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卷九十三 志第六十九 刑法一

Volume 93 Treatises 69: Punishment and Law 1

Chapter 93 of 明史 · History of Ming
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Chapter 93
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1
沿
From the Han dynasty onward, criminal law underwent many changes and never settled into one consistent form. The Sui revised the five punishments and required three separate memorials before execution could proceed. The Tang compiled its code and edicts, using ritual propriety alone as the measure for judgment and penalty. The Song adopted Tang law, but placed greater weight on imperial edicts. Matters not covered in the code were governed by edict instead. Punishment therefore swung between leniency and severity, with no settled standard. Yuan practice simply codified whatever precedents happened to be in use at the moment. Early in the Ming, Chancellor Li Shanchang and others said, "Dynastic law codes have always looked back to the Han Nine Chapters; only under the Tang were they brought to completion. Our code should follow Tang precedent. The founding emperor agreed.
2
使
At first, having seen how indulgent Yuan rule had become, the Founder imposed harsh penalties, but only as temporary measures, not as permanent law. He issued repeated orders to revise the law, and by the thirtieth year of his reign had established a single uniform code, refined in every detail, which he enjoined his descendants to uphold. Any minister who so much as proposed a change was prosecuted for subverting the founder's institutions. Later abuses stemmed from ignorance of the code: officials assumed its broad principles could not cover every variation in fact, so they built precedents upon the code and precedents upon precedents, until precedent piled upon precedent and abuse knew no end. An early edict required censorial officials inside and outside the capital each to study and explain one provision of the code, then to test officials under them. Those who failed were punished in proportion to their rank. The aim was that everyone would grasp the spirit of the law. In time the edict became a dead letter. Corrupt officials could then bend the law and fix penalties as they pleased. Provisions for imperial review or ad hoc disposition applied to cases within the eight deliberations that officials could not investigate on their own, to doubtful trials where the charge was unclear, and to matters the code did not expressly cover—they did not authorize the court to kill or spare at whim. After the reigns of the Ying and Xian emperors, imperial clemency faded while informants and spies flourished. Monstrous crimes accumulated in vast dossiers, yet orders came down from above and were obeyed without question. Men who deserved no death might be sent to the imperial prison on a single written order—a calamity worse still. What follows is an overview of Ming criminal law, concluding with the palace prisons and guard establishments. Eunuch agents' names are incompletely preserved in older accounts; they are listed here for reference.
3
使 西
As soon as he pacified Wuchang, the founding emperor began planning a legal code. In the tenth month of winter of the Wu era's first year, he named Left Chancellor Li Shanchang to head the code commission, with twenty colleagues including Yang Xian, Fu Yong, Liu Ji, and Tao An as drafters, and told them: "Law ought to be plain and brief, so that anyone can understand it. If the articles multiply, or one act can be read two ways and punished lightly or heavily, clerks will exploit the ambiguity—that is not what law is for. A net too fine leaves no large fish in the water; a code too dense leaves no innocent citizen in the realm. Study the matter carefully, submit criminal-law articles to me each day, and I will weigh them myself. Whenever he went to the Western Tower, he seated his ministers and discussed the meaning of the statutes at leisure. In the twelfth month the code was finished: 145 ordinances and 285 statutes in all. Fearing ordinary people could not master the code, he had Chief Minister of Justice Zhou Zhen and others compile everything in daily civilian life—aside from ritual, institutions, revenue, and official selection—explain it plainly, and issue it to the counties as the Direct Explanation of Statutes and Ordinances. The founding emperor read it and said with delight, "My people will now seldom break the law."
4
In Hongwu 1 he set four scholar-officials and penal officials to study the Tang Code together, covering twenty articles a day. In year 5 he enacted bans on eunuchs and rules on kin concealing one another's crimes; in the summer of year 6 he published the Constitutional Outline of Statutes and Ordinances and sent it to every agency. That winter he charged Minister of Justice Liu Weiqian with drafting the Great Ming Code. Each time a section arrived, he had it posted in the side halls and revised it himself. When it was done, Hanlin Academician Song Lian submitted a memorial stating, "I received the order in the eleventh month of winter, Hongwu 6, and finished the code in the second month of the following year. Its chapters matched the Tang: Guard and Prohibition, Office Regulations, Household and Marriage, Stables and Storehouses, Unauthorized Enterprises, Banditry and Theft, Assault and Litigation, Fraud and Forgery, Miscellaneous Statutes, Apprehension of Fugitives, Trial and Punishment, and General Principles. It retained 288 old statutes, added 128 new ones, turned 36 ordinances into statutes, drafted 31 statutes for new matters, and borrowed 123 articles from the Tang Code to fill gaps—606 articles in thirty volumes. Some provisions were tightened, some relaxed, some left unchanged, all so that penalties would fit the crime. In year 9, finding some articles still unsatisfactory, the founding emperor had Chancellor Hu Weiyong, Censor-in-Chief Wang Guangyang, and others revise thirteen provisions. In year 16 he had Minister Kai Ji draft the fraud and forgery statutes. In year 22 the Ministry of Justice reported, "Recent precedents have been revised inconsistently, leading to improper verdicts. Please compile and issue them by category so that everyone inside and outside the capital knows what to follow. The emperor then ordered the Hanlin Academy and penal officials to gather recent additions and insert them by category. He moved the General Principles chapter to the front of the code.
5
The code comprised thirty volumes and 460 articles. General Principles: one volume, forty-seven articles. Officials Code: two volumes—Office Regulations, fifteen articles; Administrative Formulas, eighteen articles. Household Code: seven volumes—Household Service (15), Fields and Dwellings (11), Marriage (18), Granaries and Storehouses (24), Tax and Transit (19), Money and Debt (3), Markets (5). Rites Code: two volumes—Sacrifices, six articles; Ritual Institutions, twenty articles. Military Code: five volumes—Palace Guard (19), Military Administration (20), Passes and Ferries (7), Stables and Herds (11), Postal Stations (18). Penal Code: eleven volumes—Banditry and Theft (28), Homicide (20), Assault (22), Abuse (8), Litigation (12), Accepting Bribes (11), Fraud and Forgery (12), Adultery (10), Miscellaneous Offenses (11), Apprehension of Fugitives (8), Trial and Punishment (29). Works Code: two volumes—Construction, nine articles; River Control, four articles.
6
沿
There were two charts of the five punishments. The first chart listed five: beating with the light stick, beating with the heavy stick, penal servitude, banishment, and death. Light-stick beating had five grades, from ten to fifty strokes, increasing or decreasing by ten. Heavy-stick beating had five grades, from sixty to one hundred strokes, in steps of ten. Penal servitude had five grades: one year plus sixty strokes, one and a half years plus seventy, two years plus eighty, two and a half years plus ninety, three years plus one hundred—each extra ten strokes or half year marking one grade. Banishment had three grades—2,000, 2,500, and 3,000 li—each with one hundred strokes; distance increased by five hundred li per grade. Capital punishment had two forms: strangulation and decapitation. Outside the five punishments, servitude could total four years, or five under equivalent sentencing; decapitation, strangulation, and miscellaneous offenses could be reduced by grade where precedent allowed. Banishment included resettlement and relocation—one thousand li from home, one hundred strokes, equivalent to two years' servitude. Some offenders were sent beyond the frontier as commoners; the heavier penalty was military exile. Early in the Ming, military exile meant only frontier garrison farming. Later regulations classified destinations as outer frontier, miasma belt, remote border, border garrison, coast, and nearby districts. Military exile could be for life or perpetual. Besides strangulation and decapitation there was death by slicing, reserved for treason and comparable crimes. Military exile and slicing were not part of the orthodox five punishments and therefore were omitted from the chart. Repeat offenders in servitude or banishment were handled under the rules for retaining artisan and musician households at the original place of assignment. All three banishment grades carried one hundred strokes and three years of close detention. Close detention meant that exiles, once merely resettled, now also performed labor—the Tang and Song "banishment with added labor." Servitude offenders served at the original place of assignment; once strokes and term were fixed, total labor could not exceed four years.
