ICPSR 27063 China Multi-Generational Panel Dataset, Liaoning (CMGPD-LN), 1749-1909

James Z. Lee Hong Kong University of Science and Technology. School of Humanities and Social Science Cameron D. Campbell University of California-Los Angeles. Department of Sociology, and California Center for Population Research

Liaoning Basic File User Guide

Inter-university Consortium for Political and Social Research P.O. Box 1248 Ann Arbor, Michigan 48106 www.icpsr.umich.edu Terms of Use

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CHINA MULTI-GENERATIONAL PANEL DATASET-LIAONING (CMGPD-LN)

USER GUIDE

Version 1.1

Recommended citation Lee, James Z, Cameron Campbell, and Shuang Chen. 2010. China Multi-Generational Panel Dataset, Liaoning (CMGPD-LN) 1749-1909. User Guide. Ann Arbor, MI: Inter-university Consortium for Political and Social Research. Acknowledgment of Support Preparation of the CMGPD-LN and documentation for public release via ICPSR DSDR was supported by NICHD R01 HD057175-01A1 "Multi-Generation Family and Life History Panel Dataset" with funds from the American Recovery and Reinvestment Act.

Version 1.1 of the China Multi-Generational Panel Dataset-Liaoning User Guide is a preliminary edition we are circulating to a small group of interested reviewers who may want to pre-test the initial Basic Release of the CMGPD-LN. Please send comments and corrections to the CMGPD-LN User Guide and queries about the CMGPD-LN data to [email protected]. CMGPD-LN USER GUIDE

Contents

Contents ...... 1 Other Acknowledgements ...... 7 ERRATA, CAVEATS AND WARNINGS - PLEASE READ FIRST ...... 10 A Note on Pinyin and Usage ...... 11 Introduction ...... 12 1. The Liaodong Eight Banner Population Registers ...... 16 1.A. The Shengjing Imperial Household Agency ...... 17 1.B. The Shengjing Imperial Household Agency Eight Banner Population Registers ...... 20 2. Using The CMGPD-LN ...... 24 2.A. Overview ...... 24 2.B. Distinguishing Features ...... 24 2.B.I. Prospective...... 24 2.B.II. Longitudinal ...... 25 2.B.III. Closure ...... 25 2.B.IV. Detail...... 25 2.B.V. Multilevel ...... 26 2.B.VI. Multigenerational ...... 26 2.C. Limitations ...... 28 2.C.I. Omission of children ...... 28 2.C.II. Missing registers ...... 28 2.C.III. Timing and Occurrence of Events ...... 29 2.C.IV. Coverage and Representativeness ...... 29 2.D. Examples of Applications ...... 30 2.D.I. Mortality ...... 30 2.D.II. Health ...... 31 2.D.III. Reproduction...... 31 2.D.IV. Migration ...... 32 2.D.V. Socioeconomic Status ...... 33 CMGPD-LN USER GUIDE

2.D.VI. Family, Kinship, and Community ...... 33 2.D.VII. Spatial Analysis ...... 33 2.D.VIII. Institutional Context ...... 34 3. The CMGPD-LN, Basic Release Variables ...... 35 Handling of Missing Values ...... 35 3.A. Raw Variables ...... 35 3.A.I. Basic Variables ...... 37 DATASET ...... 37 YEAR ...... 38 RELATIONSHIP ...... 39 SEX ...... 40 GENERATION ...... 41 MARITAL_STATUS ...... 41 AGE_IN_SUI ...... 42 BIRTHYEAR ...... 43 3.A.II. Place of Residence ...... 43 REGION ...... 43 DISTRICT...... 44 UNIQUE_VILLAGE_ID ...... 44 3.A.III. Demographic Events ...... 45 DIED ...... 45 MARRIED_OUT ...... 46 REMARRIED_OUT ...... 47 ABSCONDED ...... 47 PRESENT ...... 48 3.A.IV. Administrative Statuses ...... 48 RETIRED ...... 49 OLD ...... 49 HAS_POSITION ...... 50 ARTISAN ...... 51 CMGPD-LN USER GUIDE

SOLDIER ...... 51 NO_STATUS ...... 52 ZU_ZHANG ...... 54 3.B. Identifier (ID) Variables ...... 54 RECORD_NUMBER ...... 55 PERSON_ID ...... 55 MOTHER_ID ...... 55 FATHER_ID ...... 56 FATHER_ID_IMPUTED ...... 56 GRANDFATHER_ID...... 56 GRANDFATHER_ID_IMPUTED ...... 57 WIFE_1_ID...... 57 WIFE_2_ID...... 57 HUSBAND_ID ...... 58 REGISTER_SEQ ...... 58 ZU_SEQ ...... 58 HOUSEHOLD_SEQ...... 58 HOUSEHOLD_ID ...... 58 3.C. Analytic Variables ...... 59 3.C.I. Count Variables ...... 59 BROTHER_COUNT ...... 59 SISTER_COUNT ...... 59 MALE_COUSIN_COUNT...... 59 FEMALE_COUSIN_COUNT ...... 59 UNCLE_COUNT ...... 60 AUNT_COUNT ...... 60 FATHER_ALIVE ...... 60 MOTHER_ALIVE ...... 60 SON_COUNT ...... 60 DAUGHTER_COUNT ...... 61 CMGPD-LN USER GUIDE

3.C.II. Flag Variables for Occurrence of Events ...... 61 NEXT_DIE ...... 61 NEXT_MARRY ...... 61 NEXT_REMARRY ...... 62 NEXT_ABSCONDED ...... 62 NEXT_BOYS ...... 62 NEXT_GIRLS ...... 63 NEXT_3 ...... 63 NEXT_6 ...... 63 3.C.III. Flag Variables Identifying At-Risk Population for Events ...... 63 AT_RISK_DIE ...... 63 AT_RISK_REMARRY ...... 63 AT_RISK_REMARRY ...... 64 4. The CMPGD-LN Population Categories ...... 65 4.A Regular banner population registers ...... 65 4.B The special duty banner population registers ...... 67 4.C The estate banner population registers ...... 68 4.C.I. Other Servile Populations ...... 70 4.D. Other special population registers ...... 70 5. The CMGPD-LN Populations...... 71 5.1. Daoyi tun Hanjun rending ...... 78 5.2. Gaizhou Hanjun rending ...... 81 5.3. Dami Hanjun rending ...... 83 5.4. Chengnei Hanjun rending...... 86 5.5. Gaizhou Hanjun mianding ...... 88 5.6. Niuzhuang Liuerbao Hanjun rending ...... 90 5.7. Feidi Yimiancheng Hanjun rending ...... 93 5.8. Gaizhou Man Han rending ...... 95 5.9. Dadianzi Hanjun rending ...... 97 5.10. Guosan tun Hanjun rending...... 99 CMGPD-LN USER GUIDE

5.11. Bakeshu Laogudong Man Han rending ...... 102 5.12. Daxing tun Hanjun rending ...... 104 5.13. Nianma Daihai zhai Hanjun rending ...... 107 5.14. Changzhaizi Hanjun rending ...... 109 5.15. Zhaohua tun Hanjun rending ...... 111 5.16. Diaopi tun Hanjun rending ...... 113 5.17. Langjiabao Weijia tun Tanggangzi Haizhou Yuezhou Hanjun rending ...... 116 5.18. Wangzhihui tun Hanjun rending ...... 119 5.19. Aerjishan ...... 121 5.20. Haicheng Hanjun rending...... 124 5.21. Wangduoluoshu Manzhou shengding ...... 126 5.22. Wangduoluoshu Manzhou rending ...... 128 5.23. Waziyu Hanjun rending ...... 131 5.24. Wuhu Hanjun rending ...... 134 5.25. Mianhua yandian zhuangtou zhuangding ...... 137 5.26. Subaigong rending...... 140 Figure 5.1 Title page of the 1864 Subaigong rending hukou ce register...... 143 5.27. Kaidang ...... 144 5.28. Kaidang toucong baoyang rending ...... 146 5.29. Mianhua yandian xiaomen rending ...... 148 Appendix A. The CMGPD-LN Population Names in Pinyin and in Chinese Characters ...... 151 Appendix B. The Liaodong Population and Household Registers: An Analytic List ...... 154 I. Regular Banner Household registers ...... 154 II. The Special Duty Banner Household Registers ...... 158 III. The Estate Banner Household Registers ...... 160 III.A. Other Servile Dependent Population Household Registers ...... 161 IV. Military and Official Household Registers ...... 163 V. Miscellaneous Other Household Registers ...... 164 Glossary ...... 165 References ...... 170 CMGPD-LN USER GUIDE

Other Acknowledgements The CMGPD-LN is the work of a lifetime, or rather two lifetimes: James Lee’s and Cameron Campbell’s. We would like to acknowledge here the many people and institutions who also contributed to its creation and content over the last three decades. We are especially indebted to Ju Deyuan and the First Historical Archives who initially alerted James Lee to the existence of these data, to Melvin Thatcher and the Genealogical Society of Utah who provided access to the filmed copies we consulted to create the CMGPD-LN,1 and to Gao Jing and the staff of the Liaoning Provincial Local Gazetteer Office who accompanied us during our fieldwork and made possible the collection of the CMGPD-LN local data which we plan to release after we release the basic data, analytic data, and contextual data. The Liaoning Provincial Archives were also highly cooperative and supportive, and during the course of three visits by Lee in 1982 and 1985, and by Lee and Cameron Campbell in 1987 made available other copies of the vast majority of CMGPD-LN dataset 1 as well as part of CMGPD-LN dataset 3. Data entry of these and the other twenty-seven datasets that comprise the CMGPD-LN proceeded in four distinct stages. In stage one, over a space of ten years from 1980 to 1989, we coded most of CMGPD-LN dataset 1 and part of CMGPD-LN dataset 3, a total of 100,000 observations. In stage two, from 1990 to 1999, we acquired and coded CMGPD-LN dataset 2, the rest of 3, and datasets 4 through 10, an additional 400,000 observations. In stage three, beginning in summer 1999, we acquired and coded the remaining 19 CMGPD-LN datasets, an additional 1 million observations, and devoted a full person-year to clean and reclean the entire 1.5 million observations CMGPD-LN. Finally, between 1999 and 2006, overlapping with stage three, we visited some 57 Liaoning villages during which we acquired almost all the 250 related data sets that comprise our local data.2 All together, the data acquisition and data entry for the CMGPD-LN alone took over twenty-five years and we are indebted to the over one dozen research assistants who help code these data into machine readable form. We are especially grateful to Alice Suen and Anna Chi who were with us during the first decade,3 to Sue Mei Tsay who was with us during much of the second decade, to Sun Huicheng, Xiao Xing, and Ji Yang who have been with us during the last decade and who coded most of the CMGPD-LN, and to Chen Weiran, who was our able field assistant in the Liaoning countryside and is

1 See Appendices A and B of this User Guide for an analytic catalog of the Genealogical Society of Utah filmed holdings of the population and household registers held by the Liaoning Provincial Archives as well as a list in pinyin and Chinese characters of the 29 administrative populations that comprise the CMGPD-LN. 2 Between 1999 and 2006, we made eight field trips to Liaoning accompanied by Gao Jing and colleagues from the Liaoning Provincial Gazetteer Office and local Gazetteer Offices during which we visited 57 largely rural communities and spent some 250 person-days visiting descendants of the CMGPD-LN populations and collecting local sources such as genealogies, tomb inscriptions, deeds, and other family documents on these populations. We make a preliminary comparison of these local data with the state household and population registers in Campbell and Lee 2002a and Ding, Guo, Lee, and Campbell 2004 and plan to provide a detailed catalogue and description in a future local data release. For a similar if more localized effort see Nie 1992 on a Liaoning banner community near Dalian that was not under Shengjing Imperial Household Agency administration. 3 See the Acknowledgements in Lee and Campbell (1997, xix). CMGPD-LN USER GUIDE

our project manager in Beijing.4 Lai Huimin of the Academic Sinica sponsored entry of a portion of dataset 2. We are also indebted to the private gifts, fellowships, intramural funds, and extramural grants who provided the over US $500,000 needed to fund the data entry from: the California Institute of Technology, the University of California, Los Angeles, the Chiang Ching-kuo Foundation, the National Endowment of the Humanities, the National Program for Advanced Study and Research in the Peoples Republic of China, the Population Studies Center and the Center for Chinese Studies at the University of Michigan, the Wang Institute of Graduate Studies, and especially the Jeannette Lee Memorial Fund which contributed over half the data entry costs, including the entire cost of our stage three expansion and acceleration. Barbara Calli, Susan Davis, and Sabrina Boschetti at the California Institute of Technology and Ruth Danner and other staff at the University of Michigan administered these funds and we thank them for their able assistance. Cameron Campbell has been responsible for the vast majority of the programming and machine data preparation, and all of the Stata programming in the last decade that transformed the raw data transcribed by the coders into the current CMGPD-LN. In 1985-1987, Lawrence Anthony wrote a set of programs in C that produced the first estimates of mortality and fertility from the original dataset 1. In 1987, Cameron Campbell wrote programs in dBase III+ and eventually dBase IV that processed the raw data to link individual observations, link individuals to their kin, and produce the generated variables that were the precursors to the ones in the CMGPD-LN. In the early nineties, Chris Myers maintained these programs and extended on them. In the late nineties, however, we retired these dBase IV programs as Cameron Campbell wrote new code in Stata to import the raw data from Excel, process it, and generate variables for analysis. Susan Leonard kindly took over the helm as PI for NICHD R01 HD057175-01A1 "Multi- Generation Family and Life History Panel Dataset" in May 2009 when James Lee moved to the Hong Kong University of Science and Technology and ably shepherded the data release through ICPSR. Several colleagues and students took the time to read and comment on the User Guide. We especially would like to thank Susan Leonard, Matthew Noellert, and Linlan Wang. We would also like to thank the many collaborators who contributed to the 5 co-authored books 5 co-edited books, and 40 some articles and book chapters published to date which draw on the CMGPD-LN including Lawrence Anthony, Ding Yizhuang, Robert Eng, Guo Songyi, Lai Huimin, Chris Myers, Tan Guofu, Wang Feng and our colleagues in the Eurasia Project in Population and Family History, notably Tommy Bengtsson, and George Alter, Marco Beschi, Renzo Derosas, Martin Dribe, Akira Hayami, Satomi Kurosu, Christer Lundh, Matteo Manfredini, Michel Oris, Noriko Tsuya, and

4 Others who participated in data entry include Chen Jianhua who coded part of dataset 3, Robert Eng who coded part of dataset 1, He Ti who coded part of dataset 1, Alice Hsu who coded part of dataset 2, Li Yan who coded dataset 2 and, Leng Yisheng who coded part of dataset 3, Liu Guiping who coded part of dataset 1, Chi Shaolin who coded datasets 4 and 7, Julie Sun who coded part of dataset 1, Wang Xiaohong who coded datasets 5 and 10, Yuping who coded dataset 8, and Wang Yuanqing who coded part of dataset 1. CMGPD-LN USER GUIDE

Wang Feng who together with us co-authored Life Under Pressure: Mortality and Living Standards in Europe and Asia, 1700-1900 and Prudence and Pressure: Reproduction and Human Agency in Europe and Asia, 1700-1900.5 We learned a great deal working together over the last decade and a half and enjoyed the shared hunt as well as the group harvest. For all these good offices, we are extremely grateful.

5 See the ICPSR CMDPG-LN website for a complete list of all academic publications which draw on the CMGPD-LN. CMGPD-LN USER GUIDE

ERRATA, CAVEATS AND WARNINGS - PLEASE READ FIRST Here we list problems with the initial Basic Data release that have been reported to us. These problems will be addressed in a future release of the Basic Data. BIRTHYEAR (7 August 2010)

The variable BIRTHYEAR was not set to missing (-99) in observations when AGE_IN_SUI was missing (-99). Instead, it was calculated using a value for AGE_IN_SUI of 0, so that it is YEAR+1. This variable should be set to missing (-99) in all observations when AGE_IN_SUI is missing (-99). In Stata, this can be done with replace BIRTHYEAR = -99 if AGE_IN_SUI == -99

CMGPD-LN USER GUIDE

A Note on Pinyin and Usage

Pinyin or more formally Hanyu pinyin was approved in 1958 by the Fifth Session of the First National Peoples Congress in the Peoples Republic of China as an alternate orthography for Chinese written characters. Pinyin, which literally means ‘Spelling Sound in Chinese,’ is also commonly used as a Romanization system for Han Chinese or Hanyu. In the CMGPD-LN User Guide we use pinyin to transcribe specific Chinese terms and words where such specificity seems desirable. In such cases, we italicize pinyin. We do not, however, italicize pinyin when we refer to the titles of the 29 datasets that comprise the CMGPD-LN as so much italicization would be too elaborate typographically. We also do not italicize proper nouns such as place names and people’s names; nor do we italicize the common Chinese word for population, rending, especially when it is combined with a place name, such as Daoyi rending, or population category, such as Subaigong rending, to create a proper noun meaning the Daoyi Population or the Subaigong Population. We provide a list in Chinese characters of the CMGPD-LN 29 datasets in Appendix A of the User Guide and a list of all Chinese words written in pinyin in the CMGPD-LN User Guide in the glossary.

CMGPD-LN USER GUIDE

Introduction The CMGPD-LN dataset, with more than 1.5 million observations, provides longitudinal socioeconomic, demographic and other information for more than 260,000 residents in Liaoning province between 1749 and 1909. These people belonged to 29 administrative populations, listed in table 1.1, comprising some 700 villages distributed in North, Central, South-Central, and South Liaodong, the central corridor of contemporary Liaoning Province.6 So far, we have located 280 of the 700 villages as shown in map 1.1. This user guide provides an analytical summary of the institutions that created these population registers, the variables in the CMGPD-LN basic release, and the specific banner populations in this dataset, as well as an assessment of the importance of these data for historical and comparative social science. The guide consists of five parts. In part one, we provide a brief overview of the Eight Banner Population registers in Liaodong and the institutions that created these registers. In part two, we summarize previous academic analyses of the Liaodong Eight Banner Population registers data and their contributions to comparative population and family history, to late imperial Chinese history, to comparative historical sociology, and to comparative social stratification. In part three, we provide an expanded discussion of the variables listed in the codebook. In part four, we summarize the different institutional contexts of the three main categories of CMGPD-LN populations: Regular Banner Populations, Special Duty Banner Populations, and Estate Banner Populations. Finally, in part five, we identify notable or unusual features or circumstances related to the specific twenty-nine individual population datasets included in this release.

Table 1.1 The 29 CMGPD-LN datasets.*

DATASET Title** First Last Volumes Observations Individuals available available of register register registers 1 Daoyi tun hukou ce - 1759 1909 35 120,747 18,884 Hanjun rending hukou ce 2 Gaizhou hukou ce - 1762 1906 27 42,819 6,957 Hanjun rending hukou ce 3 Dami hukou ce - Hanjun 1759 1909 32 32,106 5,013 rending hukou ce

6 Liaodong refers to the area east of the lower Liao River within today’s Liaoning province. The central feature of this area is the highly arable Liao River alluvial plain, which in the seventeenth century, was the heartland of the preconquest Qing. While Liaoning province in terms of civil administration consists of both Liaodong and Liaoxi, the area west of the Liao River, the Qing Imperial Household Agency administered their extensive holdings in these two regions separately; Liaoxi was administered by the Imperial Household Agency in Beijing, while Liaodong was administered by the Imperial Household Agency in Shengjing, contemporary Shenyang which is why all the CMGPD-LN populations are from Liaodong. CMGPD-LN USER GUIDE

4 Chengnei hukou ce - 1789 1909 27 55,678 10,054 Hanjun rending hukou ce 5 Gaizhou mianding hukou 1789 1909 25 56,048 10,714 ce - Hanjun mianding hukou ce 6 Niuzhuang Liuerbao 1777 1906 25 54,870 10,208 Lamayuan rending hukouce - Hanjun rending hukou ce -Hanjun yuding hukou ce 7 Feidi Yimiancheng 1756 1909 39 71,365 9,543 rending hukou ce – Hanjun rending hukou ce 8 Gaizhou rending hukou ce 1753 1909 21 53,284 11,952 – Man Han rending hukou ce 9 Dadianzi hukou ce - 1756 1909 27 76,986 14,060 Hanjun rending hukou ce 10 Guosan tun rending hukou 1774 1909 34 35,081 4,932 ce - Hanjun rending hukou ce 11 Bakeshu Laogudong 1759 1909 32 48,760 8,247 rending hukou ce – Man Han rending hukou ce 12 Daxin tun rending hukou 1749 1909 29 86,935 15,748 ce - Hanjun rending hukou ce 13 Nianma Daihaizhai 1749 1909 31 58,224 10,746 rending hukou ce – Hanjun rending hukou ce 14 Changzhaizi hukou ce - 1768 1909 27 48,800 9,400 Hanjun rending hukou ce 15 Zhaohua tun rending 1774 1909 26 50,862 8,758 hukou ce - Hanjun rending hukou ce 16 Diaopi tun rending hukou 1768 1909 30 80,512 14,046 ce - Hanjun rending hukou ce 17 Langjiabao Weijia tun 1756 1909 25 47,331 9,092 Tanggangzi Haizhou Yuezhou rending hukou ce – Hanjun rending hukou ce 18 Wangzhihui tun rending 1765 1909 28 60,334 10,054 hukou ce - Hanjun rending hukou ce 19 Aerjishan hukou ce 1813 1909 20 15,098 2,517 20 Haizhou hukou ce - 1759 1909 26 119,186 20,032 Hanjun rending hukou ce CMGPD-LN USER GUIDE

21 Wangduoluoshu Manzhou 1864 1906 9 9,494 2,300 shengding hukou ce 22 Wangduoluoshu Manzhou 1792 1909 20 23,233 4,899 rending hukou ce 23 Waziyu rending hukou ce - 1777 1909 27 75,042 12,884 Hanjun rending hukou ce 24 Wuhu rending hukou ce - 1789 1906 27 44,790 7,687 Hanjun rending hukou ce 25 Mianhua yandian rending 1756 1909 29 76,738 13,404 hukou ce - [zuoling name] zuoling xia mianhua yandian zhuangtou zhuangding hukou ce 26 Subaigong rending hukou 1864 1909 10 4,162 879 ce 27 Kaidang hukou ce 1810 1852 12 8,835 2,717 28 Kaidang toucong baoyang 1792 1888 25 30,137 5,087 rending hukou ce 29 Mianhua yandian xiaomen 1861 1909 10 25,900 5,277 rending hukou ce Total: 732 1,513,357 266,091 * Although there are 29 administrative population datasets in the CMGPD-LN, population 29 is in fact a subset of population 25, and individuals in population 29 are therefore linked to individuals in population 25. ** The titles of the administrative populations are extracted directly from the title page of the population registers. Prior to 1864, the titles usually include a place name and the term “rending hukou ce”, which means population registers of such and such place name. Beginning in 1864, the banner administration also added the population category to the title page so that the titles therefore became place name “Hanjun (Han banner),” Manzhou (Manchu) or “Man Han (Manchu and Han banner),” “rending hukou ce.” Despite the changes in their titles, the administrative population remained the same. In this table, we include all the titles of the population registers for each administrative population. See Appendix A for the Chinese characters.

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Map 1.1 Located CMGPD-LN communities, 1749-1909 CMGPD-LN USER GUIDE

1. The Liaodong Eight Banner Population Registers

The population records in the CMGPD-LN are transcribed from the Eight Banner population registers preserved in the Liaoning Provincial Archives, many of which are available digitally worldwide through the Genealogical Society of Utah.7 As table 1.1 shows, the population information are drawn from a total of 732 physical volumes.8 The CMGPD-LN populations belonged to the Eight Banners, a civil and military administrative system organized by the Qing dynasty (1644-1911) to govern the Manchurian and Mongolian provinces in Greater North and Northeast China as well as the Qing garrison populations in China Proper. The banner populations included three well-known official ‘ethnic’ categories - Manchu, Mongol, and Han 9 - eight different administrative banners - plain and bordered yellow, white, red, and blue - as well as three separately administered geographic populations: the Qing garrison armies who lived in China Proper especially around the city of Beijing; 10 the Northern banners who lived largely in the contemporary provinces of Ningxia and Inner Mongolia as well as the independent country of Mongolia; and the Northeastern banners who lived in the three contemporary provinces of Liaoning, Jilin, and Heilongjiang.11 The people in the CMGPD-LN were from this third set of populations, the Northeastern banners, and were administered by the Shengjing Imperial Household Agency.12 While some of these populations pre-date the Qing, most of them were descendants of Han-Chinese immigrants who moved to the Liaodong area from Shanxi, Hebei, and Shandong provinces in the late seventeenth and early eighteenth centuries (Ding, Guo, Lee, and Campbell 2004). Upon their settlement in Liaodong, the Qing

7 See http://www.gensocietyofutah.org/ for an introduction to the Genealogical Society of Utah and for locations and access to these data worldwide. We would like to thank Melvin Thatcher and his colleagues for their tremendous cooperation over the last twenty-five years as we collected, transcribed, and analyzed these data. 8 About 4,000 household and population registers survive in the archives of the Shengjing Imperial Household Agency, half more or less complete and half damaged. Many, but not all, of the complete registers are also available through the Genealogical Society of Utah and its many branch libraries. We estimate that approximately 10 percent of the complete registers were never filmed by the Liaoning Provincial Archives and await future collection. In addition, as many of the so- called incomplete (can) registers are titled and can be linked with the more complete registers, we hope they will eventually be filmed for the convenience of genealogists and historians. 9 In addition to these three well-known ethnic categories, some populations in the CMGPD-LN are categorized as Korean or Korean-Manchu, Gaoli or Gaoli-Manzhou. 10 For studies of the Eight Banners in Beijing and in the Eight Banner garrisons within China Proper, please see Crossley 1990; Ding 2003; and Elliott 2001. 11 While the Northern and Northeastern banner populations account by far for the majority of bannermen, they are ironically far less understood and studied than the garrison banner populations. See Lee and Campbell 1997 and Ding, Guo, Lee, and Campbell 2004 for preliminary studies of the Northeastern banner population which are supersceded by this User Guide. 12 The Imperial Household Agency was an institution established by the Qing to administer the imperial court and related property. There were two Imperial Household Agencies in the Qing, one located in Beijing and one located in Shenyang. The Imperial Household Agency not only administered properties inside the palace, but also managed enterprises outside the palace, such as salt, ginseng, and jade monopolies and agencies that collected both inland and foreign customs (Bartlett 1991; Crossley 1999 and 2002; Qi 1998; Rawski 2001; Torbert 1977). CMGPD-LN USER GUIDE

government organized these immigrants under the Eight Banner system and the Shengjing Imperial Household Agency, turning them into hereditary laborers of the Imperial Household. Given their affiliation under the Eight Banners and the Shengjing Imperial Household Agency populations, these registers, from which our CMGPD-LN data were transcribed, record many of the singular characteristics of both organizations, as well as of Liaodong, the only area in northeast China within the Willow Palisade.13 Population registration and categorization was an extremely important feature of late imperial society, especially in Northeast China where the state was unusually predominant, and defined the institutional framework and local world of most individuals (Chen 2009). As a result, these data document the demographic, economic, and social life of these populations at a greater level of detail and context than virtually any other late imperial local society.14

1.A. The Shengjing Imperial Household Agency The Qing government established the Shengjing Imperial Household Agency well before the Qing conquest of China Proper to administer the imperial court in Shenyang and related properties elsewhere in Liaodong notably the imperial estates and the imperial tombs.15 The agency had authority over a variety of different hereditary populations: artisans, farmers, officials, and soldiers, many of whom had different obligations to the Imperial Household and different opportunities for individual advancement. These populations came from the entire social spectrum of ‘banner’ society ranging from Banner Commanders, called zuoling at the top, to ‘normal’ bannermen called zhengshen qiren, who constitute the majority of the CMGPD-LN, to special duty bannermen who provided the Imperial household with such special goods as cotton, fish, game, honey, and salt, and even to ‘low status’ people called xiaomen, servants called puren, and at the bottom of banner society, slaves called nuren. All these people were grouped under the top three of the eight banners, the plain and bordered yellow banners and the plain white banner. The other five banner populations were not under the authority of the Shengjing Imperial Household Agency and are not part of the CMGPD-LN. By themselves, the Liaodong banner populations under the Shengjing Imperial Household

