酷吏列传 — Shiji

Confucius said: "Guide them with governance, regulate them with punishment, and the people will avoid crime but have no shame. Guide them with virtue, regulate them with propriety, and they will have shame and will also correct themselves." Laozi observed: "The highest virtue does not deliberately cultivate virtue, therefore it retains virtue. The lowest virtue deliberately cultivates virtue, therefore it loses virtue. When laws and decrees multiply, thieves and bandits increase." The Grand Historian remarks: How true these words are! Laws and regulations are instruments of governance, not the source of clean or corrupt administration. In former times, the nets of the realm were indeed tightly woven, yet deception and fraud arose nonetheless. At their worst, superiors and subordinates evaded each other, until governance collapsed entirely. In such times, if officials did not govern like extinguishing fires or ladling boiling water—if they were not fierce, robust, strict, and harsh—how could they possibly fulfill their duties and find satisfaction? Those who spoke of virtue and morality were failing in their responsibilities. Hence it is said: "In hearing lawsuits, I am like anyone else. What I desire is to make lawsuits unnecessary." The lowest scholar laughs when he hears the Way. These are not idle words. When Han rose to power, it broke the angular into the round, carved away the ornate to reveal the simple. The nets had gaps wide enough to let through fish that could swallow boats, yet official governance flourished, and the people did not sink into wrongdoing. From this we can see: the solution lies there, not here.

During the reign of Empress Dowager Gao, only Hou Feng among the cruel officials remained, cruelly oppressing the imperial clan and insulting meritorious officials. When the Lü clan fell, Hou Feng's family was exterminated. During Emperor Jing's reign, Chao Cuo, with his harsh severity and adept use of stratagems to complement his abilities, provoked the Seven Kingdoms Rebellion; the anger of the rebels fell upon Cuo, and he was eventually executed for it. After him came figures like Zhi Du and Ning Cheng.

Zhi Du was from Yang. He served as a Gentleman Attendant in Emperor Wen's court. During Emperor Jing's reign, he rose to become Leader of the Palace Gentlemen, bold enough to confront ministers directly in court and refute their arguments. Once when he followed the emperor into Shanglin Park, Lady Jia went to the latrine, when suddenly a wild boar burst in. The emperor glanced at Zhi Du, who did not move. The emperor wished to personally take up arms to rescue Lady Jia, but Zhi Du knelt before him saying: "If we lose one lady, another lady takes her place. Are there so few people in the empire as Lady Jia? Even if Your Majesty does not value his own life, what of the altars of the ancestors and the Empress Dowager?" The emperor turned back, and the boar departed as well. When the Empress Dowager heard of this, she rewarded Zhi Du with a hundred jin of gold, and from this incident she came to value him greatly.

The Jian clan in Jinan had over three hundred households. They were bullying and defiant, and no official of the two-thousand-stone rank could control them. Emperor Jing therefore appointed Zhi Du as Administrator of Jinan. Upon arrival, he exterminated the Jian clan leaders, and the rest trembled with fear. After a year and more, no one in the commandery would pick up lost objects. The neighboring dozen commanderies feared Zhi Du like they feared a superior office. Zhi Du was courageous, physically strong, and upright and incorruptible. He would not entertain private letters, accepted no gifts, and listened to no requests of favor. He often said: "Having left one's family to enter service, one should serve dutifully and die for principle in office, never considering wife and children."

When the Prince of Linjiang was summoned to the office of the Commandant of the Imperial Guard to answer charges, he wished to obtain brush and paper to write a letter of apology to the emperor, but Zhi Du forbade his officials to provide them. The Marquis of Weiqi sent someone to secretly deliver writing materials to the prince. After the prince had written his letter of apology to the emperor, he took his own life. When the Empress Dowager Dou heard of this, she was furious and used the law to implicate Zhi Du, who was dismissed and returned home. Emperor Jing then sent an envoy bearing imperial credentials to appoint Zhi Du as Commandant of Yanmen, allowing him to proceed directly to his post and act as he saw fit. The Xiongnu had long heard of Zhi Du's integrity; while he guarded the border, they led their troops away and never approached Yanmen while Zhi Du lived. When the Xiongnu created a mannequin likeness of Zhi Du, their horsemen rode out to shoot at it, but none could hit it—they feared him so much. The Xiongnu regarded him as a affliction. The Empress Dowager Dou ultimately found a way to have Zhi Du executed under Han law. Emperor Jing said: "Zhi Du is a loyal minister." He wished to release him. The Empress Dowaged said: "Is the Prince of Linjiang not also a loyal minister?" Zhi Du was thereupon beheaded.