7
The second chart listed seven instruments: light stick, heavy stick, interrogation stick, cangue, shackles, rope, and fetters. The light stick's thick end measured two fen seven li in diameter; the thin end was one fen smaller. The heavy stick's thick end measured three fen two li; the thin end was reduced by the same proportion as the light stick. Both sticks were made of thorn branches and blows were applied to the buttocks. The interrogation stick's thick end measured four fen five li; the thin end followed the same reduction as the other sticks. It was made of thorn branches and struck buttocks and thighs. All three sticks were three chi five cun long, measured against the official pattern, and must not be reinforced with sinew, glue, or nails. The cangue weighed from fifteen to twenty-five jin, with length and weight marked on it. It was five chi five cun long, with a head one chi five cun wide; shackles one chi six cun long and one cun thick were used for men sentenced to death. The rope was iron, one zhang long, used to bind offenders guilty of minor crimes. Fetters were iron rings for the feet; servitude offenders wore them during labor. They weighed three jin.
8
There were also eight mourning-garment charts: when relatives committed offenses, penalties were set according to mourning rank. Where ritual created moral obligation, foster mothers, stepmothers, and loving mothers all required three years of mourning. Assaulting or killing them carried the same penalty as assaulting or killing one's principal mother. Sisters-in-law wore five-month mourning; mutual concealment of offenses allowed stepwise reduction of punishment. Parents-in-law required three-year unhemmed mourning; assaulting, killing, or abusing them was punished like assaulting, killing, or abusing one's husband. Sons of one's maternal aunt, maternal uncle, and paternal aunt wore three-month mourning; as maternal cousins they could not intermarry.
9
Ten great abominations were defined: plotting rebellion, plotting great treason, plotting defection, wicked rebellion, impiety, great disrespect, unfilial conduct, clan discord, unrighteous conduct, and internal disorder. Even ordinary amnesties did not cover them. Six categories of corrupt gain were defined: theft by custodial officials, theft by ordinary persons, larceny, taking bribes by bending the law, taking bribes without bending the law, and passive receipt of illicit goods. Eight categories required deliberation before punishment: imperial kin, old associates, merit, worth, ability, diligence, rank, and distinguished guests.
10
The founding emperor told the heir apparent, "This code opens with two penal charts and then eight ritual charts because ritual comes first. Yet if leniency were noted under every article, ignorant people might take the law lightly and break it; so the emperor's mercy was gathered instead in the General Principles chapter. A skilled judge need only grasp its intent. The heir apparent proposed revising more than five articles, and the founding emperor approved them. The heir apparent added, "Clear penalties assist moral instruction; wherever the five relationships are involved, the law should yield to human feeling." He then ordered seventy-three articles revised and told him again, "When I ruled a turbulent age, punishments had to be severe. When you govern an age of peace, punishments should naturally be lighter—that is what is meant by penalties varying in severity with the times. In the twenty-fifth year, the Ministry of Justice reported that statute articles and precedents that conflicted should be reconciled. The founding emperor held that precedents were only temporary measures, whereas the codified statutes could not be changed, and he refused.
11
仿 使
In the thirtieth year, the proclamation completing the Great Ming Code was issued. At the Meridian Gate he addressed the officials: "I govern by following antiquity—clarifying ritual to guide the people, fixing laws to restrain the stubborn, and publishing them as binding ordinances. After long enforcement offenders were still many, so he composed the Grand Pronouncements to show the people how to seek good fortune and avoid harm. The ancients called punishment the "auspicious penalty"—did they not mean for the people to live together under heaven and earth! Yet the law lay with the magistrates and the people did not know it thoroughly, so he ordered the penal officials to take entries from the Grand Pronouncements, abridge the essentials, and append them to the Code. All placard bans and ad hoc prohibitions were abolished; apart from treason and what the Code and Proclamation covered, every other offense great or small was to be judged under the commutation precedents, compiled into a book, and published throughout the realm so all would know what to follow."
12
The Grand Pronouncements arose because the founding emperor worried that the people clung to Yuan customs, put private gain above the public good, and offenses grew daily; in the eighteenth year he compiled official and popular misdeeds into the Grand Pronouncements. It had ten headings: intercepting tax payments; security escorts who evade delivery; falsely registering land tax; withholding mandated goods; shifting levies onto abandoned fields; using the law to do evil; falsely reporting stolen soldiers; branding fugitives; officials and chief escorts who sell prisoners; and scholars empire-wide who refuse to serve the throne. Penalties for these offenses could go as far as confiscation of property and execution. The next year he issued the Supplementary Compilation and Third Compilation; all were sent to state academies to test scholars, and village tutors were set up in communities to teach them. Prisoners who owned a copy of the Grand Pronouncements had their sentences reduced by one degree. At the time more than 190,000 teachers and students from across the empire who had lectured on the Grand Pronouncements came to court; all were given paper money and sent home. After the Code and Proclamation were issued, the harsh commands recorded in the Grand Pronouncements were never applied lightly. Later offenders routinely invoked the Grand Pronouncements to reduce their sentences, without anyone even asking whether they actually owned a copy.
13
滿
On the whole Ming law was leaner and more streamlined than Tang law, but less generous than Song law. Its compassionate intent appears scattered through the articles; one example is enough to infer the rest. For example, when a penalty should be increased, conviction requires that the stolen goods reach the full threshold. For example, a supervising guard who steals what he guards faces strangulation when the stolen goods reach forty strings of cash. If the amount is only thirty-nine strings and ninety-nine wen, one wen short of the limit—no conviction. Aggravation stops at exile three thousand li; each step adds severity but never reaches the death penalty. When a sentence is reduced to exile, the offender moves from death to life, with no distinction between strangulation and decapitation. This corresponds to the Tang Code article on applying the heavier statute when increasing punishment. A "day" is counted as one hundred quarter-hours; a "year" as three hundred sixty days. For homicide limitation periods and various document deadlines, even if the delay falls slightly short of one quarter-hour, one still may not punish by the full limit in years or months—this follows the Tang precedent on counting days by one hundred quarter-hours. If someone committed a crime before old age or infirmity but the matter came to light when he was old or infirm, he is judged as old or infirm; if someone committed a crime as a child but the matter came to light after he had grown up, he is judged as a child. This corresponds to the Tang Code article on the young, the old, and the disabled. For capital crimes not excluded from ordinary amnesties, if grandparents or parents are elderly and without support, the offender may petition for the emperor's ruling. For penal servitude or exile, remaining offenses may be commuted by ransom so the offender may stay home to support his parents. This corresponds to the Tang Code article on crimes not among the Ten Abominations. Meritorious officials and officials of fifth rank and above in custody were allowed relatives to attend them; those sentenced to penal servitude or exile could also have attendants; violators were beaten. Cohabiting relatives who committed crimes were permitted to conceal one another. This corresponds to the Tang Code article on mutual concealment among cohabiting kin. Bondservants and maidservants were forbidden to accuse their masters. In all accusations, a plaintiff's grandfather could not name his grandchildren as witnesses; younger brothers could not testify against elder brothers, wives against husbands, or bondservants against masters. Civil officials were duty-bound to uphold the law; if sentenced to beating they were not considered for promotion. Military officials, even when sentenced to penal servitude or exile, could still be promoted on hereditary merit. In all such cases the code sometimes borrowed from Tang law and sometimes created new rules—what is meant by weighing cases through the bonds of father and son and the obligations of ruler and subject.
