by Confucius
the prince will be true also.
But when those who serve are flatterers,
well …
the prince will think he is some kind of a sage!
‘A prince’s virtue depends upon his statesmen. And conversely, any lack of virtue also depends upon the statesman. Do not trust the obsequious, who will fill your ears and eyes with nonsense, nor trust those who twist the regulations of the Ancestor Kings. If you select officers, not because they are good but because they bribe you, they will eventually prove to be worse than useless. They will show no respect for the ruler and then I will lay all the blame for this on you.’
‘Indeed,’ the king said. ‘Be respectful. Help the prince and thereby ensure law and order.’
55
The Penal Codes and the Prince of Lu
The final document concerning King Mu. He was believed to have lived to be one hundred and five years old, and this was issued in his one hundredth year.
When the king was old and tired, he prepared the Order to Lu – codes of penal laws designed to ensure that the people throughout the land would obey them.
The king commanded:
‘The ancient stories tell us that the first person to launch a rebellion was Chi You, chief of the Miao people, and that this had a deep impact on all the ordinary people. Encouraged by this rebellion, they without exception turned to thieving and murder, and like birds of prey they attacked the righteous. They turned into traitors and thugs and were piratical and violent.
‘In response, the Miao people reacted with punishments, not with gentleness, and they created the Five Punishments. These were so severe that they called them “laws” and this resulted in innocent people being killed, having their noses and ears cut off, being castrated and branded. Regardless of what you might or might not have done, these punishments were applied, no matter what the circumstance. This deeply affected the people, who became depressed and confused, unable to do any good or trust anyone. They no longer honoured vows or promises. The result of this terror was that eventually they could stand it no longer and they sent their protests on High. This led to the Ruler on High investigating what was going on with the people, but he could find no trace of virtue. Instead, there was the stench of cruelty.
‘The Imperial Ruler was moved to pity by the sufferings of the innocent masses who were being killed. In response, he brought down his wrath upon the Miao tribe. Initially he curbed them, but ended by wiping out the entire tribe so that they would have no succeeding generations. They were exterminated for ever.
‘He then ordered Chong and Li to sunder for ever the links between Earth and Heaven in order to make clear the separate roles of each and to end the engagement with the spirits.
‘Those in positions of power at every level worked together to highlight the proper principles of duty. For example, that the helpless, such as widows, were no longer to be neglected or disregarded.
‘The Imperial Ruler listened to what the ordinary people, the helpless and the poor, had to say about the behaviour of the Miao. Awe and terror arose from his display of virtue, which also served to illuminate and enlighten them all. The well-being of the people was given as a charge to the Three Princes to test their sincerity.
‘Lord Yi worked on the rites and on their dissemination in order to enforce properly respectful behaviour.
‘Yu was ordered to control the waters and the land and to make a record of all the mountains and rivers.
‘Qi was ordered to promulgate the spread of the knowledge of agriculture so the people could produce good harvests.
‘The end result of the labours of the Three Princes was that all went well with the people.
‘The Minister of Justice ensured that all the communities understood the appropriate punishments to be given according to the laws and the teachings, and through this they were able to demonstrate virtue. With solemn reverence to Above and such a shining example to Below, the whole world was enlightened. The moderate use of punishments encouraged the growth of virtue. Through this, the people accepted the role of government and its obligations. This had the effect of enabling the magistrates to act not just against the powerful but against the rich as well and as a result there was true respect and caution. No inappropriate words were spoken nor needed. In such times, the virtue of Heaven naturally arises from the original Mandate, earning the respect of those below.’
The king said:
‘Oh, you leaders and rulers from across the land. You who judge and decide, take the Shepherd of Heaven as your model. You should also take as your example Bo Yi with his strict enforcement. You should learn from the failures of the Miao, who did not exercise either strict or proper enforcement. They also failed to appoint good officials to oversee the proper implementation of the Five Punishments. Instead, they appointed the vicious and the corrupt who used the Five Punishments to confuse others. Eventually the Ruler on High could forbear no longer and decided to destroy the Miao utterly. As the Miao were unable to exonerate themselves, they were wiped out and there are no descendants to this day.’
The king said:
‘Indeed, bear this disaster in mind, my people, and pay attention to what I say, for this is my Command. From this day on, be careful and avoid indulgence. Today Heaven has given us the authority to make proper use of punishments. Therefore distinguish between habitual and initial offenders.
‘With care fulfil Heaven’s Will
and work with me alone.
If I think I must be absolute,
you do not have to be;
when I think I must be lenient,
you do not have to be.
‘Use the Five Punishments with due care and with awe in order to enhance the Three Virtues. As a result, I, a simple man, will ensure contentment and the people will be secure, as will be the stability of the country.’
