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卷七十一 志第四十七 選舉三

Volume 71 Treatises 47: Selection of Officials 3

Chapter 71 of 明史 · History of Ming
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1
使 ? 殿 使
After the Founding Emperor took Jinling, he recruited the Confucian scholars Fan Zugan and Ye Yi to office. When he captured Wuzhou, he summoned the scholars Xu Yuan, Hu Han, and others to lecture daily on the classics, history, and principles of government. After capturing Chuzhou, he brought the senior scholars Song Lian, Liu Ji, Zhang Yi, and Ye Chen to Jiankang and housed them in the newly founded Hall for Honoring the Worthy. Song Lian was appointed commissioner of Confucian education for Jiangnan and other circuits; Zhang Yi and Ye Chen were made superintendents of military-agricultural colonies; Liu Ji stayed at headquarters to join in strategic planning. In the third month of 1364, he instructed the Central Secretariat: "As our territory expands daily, we must employ both civil and military talent. Men of outstanding and extraordinary ability surely exist in the world. Some hide in the mountains and forests, others among the ranks of common soldiers; unless those in authority open the way and draw them out, they have no means to make themselves known. Henceforth, anyone able to submit memorials, expound principles of governance, or demonstrate exceptional military talent shall have his name reported in full by the military staff and the regional command. Those who cannot write polished essays but whose insight is worth heeding may come to court and present their views in person. Prefectural and county officials over fifty, though seasoned in administration, have waning energy; the relevant offices should select promising men from the populace aged twenty-five or above who are quick-witted, learned, and capable, summon them to the Secretariat, and let them serve alongside the older officials. After ten years the elders will retire, and the younger men will already be seasoned in office. In this way talent will not run short, and every office will obtain the right man. Subordinate offices should proclaim this policy throughout the realm." Thereupon prefectures and counties began recommending men of talent each year, along with the brave in war, skilled in strategy, and versed in astronomy; occasionally also men who had mastered both the classics and penal statutes. Soon afterward strict rules were imposed on recommendations, and those who recommended indiscriminately were arrested and punished. In 1367, the emperor sent palace attendants Wu Lin, Wei Guan, and others bearing gifts of silk and currency to seek out hidden worthies throughout the realm. In 1368, worthy men from across the empire were summoned to the capital and appointed prefects and magistrates. That winter he again dispatched Wen Yuanji, Zhan Tong, Wei Guan, Wu Fu, Zhao Shou, and others to travel the empire in separate routes seeking talent, each granted a gift of silver before setting out. In 1370, he told the court ministers: "The six ministries oversee all affairs of the empire; only men of broad learning and combined talent and virtue are fit to hold such posts. Some may be living in seclusion in the mountains, others held down in low posts; order the relevant offices to search them out with all diligence." In 1373, he issued another edict: "Worthy talent is the treasure of the state. The ancient sage kings toiled to find worthy men, as King Gaozong did for Fu Yue and King Wen did for Lü Shang. Were those two rulers lacking in wisdom? Yet they anxiously sought among men who built walls and pounded knives. For without a full complement of worthy men, good government cannot be achieved. The swan can soar far because it has wings; the dragon can vault through the waves because it has scales and fins; and the ruler can bring about good order because he has worthy men to assist him. Men in the mountains and forests whose conduct and literary accomplishments are commendable should be gathered and recommended by the relevant offices, sent to the capital with full ceremonial honors, and I shall employ them in pursuit of supreme governance." That year the civil service examinations were abolished, and the relevant offices were instead ordered to investigate and recommend worthy men, taking moral conduct as the foundation and literary accomplishment as secondary. The categories were Intelligent and Upright, Worthy and Upright, Filial and Fraternal with Agricultural Diligence, Confucian Scholar, Filial and Incorrupt, Budding Talent, Talent, and Elderly Subject. All were escorted to the capital with full ceremonial honors and promoted out of regular order. Students presented from the provinces likewise advanced through the Imperial College. The examinations remained suspended for ten years until 1384, when they were restored; the recommendation system continued in parallel and was never abolished. At that time officials great and small at court and in the provinces could all recommend candidates; even clerks in granaries, treasuries, offices, and bureaus of miscellaneous rank were ordered to recommend men of literary learning and ability. Those who had arrived through recommendation were in turn ordered to recommend others. Thus whether in mountain caves or thatched huts in poverty, none failed to reach the throne; those who rose from commoner cloth to high office are beyond counting. The aged scholars Bao Heng, Yu Quan, Quan Sicheng, Zhang Changnian, and others, all over ninety, were summoned to the capital and immediately appointed Grand Academicians of the Wenhua Hall. The scholars Wang Ben, Du Jiao, Zhao Minwang, and Wu Yuan were specially installed as the Four Assistants, concurrently serving as Masters of Ceremony for the Heir Apparent. Guo Youdao, recommended as Worthy and Upright; Fan Min and Zeng Tai, as Budding Talent; Zheng Yi, as Talent from a tax household; and Zhao Zhu, as Confucian Scholar—all began their careers as Ministers. The scholars Zhang Ziyuan and Zhang Zongde became Vice Ministers. The senior scholars Liu Yi and Guan Xian became Vice Censors-in-Chief. Zhang Wentong and Ruan Zhongzhi, masters of the classics, became Assistant Censors-in-Chief. He Congdao, recommended as Talent, became Vice President of the Court of Judicial Review. Li De, recommended as Filial and Incorrupt, became Prefectural Governor. Wu Yan, recommended as Confucian Scholar, became Director of the Imperial College. Luan Shiying, Xu Jingsheng, and Li Yanzhong, recommended as Worthy and Upright, and Zhang Qiong and Wang Lian, as Confucian Scholars, became provincial administration commissioners. Li Haocheng and Nie Shiju, recommended for filial piety and fraternal duty; Jiang Ansu, Xue Zhengyan, and Zhang Duan, as