13 The Willow Palisade (liutiaobian) was a barrier the Qing government erected in 1681 to prohibit Han-Chinese from moving further into Northeast China and from encroaching on banner land. The Willow Palisade was constructed by two parallel 1 meter-high earthen levees, 3.5 meters apart, crowned with a fence of willow fronds (Edmonds 1979). As map 1.1 shows, the Willow Palisade consisted of two branches; the west branch of the Palisade ran 700 kilometers, from the Great Wall to the Sungari River, and the east branch started at some point north of Kaiyuan and extended southeast to the Korean border. Although the Qing government claimed to prohibit free migration beyond the Willow Palisade, throughout the Qing immigrants still surreptitiously crossed the palisade into Jilin and Heilongjiang Province (Lee 1970; Reardon-Anderson 2005). The government, instead of expelling those immigrants, registered them, in effect legitimizing their settlement. Institutions differed considerably north of the Willow Palisade and Qing records refer to people north of the Willow Palisade as bianwai, literally ‘beyond the barrier.’ 14 See Lee and Campbell 1997 for our initial analysis of one Liaoning population Daoyi tun hukou ce - Hanjun rending hukou ce included in the GMGPD-LN as dataset 1. See too the many studies summarized in part two of this User Guide as well as Ding, Guo, Lee, and Campbell 2004, for more detailed analyses of selected administrative populations in the CMGPD-LN data. 15 While there are several studies on the imperial tombs, there has been little study on the tombs of lesser nobles. See Feng Qili 1996, however, for a detailed study of over 240 princely tombs, largely in the Beijing area. CMGPD-LN USER GUIDE

Agency account for as many as 1 to 2 million individuals during the century and a half under observation,16 perhaps one-tenth of the provincial population and one-quarter of the banner population in Liaodong during this period.17 The registered provincial population of Liaoning rose over an order of magnitude from less than 4 hundred thousand in 1741 to almost 5 million by 1897, an annual rate of growth of almost 2 percent. Such high rates of population growth were a product of steady immigration, largely from Hebei, Shanxi, and especially Shandong provinces, throughout the Qing.18 While most ‘native’ Liaoning residents today claim to trace their ancestry to the Qing resettlement of Liaodong during the mid and late seventeenth century, many immigrants, in fact, arrived later.19 Moreover, at least some native stock predates these migrations.20 The Qing incorporated most people in Liaodong in the seventeenth century into the banner system and classified the Han migrants as members of the Han Martial (Hanjun).21 However, while the Han bannermen were Han, they claimed a separate identity from later ethnic Han settlers who remained outside the banners. Oral histories collected from their elderly descendants indicate that even in the first decades of the twenty-first century, the CMGPD-LN descendants continue to regard themselves differently from other Han in Liaodong, referring to themselves as bannermen, or qiren, and to others as minren, or commoners, and to the banner incorporation process as suilong, literally ‘following the dragon’ (Ding, Guo, Lee, and Campbell 2004).22 The broad institutional context of banner organization is clear.23 The overwhelming majority of banner populations under the Imperial Household Agency were hereditary peasants who provided labor and fixed rents in kind in return for land rights and other privileges. Most such peasants provided the

16 Since the 732 physical volumes that are included in the CMPGD-LN represent only one-fifth of the surviving records and since the CMPGD-LN populations are the most densely documented of the Imperial Household Agency populations with more registers and more observations per individual than other Imperial Household Agency populations, the remaining records should document at least another 1 million other people and probably many more. 17 The majority of the state population lived on state tenant farms called guandi and were under the jurisdiction of the Shengjing Ministry of Revenue. 18 The vast majority of the genealogies we have collected from the Liaodong peninsula claim that the families originally came from Huangxian in Dengzhou Prefecture at the northeastern tip of the Shandong peninsula. 19 Ding and Liu 1988 describe these later migrations in the most detail. 20 Some, but not necessarily very much. Cao Shuji 1997 estimates that 2.5 million of the 3 million residents in Northeast China in 1600 emigrated during the course of the Ming Qing transition and that many of those who remained perished during the Qing conquest. A significant proportion of those who remained, however, were administered by the banner system and shared a similar institutional context with the CMGPD-LN. 21 There are eight notable exceptions in the CMGPD-LN. Both Wangduoluoshu populations in dataset 21 and 22 are entirely Manchu or Manzhou, while the Bakeshu population in dataset 11 include a number of individuals who are classified as Manchu, as well. The Gaizhou Man Han in dataset 8 and the Mianhua yandian zhuangtou zhuangding in datasets 25 and 29, include a number of individuals classified as Korean, or Gaoli, or Korean-Manchu, literally Gaoli Manzhou. Meanwhile the entire Subaigong rending in dataset 26 were Mongol or Menggu. In addition, while the Diaopitun rending in dataset 16, are labeled as Hanjun rending, several of the households are classified as Manchu. 22 See Nie 1992 for similar claims by a contemporary non CMGPD-LN population descended from one of the other five banners. 23 See in particular, Crossley 1999, Ding 2003, Elliot 2001, and especially Lee and Campbell 1997 and Ding, Guo, Lee and Campbell 2004 on the Liaodong populations. See too Chen 2009 for an in-depth study of 120 bianwai ‘beyond the barrier’ village communities from Shuangcheng County immediately south of Harbin City for a very different historical and instiutional context. CMGPD-LN USER GUIDE

Imperial Household Agency with grain. Others provided a variety of different products or services - typically cotton, dyes, fish, fruit, honey, and salt, or any of a variety of corvee and guard duties. In each case, in comparison with the benefits of banner membership, such obligations were typically light. Land allotments were particularly substantial and were several times the national per capita acreage.24 In addition, peasants attached to the Imperial Household Agency were eligible for the many opportunities the banner system offered for individual advancement and financial security.25 As bannermen, they could obtain a wide variety of state employment as artisans, as soldiers, and as civil and military officials.26 Many of these positions brought with them substantial salaries and a variety of other powers and privileges, including differential access to a banner social security system that protected orphans and widows on one hand, and the aged, the retired and the unemployed on the other hand. Banner status also imposed certain restrictions on their activities. While many bannermen lived in integrated residential communities side by side with non-bannermen, they were segregated by rules that forbid intermarriage and the sale or rental of banner usufruct rights to non-bannermen. Finally, and perhaps most importantly for the purposes of this study, bannermen were tied primarily to their administrative population unit and secondarily to their place of registration, the Qing precedents for contemporary administrative units or danwei and household registration or huji. They could only change their address with formal state approval. While this was also true of most Chinese population during the Qing (Lee 1978), these rules were observed particularly severely among the banner population. Unauthorized migration was registered as ‘absconded’ (tao) in the banner and household registers (Campbell and Lee 2001). Moreover, we are hardly aware of anyone in the CMGPD-LN to have changed their administrative affiliation. The CMGPD-LN records are particularly complete, precisely because the world they defined was in many respects closed. They cover a particularly long time period extending over a century and a half from 1749 to 1909 to form a multigenerational panel of seven generations or more. Across these panels we can observe changes over time at individual, family, residential household, descent group, local community, and regional levels allowing us to locate over 260,000 individuals in 50,000 residential households as well as 10,000 household groups, 1000 descent lines, and over 700 villages to measure and compare individual and group behavior to achieve a better understanding of Chinese history and social science in general.

24 In 1700, for example, when the national per capita acreage was less than 6 mu or 1 English acre per person, the average Liaodong banner farmer received 30 mu or 5 English acres (Ding 2003). North of the barrier, in Shuangcheng, Helongjiang, bannermen received even more, as much as 60 to 120 mu, ten to twenty times the national per capita acreage depending on their status as rural bannermen from Liaoning or metropolitan bannermen from Beijing (Chen 2009). 25 See Lee and Campbell 1997 for a detailed analysis of these benefits and their demographic consequences. 26 Especially within the Shengjing Imperial Household Agency itself. According to one late eighteenth century tabulation there were over 900 employees under the General Commander (zongguan dachen): 3 Booi Banner Commanders, 3 xiaoqixiao, 1 neiguanling, 1 changlingda, 1 tangzhushi, 1 weizhushi, 15 bitieshi, 5 siku or fusiku, 16 kushi, 5 shifengcuizhang, 3 dingdai lingcui, and 815 zhishiren, jiading, and muding (see Heitudang vol 731 cited in Tong and Guan 1994, 23). Some CMPGD-LN bannermen also rose to high position in the regular Qing civil service through the regular examination system. CMGPD-LN USER GUIDE

1.B. The Shengjing Imperial Household Agency Eight Banner Population Registers Eight Banner population registration originated in the foundational stage of the Eight Banners and became formalized in the early eighteenth century. In 1727, the Yongzheng emperor stipulated that the population registers should organize the people by household. Therefore, the population registers should not only record every bannerman with a state position but also include all male relatives in each household. Moreover, every three years, the banner administration should update the registers and submit a copy to the central government. In the mid 1730s, the Qianlong emperor further classified the banner population registers according to banner population category, thereby creating a hierarchical registration system to differentiate bannermen’s entitlement rights to political and economic privileges. Finally in 1748, Qianlong created a central office under the Shengjing Imperial Household Agency to collect and store all these banner population records (Tong and Guan 1994). In general, there are two types of registers under the Eight Banners: population registers and the three-generation registers. The population register is a full list of everybody that the state registered, listing their name, administrative status, age, and any vital demographic events, organizing the people by household. The three-generation registers only list the names and state positions of males and those of their fathers and grandfathers, organizing the list by individual and by patrilineal descent. Compared to the population registers, the three-generation registers include populations from an even greater variety of different legal statuses than the household registers with even greater numbers - perhaps as many as several million people. However, they provide far less information on each individual. The information in the CMGPD-LN is drawn exclusively from the population registers. Throughout the period covered by the CMGPD-LN, the registers followed two formats to group people; prior to 1789, the registers grouped people by household group (zu), and, beginning in 1789, the registers further grouped people by residential household (linghu).27 Figure 1.1 shows a page of a pre- 1789 register, the population register of Feidi Yimiancheng produced in 1783. The register page shows two yihu, or [administrative] households, one complete and one partial. In each case, the head of the yihu had the title of zuzhang, or head of household group, which indicates that yihu was in fact a zu, or household group. Figure 1.2 shows the same population as they were recorded in the population register of Feidi Yimiancheng produced in 1792. While the pages in figure 1.2 record the same people in the register pages in figure 1.1, they follow a different format and report three residential households or linghu in 1792 each with their own household head under the original complete 1783 yihu.

27 See Liu 1998, 13-24 and 152-162 for two articles dealing with banner households and banner household groups largely, however, during the seventeenth century. CMGPD-LN USER GUIDE

Figure 1.1 A sample page of the 1783 population register of Feidi Yimiancheng.

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Figure 1.2 Sample pages of the 1792 population register of Feidi Yimiancheng. Despite the change in the basic unit of registration from household group to residential household, the population registers follow a generally uniform format. The registers group people by village of residence and by household or household group. At three year intervals the following information was recorded for each banner person, in order of appearance: relationship to their household head or head of the household group; name(s); adult banner status; age; animal birth year;28 lunar birth month, birth day, and birth hour; out-marriage, death, or emigration, if any during the intercensal period; physical disabilities, if any and if the person is an adult male; name of their kin-group head; banner affiliation; and village of residence. Individuals were listed one to a column in order of their relationship to the household head. His wife, children and grandchildren were listed first, his co-residing siblings and their descendants listed next, and then uncles, aunts, and cousins.29 In addition, household heads are identified by their father’s and grandfather's names and occupations, while widows are identified by their husband's name and occupation. Overall, virtually all exits were recorded. Those individuals who left the area without permission, and were missing, were further annotated as being taoding, or escapees.

28 The Chinese distinguish between twelve-year cycles in which each year is identified with a specific animal: rat, ox, tiger, rabbit, dragon, snake, horse, sheep, monkey, chicken, dog, and pig. 29 Wives are almost always listed immediately after their husbands. The only exceptions are coresident patrilineal parents, usually mothers, who are listed after the household head and before his wife. CMGPD-LN USER GUIDE

As a result, any new appearances comparing each register to the previous register can be inferred to be an entrance either by migration or birth.

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2. Using The CMGPD-LN

2.A. Overview The CMGPD-LN is suited to the study of a wide variety of topics in demography, family and household, kinship, stratification, and health. Like almost all of the publicly-available longitudinal, individual-level datasets constructed from contemporary panel surveys that are routinely used to study such topics, the CMGPD-LN follows individuals prospectively, recording their characteristics at multiple points in time and providing details on the timing of key economic, social, family, and demographic events and transitions. Like many of these datasets, it also provides details on the community and household context of individuals at regular intervals. The most distinctive application of the CMGPD-LN is for the study of kinship networks and multi-generational processes. The CMGPD-LN is unique among publicly available longitudinal, individual-level datasets because through manual and automated linkage of records in the original registers, it follows families across as many as seven generations, and reconstructs networks of paternal kin living outside the household. Thus in addition to analysis of associations of characteristics, transitions, and outcomes across the life course, between parents and children, or between siblings, the CMGPD-LN supports analysis of associations between much more distant relatives and within much more broadly defined kin groups. The CMGPD-LN will also be a valuable tool for the development and evaluation of advanced quantitative methods. Since individuals are embedded in multiple, concentric layers of context, from the household up to the region, the data may be used to assess techniques for estimation of hierarchical and other models that account for effects of clustering of observations at multiple levels. Because the data cover more than 150 years and provide life histories for individuals, the data should also be useful for development and evaluation of new techniques for age-period-cohort analysis. There are large numbers of cohorts, periods, and ages, with wide variations in conditions that will facilitate identification of effects. Below, we introduce the distinguishing features of the CMGPD-LN, identify limitations, and provide examples of applications in the study of key areas in demography, health, and stratification. The distinguishing features of the CMGPD-LN are that it is prospective, cross-sectional, longitudinal, closed, detailed, multilevel, and multigenerational. In contrast with almost all other sources for Chinese demography before the twentieth-century, women were recorded in detail when they were wives or widows. The most important limitations of the registers are that they omit many boys who died in infancy or early childhood, and omit most daughters. Additionally, measures of socioeconomic status are available only for males who held official positions or titles.

2.B. Distinguishing Features 2.B.I. Prospective The data in the CMGPD-LN are prospective. Each register describes conditions around the time of its compilation. Conceptually, the data from a register in a specific year resemble a single wave of data collected in a contemporary panel survey or census. Because the data reflect current conditions, problems with selectivity bias and recall errors are minimal. In contrast, the lineage genealogies that have been the basis of many studies of historical Chinese kinship and population are retrospective. Most CMGPD-LN USER GUIDE

genealogies are updated only occasionally, and relied on the recollections of lineage members about people and events years or decades before. As a result, genealogies tend to be selective in terms of who are included. Lineage members are most likely to be remembered and included if they married and had offspring, or achieved some distinction (Campbell and Lee 2002a).

2.B.II. Longitudinal The data in the CMGPD-LN are longitudinal. The CMGPD-LN follows individuals through their life course, recording their characteristics at specific points in time as well as the timing of key events and transitions. By themselves, the original registers are not longitudinal. They are akin in format and organization to triennial censuses. Linkage of an individual's observation in one register to his or her observation in the previous register requires additional work by a coder. Fortunately, the registers list individuals in roughly the same order in successive registers, providing the basis for easy record linkage between adjacent registers by the data entry personnel. We have also written software to aggregate the links between pairs of records in adjacent registers to create the unique identifiers used to group the records in different registers that correspond to an individual. Automated linkage of records of the same individual in different registers is the basis of the variable PERSON_ID, which identifies all the observations of a person in different registers. For example, sorting by PERSON_ID and YEAR arranges records, first by person, and then by year within person. PERSON_ID is used as the basis for all other links between individuals in the dataset, for example, WIFE_ID, HUSBAND_ID, FATHER_ID and so forth.

2.B.III. Closure The population covered by the CMGPD-LN is largely closed, in the sense that for males and married or widowed females there was relatively little out-migration, or other loss to follow-up. Exits were annotated in the original registers, providing the basis for construction of flag variables such as NEXT_ABSCONDED, NEXT_DIE, NEXT_MARRY, and NEXT_REMARRY that indicate an exit between the current register and the next available register. Families who migrate within Liaodong remain in the registration system, and report their new locations. Changes in location within Liaodong can be detected by comparison of UNIQUE_VILLAGE_ID for the same individual in adjacent registers. Small numbers of individuals left Liaodong entirely. When they did so, their departure was annotated, allowing their observations to be censored. NEXT_ABSCONDED indicates whether an individual was annotated in the next register in the CMGPD-LN as absconded. While some individuals may seem to have disappeared, in the sense that they were present in one register but missing from the next available one in the CMGPD-LN, almost all of these were people whose exit is actually annotated in a register missing from the CMGPD-LN. Most importantly, their life histories can be safely censored at the time of their last observation in the CMGPD-LN. Closure to out-migration means that not only can most males and married or widowed females be followed across their life course until they die or the registers ended, but families can be followed across generations. 2.B.IV. Detail The CMGPD-LN is detailed. It provides information on key demographic, social, and family characteristics of individuals, and on the timing of key events and transitions. Each register records deaths, out-marriages, and illegal departures that occurred in the three years since the previous register. The registers record detailed relationship to household head every three years, allowing for the timing of CMGPD-LN USER GUIDE

other events such as marriages and births to be inferred by comparison between registers. For adult males, the registers record official administrative statuses. Timing of the attainment of official position, and retirement, can be inferred by comparison of statuses in adjoining registers. 2.B.V. Multilevel The CMGPD-LN embeds individuals in multiple concentric or in some cases crosscutting layers of context: residential household, household group, paternal descent group, community, and region. In some cases, contexts overlap. For example, paternal descent groups are often distributed across multiple communities, and communities contain multiple descent groups. Not only do the data allow for examination of how measured characteristics of these different layers of social organization affect individual demographic and social outcomes, the data also allow for application of hierarchical models and other advanced techniques to measure or account for otherwise unmeasured variation at different levels. The Basic Release includes a variety of identifiers that can be used to group observations in a hierarchical model or to help construct variables to measure aggregate characteristics of the group. For example, HOUSEHOLD_ID identifies observations associated with a particular household in a given year, UNIQUE_VILLAGE_ID identifies all of the observations associated with a particular village in any banner population or triennial register, DATASET identifies the observations associated with a banner population, DISTRICT identifies the contemporary administrative district in which the village was located, and REGION identifies the region of Liaodong in which a village was located. Kin group identifiers in the Analytic Release also allow for grouping of observations by paternal descent group. 2.B.VI. Multigenerational The CMGPD-LN allows for examination of multigenerational processes and networks of distant kin. Through automated record linkage, children have been linked to their parents, and those links aggregated to reconstruct descent lines and kinship networks. This intergenerational linkage is the basis of linking variables such as FATHER_ID, MOTHER_ID, GRANDFATHER_ID in the Basic Release, kin count variables such as UNCLE_COUNT, AUNT_COUNT, BROTHER_COUNT, SISTER_COUNT, MALE_COUSIN_COUNT, FEMALE_COUSIN_COUNT, and a variety of kin or descent group identifiers in the Analytic Release. Figure 2.1 summarizes the proportions of male children in successive decades for whom specified paternal ancestors have been identified in the data through record linkage. The basic procedure has been to chain together links between fathers and sons from the raw data to identify grandfathers, great-grandfathers, and earlier male ancestors. From the earliest registers onward, fathers are recorded for nearly all children. Starting from the beginning of the nineteenth century, nearly all children have grandfathers who are recorded in the registers. By the beginning of the twentieth century, great-great-great-grandfathers can be identified for more than eighty percent of children, and great- great-great-great-grandfathers can be identified for more than half.

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Figure 2.1 Proportions of Children for Whom Specified Paternal Ancestor Can Be Located in the Registers

These constructed paternal pedigrees allow for measurement of networks of paternal kin. Relationships between family members specified in the earliest registers allow for extension of pedigrees by inferring common descent from ancestors whose death preceded the earliest available register. For example, adult men identified as cousins in the earliest register must have had a common paternal grandfather, their sons share a common great-grandfather, and their grandsons share a common great-great-grandfather. Adult men listed as second cousins in the earliest register must have a common great-grandfather, and so on. Even in the earliest registers, ancestry can be traced back enough to make it possible to locate the second cousins, if any, for three quarters of children. By the beginning of the nineteenth century, it is possible to locate third cousins, if any, for two-thirds of children. By the beginning of the twentieth century, it is possible to locate sixth cousins, if any, for nearly two-thirds of children. Through such linkage, for our own analyses we have been able to divide into groups defined according to common descent from a founder, allowing for the study of intergenerational transmission and intragenerational correlations of specific outcomes or characteristics. In a calculation in early 2007 with an earlier, smaller version of the CMGPD-LN, we found that grouping individuals by common descent from a lineage founder listed in the earliest available register organized the 139,435 males recorded in that smaller population into 11,832 descent lines. There is substantial variation in the size of these descent lines, so that the largest 1 percent accounts for 15 percent of males, the largest 10 percent account for 57 percent of males, and the largest 25 percent account for 8079.7 percent of males. When we examined groups defined by inferred common descent from a founder whose death preceded the earliest available register, we identify 976 descent groups with an average membership of 142 males. CMGPD-LN USER GUIDE

The largest group accounts for 2,545 males. The largest 1 percent of groups accounts for 11 percent of males, and the largest 10 percent accounted for half of males.

2.C. Limitations 2.C.I. Omission of children The registers omit many boys who died in infancy and early childhood because they only record individuals alive at the time of each triennial update, along with exits experienced by individuals listed in the preceding register. In that sense, the registers resemble triennial censuses, providing a cross- sectional snapshot of the population every three years. The registers do not seek to specifically record births as events in the same way that European vital or population registers did. If a newborn child died before the next triennial update, they do not appear in any register, and there is no record of them anywhere in CMGPD-LN. Many parents did not register their children until after they had survived to around age 5, and since many registers may not survive, the CMGPD-LN misses many boys who died in childhood The registers also omit most daughters. Before the 1840s, only the registers for the populations near Shenyang have appreciable numbers of recorded daughters. Even in those registers, the sex ratio of children is lopsided. After 1840, no registers record appreciable numbers of daughters. Fertility estimates based on births inferred from the records of children are therefore incomplete, and require adjustment based on assumptions about the sex ratio of live births and the level of male mortality in infancy and early childhood. Lee and Campbell (1997, 65-70) provide an example of an estimate that includes an adjustment for infant and child mortality. Interpretation of results from event- history analysis of fertility should account for the possibility that apparent fertility differentials may also reflect differentials in infant or child mortality, or in the propensity to register daughters.

2.C.II. Missing registers Some registers are missing because they were destroyed, misplaced, damaged, or otherwise unavailable, leading to intervals between registers in the CMGPD-LN that are longer than three years. If a single register is missing, there will be a six-year gap between two surviving registers in the CMGPD- LN. If two consecutive registers are missing, there will be a nine-year interval between registers. Due to fire, there are no surviving registers in the period between 1888 and 1903. Accordingly, registers for 1891, 1894, 1897, and 1900 are missing for all of the administrative populations. Individuals whose death, out-marriage, or other exit were recorded in a missing register will seem to disappear in the interval between two surviving registers that the CMGPD-LN includes. For example, if registers from 1795 and 1801 but not 1798 survive for a particular administrative population, for a widow who was alive in 1795, annotated as dead in 1798, and not included in 1801 there is no way of determining whether she died or remarried out of the household. Accordingly, event-history analysis of the various types of exits by use of flag variables such as NEXT_DIE, NEXT_MARRY, and NEXT_REMARRY should normally be restricted to the three year intervals where two consecutive triennial registers are both included in the CMGPD-LN. When multiple, consecutive registers are missing, the CMGPD-LN also omits individuals who first appeared in one of the missing registers and exited in a later missing register. Thus, for example, if CMGPD-LN USER GUIDE

1801 and 1813 were available for a population but 1804, 1807, and 1810 were missing, a boy who appeared in 1804, was listed again in 1807, and whose death was recorded in 1810 would not be in the CMGPD-LN. Similarly, a wife who was first listed in 1804 and whose death was listed in 1807 would not be in the CMGPD-LN. 2.C.III. Timing and Occurrence of Events For exits, the registers identify the three year interval during which the event occurred, not the precise date. For exits such as death or out-marriage that are identified in CMGPD-LN records by the flag variables DIED, MARRIED_OUT, and REMARRIED_OUT, an annotation in the original register indicates that the event occurred in the previous three years. NEXT_DIE for females, NEXT_MARRY and NEXT_REMARRY are based on the annotations of exits in the next available register in the CMGPD-LN. As noted above, if the previous triennial register were missing, and an individual was annotated in that missing register as having died or otherwise exited, in the CMGPD-LN they will seem to have disappeared in the time between the previous register in the CMGPD-LN and the current register. Flag variables are only set to 1 if the occurrence of the event is annotated in the current register. Marriages into a household are not specifically annotated in the original registers in the same way as exits such as death or out-marriage, thus relevant variables are constructed by the coders and software by comparison of individual statuses across registers. If a man had no spouse listed for him in one register, but had a spouse listed with him in the following register, the software would set NEXT_MARRY to 1 for him in his observation in the first of the two registers. If he had been identified as a widower by the coders based on previous marital history, the software would set NEXT_REMARRY to 1 instead. The construction of NEXT_MARRY and NEXT_REMARRY accordingly differs for males and females. For females, NEXT_MARRY and NEXT_REMARRY are set to 1 only if the next available register positively identifies the female under consideration as marrying out via an annotation. For a male, the variables are set to 1 if he is unmarried or widowed in the current register but has a spouse with listed with him in the next register in the CMGPD-LN, no matter how many of the intervening original registers are missing. Variables such as NEXT_BOYS and NEXT_GIRLS that provide counts of births linked to a man or woman during a specific time frame are constructed by software based on year of birth calculated from their age in the first register that records them. They are not based on when registers first list a son or daughter, since in many cases sons or daughters appear for the first time in a register only when they were 5 or 6 years old. Thus, for example, if a son first appears in 1816 and is listed as 5 sui, corresponding to a birth year of 1812, NEXT_BOYS would be set to 1 in 1810 for the father and mother. If no other births attributed to the mother and father took place between 1813 and 1816, NEXT_BOYS would be zero for them in 1813. NEXT_BOYS and NEXT_GIRLS, in other words, may not correspond to the actual presence or absence of sons or daughters in the subsequent register. 2.C.IV. Coverage and Representativeness The populations in the CMGPD-LN are not representative of China, or even Liaodong, in a formal, statistical sense. As discussed earlier, the population registers used to create the CMGPD-LN record only a subset of the population in the region. There were other residents of the region described in registers listed in Appendix B who we have not coded. More importantly, there were other, CMGPD-LN USER GUIDE

neighboring communities in the same areas whose residents were not covered by the registration system. Some, perhaps many, of the communities that appear in the registers in the CMGPD-LN had other residents who were not covered by the system that generated the registers. Some residents of the region were covered in other registration systems, while other people were not covered by any registration system because they farmed private land and for whatever reason were not associated with any state institutions, including the baojia system which theoretically registered the entire civilian population. The population is nevertheless representative in the sense that the communities in the CMGPD- LN collectively represent a diverse variety of contexts, including coastal fishing communities, farming communities in the Liao alluvial plain, mountain villages in northern Liaodong and other communities whose residents engaged in more specialized production, that taken together are typical of the region and of Liaodong as a whole. In many of our analyses we therefore distinguish between North, Central, South-Central, and Southern Liaodong as depicted in map 2.1. While the specific point estimates of coefficients and other statistics may not generalize to China, Liaoning, or even the Liaodong region in which the CMGPD-LN communities were located, patterns common to the different contexts encompassed by the CMGPD-LN should at least be suggestive of patterns elsewhere in China.