Emperor Jing then sent an envoy bearing a tally to appoint Zhi Du as Governor of Yanmen, allowing him to travel by the most convenient route to his post and to act on his own authority. The Xiongnu had long heard of Zhi Du's integrity; as soon as he took up his border command, they withdrew their troops and never came near Yanmen again as long as Zhi Du lived. The Xiongnu even carved a wooden figure of Zhi Du and had their horsemen gallop and shoot at it, but no one could hit it—such was the terror he inspired. The Xiongnu regarded him as a scourge. Empress Dowager Dou finally used Han law to frame Zhi Du. Emperor Jing said, 'Zhi Du is a loyal minister,' and wished to set him free. Empress Dowager Dou replied, 'Was the Prince of Linjiang not a loyal minister as well?' Thereupon Zhi Du was executed.

When Emperor Wu ascended the throne, Ning Cheng was transferred to the post of Metropolitan Superintendent. Many of the empress's relatives spoke against his faults, and he was convicted and sentenced to shaving and branding. At that time, if the Nine Ministers committed a crime, they would simply be executed; few received corporal punishment. But Ning Cheng, having undergone the most severe punishment, believed he would never be employed again. He therefore escaped, forged a travel permit, and returned home. He declared: "An official career that does not reach two thousand stones, a merchant's fortune that does not reach ten million—such a person cannot compare with others!" He then borrowed money to purchase over a thousand qing of hillside land, which he leased to poor commoners, putting several thousand families to work as his laborers. After several years, a general amnesty was declared. He accumulated assets worth several thousand jin of gold. He became a knight-errant, discovered the weaknesses of officials, and traveled with an entourage of dozens of horsemen. His influence over the people was greater than that of any administrator.

His governance emulated Zhi Du, though his integrity could not equal him, yet the imperial clan and the powerful families all lived in fear of him. When Emperor Wu ascended the throne, he was transferred to be Neishi. Relatives of the imperial family often disparaged his faults, and he was convicted and sentenced to the punishment of head-shaving and wearing an iron collar. At that time, senior ministers who committed capital crimes were simply put to death, rarely suffering corporal punishment; but Ning Cheng was given a harsh sentence, and he thought he would never be reinstated. So he freed himself from his bonds, forged a travel pass, left the frontier pass, and returned home. He declared, 'If your official salary does not reach two thousand piculs, and your trade does not yield ten million, how can you be counted among men!'

After Ning Cheng and Zhouyang You, matters only increased. The people devised clever ways to circumvent the law, and for the most part, official governance came to resemble the methods of Cheng and You.

After Ning Cheng and Zhouyang You, affairs grew ever more numerous and the people became adept at exploiting loopholes in the law; for the most part, officials governed in the manner of Cheng and You. Zhao Yu was a man of Tai County. He began as an assistant clerk filling a post among the capital officials, and because of his honesty was appointed as a law clerk, serving the Grand Commandant Zhou Yafu. When Yafu became Chancellor, Yu became the Chancellor's clerk, and everyone in the office praised his honesty and fairness. Yet Yafu did not entrust him with major responsibilities, saying, 'I know well that Yu is without harm, but his application of the law is harsh and deep; he cannot be placed in a high office.' Under the present emperor, Zhao Yu, as a petty clerk, accumulated merit and was gradually promoted to be a Censor.