The king said:
‘Oh, come now, you leaders and rulers. I will tell you how to apportion punishments. Because there is nothing more important than the penal codes, you must appoint those who are worthy and that will instil respect for the codes, as people will see that justice is done throughout the land.
‘When both parties are present and ready,
the judge should listen to the Five Charges.
If the Five Charges lead to the Five Punishments,
then so be it.
If however they do not justify them,
then don’t use the Five Punishments.
Instead use the lesser ones,
the Five Penalties.
If even these are too severe,
then use the Five Faults.
If you use the Five Faults
beware of abusing your authority;
beware of vengeance;
prostitutes;
bribery
and undue pressure or lobbying.
‘Make the punishment fit the crime.
‘Judge carefully and equitably.
‘For example:
‘If there is uncertainty about imposing any of the Five Punishments, then be lenient.
‘When there is uncertainty about imposing any of the Five Faults, then be moderate.
‘In all cases, give them full and proper attention. Check all the details with as wide a range of individuals as possible and only then make a decision. Discuss the case thoroughly. Without proper evidence, no decision should be made, so dismiss the case. In every case, be aware of the Majesty of Heaven.
‘If you are uncertain whether to brand someone, commute this to a fine of six hundred ounces of copper – but only when you are sure.
‘If in doubt about a nose slitting, commute to twice that, but only once you are sure.
‘If in doubt about a foot amputation, commute this to three thousand ounces of copper, but only once you are sure.
‘If in doubt about castration, commute this to three thousand, six hundred ounces of copper, but only once you are sure.
‘If in doubt about execution, commute this
to six thousand ounces of copper, but only once you are sure.
‘The types of crimes for which fines exist are as follows:
Face branding 1000;
Nose slitting 1000;
Foot amputation 500;
Castration 300;
Execution 200.
‘Therefore, of the Five Punishments there are 3,000 cases which are commutable.
‘Do not confuse major and minor offences;
do not allow complications to arise
and ignore outmoded laws;
investigate;
work within the law;
make a judgement accordingly
and you will show you are equal to the task.
‘If appropriate, downgrade a punishment. Likewise, if it is appropriate, upgrade a punishment. Depending upon the circumstances, balance the use of a major or minor punishment. Different generations require more severe or less severe levels of punishment.
‘Although not literally deadly, nevertheless the impact of fines can be almost as deadly in their emotional impact.
‘This is why only people of proven worth should be involved in legal affairs, because they can be trusted to make proper decisions, rather than facile and false ones. Before you proceed, check that the right decision has been made. When using the Book of Penal Codes, show compassion and reverence, so that this encourages everyone to reflect properly. This way, your decisions will strike a proper balance regardless of whether it is a punishment or a fine. If you do this, then at the end of the case all parties will feel justice has been served. Write up the reports fully. If there are two offences, treat them as two separate offences.’
The king said:
‘Indeed, all you leaders and members of my family, treat all this with due reverence. I speak with due reserve. I stand in awe before proper punishments because they assist virtue. Now Heaven cares for the people and so has appointed us to represent it here below. Therefore display wisdom in how you deal with charges. Listen to both sides, and then make a decision to ensure law and order. Do not let one side put pressure on you through special pleading. To accept bribes is to make your decisions valueless because they are a manifestation of wrongdoing and will generate evil. Always be acutely aware of the wrath of Heaven.
‘Remember, it is not Heaven that fails to act dispassionately: it is humanity that does so and brings disaster upon itself by ignoring the Will of Heaven. The danger is that if people believe that Heaven itself is not just, then they will not trust any government which operates under Heaven’s aegis.’
The king said:
‘Now, every one of you gathered here needs to look to the example of virtue to understand how to care for the people. If you are wise, you will listen to me. These laws are the fruits of the wisdom of the past and have decreed appropriate punishments for all offences, related to the Five Perfections. Administer justice with due care and concern and in doing so you will help to re-establish a state of harmony. The harmony that you received from your forebears.’
56
The Command to Prince Wen
The year is now traditionally 770 BC and a new king, Ping, has risen from the ashes of the disastrous reign of King Yu (781–70 BC), who, like the final kings of the Xia and Shang, had become decadent and whose kingdom was overrun and its capital sacked. The new king is addressing Lord Wen (here also referred to as Yi He), one of the nobles who came to the rescue of the failing dynasty after the invaders were resisted, though the old capital was never captured. From now on, the dynasty is known as the Western Zhou.
The king said as follows:
‘Uncle Yi He. How very wise were Wen and Wu and how brightly their virtue shone. It illuminated on high and was praised here below and as a result, the Ruler on High bestowed the Mandate upon King Wen. He was assisted by your ancestors who were his ministers and they skilfully aided the ruler in not just the great affairs of state but also the minor ones as well. It was for this reason that our revered ancestors sat securely upon their throne.
