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卷四十五 志第三十五 選舉志下

Volume 45 Treatises 40: Selecting and Appointing Officials 2

Chapter 45 of 新唐書 · New Book of Tang
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Chapter 45
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1
Selection was divided into civil and military tracks: the Ministry of Personnel oversaw civil appointments, the Ministry of War military ones. Each route used three evaluation boards, with ministers and vice-ministers taking charge in turn.
2
Every office had a fixed establishment. Appointing beyond that quota, knowingly permitting such over-appointment, or scheming to secure a post all carried penalties. Each year in the fifth month, qualification standards were issued to prefectures and counties. Candidates who met them had their home jurisdiction or former post prepare a selection dossier listing dismissals and merits, then convene at the capital in the tenth month; latecomers were not enrolled. Only after candidates arrived on time were their merits and faults reviewed. Candidates of the same intake were grouped in fives and tens; five capital officials would jointly guarantee each group, with one official formally attesting it. Sons of convicted households, artisans and merchants of disqualified categories, and anyone who used false names, feigned succession, or concealed promotions and demotions were liable to punishment. Errors in documents or grain accounts arising from concealed favoritism led to rejection and dismissal; if favoritism was not concealed, they were not.
3
便
There were four criteria for assessing candidates: first, physique—a stately and imposing bearing; second, speech—clear and correct expression; third, writing—forceful, beautiful regular script; fourth, judgment—outstanding literary reasoning in written decisions. When all four tests were passed, virtue and conduct took precedence; if virtue was equal, talent decided; if talent was equal, length of service decided. Those who qualified were retained; those who failed were dismissed. Officials of fifth rank and above were exempt from examination; their names went up to the Secretariat and Chancellery; those of sixth rank and below were first assembled for examination of their writing and judgment papers. After the written exam came board evaluation, inspecting physique and speech; after evaluation came nomination, with posts proposed according to suitability; after nomination came public announcement; dissatisfied candidates could lodge objections, and after three announcements without acceptance they might wait for the winter intake. Accepted candidates formed the primary list, went to the vice directors, then to the Department of State Affairs, where drafting reviewers read it, vice ministers of the gate inspected it, the chief minister reviewed it, and only then was it reported to the throne. The responsible office received the imperial order and executed it—this was called "memorial receipt." For nominal ranks and extra-stream posts, appointment was made by judgment examination alone. All received official tallies called "appointment credentials." Once an appointment was fully confirmed, every appointee offered thanks at court.
4
滿
Passing the judgment examination and making the roster was called "entering the grade"; very poor performances were called "ragged blue." Candidates not yet through regular selection who submitted three literary compositions took the "grand rhetoric" examination; submitting three judgment papers took the "outstanding selection" examination. Those who passed were appointed at once.
5
By birth qualification: heirs apparent and commandery kings entered at lower supplementary fourth rank; sons of imperial princes enfeoffed as commandery dukes, upper supplementary fifth rank; state dukes, upper regular sixth rank; commandery dukes, lower regular sixth rank; county dukes, upper supplementary sixth rank; marquises, upper regular seventh rank; earls, lower regular seventh rank; viscounts, upper supplementary seventh rank; barons, lower supplementary seventh rank; imperial relatives within the highest mourning circle and the empress dowager's one-year mourning kin, upper regular sixth rank; the empress dowager's second-grade mourning kin and the empress's one-year mourning kin, upper supplementary sixth rank; imperial kin in the bare-shoulder mourning grade, the empress dowager's third- and highest-grade mourning kin, and the empress's second-grade mourning kin, upper regular seventh rank; the empress's third- and highest-grade mourning kin and the crown prince's consort's one-year mourning kin, upper supplementary seventh rank. Imperial affines were all registered two ranks lower according to their mourning relationship. Men who married commandery princesses, upper regular sixth rank; men who married county princesses, upper regular seventh rank; sons of commandery princesses, upper supplementary seventh rank; sons of county princesses, upper supplementary eighth rank.