2.D. Examples of Applications We have already used earlier versions of the CMGPD-LN to make major contributions to understanding the social organization and demography of China, and to historical demography in general. Results from the analysis of the CMGPD-LN, for example, contributed to a new understanding of reproductive behavior in historical China that emphasized the role of deliberate control of fertility (Lee, Campbell, and Tan 1992), and thereby undermined the longstanding Malthusian orthodoxy that the primary check regulating population growth in the past in China was mortality (Lee and Wang 1999). Analysis of the CMGPD-LN has illuminated relationships among socioeconomic stratification, household organization, and demographic behavior in historical China (Lee and Campbell 1997). More recently, the CMGPD-LN is one of several datasets used in an international comparison of the role of household organization in modulating mortality and fertility responses to economic stress in past times (Bengtsson, Campbell, and Lee 2004; Tsuya, Wang, Alter, and Lee 2010). The results challenge longstanding orthodoxies about differences between Europe and Asia in the role of the family in responding to economic stress. Here we highlight key findings that demonstrate the potential for further investigations by other researchers of topics amenable to analysis with the CMGPD-LN. We focus on results that demonstrate that social and demographic outcomes are reliable enough, and that individual, household, and community characteristics are rich and varied enough, that further examination will contribute to research on topics of contemporary relevance. Along the way, we suggest how the analysis of specific outcomes is especially likely to contribute to existing debates and controversies. We begin with a demonstration of the potential of the data to study the determinants of health and mortality since such applications are most clearly of direct and contemporary relevance, then go on to demonstrate their potential utility for advancing our understanding of other phenomena in the social and behavioral sciences. 2.D.I. Mortality CMGPD-LN USER GUIDE

Studies using the CMGPD-LN confirm its suitability for the study of mortality trends, patterns, and determinants. Early analysis demonstrated that mortality patterns by age and sex conform to those observed in other historical Asian populations and showed more generally that except in infancy, early childhood, and very old age, deaths were recorded reliably (Lee and Campbell 1997, 58-82 Lee et al. 1992, 1995). Later analysis revealed that mortality risks varied systematically according to individual characteristics and household and community context, and that patterns of differentials illuminated family and social organization (Campbell and Lee 1996, 2000, 2002b, 2004). Much of the potential in the data for analysis of mortality has yet to be exploited. Since the data provide complete life histories, they are a natural candidate for examinations of the influence of early- life conditions on mortality later in life such as those by Bengtsson and Lindstrom (2000, 2003) and Costa (2000). We have already confirmed the suitability of the data for such analysis and demonstrated that the influence of a loss of a parent in childhood had strong effects on mortality in adulthood (Campbell and Lee 2006). However, given the rich set of individual, household, and community characteristics available for use as explanatory variables, much more remains possible. The data may also be used to address key issues in the study of aging, for example, the influence of such theoretically important features of household context as the presence of adult children on the mortality of the elderly. In prior analysis, we have verified that the data are sufficiently voluminous to reveal effects of kin configuration and other aspects of household context not only on mortality levels (Campbell and Lee 1996, 2002b), but also on the sensitivity of mortality to economic shocks (Campbell and Lee 2000a, 2004; Lee and Campbell 2005).

2.D.II. Health The CMGPD-LN is one of the few historical, longitudinal, individual-level datasets that offers details on health status along with mortality outcomes. Early registers specify disabilities for adult males. These range from such common conditions as consumption, paralysis, insanity, retardation and blindness to more exotic injuries such as tiger bite. Later registers do not provide such detail, but do identify males exempted from duty because of chronic illness. We have confirmed that annotation as disabled is a predictor for elevated mortality, and that when detail on the condition is available, the seriousness of the condition corresponds to the elevation in risk, so that for example men identified as insane, consumptive, or paralyzed were at much higher risk of dying than men listed as having a limp or hare lip (Campbell and Lee 2003a). Relative to the Union Army Study (UAS), which has emerged as the most important historical source for the study of the relationships between socioeconomic attainment, chronic conditions, and mortality (Costa 2000), the strength of these data are the continuous detail on household and community context, and the availability of complete life histories. This makes possible research on a number of topics of contemporary relevance that would be difficult to address with the UAS. These include the influence of parental characteristics and childhood household context on the chances of being recorded with a disability as an adult; the influence of being recorded with a disability on such subsequent demographic outcomes as marriage, migration, reproduction, and mortality; the role of household characteristics in conditioning such effects; and the influence of being recorded with a disability on the demographic and socioeconomic outcomes of likely caregivers such as spouse, elderly parents, or adult children. 2.D.III. Reproduction CMGPD-LN USER GUIDE

The CMGDP-LN is an excellent resource for the study of reproduction, though not of fertility. While the registers omit many sons who died in infancy or early childhood and most unmarried daughters, records of surviving sons appear complete for all families, and records of surviving daughters appear nearly complete for the communities near Shenyang before 1840 (Lee and Campbell 1992, 1997; Tsuya, Wang, Alter, and Lee 2010). Thus while it is not possible to measure fertility by treating birth as an outcome, it is possible to measure reproduction by considering the production of a surviving son, and in some periods and locations a surviving daughter, as the outcome of interest. Results from our analysis of the influence of economic conditions, individual characteristics and household context on reproduction indicate that this approach is useful both to understand Chinese population dynamics and population dynamics in comparative perspective (Campbell and Lee 2001b; Lee and Campbell 1992, 1997, 2005; Tsuya, Wang, Alter, and Lee 2010). The availability of information on kin networks makes the data suitable for analysis of a key aspect of population genetics, the relationship between population composition and differentials in reproductive fitness. The detail in the data, not only on kin networks but also on communities, allows for measurement of the correlation in reproduction across and within generations of kin, and assessment of the implication of such correlations for community composition. We have already demonstrated the importance of characteristics of not only close kin, but also distant kin, in shaping reproductive outcomes (Campbell and Lee 2001a, 2008a and b). However, much remains to be explored. The data allow for measurement of trends over time in the kinship homogeneity or heterogeneity of communities, and the relation of such trends to differentials in the reproductive success of different kin groups. Thus, for example, it should be possible to explore the dynamics that underlie the emergence of homogeneous villages in which everyone or almost everyone shares the same surname, or the persistence of heterogeneous villages in which a diversity of surnames persists.

2.D.IV. Migration CMGPD-LN is distinguished as a source for the study of migration in a preindustrial setting by its continuous registration of original affiliation as well as actual residence for households. Most other historical population databases are organized by community or region of current residence, so that studying migration requires a laborious manual process of locating and linking records of the same individual in different communities. The 29 populations covered in LMGP, by contrast, are defined and organized by hereditary institutional affiliation, so that individuals retain their institutional affiliation and continue to be listed in the same register in the same order even when they move to another community. As a result, each of the populations can be traced as they disperse from the geographic area with which they were initially associated. All together the CMGPD-LN includes over 21,000 observations of individuals who are registered as having migrated inter-regionally between North, Central, South-Central, and South Liaodong. Even more individuals can be traced as having migrated intra-regionally as well. We have already confirmed that the CMGPD-LN data may also be used to study how community, household, and individual characteristics influence the chances of moving to another community, or leaving the area entirely (Campbell and Lee 2001b). Much of the potential of the dataset for the study of migration from the original settlement of Liaoning (or shortly afterwards) to the beginning of the twentieth century remains unexploited. The data allow for estimation of destination-choice models of migration based on conditional logit that include the characteristics of possible destinations and their interactions with individual and household CMGPD-LN USER GUIDE

characteristics to be included as explanatory variables (Mare and Bruch 2003). Because the data allow for examination of kin groups dispersed across different communities by migration, they allow for direct assessment of such dispersion as a strategy for risk insurance (Stark and Lehvari 1982). More generally, the sheer volume and detail of the data mean that they may be useful to methodologists who have no specific interest in pre-industrial populations, but who need a test-bed for assessing novel quantitative approaches to the study of migration. 2.D.V. Socioeconomic Status The CMGDP-LN is unusual among sources for the study of stratification and social mobility because of its detailed information on socioeconomic attainment, not just for individuals but also for their kin networks. Most studies of the determinants of socioeconomic attainment are limited by available data to consideration of the characteristics of parents, and have not been able to include the effects of such relatively close relatives as grandparents, uncles and cousins. The CMGPD-LN, by contrast, allows not only for examination of father-son correlations in outcomes, but also for examination of sibling, cousin, and more general intrafamilial contexts, and even for distinguishing contexts by physical proximity. Our analysis has already revealed that such correlations existed and were substantively important (Campbell and Lee 2001b, 2003b, 2008a). Demographic outcomes were affected not only by the socioeconomic status of immediate kin, but by more distant kin as well, including kin living in other households. While our current research exploits such features of the data to explore the magnitude, sources, and implications of intrafamilial correlations in attainment, especially over the very long term (Campbell and Lee 2007), once again much of the potential of the data remains unexploited. For example, the detail in the data on socioeconomic attainment and demographic behavior across and within generations makes it a potentially important source to study how they interact to shape population composition. Whereas current studies of the interactions between socioeconomic mobility, demographic differentials, and population composition are restricted by the limitations of contemporary data to reliance on projection and simulation (Mare and Maralani 2006; Musick and Mare 2004), the generational span of the CMGPD-LN would allow the direct measure of such important processes. 2.D.VI. Family, Kinship, and Community One of the most remarkable features of the CMGPD-LN is the simultaneous detail on kin networks and communities. The simultaneous presence in the database of kin groups distributed by communities, and communities populated by different kin groups, allows for the disentanglement and measurement of kinship and community effects on individual demographic and social outcomes, as well as their interactions. Our preliminary examinations confirm the suitability of the data for application of multi-level models to discern the independent and interactive effects of community and kin group on outcomes (Campbell and Lee 2008b). Since the methods needed to exploit the clustering by household, kin group, and village are developing rapidly as a result of advances in statistical theory and computing resources, this is likely to be one of the most fruitful areas of inquiry with these data. Even when understanding the interaction of kinship and community in shaping individual outcomes in a pre- industrial population is not an end in itself, these data may be valuable as a testing ground for relevant estimation techniques.

2.D.VII. Spatial Analysis CMGPD-LN USER GUIDE

One aspect of the CMGPD-LN that remains largely unexploited is the availability of exact geographic location for the communities that account for the vast majority of the recorded population. At present, assessment of spatial variation in demographic behavior and socioeconomic attainment in the data is limited largely to gross comparisons between regions (Campbell and Lee 2004; Lee and Campbell 2005). The data offer rich possibilities for application of GIS techniques to map and hopefully account for spatial variation in demographic behavior and socioeconomic outcomes. Recent developments in GIS should allow for incorporation of contemporary and historical spatial data into analysis of demographic and social outcomes. Contemporary data might include details on elevation, soil, vegetation, forest cover, topography, precipitation, and temperature as proxies for conditions in historical times. Historical data might include such constructed measures as local population density, and proximity to roads, rivers, and major towns or cities. The results of such study would complement similar studies of American Great Plains populations such as the Kansas studies by Gutmann, Sylvester, and others (Sylvester 2009). 2.D.VIII. Institutional Context Also still unexplored in the CMGPD-LN are the implications of institutional and ethnic contexts for such outcomes as marriage, reproduction, morbidity, mortality and migration, or their implications for other such contexts as family and descent line. As we describe in part 4, the CMGPD-LN population included at least four different ethnicities (Han, Korean, Manchu, and Mongol), three different administrative contexts (regular banner populations, special duty banner populations, and estate banner populations), and two different bannermen categories (normal and servile). The differences between categories and contexts were often quite stark. Normal bannermen could take advantage of opportunities to seek state employment through the civil and banner administrative systems as well as through the state examination systems. Servile bannermen could not. While the importance of such different boundary conditions on individual lives seems intuitively obvious and are frequently asserted by institutional and social historians, there is surprisingly little empirical study of their actual demographic and social consequences. The CMGPD-LN would be an ideal place to begin. CMGPD-LN USER GUIDE

3. The CMGPD-LN, Basic Release Variables There are three basic groups of variables in the CMGPD-LN basic release: raw variables described in 3.A, identifier (ID) variables described in 3.B, and basic analytical variables described in 3.C. The raw variables are coders' direct transcriptions or interpretations of information recorded in the original population registers; the identifier variables are constructed by specific computer programs to facilitate dataset management; and the basic analytical variables are constructed by specific computer programs based on the records in the population registers. For each variable, we explain how it was constructed, note specific features, and identify peculiarities or limitations that require attention on the part of users.

Handling of Missing Values For all variables, we apply a standard definition for missing values. We distinguish two forms of missing values. We use -99 to identify values that are missing in the sense that observations of this type in the original data normally record the information contained in this variable, but that in this particular observation, there was no such information. A common example is AGE_IN_SUI. Most observations in the original data record an age, but some do not. Observations in which the individual is annotated has having died or otherwise exited since the last register are especially likely to omit an age. In those observations where there is no age in the original data, AGE_IN_SUI is set to -99. We use -98 to identify values that are missing because observations of this type in the original data normally did not record the information contained in the variable. One example is the various variables for administrative status in observations of women. Since the original data do not normally record administrative status for women, these variables have been set to -98 for all females. Similarly, because registers from before 1789 do not distinguish residential households, many of the variables that in some way relate to residential households, for example, HOUSEHOLD_SEQ, are set to -98 for all observations from before 1789.

3.A. Raw Variables Coders transcribe or assign the values of raw variables directly from the contents of the original population registers. In some cases, they are flag variables identifying whether or not a particular annotation was present in the original record, or whether the original record indicated a particular status for a person. We divide our discussion of raw variables into three parts. 3.A.I introduces basic variables for age, household relationship, and other characteristics. 3.A.II describes the variables for the places of residence. 3.A.III describes variables for demographic events such as death and marriage. 3.A.IV describes the variables for different administrative statuses. Each complete population register consists of a title page and record pages. Figures 3.1 and 3.2 are examples of the title page and record page in the Eight Banner population registers in Liaodong taken from the 1822 register of the Langjiabao Weijiatun Tanggangzi Haizhou Yuezhou rending hukou ce. As figure 3.1 shows, the title page provides the name of the banner population register, which we transcribe into the variable DATASET, and the imperial reign year in which the register was produced and which is the basis for the YEAR variable. CMGPD-LN USER GUIDE

Other variables included in the CMGPD_LN basic release are constructed from the following information on the record pages: relationship, place of residence, age in sui, vital record of demographic events, administrative status indictor, and identification of the head of the household group (zuzhang). Figure 3.2 provides an example of a record page in the format that was followed from 1789 onward, with one person per column, and special annotations to identify the beginnings of new household groups and new households. Before 1789, individuals were listed one after another, often with several to a column, and only household groups were identified, not households.

Figure 3.1 The title page of the population register of Langjiabao Weijiatun Tanggangzi Haizhou Yuezhou rending hukouce compiled in 1822. CMGPD-LN USER GUIDE

Figure 3.2 Sample record page of Eight Banner population registers in Liaodong. 3.A.I. Basic Variables DATASET

DATASET identifies the specific banner population recorded on the title page of each register. The values of this variable are coded by the coders directly from the name of the banner population listed on the title page of each register. Before 1864, most registers used place names plus the function of the population as their title. Figure 3.1 provides an example of the title page of one register produced in 1822. The text of the first line on the left says: “Langjiabao Weijiatun Tanggangzi Haizhou Yuezhou rending hukouce,” which means the population register of Langjiabao Weijiatun Tanggangzi Haizhou Yuezhou. The value code for this banner population dataset is 17.

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In 1864, the titles of these population registers became more detailed. In addition to place names and the banner function of the population recorded in them, many registers also added the category of the population to the title. For example, in 1864, the population category of “Hanjun (Han martial)” was added to the title of the population register of Langjiabao Weijiatun Tanggangzi Haizhou Yuezhou, thereby turning the title to “Langjiabao Weijiatun Tanggangzi Haizhou Yuezhou Hanjun rending hukouce.” Since the combination of place name, population category, and population function provides a complete overview of the banner population, the value label of each population dataset is generated based on the title pages after 1864. Although the assigned title for most of the registers was a combination of place name, population category, and population function, some registers are only titled by the nature or function of the population. For example, the title of the register for dataset 3 in table 1.1 is “Dami Hanjun rending hukou ce,” in which “dami” means collecting honey or honey collector. No place name is specified. Moreover, the title for the dataset 27, is “Kaidang hukouce,” in which “kaidang” means people expelled from banner registration. Since the Eight Banners used population rather than territory as the basis for their organization, all the data share some common characteristics. First, the names of these banner populations are a mix of place name and the function of the population. For example, the name of dataset 1 “Daoyi tun Hanjun rending” is a place name, while the name of dataset 3 “Dami” stands for this population’s function, which is collecting honey. Second, even when the name of the population stands for a place, it does not necessarily mean the current residence of the entire population, just the original place of administrative registration. Over the 160 years covered by the CMGPD-LN, the people recorded with an official affiliation with each of the CMGPD-LN populations may have moved multiple times within Liaodong and sometimes even beyond. The CMGPD-LN records many such changes in address. Table 5.2, for example, summarizes over 21,000 individuals by administrative population who recorded different inter- regional addresses within Liaodong. Part 5 introduces each of the CMGPD-LN populations in detail. The codebook provides a tabulation of observations by DATASET. The banner populations varied greatly in terms of socioeconomic background and status. Users interested in making comparisons between populations, or types of populations, should read the discussion of each individual dataset in part 5 for a better understanding of the nature of these populations. YEAR

The value YEAR is the Gregorian (CE) calendar year in which the register was compiled. These values are transcribed and converted by the coders from specific imperial reign year recorded on the title page of each register. For example, on the title page in figure 3.1, the center vertical line of text — Daoguang er nian—means the register was produced in the second year of the reign of Emperor Daoguang. Since the Daoguang reign started in 1821, the second year of Daoguang reign is 1822. Although the CMGPD-LN provides demographic and socioeconomic data from 1749 to1909, the quantity and quality of registers is not evenly distributed through this time period. In general, Eight Banners registration in Liaodong before 1789 appears to be less detailed when the data was reported at the level of the household group (zu), and became more formalized after 1789 when the unit of reporting became the residential household (linghu). Moreover, much more of the earlier data is missing. All CMGPD-LN USER GUIDE

together, observations from the forty-year-period 1749-1789 only account for 8.09 percent of the total number of observations. And as table 1.1 summarizes and part five discusses in detail, five of the 29 population datasets only begin in 1789; another five of the 29 population datasets only begin in the mid/late nineteenth century. RELATIONSHIP

From 1789 onward, as shown in figures 1.2 and 3.2, RELATIONSHIP refers to the individual- under-observation’s relationship to household head. The coders transcribe this relationship using a string of numbers and letters where each number stands for birth order recorded in the register, and each letter stands for a relationship to head. Before 1789, as shown in figure 1.1, RELATIONSHIP refers to an individual's relationship to the head of household group, or zuzhang. Coded relationships before 1789 are accordingly quite complex, since household group often included a large number of distant relatives of the household group head, including second or even third cousins.

Table 3.1 lists the meaning of letters used in coding this string variable. e always refers to the head and appears by itself. Before 1789, e identifies the head of the household group. From 1789 on, e identifies the household head. m always refers to the mother of the head. The remaining codes normally are concatenated together to specify the pathway from the head to the individual. Numbers identify the seniority recorded in the register of the relationship status following the number. For example, f2yb3s means the head's father's second younger brother's third son, that is, one of the head's first cousins, and f2yb3sw would be that man's wife. w appearing in isolation refers to the head's wife, and f appearing by itself refers to the head's father. Table 3.1 Interpretation of codes in RELATIONSHIP Code Relationship E Ego or head W Wife Q Concubine M Mother F Father B Brother Z Sister S Son D Daughter O Older Y Younger

This variable, RELATIONSHIP, is one of the strengths of the CMGPD-LN. It is the basis for constructed identifiers such as FATHER_ID, MOTHER_ID, HUSBAND_ID, and WIFE_ID. Software that creates father identifiers searches for the parents of a child by stripping off the last relationship in a string and searching for someone with that relationship. For example, to locate the father of f2yb3s, the software searches for f2yb. To locate the mother, it searches for f2ybw. To link f2yb3sw to her husband, the software searches for f2yb3s. These identifiers in turn are the basis of the more complex CMGPD-LN USER GUIDE

variables for ancestry and kinship mentioned in Part 2 that group individuals by descent group and measure the characteristics of particular kinds of kin.

RELATIONSHIP identifies individuals uniquely within a household. In other words, in the absence of illegible entries in the original data, or coder error, every individual in a household in a register should have a different relationship, and there should be no duplicates. The uniqueness of values of RELATIONSHIP within household is key to the success of automated linkage.

Individuals are normally listed in order of their relationship to the head in the original registers, and therefore in the CMGPD-LN. The head is listed first, followed by his mother and in rare cases his father, mother or paternal grandparents, and then his wife and children and grandchildren, and then uncles, their children and grandchildren and great-grandchildren, then great-uncles (grandfather's brothers) and their descendants and so on.

Again, users should be aware that this variable is not useful for analyzing household structure before 1789. As noted before, since the Eight Banner population register organized the population not by residential household but by household group (zu) before 1789, every individual was indexed by their relationship to the head of household group. Therefore, when analyzing issues related to characters of residential household, the observations before 1789 should be excluded.

Father of the head (f) rarely appears as a relationship for a live individual because most men remain head until they die. When a father is listed, it is usually a former head who died since the last register and is annotated as being gu, or dead.

Because some data entries were illegible, 36 of the 1,513,357 observations in the dataset have a missing value for the RELATIONSHIP variable.

SEX

SEX was not recorded directly in the original population registers but inferred by the coders from other information. There are multiple items in the register that indicate the sex of an individual under observation, most importantly, relationship, name, and occupation. Generally coders infer each individual’s sex from their relationship to the household head. Almost all women in the registers are sisters, daughters, wives or widows, or concubines, and therefore a z, d, w, or q is the last character of their RELATIONSHIP. The only exception is that women who are household heads are listed with the relationship e. In those cases, coders infer sex from the name and/or an annotation giving the name of the deceased or absconded husband.

In the CMGPD-LN, there are 557 observations of 366 individuals whose sex is coded differently in the preceding record for the same person. To see a full list of these observations, use the following Stata code:

sort person_id year list dataset year record_number person_id if person_id== person_id[_n- 1]&sex!=sex[_n-1]

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These inconsistent sex values are largely due to inconsistencies in the original registration of relationship to head. For example, an individual who was previously listed as the household head’s daughter is later listed as the head’s son. Because we have no way of knowing which record is correct, we allow these inconsistencies to remain when transcribing the information in the images to the digital data.

GENERATION

GENERATION identifies an individual’s generation relative to the household head in the current register. For records before 1789, it refers to an individual’s generation relative to the head of the household group (zu zhang).

Coders infer the value for GENERATION from the recorded relationship to the head. People from the same generation as household head have a generation value of 3. Household members who are one generation above the head (the head’s father, mother, uncle, aunt, father’s cousin, etc.) have a generation value of 2. Household members who are one generation below the household head (the head’s son, nephew, niece, etc.) have a generation value of 4, and so on.

Since GENERATION only applies to members registered within the same household in the current register, the value of an individual’s generation may change over time as the overall structure of their household changes. For example, when the son of a head, 1s, succeeds to the headship and is listed as e, his GENERATION will change from 4 to 3.

MARITAL_STATUS

The value of MARITAL_STATUS was assigned by coders according to the presence of spouse and child in current and previous registers. It is straightforward for the coders to infer whether women are single, married, or widowed from their relationship and from the presence or absence of a living spouse. Since daughters leave their household upon marriage, anyone who is listed as a daughter with a d at the end of their RELATIONSHIP is unmarried. If a daughter was also annotated has having married out since the last register, and the flag variable MARRIED_OUT is 1, coders listed her MARITAL_STATUS as married. Women who have a w at the end of their relationship are all wives. If their husband is also present in the current register, they must be currently married. If the husband is not listed in the register, or is listed but also annotated as having died, the woman must be widowed. If a widow is listed as having remarried out since the last register, so that REMARRIED_OUT is 1, her marital status is set to married. Differentiating between unmarried men and widowers is more difficult, requiring examination of the current register, and comparison with previous registers. There were no specific annotations to indicate that a man was married, single or widowed. Obviously men listed with a wife in the register are currently married. Men listed with a wife in the register who is annotated as having died are widowed. Men who appear in a register, have no wife listed, but have children listed are treated as widowers. Men who do not have a wife listed in the current register, but who were observed with a wife in a previous register are identified as widowed. Men who do not have a wife listed in the current register but have children are also assumed to be widowed. A childless widower whose wife married in and died before the earliest available register in a series would be incorrectly identified as unmarried. A childless CMGPD-LN USER GUIDE

widower whose wife married in and died in the period between two available registers would also be incorrectly identified as unmarried. When using MARITAL_STATUS, users should be aware of possible inconsistencies in registration. In the CMGPD-LN, there are 579 observations of 547 individuals whose marital status is coded inconsistently. By inconsistent, we mean an individual’s marital status was coded as unmarried after being coded as married or widowed in a previous year. Most of these are probably the result of coder error. Many of them reflect situations where a previously missing earlier register that showed an individual was married was coded and added to the database, but registers in later years in which the individual appeared unmarried were not updated. There are so few of these cases that they should not impact any results, but an astute user may note the discrepancies. If these inconsistencies are a concern, MARITAL_STATUS can be replaced by a variable generated by software which cycles through the observations for an individual and determines automatically whether they were previously married. For a full list of the “inconsistent” cases, use the following Stata code:

. sort person_id year

. list record_number dataset year marital_status age_in_sui died if person_id==person_id[_n-1]&marital_status

AGE_IN_SUI

AGE_IN_SUI is the direct transcription of the age information from the original register. All the ages in the Liaodong Eight Banners population register are calculated by sui, a traditional way to calculate age in China. A person is aged 1 sui at birth and is one year older after each lunar new year. On average, an age measured in sui is 1.5 greater than an age reckoned in the Western method. Since additional details about date of birth recorded in the registers appear unreliable, at present there is no means of directly calculating an age in Western years. To facilitate comparison with results from elsewhere in which ages are in Western years, in our own analysis we generally define age groups with the initial and final year offset one by year. For example, to produce something comparable to Western ages 5-9, we typically use the age range 6-10 sui.

When using AGE_IN_SUI , users should note that there are occasional inconsistent records of an individual’s age across his/her life course. In the CMGPD-LN, there are 11,430 inconsistent age records for 10,728 individuals. This problem is mainly due to mistakes in the original registers. The solution to this problem is to create a calculated age in each register based on the BIRTHYEAR calculated in the earliest observation of that individual. Lee and Campbell (1997, 240-242) assess age discrepancies in the Daoyi administrative population. Care should be taken in use of AGE_IN_SUI because it is often missing in the original data in observations where the individual is also annotated as having exited since the previous register, and set to -99 in CMGPD-LN. In some cases, the age at which the exit took place was recorded. In other cases, the age in the original register appears to have been imputed from the current register year. Because of the inconsistencies in the original records of age in observations where an individual was listed as exiting, users are strongly discouraged from making use of those observations in any analysis involving CMGPD-LN USER GUIDE

age. Normally selecting observations for AGE_IN_SUI not equal to -99 and PRESENT equal to 1 will eliminate these observations. BIRTHYEAR

BIRTHYEAR is a generated variable calculated from the age recorded in the original registers. It is calculated as YEAR-AGE_IN_SUI+1. This variable provides an alternative basis for the calculation of age, and at least an approximation of age reckoned according to the Western standard. To produce a consistent age variable without any of the discrepancies in recorded AGE_IN_SUI discussed above, BIRTHYEAR can be copied forward from an individual's first record to their later records, and then subtracted from YEAR.

3.A.II. Place of Residence The Eight Banner population register recorded for each household its place of residence, including the larger administrative district, the sub-district, and the village name. While some records do not list the specific village name, most records do. For example, in figure 3.2, the line for the place of residence reads “Shenyang Xianghong qi jie Langjiabao juzhu,” which indicates that the following households resided in the village of Langjiabao within the boundaries of the Bordered Red banner in Shenyang district. We construct three variables - REGION, DISTRICT, and UNIQUE_VILLAGE_ID – from such place of residence information to identify geographic and community characteristics for each individual and household. REGION

REGION provides for each observation the geographical region within Liaodong of the individual/household’s place of residence. We distinguish four different regions in Liaodong: North Liaodong, Central Liaodong, South-Central Liaodong, and South Liaodong. North Liaodong, which includes Kaiyuan and Tieling, is a remote agricultural area of hills and mountain valleys in contemporary northeastern Liaoning. Central Liaodong, which includes Fushun, Juliuhe, Shenyang, and Xingjing, is centered around the northern suburbs of Shenyang, more or less at the center of the Liaodong Plain, and is ideal for agriculture. South-Central Liaodong, which includes Guangning, Liaoyang, Niuzhuang, and Xiongyue, is also largely flat and arable. South Liaodong, which includes Gaizhou, Jinzhou, and Xiuyan, however, is along the coastal area and, while less suitable for agriculture, had a thriving aquacultural and commercial economy as reflected by the stipulated establishment of a treaty port at Niuzhuang as early as 1858 required by the Treaty of Tianjin. CMGPD-LN USER GUIDE

Map 3.1 Area in Liaodong corresponding to the categories in the REGION variable

DISTRICT

DISTRICT is the direct transcription of the administrative district included in the record of place of residence. For example, on the record page shown in figure 3.2, the record of place of residence refers to the villages within the boundaries of the Bordered Red banner in Shenyang district. The administrative district of the individuals in this section is therefore Shenyang. These historical districts correspond roughly but not exactly to contemporary administrative units. UNIQUE_VILLAGE_ID

UNIQUE_VILLAGE_ID identifies a village of residence for observations in the CMGPD-LN. It is coded consistently across CMGPD-LN administrative populations distinguished by DATASET, so that observations originally recorded in the same village in different administrative populations will all have the same UNIQUE_VILLAGE_ID. The original information on village name was transcribed and encoded from original registers and is available in the Restricted Release, along with geographic coordinates for the villages we have physically located. UNIQUE_VILLAGE_ID in the Basic release is intended for use in grouping observations by village, so that village may be specified as a level in a CMGPD-LN USER GUIDE

hierarchical model, and aggregated measures of village population may be constructed. By itself, UNIQUE_VILLAGE_ID should not be sufficient to identify a named village. There are a total of 699 distinct named villages in the registers that make up the CMGPD-LN. For observations for which no village is recorded, or only an area but not a specific village is recorded, the value was set to -99. 3.A.III. Demographic Events In the Eight Banner population registers, individual exits such as death, out-marriage, out- adoption, and absconded, are explicitly recorded at the end of each individual record column to explain the disappearance of the observed individual during the last three years. Events associated with the appearance of an individual, such as birth, marriage, and adoption were generally inferred by the coders and were not explicitly recorded in the original registers. For example, in the record page shown in figure 3.2, two individuals are annotated as having died during the last three years. Based on the original records of vital events, and the coders' inferences based on changes between registers, we created the following variables to capture the most important demographic events in this population.