The emperor considered him capable and promoted him to Grand Master of the Palace. Together with Zhang Tang he debated and established various laws and regulations, creating the 'see and know' statute by which officials could monitor and report on each other. Legal enforcement became increasingly severe, and it was from this time that it began. Zhang Tang was a man of Du. His father was the Assistant of Chang'an. Once when his father went out, Zhang Tang as a child stayed to watch the house. When his father returned, a rat had stolen some meat; his father was angry and flogged Zhang Tang. Zhang Tang dug out the rat hole and caught the thieving rat along with the remaining meat. He indicted the rat, conducted a ruthless interrogation, and drew up a written record, questioning and adjudicating before reporting the sentence. He then took the rat and the meat, and executed the punishment by dismembering the rat in the courtyard. His father saw this and observed that his legal phrasing was like that of an old jailer; greatly astonished, he then made him study judicial documents. After his father died, Zhang Tang served as a clerk in Chang'an for a long time.

Zhang Tang, by contrast, was duplicitous and used his intelligence to control others. Early in his career as a minor clerk, he speculated on public funds, and secretly associated with wealthy merchants like Tian Jia and Yu Wengshu. When he rose to join the Nine Ministers and received prominent men of talent from across the realm, though his heart was not truly in harmony with them, he outwardly admired them. At that time the emperor inclined toward literary pursuits, and Zhang Tang, in deciding major cases, wished to transmit ancient interpretations. He therefore requested that scholars trained in the Documents and the Spring and Autumn Annals serve as clerks in the office of the Commandant of Justice, to evaluate doubtful points in the law. When presenting cases of uncertainty, he would always first analyze the circumstances for the emperor. Whatever the emperor approved, he would accept and record as a judicial precedent, which was then promulgated as the emperor's clear will. When presenting matters, if criticized, Zhang Tang would apologize; if the emperor's intention was favorable, he would bring forward upright officials, supervisors, and clerks who were capable, saying: "This was my counsel, but if the emperor reproves his minister, and the minister does not comply, the minister commits an offense here." Thus his errors were always forgiven. When presenting cases, if the emperor approved, he would say: "I did not know to prepare this memorial; it was prepared by the supervisor and clerk so-and-so." When he wished to recommend an official, he would publicize the person's good deeds and conceal their faults.

When he saw the wording of the law, he would immediately use it to convict without further review, and he sought out the hidden misdeeds of his subordinates. Zhang Tang was by nature duplicitous and used his wits to manipulate others. As a minor clerk early in his career, he profited through opportunism and secretly associated with wealthy Chang'an merchants such as Tian Jia and Yu Wengshu. After he rose to the rank of the Nine Ministers and received eminent scholars and officials from across the realm, although inwardly he did not truly agree with them, he outwardly feigned admiration. At that time the emperor was leaning toward literary pursuits, and when deciding major cases, Zhang Tang wanted to attach ancient interpretations. He therefore requested that scholars who studied the Documents and the Spring and Autumn Annals serve as clerks in the court of the Commandant of Justice, to evaluate doubtful points in the law. When presenting cases of uncertainty, he would always first analyze the circumstances for the emperor. Whatever the emperor approved, he would accept and record as precedent, the law to be promulgated as the emperor's clear will. When presenting matters, if criticized, Zhang Tang would apologize; if the emperor's intention was favorable, he would bring forward upright officials, supervisors, and clerks who were capable, saying: 'This was my counsel, but if the emperor reproves his minister, and the minister does not comply, the minister commits an offense here.' Thus his errors were always forgiven. When presenting cases, if the emperor approved, he would say: 'I did not know to prepare this memorial; it was prepared by the supervisor and clerk so-and-so.' When he wished to recommend an official, he would publicize the person's good deeds and conceal their faults.

When dealing with cases that matched the emperor's wishes to punish, Zhang Tang assigned them to supervisors and clerks known for their severity; when the emperor wished to release someone, he assigned them to supervisors and clerks known for leniency. When dealing with powerful figures, he employed elaborate legal tricks; when dealing with weak commoners, he would sometimes speak on their behalf, so that although their cases met the letter of the law, they were often overlooked. This is why his recommendations were frequently heeded.