6
滿
By yin privilege: sons of first-rank officials, upper regular seventh rank; sons of second rank, lower regular seventh rank; sons of third rank, upper supplementary seventh rank; sons of supplementary third rank, lower supplementary seventh rank; sons of regular fourth rank, upper regular eighth rank; sons of supplementary fourth rank, lower regular eighth rank; sons of regular fifth rank, upper supplementary eighth rank; sons of supplementary fifth rank and sons of state dukes, lower supplementary eighth rank. Sons of ranked officials who completed service as clerks, princely household attendants, or tent guards and then entered selection—if their fathers were seventh rank or above—were registered at upper supplementary ninth rank. Those who had served outside the regular stream and were eligible to enter it, at the lower registered rank, followed the same rule. Sons of officials of ninth rank and above and sons of merit officers of fifth rank and above were registered at lower supplementary ninth rank. Third rank and above could extend yin privilege to great-grandsons; fifth rank and above to grandsons. Grandsons were registered one rank lower than sons; great-grandsons one rank lower than grandsons. Posthumous offices counted one rank below the living rank, except for those who died in service, who were treated like active rank. Sons of commandery and county dukes were rated as supplementary fifth-rank grandsons. Sons of county barons and higher titles were lowered one rank. Sons of second-rank merit officers were lowered another rank. Grandsons of the two former dynasties were treated as regular third rank.
7
For Xiucai graduates: highest tier, upper regular eighth rank; upper-middle tier, lower regular eighth rank; upper-lower tier, upper supplementary eighth rank; middle-upper tier, lower supplementary eighth rank. For Mingjing graduates: highest tier, lower supplementary eighth rank; upper-middle tier, upper regular ninth rank; upper-lower tier, lower regular ninth rank; middle-upper tier, lower supplementary ninth rank. Jinshi and Mingfa graduates: class A, upper supplementary ninth rank; class B, lower supplementary ninth rank. Graduates of the Hongwen and Chongwen academies were registered the same way. Cases warranting fifth rank or above were reported to the throne. Students of writing and calculation were registered at lower supplementary ninth rank.
8
For Hongwen and Chongwen students: imperial kin within the highest mourning circle, and the empress dowager's and empress's second-grade mourning kin and closer—each household could send two candidates. Active officials of second rank and above, honorary first rank, Secretariat regular third rank treated as third rank, sons and nephews of the six ministers, and descendants of merit holders with substantive fiefs—each yin privilege allowed two selections. Capital officials of regular third rank, chief ministers, and third-rank palace attendants' descendants; supplementary third rank, Secretariat and Gate vice ministers, third-rank attendants, and sons bearing fourth- or fifth-rank honorary titles—each yin privilege allowed one candidate.
9
For merit officers entering selection: Upper Pillar of the State, regular sixth rank; from sixth rank downward, each title lowered one rank. Valiant Cavalry and Martial Cavalry commandants were registered at upper supplementary ninth rank.
10
Holding office required four performance reviews; four reviews at middle-middle advanced one seniority step per year served. Each review: middle-upper gained one step, upper-lower two steps; upper-middle and above, and cumulative reviews reaching fifth rank, were reported separately for special registration. Officials of sixth rank and below transferred without re-selection, and those holding fifth rank and above, had seniority registered yearly and received step-record documents. Extra evaluations could be accumulated toward advancement.
11
滿 滿
Physicians could rise no higher than Court Physician for Imperial Medicines. Yin-yang specialists, diviners, painters, artisans, cooks, musicians, and astronomers could not rise above director of their own bureau. Honglu interpreters could not rise above Director of the Bureau of Receptions. Thousand-Ox guards and left and right bodyguards, after five reviews, were sent to the Ministry of War for examination; literate candidates went to the Ministry of Personnel. Temple acolytes for the Imperial Ancestral Temple were drawn from sons of fifth rank and above and sons of sixth-rank active or pure officials, with service complete after six reviews; Suburban and Altar temples took sons of sixth-rank active officials, with service complete after eight reviews. All had to show rough mastery of two classics, be between fifteen and twenty, and be chosen for proper bearing, good appearance, and sound health.