Because the exits recorded in the original registers refer to events that have already taken place, the corresponding flag variables DIED, MARRIED_OUT, REMARRIED_OUT and ABSCONDED below normally should not be used as dependent or outcome variables in an analysis. Additionally, observations in which an individual is annotated as exiting commonly omit their age, thus in most observations in which any of these exit flag variables are 1, for true, AGE_IN_SUI is missing, -99.

Flag variables such as NEXT_DIED that the software constructs from these original exit variables specify the occurrence of the event in the time between the current and next register, and are preferable as dependent variables. We include the original flag variables DIED, MARRIED_OUT, REMARRIED_OUT and ABSCONDED so that the dataset maintains as much of the original data as possible. They are useful mainly for the construction of new outcome variables if the user is dissatisfied with the ones provided.

DIED

DIED is a dummy variable. The value 1 indicates that an individual is annotated in the original register as having died sometime during the last three years.

Users should be aware that there are some individuals who were annotated as dead in more than one register, and thus have values of 1 for DIED in more than one observation. Reports of their deaths are greatly exaggerated. As the tabulation in table 3.2 shows, of the 266,091 individuals in the CMGPD- LN, 944 have more than one record of “having died” (gu). These are individuals who had been annotated as dead in one register but were copied forward into later registers without being removed, presumably as a result of clerical error. They are highly unlikely to have come back to life and then died again. Therefore, users should include only the first record of death in analyses.

Table 3.2 Individuals by the number of observations that listed them as dead (gu) CMGPD-LN USER GUIDE

N. of observations in which the individual is listed as dead Freq. Percent Cum. 0 184,184 69.22 69.22 1 80,963 30.43 99.65 2 929 0.35 99.99 3 15 0.01 100 Total 266,091 100

MARRIED_OUT

MARRIED_OUT is a dummy variable indicating whether an individual married out in the previous three years covered by the current register. Since marriages are overwhelmingly virilocal, in which the wife moves into the husband’s household, this variable mainly records first marriage for never-married daughters in their parents' household. As table 3.3 shows, of the 8,319 observations that had a value of 1 for the variable MARRIED_OUT, only 9 observations are for males.

Table 3.3 Records of out-marriage by sex. Married out SEX 0 1 Total -99 23 0 23 Female 587,820 8,310 596,130 Male 917,195 9 917,204 Total 1,505,038 8,319 1,513,357

As with the death records, there are a few women who have multiple records of out-marriage, because the original registers record them more than once as marrying out. As table 3.4 shows, 110 women out of the 266,091 individuals in the CMGPD-LN have two records of having married out in the last three years. While we assume that these duplications in status reflect clerical error, we cannot rule out the possibility that a daughter or widow returned to her natal or husband's household and married out again. At present, though, we have no direct evidence of any such events in our data.

Table 3.4 Individuals by the number of observations that list them as marrying out N. of observations listed as married out Freq. Percent Cum. 0 257,882 96.91 96.91 1 8,099 3.04 99.96 2 110 0.04 100 Total 266,091 100

CMGPD-LN USER GUIDE

REMARRIED_OUT

REMARRIED_OUT is a dummy variable indicating whether a widowed individual has remarried out in the last three years covered by the current population register. Like the variable MARRIED_OUT, REMARRIED_OUT exclusively records remarriage of widowed individuals. When widowers remarried, their new wives almost always joined them in their household. According to table 3.5, of the 1,399 observations who have the value of 1 as REMARRIED_OUT, only two are males. We have not yet investigated these 2 cases, and it may be that they are transcription errors.

Table 3.5 Observations by SEX and REMARRIED_OUT REMARRIED_OUT SEX 0 1 Total -99 23 0 23 Female 594,733 1,397 596,130 Male 917,202 2 917,204 Total 1,511,958 1,399 1,513,357

Moreover, as table 3.6 shows, 12 individuals have more than two observations where the event of out-remarriage was annotated in the original records (and REMARRIED_OUT was coded as 1). In such cases, users should exclude the duplicated observations from their analysis.

Table 3.6 The number of recorded remarried out for widowed individuals

N. of recorded Remarried out Freq. Percent Cum.

0 264,705 99.48 99.48 1 1,374 0.52 100 2 11 0 100 3 1 0 100

Total 266,091 100

ABSCONDED

ABSCONDED is a dummy variable indicating whether an individual is annotated in the current register as being absent illegally. Since the populations in the CMGPD-LN belonged to the Imperial Household Agency, individuals were not allowed to move out of the area without the state’s permission. Therefore, a person who is absent without official permission is recorded as tao (absconded). This registration applies exclusively to males since only adult males (ding) are liable for labor and service. The individual's record was carried forwarded with the annotation until they returned, their case was resolved, or they were otherwise stricken from the registers. Accordingly, some men appear as CMGPD-LN USER GUIDE

ABSCONDED repeatedly over years or even decades. If an individual left and died elsewhere without the event being reported, their record might be carried forward indefinitely. Many individuals annotated as absconded therefore appear to survive to absurdly advanced ages. In some cases it seems that the person is carried forward as a household member, but is longer annotated as absconded even though the person never rejoins the household, and eventually also appears to reach an absurdly advanced age. Because such a small proportion of the population survived to such advanced ages, ABSCONDED men who are likely to have died but are still being carried forward in the register account for a disproportionate share of elderly males in the registers. For any analysis of older individuals, therefore, we strongly recommend eliminating not only men currently annotated as ABSCONDED, but men who appear as ABSCONDED in a previous register and have no further events annotated in later registers. The value of this variable is set to -98 for all females since they were not eligible to be listed as absconded (table 3.7).

Table 3.7 Observations by Annotation as Absconded and Sex Absconded SEX -98 0 1 Total -99 23 0 0 23 Female 596,130 0 0 596,130 Male 0 890,906 26,298 917,204 Total 596,153 890,906 26,298 1,513,357

PRESENT

PRESENT is a dummy variable generated by a specific computer program based on the vital demographic events recorded in the register. Generally, a person is counted as present if he/she is not annotated as having exited since the last register, i.e. DIED, MARRIED_OUT, REMARRIED_OUT, ABSCONDED are all 0, and no other form of exit is recorded in the register. This variable is created as a flag variable for user convenience during data analysis as a means of quickly restricting the observations under consideration to ones of individuals who are alive and present and at risk of experiencing an event, or otherwise worthy of inclusion in a denominator for a calculation. Almost all of our own analyses are restricted to individuals who are PRESENT.

3.A.IV. Administrative Statuses Due to the administrative nature of the banner population registers in the CMGPD-LN, the records note each male's administrative status before his name (figure 3.2). The administrative status usually provides information about the individual’s state employment or official position, if any, whether this position is currently active, and any titles this individual acquired through the state examination system. In general, the recorded position can be classified into four categories: official, soldier, artisan, and ding, or adult male, a position that requires the assigned individual to provide labor service to the state. The following variables are transcribed from the information about administrative status to capture and decompose this information. If the individual had an occupation or other important status that was not administrative, such as say local trader or merchant, it was not normally reported in the registers. CMGPD-LN USER GUIDE

RETIRED

RETIRED is a dummy variable indicating that a male has a position but is annotated in a register as already being retired, tui, at the time the current register was produced. In the original register, retired (tui) is usually followed with a position, e.g. retired captain (tui zuoling), or retired adult male (tui ding). Accordingly, software constructs RETIRED by parsing information about the administrative status of the individual in the register.

Retired individuals have a clear age pattern. As table 3.8 shows, 84 percent of all observations with an individual identified as retired are above age 51 sui. At the same time, there is also a wide age range for individuals with a retired position. About 0.7 percent of the observations with a retired position are below age 30 sui. Lee and Campbell 1997 discuss the age pattern of those people in dataset 1 who were identified as retired (165-6).

Table 3.8 Age distribution of individuals annotated as retired AGE Freq. Percent Cum.

-99 3,574 9.9 9.9 1-10 10 0.03 9.9 11-20 23 0.1 10.0 21-30 201 0.6 10.5 31-40 603 1.7 12.2 41-50 1293 3.6 15.8 51-60 3231 9.0 24.8 61-70 16,096 44.6 69.4 71 and up 11,052 30.6 100.0 Total 36,083 100.0

OLD

OLD is a dummy variable indicating that a person had a specific status but was annotated as old (lao) at the time the current register was produced. Like RETIRED, this variable is constructed by parsing individual administrative status from the original register. Usually, this annotation goes together with the term ding (adult male) or tui (retired), which means old adult male (lao ding) or old and retired (lao tui). It means an adult male used to be liable for corvee labor but is no longer liable since they have reached a certain age described as old.

Like RETIRED, while the observations with the annotation of lao (old) have a wide age range, they also have a clear age pattern. As table 3.9 shows, almost 86 percent of the individuals with an annotation of old are first listed with that status after age 60 sui. At the same time, some individuals have an annotation as ‘old’ by below 10 sui. Lee and Campbell (1997, 165-66) discuss the age pattern of annotation as old and retired.

Table 3.9 Age distribution of individuals annotated for the first time as “old.” CMGPD-LN USER GUIDE

AGE Freq. Percent Cum -99 448 6.08 6.08 1-10 2 0.03 6.11 11-20 5 0.07 6.18 21-30 19 0.26 6.44 31-40 27 0.37 6.81 41-50 44 0.60 7.40 51-60 505 6.86 14.26 61-70 3,868 52.53 66.78 71+ 2,446 33.22 100.00

HAS_POSITION

HAS_POSITION is a flag variable indicating that a male has a salaried position at the time the register was produced. Three broad categories of people in the CMGPD-LN, have salaries or stipends: officials, the majority of soldiers, and all artisans. Salaries came in two forms: money and grain. Since salaried positions were available only to males, the variable is set to missing (-98) for females.

Since the population in the CMGPD-LN data is mainly rural, holding a salaried position not only indicates the status attainment of the individual under observation but also means additional income and privileges for the household. As table 3.10 shows, throughout the entire period covered by the CMGPD- LN data, only 2.2 percent of the male observations between 18 and 60 sui had a salaried position.

Table 3.10 The distribution of salaried position among males 18-60 sui in the CMGPD-LN, 1749-1909

Salaried position Freq. Percent 0 509,914 97.8 1 11,403 2.2 Total 521,317 100

The range of statuses covered by HAS_POSITION is broad. It includes basic salaried positions of artisan and soldier, as identified in the variables ARTISAN and SOLDIER, as well as much more prestigious positions associated with much higher salaries. The Analytic Release provides the original position, as well as additional variables that provide estimates of annual salaries.

Since HAS_POSITION is generated by parsing the administrative status recorded in the original register, the variable HAS_POSITION alone does not provide information on whether this position was active at the time the register was produced. Men who held a position but were currently retired, and are recorded in the register as retired with that position, will have a HAS_POSITION of 1 and a RETIRED of 1. For analyses of older men, this may not be a problem, since the substantive interest will likely be CMGPD-LN USER GUIDE

in the characteristics of men who held positions earlier in life. Nevertheless, to identify active salaried positions, users should use the following Stata code:

has_position==1&retired!=1&old!=1

ARTISAN

ARTISAN is a flag variable indicating that the individual under observation has an artisan position. Artisan positions are identified by the presence the character jiang, similar to the suffix -smith. For example, carpenters are listed in the original registers mujiang, dyers are ranjiang, and so forth. Since the population covered in the CMGPD-LN include bonded laborers, having an artisan position not only indicates that the individual under observation acquired certain skills that qualify him as an artisan, but they also use that acquired skill to provide labor to the Imperial Household Agency for which they were paid. In the late nineteenth century, each artisan had an annual income of six taels of silver.30

As table 3.11 shows, throughout the period under observation, only 0.4 percent of the male observations between 18 and 60 sui had an artisan position.

Table 3.11 The distribution of artisan among males 18-60 sui in the CMGPD-LN data, 1749-1909. Artisan Freq. Percent 0 519.398 99.6 1 1,919 0.4 Total 521,317 100.0

Since the software generates ARTISAN by parsing the information about administrative status on the original register, the variable ARTISAN alone has no information on whether this position was active at the time the register was produced. To identify active artisan positions, users should use the following Stata code:

artisan==1&retired!=1&old!=1

SOLDIER

SOLDIER is a flag variable indicating that a male has a soldier’s position. Soldier's positions are normally identified by the presence of the characters bing or jia in the detailed administrative statuses recorded in the original register. As table 3.12 shows, throughout the time under observation, only 1.41 percent of the male observations between 18 and 60 sui in the CMGPD-LN data had ever had a soldier’s position. Holding a position as a soldier also indicates monetary income and privileges. In the late

30 See Guochao Jianye Chuji Jilue, 1893 edition, Juan 5, 616. We would like to thank Mark Elliott for bringing this valuable source on the Shengjing Imperial Household Agency to our attention. CMGPD-LN USER GUIDE

nineteenth century, a soldier had an annual income of 24 taels of silver, much higher than that of an artisan.31

Table 3.12 The distribution of soldier among the males 18-60 sui in the CMGPD-LN, 1749-1909. Soldier Freq. Percent 0 513,963 98.59 1 7,354 1.41 Total 521,317 100.0

Like the other variables describing administrative status, SOLDIER is also generated by decomposing information about administrative status from the original register; by itself the variable SOLDIER does not specify whether this position is active in the year the register refers to. To identify active soldier positions, users should use the following Stata code:

soldier==1&retired!=1&old!=1

NO_STATUS

NO_STATUS is a flag variable indicating that a person has no recorded administrative status in the register under consideration. 1 indicates that the individual had no recorded administrative status, and a 0 indicates that the individual was recorded as having administrative status. Most males had an administrative status, but did not. Males who were too young to be liable for corvee labor typically did not have an administrative status record. Since females were not normally eligible for an administrative status, this variable is coded as a missing (-98) for them.

Most males did not have an administrative status recorded until they reached 18 sui, when there was an abrupt transition. Whereas 86.5 percent of males age 17 sui had no status recorded, only 38.2 percent of males age 18 sui have no status. The proportion with no status continues to decline with age to age 30 when only about 10 percent of males had no status, maybe because they were physically infirm. Altogether as table 3.13 shows, about 12 percent of adult males in the CMGPD_LN had no recorded administrative status.

Table 3.13 Distribution of NO_STATUS among males between 18 and 60 sui, 1749-1909. NO_STATUS Freq. Percent 0 457,352 87.73 1 63,965 12.27

31 See GCJYCJ, Juan 5, p. 615. CMGPD-LN USER GUIDE

Total 521,317 100.00

The distribution of administrative status in the CMGPD-LN varies by time and individual population dataset. As figure 3.3 shows, between 1749 and 1789, the percentage of males without administrative status oscillated between 4 and 25 percent. Some of this variation reflects the sparseness of the available registers. Some administrative populations were more likely to include men with no status than others, and if those registers for the populations were especially common in a given year, the overall proportion without status in that year would appear to increase. Between 1789 and 1870, the percentage of males without administrative status remained around 5 percent. Then, beginning in 1873, this percentage increases, reaching nearly 50 percent in 1909.32

Figure 3.3 Percentage of males between 18 and 60 sui without any administrative status, 1749-1909.

32 In their 2004 study of the Eight Banners population in Liaodong, Yizhuang Ding, Songyi Guo, James Lee, and Cameron Campbell gave several specific examples of this variation of state position across time (2004, 93-98). CMGPD-LN USER GUIDE

ZU_ZHANG

ZU_ZHANG is a dummy variable indicating that a person was the head of a household group (zu). In the Eight Banners, the organization of zu originated from the Jurchen tribes. As the Manchu state and then the Qing dynasty developed, the Jurchen tribes became highly institutionalized. The court gradually established a zuzhang system and appointed the household group head (zuzhang) as an agent to administer bannermen. Responsibilities included presiding over such events as marriages, inheritance, funerals, and sacrifices (Ding, Guo, Lee, and Campbell 2004).

In the Eight Banners population registers in Liaodong, the term zu or zuzhang emerged around the 1780s. Prior to 1789, the registers organized the banner population by a unit called yihu, or one household. This unit of yihu was a household group (zu). Each yihu has a head, also known as a zuzhang, and all the people under that yihu are listed with their relationship to that head. Beginning in 1789, population registers divide the original yihu into several residential households, each annotated as linghu, or another household. Therefore, zu became a formal unit to administer the households beneath it. For the regular banner and special duty banner populations, zuzhang had administrative authority; individual bannermen were organized hierarchically from highest to lowest: zuoling (captain), zu (household group), and household.

Since the status of zuzhang is recorded separately from the information about a person’s administrative status, ZU_ZHANG is independent of the other variables describing a person’s administrative status. This was not a salaried position. Neither was it a permanent position. A household group changed zuzhang on occasion.

3.B. Identifier (ID) Variables All the identifier variables are generated by software. In terms of their function, there are two kinds of identifier variables: those created for data management and grouping purposes, and those created for data linkage. The variables RECORD_NUMBER, REGISTER_SEQ, ZU_SEQ, and HOUSEHOLD_SEQ belong to the first category, and the variables PERSON_ID, MOTHER_ID, FATHER_ID, FATHER_ID_IMPUTED, GRANDFATHER_ID, GRANDFATHER_ID_IMPUTED, WIFE_1_ID, WIFE_2_ID, and HUSBAND_ID belong to the second category. The linkage variables are special features of the CMGPD_LN. Largely drawn from the links across registers made by the coders and links between kin suggested by the RELATIONSHIP variable, these variables link observations of the same individual in different registers (PERSON_ID) and link individuals to their family members (MOTHER_ID etc.) It is important to keep in mind that the identifier variables for linkage were all generated by complex software that processed RELATIONSHIP and links made by coders, and may not be perfect. While most of the linkage is fairly straightforward, errors in the original relationship data or in the coders' transcriptions of it could lead to incorrect linkages among kin. For cases where a direct link to a kin cannot be made, the software takes an indirect approach. For example, if no father can be identified for an individual, most likely because the father passed away before that individual first appears in a register, the software checks to see if any older siblings has a father identified, and copies over that information if it is available. It may be that in some cases, that is an inappropriate assumption. All of the information that the software uses to make links between kin is available in the Basic Release in the CMGPD-LN USER GUIDE

form of the variables such as RELATIONSHIP, MARITAL_STATUS, AGE_IN_SUI, and HOUSEHOLD_ID, so users with the appropriate skills who would like to write their own software for kinship linkage are able to do so. RECORD_NUMBER

RECORD_NUMBER is a sequential record identifier identifying the location of the record within the CMGPD-LN in its original order, when it is sorted by DATASET, YEAR and REGISTER_SEQ. Values are unique. The following code, generate record_number = string(_n, "%09.0f"),is used to generate the values of this variable. Each record number identifies a unique observation in the entire dataset.

This variable serves as the key linking variable to allow users to merge variables from the CMGPD-LN Basic with variables from the CMGPD-LN Restricted and Analytic datasets. It can also be used as a common record identifier for users to merge on if they create additional datasets consisting of generated variables. It may also be used to restore the dataset to its original order after it has been sorted by other variables. PERSON_ID

PERSON_ID is an identifier for individuals. Each value uniquely identifies all the records of an individual in the CMGPD-LN. This variable is constructed in two stages. In the first stage, the coders manually link an individual in one register to their observation in the previous available register by specifying that observation's record number as a link identifier. The population register recorded households and their members in the same order in successive registers, thus it was easy for the coders to identify and link an individual in different registers according to his/her name and contextual information of household and residential village. In the second stage, software concatenated these links from each register to the one previous to create an identifier for all of the records of an individual. This variable allows users to group CMGPD-LN records by individual. Combined with year, is easy for users to arrange the records in CMGPD-LN by individual and by year. In STATA, the relevant command is: sort person_id year. In combination with by person_id year: it allows for operations on records that comprise an individual's life history. For example, after sorting by PERSON_ID and YEAR, by person_id year: generate birthyear_first = birthyear[1] would create a new variable that for all the observations of each person would contain their calculated year of birth from the first record in which they were observed, which in turn could be used as the basis for a calculated age. MOTHER_ID

MOTHER_ID provides the PERSON_ID of mother for males and never-married females or the PERSON_ID of the mother-in-law for married or widowed women. This variable is generated by software that first seeks to link individuals to mothers based on relationships recorded in the household registers. For example, if the software finds a 1s1s, it will look for a 1sw in the household. The software carries out the searches for the same individual in all the registers in which they appear and in the case of apparent conflicts between registers, gives priority to the link made in the earliest register. CMGPD-LN USER GUIDE

Once the software exhausts possibilities for direct linkage based on relationship, it seeks indirect links, for example, by checking whether an individual identified as a father had a wife who died before the individual first appeared in the registers, or whether a sibling had a mother identified. The value for individuals for whom the software was unable to locate a mother is set to -99. This variable allows users to group individuals by mother, or link to observations of a mother to gather information about her.

FATHER_ID

FATHER_ID provides the person_id for the father of males and never-married females or the person_id of husband’s father for married or widowed women. Thus, for married or widowed women, the person identified by FATHER_ID is their father-in-law. The values of FATHER_ID are generated by specific computer program in two ways. For individuals whose father is in the raw data, the values are the real person_id of father, assigned by linking father to an individual based on their relationship recorded in the household registers. For individuals whose father is not in the raw data, the value is imputed. This variable allows users to group individuals by father, or link to observations of a father to gather information about him. FATHER_ID_IMPUTED

FATHER_ID_IMPUTED is a flag variable that indicates that the FATHER_ID in this observation refers to an individual not in the dataset. FATHER_ID values were generated to group individuals who were clearly siblings based on the values of RELATIONSHIP, but who could not be linked to a father in the dataset, generally because they were in very early registers and their father had already died without ever being listed in a register included in the CMGPD-LN. For example, if a group of siblings was observed living together in an earliest available register, without a father, a common father was assumed for them and an identifier assigned to him that would allow his offspring to be grouped together during analysis, even though he did not appear anywhere in the registers. If FATHER_ID_IMPUTED is 1, FATHER_ID may be used to group observations of children of the same father, but may not be used to link to the father's observations to gather information about him.

GRANDFATHER_ID

GRANDFATHER_ID provides the PERSON_ID of paternal grandfather for males and never- married females or the PERSON_ID of husband’s grandfather for married or widowed women. Like FATHER_ID, the values of GRANDFATHER_ID are also generated by software and indicate paternal grandfather-in-law for married or widowed women. For individuals whose grandfather is in the raw data and can be located by a search on RELATIONSHIP, the values are the original PERSON_ID of the grandfather turned up by that search. For example, a grandson of a head, 1s1s, can be linked directly to his grandfather, the head, e. Where a grandfather could not be identified directly from the data, most likely because he had already died, grandfather was assumed to be the individual's father's father, so FATHER_ID from the father was copied to GRANDFATHER_ID for the individual. CMGPD-LN USER GUIDE

GRANDFATHER_ID_IMPUTED

GRANDFATHER_ID_IMPUTED is a flag variable that indicates the GRANDFATHER_ID in this observation refers to an individual not recorded in the original data, but whose existence was inferred and for whom an identifier was assigned to allow for grouping of grandchildren. See FATHER_ID_IMPUTED for an explanation. If GRANDFATHER_ID_IMPUTED is set to 1, GRANDFATHER_ID may only be used to group observations of individuals who had a common paternal grandfather. WIFE_1_ID

WIFE_1_ID provides the PERSON_ID of an individual’s wife in the current register. The software generates WIFE_1_ID by linking wives to their husband based on the RELATIONSHIP recorded in the original data in the current register. For every female with a w at the end of RELATIONSHIP, the processing software searches the household for a man with the same RELATIONSHIP, but without a w at the end. For example, if a woman has RELATIONSHIP 2ybw, second younger brother's wife, the program searches the household for a man with RELATIONSHIP 2yb. For a head's wife, RELATIONSHIP w, the software searches for an e. For a head's mother, m, the software searches for a father, f. When the software found a match, it copied the woman's PERSON_ID into the male's WIFE_1_ID, and copied the male's PERSON_ID into the woman's HUSBAND_ID. Because of the possibility of polygyny and widower remarriage, the software does not attempt to adjudicate between different wives identified for the same individual in different or even the same registers. If two wives are associated with an individual in the same register, the PERSON_ID of the second will be moved to WIFE_2_ID. If a different wife is associated with an individual in a later register, WIFE_1_ID in that register will be different from WIFE_1_ID in the current register. Because WIFE_1_ID and WIFE_2_ID are filled in based on the contents of the current register, users seeking to collect data on a deceased wife's characteristics for a widower will need to carry out additional processing to copy the WIFE_1_ID for the widower forward from the register in which the wife was listed recorded, and merge based on that value for WIFE_1_ID. WIFE_1_ID and WIFE_2_ID are set to missing ( -98) for women, widowers and unmarried men. WIFE_2_ID

WIFE_2_ID provides the PERSON_ID of an individual’s second wife observed in the raw data. Like WIFE_1_ID, the values are generated with specific computer programs by linking a wife to a husband based on the relationship recorded in the raw data. Basically, if more than one woman in a household had a RELATIONSHIP that matched the same male, the PERSON_ID of the second match was copied over to WIFE_2_ID for the male. Polygyny was extremely rare in the populations covered in the registers, thus there are very few such cases. CMGPD-LN USER GUIDE

HUSBAND_ID

HUSBAND_ID provides the PERSON_ID of a woman’s husband in the current register. It is generated as part of the processing based on RELATIONSHIP that identifies WIFE_1_ID and WIFE_2_ID. Once again, it only refers to the husband identified through RELATIONSHIP in a current register. HUSBAND_ID is set to -98 missing for women with MARITAL_STATUS of widowed or unmarried. It is also set to -98 missing for all men. It is set to -99 for women whose MARITAL_STATUS was married, but for whom a husband could not be located in the current register. Most of these were women whose MARITAL_STATUS was married because they were daughters annotated as having married out since the last register. There are 138 women linked to different husbands in different registers. We have not investigated these cases. They may reflect inconsistencies in the coding of the RELATIONSHIP variable that was the basis for linkage.

REGISTER_SEQ

REGISTER_SEQ is the sequential identifier for the records in the register in a dataset for a particular year. The value was assigned by transcribers based on interpretation of original data. Concatenating with DATASET and YEAR, it also uniquely identifies records. Sorting on DATASET YEAR and REGISTER_SEQ restores the dataset to its original order, so that observations will appear in the same order as they did in the original data. ZU_SEQ

ZU_SEQ is the sequential number that identifies the records of a specific household group (zu) in the register for a given year. The value was assigned by coders based on their interpretation of original data. The annotation yi hu at the top of a column in the original data was taken as indication of the beginning of a new household group. ZU_SEQ begins with 1 for the first household group in each register, and household groups within the register are numbered sequentially. HOUSEHOLD_SEQ

HOUSEHOLD_SEQ is the sequential number that identifies the households within a specific household group (zu) in a register. The first household in each household group is numbered 1. Because the registers only began to identify residential households in 1789, the values were set to missing before 1789. The value was assigned by coders based on interpretation of original data. From 1789 onward, households are easy to distinguish because the first column in each household includes the annotation ling hu, and the first individual listed for each household is the head. HOUSEHOLD_ID

HOUSEHOLD_ID uniquely identifies the records of a household in a specific year. This variable is generated by specific computer program, concatenating DATASET, YEAR, ZU_SEQ, and HOUSEHOLD_SEQ. It is created for grouping purposes. For example, to arrange observations by CMGPD-LN USER GUIDE

household, and then create a variable with the number of observations in the household, users can apply the STATA code

sort household_id by household_id: generate household_observations = _N 3.C. Analytic Variables In addition to the basic demographic information on the register pages and the ID variables, we also generated analytic variables based on that information to facilitate users’ analysis of the population. While we provide many more such variables in the Analytic Release, in this release we begin with basic analytical variables that count the number of close co-residing relatives, specify the occurrence of events, and identify observations at risk that can be usefully included in particular types of analyses.