Worthy and Upright; and Song Liang, for literary accomplishment—all became administration commissioners. Zheng Konglin, Wang Dechang, and Huang Tongsheng as Confucian Scholars; Yu Yingju, Ma Wei, Xu An, Fan Mengzong, He Dezong, Sun Zhongxian, Wang Fu, and Wang Qing as Worthy and Upright; and Zhang Datong and Jin Sicun as Intelligent and Upright—all became Administration Councilors. Such were the cases of conspicuous promotion. Those who gradually rose to high office were likewise beyond counting. He once instructed the Ministry of Rites: "Summon to the capital men who have mastered the classics, are exemplary in conduct, and are experienced in current affairs. Those between sixty and seventy should be placed in the Hanlin Academy as advisers. Those between forty and sixty should be employed in the six ministries and the provincial administration and surveillance commissions." At that time there was no other path to office, so many men rose suddenly to high rank. When the Ministry of Personnel reported those recommended for appointment, the numbers often exceeded 3,700; even the smaller lists ran to more than 1,900. Wealthy household elders were also permitted audience at court; when their responses pleased the emperor, fine offices were granted on the spot. The Kuaiji monk Guo Chuan was promoted on Song Lian's recommendation to Hanlin Attendant—such cases can be verified in the records. When the examinations were restored, both paths were used together without either being disproportionately favored. During the Jianwen and Yongle reigns, men who began their careers through recommendation could still be appointed within to the Hanlin Academy or without to provincial commissions. Yang Shiqi, though only a private scholar, and Chen Ji, though a commoner in plain cloth, were abruptly appointed chief compilers of the Veritable Records of the Founding Emperor—such was the disregard for formal qualifications. Afterward the examinations grew more important day by day while recommendation grew lighter; men skilled in letters mostly advanced through the examination hall, which they took as their glory; and though the relevant offices repeatedly carried out edicts seeking talent, worthy men had grown scarce and they merely went through the motions.
2
西 殿 殿 西西 使
The Xuande Emperor once bestowed his own compositions "Melody of the Orchid" and "Poem Summoning the Recluse" upon the ministers as encouragement to seek out hidden talent. Few genuinely responded, and popular sentiment likewise despised the practice. In 1436, the Nanjing Ministry of Personnel reported: "During the Xuande reign an edict ordered the provincial administration and surveillance commissions and all prefectural, subprefectural, and county officials to recommend one worthy and upright man each; recommendations have still not ceased and ought to be stopped." The emperor held that the court's quest for talent could not be halted; henceforth all arrivals would be examined by senior officials of the six ministries, the Censorate, and the Hanlin Academy—those who passed would be employed, those who failed dismissed. Recommendations grew ever rarer. A 1457 edict stated: "Among private scholars, any whose learning comprehends heaven and man, whose talent can sustain the state, who tread high paths without seeking fame—the relevant offices should report the facts to the throne." Censor Chen Ji memorialized the learning and conduct of the Chongren scholar Wu Yubi; the emperor ordered Jiangxi Grand Coordinator Han Yong to invite him ceremonially to the capital. When he arrived he was summoned for audience and appointed Left Guidance Counselor. Wu Yubi declined on grounds of illness and refused the appointment. The emperor again had Li Xian present him at the Wenhua Hall and spoke to him gently: "I value your learning and conduct and have specially appointed you a palace officer to assist the Crown Prince." Wu Yubi firmly declined again. He was given a banquet at the Wenhua Hall with Li Xian in attendance, received an edict of praise and gifts, and was escorted home by imperial envoys—a singular honor. By 1483, the Guangdong provincial graduate Chen Xianzhang was recommended and appointed Hanlin Compiler but permitted to return home—the ceremonial honors had been greatly reduced. Later, during Hongzhi, the Zhejiang scholar Pan Chen; during Jiajing, the Nan Zhili student Wen Zhengming and the Yongjia scholar Ye Youxue—all received appointment as Hanlin Drafting Attendant through recommendation. During Wanli, the Huguang provincial graduate Qu Jiusi likewise received Drafting Attendant; the Jiangxi provincial graduate Liu Yuanqing was appointed Erudite of the National University; the Jiangxi recluse Zhang Huang received only a remote appointment as Instructor of Shuntian Prefecture. The Zhili recluse Chen Jiru, the Sichuan provincial graduate Yang Sixin, and others, though all recommended, were merely referred to the Ministry of Rites. In 1636, the Ministry of Personnel again discussed recommending filial and incorrupt men, stating: "In the ancestral reigns this was done only occasionally, without fixed regulations. Now it should be promulgated through all provinces with deliberate search; if there are truly filial and incorrupt men, men of talent and virtue who have mastered the classics and are exemplary in conduct, they should be passed from circuit intendants to the surveillance commissioner, reverified and memorialized to the throne, then examined and employed." Recommendations then spread throughout the empire, but all appointees were sent to ruined prefectures and counties and ultimately achieved little. By 1644, all vacancies in prefectures and counties fallen to the enemy in Henan and Huguang were permitted to be filled by grand coordinators and surveillance commissioners through selection and replacement, without restriction to examination graduates, miscellaneous ranks, or students. This was a desperate search for talent in crisis, not the normal institution for recruiting officers in times of peace. As in 1509, when grand officials of Zhejiang recommended Zhou Li, Xu Ziyuan, and Xu Long of Yuyao and Xu Wenbiao of Shangyu. Liu Jin, because all four were townsmen of Xie Qian and the draft edict had come from Liu Jian, forged an edict sending Zhou Li and the others to the Brocade Guard prison and banishing them to border garrisons; he fined Administration Commissioner Lin Fu, Shao Bao, Li Zan, and nineteen administration commissioners, administration councilors, and prefectural and county officials two hundred shi of grain each; stripped Jian and Qian of office; and decreed that men of Yuyao could not be selected for capital offices. This was the perversion in which recommendation brought disaster upon those recommended.