14
使
When the Jianwen Emperor acceded, he told the penal officials: "The Great Ming Code was personally set by our founding emperor, who ordered me to review it closely. Compared with earlier dynasties it is often harsher. Punishment is the law of a troubled age, not a code meant to endure for all generations. The revisions I proposed earlier the founding emperor has already ordered into effect. Yet cases where guilt is doubtful and deserving of compassion go beyond even these. Law sets great principles; ritual accords with human feeling. Harmonizing the people through ritual is better than doing so through punishment. Instruct all officials throughout the realm to honor ritual teaching, pardon doubtful cases, and express my wish to share joy with all the world. The Chengzu Emperor decreed that when judicial offices tried prisoners they must deliberate solely under the Great Ming Code and not recklessly cite placard texts and precedents to construct harsh charges. In the first year of Yongle, the law on false accusation was established. In the first year of Chenghua, it was again ordered that those reviewing prisoners must follow the orthodox statutes alone and abolish all precedents entirely. In the fifteenth year, Wang Su, grand coordinator of South Zhili, reported: "After the Great Ming Code there circulated a Consolidated Code in Current Use of 108 articles, of unknown origin. For example, the Military Code section on excessive ration payments and the Criminal Code sections on reviling imperial commissioners and one's immediate superior all assign penalties out of proportion to the offense. Circulated everywhere, they mislead officials in the performance of their duties. I ask that the printing blocks be recalled and destroyed. The court ordered them burned immediately; anyone who relied on this code to wrongfully convict or acquit would be punished for intentional misconduct. In the eighteenth year, the precedent on obtaining property through coercion and fraud was established.
15
便
During the Hongzhi reign, a century had passed since the statutes were codified, and enforcement grew laxer by the day. In the fifth year, Minister of Justice Peng Shao and others, at the request of Vice Minister of Ceremonial Li Zan, revised the Interrogation of Criminals Precedents. By the thirteenth year the penal officials memorialized again: "At the end of Hongwu the Great Ming Code was fixed; later the Grand Pronouncements were clarified so sentences could be reduced one degree, and successive reigns have followed this practice. Where the law left gaps for lingering wrongdoing, successive emperors expanded it as times required, producing precedents meant to support the statutes, not override them. Yet crafty legal officials at court and in the provinces sometimes exploited them for private gain, and the statutes were gradually set aside. The court then ordered Minister Bai Ang and others to confer with the Nine Ministers; they added 297 Interrogation of Criminals precedents from over the years that had proved durable in practice. The emperor singled out six items and ordered further deliberation before reporting back. The Nine Ministers held to their memorial, and in the end no changes were made. From this time forward statutes and precedents operated in parallel, and the legal net grew somewhat tighter. Six forbidden rules for princely establishments penalized princes who left their cities without cause; that law was especially strict. In the seventh year of Jiajing, Wang Yingpeng, grand coordinator of Baoding, reported: "During the Zhengde reign forty-four new Interrogation of Criminals precedents were added; they strike the right balance of justice and feeling and should all be incorporated. The court did not assent. Only forgery of imperial seals by edict and theft committed three times were excluded from commutation on grounds of deserving compassion. Minister of Justice Hu Shining also asked to compile new case precedents; he was likewise ordered to rely only on the statutory text and what had been imperially approved in Hongzhi 13. By the twenty-eighth year, Minister of Justice Yu Maojian reported: "Since the precedents were fixed in the Hongzhi reign, nearly fifty years have passed. I ask that Your Majesty order us to confer with the Three Judicial Offices, clarify the Interrogation of Criminals Precedents and the imperially approved cases after Jiajing 1, and make them permanently binding. Cases from after Hongzhi 13 to before Jiajing 1, though abolished by edict, may include memorials on particular matters whose deliberations were sound and worth adopting; these too should be carefully reviewed. If officials recklessly cited precedents to wrongfully convict someone, dismissal and punishment should be considered. When Maojian left office, Minister Gu Yingxiang and others were ordered to finalize the code; the total was raised to 249 articles. In the thirty-fourth year, at Minister He Bin's recommendation, nine further items were added. During the Wanli reign, Supervising Secretary Wu Sheng asked to continue adding precedents. By the thirteenth year, Minister of Justice Shu Hua and others compiled edicts after Jiajing 34 together with regulations on imperial clans, military administration, bandit capture, grain transport, and all matters touching criminal law—statutes as main text, precedents as marginal notes—382 articles in all, cutting many of the especially harsh commands from the Jiajing reign. In the fourteenth year of Chongzhen, Minister of Justice Liu Zeshen again asked for deliberation to fix the Interrogation of Criminals Precedents. The emperor held that statutes must be strictly observed, but precedents had varying authority; where the same matter had two or three conflicting precedents, revision to a single standard was right. Yet harsh law enforcement was urgent at the time; the hundred offices were too busy covering their mistakes for the deliberation to be carried out.
16
The founding emperor's statutory text was handed down through successive reigns, and none dared alter it lightly. Its temporary adaptations, whether by edict or by memorials from court ministers, that bore on the foundations of governance and were put into effect cannot go unrecorded in detail.
17
In the first year of Hongwu he instructed the provincial officials: "Trials should be even-handed and lenient. In antiquity, except for great treason, guilt stopped at the offender himself. When the people commit offenses, collective punishment is forbidden. Minister Xia Shu once cited Han law and asked that it be written into the Code: rebels were to have three clans exterminated. The founding emperor said: "In antiquity fathers and sons and brothers did not implicate one another in guilt. Han followed Qin custom—the law was too harsh. He rejected the memorial and did not implement it. A commoner's father was arrested on a false charge; his son appealed to the Ministry of Justice, and the judicial office convicted him of improper appeal. The founding emperor said: "A son who appeals his father's injustice acts from deepest feeling—he cannot be punished. When a son broke the law and his father bribed officials to secure his release, the censor wanted to punish the father as well. The founding emperor said: "The son faces death and the father tries to save him—that is human feeling. Judge only the son and pardon the father. In the seventeenth year, Left Censor-in-Chief Zhan Hui reported that a commoner who beat a pregnant woman to death deserved strangulation by law, and the man's son begged to die in his place. Chief Minister of the Court of Judicial Review Zou Jun argued: "A son who dies in his father's place acts from feeling that deserves compassion. Yet the dead woman carried two lives; the offender falls under the statute for two deaths. Rather than spare the guilty man, is it not better to preserve the innocent son? An edict followed the latter argument. In the twentieth year, Zhan Hui said: "A soldier due for beating had twice been guilty and pardoned; his prior crimes should be judged together and he should be executed. The founding emperor said: "His prior crimes were already pardoned; to judge them again would break faith. He was beaten and sent away. In the twenty-fourth year, Pang An, assistant magistrate of Jiaxing, arrested illicit salt dealers and sent them to the capital, rewarding the captor with the seized salt. The Ministry of Revenue ruled that he had broken regulations, fined him to repay the salt to the state, and demanded a written confession of guilt. Pang An argued: "The Code is eternal law; precedents are the policy of the moment. If we now follow precedent instead, we contradict the Code's rule that rewards are not paid for seizing the wrong persons—and we would break faith with the realm. The founding emperor agreed and decreed that the case be decided according to the Code.