3.C.I. Count Variables

BROTHER_COUNT

BROTHER_COUNT is the number of male siblings living in the household in the current register. The values were generated by specific computer program based on the presence of other men in the household with the same FATHER_ID. BROTHER_COUNT is set to missing, -98, for registers before 1789 because they do not distinguish residential households. SISTER_COUNT

SISTER_COUNT is the number of female siblings living in the household in the current register. The values were generated by specific computer program based on the presence of other unmarried women in the household with the same FATHER_ID. SISTER_COUNT is set to missing, -98, for registers before 1789 because they do not distinguish residential households. MALE_COUSIN_COUNT

MALE_COUSIN_COUNT is the number of male paternal cousins living in the household in the current register. The values were generated by specific computer program based on the presence of other men in the household who had the same GRANDFATHER_ID. MALE_COUSIN_COUNT is set to missing, -98, for registers before 1789 because they do not distinguish residential households. FEMALE_COUSIN_COUNT

FEMALE_COUSIN_COUNT is the number of female paternal cousins living in the household in the current register. The values were generated by specific computer program based on the presence of other unmarried women in the household who had the same GRANDFATHER_ID. FEMALE_COUSIN_COUNT is set to missing, -98, for registers before 1789 because they do not distinguish residential households. CMGPD-LN USER GUIDE

UNCLE_COUNT

UNCLE_COUNT is the number of father’s brothers living in the household in the current register. The values were generated by software based on the presence of men in the household whose FATHER_ID was the same as the index individual's GRANDFATHER_ID. UNCLE_COUNT is set to missing, -98, for registers before 1789 because they do not distinguish residential households. AUNT_COUNT

AUNT_COUNT is the number of father’s sisters living in the household in the current register. The values were generated by software based on the presence of unmarried daughters in the household whose FATHER_ID was the same as the index individual's GRANDFATHER_ID. AUNT_COUNT is set to missing, -98, for registers before 1789 because they do not distinguish residential households.

FATHER_ALIVE

FATHER_ALIVE is a flag variable. The value 1 indicates that the father of the observed person was alive and living in the household in the current register. The value 0 indicates that the father of the observed person was either dead or not living in the household in the current register. However, as it was extremely rare for a son to leave the household as long as his father was alive, there are few instances of this situation in the CMGPD-LN.

MOTHER_ALIVE

MOTHER_ALIVE is a flag variable. The value 1 indicates that the mother of the observed person was alive and living in the household in the current register. The value 0 indicates that the mother of the observed person was either dead or not living in household in current register. However, as with fathers, sons living in a different household from mothers are rare. Sons almost never left the household as long as their mother was alive, and widows almost never remarried into another household if they had living sons.

SON_COUNT

SON_COUNT is the number of sons born to the observed individual up to the year of the current register. The values were generated by software based on record linkage. It is not based on the presence of sons recorded in the current register, but rather on a separate calculation of the number of males whose FATHER_ID or MOTHER_ID was this person's PERSON_ID, and who had a calculated year of birth up to or including the current register year. SON_COUNT may differ from the number of sons apparent in the register because it will include sons who appear in later registers, but who were born before the current register. This variable is created for the convenience of incorporating details of a person’s fertility history into an analysis. This variable likely underestimates the actual number of sons born to an individual because as discussed elsewhere, many boys who died in infancy or early childhood were never recorded in the registers. Accordingly, SON_COUNT should be thought of as a count of sons who survived long enough to be registered. CMGPD-LN USER GUIDE

DAUGHTER_COUNT

DAUGHTER_COUNT is the number of daughters born to the observed individual up to the year of the current register. Please see the discussion of SON_COUNT. Because many daughters were never registered, this variable undoubtedly underestimates the actual number of daughters. There was substantial variation by time, dataset, and place in the registration of daughters, and users should familiarize themselves with these patterns by examination of relevant descriptive statistics before using this variable in an analysis. 3.C.II. Flag Variables for Occurrence of Events All the flag variables were created to identify the occurrence of a demographic event to the observed individual in next available register. These variables are created for the convenience of analyzing demographic events. They are especially useful for event history analysis that relates the chances of an event occurring in the future to current or past characteristics of the individual.

NEXT_DIE

NEXT_DIE is a flag variable. The value 1 indicates that the observed individual was annotated in next available register as having died during the three years covered by that register. The values were generated by specific computer program based on DIED. This variable is created for use in mortality analysis. Since this variable relies on annotations in the original registers, it should only be used when the next triennial register is also in CMGPD-LN. If one or more triennial registers between the current and next available register in CMGPD-LN are missing, this flag variable will not reflect deaths that occurred and were annotated in the missing intervening registers. It will only reflect the deaths annotated in the next register in the CMGPD-LN. AT_RISK_DIE identifies individuals who are present and for whom the next triennial register is also available. NEXT_DIE is set to missing, -98, for individuals who were annotated in this register as having exited since the last register, in other words, individuals for whom PRESENT is 0.

NEXT_MARRY

NEXT_MARRY is a flag variable. The value 1 indicates that the observed individual was observed in the next available register as having married. For males, the values were generated by specific computer program based on the presence of a wife in the next available register. The value indicates whether or not the individual married at any time between the current register and the next. For an analysis of male marriage that seeks to include intervals covered by missing registers that are not in the CMGD-LN, some measure of the length of time between the current and next available register should be included. This variable will miss cases in which a man married but his wife died before the next available register. AT_RISK_MARRY identifies cases where a male is present, unmarried, and the next available register is three years in the future.

For females, the values were generated based on the annotation in the next available register of marrying out, represent in the flag variable MARRY_OUT. It is only set to 1 if she married out in the three years covered by that register. For analyses of female marriage, accordingly, the same caveats apply as for NEXT_DIE, and use of AT_RISK_MARRY is recommended to restrict analyses to CMGPD-LN USER GUIDE

observations where a female is unmarried, present and the next available register is only three years in the future.

NEXT_MARRY is set to missing, -98, for individuals who were annotated in this register as having exited since the last register, in other words, individuals for whom PRESENT is 0.

NEXT_REMARRY

NEXT_REMARRY is a flag variable indicating that a widowed individual remarried by the time of the next register. For widowers, values were generated by software based on the presence of a wife in the next register for men who are widowers in the current register. The remarriage may have occurred at any time between the current register and the next one. The same caveats apply as for NEXT_MARRY. AT_RISK_MARRY identifies men who were present and widowed, and for whom the next available observation in CMGPD-LN is only three years in the future.

For females, the values were generated based on the annotation of out-remarriage in the next register, reflected in the value of the variable REMARRY_OUT. Thus for females, the value was 1 only if her remarriage occurred in the three years covered by the next available register in the CMGPD-LN. The same warnings about the need to restrict to three year intervals via AT_RISK_REMARRY apply as for NEXT_MARRY and NEXT_DIE.

NEXT_REMARRY is set to missing, -98, for individuals who were annotated in the current register as having exited since the last register, in other words, individuals for whom PRESENT is 0.

NEXT_ABSCONDED

NEXT_ABSCONDED is a flag variable. The value 1 indicates that the observed individual was annotated in next available register as having absconded in the three years covered by that register. The values were generated by software based on the value of ABSCONDED in the next register. Since individuals may have been listed as absconded repeatedly until their case was closed, NEXT_ABSCONDED may be 1 in more than one observation for the same individual. The value for females was set to missing, -98, since the annotation of absconded is not applicable to females.

NEXT_BOYS

NEXT_BOYS is a count of the number of boys born to the observed individual between the current and next available registers. The values are generated by software based on record linkage. Specifically, it is a count of the number of individuals who have a FATHER_ID or MOTHER_ID linking them to the individual under consideration and who also have a calculated birthyear between the current and next registers. It may differ from the result of a manual comparison of the number of children listed in the current and next registers because it may include births of individuals who were not recorded in the next register, but first appeared in a later register. This variable is likely to underestimate the actual number of boys because as discussed elsewhere, many boys who died in infancy or early childhood were omitted from the registers. Accordingly, this variable may be best thought of as a count of the number of boys born between the current and next register who survived long enough to be listed in a register. CMGPD-LN USER GUIDE

NEXT_GIRLS

NEXT_GIRLS is a count of the number of girls born to the observed individual between the current and next available registers in CMGPD-LN. Please see the discussion for NEXT_BOYS on how the variable was created. Because many daughters were omitted from the original data, this variable undoubtedly underestimates the actual number of daughters, and should be used with extreme caution. There are pronounced patterns by time, place and dataset in the recording of daughters and users should familiarize themselves with these patterns by examination of relevant descriptive statistics before using this variable in an analysis. NEXT_3

NEXT_3 is a dummy variable. The value 1 indicates that the next triennial observation of the observed person is in the dataset. The values are generated by specific computer program. This variable is generated for the convenience of event history analysis. By only including the observations for which the next triennial observation is in the dataset, users can address problems caused by missing registers.

NEXT_6

NEXT_6 is a dummy variable, and similar in construction to NEXT_3. The value 1 indicates that the next available observation of the observed person is six years away. 3.C.III. Flag Variables Identifying At-Risk Population for Events The following variables are created to identify the population at risk for an event. These variables are especially useful in event history analysis.

AT_RISK_DIE

AT_RISK_DIE is a flag variable. It identifies observations to include in mortality analysis. The values are generated based on PRESENT and NEXT_3. It is set to 1 if PRESENT and NEXT_3 are both 1, which means that the observed individual is present in the current register and an observation is available in the CMGPD-LN for the next triennial register. Otherwise the value is set to 0. AT_RISK_DIE is set to missing, -98, for individuals annotated as having exited since the last register. AT_RISK_REMARRY

AT_RISK_MARRY is a flag variable. It identifies observations to include in analysis of first marriage. The values are generated by specific computer program, based on the values of PRESENT, NEXT_3, and MARITAL_STATUS. The value is set to 1 if PRESENT and NEXT_3 are both 1 and MARITAL_STATUS is married (2), which means the observed individual is present and unmarried in the current register, and an observation is available in the CMGPD-LN for the next triennial register. Otherwise the value is set to 0. AT_RISK_MARRY is set to missing, -98, for individuals annotated as having exited since the last register. CMGPD-LN USER GUIDE

AT_RISK_REMARRY

AT_RISK_REMARRY is a dummy variable that identifies observations to include in analysis of remarriage. The values are generated using specific computer program, based on the information of PRESENT, NEXT_3, and MARITAL_STATUS. The value of AT_RISK_REMARRY is set to 1 if PRESENT and NEXT_3 are both 1 and MARITAL_STATUS is widowed (3), which means the observed individual is present and widowed in the current register, and an observation is available for them in the CMGPD-LN in the next triennial register. Otherwise the value is set to 0.

CMGPD-LN USER GUIDE

4. The CMPGD-LN Population Categories Although the registers followed a uniform format, the banner administration kept separate registers for different population categories, reflecting their different social and political statuses and entitlement rights. In the catalogued holdings of the Genealogical Society of Utah, there are five major population categories: normal bannermen registered in regular banner populations, normal bannermen registered in special duty banner populations responsible for providing special services or products to the Imperial Household Agency, banner estate or other servile populations pledged to the Imperial Household Agency or confiscated by the Imperial Household Agency from cashiered banner nobles and high officials, people registered in various military detachments and offices, and random other household registers. The differences by population category can be identified not only directly from the specific individual titles and registration categories of individuals in the population, but also from their social and administrative organization and from their different level of success at the examination system and at attaining non-farm government employment. Overall each of these categories was quite distinct, although with the passage of time many population boundaries blurred and some, like datasets 26 and 29, even became recategorized. In this section, we discuss the general characteristics of each population category focusing especially on the first three – regular banner populations, special duty banner populations, and estate and other servile banner populations -- since they comprise the entire CMGPD-LN. We leave the specific details of each dataset to Part Five.

4.A Regular banner population registers Sixteen of the 29 CMGPD-LN populations are regular banner population registers. Most of the regular banner population registers are initially entitled ‘some place name rending hukou ce’ and change to a more elaborated title beginning in 1864 to ‘some place name Hanjun rending hukou ce’ or ‘some place name Man Han rending hukou ce.’ Some, however, remain ‘some place name hukou ce.’ We have identified 50 different series of regular banner household registers in the catalogued holdings of the Genealogical Society of Utah and have examined several intensively in the CMGPD-LN data including datasets 1, 2, 4, 5, 7, 8, 9, 10, 11, 12, 14, 15, 17, 18, 20, 22 and 24.33 Regular bannermen were administered by banner captains (zuoling). Each adult male (ding) was entitled to generous allocations of land from the state, and in return paid an annual fixed tax to the Imperial Household Agency (Ding, Guo, Lee, and Campbell 2004, 80-85), and provided to the Imperial Household Agency such home products as homespun fabric and preserved meat, and/or such forest products as mushrooms (Ding, Guo, Lee, and Campbell 2004, 82). In addition, as regular bannermen they were liable for military service as artisans and soldiers which, while in theory an obligation, was actually an important source of personal revenue and therefore a political privilege. Compared to the special duty banner populations and the estate banner populations, the regular bannermen had many more opportunities to increase individual and family property and power. As table 4.1 shows, Liaodong bannermen under the Imperial Household Agency, like regular bannermen elsewhere, were eligible to sit for the regular state-sponsored exams and assuming they did well could

33 Please see Appendix A for a full list of the banner populations in the Genealogical Society of Utah catalogue. CMGPD-LN USER GUIDE

qualify for such state positions as civil officials. Estate banner populations in contrast were ineligible to participate in the state examination system.34 The population registers of these regular bannermen record individuals with a variety of official offices and ranks, sub-officials, soldiers, and artisan positions as well as earned honorific titles. Moreover, regular bannermen were far more mobile geographically, either legally or illegally than other bannermen categories.

Table 4.1 Comparison of the registers of regular banner populations, special duty banner populations, and estate banner populations under the Shengjing Imperial Household Agency. Regular Banner Special Duty Banner Estate Banner Population Population Population Population status Normal bannermen Normal bannermen Servile and or serf Organization Organized by residential Organized by residential Organized by patrilineal household (linghu) and household (linghu) and household group but patrilineal household patrilineal household without information on groups (yihu or zu) groups (yihu or zu) residential household

Salaried local banner Zuoling Zuoling Guanling/~da official Overseer No Zhuangtou or Wopengtou Zhuangtou or Yuantou

Administrative Head of household group Head of household group Overseer authority Military officials* Yes No No Artisans** Yes No No Civil officials*** Yes No No Honorific titles^ Yes No No Participation in state Yes No No^^ sponsored exams Geographic mobility Higher Low Variable

State Employment Higher Low Low Opportunity * Military officials among the banner population mainly refer to people with a soldier or official’s position under the Eight Banners system, including the various soldier titles (jiading, bing, or jia), Guard captain (wei lingcui), Preceptor captain (niru cuizhang or shifeng cuizhang), Tax preceptor (lingcui), Runner (guanfu), Scribe (bitieshi), Subofficial (Zhishiren), Sergeant (Xiaoqi xiao), Warehouse clerk (Kushi), Chief shepherd (Muzhang), etc. Although many of these

34 According to a memorial dated 1891 Yulu, an imperial household agency official, cites a previous 1891 ruling by Eight Banner General Yu Ming, that while estate overseers and regular banner zhuangding were eligible to participate in the examination system, the estate banner populations administered by the estate overseers were ineligible (Manzhou jiuguan diaocha baogao, 45-46). We would like to thank Yizhuang Ding for making this source available to us. CMGPD-LN USER GUIDE

titles were military, the positions were in fact a regular part of local banner administration. ** In the CMGPD-LN, artisan position is a kind of state service. Artisans received a monetary stipend, which indicates a higher total income than regular farmers. The artisan positions in the CMGPD-LN include Archer artisan (gongjiang), Blacksmith (kezi jiang), Dyer (ranjiang), Funeral expert (huaer jiang), Tailor (caifeng), Tanner (pijiang), and etc. ***In the CMGPD-LN, some people also held official titles that belonged to the civil system. Most of these titles are for local positions in the county or prefecture office (yamen). Some examples of these positions include Prefect (zhifu), District Magistrate (zhixian), Sub-prefect (tongzhi), Second class sub-prefect (tongpan), Chief secretary in prefect yamen (Fu jingli), Assistant Secretary (zhushi), etc. ^ Honorific titles are titles awarded by the government to show the exceptional contribution of an individual. Honorific titles could be awarded to both officials and commoners. These titles usually consisted of a numbered rank and some honorific objects, including a hat with ornament (dingdai), birds’ tail feathers (ling), or a certificate (jungong). ^^ Although the Qing government prohibited servile populations from taking state sponsored exams, some people from the estate farm still managed to obtain the rights to take exams (Ren 2003; Ding, Guo, Lee, and Campbell 2004).

Normal banner populations also differ from the estates banner populations in their administrative and social organizations. The lowest level banner officer administering a regular banner population was a zuoling, and local banner society was organized by residential household (linghu) and household groups (yihu or zu). As figure 1.1 shows, in the population registers, a household group is called an yihu, or one household, and the residential households under the household group are called linghu, or other households. The household group was an intermediate administrative unit between the zuoling and residential household; according to the registers, each group of linghu were under the administration of a household group leader (ci number of hu shuyu name zuzhang jiangguan). As we will see in the discussion of the servile and serf populations, their population registers do not distinguish between residential households (linghu), only household groups (yihu).

4.B The special duty banner population registers Eight of the 29 CMGPD-LN populations are special duty banner populations, including data sets 3, 5, 6, 13, 16, 21, 25/29, and beginning in 1830, dataset 26 as well. The special duty banner population registers were initially entitled ‘some place name some special duty rending hukou ce’ and changed their name in 1864 to ‘some place name some special duty Hanjun rending hukou ce.’ Some, however, are simply entitled ‘some special duty hukou ce.’ So far as we know and can ascertain, these differences in title do not reflect any institutional differences. We have identified 28 series of special duty banner household registers in the catalogued holdings of the Genealogical Society of Utah, as well as one title not yet available in Utah.35 As in the regular banner population, the adult males in the special duty banner populations also enjoyed state allocated land free of rent.36 These adult males were assigned to provide special services, including collecting honey, raising bees, fishing, picking cotton, and tanning and dying. Most such populations also had the option by the eighteenth century to convert such services to the Imperial Household Agency to cash payments instead.

35 See Appendix A for a full list of these titles. 36 Most of the special duty banner populations had one of two origins. They were either descended from peasants who enrolled in the banner system before the Qing conquest and were allocated land to use but not own; or they were descended from farmers who donated their own land to the Eight Banners as part of the process of becoming bannermen. Those who had allocated land only paid poll tax not land tax, while those who farmed donated land paid land tax but not poll tax (Ding, Guo, Lee, and Campbell 2004). CMGPD-LN USER GUIDE

While the state categorized such special duty banner populations as normal bannermen, zhengshen qiren, their opportunity structure resembled more that of the estate banner populations. From our observation of the population registers, there are virtually no officials, soldiers, and artisans among these people. Neither do these registers include individuals with titles earned from state-sponsored exams. Therefore, compared to the regular Liaodong banner populations, these special duty banner populations have had much lower social and geographical mobility. In addition, like the estate banner population, the state assigned overseers to the many special duty banner populations, with the title of zhuangtou or wopengtou. However, based on the population registers, the administrative and social organization of the special duty banner populations resembled that of the regular banner populations. The lowest level official administering the population was called a zuoling. The registers also organize these people populations by residential household (linghu) and household group (yihu or zu). The household group is considered an intermediate administrative unit between zuoling and residential households. These characteristics indicate that although the special duty banner population had a lower status, they still belonged to the category of regular bannermen.

4.C The estate banner population registers Of the three population categories that comprise the CMGPD-LN, the estate banner and other servile populations are the least homogeneous and the most poorly understood. 37 Before the development of the CMGPD-LN Data Release, most scholars assumed that the banner populations in Liaoning were estate populations called liangzhuang or guanzhuang, literally grain estates or state estates, and that most of the surviving banner population registers were from such estates (Isett 2007; Tong and Guan 1995). In fact, although there were some 89 or more such estate state farms in Liaodong,38 so far as we know, none of the surviving Liaodong population registers are from these estates since they were administered by the Eight Banner Board of Revenue, not by the Imperial Household Agency. Instead, the Imperial Household Agency administered over a variety of confiscated estate banner populations and pledged servile dependent populations who ‘belonged’ to the imperial family and not to the state. We identify 36 such population series in Appendix B, and include three confiscated estate populations and two such servile dependent populations in the CMGPD-LN.39

37 The estate farm population has been a focus of the Chinese scholarship on Liaoning social history or on the Liaoning banner system. Before our exploration of the other population categories under the Imperial Household Agency, virtually all Chinese scholarship on Liaoning social history or on the Liaoning banner system dealt exclusively with these estate populations rather than the ‘regular’ populations. See for example the two volumes of documents on the Liaoning grain estate farms compiled by Guan Jialu, Tong Yonggong (Anoymous 1992) and others, as well as the many articles describing or analyzing these data by Guan, Tong (1995), and their colleagues. See too Lai 1998 and Lee and Campbell 2000. 38 Many Liaoning banner dependents, of course, worked on state farms simply called ‘official land,’ guandi, which was under the authority of the Ministry of Finance (hubu). 39 We also plan to transcribe the 34 volumes of Beilu and Nanlu zhuangtou deng hukou ce and will make that data available in a later data release. These registers are typically three or more times larger than those of regular banner populations and should represent an additional 200,000 observations. CMGPD-LN USER GUIDE

The confiscated estate banner population registers that survive in the Liaoning Provincial Archives and at the Genealogical Society of Utah, are titled “(name of special product or some specific circuit) zhuangtou hukouce” or “(name) yuantou hukouce.” Here zhuang means estate farms controlled by the Imperial Household Agency, and zhuangtou or yuantou are the overseers of these estate farms. We have only found 15 series of estate banner household registers among the catalogued holdings of the Genealogical Society of Utah, as well as two titles not yet available in Utah, and have only examined one intensively.40 Moreover, even these series include a variety of special duty banner populations that may or may not actually be estate populations. These registers are important because they provide information on kinship organization, and estate organization, as well as individual demographic behavior for a segment of the Liaodong population that were numerically far larger than the regular banner estates or special product estates listed above. Not all estate banner populations were the same. Generally, the overseers and their followers who donated their land at the beginning of the Qing dynasty to the Eight Banners in exchange for banner membership enjoyed a relatively higher status among the estate banner populations, having access to government sponsored exams and landownership (Ren 2003; Ding, Guo, Lee, and Campbell 2004). Later banner estate populations, however, consisted largely of confiscated estate populations of nobles who committed crimes or even the nobles or their family members themselves (Ren 2003). These late- comers had a much lower status, without rights to take government sponsored exams and or rights to own land. We have identified six such populations in the Utah dataset, 41 and include three such populations, datasets 19, 24, and 26, in the CMGPD-LN data release. In each case the population dataset is identified by the name of the particular noble or official whose estates were confiscated. The individuals in dataset 19, the Aerjishan rending hukou ce, were under the administration of the kuaijisi. Individuals in the other two, however, were under regular banner administration in spite of their servile status. In general, the people registered in the estate banner populations had lower status than the regular banner populations. As table 4.1 shows, the estate banner population was administered by a different system; the title of the local banner official was not zuoling but guanling. This difference in administration marked the inequality between the estate banner and the regular banner populations. In the early Qing, the guanling system was used to administer bond servants. Therefore, the court not only prohibited officials under the guanling system from taking positions under the zuoling system, but also prevented intermarriage between these two systems (Ding, Guo, Lee, and Campbell 2004). This inequality persisted at least until the mid-eighteenth century. Other than their administrative system, the estate banner population also differed from regular banner and special duty banner populations in social organization and local authority. As table 4.1 shows, unlike the regular and special duty populations, who were organized by residential household in the population registers, people in the estate banner populations were grouped by patrilineal household

40 This is the 1910 Beilu zhuangtou deng hukou ce (Northern Circuit Estate Overseer Household Register). 41 The six examples we have identified so far are the Aerjishan hukou ce, the Lu Hongling hukou ce, the Lu Hongquan hukou ce, the Lu Kaiguang hukou ce, the Subaigong hukou ce, and the Wuhu hukou ce, three of which are included in the CMGPD-LN as datasets 19, 26, and 24 respectively. CMGPD-LN USER GUIDE

group without information on residential household. Moreover, although each patrilineal household group has a head (zuzhang), it was not the head but the overseers (zhuangtou or yuantou) who had the administrative authority. In addition, like the special duty banner populations, the estate banner populations also had lower social and geographic mobility than the regular banner populations. In the estate banner populations, there were no official title holders other than such local administrators and overseers.42

4.C.I. Other Servile Populations At the same time, the Shengjing Imperial Household Agency was also in charge of a variety of servile dependent populations with the title of baoyang (fostered), guhu (orphaned household), kaidang (newly registered), lingji (attached household), sula (servants), or toucong (followers). These servile dependent populations were originally Han-Chinese who joined the Eight Banners in the beginning of the Qing either through becoming bond servants of regular bannermen or by donating their land to the banner administration. Some of them even acquired the status of regular bannermen through adoption. However, beginning in the mid eighteenth century, due to the Qing government’s fiscal difficulty in supporting bannermen, the Yongzheng and Qianlong emperors differentiated these servant, servile, and adopted Han-Chinese from regular bannermen and expelled a large number of such populations from the Eight Banners. Despite the expelling of these Han bannermen, the government still kept track of these people them, maintaining separate registers according to the nature of these households. The two Kaidang populations included in the CMGPD-LN as datasets 27 and 28 are typical examples.

4.D. Other special population registers Besides the three basic categories of population registers, there are population registers created for some special population groups and special events—registers of military and official populations and those of special dependent populations. The military and official registers are for a variety of hereditary populations affiliated with the Shengjing Imperial Household Agency who provided special services rather than special products, - usually as soldiers, officials, or sub-officials of various kinds. In addition to these registers that systematically track the imperial household agency population by their categories, the government also produced assorted registers for special events, such as famine relief. We present a full list of these registers in Appendix B categorized according to our current scholarly understanding of population categories. However, since this categorization, except for the CMGPD-LN data release, is based largely on the title and not the contents of the registers, much will certainly change as more data become available and are analyzed.

42 These local level administrators include head of household group (zuzhang), baizong, estate farm overseer (zhuangtou or yuantou), and bond servants’ captain (guanling). CMGPD-LN USER GUIDE

5. The CMGPD-LN Populations The twenty-nine administrative populations in the CMGPD-LN represent a full spectrum of social economic status within the banner system. In terms of population category, the 29 populations include people registered in regular banner, special duty banner, estate and other servile banner population registers. Moreover, within each population category, there is also considerable variance in terms of occupational achievement and regional distribution. In part five, we summarize the distinctive characteristics of each individual administrative population. We begin with a description of the overall profile of the populations in the CMGPD-LN, and then summarize the peculiarities of each of the individual populations.

The 29 administrative populations were remarkably heterogeneous in terms of ethnic composition, administrative categorization, population size, and geographic location. Twenty-one of the 29 populations exclusively consisted of Han bannermen, and 8 populations—Gaizhou Man Han rending, Bakeshu Laogudong Man Han rending, Diaopitun rending, Wangduoluoshu Manzhou shengding, Wangduoluoshu Manzhou rending, Subaigong rending and the two Mianhua yandian rending and xiaomen—included Manchu, Korean, and Mongol bannermen. Moreover, as table 5.1 shows, the sizes of the 29 administrative population datasets range from 4,162 observations of 879 individuals in the Subaigong rending to 119,186 observations of 20,032 individuals in the Haicheng Hanjun rending. The majority of the people in the 29 datasets are distributed in North and Central Liaoning, which together accounted for 68.13 percent of the total observations. Moreover, only the Wangduoluoshu Manzhou rending remained exclusively in their original region of settlement throughout the 114 years that in their case they were under observation (1792-1906). All the other populations gradually dispersed beyond their original region of settlement as time progressed.