In his personal conduct, Zhang Tang was well-developed. He understood the art of hospitality and entertaining. For old friends' sons who entered service or for impoverished brothers, his care and protection were especially generous. He visited the various lords without regard for season or weather. Although Zhang Tang was legally rigorous and resentful, not entirely impartial, he earned a reputation for these qualities.

Emperor Gaozu wanted to attack the Xiongnu, but was trapped in great distress at Pingcheng and so concluded a peace alliance through marriage. Under Emperor Hui and Empress Dowager Lü, the realm was peaceful and the people content. When Emperor Wen wished to take action against the Xiongnu, the northern frontier fell into desolation and suffered bitterly from warfare. Under Emperor Jing, the seven kingdoms including Wu and Chu rebelled; Emperor Jing shuttled between the two palaces, his heart chilled with anxiety for months. After Wu and Chu had been defeated, Emperor Jing ultimately never spoke of military affairs, and the realm became rich and prosperous. Now Your Majesty has raised troops to strike the Xiongnu, leaving the central kingdom empty and the border folk greatly impoverished. From this perspective, it would be better to make peace through marriage alliance.

The emperor asked Zhang Tang what should be done with Di Shan. Zhang Tang said, 'This is a foolish Confucian scholar, completely ignorant.' Di Shan said, 'I am indeed foolishly loyal, but the Imperial Secretary Zhang Tang is deceitfully loyal. When Zhang Tang handled the legal cases of the kings of Huainan and Jiangdu, he used harsh laws to viciously denounce the feudal lords, alienating their ties of blood and making the vassal ministers deeply uneasy. I have long known that Zhang Tang's loyalty is false.' At this the emperor's face darkened and he said, 'If I put you in charge of a commandery, could you prevent the enemy from raiding and plundering?' Di Shan replied, 'No.' The emperor asked, 'What about a county?' Di Shan answered, 'No.' The emperor then said, 'What about garrisoning a frontier fort?' Di Shan calculated that if he continued to argue he would be outwitted and handed over to the law officers for punishment, so he said, 'Yes.' Thereupon the emperor sent Di Shan to man a border fort. Just over a month later, the Xiongnu cut off Di Shan's head and left. From that time on, all the ministers were shaken with fear. Zhang Tang's retainer Tian Jia, though a merchant, had virtuous character. Earlier, when Zhang Tang was a lowly clerk, he had financial dealings with Tian Jia. After Zhang Tang became a high official, Tian Jia would reproach him for lapses in conduct and righteousness, showing the integrity of a man of honor. Zhang Tang served as Imperial Secretary for seven years, and in the end he met his downfall.

A man from Hedong, Li Wen, had once fallen out with Zhang Tang. Later he became deputy to the Censor-in-Chief. Resentful, he repeatedly searched through palace documents for any matter that could harm Zhang Tang, but never found a footing. Zhang Tang had a trusted subordinate, Lu Ziju, who knew Zhang Tang was aggrieved. Lu had someone submit a secret accusation of Li Wen’s misdeeds. The case was handed to Zhang Tang, who tried and condemned Li Wen to death, all the while knowing in his heart that Lu Ziju was behind it. The emperor asked: ‘Where did this accusation originate?’ Zhang Tang feigned astonishment and said: ‘This was probably Li Wen’s old associates, angry at him.’

Ziju lay ill in bed at his home in the village. Zhang Tang personally went to visit him and massaged his feet. The State of Zhao made its living by iron smelting and casting. The King of Zhao repeatedly brought lawsuits over the affairs of the iron officials, and Zhang Tang often opposed and suppressed the King. The King of Zhao sought to uncover Zhang Tang's secret wrongdoings. Ziju had previously tried a case against the King of Zhao, so the King resented him and submitted a written accusation: 'Zhang Tang is a high minister; yet when the scribe Ziju was ill, Zhang Tang came and massaged his feet—I suspect they are engaged in some great crime.' The case was handed over to the Commandant of Justice. Ziju later died of illness, and the case implicated his younger brother, who was imprisoned at the Office of Sacrificial Grain.

Zhang Tang, when interrogating other prisoners while serving at the Director of Works, saw Ziju’s younger brother. He intended to assist him secretly but pretended not to recognize him. Ziju’s brother, unaware of this, harbored resentment against Zhang Tang and sent a statement to the throne accusing Zhang Tang of conspiring with Ziju to falsely accuse Li Wen. The case was referred to Jian Xuan. Jian Xuan had previously had a falling-out with Zhang Tang, and when he received this case, he thoroughly investigated it, though he had not yet reported his findings. At that time, someone stole the coins buried at Emperor Wen’s park. Chancellor Zhuang Qingdi went to court and agreed with Zhang Tang to both apologize. When they arrived before the emperor, Zhang Tang thought to himself that it was the Chancellor alone who made seasonal inspections of the park and should therefore apologize, while he himself had no part in it, so he did not apologize. The Chancellor apologized. The emperor then ordered the Imperial Secretary to investigate the matter. Zhang Tang wanted to submit a document charging the Chancellor with knowing about the theft and failing to report it, which caused the Chancellor great anxiety.

Zhang Tang's associate Tian Jia, though a merchant, possessed honorable principles. When Zhang Tang was a minor clerk, Tian Jia had associated with him through money, and now that Zhang Tang was a great official, Tian Jia reproached him for his conduct and shortcomings, also displaying the spirit of a courageous man.

Zhang Tang served as Censor-in-chief for seven years before his downfall. He had no merit, having started as a petty clerk; Your Majesty was fortunate to promote him to the Three Ducal Ministers, yet he had no way to discharge his responsibility. However, those who plotted to frame him were the three Chief Clerks. Thereupon he committed suicide. After his death, his family wealth was worth only five hundred pieces of gold, all from his official salary and gifts, with no other estate. His brothers and sons wished to give him a lavish funeral, but his mother said: 'Tang was a minister of the Son of Heaven, and he died because of foul slanders; why give him an elaborate burial?' They used an ox cart to carry him, with an inner coffin but no outer coffin. The Son of Heaven heard this and said: 'Only such a mother could bear such a son.' Then he fully investigated and executed the three Chief Clerks. Chancellor Qing Di committed suicide. Tian Xin was dismissed from office. The Emperor cherished Tang and gradually promoted his son Zhang Anshi.

Zhao Yu was dismissed midway through his career, but later became the Commandant of Justice. At first, Marquis of Tiao (Zhou Yafu) considered Zhao Yu deeply malicious and refused to entrust him with responsibility. When Zhao Yu became Director of the Lesser Treasury, he ranked among the Nine Ministers. Zhao Yu was harsh and severe; in his later years, as state affairs multiplied and other officials strove for stern governance, Zhao Yu’s methods grew more lenient and he gained a reputation for fairness. Wang Wenshu and others who rose later governed even more harshly than Zhao Yu. Due to old age, Zhao Yu was transferred to serve as Chancellor of the Kingdom of Yan. Within a few years, after a rebellion and disorder, he was implicated in crimes, dismissed, and returned home. More than ten years later, he died of old age at his residence. Yi Zong was a native of Hedong.

The emperor asked: "How did the report of this affair begin?"

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At the emperor's question, Lu Yegu sent someone to inquire about Zhang Tang's well-being. Zhang Tang was not feeling well, and Lu Yegu, worried, sent a subordinate to present a petition on his behalf. Li Wen's matter came to light through this, and Lu Yegu himself was accordingly imprisoned. The subordinate who presented the petition said: "Lu Yegu knows that the Secretary committed a crime but did not report it. I petition on his behalf, hoping to save him." The authorities examined this and determined that Lu Yegu had indeed committed a crime.

Zhang Tang, hearing of this, said: "I knew this would happen." He then personally interrogated Lu Yegu's case. Lu Yegu, fearing torture, flung himself from the building and died. Zhang Tang did not attend his funeral.