12
滿 滿簿使 滿
For military selection, tuition-paying sons of ranked families: each year sons of civil and military officials of sixth rank and below, and sons of merit officers from supplementary third through fifth rank, aged eighteen or above, were nominated by prefecture to the Ministry of War. After thirteen years of tuition they were examined: first class went to the Ministry of Personnel, second stayed with the Ministry of War, third paid two years' fees, fourth paid three years' fees; After fees were paid, they were re-examined and granted honorary civil or military rank as appropriate. If service was complete but they skipped the exam, that year's seniority credit was forfeited; mourning exempted fee payment. Those who failed to pay fees without cause, or who committed offenses, were dismissed and sent home. For money-lending sons of ranked families, after two hundred days without default, the home jurisdiction forwarded the register with the capital assembly envoy to the Ministries of Merit and War. After ten years, they were assessed and granted honorary civil or military rank. Nominal-rank aides in state and princely offices slated for dismissal paid tuition like ranked sons, were examined at ten years, with one selection round per year. From one to twelve selection rounds, the required number depended on official rank and was adjusted for merit or fault.
13
祿 調 退
Early in the Wude reign, with the realm newly settled after war, scholars did not seek office and posts went unfilled. Authorities ordered prefectures and counties to send candidates; distant regions might receive clothing and travel rations, yet many still refused to come. Those who came were appointed outright, with no screening out. Within a few years applicants multiplied, and the process grew somewhat more selective.
14
In Zhenguan 2, Vice Minister Liu Linpu said: "Under the Sui, selection began in the eleventh month and did not finish until spring. Candidates are now too numerous; please allow nominations in all four seasons. In year 19, Ma Zhou argued that year-round selection was too burdensome, so selection again ran from the eleventh month through the third month.
15
使
Emperor Taizong once told acting Minister of Personnel Du Ruhui: "We now choose men only by eloquence and paperwork, without truly knowing their conduct. When they later fail in office, even execution cannot undo the harm already done to the people. He then wished to revive the ancient practice of prefectural recruitment. But when merit holders received hereditary fiefs, the plan was dropped. Another day he told his attendants: "Good government depends on finding worthy men. You do not know men, and I cannot know them all either. Days pass, and worthy men slip away. Shall I let men recommend themselves? Wei Zheng argued it would only encourage empty rivalry, and the idea was dropped again.
16
調
At first the evaluation system was simple but carried real weight. In Gaozong's Zongzhang 2, Pei Xingjian created the long-name roster and nomination rules, ranked prefectures and counties in eight grades, and set posting sequences for the capitals, major prefectures, protectorates, and area commands according to rank and seniority. Later Li Jingxuan delegated the work to Zhang Renyi, who devised surname registers and revised dossiers and evaluation schedules until the system grew highly intricate. Yet office-seekers crowded in: some forged credentials, some entered under others' names, and some distant candidates without kin arranged false guarantors. On exam day many submitted under false names, had others write for them, or used outside help—most entries were fraudulent. Though the state multiplied grades, staggered selection limits, stiffened penalties, and encouraged denunciation, abuse could not be stopped. Roughly ten men competed for each post; the rest piled up unplaceable. Frustrated officials sought to weed candidates out by testing obscure scholarship, no longer trying to find talent. Clerks took bribes and controlled who rose or fell. Under Empress Wu, Vice Minister Wei Xuantong deplored this and asked to restore ancient prefectural recruitment, but was not heeded.
17
使 祿使
At first exam papers were sealed and graded by academicians; Empress Wu thought that was not true appointment and ended the practice. She sought popular support instead, advancing and rewarding candidates regardless of merit. In Chang'an 2, more than a hundred graduates were appointed Reminders, Supplementation officials, censors, assistant archivists, court reviewers, and guard aides. The next year, after presentation to the customs commissioner, all graduates received provisional posts, up to Phoenix Pavilion attendant or drafting reviewer, then aide, censor, supplementation, reminder, or collator. Provisional appointments began here. Li Qiao then created more than two thousand aide posts for powerful families' relatives, paid them salaries, and set them to work—some even brawled with regular officials over duties. There were also inspecting, edict-assigned, and acting-supervisor posts. In Shenlong 2, Li Qiao again became Secretariat Director, regretted the abuse, and barred aide officials from handling regular duties.