18
西使
In the second year of the Yongle reign, the Ministry of Punishments reported that a man in Hejian had sued his mother, yet local officials instead drafted charges against her. An edict ordered the son and the officials arrested and punished. In the third year, a rule was set: civil officials and all military and civilian personnel at home and abroad who committed serious offenses were to be sentenced under the Code; minor cases were exempted from corporal punishment and only recorded. Cases involving improper injury to others or grave circumstances were to be memorialized for the throne's decision. In the sixteenth year, the ban on corrupt officials was strictly enforced. At first the founding emperor punished greedy officials severely and decreed that bribe-takers would receive no mercy. He again ordered the Ministry of Punishments: "Officials who take bribes shall be punished together with those who bribed them, and their families shall be relocated to the frontier. Make this a standing regulation. Over time the law had slackened, so it was enforced again. In the twenty-ninth year, Chief Minister Yu Qian of the Court of Judicial Review said: "Swindling should be punished with beating and exile, yet now offenders are decapitated—this is not what the edict intended. He was ordered to sentence according to the Code. In the second year of Xuande, Regional Inspector Huang Han of Jiangxi reported: "Idle troublemakers like to stir up lawsuits, often making the elderly, children, the disabled, men, or women bring false charges against innocent people; only after further review and a penalty for groundless accusation can the matter be settled. A precedent was then set: when the elderly, young, disabled, men, or women falsely accused others, they paid a paper-money fine to redeem the offense. Later, under Emperor Xiaozong, at Nanjing anyone who falsely accused more than ten people was, by precedent, banished beyond the frontier passes to live as a commoner. Yet for those over seventy whom the Code allowed to ransom their punishment, a further order was issued: anyone seventy or older, fifteen or younger, or disabled would be judged according to the Code. Those who by precedent should be sent to military exile at distant frontier sentry posts or banished beyond the passes as commoners were still dispatched according to the Code. If offenders were eighty or older or gravely ill and liable to lifelong exile, their descendants were sent in their place; for punishments of military exile or less, they were exempted.
19
婿 滿 滿
Under the original rule, any official or other person guilty of illegal bribery, north or south alike, was sent to northern frontier garrisons for military exile. In the fifth year of Zhengtong, the three judicial offices at the mobile court reported: "When Hongwu enacted the Code, paper money was valuable and goods cheap, so illegal bribes of one hundred twenty strings or more were spared strangulation and sent to military exile instead. Now paper money is cheap and goods dear; if bribes valued at one hundred twenty strings in paper money all led to military exile, the punishment would no longer fit the crime. Henceforth, civil officials and others who took illegal bribes warranting strangulation under the Code, if the amount exceeded eight hundred strings in paper money, were all sent to northern frontier garrisons for military exile. Those whose bribes fell short of that amount were punished under current precedents. The proposal was approved. In the eighth year, the Court of Judicial Review reported: "The Code states that a first theft offense is marked by tattooing the right arm, a second by tattooing the left, and a third by strangulation. Now when thieves who had been pardoned reoffended, all were treated as first offenders, or the right arm was tattooed again, or no tattoo was applied at all. They asked that this be established as a precedent. The memorial was sent to the three judicial offices for deliberation: those tattooed on the right who reoffended after amnesty were tattooed on the left; those tattooed on the left who offended again after amnesty were not tattooed—and this was made precedent. A third offense after amnesty was punished by strangulation. The emperor said: "Thieves already tattooed who reoffend after amnesty are to be sentenced under the regular articles, amnesty aside; still report all prior and subsequent offenses together. Later, under Emperor Xianzong, Censor-in-Chief Li Bing cited the old precedent and memorialized for its repeal. Soon after, a Nanjing thief named Wang Atong committed five offenses and was freed by amnesty each time. When the emperor heard of this, he decreed that the rule of three offenses before and after amnesty should stand again. By the reign of Emperor Shenzong, officials again deliberated and memorialized to change how such offenders were punished. In the twelfth year, on Magistrate Chen Minzheng's report, when commoners took a stepdaughter from a wife's prior marriage as a daughter-in-law, or a stepson from that marriage as a son-in-law, both were sentenced with reduced severity under the statute on half-sisters by the same father. In the first year of Chenghua, Grand Coordinator Teng Zhao of Liaodong said: "The Great Ming Code is the fixed law of the dynasty, yet in judging military officers the Code is set aside and precedents used instead, so military officers grow ever more unrestrained. He asked that the Code be applied in all cases. An edict approved the request. Dismissed or demoted military officers spread slander; fearing trouble, officials memorialized again to repeal the order. In the nineteenth year a precedent on three-time theft offenses was established. The judicial offices reported: "In Nanjing there is a three-time thief whose stolen goods total one hundred strings; the offense merits decapitation by strangulation. Although the offense is a miscellaneous crime, the circumstances are grave. A third conviction with prior offenses marks someone who accumulates wickedness without reform and cannot be judged by ordinary precedent. Those whose stolen goods fall short of one hundred strings and whose offenses are penal servitude, exile, or less—even on a third conviction, the original circumstances are truly light and should be punished under ordinary precedent. The deliberation was submitted and approved.
20
滿 便 調 便
In the sixth year of Hongzhi, Vice Minister of Rites Li Dongyang said: "Of the five punishments, the lightest are beating with rod or stick—yet rods and sticks have fixed dimensions and strokes have fixed counts. Yet in offices outside the capital, rod-and-stick punishments often kill the offender. Even when discovered, the official is merely restored to office on grounds of acting in the line of duty. With the lightest punishments, men are sent to their deaths—sometimes dozens, sometimes hundreds; corpses fill the prisons and blood soaks the ground. It is heartbreaking. The Code requires that those who deliberately torture innocent people to death pay with their lives, and those who use unlawful instruments of punishment are dismissed—yet if a case falls outside these rules, it is called acting in the public interest. Once labeled as public service, even many deaths bring no harm to the official. Here the circumstances are grave while the Code is lenient—this cannot go undebated. I ask that whenever interrogation for minor offenses causes immediate death, and the victims number twenty or thirty or more, officials beyond the original statute still face demotion or transfer; and where death by illness was falsely claimed, the physician be punished as well. The memorial was sent down to the relevant offices for deliberation. In the fifteenth year of Jiajing, when someone beat another with hands or feet, inflicted grave injury, and the victim died after the statutory wound-suspense period had passed, the ministry drafted a sentence of strangulation for killing in affray. The Court of Judicial Review cited the precedent of Jiajing year four, arguing that it should be punished as beating causing injury, with rod strokes only. Ministry officials said: "The Code sets a wound-suspense period, but the Criminal Code Precedents also state that in killing during affray, when the facts and intent are clear, even if death occurs after the period expires, capital punishment is still drafted for imperial decision. When our ministry submits such cases, imperial verdicts usually send the offender to military exile—for though the death penalty is not applied, this is only a slight reduction at the end. To punish beating that in fact causes death beyond the suspense period with only rod strokes is to let violent men escape by luck. Moreover, wounding with a deadly weapon, even if the victim recovers, still brings military exile by precedent—how can someone who in fact beats another to death, if death happens only by chance after the period, deserve less than the crime of wounding with a deadly weapon? Moreover, the year-four precedent has already been repealed; please instruct officials throughout the realm to follow the Precedents as before. An edict followed the ministry's recommendation. Thereafter, all cases of homicide outside the wound-suspense period were deliberated under the Code and precedents and memorialized for imperial decision.
