Comprehensive Reflections to Aid in Governance
By Sima Guang
Translated By Yiming Yang
Annals of Han Book 17 Scroll 25 (continued)
The 3rd year of Emperor Xuan’s Di’jie Era (67 B.C. continued)
During the reign of Emperor Wu, conscription was onerous, and the people were burdened with toil and impoverishment. The destitute, driven by hardship, often transgressed the law, and corruption spread throughout the realm. To restore order, Zhang Tang, Zhao Yu, and others were appointed to establish stringent laws and ordinances. They enacted measures that imposed heavy penalties upon those who concealed offenses, and laws that held the superiors accountable, while implicating all their subordinates. They rewarded those who applied excessive severity or lodged wrongful accusations, while punishing those who showed leniency or doubt toward the accused.
As cunning and deceit grew among the people, prohibitions multiplied in response; thus, the legal codes became ever more intricate. The system of justice turned oppressive, with countless documents and statutes filling the archives—so voluminous that no one could read them all. The application of law came to differ by region, and similar crimes were judged with dissimilar sentences. Corrupt officials exploited the confusion, bending laws to serve their own ends. Those who sought mercy were compelled to bribe, that lighter statutes might be invoked; those falsely accused were condemned to death. The cries of injustice resounded throughout the empire, and resentment filled the hearts of the people.
A staff officer of the Justice Ministry, Lu Wenshu of Julu, presented a memorial:
“I have heard that in the state of Qi, the calamities caused by Prince Wuzhi were turned into prosperity by Duke Huan; and in the state of Jin, the disorders brought about by Concubine Li were transformed into hegemony by Duke Wen. In more recent times, the Prince of Zhao, Liu Ruyi, perished untimely, and the Lü clan rose in rebellion; yet from that turmoil emerged Emperor Wen, venerated as Emperor Taizong. Thus it may be seen that chaos and misfortune often precede the rise of a sagacious ruler. When a new age succeeds one of disorder, there must arise extraordinary virtue to distinguish the present from the past, thereby manifesting Heaven’s Mandate. Formerly, when Emperor Zhao died without an heir, and the Prince of Changyi sank into debauchery, it was indeed Heaven’s will, opening the way for the most enlightened to ascend the throne.
“I have heard that the Spring and Autumn Annals place great weight upon the rectification of succession and the unity of the realm. At the beginning of a reign, utmost caution must be observed to establish orthodoxy. Your Majesty, upon ascending to the throne, has aligned with the rightful order. It is now fitting to correct the faults of former times, to affirm the transmission of the Mandate, to cleanse the laws of their excesses, to relieve the people of their grievances, and to respond to the will of Heaven.
“It is recorded that the Qin dynasty had ten wrongdoings, one of which still remains: the officers of the penal law. The handling of judicial affairs is the lifeblood of the empire. The dead cannot be restored to life, and the mutilated cannot be made whole again. The Book of Documents says, ‘Better to spare the guilty than to slay the innocent.’ Yet the law officials of today are contrary to this: they pursue harshness to gain merit, regarding cruelty as justice. Those who punish with severity win praise, while those who judge with equity fall into peril. Thus the magistrates of law desire the death of the accused, not from hatred, but to secure their own safety. Hence blood flows in the markets, and the condemned stand side by side; the yearly toll of executions numbers in the tens of thousands. This rips the heart out of the humane and the wise, and delays the coming of great peace—this is the root of the disorder.
“Human nature is such that in comfort one cherishes life, and in agony one seeks death. Under the lash and the torture, what confession cannot be extracted? Prisoners, unable to endure the pain, take hints from their interrogators; and the officials, eager to conclude the case, guide them toward the desired confession. Fearing later reversal, they forge and embellish evidence to make it irrefutable. Even if a fair judge like Gao Yao were to review it, he would have deemed that a thousand deaths could not atone for such crimes. Why so? Because the records, filled with forced confessions and falsified testimony, stand before him as proof. Thus has it been said: ‘Draw a circle upon the ground as a prison, and none dare step within; carve wood into a prosecutor, and all fear to behold him.’ These are laments for the cruelty of officials and the cries of victims who perish unjustly. Only Your Majesty, by reforming the laws and tempering punishments, can restore harmony to the people and bring forth the tranquil winds of Great Peace throughout the realm.”