18
殿
Under Zhongzong, Empress Wei and the Princesses Taiping and Anle ruled through side-gate edicts with slanted seals, creating thousands of "slanted-seal" appointees. Offices overflowed so that chancellors, censors, and aides had nowhere to sit—the age called it "three offices with no seat." Zheng Yin as vice minister took huge bribes, detained masses of candidates, and even filled posts three years in advance, collapsing the system. After the Wei clan's fall, Song Jing, Li Yi, Lu Congyuan, Yao Yuanzhi, Lu Xiangxian, and Lu Huaiqian abolished slanted-seal posts, matched vacancies to candidates, and refused men of high seniority but no real ability. Originally the minister handled selection for seventh rank and above, vice ministers for eighth rank and below. Now they handled all ranks together. Soon Song and Yao were dismissed; Cui Li and Xue Zhao, courting Princess Taiping, warned: "Abolishing slanted-seal posts leaves men displaced, resentment builds below, and disaster will follow. An edict then fully restored slanted-seal and special-edict appointments.
19
簿 使殿使 殿 ''
When Xuanzong took the throne, he threw himself into reform. Zhang Jiuling submitted: "Magistrates and prefects are Your Majesty's partners in governing the people. Yet capital officials treat local posts as exile; their selection must be taken more seriously. He added: "In antiquity men were recruited by reputation or appointed at first meeting, so scholars cultivated conduct and ranks stayed pure. Now the Ministry keeps ledgers against forgetfulness yet prizes paperwork over talent—like marking the boat after losing a sword in the river. The throne then chose capital officials with good records for prefectures; each tenth month investigators graded them from first to fifth rank, and review commissioners with the revenue chief determined promotions. In general, officials who had not served locally were not nominated for central posts. He then assembled new magistrates in the Hall of Proclaiming Governance, questioned them on governance, and promoted the best answers. Aides, censors, and palace attendants were ordered to submit names for direct appointment; each of the war and personnel ministries assigned one aide to the southern registry, lightening the evaluation offices' role. Later Yuwen Rong proposed ten evaluation boards, with Su Ting and others placed in charge. Wu Jing remonstrated: "The Changes says the noble man does not think beyond his post—one must not usurp another's duties. Now Su Ting and others run personnel selection while the emperor decides in person, leaving minister and vice ministers out—critics said the Son of Heaven was doing clerks' work. The emperor took the point and restored the three boards to the regular ministries.
20
便
In Kaiyuan 18, Pei Guangting as chief minister and personnel minister introduced seniority rules: worthy and unworthy alike had to match the schedule, advancing rank by rank without skipping years. Long-stalled candidates welcomed it and called it the "sage's writ." After Guangting died, Xiao Song argued it was not a way to find talent and had it abolished. An edict said: "Men normally enter service at thirty and take active posts at forty; under the new minute grades, a man might still be a captain at sixty. Henceforth the Ministry of Personnel should promote candidates of outstanding talent, conduct, or local reputation without waiting on the schedule."
21
便
At first officials who also handled state affairs returned to their home ministries only after noon. War and personnel ministers who handled state affairs likewise returned to divide vacancies, nominate, and announce appointments. Since Kaiyuan, chancellors' status rose; even personnel ministers decided their ministry's business at the Secretariat. Left and right chancellors who also headed war or personnel did not personally run evaluation. By precedent three evaluations, nominations, and announcements preceded appointment, finishing only in late spring before passing the Department of State Affairs. Yang Guozhong as right chancellor and literary minister proposed deciding retention publicly from qualifications, judgment papers, records, and merit. Clerks secretly fixed vacancies beforehand; in one day he gathered chancellors and bureau heads in the capital hall to announce appointments and boast of speed. Department review and the three-board nomination system were abolished; vice ministers handled judgment exams only.