21
使
In the third year of Longqing, Vice Minister Wang Zheng of the Court of Judicial Review said: "Criminal judges often violate the Code and precedents and act on private opinion alone. As the Code says, 'Whoever disobeys an imperial command document in its execution shall receive one hundred strokes'—this originally referred to formal imperial edicts. Now soldiers who miss drill deadlines, garrison officers who fail to report for duty, and those who run gambling dens—all are punished under this article indiscriminately. Under the adultery article, what is called 'buying rest, selling rest, and peacefully taking another man's wife' originally meant using money to buy a man's consent, making him divorce and sell his wife, and then marrying her oneself. Therefore the Code required divorce and return to her original lineage, and betrothal gifts were forfeited to the state. Where husband and wife were incompatible, the Code required divorce; where a woman committed adultery, the Code allowed her to be remarried or sold; when a later husband took her through a matchmaker with payment, there was originally no adulterous intent, and the Code did not forbid it. Now the statutes on buying rest, selling rest, and peaceful taking are cited indiscriminately. What is called 'doing what ought not to be done—forty strokes of the rod; in grave cases, eighty strokes of the stick.' This statute was meant only where the Code did not fully cover the offense. If the offense clearly fell under a specific article, judgment should follow that article. Today someone who beats another and causes injury should receive rod punishment, yet the judge says: 'Apart from the light offense of beating causing injury, which carries no punishment, apply the principle of doing what ought not to be done—in grave cases, eighty strokes by statute.' Having already excluded the light offense of beating, there is no crime left to punish. Yet they punish under 'doing what ought not to be done'—I truly do not understand what this means. Minister of Punishments Mao Kai argued forcefully against it, but court officials all sided with Wang Zheng's position. The rescript read: "Buying rest and selling rest belong to the adultery articles; hereafter, when there is an offense, if adulterous intent is not involved, these statutes may not be cited. Other matters remain unchanged."
22
During the Wanli reign, Left Censor-in-Chief Wu Shilai clarified six points on the Code and precedents:
23
First, the Code states that commoners' households may not keep and rear slaves. This means only meritorious officials' households were granted slaves as reward; commoners should labor for themselves, and therefore may not keep them. Offenders all called them hired laborers; at first the rule did not address gentry and official households. For gentry and official households, keeping slaves was unavoidable. The judicial offices should deliberate: for official and common households alike, where there is a written contract, payment of wages, and labor for a fixed term, treat the person as a hired laborer; those who receive little payment and whose work is counted by the day or month, treat as ordinary persons. If purchased before age fifteen, long nurtured with kindness, and after sixteen given a spouse and household, treat like descendants. Or if nurtured for only a short time and not yet given a spouse—in commoners' households still treat as hired laborer; in gentry and official households, treat according to the slave statute.
24
使滿
First, the Code states that forging seals of government offices merits decapitation. Only privately cast copper or iron seals therefore merit decapitation. If seal characters are impressed but the object is not a true seal, it cannot be called forgery; therefore precedents also established an article on tracing and imitation, punished with military exile. Hereafter, offenders who forge seals of wood, stone, clay, wax, and the like should be sentenced only under the tracing precedent; on a second offense, draft decapitation. If forgery was used only once and the illicit gain does not reach the threshold for penal servitude, judge as theft. On a second offense apply the precedent; on a third, apply the Code.
25
First, the Code states that a thief who commits a third offense is sentenced to strangulation, because prior tattooing establishes the count. Nevertheless, the amount stolen still determines whether the proposed sentence is lighter or heavier. Hereafter, in theft cases where all three offenses fall either entirely before or entirely after an amnesty, sentence strangulation according to the Code. When offenses before and after an amnesty are combined to reach three convictions, the case may be memorialized for the throne's decision. Record such cases in the memorial on leniency and doubtful sentencing, and commute the punishment.
26
First, robbers who murder in the course of brigandage are, according to the loot, sentenced to immediate execution without seasonal delay. Yet among these cases, surely some are framed or dragged in by private vengeance—innocent men wrongly convicted. Hereafter such cases must be examined with exceptional care. When the evidence of loot is unclear and a hasty verdict is impossible, all alike are to be sentenced to execution after autumn.
27
First, the Code provides that when conspirators jointly beat someone and the injury proves fatal, the striker is sentenced to strangulation while the instigator and the others are punished according to their respective roles. When two or three beat one man and each inflicts serious injury, so that neither the striker nor the instigator can be identified—if one dies in custody, that person satisfies the capital charge. Today, mercy-review officials often treat a beating victim who died at home years later as grounds to draft leniency for the striker still in prison. To settle a beating death with someone who merely died of illness is glaringly lenient. Hereafter this substitution must not be applied as a blanket rule.
28
使
First, in the capital, offenders guilty of rebellion or true robbery are executed immediately even in years when executions are normally suspended. When depravity reaches parricide, even immediate slicing execution still feels insufficient. Yet in the provinces such cases may drag on for years, because precedent requires batched memorials and provides no rule for individual presentation. A single memorial is the language of urgency; a batched memorial is the language of delay. If such cases linger in the provinces for years until the prisoner wastes away in jail, how can the wrath of heaven and humanity ever be appeased! Hereafter, in the provinces, for all such cases the censor shall report directly to the judicial court, and the court and ministry shall present an individual memorial; as soon as the execution order arrives, carry out the sentence at once. If the offender has already died, the local prefecture and counties shall expose and mutilate the corpse. Thus canonical punishment may be properly upheld.
29
An imperial order directed the ministry and court to deliberate; all recommendations were approved. Only for forging seal impressions: regardless of the material, all offenders are sentenced to decapitation. The memorial was approved.
30
Commutation by ransom originates in the Canon of Shun; the Punishments of Lü already allowed ransom even for capital crimes, and later dynasties all treated the practice as weighty. Under the Song, ransom was especially restricted: only those within the Eight Deliberations might participate. Ming law was severe; whatever mercy the court wished to extend but could not under the Code was lodged entirely in ransom precedents, to soften punishments that would otherwise be too harsh. The state, moreover, could draw on these payments in times of need. In practice, major expenses—frontier defense, filling granaries, famine relief, palace and government distributions—were often met from confiscated booty and ransom payments alike. Thus Ming ransom law was more elaborate than that of any earlier dynasty. Ransom took two forms: statutory redemption allowed by the Code, and pecuniary commutation allowed by precedent. Statutory ransom rates were inviolable, but precedents for paying ransom shifted with the times and often contradicted one another—a practice that began under the founding emperor.
31
滿 調
The Code provided that when civil or military officials incurred cane punishments for public-service offenses, officials paid ransom according to rank, while clerks were sentenced in batches each quarter; all returned to duty without a recorded demerit. Rod punishments and above were recorded by name of offense and reported yearly to the Ministries of Personnel and War; at the nine-year review, the cumulative count governed promotion or demotion. Clerks and registry officers likewise faced reduction in selection and rank. For private offenses: civil officials and clerks who incurred up to forty blows of the cane kept their posts with a recorded demerit and no ransom; at fifty blows they were transferred. For military officers, rod punishment and above were always inflicted in person. Civil officials and clerks who incurred the rod were dismissed and never reappointed—an extremely strict rule. Yet from the middle Hongwu reign three orders had already authorized ransom even for miscellaneous offenses down to lesser capital crimes. In the thirtieth year, ministries and courts were ordered to set ransom precedents: officials who incurred cane or rod punishments received recorded demerits; penal servitude, exile, and banishment could be commuted by salary payment; a third offense was punished according to the Code. From then on, the Code and precedents often diverged. When the Great Ming Code was promulgated, the imperial preface declared: "Miscellaneous capital crimes, penal servitude, exile, banishment, and similar punishments shall all be adjudicated under the newly fixed ransom regulations. Thus precedents came to supplement the Code in practice.
32
When Emperor Renzong first ascended the throne, he told the Censorate: "The rule allowing fine payment and labor service lets the wealthy escape punishment entirely; all offenders should be sentenced according to the Code alone. In time the rule lapsed again. During the Zhengtong reign, Lecturer Liu Qiu argued: "Pecuniary commutation is unorthodox; apart from statutory ransom for public offenses, all should follow the Code. The court could not accept this at the time. Thereafter, following the founding emperor's precedents, the system was expanded further. Officials guilty of public or private miscellaneous offenses down to penal servitude were allowed to commute punishment by hauling charcoal, delivering rice, and similar services. Military officers and soldiers already exempt from penal servitude and exile under precedent were granted the same commutation privileges.