Table 5.1 Population size and geographic distribution of the 29 administrative populations. Region in Liaoning Total Individuals Administrative North Central South South observations population Central Freq. 24,592 95,019 638 498 120,747 18,884 Daoyi tun Hanjun rending Percent 20.37 78.69 0.53 0.41 100.00 (row) Gaizhou Hanjun Freq. 0 10,647 7,482 24,690 42,819 6,957 rending Percent 0.00 24.87 17.47 57.66 100.00 Freq. 30,320 1,786 0 0 32,106 Dami Hanjun rending 5,013 Percent 94.44 5.56 0.00 0.00 100.00 Chengnei Hanjun Freq. 93 55,585 0 0 55,678 10,054 rending Percent 0.17 99.83 0.00 0.00 100.00 Gaizhou Hanjun Freq. 0 3,485 4,563 48,000 56,048 10,714 mianding Percent 0.00 6.22 8.14 85.64 100.00 Freq. 5,395 0 49,178 297 54,870 Niuzhuang Liuerbao 10,208 Hanjun rending Percent 9.83 0.00 89.63 0.54 100.00 CMGPD-LN USER GUIDE

Feidi Yimiancheng Freq. 65,063 6,302 0 0 71,365 9,543 Hanjun rending Percent 91.17 8.83 0.00 0.00 100.00 Gaizhou Man Han Freq. 1,490 595 12,226 38,973 53,284 11,952 rending Percent 2.80 1.12 22.94 73.14 100.00 Dadianzi Hanjun Freq. 73,727 3,259 0 0 76,986 14,060 rending Percent 95.77 4.23 0.00 0.00 100.00 Guosan tun Hanjun Freq. 17,176 16,269 1,636 0 35,081 4,932 rending Percent 48.96 46.38 4.66 0.00 100.00 Bakeshu Laogudong Freq. 48,110 650 0 0 48,760 8,247 Man Han rending Percent 98.67 1.33 0.00 0.00 100.00 Daxing tun Hanjun Freq. 46,451 38,706 1,366 412 86,935 15,748 rending Percent 53.43 44.52 1.57 0.47 100.00 Nianma Daihai zhai Freq. 52,760 5,464 0 0 58,224 10,746 Hanjun rending Percent 90.62 9.38 0.00 0.00 100.00 Changzhaizi Hanjun Freq. 40,987 7,813 0 0 48,800 9,400 rending Percent 83.99 16.01 0.00 0.00 100.00 Zhaohua tun Hanjun Freq. 32,063 18,791 0 8 50,862 8,758 rending Percent 63.04 36.95 0.00 0.02 100.00 Diaopi tun Hanjun Freq. 80,426 0 86 0 80,512 14,046 rending Percent 99.89 0.00 0.11 0.00 100.00 Langjiabao Weijiatun Freq. 391 12,599 31,465 2,876 47,331 Tanggangzi Haizhou 9,092 Yuezhou Hanjun Percent 0.83 26.62 66.48 6.08 100.00 rending Wangzhihui tun Freq. 21,826 28,510 9,994 4 60,334 10,054 Hanjun rending Percent 36.18 47.25 16.56 0.01 100.00 Freq. 0 8,107 6,991 0 15,098 Aerjishan 2,517 Percent 0.00 53.70 46.30 0.00 100.00 Haicheng Hanjun Freq. 2,166 711 92,426 23,883 119,186 20,032 rending Percent 1.82 0.60 77.55 20.04 100.00 Wangduoluoshu Freq. 9,445 0 49 0 9,494 2,300 Manzhou shengding Percent 99.48 0.00 0.52 0.00 100.00 Wangduoluoshu Freq. 23,233 0 0 0 23,233 4,899 Manzhou rending Percent 100.00 0.00 0.00 0.00 100.00 Waziyu Hanjun Freq. 11,591 59,487 3,832 132 75,042 12,884 rending Percent 15.45 79.27 5.11 0.18 100.00 Wuhu Hanjun Freq. 10,676 11,331 22,783 0 44,790 7,687 rending Percent 23.84 25.30 50.87 0.00 100.00 Mianhua yandian Freq. 9,382 8,112 32,734 26,510 76,738 zhuangtou Percent 12.23 10.57 42.66 34.55 100.00 13,404 zhuangding Subaigong rending Freq. 557 2,730 875 0 4,162 879 CMGPD-LN USER GUIDE

Percent 13.38 65.59 21.02 0.00 100.00 Freq. 4,089 4,527 219 0 8,835 Kaidang 2,717 Percent 46.28 51.24 2.48 0.00 100.00 Kaidang Toucong Freq. 10,071 4,741 10,146 5,179 30,137 5,087 Baoyang rending Percent 33.42 15.73 33.67 17.18 100.00 Mianhua Yandian Freq. 1,923 1,643 11,268 11,066 25,900 5,277 Xiaomen rending Percent 7.42 6.34 43.51 42.73 100.00 Total Freq. 624,003 406,869 299,957 182,528 1,513,357 266,091 Percent 41.23 26.89 19.82 12.06 100

Such population dispersion was a consequence of the geographic mobility of the Liaodong Eight Banner populations. As table 5.2 shows, of the 266,091 individuals in the CMGPD-LN 21,190 or 7.96 percent are recorded as having moved from one region to another region, and 525 or 0.2 percent even settled in three different regions. The Wangduoluoshu Manzhou shengding and Manzhou rending were the least mobile. Special dependent populations such as the Kaidang Toucong Baoyang and estate populations confiscated from specific nobles and officials such as the Aerjishan, the Wuhu Hanjun rending, and the Subaigong rending were the most mobile.

Table 5.2 Geographic mobility of the 29 administrative populations, measured by the number of regions in which each individual lived. Number of regions Administrative population 1 2 3 Total Daoyi tun Hanjun rending Freq. 17,738 1,119 27 18,884 Percent 93.93 5.93 0.14 100 (row) Gaizhou Hanjun rending Freq. 6,436 521 0 6,957 Percent 92.51 7.49 0 100 (row) Dami Hanjun rending Freq. 4,900 113 0 5,013 Percent 97.75 2.25 0 100 (row) Chengnei Hanjun rending Freq. 9,980 74 0 10,054 Percent 99.26 0.74 0 100 (row) Gaizhou Hanjun mianding Freq. 10,535 178 1 10,714 Percent 98.33 1.66 0.01 100 (row) Niuzhuang Liuerbao Hanjun Freq. 8,752 1,455 1 10,208 rending Percent 85.74 14.25 0.01 100 (row) Feidi Yimiancheng Hanjun Freq. 9,203 340 0 9,543 rending Percent 96.44 3.56 0 100 (row) Gaizhou Man Han rending Freq. 11,140 803 9 11,952 CMGPD-LN USER GUIDE

Percent 93.21 6.72 0.08 100 (row) Dadianzi Hanjun rending Freq. 13,812 248 0 14,060 Percent 98.24 1.76 0 100 (row) Guosan tun Hanjun rending Freq. 4,016 916 0 4,932 Percent 81.43 18.57 0 100 (row) Bakeshu Laogudong Man Han Freq. 8,210 37 0 8,247 rending Percent 99.55 0.45 0 100 (row) Daxing tun Hanjun rending Freq. 13,616 2,038 94 15,748 Percent 86.46 12.94 0.6 100 (row) Nianma Daihai zhai Hanjun Freq. 10,352 394 0 10,746 rending Percent 96.33 3.67 0 100 (row) Changzhaizi Hanjun rending Freq. 9,146 254 0 9,400 Percent 97.3 2.7 0 100 (row) Zhaohua tun Hanjun rending Freq. 7,549 1,209 0 8,758 Percent 86.2 13.8 0 100 (row) Diaopi tun Hanjun rending Freq. 14,035 11 0 14,046 Percent 99.92 0.08 0 100 (row) Langjiabao Weijiatun Tanggangzi Freq. 8,337 598 157 9,092 Haizhou Yuezhou Hanjun rending Percent 91.7 6.58 1.73 100 (row) Wangzhihui tun Hanjun rending Freq. 9,090 957 7 10,054 Percent 90.41 9.52 0.07 100 (row) Aerjishan Freq. 1,932 585 0 2,517 Percent 76.76 23.24 0 100 (row) Haicheng Hanjun rending Freq. 17,522 2,359 151 20,032 Percent 87.47 11.78 0.75 100 (row) Wangduoluoshu Manzhou Freq. 2,296 4 0 2,300 shengding Percent 99.83 0.17 0 100 (row) Wangduoluoshu Manzhou rending Freq. 4,899 0 0 4,899 Percent 100 0 0 100 (row) Waziyu Hanjun rending Freq. 10,933 1,939 12 12,884 Percent 84.86 15.05 0.09 100 (row) CMGPD-LN USER GUIDE

Wuhu Hanjun rending Freq. 6,408 1,278 1 7,687 Percent 83.36 16.63 0.01 100 (row) Mianhua yandian zhuangtou Freq. 11,521 1,844 33 13,398 zhuangding Percent 85.99 13.76 0.25 100 (row) Subaigong rending Freq. 738 141 0 879 Percent 83.96 16.04 0 100 (row) Kaidang Freq. 2,484 233 0 2,717 Percent 91.42 8.58 0 100 (row) Kaidang Toucong Baoyang Freq. 4,261 807 19 5,087 rending Percent 83.76 15.86 0.37 100 (row) Mianhua Yandian Xiaomen Freq. 4,535 735 13 5,283 rending Percent 85.84 13.91 0.25 100 (row) Total Freq. 244,376 21,190 525 266,091 Percent 91.84 7.96 0.2 100 (row)

Moreover all 29 populations differed considerably in terms of state sponsored non-farming occupational opportunities. As table 5.3 shows, 2.19 percent of males between 18 and 60 sui in the 29 population datasets had salaried banner positions, while artisan and soldier positions accounted for another 0.003 and 1.41 percent respectively. The percentages of position holders, however, varied greatly among individual populations, ranging from zero or close to zero for the banner estate populations, the Aerjishan, the Wuhu Hanjun rending, and the Subaigong rending, to 9.77 for the Chengnei Hanjun rending. Part of the variation is due to the different rights and opportunities of different population categories as people registered on the estate banner population registers, for example, were not eligible for official and soldier positions, and people registered on military and official registers had higher percentages of officials and soldiers. At the same time, however, population category does not explain everything, as great variance in percentage of salaried positions also exists within a single category. Thus, within the category of regular banner population, the percentage of salaried position holders ranged from 0.51 percent for the Haicheng Hanjun rending to 6.49 for the Guosan tun Hanjun rending. Generally the closer the population was to Shenyang the greater the proportion of non-farming banner positions, whether artisan, soldier, or salaried officials.

Table 5.3 Salaried position, artisans, and soldiers among males between 18 and 60 sui, by dataset Administrative population Salaried Artisan Soldier position Daoyi tun Hanjun rending Freq. 2,198/42,418 607/42,418 1,281/42,418 (Position/total N. of observation) CMGPD-LN USER GUIDE

Percent of total 5.18 1.43 3.02 observation Gaizhou Hanjun rending Freq. 134/13,914 0/13,914 101/13,914 Percent 0.96 0 0.73 Dami Hanjun rending Freq. 33/11,027 0/11,027 8/11,027 Percent 0.3 0 0.07 Chengnei Hanjun rending Freq. 1,664/17,033 455/17,033 974/17,033 Percent 9.77 2.67 5.72 Gaizhou Hanjun mianding Freq. 0/19,965 0/19,965 3/19,965 Percent 0 0 0.02 Niuzhuang Liuerbao Hanjun Freq. 5/19,991 0/19,991 0/19,991 rending Percent 0.03 0 0 Feidi Yimiancheng Hanjun rending Freq. 576/25,353 20/25,353 463/25,353 Percent 2.27 0.08 1.83 Gaizhou Man Han rending Freq. 216/17,739 0/17,739 112/17,739 Percent 1.22 0 0.63 Dadianzi Hanjun rending Freq. 290/24,685 10/24,685 98/24,685 Percent 1.17 0.04 0.4 Guosan tun Hanjun rending Freq. 780/12,019 38/12,019 635/12,019 Percent 6.49 0.32 5.28 Bakeshu Laogudong Man Han Freq. 192/17,354 3/17,354 174/17,354 rending Percent 1.11 0.02 1 Daxing tun Hanjun rending Freq. 838/31,030 239/31,030 523/31,030 Percent 2.7 0.77 1.69 Nianma Daihai zhai Hanjun rending Freq. 181/20,626 0/20,626 108/20,626 Percent 0.88 0 0.52 Changzhaizi Hanjun rending Freq. 282/15,735 4/15,735 232/15,735 Percent 1.79 0.03 1.47 Zhaohua tun Hanjun rending Freq. 591/18,216 133/18,216 401/18,216 Percent 3.24 0.73 2.2 Diaopi tun Hanjun rending Freq. 214/28,948 0/28,948 202/28,948 Percent 0.74 0 0.7 Langjiabao Weijiatun Tanggangzi Freq. 227/16,406 14/16,406 161/16,406 Haizhou Yuezhou Hanjun rending Percent 1.38 0.09 0.98 Wangzhihui tun Hanjun rending Freq. 819/21,389 168/21,389 519/21,389 Percent 3.83 0.79 2.43 Aerjishan Freq. 0/5,913 0/5,913 0/5,913 Percent 0 0 0 Haicheng Hanjun rending Freq. 199/38,936 12/38,936 70/38,936 Percent 0.51 0.03 0.18 Wangduoluoshu Manzhou Freq. 42/3,418 0/3,418 39/3,418 CMGPD-LN USER GUIDE

shengding Percent 1.23 0 1.14 Wangduoluoshu Manzhou rending Freq. 212/7,575 0/7,575 209/7,575 Percent 2.8 0 2.76 Waziyu Hanjun rending Freq. 1,417/26,417 177/26,417 1,041/26,417 Percent 5.36 0.67 3.94 Wuhu Hanjun rending Freq. 190/15,516 0/15,516 0/15,516 Percent 1.22 0 0 Mianhua yandian zhuangtou Freq. 53/25,978 0/25,978 0/25,978 zhuangding Percent 0.2 0 0 Subaigong rending Freq. 3/1,500 0/1,500 0/1,500 Percent 0.2 0 0 Kaidang Freq. 39/2,988 39/2,988 0/2,988 Percent 1.31 1.31 0 Kaidang Toucong Baoyang rending Freq. 8/10,352 0/10,352 0/10,352 Percent 0.08 0 0 Mianhua Yandian Xiaomen rending Freq. 0/8,876 0/8,876 0/8,876 Percent 0 0 0 Total Freq. 11,403/521,317 1,919/521,317 7,354/521,317 Percent 2.19 0.003 1.41

Given the above variations among the 29 CMGPD-LN population datasets, we discuss in the following text the characteristics of each specific population dataset to provide the users a better sense of the historical background and peculiarities of each individual population. We include a map of the population locations we have been able to identify and a summary of each specific dataset’s values from tables 5.1 to 5.3. Geographical mobility is measured geographical mobility by the percentage of individuals who have lived in two or more regions in Liaoning, differentiating four categories of mobility: Low,: below 1%;, Moderate:, between 1% and 5%;, High:, between 5% and 10%,; and Very high,: above 10%. Opportunities for state advancement; and are measured opportunities for state advancement by the proportion of adult males with state salaried position, differentiating four categories of opportunity: Low,: below 0.5%;, Moderate,: between 0.5% and 2 %;, High,: between 2% and 5%;, and Very high,: above 5%. These cut-offs were determined empirically, based on the relative performance of the CMGPD-LN populations.

CMGPD-LN USER GUIDE

5.1. Daoyi tun Hanjun rending The Daoyi tun Hanjun rending dataset was transcribed from the 35 volumes of Daoyi tun Hanjun rending hukou ce, or the Han bannermen population registers of Daoyi village, produced between 1759 and 1909. 43 This dataset in total provides 120,747 observations for 18,884 individuals. The population size of the Daoyi tun Hanjun rending increased from 1,883 in 1759 to 4,178 in 1909. Daoyi village is located in the north suburbs of modern Shenyang, the provincial capital of Liaoning. Although the Daoyi register was named after a specific location, Daoyi was only the original place of administrative registration. Overall throughout the 160 year-period covered by this data set, people migrated from Daoyi to 88 other villages. The vast majority, 78.69 percent, however, remained in Central Liaodong, near Daoyi (table 5.1). Another 20.38 percent lived in or around Dingjiafang in north Liaoning, which used to be part of Tieling, but is now considered part of Faku. This migration from Daoyi to Dingjiafang is recorded in several Dingjiafang lineage genealogies and can be dated in the Daoyi registers as beginning in 1792. Only a small number of observations were located in South Central and South Liaoning, mainly around Liaoyang.

43 In their 1997 book, James Lee and Cameron Campbell examined the social and demographic history of the Daoyi administrative population, based on analysis of these population data (Lee and Campbell 1997). CMGPD-LN USER GUIDE

Map 5.1 Daoyi Administrative Population Table 5.4 Characteristics of Daoyi tun Han banner population.

Population status Normal bannermen

Ethnicity Han

Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu)

Commander Zuoling

Overseer No

Administrative Head of household authority group

Military officials Yes CMGPD-LN USER GUIDE

Artisans Yes

Civil officials Yes

Number of 10 honorific titles

Participation in Yes state sponsored exams

Geographic High mobility

Salaried position Very high

Called “Hanjun rending hukou ce,” the people in the Daoyi registers belonged to the regular banner populations. Moreover, because most of the Daoyi population lived close to Shenyang, the preconquest Qing capital and location of the original imperial palace, this population had a relatively higher percentage of adult males with a salaried position. As table 5.3 shows, 5.18 percent of male observations between 18 and 60 sui in the Daoyi registers had a salaried position. This percentage is more than twice the figure of 2.19 percent for all males between 18 and 60 sui in the CMGPD-LN data. Similarly, the percentages of observations of males between 18 and 60 sui with an artisan or a soldier position in Daoyi registers are also much greater than those of males of the same age range in the CMGPD-LN data. Moreover, the artisan professions were diverse, including Archer artisan (gongjiang), Blacksmith (kezi jiang), Dyer (ranjiang), Funeral expert (huaer jiang), Tailor (caifeng), Tanner (pijiang), etc. Compared with other regular banner populations, the Daoyi Hanjun population had more opportunity for individual state employment. Only Guosantun and Chengnei had higher proportions of males with position.

CMGPD-LN USER GUIDE

5.2. Gaizhou Hanjun rending The Gaizhou Hanjun rending dataset was transcribed from the 27 volumes of Gaizhou Hanjun rending hukou ce, or the Han banner population registers of Gaizhou, produced between 1762 and 1909. The Gaizhou Hanjun rending dataset provides 42,819 observations of information for 6,957 individuals. The population size of this dataset increased from 793 in 1762 to 2,565 in 1909.

Table 5.5 Characteristics of Gaizhou Han banner population. Population status Normal bannermen Ethnicity Han Organized by residential household Organization (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer No Administrative Head of household authority group CMGPD-LN USER GUIDE

Military officials Yes Artisans No Civil officials No Number of 3 honorific titles Participation in state sponsored Yes exams Geographic High mobility Salaried position Moderate

Gaizhou is located in the Northwestern part of the Liaodong peninsula, a hilly coastal area in South Liaoning; the east and southeast of Gaizhou were characterized by mountains and hills, and only the north and the west were relatively flat. The population on the Gaizhou registers came from 47 villages. Similar to the Daoyi Han banner population, the Gaizhou Han banner population was also dispersed over three regions in Liaoning; as table 5.1 shows, 57.66 percent of the observations were distributed in South Liaoning, 24.87 percent of observations were distributed in Central Liaoing, and 17.47 percent were distributed in South-Central Liaoning. A closer examination of geographic distribution by year reveals that prior to 1789, all people in the Gaizhou Han banner population registers resided in South Liaoning. Only beginning in 1789 did individuals recorded as living in Central and South-Central Liaoning appear in the registers. The Gaizhou Han banner population also belonged to the category of regular banner population. However, compared to the Daoyi Han banner population, adult males between 18-60 sui had much lower attainment of state sponsored salaried positions; only 0.96 percent of observations of males between 18 and 60 sui had a salaried position (table 5.3). Not one individual had an artisan’s position and only a very small percentage of adult males were recorded as soldiers. Even those who had a salaried position were low ranked.44

44 These low rank salaried positions include subofficial (zhishiren), scribe (bitieshi), and warehouse clerk (kushi). CMGPD-LN USER GUIDE

5.3. Dami Hanjun rending Unlike the registers of the Daoyi tun and Gaizhou Han banner populations, which were named after a specific place, the Dami Hanjun rending registers were named after the kind of labor service the population provided to the Imperial Household Agency, in this case bee-keeping. The Dami Hanjun rending dataset was transcribed from the 32 volumes of Dami Hanjun rending hukou ce, or the Bee- keeping Han banner population registers, dating between 1759 and 1909. This dataset in total provides 32,106 observations for 5,013 individuals.

Table 5.6. Characteristics of the Dami Han banner population. Population status Normal bannermen Ethnicity Han Organized by residential household Organization (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer Wopengtou CMGPD-LN USER GUIDE

Administrative Head of household authority group Military officials Yes Artisans No Civil officials No Number of 0 honorific titles Participation in state sponsored No exams Geographic Moderate mobility Salaried position Low

The registered population size of the Dami Hanjun rending is small and unlike the previous two populations did not increase significantly during this century and a half. Instead, the population which started in 1759 at 1,060, dropped to below 1,000 in 1792, to 849 in 1812, to 726 in 1849 and remained around 750 until 1888. Only in 1903 did the registered population increase to 1,029 and again to 1,137 in 1909. The people in the Dami Han banner population registers specialized in producing honey. The adult males were categorized as miding, literally adult male honey-collector. In any given year, there were around three hundred miding.45 Each year, an adult male miding was supposed to turn in two and a half barrels of honey (about 56 pounds) to the Imperial Household Agency (Ding, Guo, Lee, and Campbell 2004). Since beehives around the world typically produce about 50 pounds of honey a year, the miding obligations were relatively light compared to the other specialized production populations under the Imperial Household Agency. The Dami Han banner population recorded in the registers resided in 49 villages. However, the overwhelming majority of observations, (94.44 percent, table 5.1) were located in North Liaoning. North Liaoning is highly mountainous. In the eighteenth century, it was much more sparsely inhabited and therefore especially suitable for honey production.46 Due to their specialized labor obligations, these honey-collectors were much less geographically mobile than the farmers of Daoyi and Gaizhou, and only 5.56 percent observations were from outside the region. As table 5.2 shows, while 5.93 percent of the individuals on the Daoyi registers and 7.49 percent of those in the Gaizhou registers appeared in more than two regions, only 2.25 percent of the individuals in the Dami Hanjun registers lived outside Northern Liaoning.

45 Yizhuang Ding, Songyi Guo, James Lee, and Cameron Campbell (2004) summarized the number of miding in each register and examined the changes in their numbers. 46 One of the major uses of honey and honey products was sacrifice at the imperial tombs. The tombs of the early Qing emperors were all located in North and Central Liaoning. CMGPD-LN USER GUIDE

Compared to Daoyi and Gaizhou, the people in the Dami Hanjun population registers had very limited opportunities for state positions. As table 5.3 shows, only 0.3 percent of observations of Dami males between 18 and 60 sui recorded a salaried position. No artisans were registered, and only a few adult males had a soldier’s position. It is unclear to what degree such low social attainment was due to the nature of service obligations as opposed to the remote location far from any urban area. However, beginning in the late eighteenth century, miding could be excused from their service as honey-collectors if they paid the Imperial Household Agency 0.5 taels of silver for each barrel of honey they were supposed to provide. Some miding therefore became regular farmers (Ding, Guo, Lee, and Campbell 2004). CMGPD-LN USER GUIDE

5.4. Chengnei Hanjun rending The Chengnei Hanjun rending dataset was transcribed from the 27 volumes of Chengnei Hanjun rending hukou ce, or the registers of the City Han banner population, produced between 1789 and 1909. The city here refers to Shenyang. This dataset in total provides 55,678 observations for 10,054 individuals in a population that roughly doubled from 1,865 in 1789 to 3,270 in 1909. The people on the Chengnei registers were mainly urban military and official families. Table 5.7 Characteristics of Chengnei Han banner population. Population status Normal bannermen Ethnicity Han Organized by residential household Organization (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer No Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials Yes Number of 29 honorific titles Participation in state sponsored Yes exams Geographic Low mobility Salaried position Very high

Throughout the period covered by the CMGPD-LN data, the Chengnei Han banner population was concentrated in Shenyang and had virtually no geographical mobility. As table 5.1 shows, 99.83 percent of the observations in the Chengnei Han banner registers were of people living in Central Liaoning. Moreover, 99.26 percent of the individuals never moved outside of the region (table 5.2), and those who did moved very late. A closer examination of the geographical distribution by year reveals that from 1789 to 1906, all of the people in the registers were listed as living in Shenyang. Only in the last year, 1909, did some observations appear elsewhere in North Liaoning. Among the 29 populations, the Chengnei Han population stands out to as the most elite in the CMGPD-LN. As table 5.3 shows, 9.77 percent of observations of adult males between 18 and 60 sui had CMGPD-LN USER GUIDE

a salaried position. Moreover, after 1882 an increasing number of observations of high ranking officials appeared in this population, including sergeants and preceptor captains. The percentages of observations recording artisan and soldiers among the adult males were also very high. The Chengnei Han population, therefore, had a very different occupational profile from the other populations. Perhaps due to the elite nature of this population, the Chengnei Han banner population dataset had the best records of daughters among the 29 populations. While the omission of daughters—girls below age 16 sui—is a universal problem in the banner population registers under the Imperial Household Agency, the Chengnei Han registers had a better record than the others. Although the average sex ratio of the age group 1-5 sui was 699:100 for the entire CMGPD-LN population, the sex ratio of the same age group for the Chengnei Han banner population was only 236:100. CMGPD-LN USER GUIDE

5.5. Gaizhou Hanjun mianding The Gaizhou Hanjun mianding dataset was transcribed from the 25 volumes of Gaizhou Hanjun mianding hukou ce, or the registers of the cotton Han banner population of Gaizhou, produced between 1789 and 1909 during which time the registered population increased from 1,017 in 1789 to 5,413 in 1909. The title of these registers tells us both their location, in Gaizhou, and their specialized duty, to provide cotton.

Table 5.8 Characteristics of Gaizhou Han banner cotton-picker population. Population status Normal bannermen Ethnicity Han Organized by residential household Organization (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer Zhuangtou Administrative Head of household authority group CMGPD-LN USER GUIDE

Military officials No Artisans No Civil officials Yes Number of 13 honorific titles Participation in state sponsored Yes exams Geographic Moderate mobility Salaried position No

Four related features stand out about the Gaizhou cotton bannermen. First, they were residentially extremely concentrated, with a total of 56,048 observations of 10,714 individuals living in just seven villages, six located in Gaizhou and the seventh located south of Shenyang. Second, they had very limited geographical mobility. As table 5.1 shows, the people in the Gaizhou Hanjun mianding registers mainly lived in South Liaoning (85.64 percent of observations), with only 8.14 percent in South Central Liaoning. In 1843, a small number of households, comprising 6.22 percent of the observations of the Gaizhou mianding population, were recorded as having moved to south Shenyang. Other than this migration between 1841 and 1843, there was no other recorded migration of this population, and as a result only 1.66 percent of the individuals on the registers lived in more than two regions in Liaoning (table 5.2). Third, like the Dami honey-collectors, no Gaizhou cotton bannermen had a state registered non- farming position. As table 5.3 shows, no adult males between 18 and 60 sui of the Gaizhou mianding population had a salaried position. However, some cotton-banner families did manage to acquire honorary official titles through purchase, suggesting that although the cotton bannermen had low official status, some families still enjoyed considerable wealth. Four, the omission of daughters in this dataset is especially prominent. Girls below age 16 sui were rarely recorded. For example, for the age group 1-5 sui, while 2,462 boys were registered, only 48 girls were recorded. This significant omission of daughters is probably related to the lower social economic status of these cotton bannermen. CMGPD-LN USER GUIDE

5.6. Niuzhuang Liuerbao Hanjun rending The Niuzhuang Liuerbao Hanjun rending (yuding) dataset was transcribed from the 25 volumes of Niuzhuang Liuerbao Hanjun rending hukou ce, or the registers of the Han banner population of Niuzhuang Liuerbao, produced between 1777 and 1906. Alternative titles found in this set of registers include ‘Niuzhuang Liuerbao Lamayuan rending hukou ce’ and ‘Niuzhuang Liuerbao Hanjun yuding hukouce.’ Niuzhuang, Liuerbao, and Lamayuan all refer to place names. While Niuzhuang and Liuerbao were located in South Central Liaoning, Lamayuan was located in North Liaoning. The term ‘yuding’ means adult male fisherman, indicating that this was a population with obligations to provide the Imperial Household Agency with fish. According to Ding, Guo, Lee, and Campbell (2004), the fishermen lived in Niuzhuang and Liuerbao, while those people who lived in Lamayuan were tomb caretakers (fending) obliged to maintain nearby imperial tombs (2004).47

Table 5.9 Characteristics of Niuzhuang Liuerbao Han banner population. Population status Normal bannermen

47 In 1867, all the people living in Lamayuan were removed from the registers, probably due to changes that made the registration more systematic by profession. CMGPD-LN USER GUIDE

Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer Yu Qianzong

Administrative Head of household authority group Military officials No Artisans No Civil officials No Number of 0 honorific titles Participation in Yes state sponsored exams Geographic Low mobility Salaried position No

This dataset in total provides 54,870 observations of 10,208 individuals, who came from 35 villages in South-Central, South, and North Liaoning. The population also experienced some fluctuations in size. The registered population started at 1,316 in 1777 and increased to 2,970 in 1858. In 1867, because all the people living in Lamayuan were removed from the Niuzhuang Liuerbao registers, the registered population dropped to 1,341. The remaining population of fishermen gradually increased to 1,941 in 1906. Like the other service populations, the people in the Niuzhuang Liuerbao yuding registers had very limited geographical mobility.48 The majority of this population (89.63 percent of the observations) resided in Niuzhuang and Liuerbao in South-Central Liaoing (table 5.1). Only a small number, 9.83 percent, of the observations from the portion of this population who were assigned to maintain imperial

48 Since this set of registers began to record the borders of banner administration only in 1789, information on geographical region of residence was not accurate prior to that year. Due to this change in the format of registration, the tabulations of this population’s geographical distribution by year indicate a major relocation of the population from North to South-Central Liaoning in 1789. This pseudo relocation resulted in apparently higher geographic mobility of this population, summarized in tables 5.1 and 5.2. However, this relocation is very likely due to the classification of borders of banner administration.