22
After Suzong and Daizong, war and turmoil multiplied officials until evaluation law collapsed entirely. Under Dezong, Shen Jiji, a probationary harmonizing officer of the Court of Imperial Sacrifices, denounced the abuses at length:
23
祿祿 祿 簿 使 退 ' '
Rank and salary have long been corrupted by four excesses: too many paths to office, too much favor for noble houses, salaries too rich, and oversight too weak. I believe salaries should be reduced and oversight strengthened. Ancient and modern selection rests on three standards: virtue, talent, and service; yet today's selection office reaches none of them. Though regulations speak of virtue, talent, and service, examination rests on paperwork and mannerisms—no vice minister can truly know a man's worth. Calm bearing and slow speech are not virtue; fluent prose and fine calligraphy are not talent; stacked seniority and evaluations are not service. Even rigid adherence misses the right men, let alone when countless candidates overwhelm human judgment. The fault lies not in poor judgment but in the law itself. A ruler must read change to make law and read the times to set policy. Former ages relied on prefectural recommendation; by Qi and Sui appointments came mostly through patronage. Critics then said: better self-recommendation than private favoritism; better central control than outside abuse. So prefectural power was withdrawn and centralized in the Ministry of Personnel. That was a temporary remedy, not an eternal statecraft. Personnel law is now cramped; we cannot cling to a failing system. I propose that fifth rank and above, bureau heads, and chancellors nominate candidates, with personnel and war ministries consulting; sixth rank and below and aides may be recruited by prefectures. Evaluation would rest with the regions; final approval would return to the two ministries. Choose good governors first, then grant them authority. Higher posts would be signed locally then reported; lower ones confirmed by board without edict. If governors or generals appoint unfairly, personnel and war ministries may investigate and impeach. The sage ruler sees and hears afar and punishes private abuse. Careless recommenders face censure or criminal punishment. Hold appointees accountable—who would not strive? Then name-seizers, mediocrity, bribe-takers, and the weak or treacherous would vanish at the edict's promulgation—eight or nine in ten of today's abuses. Then posts would be ample, duties clear, the worthy would rise unbidden, and the unworthy would withdraw on their own. Some objected: "Under Kaiyuan and Tianbao the realm was at peace without changing personnel law—why recruit outside to achieve good order?" I disagree. Selection is one pillar of statecraft; systems may be good or bad, but results depend on how laws are enforced. Prefectural recommendation worked in the two Han dynasties but failed in Wei and Qi. Centralized personnel selection failed under Shenlong and Jinglong but succeeded under Kaiyuan and Tianbao. Those eras enjoyed long peace, firm law, timely rewards, and even punishments—order came from governance itself, not from the personnel system alone. Had recruitment been used then, would order not have lasted even longer?"
24
The emperor praised him but feared sweeping reform and never adopted the plan.
25
簿 西 殿
At first personnel held annual assemblies, then only every few years. Crowds of candidates and chaotic paperwork let clerks profit; some scholars waited ten years for office while vacancies went unfilled for years. Chancellor Lu Zhi reformed the abuse, ordering personnel to fill one-third of posts annually according to vacancies. With Hexi and Longyou lost and the north in turmoil, posts fell by a third from Tianbao levels while candidates doubled; scholars served two years but waited ten for promotion, and review laws decayed. Under Xianzong, Li Jifu set review standards: prefects, secondary-capital officials, tomb directors, capital marshals, senior prefectural aides, Eastern Palace staff from grand tutor down, and fourth-rank princely officials—all required five reviews. Attending censors thirteen months, palace attending censors eighteen, investigating censors twenty-five. Three-department officials, circuit appointees, inspecting fifth rank and above, and secretariat staff took three reviews; other offices four; civil and military fourth rank and below five. Transfers of secretariat fourth rank and above and third-rank civil or military officials required prior memorial.
26
Tang had many paths to office. At its height, statutes recorded: ten thousand tuition-paying sons of ranked families; sixty-three thousand academy and local school students; thirty-six calendar students; one hundred fifty astronomy students; two hundred eleven medical, acupuncture, and incantation students; thirty diviners; eighty Thousand-Ox guards; two hundred fifty-six bodyguards; sixteen presenting-horse officers; eight hundred sixty-two acolytes; nearly forty thousand guard and gate officers; nearly two thousand garrison chiefs; nearly eighteen hundred area-command clerks; three thousand five hundred commandants; halberd and carriage bearers in each command; ten thousand personal and tent attendants; one hundred imperial library copyists; forty-one historiography clerks; thirty pharmacy youths; and more than six thousand clerks across the bureaucracy. These were all gateways to office, not counting existing chief recorders or unregistered local aides.
27
使 使
Evaluation systems varied: extra-stream candidates, war and rites graduates, and aides could be appointed independently—the "small selection." Under Taizong, drought and costly grain led eastern candidates to assemble at Luozhou—the "eastern selection." In Gaozong's Shangyuan 2, because the south could appoint locals who were not always capable, aides and censors were sent as selection commissioners—the "southern selection." Later Jiangnan, Huainan, and Fujian likewise sent commissioners to select candidates locally after floods or drought. These practices were irregular and undocumented, so they are not described further here.
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