3
祿 滿 滿 西西 調
Matters of appointing officers fell to the Ministry of Personnel for civil posts and the Ministry of War for military posts, but the jurisdiction of Personnel was especially weighty. Personnel had four bureaus; the Bureau of Civil Appointments handled selection and credentialing, and the Bureau of Merits handled evaluation—these jurisdictions were especially important. Besides metropolitan graduates, provincial graduates, and tribute students, selectees included official succession students, grace students, merit students, supervised students, and Confucian scholars, as well as clerks, couriers, seal holders, accountants, seal cutters, translators, interpreters, and other miscellaneous ranks. Metropolitan graduates formed one path, presenters and tribute students another, clerks another—this was the so-called employment of three paths together. Capital posts such as registrars in the six ministries, secretaries, messengers, reviewers, and erudites, and outer posts such as prefects, investigating censors, and magistrates were selected from metropolitan graduates. Outer posts such as investigating censors, magistrates, and educational officials were selected from provincial graduates and tribute students. Capital chief officers of the five offices and six ministries and subordinate officers of the Communications Office, Court of Imperial Sacrifices, Court of Imperial Entertainments, and Household of the Heir Apparent were selected from official succession students. Prefectural and county deputies and chief officers of the metropolitan, administration, and surveillance commissions were selected from supervised students. Chief officers of outer prefectures, guards, and salt transport offices, miscellaneous posts at court and in the provinces, and offices within and without the regular salary ranks were selected from clerks, couriers, and the like. This was the general outline. The irregular exceptions can be inferred from this. First appointments were called awaiting selection; promotions were called advancement. The method of selection called for six evaluations and six selections each year in the Ministry of Personnel. In all there were six citation selections, six category selections, and two distant-region selections. Those awaiting selection and those whose evaluations had fixed them for promotion underwent the great selection in even-numbered months; the order was fixed in odd-numbered months. Those reassigned, demoted, in mourning, or awaiting appointment underwent urgent selection in odd-numbered months. Picked selection was conducted every three years. Provincial graduates seeking grace appointments and annual tribute students taking teaching posts followed no fixed schedule. In general, advancement required completion of the full evaluation term. If a vacancy had to be filled before the term was complete, it was called pushed advancement. Grand Secretaries and the Minister of Personnel were appointed by court recommendation or by special imperial order. Vice Ministers and below, and the Director of the Imperial College, were chosen by court recommendation jointly by the Ministry of Personnel and officials of third rank and above. The Director of the Court of Imperial Sacrifices and below were chosen by ministry recommendation. Commissioners and below were chosen by the Ministry of Personnel at a joint selection held at the Hongzheng Gate. Posts in the Household of the Heir Apparent were chosen by the Grand Secretariat; each office by its seal-holding chief. Among provincial offices, only grand coordinators and governors-general were chosen by court recommendation, shared among the nine ministers with the Ministry of Personnel presiding. Vacancies in the administration and surveillance commissions were filled by joint recommendation of officials of third rank and above. Surveillance and administration commissioners advanced by seniority. Border defense and military preparedness posts were mostly filled by selection and recommendation, with imperial commissions issued; border prefectures and their deputies likewise received commissions. Changping and Jizhou in Jiliao, Datong, Hequ, and Daizhou in Shanxi, Guyuan and Jingning in Shaanxi—sixty-one posts in all—were border vacancies, and appointments to them were especially carefully vetted. Those with merit were promoted out of turn; those who failed in guarding the frontier were punished without pardon. Inner-province surveillance and administration commissioners mostly advanced by seniority; later many were promoted out of turn, some four or five times in a single year, rising from assistant commissioner to administration commissioner. Surveillance and administration commissioners were often added beyond quota; besides circuit intendants and surveillance commissioners, several additional titles were often created, and the system could not be standardized. Chief and deputy officials of outer prefectures, subprefectures, and counties, and subordinate officials of the nine ministries at court, were all regular-selection officials; selection, appointment, transfer, and removal were entirely handled by the Ministry of Personnel. At first the drawing-lots method was used; by the Wanli reign it had changed to drawing slips. In 1601, Vice Director of Civil Appointments Ni Sihui submitted eighteen items on credentialing policy, one of which proposed the slip-drawing system. Minister Li Dai drafted implementation for approval; Sun Piyang followed and put it into practice. Though later some criticized its faults, it was never changed again for the rest of the Ming. During the Hongwu reign, the system of north-south rotation was established: southerners held office in the north, northerners in the south. Later, as the official system gradually settled, except for educational officials, one could not hold office in one's native province, but the north-south restriction was also removed. Early on, the Founding Emperor once held court at the Fengtian Gate to select officials and instructed that formal qualifications not be rigidly applied. Some selectees were immediately appointed Vice Ministers; surveillance and administration commissioners were the most numerous; metropolitan graduates, supervised students, and recommended men were used in mixed combination. Supervising secretaries and censors were likewise half first appointments and half promotions. After the Yongle and Xuande reigns, qualifications were gradually followed, but the Censorate and Secretariat still had many first appointments. By the Hongzhi and Zhengde reigns, qualifications began to be strictly applied; presenters and tribute students, though together with metropolitan graduates called the regular path, differed in standing as greatly as heaven from earth. During Longqing, Grand Secretary Gao Gong said: "In the founding of the state, many provincial graduates rose to the highest offices and became renowned ministers. Later metropolitan graduates grew dominant while provincial graduates grew negligible—to the present the imbalance has reached its extreme. I request that from the time of first appointment onward, only administrative achievement be evaluated, without regard to one's origin." Yet the momentum had already accumulated too deeply and could not be reversed. During Chongzhen, memorialists repeatedly urged the doctrine of "using the three paths together." Occasionally one or two provincial graduates such as Chen Xinji and Sun Yuanhua were promoted and placed in key posts, only to end in disaster. Appointing the military examination graduate Chen Qixin as supervising secretary likewise destroyed his reputation. Thereupon the court again concluded that following formal qualifications was preferable. Yet those on the first examination list who brought harm to the state were likewise not few.
4
滿 滿 西西西西 滿
Supervising secretaries and censors were together called the Secretariat and Censorate paths. The Secretariat path had fifty posts; the Censorate path one hundred twenty. From early Ming through Tianshun and Chenghua, metropolitan graduates, presenters and tribute students, and supervised students were all heavily used for selection and filling posts. Those advanced came from investigating censors and magistrates, and sometimes from educational officials. Later supervised students and newly passed metropolitan graduates were both excluded. Some commoner-raised scholars were reassigned; or those from inner and outer examination paths who had completed three years' evaluation were examined and selected—from within: registrars in the two capitals' five ministries, secretaries, messengers, reviewers, erudites, National University erudites and assistants; from without: investigating censors and magistrates. Those entering from investigating censor and magistrate posts were called administrative selection. If specially recommended, even if the salary term was not complete, one could still participate. Examination and selection depended on how many Secretariat and Censorate vacancies existed; there was no fixed quota. For conferring office, the Ministry of Personnel and the Censorate jointly drafted nominations; supervising secretaries were all substantively appointed, censors had to serve a one-year trial before substantive appointment—only commoner-raised scholars were exempt. During Jiajing and Wanli, it was often ordered that ministry registrars not be transferred to the Secretariat and Censorate paths; later this was occasionally still done. Presenters, tribute students, investigating censors, and magistrates were by rule permitted to participate in examination and selection together with metropolitan graduates, but in practice only about one in four were chosen. During Jiajing, supervised students were once permitted to participate in selection. This was soon abolished and not carried out. During Wanli, government institutions fell into neglect. In 1597, the combined old and new personnel of the Censorate and Secretariat did not reach half the established quota. In 1608, the Secretariat path had only a few men; the Censorate path only two. On the southern Secretariat path one man held nine seals for two years; on the southern Censorate path there was also only one man. The inner Censorate was already understaffed; outer assignments were also vacant—surveillance commissioners for Huai, Yang, Su, Song, Jiangxi, Shaanxi, Guangdong and Guangxi, Xuan-Da, Gansu, Liaodong, and the Shaanxi tea-horse and Hedong salt administrations—vacancies lasted several years. Supervising Secretary Chen Zhize requested urgent examination and selection; the throne did not respond. In 1611, the examination and selection memorial was submitted but again retained at court and not issued. Investigating censors and magistrates proposed for advancement to the Censorate and Secretariat waited for orders below the palace gate, unable to come or go as they wished. In 1618, Censor in charge of the Henan circuit Wang Xiangheng again said: "Of the thirteen censorate circuits only eight censors are on duty; of the six supervising secretariats only five secretaries—and missions for investiture, examination administration, and inner and outer tours reporting completion, illness, or requesting replacement arrive in succession; expedient methods should urgently be discussed." Grand Secretary Fang Congzhe also said: "The gentlemen awaiting examination and selection have waited six years and endured every hardship. The Ministry of Personnel proposed consulting the Ministry of Rites and the Censorate to assign missions in order—a makeshift method. Better to specially permit ministry recommendation and let these gentlemen receive orders and take up office, which would suffice to preserve governmental dignity." In the end none of these proposals received a response. By the beginning of the Guangzong reign, the earlier and later examination and selection memorials were all issued, and the Censorate and Secretariat were suddenly fully staffed. The rule of examination and selection was: the best received supervising secretary; the next, censor; the next below was used in ministry posts. Though there was a temporary examination, beforehand there were inquiry lists drawn up by the nine ministers and Censorate and Secretariat officials, often used as the basis for ranking candidates. In 1630, when the Ministry of Personnel completed examination and selection, it memorialized several men to be advanced to supervising secretary and censor; because two secretaries' inquiry lists disagreed on approval, it submitted a detailed memorial requesting a decision. The emperor rebuked them for shirking responsibility and ordered further deliberation, but did not rebuke the impropriety of inquiry lists. Capital officials who were not metropolitan graduates could not undergo examination and selection; for investigating censors and magistrates, presenters and tribute students could all be administratively selected. Yet among prefects and magistrates throughout the empire, metropolitan graduates accounted for thirteen parts in ten, presenters and tribute students for seventeen; for administrative selection of investigating censors and magistrates, metropolitan graduates accounted for nineteen parts in ten, presenters and tribute students for only eleven. What presenters and tribute students obtained was again mostly Censorate posts without Secretariat posts, more in the south than in the north. Censor Wang Daochun raised this point. The emperor said that in employing men one should judge by talent and ought not be bound by formal qualifications; he ordered the relevant offices to deliberate and implement. Under the original system, when censorial posts were urgently vacant, administrative selection was conducted at irregular intervals. In the Shenzong reign it was fixed at three years; by this time it was held every year. The emperor accepted Minister of Personnel Min Hongxue's request and restored the three-year interval. This was the general outline of selecting men for the remonstrance offices.