‘Sadly, it is now I who have inherited the throne. And I am but a shallow youth. As a result, Heaven has now sent down terrible punishments, making it impossible for me to take proper care of the common people. Our kingdom has been invaded and among the family of my advisors there is no one with any real experience from which they can offer me advice.
‘As for me, well, I’m not capable either. Do you see why – oh, my ancestors, my forebears – why I am so worried? I, a man alone, need help if I am to reign in peace.
‘Uncle Yi He, through you the glory of our illustrious ancestor shines. It is like the example of Wen and Wu, so please bring all this together and ensure the well-being of your ruler. Your example of filial piety harks back to your illustrious ancestor, which is why you have been there for me, coming to my aid in times of trouble. This is why I continue to admire you so greatly.’
The king said:
‘Uncle Yi He.
Go back to your home;
inspect your troops;
secure your lands.
I award you a jar of black millet spirit,
deliciously flavoured;
a red bow with a hundred red arrows;
and four horses.
Go back home, my Uncle,
reassuring those who live both near and far.
Take care of the ordinary people
and do not seek a life of ease.
Show compassion for all in your jurisdiction
and this will bring to fruition your own virtue.’
57
The Oath at Bi
The Duke here is the son of the famous Duke of Zhou. The king is King Cheng and while the date is uncertain it is probably in the second half of the eleventh century BC. Its being placed here makes no particular sense. It does reflect the somewhat confused nature of the Shang Shu, not surprising given its very complex history. See the Introduction, pages l–lviii.
The Duke said:
‘Oh listen to me, my people.
Shut up and hear my Command.
We are about to set out to punish the tribes in the Xia and Huai area because they have rebelled.
Gird yourselves in your armour,
take up your weapons
and don’t even think about not being ready.
String your bows;
sharpen your lances and spears;
prepare your swords –
and don’t even think about not being prepared.
‘Now we will free the oxen and horses, no longer keeping them penned up. Put away your traps and pits you use for hunting, for none of these creatures must suffer harm. If any do, you will suffer the appropriate punishment. If any horses or oxen or, come to that, servants of yours – whether male or female – run off, don’t rush off after them. Ensure later that they return. You will be compensated by me. If you do dare to break ranks and chase after them, and then fail to catch them, you will be punished accordingly. Do not let anyone steal; don’t allow anyone to jump fences and walls to seize stray horses, oxen or servants. If you do, you will be punished accordingly.
‘On the Jia Xu day, we will set off to punish the Xu tribe, so prepare food for the march. Any failure to do so will be severely punished. You men from the three territories and the three regions, prepare the raw materials, for we will start to build the fortifications this very day. Failure to do so will bring severe punishments – possibly even death. You men from Lu, from the three territories and the three regions, ensure there is adequate fodder, because if you do not ensure that there is plenty, you will suffer the most severe punishments.’
58
The Oath at Qin
The events here take place during the reign of King Ping. Rebellion and inter-kingdom warfare is now the norm. The duke here is the Duke of Qin, who has come to meet his defeated army commanders. Expecting to be put to death, they instead hear the duke take responsibility for their military defeat himself in what has become the classic example of a ruler taking responsibility
for the actions of those under him. A model Confucian. This is sometimes thought to have taken place during the reign of King Xiang – 651 to 619 BC.
The Duke said:
‘Officers, listen to me. Be quiet now.
I’m going to make an important announcement.
The old ones had a saying, you know
“The people always prefer an easy way of life.
It’s easy to criticize them for this, but hard to do so
without some degree of hypocrisy!”
It saddens me that the days and months go by
and they will never come again.
I didn’t listen to those old advisors who criticized me,
I preferred the company of my young friends.
But now I realize I need the insights of their grey heads
because that will stop me making a mess of things.
How I appreciate those old men now,
even though they’re weakened by age!
As for the young bucks who delight in hunting and riding
I haven’t got time for them now.
And as for the superficial charmers who turn
a true man from the Way
I neither need them,
nor does the Emperor.
I have thought about all this and come to a decision.
One true minister, pure and simple, without
any other qualities but a heart and mind at rest
– appreciative of others as if their skills were his –
this is what I need above everything.
A man who, when he encounters wise men,
appreciates them with all his heart, more than he can say.
A man like this will care for my heirs and people
bringing great things to them all.
Compare this with a man who is jealous
of people more skilful than himself.
He seethes with resentment against them
when he finds out how wise they are;
then he blocks them, opposing their advancement!
Such a man will never protect my heirs or my people!