The Emperor approved his words.
In December, an imperial edict was issued, declaring:
“In recent times, the officials of justice have grown adept at twisting the law, and the use of fabricated charges has become ever more severe. This is the fault of My governance. False judgments have led to wrongful convictions, the innocent have suffered punishment, and fathers and sons have been left in grief and despair. We are deeply pained by this! Now, We appoint staff of the Justice Ministry to help resolve doubtful cases of the commanderies. Their authority is limited, their emoluments modest. Furthermore, an Appeal Panel shall be established within the Ministry of Justice, with a stipend of six hundred piculs, composed of four members. Their duty shall be to ensure impartiality and uphold My intent toward fairness.”
From that time forth, whenever the autumn reviews of appeals were held, the Emperor would frequently reside in the Hall of Proclamation, abstaining from food, deliberating upon the cases himself. Thus the judgments of criminal matters grew increasingly equitable, and justice was more faithfully rendered throughout the realm.
Zheng Chang, the Prefect of Zhuojun Commandery, submitted a memorial, stating: “Under the current enlightened Sovereign, even without establishing the Appeal Panel, the legal system will naturally rectify itself. However, for the sake of future generations, it is advisable to revise and simplify laws and regulations. Once the laws are clearly defined, the foolish common people will know what to avoid, and corrupt officials will have no room for manipulation. Failing to correct the fundamental issues while setting up appeal panels is tantamount to address the trees while losing sight of the forest. Once a new ruler enthroned leading to decline and negligence in governance, it would allow the appeal panels rooms to manipulate the laws and become a source of disorder again.”
During the reign of Emperor Zhao, the Xiongnu sent four thousand cavalry to hunt near the kingdom of Jushi. When the Five Generals of Han mounted their campaign against the Xiongnu, the Xiongnu horsemen who were hunting there fled in terror. Thereafter, Jushi restored its communication with the Han. The Xiongnu, enraged, summoned the Jushi crown prince, Junsu, intending to hold him as a hostage. But Junsu, being grandson of the king of Yanqi and unwilling to become a captive of the Xiongnu, fled to Yanqi. The king of Jushi then appointed his younger son, Wugui, as crown prince. When Wugui succeeded to the throne, he forged marriage ties with the Xiongnu and caused them to block the passage between Wusun and the Han.
In that same year, vice minister Zheng Ji of Kuaiji, together with Colonel Sima Xi, led pardoned convicts to establish military farms in the Quli kingdom. They amassed grain, raised an army of more than ten thousand from various tribes, and, together with the recruited peasants, attacked Jushi and defeated it. The king of Jushi sued for surrender. The Xiongnu, angered, sent troops to strike Jushi. Zheng Ji and Sima Xi advanced northward to confront them, and the Xiongnu dared not proceed. Leaving one captain and twenty soldiers to guard the king, Zheng Ji returned to Quli. The Jushi king, fearing that the Xiongnu might return and kill him, fled on horseback to Wusun. Zheng Ji then received the king’s wife and children and escorted them to Chang’an.
The Xiongnu appointed Dou Mo, the king’s younger brother, as the new king of Jushi, moved the remaining people eastward, and forbade them from dwelling in their former lands. Zheng Ji then sent three hundred officers and soldiers to settle in the reclaimed Jushi territory.
Since his accession, the Emperor had dispatched envoys repeatedly to search for his maternal kin. For a long time none of those found proved to be the true relatives. In this year, however, the Emperor at last discovered his maternal grandmother, Lady Wang, and her sons, Wang Wugu and Wang Wu. He bestowed upon Wang Wugu and Wang Wu the rank of Inner Marquis. Within a few months, generous rewards and gifts were lavished upon them, amounting to a vast sum.
Reflection by Rio Grande 