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UNIVERSITY of CALIFORNIA Los Angeles the Emperor's Coffer: the Qing Imperial Fiscal Separation Between Privy Purse and State T

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UNIVERSITY of CALIFORNIA Los Angeles the Emperor's Coffer: the Qing Imperial Fiscal Separation Between Privy Purse and State T UNIVERSITY OF CALIFORNIA Los Angeles The Emperor’s Coffer: The Qing Imperial Fiscal Separation Between Privy Purse and State Treasury (1644-1912) A dissertation submitted in partial satisfaction of the requirements for the degree of Doctor of Philosophy in History by Jia Feng 2017 © Copyright by Jia Feng 2017 ABSTRACT OF THE DISSERTATION The Emperor’s Coffer: The Qing Imperial Fiscal Separation Between Privy Purse and State Treasury (1644-1912) by Jia Feng Doctor of Philosophy in History University of California, Los Angeles, 2017 Professor Robert P. Brenner, Co-Chair Professor James Tong, Co-Chair This dissertation examines the imperial fiscal arrangement during the Qing dynasty that separated the privy or crown’s purse from the state treasury. In my dissertation, I argue that while the distinction between public and private finance has long been identified in European studies as an important sign of the rise of modernity, similar fiscal arrangements in China arose from the crown’s endeavor over several decades to consolidate authority first over the nobility and then over the Chinese state. I see dynamics of this separation as deeply rooted in China’s longstanding patrimonial bureaucratic rule. The continued functioning of the imperial state system into the Qing, a dynasty founded by non-Han rulers, thus suggests the remarkable resiliency of Chinese political traditions despite dramatic institutional changes brought by alien conquest. This dissertation is composed of an introduction, six chapters, and a conclusion. The ii introduction sets out the reasons why the public/private divide structure does not necessarily mean the rise of modernity and demonstrates how the separation was both indicative of and shaped by China’s longstanding patrimonial bureaucratic rule. Chapter 1 discusses the role played by Nurhaci’s economic strategies in the rise of Manchu power. Understanding the emergence of the imperial fiscal separation in the Manchu state formation process, Chapter 2 discusses how the establishment of the bureaucracy helped the throne win over the Manchu nobility and how the establishment of the bureaucracy as the new foundation of the imperial authority transformed the nature of the privy purse. Chapter 3 examines the formalization of the imperial fiscal separation and its functions, looking especially at how the consolidation of the Qing rule and the expanded territories under the imperial control shaped both source of privy revenues and imperial spending behaviors. Chapter 4 unveils the expansion of privy revenues during the eighteenth-century economic prosperous era both as the consequence of the political centralization and as the instrument of releasing fiscal and military dynamisms of the centralized crown. Chapter 5 discusses how the unprecedented duration and intensity of the Taiping Rebellion not only disrupted the traditional fiscal relationship between central and provincial governments, but also broke down the traditional fiscal separation between the central government and the imperial household. Chapter 6 examines the court’s effort to codify imperial fiscal separation into the constitution in last few years of the dynasty as its last attempt to revive centralized imperial power and how such efforts provoked even more vigorous elite protests and facilitated the dynastic downfall. The conclusion summarizes arguments of each chapter and unfolds the significance of this study on our understanding of the nature of the Qing rule and modernity in Chinese history. iii The dissertation of Jia Feng is approved. Katsuya Hirano Robin Davis Gibran Kelley Christopher Isett Robert P. Brenner, Committee Co-Chair James Tong, Committee Co-Chair University of California, Los Angeles 2017 iv This work is dedicated to my teachers v TABLE OF CONTENTS Page DISSERTATION ABSTRACT ACKNOWLEDGEMENTS INTRODUCTION: THE IMPERIAL FISCAL SEPARATION AND THE QING IMPERIAL RULE…………………………………………………………………………………………….1 CHAPTER 1: Economy, Institution, and Conquest: Origins of Privy Institutions of the Qing in the Late Sixteenth-Century Jurchen Society Jurchen Society Before Conquest ………………………………………………………55 Tributary Trade in Late Sixteenth Century, Intensified Uneven Development among Jurchen Tribes, and the Rise of Jianzhou ……………………………………………….63 The Manchu Khan’s Men: Personal Agents of the Ruler during Conquest …………….71 Nurhaci’s Accumulation of Personal Wealth and the Rise of Manchu Power…………..76 Conclusion ………………………………………………………………………………82 CHAPTER 2: The Changing Landscapes of Siden i ku (Public Treasury): Fiscal Manchu State Formation in the Pre-1644 Period and the Historical Origin of the Imperial Fiscal Separation of Public Treasury and Privy Purse The booi and the jusen: The “Inner” and “Outer” Coffers before 1621………................87 The Manchu Siege of Liaodong in 1621 and the Changed Base of Public Treasury of Manchu Conquest Regime……………………………………………………………….95 Tokso in 1625: The Rapid Growth of Manchu Private Landed Estates and the Shrinking Public Treasury of the Manchu State…………………………………………………...101 The Changing Nature of Eight Banners System: the Role of Chinese and Mongol Banners in Expanding the Public Treasury of the Manchu State………………………………..104 Abahai’s Centralization Measures: the State’s Intervention of Banners’ Revenues and New Development of Public Treasury…………………………………………………111 vi The Formalized Division Between Upper Three Banners and Lower Five Banners in 1653 and the Institutionalization of the Fiscal Relationship Between the Imperial Household and the Government………………………………………………………..115 Conclusion……………………………………………………………………………...124 CHAPTER 3: “Government and Imperial Household Working in Unison” (gong fu yi ti): Operating the Imperial Household During the Period of Fiscal Consolidation, 1653-1722 The Establishment of Imperial Household Department and Its Detours, 1653- 1661…………………………………………………………………………………….128 Expansion of Imperial Household Bureaus and Their Functions: 1677- 1722…………………………………………………………………………………….136 The Emperor’s Coffer: Sources of Privy Revenue in 1644-1722……………………....143 Nourishing the State with Privy Funds…………………………………………………162 Conclusion……………………………………………………………………...............167 CHAPTER 4: The Imperial Household, Merchants, and Territorial Expansion: The Expansion of the Privy Purse and the Royal Absolutism in the Eighteenth Century An Age of Absolutism: Military Campaigns, Institutional Innovation, and the Expansion of the Throne’s Power………………………………………………………………….169 The Privy Purse during the “Prosperous Era” (shengshi), 1736-1795…………………178 The Crown-Merchant Alliance, War Financing, and Long-Distance Trades: Fiscal Dynamics of the Qianlong Emperorship……………………………………………….199 Conclusion……………………………………………………………………...............206 CHAPTER 5: War, Financial Crisis, and the Traditional Fiscal System in Transformation: the Breakdown of the Imperial Fiscal Separation during the Taiping Rebellion The Wartime Financial Crisis and the Collapse of the Centralized Fiscal System…………………………………………………………………………………..213 vii The Privy Purse in Crisis……………………………………………………………….223 Existing in Name Only: the Excessive Royal Spending and the Breakdown of the Imperial Fiscal Separation……………………………………………………...............236 Conclusion……………………………………………………………………...............243 CHAPTER 6: Saving the Monarchical System: The Making of China’s First Constitution and the Codification of the Imperial Fiscal Separation, 1895-1911 The State-Elite Relationship in Transformation: The Rise of Gentry Power and Constitutionalist Movements…………………………………………………...............245 The Court’s Intent to Centralized Power Through Reform and the Appeal of the Meiji Model…………………………………………………………………………….251 The Codification of the Imperial Fiscal Separation and the Qing Court’s Last Effort to Centralize the Dynastic Control, 1907-1911…………………………………………...257 Elite Uprising and the 1911 Revolution………………………………………..............264 Conclusion……………………………………………………………………...............270 Conclusion……………………………………………………………………………...............272 Glossary………………………………………………………………………………...............285 Bibliography……………………………………………………………………………………292 viii A LIST OF TABLES AND ILLUSTRATIVE MATERIAL Tables Major Periods in Chinese History………………………………………………………xii Money Transfers from the State Treasury to the Privy Purse, 1857-1872……………..238 Money Transfers from the State Treasury to Privy Purse, 1873……………………….242 Comparison of Annual Privy Revenues Between Daoguang and Tongzhi Periods……243 Maps A Map of Qing China…………………………………………………………………...xiii A Map of Forbidden City………………………………………………………………..xiv ix Major Periods in Chinese History Dynasties Periods Xia 21 Century BC – 17 Century BC Shang 17 Century BC – 11 Century BC Zhou 11 Century BC – 256 BC Qin 221 BC – 206 BC Han 206 BC – 220 AD Three Kingdoms 220-280 Jin 265-420 Northern and Southern Dynasties 420-589 Sui 581-618 Tang 618-907 Five Dynasties 907-960 Song 960-1279 Yuan 1206-1368 Ming 1368-1644 Qing 1644-1911 Republic 1912-1949 People’s Republic 1949 – Qing Dynasty (1644-1912) Temple Names Titles of Reigns Periods Taizu Tianming 1616-1626 Taizong Tiancong 1627-1635 Chongde 1636-1643 Shizu Shunzhi 1644-1661 Shengzu Kangxi 1662-1722 Shizong Yongzheng 1723-1735 Gaozong Qianlong 1736-1795 Renzong Jiaqing 1796-1820 Xuanzong Daoguang 1821-1850 Wenzong Xianfeng 1851-1861 Muzong Tongzhi 1862-1874 Dezong Guangxu 1875-1908 Xuantong 1909-1911 x Map of China During the Qing Dynasty (1644-1912) Source: Fenner, Rest. Chinese Empire. [London: R. Jennings, 1828] Map. Retrieved from the Library of Congress, https://www.loc.gov/item/2006629355/.
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