33
Early Ming once accepted copper ransom; the Chenghua reign once accepted horses; neither practice endured and neither is fully recorded here. Only payment in paper notes, coin, and silver remained in constant parallel use, with the original paper-note system as the foundation. Statutory redemption was called "Code ransom notes"; pecuniary commutation was called "precedent ransom notes." In the eleventh year of Yongle, an order provided that public offenses would be recorded and redeemed under precedent, and grave capital cases punished according to the Code; in lighter cases, decapitation required eight thousand strings of notes, strangulation and death by beating under precedent six thousand strings, with graded payments for exile, penal servitude, rod, and cane. Those unable to pay were sent to plant trees on Tianshou Mountain. In the second year of Xuande, a rule was set: for cane and rod offenses, every ten blows required twenty strings of paper notes in ransom. For penal servitude and exile, each degree of servitude converted to twenty blows of the rod; all three degrees of exile together converted to one hundred forty blows. The paper-note fines all followed the rates set for cane and rod offenses. Those unable to pay were sent to plant trees on Tianshou Mountain; capital offenders for life; penal servitude and exile according to the term of sentence; rod punishment, five hundred trees; cane punishment, one hundred trees. In the first year of Jingtai, an order provided that when sentencing cane and rod offenders, those with means might pay paper notes. Ten blows of the cane: two hundred strings; each additional ten blows added two hundred strings, reaching one thousand strings at fifty blows. Sixty blows of the rod: one thousand eight hundred strings; each additional ten blows added three hundred strings, reaching three thousand strings at one hundred blows. Officials' illicit gains were likewise converted to paper notes under current precedents. In the fifth year of Tianshun, offenders were ordered to pay paper notes: every ten blows of the cane required two hundred strings; for each of the four remaining cane gradations, one hundred fifty strings were added; reaching one thousand four hundred fifty strings at sixty blows of the rod, with two hundred strings added for each further rod gradation. In the second year of Chenghua, women who broke the law were permitted to ransom their punishment.
34
In the fourteenth year of Hongzhi, a system was established for accepting ransom in silver and coin by conversion. Offenders whom precedent exempted from immediate beating, and women of means: for one hundred blows of the rod, two thousand two hundred fifty strings of notes were due, convertible to one tael of silver; decreasing by two hundred strings for every ten blows, to six mace of silver at sixty blows; fifty blows of the cane: eight hundred strings, convertible to five mace of silver, decreasing by one hundred fifty strings for every ten blows; down to two mace of silver at twenty blows; Ten blows of the cane required two hundred strings of notes, convertible to one mace of silver. If copper cash was accepted, each tael of silver was reckoned at seven hundred wen. Statutory ransom in paper notes, except for negligent homicide, was likewise collected at these converted rates.
35
In the second year of Zhengde, a system was established for accepting both coin and paper notes. For example, one hundred blows of the rod, where two thousand two hundred fifty strings were due: collect one thousand one hundred twenty-five strings of notes and three hundred fifty wen in coin. In the seventh year of Jiajing, Grand Coordinator Zhu Tingsheng of Huguang reported: "Statutory redemption and pecuniary commutation differ; capital and provinces differ; paper notes circulate chiefly in the capital, while coin does not function in the south. By precedent, those found to have means, titled ladies, principal wives of military officers, and those exempt from immediate beating paid under "precedent ransom notes"; the elderly, young, disabled, and women for remaining offenses paid under "Code ransom notes." For precedent ransom notes, coin and paper were collected together: ten blows of the cane required one hundred strings of notes and thirty-five wen in coin, though the full two hundred strings converted to one mace of silver. One hundred blows of the rod: collect one thousand one hundred twenty-five strings and three hundred fifty wen, though the full two thousand two hundred fifty strings converted to one tael of silver. Today, under Code ransom notes, ten blows of the cane require only six hundred wen; converted proportionally to silver, this amounts to less than one candareen; one hundred blows of the rod requires only six strings of notes, less than one fen in silver—far too lenient. Since Code notes and precedent notes use different string counts, their silver conversions should likewise differ. I ask that a new rule be set: for all statutory redemptions, each string of notes shall convert to one fen, two candareen, and five cash of silver. For example, ten blows of the cane at six hundred wen in notes would convert to seven candareen and five cash of silver, with graduated increases according to the severity of the offense. The emperor approved his memorial and ordered all judicial offices at home and abroad to follow this rule.
36
便
At this time the regulations were revised and ransom precedents were memorialized and enacted. In the capital, labor service applied: every ten blows of the cane required one month of labor, convertible to three mace of silver. Up to five years of penal servitude, convertible to eighteen taels of silver. Transporting convict grain: every ten blows of the cane required five dou of rice, convertible to two mace and five candareen of silver. Up to five years of penal servitude, fifty shi of grain, convertible to twenty-five taels of silver. Transporting lime: every ten blows of the cane required one thousand two hundred jin, convertible to one tael, two mace, and six fen of silver. Up to five years of penal servitude, sixty thousand jin of lime, convertible to sixty-three taels of silver. Transporting bricks: every ten blows of the cane required seventy bricks, convertible to nine mace and one fen of silver. Up to five years of penal servitude, three thousand bricks, convertible to thirty-nine taels of silver. Transporting water and charcoal were ranked in five grades. Every ten blows of the cane required two hundred jin, convertible to four mace of silver. Up to five years of penal servitude, eight thousand five hundred jin, convertible to seventeen taels of silver. Hauling lime carried the heaviest burden; hauling charcoal the lightest. In the provinces there were only two classes: those with means and those somewhat with means. At first there had also been grades such as "quite with means" and "next with means," but these were abolished after a censor's memorial. For those with means, the rate followed capital convict-grain transport: every five dou of rice due was commuted by delivering one shi of grain. At first commutation was paid in silver to the state treasury; later it was paid in grain to the public granary. Those somewhat with means commuted according to the months and years of labor service fixed for the capital. Women found to have means, titled ladies, principal wives of military officers, and those exempt from immediate beating who owed combined coin-and-note ransom: for every ten blows of cane or rod, one mace of silver was collected by conversion. For the elderly, young, disabled, women, and astronomical clerks redeeming remaining offenses under the Code: every ten blows of the cane required six hundred wen in notes, collected as seven candareen and five cash of silver. Thus penalties were properly balanced in severity, and the realm found the system workable. In the thirteenth year of Wanli the rules were proclaimed again, and thereafter they became permanent statute.
37
Under statutory ransom, if an astronomical clerk had completed his training and could practice his art exclusively, yet committed penal servitude or exile, he received one hundred blows of the rod and redeemed the remaining offenses. Women guilty of penal servitude or exile received one hundred blows of the rod and redeemed the remaining offenses.
38
仿
For example, sixty blows of the rod plus one year of penal servitude: full ransom required twelve strings of notes; deducting six strings for the imposed blows, six strings remained, convertible to seven candareen and five cash of silver—and so on for other cases.
39
When one hundred blows of the rod were imposed, those of means who also paid precedent ransom owed three hundred fifty wen in coin and one thousand one hundred twenty-five strings of notes out of the full two thousand two hundred fifty strings.
40
All persons seventy or older, fifteen or younger, and the disabled who committed exile or lesser offenses were permitted statutory redemption; as did those eighty or older or ten or younger, the gravely ill, and offenders guilty of theft or wounding. If one was not old or ill at the time of the offense but was so when the case arose, he was judged as old or ill; if young at the offense but grown when the case arose, he was judged as young—in either case redemption was allowed.
41
For example, one who committed a crime before sixty-nine but whose case arose at seventy, or who was healthy at the crime but disabled when the case arose, could redeem under the rules for age or disability. Otherwise, one who committed a capital crime before seventy-nine but whose case arose at eighty, or who was merely disabled at the crime but gravely ill when the case arose, might petition the throne for mercy. One who committed a capital crime at eighty-nine but whose case arose at ninety was exempt from punishment altogether and fell outside the rules for statutory redemption.
42
The same applied if one became old or ill while still serving a term of penal servitude.
43
仿
For example, for sixty blows of the rod and one year of penal servitude, if one became old or ill after one month of service, the full ransom in notes totaled twelve strings. Deducting three strings six hundred wen for the sixty blows already imposed, the remaining year of penal servitude was reckoned at eight strings four hundred wen. Each month of servitude required seven hundred wen in notes; with one month already served counted as seven hundred wen, the eleven months remaining required seven strings seven hundred wen in ransom. Other cases followed the same method of calculation.
44
The elderly, young, and disabled might redeem their penalties, but miscellaneous offenses carrying five years of servitude were still fully imposed. This reflected early Ming severity, when even principal capital crimes were not commuted to penal servitude.
45
Under the false-accusation precedent, if one accused another of two or more matters with the lighter proven and the heavier false, or exaggerated a single charge, sentences already imposed fully offset the remainder; unadjudicated cane and rod offenses could be redeemed; for penal servitude or exile the accuser received one hundred blows of the rod and might redeem any remaining penalty.
46
For example, if one falsely accused another of thirty blows of the cane, of which only ten were true and already imposed, those ten fully offset the penalty; for the remaining twenty blows not yet adjudicated, ransom of one string two hundred wen was due.
47
If one accused another of sixty blows of the rod, of which only twenty were true and already imposed, those twenty fully offset the penalty; for the remaining forty blows, ransom of two strings four hundred wen was due.
48
If one accused another of sixty blows of the rod plus one year of penal servitude, but only fifty blows were true and already imposed, those fifty fully offset the penalty; for the remaining ten blows and one year of servitude, the year converted to sixty blows, seventy blows in all, requiring ransom of four strings two hundred wen.
49
If one accused another of one hundred blows of the rod and exile two thousand li, but only sixty blows and one year of servitude were true and already imposed, reckoned as four years of servitude in all, those fully offset the penalty; for the remaining forty blows and three years of servitude, reckoned by converting linked servitude to blows and raising exile one grade, the total came to two hundred twenty blows; deducting the sixty blows and one year actually proved (the year converting to sixty blows), one hundred blows remained, requiring ransom of six strings of notes. If the remaining penalty exceeded one hundred blows of the rod, the accuser had to receive the full one hundred blows before redeeming any remainder.
50
Negligent wounding, too, was treated like brawling and wounding and redeemed according to the Code. If death resulted, ransom followed the rates for miscellaneous capital offenses—forty-two strings of notes. Of this sum, eight-tenths in notes came to thirty-three strings six hundred wen, and two-tenths in copper cash to eight thousand four hundred wen, paid to the victim's family. One who had already served five years of penal servitude and committed penal servitude again could redeem the penalty. The ransom was thirty-six strings of notes. If one guilty of penal servitude or exile was retained to support parents, he received only one hundred blows of the rod and redeemed the remaining offenses. The law required the full one hundred blows without commutation, then calculated the years of servitude or exile and applied the same redemption rates as for the elderly and young. This rule was ordered into practice under Emperor Yingzong and later became permanent statute. Astronomical clerks and women guilty of penal servitude or exile received one hundred blows of the rod and redeemed the rest—even when the offense itself called for only sixty blows and one year of servitude, they still received one hundred blows, the Code's "supplementary beating." Judgment proceeded first under the Code itself, with penal servitude and exile reduced according to the Grand Pronouncements. At the moment of execution, if the offender was an astronomical clerk or a woman, the court imposed one hundred blows of the rod under the Code and allowed redemption of the remainder. The requirement of a full one hundred blows encompassed all five grades of penal servitude. This differed from the false-accusation rule for redeeming remaining blows. In one case rod blows were imposed before redeeming remaining servitude; in the other, exile was converted to servitude and servitude to blows, with ransom calculated accordingly—the two procedures were distinct. For women guilty of penal servitude or exile, a precedent of the eighth year of Chenghua held that except in cases of adultery, theft, unfilial conduct, or licensed courtesans, women of means who also received the rod might commute their penalties by paying notes. The rate was one mace of silver for every ten blows of the rod, up to a maximum of one tael for one hundred blows. What the Code called "statutory redemption" meant redeeming the remaining offenses. What precedent allowed as "pecuniary commutation" meant redeeming the imposed one hundred blows of the rod. Penal servitude and the rod were sentenced separately; except for women, all other offenders guilty of servitude or exile were beaten and not permitted to commute the blows. Only in the thirteenth year of Hongzhi were licensed entertainers' offenses of servitude, rod, and cane likewise exempted from immediate beating—such was the general scope of Code ransom.
51
Precedent ransom rates were established in the twenty-ninth year of Jiajing. All soldiers and civilians in various services, surplus households found to have means, and civil and military officials, Academy students, licentiates, sash-wearing officers, seal keepers, dispatch clerks, yin-yang specialists, physicians, village elders, and household retainers—whatever the offense, from cane and rod through servitude, exile, and miscellaneous capital crimes—were required to commute penalties by hauling lime or charcoal or bricks, delivering rice or materials, and the like. The above applied to those whose personal conduct was not compromised. Officials who by precedent should be stripped of office and rank fell into the category of compromised conduct. Together with soldiers and civilians found without means: cane and rod offenses were beaten on the spot; penal servitude, exile, and miscellaneous capital crimes were punished by labor, relay-station service, frontier sentry duty, or assignment as ceremonial attendants, with the gravest cases sent to boil salt or smelt iron. Miscellaneous capital offenses carried five years of labor, exile four years, and penal servitude the statutory term. In the capital, military conscripts without active assignment and those exempt from immediate beating were likewise assigned labor for cane and rod offenses. A recent precedent barred commutation altogether for those guilty of adultery, theft, or bribery—offenses that compromised one's conduct. Only dismissed military officers were punished by hauling charcoal, delivering rice, and the like, without the provisions for immediate beating and actual assignment—leniency toward fighting men and stricter demands on civil officials. Thus in the capital only five forms of commutation remained—labor, convict-grain transport, and the like—while in the provinces only the two classes of means applied, and the law grew ever more streamlined.
52
In short, Code ransom was light and precedent ransom heavy. Yet Code ransom had not originally been lenient at all. Under the founding regulation each wen of paper money equaled one candareen of silver; the rate of six hundred wen for ten blows of the cane, fixed at seven candareen and five cash of silver, represented six mace of silver at the time. Likewise, one hundred blows of the rod at six strings of notes, fixed at seven candareen and five cash of silver, represented six taels of silver at the time. Six mace of silver in nominal value converted to less than one candareen; one tael converted to less than one fen—yet the state expected such sums to deter crime; small wonder the system could not function as intended. Because the ancestral Code could not be altered, the state was forced to fix commutation at seven candareen and five cash for cane offenses and seven candareen and five fen for rod offenses. Yet even these fixed sums scarcely matched the gravity of the offenses redeemed—and so the flexible precedents arose.
53
Under Hongwu, officials, soldiers, and civilians permitted to commute penalties were chiefly assigned penal labor—garrison farming at Fengyang, planting alfalfa at Chuzhou, substituting for peasants' corvée, transporting rice to the frontier—rather than paying in paper notes. The Code's tables of blows and note amounts were meant to endure as the law of the dynasty. Yet a thirtieth-year edict allowed convicts to commute penalties by transporting rice—one hundred shi for capital crimes, with decreasing amounts for servitude and exile; those unable to manage the full load provided thirty shi for capital offenses or fifteen for servitude and exile, delivered to Ganzhou and Weilu, where they were enrolled as soldiers. Counting the cost of grain and transport, the burden was scarcely less than the note amounts required—and the Code's ransom scales were hardly lighter than later precedents. Yet offenses varied in gravity while paper money depreciated year by year—something the Code's framers could not have foreseen. Consider even the eleventh-year Yongle order: "For decapitation where circumstances were light, ransom eight thousand strings of notes; for strangulation and posted-precedent capital crimes, six thousand strings. By that edict's logic, eight thousand strings equaled eight thousand taels under the Code; six thousand strings equaled six thousand taels; down to one thousand strings for rod offenses and five hundred for cane offenses—one thousand and five hundred taels respectively. Even allowing that Yongle applied the law with special severity, who could pay eight thousand taels for a capital offense, or one thousand or five hundred for cane and rod crimes, and still call the system workable? This shows that paper money had already depreciated at least tenfold from Hongwu levels by the early Yongle reign.