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tombs in Lamayuan lived in North Liaoning, and in 1825, several households moved to South Liaoning. Niuzhuang, located in the coastal area in the west of the Liaodong peninsula next to the estuary of the Liao River, was an important port in Northeast China. In the 1860s, Niuzhuang became the first treaty port in the Northeast. Liuerbao is also located on the fertile land of alluvial plain of the Liao River. Similar to the other specialized production populations, adult males in the Niuzhuang Liuerbao Hanjun rending dataset also had very limited political achievement. As table 5.3 shows, throughout the entire period only 5 observations of males between 18 and 60 sui had a state sponsored salaried position. No one was registered as either an artisan or a soldier. As a specialized fishing population of the Imperial Household Agency, yudings were required to provide 556 lbs of fish per year (Ding, Guo, Lee, and Campbell 2004). However, beginning in the late eighteenth century, these fishermen were also allowed to pay off their quota in silver. CMGPD-LN USER GUIDE

5.7. Feidi Yimiancheng Hanjun rending Among the 29 administrative population datasets, the Feidi Yimiancheng Hanjun rending dataset has the most complete population records, with not only the largest number of extant registers, 39 volumes, but also the longest continuous series of triennial registers (32 volumes with no gaps). The dataset provides a total of 71,365 observations of 9,543 individuals between 1756 and 1909, almost eight observations per individual, 33 percent more than the usual five to six observations per individual in the other datasets. The population lived in 30 villages in North (Kaiyuan and Tieling) and Central Liaoning, mainly north of Shenyang. The total population size increased from 1,196 in 1756 to 2,533 in 1909.

Table 5.10 Characteristics of Feidi Yimiancheng Han banner population. Population status Normal bannermen Ethnicity Han Organized by residential household Organization (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer No Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials Yes Number of 5 honorific titles Participation in state sponsored Yes exams Geographic Moderate mobility Salaried position High

The population registered in the Feidi Yimiancheng Han banner population registers is a mix of regular banner population and special duty banner population. While regular bannermen accounted for the majority, some were shepherds (muding). Others were servants called fuding, and ritual attendants called liding, while other were banner estate farm subofficials. As table 5.1 shows, the majority of this population (91.17 percent of the observations) resided in Feidi and Yimiancheng, within the administrative area of Kaiyuan. Only 8.83 percent of the observations were of people living in Central Liaoning. This population had moderate geographical mobility; 3.56 percent of the people lived in two regions in Liaoning (table 5.2). As a predominantly regular banner population, the adult males in the Feidi Yimiancheng registers had far more opportunities for non-farming occupations than did the specialized service populations of honey-collectors, cotton-pickers, and fishermen. As table 5.3 shows, 2.27 percent of observations of males between 18 and 60 sui had a salaried position, and 1.83 percent of these observations registered a soldier’s position. Although this percentage is not as high as that of the Daoyi Hanjun population, it is significantly higher than that of the special duty banner populations. The percentage of adult male observations having an artisan’s position, however, was low, 0.08 percent, and the artisans were mainly archer artisans. CMGPD-LN USER GUIDE

5.8. Gaizhou Man Han rending The Gaizhou Man Han rending dataset was transcribed from the 21 volumes of Gaizhou Man Han rending hukou ce, or the Manchu and Han banner population registers of Gaizhou, produced between 1753 and 1909. The dataset provides a total of 53,284 observations for 11,952 individuals, who came from 71 villages in Gaizhou in South Liaoning, Kaiyuan and Tieling in North Liaoning, Shenyang in Central Liaoning, and Xiuyan, Liaoyang, and Niuzhuang in South-Central Liaoning. The registered population size increased from 1,055 in 1753 to 5,128 in 1909.

Table 5.11 Characteristics of Gaizhou Man Han rending. Population status Normal bannermen Ethnicity Han, Korean Manchu (Gaoli Manzhou) Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) CMGPD-LN USER GUIDE

Commander Zuoling Overseer No

Administrative Head of household authority group Military officials Yes Artisans No Civil officials Yes Number of 17 honorific titles Participation in Yes state sponsored exams Geographic High mobility Salaried position Moderate

The Gaizhou Man Han rending dataset stands out among the 29 administrative population datasets for its ethnic composition. While the majority of banner population administered by the Imperial Household Agency were Han bannermen (hanjun), the Gaizhou Man Han banner population included both Manchu and Han ethnicities. Moreover, the Manchu people in this register were not regular Manchu but were called Gaoli Manzhou, or Korean Manchu. This is the only population in the CMGPD-LN to record Korean Manchus aside from dataset 25, the Mianhua yandian zhuangtou zhuangding. Prior to 1864, when this set of registers were titled Gaizhou rending hukou ce, or the population register of Gaizhou, there were only a few Korean Manchu households. About 60 additional Koren Manchu households were recorded in the 1867 register. The number of Korean Manchu households remained more or less constant, peaking in 1876 at 80 households with no significant decline until after 1903. The appearance of Korean Manchus provides an example of the potential for diversity in the ethnic composition of the Eight Banner population. To date, our knowledge about the Korean Manchu group is still limited. The Gaizhou Man Han banner population belonged to the regular banner population category. As table 5.1 shows, although the Gaizhou Man Han banner population was distributed throughout Liaodong, the majority lived in South Liaoning centered around Gaizhou. There was also moderate geographic mobility in this population; 6.72 percent of the people had lived in two regions in Liaodong. The adult males in this population also enjoyed some social mobility in achieving state sponsored salaried positions. As table 5.3 shows, 1.22 percent of observations of males between 18 and 60 sui reflected a salaried position. However, there were no artisans in this population.

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5.9. Dadianzi Hanjun rending The Dadianzi Hanjun rending dataset was transcribed from the 27 volumes of Dadianzi Hanjun rending hukou ce, or the register of the Han banner population of Dadianzi, produced between 1756 and 1906. This dataset in total provides 76,986 observations for 14,060 individuals. The population size increased from 1,828 in 1756 to 5,630 in 1906.

Table 5.12 Characteristics of Dadianzi Hanjun rending. Population status Normal bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer No

Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials Yes Number of 11 honorific titles Participation in Yes state sponsored exams Geographic Moderate mobility Salaried position Moderate

The people in the Dadianzi Han banner population registers were categorized as a regular banner population. This population was overwhelmingly concentrated in North Liaoning, mainly around Tieling (95.77 percent of observations, table 5.1). Only 4.23 percent of the observations of the Dadianzi population listed residence in Central Liaoning. Moreover, this population had very limited geographical mobility. According to table 5.2, only 1.76 percent of the individuals had ever lived in two regions in Liaoning. As a regular banner population who did not live in the political center, the adult males in the Dadianzi population registers enjoyed some, if moderate, political and social mobility. Table 5.3 shows that 1.17 percent of observations of adult males recorded a salaried position. Also, artisans were rare in this population, with only 10 observations of males between 18 and 60 sui indicating an artisan position (table 5.3).

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5.10. Guosan tun Hanjun rending The Guosan tun Hanjun rending dataset was transcribed from the 34 volumes of Guosan tun Hanjun rending hukou ce, or the register of the Han banner population of Guosan village, produced between 1774 and 1909. This dataset is one of the most complete sets of registers and in total provides 35,081 observations for 4,932 individuals - on average over seven observations per individual, nearly as many as Feidi and Guosan tun. Individuals resided in 21 villages in North, Central, and South-Central Liaoning. Overall population size increased from 579 in 1774 to 1,335 in 1909.

Table 5.13 Characteristics of Guosantun Hanjun rending. Population status Normal bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer No

Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials No Number of 1 honorific titles Participation in Yes state sponsored exams Geographic Very high mobility Salaried position Very high

Although the size of the Guosan tun Han banner population was small, its geographical distribution was scattered. About half the population lived in Guosan tun in the northern suburb of Shenyang in Central Liaoning, where this population presumably originated. The other half lived in Dongchang in Kaiyuan or in adjacent Shangjia Louzi and Latahu in Tieling, located in North Liaoning. Given its wide distribution, this population also had a higher geographical mobility than others. As table 5.2 shows, 18.57 percent of the individuals on the Guosantun Han banner population registers had lived in two regions.

The Guosan tun banner population also had a very high proportion of adult males with non- farming positions with state provided salaries. Table 5.3 shows that observations for 6.49 percent of the males between 18 and 60 sui had a salaried position, and 5.28 percent of observations for adult males recorded a soldier’s position. These percentages were comparable to those of the elite Chengnei banner population, and are higher than those of the Daoyi Han banner population. Moreover, among the adult males registered on the Guosan tun Han banner population registers, those who lived in the northern suburb of Shenyang had an especially high percentage of men who held positions. After decomposing the position holders by geographical regions, we find that 70 percent of the position holders in the Guosan tun Han banner population lived in Central Liaoning. If we look at those living in Central Liaoning only, the percentage of adult males with a non-farming salaried position reached 10.18, largely consisting of soldiers. This percentage is even higher than that of the Chengnei population. Therefore, the Central-Liaoning portion of the Guosan tun Han banner populations very likely consisted of specialized military families.

At the same time, compared to the people registered in the Daoyi and Chengnei registers, the Guosan tun Han banner population had a much smaller artisan population. As table 5.3 shows, observations for only 0.32 percent of the adult males between 18 and 60 sui had an artisan position, much lower than the 1.43 percent in Daoyi population and the 2.67 percent in Chengnei population. There were also far fewer people with honorary titles than many other populations. Compared to CMGPD-LN USER GUIDE

Haicheng, for example, which had 47 honorary recipients, Guosantun only had one, probably reflecting relative poverty as a community in spite of evidence for individual advancement and state employment.

The Guosan tun Han banner population dataset also had relatively better records of daughters than many other datasets. The sex ratio of the age group of 1-5 sui for this population was 340:100. CMGPD-LN USER GUIDE

5.11. Bakeshu Laogudong Man Han rending

The Bakeshu Laogudong Man Han rending dataset was transcribed from the 32 volumes of Bakeshu Laogudong Man Han rending hukou ce, or the register of the Man and Han banner population of Bakeshu and Laogudong, produced between 1759 and 1909. This dataset in total provides 48,760 observations of information for 8,247 individuals from 31 villages in North and Central Liaoning. The registered population size increased from 930 in 1759 to 2,354 in 1909.

Table 5.14 Characteristics of Bakeshu Laogudong Man Han rending. Population status Normal bannermen Ethnicity Han, Manchu Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer No

Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials Yes Number of 0 honorific titles Participation in Yes state sponsored exams Geographic Low mobility Salaried position Moderate

The vast majority, 98.67 percent, of the observations for people registered in the Bakeshu Laogudong Man Han banner population registers showed them residing in Tieling and Kaiyuan, North Liaoning (table 5.1). Only a few households resided in Central Liaoning. Moreover, this population had virtually no geographical mobility; only 0.45 of the individuals had lived in two regions in Liaodong.

Since the Bakeshu Laogudong Man Han banner population was categorized as a regular banner population, adult males were eligible for non-farming positions with state salaries. This opportunity, however, was only moderate. As table 5.3 shows, 1.11 percent of observations for adult males between age 18 and 60 sui recorded a salaried non-farming position. Moreover, similar to the Guosan tun Han banner population, the percentage of artisans among the Bakeshu Laogudong Man Han banner population was small.

Like the Gaizhou Man Han rending dataset, the Bakeshu Laogudong Man Han banner population dataset is special in that it has not only Han but also Manchu banner populations, although the number of Manchu households was small and only joined this population register in the mid-nineteenth century. Beginning in 1852, two household groups, or zu, consisting of 16 households, appeared in the register. Each of the 16 households had an annotation categorizing them as Manchu or manzhou. CMGPD-LN USER GUIDE

5.12. Daxing tun Hanjun rending

The Daxing tun Hanjun rending dataset was transcribed from the 29 volumes of Daxing tun Hanjun rending hukou ce, or the register of the Han banner population of Daxing village, produced between 1749 and 1909. This dataset in total provides 86,935 observations for 15,748 individuals. Along with Feidi and Guosan tun, Daxing tun was one of the most complete sets of registers, with almost eight observations per individual. Residence was recorded in 77 villages across all four regions (North, Central, South-Central, and South Liaoning).The registered population size increased from 1,218 in 1749 to 4,510 in 1909.

Table 5.15 Characteristics of Daxingtun Hanjun rending. Population status Normal bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu CMGPD-LN USER GUIDE

or zu)

Commander Zuoling Overseer No

Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials Yes Number of 12 honorific titles Participation in Yes state sponsored exams Geographic Very high mobility Salaried position High

The Daxing tun Han banner population mainly resided in three areas in North and Central Liaoning: Kaiyuan, Tieling, and the northern suburb of Shenyang. Observations for the population were split nearly evenly between Kaiyuan and Tieling in North Liaoning (53.43 percent, table 5.1) , and the northern suburb of Shenyang (44.52 percent) . Only a small number of households lived in South- Central and South Liaoning. The diverse regional distribution of the Daxing tun Han banner population also indicates its considerable geographical mobility. As table 5.2 shows, 2,038 individuals, or 12.94 percent had lived in two regions of Liaoning, and 94 individuals lived in three regions.

As a regular banner population,49 the Daxing tun Han banner population also enjoyed some social mobility in terms of acquiring salaried non-farming positions. As table 5.3 shows, 2.70 percent of observations for adult males between 18 and 60 sui had a non-farming position with state provided salary, an additional 0.77 percent of these observations recorded an artisan’s position, and 1.69 percent a soldier’s position. However, these positions were not evenly distributed in the four regions where the Daxing tun Han banner population lived. A closer examination of the distribution of non-farming state positions reveals that these salaried positions were concentrated in Central and South-Central Liaoning.

49 While the majority of the Daxing tun Han banner population lived on the regular state farms, in the early registers there were a few individuals registered with such special statuses as kaidang, toucong, and baoyang (adopted). These households were scattered and were not present in later registers. CMGPD-LN USER GUIDE

About 4.5 percent of observations for adult males living in Central Liaoning indicated a salaried non- farming position. Moreover, although the number of people living in South-Central Liaoning was small, salaried non-farming positions, especially artisan’s positions, were more prevalent. . This result indicates that although these people were included in the same register, opportunities for social mobility varied greatly by place of residence.

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5.13. Nianma Daihai zhai Hanjun rending

The Nianma Daihai zhai Hanjun rending dataset was transcribed from the 31 volumes of Nianma Daihai zhai Hanjun rending hukou ce, or the register of the Han banner population of Nianma and Daihai village, produced between 1749 and 1909. This dataset in total provides 58,224 observations of 10,746 individuals from 54 villages in North and Central Liaoning. Although the registered population size doubles from 1,378 in 1749 to 2,496 in 1909, there is no clear population trend for the initial century. Instead, the population fluctuated between 1749 to 1864 from 1,300 to 2,000 people and only increased in a sustained fashion after the recategorization of population registration under the Imperial Household Agency in 1867.

Table 5.16 Characteristics of Nianma Daihaizhai Hanjun rending. Population status Normal bannermen Ethnicity Han CMGPD-LN USER GUIDE

Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer Wopengtou, Yangfeng Baizong Administrativeauthor Head of household ity group Military officials Yes Artisans No Civil officials No Number of honorific 0 titles Participation in state Yes sponsored exams Geographic mobility Moderate Salaried position Moderate

The people in the Nianma Daihai zhai Han banner population registers, unlike the regular banner populations, were subject to special duties and obligations. The Imperial Household Agency categorized most adult males either as miding (honey collectors) or as fengding (beekeepers). Presumably the difference is that the miding gathered honey in the wild, while the fengding raised bees to produce their honey. Both populations lived largely (90.62 percent of the observations) in North Liaodong; most of the miding households lived in Nianma in Kaiyuan, and most of the fengding households lived in Daihai zhai in Tieling. Some fengding households, accounting for 9.38 percent of the total observations, also lived in northwestern Fushun in Central Liaoning (table 5.1) which while administratively separate from Kaiyuan and Tieling was geographically similar and contiguous to both Nianma and Daihai zhai.

Given their hereditary obligations as a special duty banner population, the people in the Nianma Daihai zhai Han banner population registers only had moderate geographical mobility. As table 5.2 shows, only 3.67 percent of the individuals in this dataset were ever registered as having lived in two of the four Liaodong regions. By the same token, this population also had very limited social mobility or at least very low attainment rates for salaried non-farming positions. As table 5.3 shows, only 0.88 percent of the observations for adult males between 18 and 60 sui in this population had a non-farming position with state provided salary. No one was registered with an artisan’s position, and only 0.52 percent of the adult male observations had a soldier’s position. CMGPD-LN USER GUIDE

5.14. Changzhaizi Hanjun rending

The Changzhaizi Hanjun rending dataset was transcribed from the 27 volumes of Changzhaizi Hanjun rending hukou ce, or the register of the Han banner population of Changzhaizi, produced between 1768 and 1909. This dataset in total provides 48,800 observations for 9,400 individuals from 57 villages largely in North Liaodong. And like other northern Liaodong populations the registered population increased slowly, doubling from 1,411 in 1768 to 2,344 in 1909.

Table 5.17 Characteristics of Changzhaizi Hanjun rending. Population status Normal bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer No

Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials Yes Number of 0 honorific titles Participation in Yes state sponsored exams Geographic Moderate mobility Salaried position Moderate

Most of the Changzhaizi Han banner population lived in Kaiyuan in North Liaodong. 16 percent are recorded as living in Xingjing and Shenyang in Central Liaodong (table 5.1). However in spite of their regular banner status and their larger proportion of Central Liaodong residents compared to Nianmadaihaizhai, only 2.7 percent of the individuals in this population dataset are recorded in table 5.2 as having moved inter-regionally in Liaodong which is a lower inter-regional migration rate than several special duty banner populations in the CMGPD-LN.

As a regular banner population, the Changzhaizi adult males, of course, had higher attainment rates for salaried non-farming positions than all special duty banner populations in the CMGPD-LN. As table 5.3 shows, 1.79 percent of observations for adult males between 18 and 60 sui reported a current salaried non-farming position. 1.47 percent had a soldier’s position. However, virtually no one in this population had an artisan’s position. CMGPD-LN USER GUIDE

5.15. Zhaohua tun Hanjun rending

The Zhaohua tun Hanjun rending dataset was transcribed from the 26 volumes of Zhaohua tun Hanjun rending hukou ce, or the register of the Han banner population of Zhaohua village, produced between 1774 and 1909. This dataset in total includes 50,862 observations for 8,758 individuals from 37 villages in North and Central Liaodong. And like other populations in these two regions, the registered population increased slowly from 1,411 in 1768 to 2,344 in 1909.

Table 5.18 Characteristics of Zhaohua tun Hanjun rending. Population status Normal bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer No

Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials No Number of 8 honorific titles Participation in Yes state sponsored exams Geographic Very high mobility Salaried position High

Two characteristics set the Zhaohua tun population apart. First, although the original place of registration—Zhaohua tun—is located in the northwestern suburbs of Shenyang in Central Liaoning, the majority of the people in the Zhaohua tun Han banner population registers lived in North Liaoning. As table 5.1 shows, 63 percent of the observations record residence in Tieling in North Liaoning. The rest, 37 percent, lived in the suburbs of Shenyang. As regular bannermen, this population enjoyed some geographical mobility. As table 5.2 shows, during the period of 1774-1909, 13.8 percent of the individuals in the registers had lived in two regions in Liaoning.

Second, as a regular banner population, the adult males in the Zhaohua tun Han banner population registers also enjoyed opportunities to hold non-farming positions with state provided salaries. As table 5.3 shows, 3.24 percent of the observations for adult males between 18 and 60 sui had a salaried non-farming position, 0.73 percent had an artisan’s position, and 2.2 percent had a soldier’s position. The percentages of adult male non-farming state positions are higher than many other administrative populations in the CMGPD-LN dataset. However, unlike the Guosan tun and Daxing tun Han banner populations, where the adult males with salaried positions were concentrated among those living in Central Liaoning, the adult males with salaried positions in the Zhaohua tun population were evenly distributed in both North and Central Liaoning.

Beginning in 1903, there was also an apparent major change in the registration of banner affiliation. Whereas before all household were said to live on banner land, some households no longer reported any banner affiliation to their address. By the 1906 register for the Zhaohua tun Han banner population, as many as 52 household groups no longer claimed to be living and farming banner land. This change in banner status was either the result of sloppy registration or reflected a real change in status, perhaps a presage of the upcoming Xinghai revolution (Enatsu 2004; Zheng 1981). In the same period, a household living in South Liaoning was also added to this set of registers.

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5.16. Diaopi tun Hanjun rending

The Diaopi tun Hanjun rending dataset was transcribed from the 30 volumes of Diaopi tun Hanjun rending hukou ce, or the Han banner population registers of Diaopi village, produced between 1768 and 1909. This dataset records 80,512 observations for 14,046 individuals from 21 villages in North and South-Central Liaondong. The registered population increased relatively rapidly during this period from 1,404 in 1768 to 3,016 in 1861. Although the population dropped in 1864 to 2,381, when the Imperial Household Agency reclassified a number of Diaopi households and registered them elsewhere, the population continued to grow far faster than other northern Liaodong populations reaching 4,378 in 1909.

Table 5.19 Characteristics of Diaopi tun Hanjun rending. Population status Normal bannermen Ethnicity Han, Manchu CMGPD-LN USER GUIDE

Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer No

Administrative Head of household authority group Military officials Yes Artisans No Civil officials No Number. of 0 honorific titles Participation in Yes state sponsored exams Geographic Moderate mobility Salaried position Moderate

The people in the Diaopi tun Han banner population registers had special duties in the Imperial Household Agency and many adult males are registered as tanners (piding), leather dyers (ranpi jiang), and hunters (shengding and dasheng ding), which means that while they lived and farmed state allocated land, they were obligated to provide special products to the Imperial Household Agency (Ding, Guo, Lee, and Campbell 2004). Hunters, for example, had an annual quota for each adult male of two wild boars and some venison, or alternatively an annual cash payment of 15 taels of silver.

This specialized product population was concentrated in North Liaoning. As table 5.1 shows, 99.89 percent of population observations were registered in North Liaodong, and only 0.11 percent were registered in South-Central Liaodong. Due to their nature as specialized duty bannermen, the people in the Diaopi tun Han banner population registers had very limited geographical and social mobility. As table 5.2 shows, only 11 individuals in this population were registered as having lived in two regions in Liaoning. They also had very limited access to non-farming positions with state provided salaries. As table 5.3 shows, throughout the entire period, only 0.74 percent of the observations for adult males between 18 and 60 sui had a salaried non-farming position, and no one had ever had an artisan’s position.

Although the Diaopi tun banner population register titles claim that the entire population is Hanjun or Han banner, a few Manchu households were also recorded. In each of the registers produced CMGPD-LN USER GUIDE

between 1777 and 1798, there were two households with the label of Manchu. While there were no Manchu household in the registers produced between 1801 and 1816, beginning in 1816 the number of households labeled Manchu increased to three. These households survived in the registers until 1858 and then disappear.

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5.17. Langjiabao Weijia tun Tanggangzi Haizhou Yuezhou Hanjun rending

The Langjiabao Weijia tun Tanggangzi Haizhou Yuezhou Hanjun rending dataset was transcribed from the 25 volumes of Langjiabao Weijia tun Tanggangzi Haizhou Yuezhou Hanjun rending hukou ce, or the register of the Han banner population of Langjiabao Weijia tun Tanggangzi Haizhou Yuezhou, produced between 1756 and 1909. This dataset in total provides 47,331 observations for 9,092 individuals from 27 villages registered largely in South-Central, and Central Liaodong. Population growth rates were among the highest in the CMGPD-LN such that the registered population quintupled from 713 in 1756 to 3,496 in 1909.

Table 5.20 Characteristics of Langjiabao Weijia tun Tanggangzi Haizhou Yuezhou Hanjun rending. Population status Normal bannermen Ethnicity Han CMGPD-LN USER GUIDE

Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer No

Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials No Number of 19 honorific titles Participation in Yes state sponsored exams Geographic High mobility Salaried position Moderate

As the large number of place names in the title dataset 20 indicates, the geographical distribution of this population is unusually diverse and includes people registered in all four regions of Liaoning. Among the four regions, South-Central Liaoning had the largest population (66.48 percent of the observations), and North Liaoning had the smallest population (0.83 percent of the observations). The people in South-Central Liaoning mainly lived in Liaoyang and Niuzhuang. People living in Central Liaoning were principally distributed in the southern suburbs of Shenyang. In South Liaoning, people lived in Gaizhou and Yuezhou. And perhaps because of its geographic diversity, this population was also quite geographically mobile. As table 5.2 shows, about 8.3 percent of the individuals on this set of registers lived in two or more regions in Liaoning; a considerable number lived in three regions.

The majority of the Langjiabao Weijia tun Tanggangzi Haizhou Yuezhou Han banner population belonged to the category of regular bannermen. Only a small number of people living in Central and South-Central Liaoning appear to have had special duties and even to belong to banner estates; a few adult males living in Juliuhe in Central Liaoning had the title of cheng zhuangtou and chengding, and a few adult males living in Niuzhuang were annotated as wading, or adult males tile-makers. These proportions, however, were negligible.

Despite these exceptions, the Langjiabao Weijia tun Tanggangzi Haizhou Yuezhou Han banner population exhibit the characteristics of regular banner populations in terms of holding non-farming CMGPD-LN USER GUIDE

positions with state salaries. As table 5.3 shows, 1.38 percent of observation for adult males between 18 and 60 sui in this population had a salaried non-farming position, and 0.98 percent had a soldier’s position. However, the regional distribution of these salaried non-farming positions was extremely uneven. Almost all these positions belonged to the population living in Central Liaoning. Overall, 4.15 percent of the adult male observations in Central Liaoning recorded a salaried non-farming position. The adult males with a salaried non-farming position in the other three regions accounted for less than 1 percent of the adult males in their regions. CMGPD-LN USER GUIDE

5.18. Wangzhihui tun Hanjun rending

The Wangzhihui tun Hanjun rending dataset was transcribed from the 28 volumes of Wangzhihui tun Hanjun rending hukou ce, or the register of the Han banner population of Wangzhihui village, produced between 1765 and 1909. This dataset in total recorded 60,334 observations for 10,054 individuals from 44 villages in North, Central, and South-Central Liaoning. The registered population increased from 907 in 1765 to 2,765 in 1909.

Table 5.21 Characteristics of Wangzhihui tun Hanjun rending. Population status Normal bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer Wanghu da (for the portion of special duty banner population only) Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials No Number of 3 honorific titles Participation in Yes state sponsored exams Geographic High mobility Salaried position High

Although the Wangzhihui tun is located in a northern suburb of Shenyang, only 47.25 percent of the people in this dataset are recorded as living in Central Liaodong, 36.18 percent lived in North Liaodong, and 16.56 percent lived in South-Central Liaodong, with only a few observations in South Liaodong. 50 The people living in Central Liaodong were concentrated in the northern suburb of Shenyang and in the city, The people living in North Liaoning lived mainly in Tieling, and the people in South-Central Liaodong primarily lived in Liaoyang. This population also had considerable geographical mobility. As table 5.2 shows, about 10 percent of the individuals in this dataset are registered as having lived in two or more Liaodong regions.