The emperor said: "Is this not also Zhang Tang's fault?" When Zhang Tang heard of this, he went to the palace to confess his crime, saying: "I, your servant, have committed a great offense. Lu Yegu died because of my case, and I did not restrain him. I am willing to accept punishment." The emperor, considering that Zhang Tang had confessed voluntarily, reduced his sentence. However, Li Wen's son, from prison, sent a letter to the emperor: "My father, Li Wen, had no fault. The crime was fabricated by Lu Yegu. I petition that my father's innocence be investigated." The emperor said: "Zhang Tang investigated this case. If there was wrong, he should be punished. But if there was none, why petition?" The son replied: "My father, though a subordinate, was framed. I seek only that the truth be known." The emperor ordered an investigation. Zhang Tang, fearing the outcome, sent people to bribe the investigators. The investigation concluded that Li Wen was innocent. Zhang Tang, seeing that his crimes were about to be exposed, poisoned himself.

When the news reached the emperor, he said: "Zhang Tang served me faithfully for many years. Although his methods were harsh, his intentions were to uphold the law. His death is a loss." He ordered that Zhang Tang be buried with honors.

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This concludes the main narrative of the biographies of cruel officials. Their legacy is one of harshness and severity, of laws applied without mercy, of ambition unchecked by conscience. Whether they served the state or themselves, whether their strictness maintained order or crushed the innocent, remains a question left to history.

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(Note 2: The philosophical opening passage about Confucius and Laozi is standard commentary by Sima Qian, the Grand Historian.)

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Yi Zong was dismissed in the middle of his career. Later he became Right Fufeng. Bearing a grudge against Cheng Xin, when Xin fled and hid in the Shanglin Park, Yi Zong sent the Prefect of Mei county to kill him. As the officers and soldiers were attacking Xin, an arrow hit the gate of the Shanglin Park. Yi Zong was handed over to the judicial authorities for condemnation, who judged it as high treason warranting the extermination of his clan, and he committed suicide. Du Zhou then rose to employment. A native of Duyan in Nanyang, Du Zhou had been taken as a trusted henchman by Yi Zong when the latter was Governor of Nanyang, who recommended him as a Clerk of the Commandant of Justice. He served Zhang Tang, who often said he was without equal, and he advanced to the post of Censor. He was sent to investigate desertions and losses on the borders, and he condemned a great many to death.

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Du Zhou said, "How are laws created? Whatever the former sovereign affirmed was written into law; whatever the later sovereign affirmed was elaborated into ordinances; whatever was deemed correct at the time—why follow ancient laws?" When Du Zhou became Commandant of Justice, the number of imperial cases increased even more. Officials of the two-thousand-bushel grade (an annual salary of approximately 720 bushels of grain) who were imprisoned, new and old succeeding one another, numbered no fewer than one hundred. The commanderies and the Chancellor's Office forwarded cases to the Commandant of Justice, reaching over a thousand cases a year. Large cases led to the arrest of hundreds of witnesses and related persons; small cases involved tens. Some far-reaching cases involved several thousand people; cases close at hand spanned several hundred li. At trial, the officials questioned them according to the charges in the indictment; if the accused did not confess, flogging was used to force a verdict. As a result, anyone who heard of an arrest warrant fled into hiding. Cases that dragged on for years, even after multiple amnesties and more than a decade, still saw mutual accusations, mostly framed with the crime of great sedition or worse. The Commandant of Justice and the various offices in the capital, through imperial cases, arrested up to sixty or seventy thousand people, while petty officials added false charges against more than one hundred thousand.

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After Zhang Tang died, the law became tightly meshed and many decried its harshness, while government affairs gradually fell into decline. The Nine Ministers merely went through the motions in their posts and could barely keep up with remedying their own mistakes—how could they find leisure to discuss anything beyond the strict letter of the law? Yet among these ten men, those who were upright could serve as models, and those who were corrupt stood as warnings. Their strategies and instruction, their prohibition of treachery and suppression of evil—all were cultivated and refined, possessing both civil and martial virtue. Cruel and harsh as they were, they genuinely matched their stations. As for Feng Dang, the governor of Shu, who violently assaulted and injured people—

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