54
Under Xuande the ban on private silver transactions was renewed in hope of reviving paper currency. By Hongzhi paper notes had become altogether unusable, and the precedent of converting statutory note amounts into silver was established. When Jiajing enacted new regulations, commutation fell under the two classes of means: those with means paid five dou of rice, equivalent to the Code's six hundred wen in notes; those somewhat with means paid three mace in labor wages, equivalent to one month's labor under the Code. Thus later precedent ransom only roughly matched the weight of early Code ransom. As for the elderly, young, and disabled under statutory redemption—seven candareen and five cash of silver for six hundred wen in notes, seven candareen and five fen for six strings—the gap was far wider. Compared with the original Code ransom, was statutory redemption not vastly lighter still? Only the precedents for hauling charcoal and stone were somewhat heavier—for these offenses originally required personal labor, after which one returned home, with no commutation by payment. Later the law grew more lenient and allowed commutation in kind; reckoned against actual labor, the rates were roughly equivalent and posed no real problem.
55
滿 西
Broadly speaking, commutation took two forms—penal labor and payment in notes—and the precedents shifted three times. Penal labor was later commuted to note payments at labor rates; when paper money collapsed, commutation shifted to silver and grain. Yet the old names survived—hauling lime, charcoal, stone, bricks, and broken brick. By the mid-Wanli reign the two classes of means applied everywhere; the capital's numerous precedents fell into disuse, and the law grew unified at last. Such was the adaptation that preserved the spirit of the ancestral law. At first, criminals could commute sentences through labor: capital offenders were held for life, those exiled or sentenced to penal servitude served term by term, and cane or rod punishments by day and month. They might build, farm colony lands, boil salt, or smelt iron—and when their term was complete, were released. Paroled prisoners were led to the Imperial Bridge to kowtow, then escorted to Yingtian Prefecture for a travel permit to return home. Those due for military exile were sent to the Shaanxi Bureau for registry-based assignment. Later nearly all sentences were commuted to cash payments, though the bridge ceremony endured. In Xuande 2, Censor Zheng Daoning said: "Paying rice to commute one's sentence is a lenient policy—yet the military grain depots hold prisoners who cannot pay, and ninety-six have died since the second month of last year alone. Yu Shiji of the Ministry of Punishments memorialized: "Let those without rice pay at home—artisans should keep working, soldiers keep drilling; others should be returned to their home counties for collection." The throne approved his proposal.
56
西簿 西西 西西 沿
The original code distinguished three grades of exile by distance; military exile to border garrisons had fixed destinations. Among penalties one step below death, only exile and military exile counted as severe. Yet the General Principles statute treats the two capital penalties and three exile grades alike as a single commutation. When a capital sentence was commuted by amnesty it became three-thousand-li exile; under the Grand Pronouncements each exile grade was further reduced to five years' penal servitude. In practice every exile sentence was further reduced to penal servitude. Thus the three exile grades existed in law but went unused. Only military exile remained uniquely harsh. The Code listed forty-six articles on military exile; the Duties of the Various Offices added twenty-two Hongwu precedents absent from the Code itself. Jiajing's twenty-ninth-year regulations listed 213 articles on military exile, nearly identical to Wanli 13. In Hongwu 26, after the Court of Judicial Review ruled, a man's dossier went to the Shaanxi Bureau. The ministry recorded name, age, and native place, rostered him north or south in duplicate—one copy to court, one to his company officer—and sent him to the frontier. Men from Zhejiang, Henan, Shandong, Shaanxi, Shanxi, Beiping, Fujian, and the prefectures of Yingtian, Luzhou, Fengyang, Huai'an, Yangzhou, Suzhou, Songjiang, Changzhou, Hezhou, Chuzhou, and Xuzhou were sent to garrisons in Yunnan and Sichuan; Men from Jiangxi, Huguang, Sichuan, Guangdong, Guangxi, and the prefectures of Taiping, Ningguo, Chizhou, Huizhou, Guangde, and Anqing were posted to garrisons in Beiping, Daning, and Liaodong. Deserters and the dead were traced through the registers and replaced. Later regulations dispatched men to miasma zones, extreme frontiers, and coasts—each with its own rules. Service might last for life or in perpetuity. Perpetual exile punished descendants too, applying to those whose capital sentences had been commuted. Early Ming enforcement was savage—thousands per county, tens of thousands within a few generations. When a line died out leaving only military property—or none, though the name lingered—the court sent annual commissioners to fill every gap. Each muster seized kin and hamlet heads, spreading to neighboring wards until no household rested easy. Critics argued that a sentence allegedly one step below death was worse than execution itself—Yongle's purge exiles still appeared on frontier rolls at the dynasty's fall. No penalty, they said, was crueler. In Jiajing's reign some proposed allowing military exiles to buy their way out. The Jiajing Emperor said: "Statutory commutation covers only penal servitude and beating. Those spared death are exiled instead—they cannot buy their freedom. Censor Zhou Shiliang petitioned again to broaden commutation. The ministry proposed ten taels for the prosperous to shave one year from a three-year sentence, and five for those of modest means. The proposal to ransom military exile was dropped. Censor Hu Zongxian argued that southerners were ill suited to soldiering and that border exiles should be allowed to pay silver for release. The ministry agreed and drafted rates accordingly. The emperor replied: "Are we to establish a tariff for future criminals? Again he refused.
57
In Wanli 2 the yearly army-purging censors were abolished and their duties folded into the touring inspectors' brief, and the populace found modest relief. Supervising Secretary Xu Huan said that those whose capital offenses for mixed crimes were commuted to military exile should be treated accordingly. Yan Yonghe asked that prisoners found deserving pity in the great judicial review be spared perpetual frontier service. All were denied. Yet the throne ordered new rules: descendants of rebels banished by special edict would be traced only within the offender's collateral line and freed when the line died out. If they died before dispatch, no successor would be seized. Those whose capital sentences were commuted to military exile would be replaced by sons born after enrollment, not by relatives left at home. All other military exiles and banishments beyond the passes lasted only one lifetime. In Chongzhen 11 the throne told the Ministry of War: nearby exile meant within 1,000 li, border garrison 2,500 li, distant border beyond 3,000 li, and miasma-ridden extremes beyond 4,000 li. Only the offender's own wife could be seized; if he had none, none could be taken—and neighbors and kin could not be dragged in. The aged and infirm could be banished beyond the passes as commoners. In Chongzhen 15 the throne said that those sent to the frontier under precedents should be allowed to commute their sentences. But the realm was already in chaos, and the plan never took effect.
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Ming military exile was the harshest law in the code and the bitterest fate for those who suffered it. Kin paid levies for kit and transport; village relay officers endured the long march of escort duty. At the receiving garrison, officers demanded their customary bribes. Yet officers profited from absconders—they could embezzle rations—and often looked the other way. Enforcement slackened until fewer than one in ten exiles actually reached the frontier. For the farthest postings, chief escorts bribed the Ministry of War, presented verification tallies to the garrison, recorded sham enlistments, and left the exile at home in comfort—or so it was said.
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