5
滿 調 沿 滿 使 .
Guaranteed recommendation was meant to supplement where the credentialing system fell short and to divide the power of the Ministry of Personnel. It began in 1384 with an order for officials attending court audiences throughout the empire to recommend incorrupt and capable subordinates. In 1403, capital civil officials of seventh rank and above and outer officials down to magistrates were each ordered to recommend one man they knew and promote according to talent. Later, if corruption became known, the recommender was punished jointly; this rule was also occasionally enforced. Yet in the Hongwu and Yongle reigns, selection of officials was entirely handled through ministry requests. By the beginning of the Renzong reign, as government was renewed, in 1425 the order on guaranteed recommendation was specially reissued. Capital officials of fifth rank and above, supervising secretaries and censors, and outer administration and surveillance commissioners and chief prefectural, subprefectural, and county officials—each recommended men they knew. Only incumbent chief and deputy prefectural, subprefectural, and county officials and those who had committed corruption were not permitted to recommend; other officials held down in low posts, or among soldiers and civilians those who were incorrupt, upright, and capable of governing—all names were to be reported. At that time capital officials' power was not yet dominant; when Censorate and Secretariat terms were complete, the Ministry of Personnel memorialized advancement to regional prefects and magistrates. Later the rule was fixed: whenever the administration and surveillance commissions or a prefecture had vacancies, capital officials of third rank and above were ordered to guarantee recommendation. In 1428, Kuang Zhong, Zhao Yu, and others were promoted through recommendation to govern Suzhou, Songjiang, and other prefectures and granted imperial commissions to act. In 1435 Guo Ji, Yao Wen, and others were appointed prefects in the same manner. Those they memorialized and guaranteed included directors, vice directors, censors, clerks, messengers, and temple vice directors—all were included, not following regular transfer rules. Many of them later achieved notable administrative records. Ministry registrars and censors, recommended by senior officials of their halls, mostly proved capable in their offices. Those who headed the Ministry of Personnel—Jian Yi and Guo Lin—also repeatedly received imperial instructions. The emperor also feared that officials would dread joint punishment and refrain from recommending; he told Grand Secretary Yang Pu of the difficulty of finding fully qualified talent, saying: "One word of recommendation—how can it guarantee a man's whole life? To obtain worthy talent, one must above all strengthen methods of education and nurturing." Therefore at that time official governance flourished and was said to have reached its peak. Under Emperor Ying the former practice was followed in full. Yet after long practice abuses could not be avoided; those recommended were sometimes hometown kin, old friends, subordinates, or protégés—men long accustomed to private favoritism. Regional grandees Fang Zheng, Xie Zhuang, and others were punished because of guaranteed recommendation. Those with no official to recommend them—censors at court, prefects in the provinces—often went nine years without transfer. In 1442, the system of recommending magistrates was abolished. In 1446, Censor Huang Chang said: "Supervising secretaries and censors—in the founding of the state were memorialized for advancement to regional prefects and magistrates. In recent years regional prefects and magistrates have mostly been promoted through guarantees by court ministers; supervising secretaries and censors take impeachment as their duty—how can they fail to give offense to someone? I beg that the Ministry of Personnel be ordered to memorialize requests for appointment according to precedent." The emperor approved his argument and ordered the ministry to deliberate and implement. The next year, Supervising Secretary Yu Min again cited the failures of Fang Zheng, Xie Zhuang, and others, saying the recommender should be punished jointly. He also said that when regional prefects and magistrates had vacancies, the Ministry of Personnel should memorialize requesting the throne's decision. Minister Wang Zhi, the Duke of Ying Zhang Fu, and others said that regional prefects and magistrates promoted through guaranteed recommendation were mostly competent and the system could not be arbitrarily changed. Emperor Ying still followed Fu and Zhi's advice, but adopted Min's memorial, permitting remonstrance officials to point out faults and impeach. In 1448, Censor Tu Qian again stated that those who obtained regional prefects and magistrates through recommendation often abandoned their former conduct—a persistent abuse. He requested following the Hongwu system again, selecting and promoting from inner and outer officials who had completed nine years' evaluation, or personally choosing court ministers of talent and reputation for appointment. The edict approved. The precedent of grand ministers recommending officials was then abolished. During the Jingtai reign, guaranteed recommendation was restored. Supervising Secretary Lin Cong stated the abuse of sudden advancement through recommendation, saying: "More than thirty administration commissioner and other posts are now vacant; I request temporarily ordering officials of third rank and above to guarantee recommendation. Henceforth only administration and surveillance commissioners of third rank and above would jointly submit recommendations; all else would be entrusted to the Ministry of Personnel." An edict approved all of this. In 1469, Secretariat and Censorate officials again requested guaranteed recommendation for regional posts; the Ministry of Personnel therefore included prefects as well. The emperor followed the remonstrance officials' request but ordered that prefectural vacancies still be filled by Ministry of Personnel recommendation. After a year, because joint recommendations were mostly inappropriate, for regional officials the ministry was only ordered to recommend two candidates and report; the order on guaranteed recommendation was abolished. Later Censor-in-Chief Li Bin requested that capital officials of fifth rank and above in charge of affairs, and supervising secretaries and censors, each recommend men they knew for subprefectures and counties. The request was approved. In 1499, an edict again ordered ministry and court grand ministers each to recommend regional prefects and magistrates. The Ministry of Personnel therefore requested following the precedent of former years when Censor Ma Wensheng was promoted to surveillance commissioner and Tu Shu to assistant censor-in-chief, promoting one or two out of turn as encouragement, while also drawing on those not recommended by grand ministers. All of this was approved. At that time Emperor Xiaozong was keen to seek good government and ordered the ministries of Personnel and War each quarter to compile the résumés of senior officials in the two capitals and civil and military regional officials, prepare summary sheets, and memorialize them for imperial review; the guaranteed recommendation method was used in parallel but not solely relied upon for governance. After the Zhengde reign, the system of preparing summary sheets was gradually abandoned. In 1529, Supervising Secretary Xia Yan again requested following the Hongzhi precedent, including brief notes on recommendations and impeachments; each quarter in the first month ministry officials would send them to the Secretariat for the throne, and this was ordered fixed as regulation. But the method of guaranteeing recommendation for regional prefects and magistrates was never restored for the rest of the Ming.
6
As for those dismissed for offenses but recommended and advanced for urgent need of talent, this was called raising the dismissed. Those summoned from retirement at home, or pre-appointed because of urgent vacancies, were called supplementary notation. These were also not detailed in the credentialing regulations and were occasionally practiced after the mid-dynasty.
7
滿 滿 滿 滿 調調
Completion of evaluation terms and general investigation—the two supplemented each other in practice. Completion of evaluation judged the salary terms an official had served; the categories were three: competent, ordinary, and incompetent—upper, middle, and lower grades. General investigation reckoned all officials throughout the empire, inner and outer; the categories were eight: greedy, cruel, frivolous, inadequate, aged, ill, incompetent, and uncareful. The method of completing evaluation: at three years a certificate was issued for the first evaluation; at six years for the second evaluation; at nine years for the comprehensive evaluation. According to the precedents in Duties and Jurisdictions, evaluation determined advancement and demotion. Subordinates of ministries and directorates were at first only acting appointments; substantive appointment required completion of the evaluation term. Outer officials mostly underwent successive evaluations awaiting verification. Miscellaneous evaluations might run one or two years, or three or nine years. If the complexity of prefectures and counties was mismatched, their officials were exchanged—called transfer to a complex post or transfer to a simple post.
8
殿 退 滿 滿 使 滿 滿
In 1378, the Ministry of Personnel was ordered to grade officials attending court audiences. Those competent and without fault were graded upper and granted seating at the banquet. Those with faults but still competent were graded middle—they attended the banquet but were not seated. Those with faults and incompetent were graded lower—they did not attend the banquet but stood in order at the gate and withdrew only after the banqueters had left. This was the beginning of court-audience evaluation. In 1381, the method was somewhat standardized. Within the capital, officials in the six ministries below fifth rank were inspected for conduct and ability and their diligence verified by their yamen's chief official. Officials of fourth rank and above, all close-attendant officials and censors as organs of surveillance and discipline, and Imperial Medical Academy, Directorate of Astronomy, and princely establishment officials outside regular selection—all dismissal and promotion at term's end were decided by the throne. Chief and subordinate officials of directly administered circuits were evaluated by their circuit's chief official; at term's end surveillance censors conducted a re-evaluation. Chief officials of each provincial administration commission were all evaluated by the surveillance commission. Chief officials of tea-horse, salt-horse, salt transport, salt administration intendancies, and military posts were all evaluated by the administration commission and still sent to the surveillance commission for re-evaluation. Administration commission officials of fourth rank and above, and surveillance and salt transport commission officials of fifth rank and above—all dismissal and promotion at term's end were decided by the throne. Inner and outer officials in the regular stream and miscellaneous posts, upon completing nine years, received certificates and went to the Ministry of Personnel for evaluation; dismissal and promotion followed precedent. If there were truly special merit, unusual ability, or surpassing peers, the decision was taken from the throne.
9
殿
The complexity or simplicity of affairs and the grading of officials' past service were also cross-checked against each other to determine advancement or demotion in grade. The rule for complexity: outer prefectures with land tax above 150,000 shi, subprefectures above 70,000 shi, counties above 30,000 shi, or personally overseeing princely establishments and the metropolitan, administration, and surveillance offices, or having military garrisons, roads on courier routes, or border chokepoints for supply—all counted as complex posts. Prefectures with tax below 150,000 shi, subprefectures below 70,000 shi, counties below 30,000 shi, and secluded places—all counted as simple posts. All offices within the capital followed the complex-post rule.
10
In 1383, the capital-official evaluation system was somewhat adjusted; all evaluations were prepared by their chiefs and submitted to the ministry for verification. In 1385, the Ministry of Personnel reported that officials attending court audiences from administration and surveillance commissions, prefectures, subprefectures, and counties throughout the empire numbered 4,117 in all: one in ten competent, seven in ten ordinary, one in ten incompetent, and one in ten greedy or muddled. The emperor ordered the competent promoted, the ordinary returned to office, the incompetent demoted, the greedy handed to the judiciary for punishment, and the muddled dismissed as commoners. Between the Yongle and Xuande reigns, inner and outer officials for whom there had been no precedent were gradually added to the system. Following ministry deliberation, those competent in the first evaluation though not yet evaluated in the second but competent in the present evaluation, or ordinary in the first though not yet evaluated in the second but competent in the present—all were promoted under the competent precedent. From that time onward, the system was mostly carried out following the old rules. The advantages and disadvantages in between cannot be enumerated, but the law underwent no major change.
11
調 沿 退 退
The method of investigation: capital officials every six years, in the years of si and hai; officials of fourth rank and above submitted self-assessments for the throne's decision; those of fifth rank and below were variously retired, demoted, transferred, or dismissed as commoners, all listed in registers and memorialized—called the capital investigation. From the Hongzhi reign, outer officials were required to attend court once every three years; in the years of chen, xu, chou, and wei the investigation cycle followed—called the outer investigation. Subprefectures and counties reported monthly to the prefecture; the prefecture compiled evaluations and sent yearly reports to the administration commission. At three years, grand coordinators and surveillance commissioners jointly verified the affairs of their subordinates, compiled registers and reported in full, applying the eight categories. Disposition under investigation had four categories, the same as for capital officials. Practiced from early Ming and carried on without abolition—called the grand reckoning. Those singled out in the reckoning were not re-employed; this was fixed as permanent regulation. In 1371, Minister of Works Zhu Shouren was ordered to investigate the officials of Laizhou and other prefectures in Shandong. In 1373, censors of the Censorate and surveillance commissioners of each circuit were ordered to investigate local officials for faults and memorialize dismissal and promotion—this was the beginning of general investigation. In the Hongxi reign, censors were ordered to investigate outer officials; because commissioners could not be wholly impartial, Minister of Personnel Jian Yi was instructed to warn them strictly to strive for utmost fairness. In 1451, the Ministry of Personnel and the Censorate investigated more than 730 men due for dismissal. The emperor feared the list was inappropriate and gathered grand ministers to re-evaluate; only one in three were retained. In 1469, Nanjing Vice Minister of Personnel Zhang Lun and Assistant Censor-in-Chief Gao Ming investigated miscellaneous officials. The emperor, because seal-holding chiefs of each office did not all countersign, suspected impropriety and ordered Vice Minister Ye Sheng and Chief Supervising Secretary Mao Hong to investigate impartially; some decisions were revised. In the Hongzhi 6 investigation, those due for dismissal totaled 1,400 posts, plus 1,135 miscellaneous posts. The emperor instructed: "Regional prefects must cite actual deeds; do not use empty phrases and generalities that wrong innocent men. Below prefecture and subprefecture level, those in office less than three years should also be jointly verified and memorialized." Minister Wang Shu and others stated their case in full; but prefectural, subprefectural, and county officials who were greedy, base, and harmed the people—even if recently appointed—could not fail to be dismissed. The emperor ultimately held that talent was hard to obtain, issued earnest repeated instructions, and pardoned many. More than ninety who should have been dismissed were retained. Supervising secretaries and censors again submitted successive memorials requesting dismissal of omissions and those who should have left but remained; the emperor again ordered the ministry to cite actual deeds; Shu memorialized each official's evaluation and the ministry's investigations. The emperor ultimately held the evaluations not factual and ordered re-verification. Shu, his advice unused and suspecting slander, then strove to resign. By 1501, Nanjing Minister of Personnel Lin Han said that outer officials below commissioner level were investigated once every three years; military officials in both capitals and the provinces were examined every five years; only capital officials below fifth rank were investigated only every ten years—the law was greatly lax. An imperial instruction issued; the ministry memorialized approval as Han proposed, and the precedent of investigating capital officials every six years was fixed. In the year of the capital investigation, grand ministers submitted self-assessments. When departures and retentions were fixed, supervising secretaries and censors impeached those in office who had lapses—called picking up omissions. None of those attacked in the picking-up of omissions escaped dismissal. Between Hongzhi, Zhengde, Jiajing, and Longqing, scholar-officials valued integrity and shame, taking inclusion in the investigation register as a lifelong stain. By the Wanli reign, grand secretaries showed partial protection, occasionally retaining one or two to thwart the investigation register; the fiercest partisan struggles among officials were in the xinhai and dingsi years—the affairs are detailed in the various biographies. Once factional alignments were formed, they retaliated against each other until the state perished and only then ceased.
12
使 使 使 宿
The Ministry of War had four bureaus; the Bureau of Military Appointments handled removal and conferral, and the Bureau of Military Affairs handled army administration—these jurisdictions were especially important. All military posts: within the capital, the five offices and garrison commissions; in the provinces, each regional command, each guard and battalion, and the three pacification commissions and six consolation commissions. Metropolitan posts had eight grades: regional commanders, vice commanders, and commissioners; regional directors, vice directors, and commissioners; and chief and deputy garrison commissioners. Hereditary posts had nine grades: directors, vice directors, and commissioners; guard and battalion pacification commissioners; chief and deputy chiliarchs; centurions; and probationary centurions. In the directly administered provinces there were twenty-one regional directors, two garrison commissions, ninety-one guards, and two hundred eleven defense, agricultural colony, and herd battalions. Beyond these, Miao, Man, and native-official domains were all subject to ministry selection. From early in the Yongle reign three great camps were added, each with drill officers; each squad had branch officers, camp officers, and bureau officers. During Jingtai, ten regiment camps were established, later increased to twelve; each had camp officers, all placed under specially appointed trusted grand ministers—not chosen by the Ministry of War. For great selection the categories were lineage, appearance, conduct and ability, ennoblement grants, and succession grace. The paths were four: hereditary office, military examination, ranks, and purchased grade. At first, military posts mostly went to families of merit and long service. The Founding Emperor feared they would not follow discipline and issued them the Records of Admonition for Warriors and the Great Announcement Records for Military Officials. Later general talent was also used; triennial military examinations, hexennial joint examinations, and annual recommendations—all handled by the ministry for appointment. Over time law and discipline collapsed and appointments grew chaotic. During Zhengde, more than three thousand men were advanced on falsely claimed merit. During Jiajing, Household Master Huo Tao said: "In Chenghua, military posts had increased fourfold over the Founding Emperor's time; now they have increased several fold again. The Brocade Guard's original quota was 250 officers; now it reaches 1,700—nearly eight times as many. In early Hongwu, sons of military merit succession at age twenty underwent comparative examination; failing the first test, they took acting appointment and received half salary. After two years they were tested again; those who passed received full salary; those who still failed were conscripted as common soldiers. The law was extremely strict, so posts were not redundant and salaries were easier to supply. After Yongle, new officials were exempt from examination while old officials were tested immediately; bribery never failed—this is why military posts grew daily more redundant. When Yongle pacified Jiaozhi, rewards were given but no advancement in rank. Recently not only those who took enemy heads were advanced, but those memorialized as attached to campaigns and those who captured seditionists and bandits were all advanced—this is why military posts grew ever more redundant. Grand ministers should be ordered to follow the clear-yellow register precedent, ranking all military posts inner and outer by merit and examining succession from ancestors, uncles, nephews, and brothers. Whether merit from the Hongwu and Yongle years or from Xuande onward, grace succession for eunuchs' nephews, descendants of merit-kindred and imperial sons-in-law, or passing the military examination—each should be divided into grades, implicitly containing methods of pruning and reduction. Some permitted hereditary succession, some lifetime tenure, some permitted further succession, some not—each recorded in registers made clear and displayed as encouragement." Thereupon Supervising Secretary Xia Yan and others were ordered to investigate false and redundant appointments. Yan and others pointed out the abuses, saying: "Garrison officials memorializing attached names formerly stopped at five; now it reaches three or four hundred—for one man memorialized in several places, or gaining merit in several places at once. They also craftily established names and categories, kept records without review, and credentialing without investigation—corrections, re-promotions, combined-merit additional grants, and the like produced abuses in every direction and should all be reformed to display imperial judgment." The ministry verified as proposed. Favored and redundant appointees were cut by the thousands; long-standing abuses were cleared. In 1587, an edict again ordered strict investigation. It was also once ordered that grand coordinators, garrison commanders, and Secretariat and Censorate officials jointly with the Ministry of War grade seniority, test skills, order recommendation slips, and divide candidates into three grades—called public selection. Yet it was only an empty show and ultimately had little real effect.
13
Military official ranks stopped at sixth grade; the post was succeeded on death and replaced when the holder grew old or ill; when the line ended after generations, a collateral branch succeeded. At age sixty, sons replaced them. Early Ming fixed the rule: legitimate sons succeeded in order of age. If the line ended, legitimate sons, sons by concubines, and grandsons followed in order; if it ended again, a younger brother succeeded. After Yongle, garrison sons and surplus males from banner units who had seen battle merit were permitted to succeed with their original attached salary and duties—all followed this rule. Their demoted descendants still succeeded to the presently demoted post. In Hongzhi, collateral branches were ordered to succeed at reduced grade. In Zhengde, collateral branches were ordered to enter the general banner rank. In Jiajing, collateral branches without merit could not be recommended for succession. All promoted garrison sons succeeded to the father's post. Those guaranteed succession after death in battle received one grade of metropolitan promotion. All succeeding garrison sons were tested in mounted archery. In general hereditary posts were hard to verify, so precedents were especially detailed, yet long-standing abuses and clustered corruption were likewise numerous.
14
The greater the post, the more certain joint recommendation was required. When the Five Offices Regional Command seal-holder post was vacant, one incumbent duke, marquis, or earl was chosen. When vice-secretary posts were vacant, two were recommended from salaried dukes, marquises, and earls, capital regional directors, and outer chief and deputy regional commanders. Brocade Guard hall chiefs and forward guard seal-holder vacancies followed the five offices precedent of recommending two candidates. Regional directors, garrison commissioners, and below—one candidate was recommended. In 1521, the five offices and Brocade Guard were ordered to promote only regional directors with repeated meritorious achievements. Guard posts were not hereditary; only the Brocade Guard was hereditary.
15
Military army administration was the counterpart of civil investigation. In 1466, evaluation every five years was ordered for incumbent seal-holders, salaried officials, detached duty officers, and first successors together. In 1477, joint evaluation of both capitals was made regular practice. Five offices grand ministers and Brocade Guard hall chiefs submitted self-assessments awaiting imperial decision; direct-province regional commanders did likewise. Within the capital, five offices subordinates and direct-province guard and battalion officials were all annotated and forwarded by inspection officials and ministry officials; in the provinces, regional command and guard and battalion officials had registers compiled by grand coordinators and surveillance commissioners and submitted to the ministry. Below deputy commissioners and above chiliarchs—the three commissions inspected, annotated, and sent reports to coordinators, who consulted the ministry for evaluation, recommendation, and memorial. Brocade Guard officials managing military affairs received doubly strict evaluation; southern and northern pacification commissioners next. Each guard, battalion, local defense post, and regional command subordinate to grand coordinators followed the same rule. Only those managing grain transport were exempt from evaluation.
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