Like its diverse geographical distribution, this population also consisted of a mixture of regular banner population and special duty banner population. The people who provided special service to the Imperial Household Agency were mainly fishermen and shepherds. Other than those living in such special duty communities, there were also a considerable number of observations for adult males (between 18 and 60 sui ) with salaried non-farming positions (3.83 percent, table 5.3). Moreover, there was also a considerable artisan population. These salaried non-farming positions were largely concentrated in Tieling in North Liaoning and in Shenyang in Central Liaoning. After decomposing the regional distribution of these positions, 3.77 percent of the adult males living in North Liaoning and 4.97 percent of the adult males living in Central Liaoning had a salaried non-farming position. These percentages were higher than many other regular banner populations.

50 4 observations in the 1765 register are from South Liaodong. CMGPD-LN USER GUIDE

5.19. Aerjishan

The Aerjishan dataset was transcribed from the 20 volume Aerjishan hukou ce, or the register of Aerjishan, produced between 1813 and 1909. This dataset in total provides 15,098 observations for 2,517 individuals from 14 villages in Central and South-Central Liaodong. The Aerjishan registers not only covered a relatively short period, but also include a small and unstable population. The period covered by the registers started with a population of 574 in 1813 and grew to 837 in 1873. After 1873, the population fluctuated between 600 and 800, ending at 755 in 1909.

Table 5.22 Characteristics of Aerjishan.

Population status Servile Ethnicity Han Organization Organized by patrilineal household group but without information on residential household Commander Guanling CMGPD-LN USER GUIDE

Overseer Zhuangtou

Administrative Zhuangtou authority Military officials No Artisans No Civil officials No Number of 0 honorific titles Participation in No state sponsored exams Geographic Very high mobility Salaried position No

Aerjishan probably refers to the second son of Songotu, and means the descendants of populations associated with this notorious traitor to the Kangxi emperor.51 While the precise institutional conditions of the ‘Aerjishan’ are still unclear to us, their many institutional differences from regular bannermen indicates that the Aerjishan banner population belonged to a category of estate state farm population of political exiles not unlike the Wuhu and Subai populations described later. Unlike the regular state farm banner populations, who were administered by a specific banner under the Imperial Household Agency,52 the Aerjishan banner population was administered by the Accounting Department (kuaiji si) which was in charge of the estate farms of the Imperial Household Agency. According to the population registers, the population was under the administration of an estate farm overseer (zhuangtou).

As table 5.1 shows, 53.7 percent of the observations for the Aerjishan population were of people living in Shenyang and Xingjing in Central Liaodong, and the other 46.3 percent lived near or in Liaoyang in South-Central Liaodong. Although the Imperial Household Agency did not allow people living on estate state farms to move, people in this dataset seem to circulate frequently between these two regions. As table 5.2 shows, about 23.2 percent of the individuals on the registers are registered as having lived in both Liaodong regions, which makes the Aerjishan about the most mobile of all CMGPD-LN populations.

51 According to Hummel 1943, Songotu (1636-1703) was a minister during the reign of the Kangxi Emperor. An uncle of the emperor's wife, Empress Xiaocheng of the Heseri clan, and the son of Sonin, one of the regents appointed to assist Emperor Kangxi during his minority, he was also the uncle of Yinreng, the crown prince. Songotu played a crucial role, described in Oxnam 1975, assisting Kangxi in deposing one of the other regents, Oboi. One of the most prominent officials under Kangxi, he was later found guilty of corruption, of treason and of an attempt to murder Emperor Kangxi and died in prison. 52 There were three banners—Bordered Yellow, Plain Yellow, and Plain White—under the Imperial Household Agency. CMGPD-LN USER GUIDE

As an estate banner population, the Aerjishan population had low socio-economic status. One indicator was its lack of access to salaried non-farming positions. As table 5.3 shows, throughout the entire period covered by the registers, no one in this population had ever held a non-farming position. Probably because of its low socio-economic status, the population was also far less completely recorded than regular banner populations. Girls below age 16 sui were particularly under enumerated with only 23 observations in the entire Aerjishan dataset.

Beginning in 1906, the format of registration in the Aerjishan population registers changed, which perhaps indicates a change in their population status. In the last two registers, produced in 1906 and 1909 respectively, any mention of the overseers disappears. Instead, the name of a specific banner appears as their administrative affiliation. At the same time, the term “Eight Banners” appears in their place of residence. This change is an interesting contrast to changes in other registers, since the term “Eight Banners” in many other banner population registers began to disappear during the same period.

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5.20. Haicheng Hanjun rending

The Haicheng Hanjun rending dataset was transcribed from the 26 volumes of Haicheng Hanjun rending hukou ce, or the register of the Han banner population of Haicheng, produced between 1759 and 1909. This dataset in total provides 119,186 observations for 20,032 individuals from 40 villages in North, Central, South-Central, and South Liaoding which makes the Haicheng Hanjun dataset the largest of the 29 administrative population datasets that comprise the CMGPD-LN. The registered population increased from 1,596 in 1759 to 8,950 in 1909.

Table 5.23 Characteristics of Haicheng Hanjun rending. Population status Normal bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer No

Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials Yes Number of 47 honorific titles Participation in Yes state sponsored exams Geographic Very high mobility Salaried position Moderate

Despite their large population size, the Haicheng Han banner population registers recorded very few daughters, especially at younger ages. For the age group 1-5 sui, while there were 6,488 registered boys, there were only 154 registered girls. This situation did not improve until the age group of 16-20 sui.

The Haicheng population were concentrated in Niuzhuang in South-Central Liaoning (77.55 percent of observations). Another 20 percent of the observations were for people who lived in Gaizhou in South Liaoning. Only a small proportion lived in North and Central Liaoning. The Haicheng Han banner population also had considerable geographical mobility. As table 5.2 shows, 12.5 percent of the individuals on the Haicheng registers are registered as having lived in two or more regions in Liaoning.

The Haicheng Han banner population was categorized as a regular banner population. While only 0.5 percent of the adult males between age 18 and 60 sui attained a non-farming position with state salary (table 5.3), several of these position holders were reported to be Imperial Household Agency ‘merchants’ (maimairen) who could be quite wealthy. As a result, many people in this set of registers had honorific titles, either purchased or awarded by the state, or titles acquired through state organized exams. The number of titles indicates that these families in the Haicheng Han banner population were perhaps among the wealthiest in the 29 administrative populations that comprise the CMGPD-LN.

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5.21. Wangduoluoshu Manzhou shengding

The Wangduoluoshu Manzhou shengding dataset was transcribed from the 9 volumes of Wangduoluoshu Manzhou shengding hukou ce, or the register of the Manchu banner hunting population of Wangduoluoshu, produced between 1864 and 1909. This dataset in total provides 9,494 observations of information for 2,300 individuals from 10 villages in North and South-Central Liaoning. The registered population increased from 815 in 1864 to 1,252 in 1909. This set of registers almost completely omits daughters; only two observations of girls below age 16 sui appear in the registers.

Table 5.24 Characteristics of Wangduoluoshu Manzhou shengding rending. Population status Normal bannermen Ethnicity Manchu Organization Organized by residential household (linghu) and patrilineal household groups (yihu CMGPD-LN USER GUIDE

or zu)

Commander Zuoling Overseer Zhuxian da

Administrative Head of household authority group Military officials No Artisans No Civil officials No Number of 0 honorific titles Participation in Yes state sponsored exams Geographic Low mobility Salaried position Moderate

The Wangduoluoshu Manzhou shengding dataset stands out among the 29 administrative populations for its ethnic composition. While most banner populations under the Imperial Household Agency consisted of Han banner population, the Wangduoluoshu shengding consisted exclusively of Manchus, far more than in Bkeshu or Gaizhou. This is one of the four populations in the CMGPD-LN dataset to include Manchu bannermen.

Moreover, as the title indicates, the Wangduoluoshu Manzhou shengding were categorized as a special duty banner population. While living on state allocated land, their major duty was to provide venison to the Imperial Household Agency. Each year each hunting adult male (shengding) needed to provide 2 wild boars and 90 ba of venison to the Imperial Household Agency. Alternatively in lieu of the meat quota ‘hunters’ could pay 15 taels of silver annually.

As a special duty banner population, the Wangduoluoshu Manzhou shengding had no geographical mobility. As table 5.1 shows, this population lived almost exclusively in Kaiyuan in North Liaoning (99.48 percent of observations), and only a small number of households lived in Liaoyang in South-Central Liaoning. Moreover, throughout the 45 years covered by the registers, only 4 individuals lived in two regions in Liaoning (table 5.2).

Despite their status as special duty bannermen, adult males in the Wangduoluoshu Manzhou shengding still enjoyed some social mobility in terms of acquiring salaried non-farming positions. As table 5.3 shows, observations for 1.23 percent of the males between 18 and 60 sui had a non-farming position with state salary. These non-farming positions were mainly soldiers. CMGPD-LN USER GUIDE

5.22. Wangduoluoshu Manzhou rending

The Wangduoluoshu Manzhou rending dataset was transcribed from the 20 volumes of Wangduoluoshu Manzhou rending hukou ce, or the register of the Manchu banner population of Wangduoluoshu, produced between 1792 and 1909. This dataset in total provides 23,233 observations for 4,899 individuals. The registered population increased from 703 in 1792 to 1,439 in 1909.

The village recorded in the registers, Wangduoloushu, appears to have been in what is now Kaiyuan in North Liaodong. We have not located a contemporary village by that name, but documents indicate that what is now Qinghetun was the historical Wangduoluoshu, or contains its descendants. There is a large reservoir in the area and we suspect that the original Wangduoluoshu was submerged and its population relocated to Qinghetun.

Table 5.25 Characteristics of Wangduoluoshu Manzhou rending. Population status Normal bannermen Ethnicity Manchu CMGPD-LN USER GUIDE

Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer No

Administrative Head of household authority group Military officials Yes Artisans No Civil officials No Number of 0 honorific titles Participation in No state sponsored exams Geographic Low mobility Salaried position High

Since only 20 registers were preserved for the 117-year period, some relatively large gaps between registers have also made data linkage difficult. One of the largest is between 1882 and 1903. As a result of this 21-year gap many individuals in the earlier registers have incomplete life histories in the dataset.

Although the Wangduoluoshu Manzhou rending population had the same ethnic composition as the Wangduoluoshu Manzhou shengding, and are 100 percent Manchu, they had different social economic status. The Wangduoluoshu Manzhou rending had a relatively higher status, while the shengding, as special service population, had a lower status. This differential in status can be identified from the quality of the records of daughters, composition of population category, and their occupational mobility.

First, in contrast to the poor record of daughters in the Wangduoluoshu Manzhou shengding population registers, the Wangduoluoshu Manzhou rending registers had very good records of girls below age 16 sui. The sex ratio for the age group 1-5 sui for this population was 275:100, which was much lower than those of the other populations. Indeed, only the Chengnei Han banner population in the CMGPD-LN had a lower sex ratio. This indicates that the Wangduoluoshu Manzhou rending were more likely to register their daughters, presumably because females were higher status in Manchu than in Han populations, and because as higher status Manchus their daughters were especially eligible to be seconded to Beijing and Shenyang and become Palace women.

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Second, the population composition and their occupational opportunity also substantiated the higher status of the Wangduoluoshu Manzhou rending over the Wangduoluoshu Manzhou shengding populations. The Wangduoluoshu Manzhou rending were a mix of regular state farm and special product state farm banner populations. The majority of the population lived on regular state farms. However, beginning in 1825, some hunting adult males, dasheng ding or shengding, appeared in the registers. In some later registers, shepherd families, muding, also emerged. At the same time, this population also enjoyed considerable opportunity for salaried non-farming positions, with 2.80 percent of observations for males between 18 and 60 sui indicating a salaried non-farming position, mostly soldiers (table 5.23). In contrast, the other three populations that included Manchu - Gaizhou Man Han rending, Bakeshu Laogudong Man Han rending, Wangduoluoshu Manzhou shengding - had about 1.2 percent of adult male observations with state sponsored non-farming positions, just half the proportion of salaried positions in the Wangduoluoshu Manzhou rending. CMGPD-LN USER GUIDE

5.23. Waziyu Hanjun rending

The Waziyu Hanjun rending dataset was transcribed from the 27 volumes of Waziyu Hanjun rending hukou ce, or the register of the Han banner population of Waziyu, produced between 1768 and 1909. This dataset in total provides 75,042 observations of information for 12,884 individuals from 58 villages in North, Central, South-Central, and South Liaodong. The registered population increased from 1,569 in 1768 to 3,319 in 1909.

Table 5.26 Characteristics of Waziyu Hanjun rending. Population status Normal bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer No

Administrative Head of household authority group Military officials Yes Artisans Yes Civil officials No Number of 23 honorific titles Participation in Yes state sponsored exams Geographic Very high mobility Salaried position Very high

While the majority of the Waziyu Han banner population lived in Central Liaoning, their geographical distribution is rather dispersed. As table 5.1 shows, about 80 percent of the population observations were from the villages around Shenyang, which belonged to Central Liaoning, and the other 20 percent were scattered over the other three regions. Given this geographical distribution, the population also enjoyed considerable geographical mobility. As table 5.2 shows, 15.14 percent of the individuals on the Waziyu Han banner population registers had lived in two or more regions in Liaoning.

The Waziyu Han banner population was also a mix of people living on regular banner farms and those living in special duty banner communities. The specialized occupations of these special duty bannermen included fishing (yuding), shepherding (muzhang or muding), and cotton growing (mianding). Moreover, several households in this set of registers also worked as servants in the mansion of princes.53 Other than these special service populations, the adult males in the Waziyu Han banner population also enjoyed considerable opportunity for salaried non-farming positions. As table 5.3 shows, 5.36 percent of observations for males between 18 and 60 sui record a salaried non-farming position. After decomposing these positions by geographical regions, we find that 5 percent or more adult males from North, Central, and South Liaodong recorded a non-farming position. However, the artisans who accounted for 0.76 percent of adult male observations were concentrated in North and Central Liaoning.

Like many other administrative population registers, the Waziyu Han banner population register also saw changes in the format of registration in 1903. In the register produced that year, many new village names appeared in the registers. This change in the recorded places of residence created difficulty in data linkage, leaving some individuals in the previous register with incomplete life histories.

53 These households appeared in the registers produced in 1780 and 1825. CMGPD-LN USER GUIDE

The emergence of the many new village names is probably related to the institutional change in the Eight Banners in the last decade of the Qing dynasty (Zheng 1981).

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5.24. Wuhu Hanjun rending

The Wuhu Hanjun rending dataset was transcribed from the 27 volumes of Wuhu Hanjun rending hukou ce, or the register of the Han banner population of the five households. The five households refer to the five exiled noble families—Akina, Seshe, Yun’e, Sunu, Leshixin—who were persecuted in the political struggle with Yinzhen or the Yongzheng emperor (1723-1735) over the throne.54 This set of registers was produced between 1789 and 1909. It in total provides 44,790 observations for 7,687 individuals from 62 villages in North, Central, and South-Central Liaodong. The registered population was 1,130 in 1789, was stable at between 1,200 and 1,300 until 1852 and then increased to 3,030 in 1909.

54 Among the five nobles, Akina or Yunsi was the eighth son of the Kangxi emperor (1662-1722). After the death of the Kangxi emperor, Akina became a rival of Yinzhen for the throne. He managed to form a faction in the court, which included Saisihei or Yuntang, the ninth son of the Kangxi emperor, Yun’e, the tenth son of the Kangxi emperor, Sunu, the great great grandson of Nurhachi, and Leshixin, Sunu’s son. Together they openly opposed the enthronement of Yinzhen. After his enthronement, Yinzhen or the Yongzheng emperor, gradually reduced the power and noble titles of these five nobles and confiscated their properties, including their Liaodong estates, which in 1726 were placed under the Plain Yellow banner of the Shengjing Imperial Household Agency. CMGPD-LN USER GUIDE

Table 5.27 Characteristics of Wuhu Hanjun rending. Population status Normal bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer No

Administrative Head of household authority group Military officials No Artisans No Civil officials No CMGPD-LN USER GUIDE

Number of 0 honorific titles Participation in Yes state sponsored exams Geographic Very high mobility Salaried position Moderate

The geographical distribution of the Wuhu Han banner population is dispersed. In addition to the four major sites of residence—Shenyang in Central Liaodong, and Liaoyang, Guangning and Niuzhuang in South-Central Liaodong—this population also resided in Kaiyuan and Tieling in North Liaodong and other places in Central and South-Central Liaodong. As table 5.1 shows, about 50 percent of the population registration records indicated residence in South-Central Liaodong, 24 percent in North Liaodong, and another 25 percent in Central Liaodong. Due to this scattered geographical distribution, the Wuhu Han banner population had considerable geographical mobility. As table 5.2 shows, 16.64 percent of the individuals on the registers are registered as having lived in two or more regions in Liaodong.

Although the Wuhu Han banner population consisted of confiscated estate workers of exiled nobles, they still belonged to the category of regular bannermen. The Wuhu population was under the administration of the Plain Yellow banner and the household were under the authority of a household group head which is a benchmark of regular bannermen status as opposed to servile status.

The occupational profile of the Wuhu population also reflects the Qing government’s differential treatment of political exiles. Like the Subaigong rending in dataset 26, the Wuhu were able to attain some salaried non-farming positions. As table 5.3 shows, 1.22 percent of the records for males between 18 and 60 sui listed a salaried non-farming position, mainly local level Tax Preceptors (lingcui). This is quite different from the situation of the Aerjishan population, in which no one had a salaried non- farming position. However, as with the Subaigong rending, no Wuhu ever became artisan or soldier which for most regular bannermen comprised the majority of non-farming positions. Neither servile nor regular fully privileged bannermen, the Wuhu reflect the diverse nature of banner estate populations. CMGPD-LN USER GUIDE

5.25. Mianhua yandian zhuangtou zhuangding

The Mianhua yandian zhuangtou zhuangding population includes people living in several special duty populations: cotton pickers, salt makers, and dyers. The dataset was transcribed from the 29 volumes of Mianhua yandian zhuangtou zhuangding hukou ce, or the register of the estate farm overseers and adult males of cotton, salt, and dying, produced between 1756 and 1909. This dataset in total provides 76,738 observations of information for 13,404 individuals from 83 villages in North, Central, South-Central, and South Liaodong.

Table 5.28 Characteristics of Mianhua yandian zhuangtou. Population status Normal bannermen Ethnicity Han, Korean, Korean- Manchu Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling CMGPD-LN USER GUIDE

Overseer Zhuangtou

Administrative Head of household authority group Military officials No Artisans No Civil officials No Number of 3 honorific titles Participation in Yes state sponsored exams Geographic Very high mobility Salaried position Low

While the geographical distribution of this population was dispersed, residence was concentrated according to specialization. Most of the cotton pickers lived in Niuzhuang in South-Central Liaodong and Gaizhou in South Liaodong. The salt makers lived in Niuzhuang in South-Central Liaodong, which is on the coast and suitable for salt making. The dyers lived in Shenyang in Central Liaodong and Tieling in North Liaodong. As table 5.1 shows, 12.2 percent of the records were for people living in North Liaodong, 10.6 percent for those living in Central Liaodong, 42.7 percent were registered as living in South-Central Liaodong, and 34.6 percent were registered as living in South Liaodong.

During the entire time period, the registration of the Mianhua yandian zhuangtou zhuangding underwent changes which affected the registered population size. The population was 2,170 in 1756 and increased to 2,854 in 1855. In 1867 the administration removed part of the population and registered those people on a separate Mianhua yandian xiaomen rending hukou ce, or register of ‘small households’ (xiaomen) of cotton pickers, salt makers, and dyers.55 The reason for such recategorization may have been to remove those households whose bonded nature was especially low, since ‘small household’ or xiaomen literally means low status households. Thereby, the registered population dropped to 1,851 in 1867. In 1873, all the state farms specializing in dying were removed from the register. This removal, however, did not permanently decrease the registered population size, and by 1909, the population increased to 4,067. Probably because of its scattered geographical distribution and the changes in administration, this population had considerable geographical mobility. As table 5.2 shows, 14 percent of the individuals in this dataset were registered as having lived in two or more Liaodong regions.

55 These separate registers became the twenty-ninth population dataset in the CMGPD-LN data. We will describe this population separately. CMGPD-LN USER GUIDE

Due to their status as special duty bannermen, the adult males in these registers had very limited occupational mobility, reflected in salaried non-farming positions. As table 5.3 shows, only 53 observations (0.2 percent) of males between age 18 and 60 sui had a salaried non-farming position. No one from this population ever became either an artisan or a soldier.

Interestingly, this population had a diverse ethnic composition. Other than the Han banner families, there were also Gaoli or Korean and Gaoli Manzhou or Korean-Manchu households. The Korean population was relatively small from the outset and declined over time. There were five households in 1756, 3 in 1768 and just 1 by 1909 categorized as Gaoli. In the late nineteenth century, however, as in the Gaizhou Man Han rending (dataset 8), the number of Gaoli Manzhou households increased significantly. Although before 1864 there was only one household registered as Gaoli Manzhou, in 1867, 46 more households of Gaoli Manzhou joined this population register, and remained here until 1903, when the number of Gaoli Manzhou households dropped to 18. In 1909, there were still 15 Gaoli Manzhou households. CMGPD-LN USER GUIDE

5.26. Subaigong rending

The Subaigong rending dataset was transcribed from the 10 volumes of Subaigong rending hukou ce, or the population register of Subaigong, produced between 1864 and 1909. This is a special service population; the major occupation of the adult males in this register was tomb caretaker (fending). In all the registers, except the one produced in 1864, all the villages had the annotation of “Subaigong fen suoshu getun,” or the villages administered by the tomb of Subai. This population is probably the tomb caretakers of the Qing noble Subai, a Manchu general in the founding stage of the Qing.56

Table 5.29 Characteristics of Subaigong rending. Population status Dependent bannermen (before 1830) Normal bannermen (after 1830)

56 Subai’s father was one of the early companions of Nurhachi, the founding emperor of the Manchu state and Qing. Both Subai and his elder brother Wubai became important generals of the Manchu army and helped in the conquest of China Proper including the defeat of Wu Sangui. In return, Subai received a noble title equivalent to viscount. CMGPD-LN USER GUIDE

Ethnicity Mongol Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer No

Administrative Head of household authority group Military officials No Artisans No Civil officials No Number of 0 honorific titles Participation in No state sponsored exams Geographic Very high mobility Salaried position Low

This dataset not only covers a relatively short period, but also has a small number of people, with a total of 4,162 observations for 879 individuals from 4 villages in North, Central, and South-Central Liaodong. The registered population increased from 336 in 1864 to 453 in 1909. The Subaigong population register had significant omission of daughters. In the entire period, there were only 22 observations of girls below age 16 sui.

According to a note on the title page of the 1864 register reproduced as Figure 5.1, the people in the Subaigong rending register were Mongol regular bannermen (zhengshen Menggu). However, their regular bannermen status origins were only verified, or chaming genji, in 1830, which indicates that prior to 1830 their status was in question. Moreover, this note also states that the adult males in this population did not formally acquire the opportunity to sit for state-sponsored exams until 1860. Even after this promotion in status, their occupational mobility was restricted, as they were still prohibited from serving as officials or soldiers.57 The recorded population status of the Subaigong rending suggests

57 The full text of the note reads as follows: “Adult males of this population do not pay poll tax and corvee labor. In 1830, it was verified that their origins belong to Mongol regular bannermen. In 1861, after formally petitioning the central CMGPD-LN USER GUIDE

that the status of the special duty banner population was promoted in the nineteenth century but was still differentiated from regular banner population.

The occupational profile of this population also supports an interpretation of low occupational mobility; they had no access to non-farming positions with state salary. As table 5.3 shows, only 3 male observations between 18 and 60 sui had a salaried non-farming position, and not a single person was ever recorded as an artisan or a soldier.

Due to their duty as tomb caretakers, the majority of the population lived near Shenyang, where Subai’s tomb was most likely located. As table 5.1 shows, 65.6 percent of the population observations indicated residence in Shenyang in Central Liaodong, 13.4 percent in North Liaodong, and about 21 percent in South-Central Liaodong. This population also enjoyed great geographical mobility. As table 5.2 shows, during the 45-year period, 16 percent of the individuals on the register had lived in two regions in Liaodong.

Moreover, the Subaigong rending is also the only Mongol population we have found in the population registers under the Imperial Household Agency to date.

government, they were permitted to sit in state-sponsored exams, but were still not allowed to enter government as officials and/or soldiers.” (The 1864 Subaigong rending hukou ce, Liaoning Provincial Archive Register 1758; Utah Genealogical Society Catalogue microfilm: 4128830_00658). CMGPD-LN USER GUIDE

Figure 5.1 Title page of the 1864 Subaigong rending hukou ce register.

CMGPD-LN USER GUIDE

5.27. Kaidang

The Kaidang dataset was transcribed from the 12 volumes of Kaidang hukou ce, literally the register of the newly registered population, produced between 1810 and 1909. ‘Kaidang’ is a special term in the Eight Banners to refer to ‘newly registered’ special dependent populations who were similar to such population categories as toucong or ‘surrendered’ populations and baoyang or ‘fostered’ populations, and at times these three registration categories were concatenated . As dependent populations, the people on the Kaidang registers had low social economic status. This dataset in total provides 8,835 observations for 2,717 individuals from 14 villages in North, Central, and South-Central Liaodong.

Table 5.30 Characteristics of Kaidang population. Population status Dependent bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu CMGPD-LN USER GUIDE

or zu)

Commander Zuoling Overseer Wopengtou (for part of the population) Administrative Head of household authority group Military officials No Artisans Yes Civil officials No Number of 0 honorific titles Participation in No state sponsored exams Geographic High mobility Salaried position Moderate

The population composition of the Kaidang changed abruptly in the early twentieth century, resulting in changes in geographical distribution and size. The population size was 628 in 1810, and the majority lived in and around Shenyang in Central Liaodong. Only about 25 percent of the observations were from North and South-Central Liaodong. The population remained at the same level until 612 new individuals in North Liaodong joined this population in 1903, shifting the residential focus to North Liaodong. This trend continued in 1906; in that year, another 355 individuals in North Liaodong joined this population register, increasing the population to 1,018. The population in the 1909 register was 1,193.

The moderate geographical mobility of the Kaidang population indicates that the change in geographical distribution was not a result of migration but simply a consequence of changes in people registered. As table 5.2 shows, only 8.6 percent of the individuals on this register had lived in two regions in Liaodong.

As members of a special dependent population, the adult males in the Kaidang registers had limited opportunities to hold salaried non-farming positions. As table 5.3 shows, only 39 male observations between 18 and 60 sui had a salaried non-farming position; in each year, only 3 to 8 adult males had such position. Moreover, none of these positions were as soldiers or officials. Instead, all of them were artisan positions, and they all concentrated in Central Liaodong. In addition, in the Kaidang population, some were assigned to provide special services for Imperial Household Agency,, primarily picking cotton and collecting honey.

CMGPD-LN USER GUIDE

5.28. Kaidang toucong baoyang rending

The Kaidang toucong baoyang dataset was transcribed from the 25 volumes of Kaidang toucong baoyang rending hukou ce, or the register of kaidang, toucong (surrendered), and baoyang (adopted) populations, produced between 1792 and 1909. The dataset in total provides 30,137 observations for 5,087 individuals from 49 villages in North, Central, South-Central, and South Liaodong.

Table 5.31 Characteristics of Kaidang toucong baoyang population. Population status Dependent bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) Commander Zuoling Overseer Zhuangtou (for part of the population) CMGPD-LN USER GUIDE

Administrative Head of household authority group Military officials No Artisans No Civil officials No Number of 0 honorific titles Participation in No state sponsored exams Geographic Very high mobility Salaried position Low

Like the Kaidang registers, the Kaidang toucong baoyang population registers were also created for special dependent populations who had lower status. Before 1864, this set of registers consisted of two groups, the Kaidang toucong baoyang population in each village and the population living in villages administered by Subai’s tomb. In 1864, all the people registered under Subai’s tomb were removed from this register and were registered on a separate Subaigong rending hukou ce. The inclusion of the population administered by Subai’s tomb demonstrates that for a long time the Subaigong population was considered to have lower status.

Changes in the groups registered also affected the number of people covered by the register. The 1792 register contained 1,090 persons, which increased to 1,205 in 1861. After the removal of the Subai population, the population dropped to 887 in 1864. Then the population gradually increased to 1,659 in 1909. