured Weizhou and rejoined the loyal cause, he told the court: "When officials in Hebei first heard the decree pardoning coerced followers such as Chen Xilie and restoring them to office, many regretted having delayed their return and grew uncertain in their conduct. But when word came that Chen Xilie and the others had been executed, they congratulated one another on their shrewd hesitation — and none dared defect back. The Hebei commanders and officials grew only more resolute, and the rebellion dragged on without end."
31
Later came men such as Mao Ruoxu and Jing Yu — cruel extortionists who seized power overnight, killing to satisfy their appetite for punishment and squeezing the people to fill the treasury. Over the next six or seven years great trials followed one after another, and the prefectures and districts swarmed with the exiled and demoted. Emperor Suzong, learning how reckless the Three Commissions had become, once lamented: "I was deceived by the Three Commissions — the resentment runs deep." On his deathbed, with Yuan Zai as chancellor, he issued an edict ordering all exiles and demoted officials throughout the realm to be released and sent home.
32
使 使 使使 使使 使
In the first year of the Baoying era under Emperor Daizong, the Uyghurs defeated Shi Chaoyi in battle and captured four hundred eighty of his soldiers together with their wives, children, and elderly dependents. Though these women were counted among the rebel camp, the emperor recognized them as daughters of respectable families who had been seized by force. Moved to pity, he ordered Wanian County to shelter them at Shengye Temple and provide rations. If relatives came forward to claim them, they were free to take them home; Those without kin were free to go wherever they chose, with travel rations provided for the journey. The populace responded with universal gratitude and joy. On the first day of the sixth month in the fourteenth year of the Dali era, Emperor Dezong proclaimed a general amnesty from Danfeng Tower. The amnesty proclamation read: "Where provisions of the statutes, ordinances, codes, and formulary remain unresolved, the Secretariat and Chancellery shall select learned and clear-sighted officials to revise them jointly. Edicts issued since the Zhide era — whether in response to petitions or promulgated ad hoc — conflict with one another and sow confusion. The Secretariat, Chancellery, and revising officials shall adjudicate them carefully and incorporate those suitable for permanent use into the code. The Three Commissions shall comprise one censor-in-chief, one secretariat drafter, and one director of scrutiny, as the formulary prescribes. Each day they shall receive petitions in the hall of audience and conduct investigations and dispositions." In the second year of the Jianzhong era, the commissioners for revising codes and ordinances and the Three Commissions were abolished. Previously the Secretariat and Chancellery had served as the commissioners for revising codes and ordinances, while directors of scrutiny, secretariat drafters, and the censor-in-chief had staffed the Three Commissions. At this point the Secretariat and Chancellery petitioned to restore the former arrangement, with the Ministry of Justice, Censorate, and Court of Review resuming responsibility. Revision of the codes and ordinances was assigned to the Ministry of Justice. An edict of the ninth month of the fourth year of the Yuanhe era: "The Ministry of Justice and Court of Review take far too long to resolve cases involving prisoners — a delay that only encourages criminal impunity. Henceforth the Court of Review's review and adjudication shall not exceed twenty days, and the Ministry of Justice's confirmation shall not exceed ten days. If the Ministry of Justice's review yields a discrepancy, the Court's re-examination shall not exceed fifteen days, and the Ministry's follow-up review shall observe the same deadline. When a case requires dispatch to an outer prefecture or investigation within the capital, the investigating office shall report its findings the same day. Once a dispatch arrives, the office under investigation shall reply within five days. The Ministry of Justice shall record the dates of all outgoing and returning dispatches and report them to the Directorate-General and the separate investigating commissioners, who shall monitor compliance and report any violations."
33
In the ninth month of the sixth year, Liang Yue of Fuping County killed Qin Guo, his father's murderer, and turned himself in at the county magistrate's office to accept punishment. An edict declared: "Vengeance killing is subject to the eternal law. Yet this man came forward of his own accord to declare his grievance and accept judgment, facing death as one might a homecoming — an act born of primal filial instinct. He sought only to fulfill his duty, with no thought of escape; rather than punish too lightly, We choose leniency — commuted from death under special grounds. He shall receive one hundred strokes of the cudgel and be banished to Xun Prefecture." Vice Director of the Office of Army Appointments Han Yu submitted a memorial:
34
使 便
I respectfully received the edict of the fifth of this month: on the question of revenge, the ritual classics hold that filial obligation is as weighty as Heaven itself, while the legal code declares that one who kills shall die. Ritual and law alike are the twin foundations of royal governance. Where they diverge, reasoned debate is essential — hence the order that the Directorate-General convene for deliberation and report to the throne. I submit 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 canonical and historical texts — and never once has such an act been condemned and punished. This matter ought to be addressed in the statutes, yet no such provision exists — and this is no accidental omission. The reason, I believe, is that forbidding revenge would wound the filial heart and betray the teaching of the ancient kings; yet permitting it would invite people to take the law into their own hands, with no means to check the violence at its source. Though the statutes derive from the sages, it is the officials who enforce them. What the classics illuminate is meant to guide those same officials. By anchoring the principle in the classics while burying the matter deep in the statutes, the intent is to bind the legal clerks to the letter of the law while allowing scholars of the classics to invoke canonical authority in deliberation. The Rites of Zhou states: "When one kills another justly, forbid revenge upon him; whoever takes revenge shall die." 'Righteous' means 'fitting.' This makes clear that when a man is killed without just cause, his son may take revenge. This concerns private blood feuds among common people. The Gongyang Commentary says: "If the father did not deserve execution, the son may take revenge." 'Did not deserve execution' means the crime did not warrant capital punishment. The Rites of Zhou also states: "Whoever seeks to take revenge must first register his intent with the magistrate; if he then kills his enemy, he is without guilt." This means that one who intends revenge must first declare it to the authorities — only then is he without guilt. Your Majesty now attends to the canon of law, seeking to establish fixed regulations. Out of regard for the strict adherence of officials to the letter of the law, and sympathy for the filial heart, you decline to decide alone and seek counsel from the assembled officials. I am convinced that though all such acts bear the name of revenge, the circumstances differ in each case. Some cases involve private blood feuds among common people, as described in the Rites of Zhou — these may be adjudicated under present law; others involve fathers executed by officials, as the Gongyang Commentary describes — a principle that cannot be applied today. The Rites of Zhou also stipulates that one who registers his intent to take revenge with the magistrate before acting is without guilt. But an orphaned youth, frail and alone, nursing a private vow while waiting for his enemy's moment of vulnerability, may well be unable to declare himself to the authorities — and this cannot serve as a precedent for judgment today. Execution and pardon, then, cannot be governed by a single rule. I propose a regulation: whenever a man avenges his father's murder, the full circumstances shall be submitted to the Ministry of Personnel for collective deliberation and report to the throne. Let each case be weighed on its merits — and neither the classics nor the statutes will lose their proper meaning.
35
使
In the eighth month of the thirteenth year of the Yuanhe era, Military Commissioner of Fengxiang Zheng Yuqing and others completed a thorough revision of the Post-Code Edicts in thirty scrolls, submitted by six revisers including Right Department Director Cui Yan. That same year, Vice Ministers of Justice Xu Mengrong, Jiang Yi, and others were ordered to revise the compilation, producing a new edition of thirty scrolls. Vice Minister of Justice Liu Bochu and others reviewed and ratified the work, preserving the original thirty-scroll format.
36
In the fifth month of the first year of the Changqing era, Censor-in-Chief Niu Sengru memorialized: "Criminal cases throughout the realm languish in delay. I request that time limits be established. For major cases, the Court of Review shall complete its review within thirty-five days and report to the Ministry of Justice, which shall submit its findings to the throne within thirty days. For medium cases, the Court of Review shall have thirty days and the Ministry of Justice twenty-five. For minor cases, the Court of Review shall have twenty-five days and the Ministry of Justice twenty. A case involving ten or more offenders and twenty or more adjudicated offenses shall be classified as major. Six or more offenders and ten or more adjudicated offenses shall be classified as medium. Five or fewer offenders and ten or fewer adjudicated offenses shall be classified as minor. When the offenses charged and the penalties imposed were identical, even a large number of offenders were counted as a single case. Violations were punished according to degree." In the fourth month of the second year, Vice Director Sun Ge of the Ministry of Justice memorialized: "Zhang Li of Yunyang County in Jingzhao owed money and grain to Kang Xian, an officer of the Palace Guards. When Xian pressed for payment, Li seized him while drunk and nearly strangled him. Xian's son Maide, aged fourteen, came to rescue his father. Li butted and struggled violently; Maide dared not grapple with him to pull him off, but struck Li on the head with a wooden spade until blood flowed. Li died three days later. By statute, when a son rescues a father under assault and injures the assailant, the penalty for ordinary assault is reduced by three grades. If death results, the ordinary statute applies. Maide's rescue of his father sprang from filial nature, not violence; his striking Zhang Li arose from urgent devotion, not ferocity. At such a tender age, in the fullness of father-son devotion—without the sage influence of your reign, how could a child achieve such a deed? The Royal Regulations state that the principle of the five punishments must weigh father-son affection and carefully measure degrees of severity. The Spring and Autumn Annals teach that guilt is determined by examining the heart. The Book of Zhou instructs that all punishments allow discretionary latitude. Maide has lived under your sage influence from birth and in youth has shown utmost filial devotion. Compassionate pardon rests in your mercy alone. It is my duty to deliberate on punishments and to distinguish right from wrong." An edict declared: "Kang Maide is still a child and understands a son's duty. Though killing a man warrants death, his act on his father's behalf is deeply pitiable. To apply the full penalty for homicide would lose the principle of weighing intent. Hand the case to the judicial offices and reduce the death penalty by one grade."
37
使
In the twelfth month of the seventh year of Dahe the Ministry of Justice memorialized: "We were earlier ordered to review the sixty scrolls of Newly Compiled Regulations and Subsequent Edicts submitted by former Assistant Grand Judge Xie Deng. We examined Deng's submission against principles, precedents, regulations, and forms. Provisions of passing importance, temporary favors, inconsistencies, and copying errors have all been struck or corrected. Complexity was removed and essentials retained, organized by bureau and category, in fifty scrolls altogether. We humbly request that it be promulgated and put into effect." The request was approved. In the fourth month of the eighth year an edict declared that light offenders—apart from grave corruption that the law cannot pardon—were not to be flogged on the back for ordinary errors or routine violations of official duty. This followed a precedent of Taizong. Before long Jingzhao Intendant Wei Chang memorialized: "The capital is vast and crowded, a gathering place for the crafty and powerful. Despite constant punishment offenders remain numerous; the slightest leniency makes them hard to restrain. If I strictly obey the edict, I cannot maintain order; if I apply punishments as circumstances require, I violate the imperial order. I humbly request permission to dispose of cases according to severity as before." The request was granted.
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In the fourth year of Kaicheng the Secretariat and Chancellery completed the Criminal Law Regulations in ten scrolls, and an edict ordered their implementation.
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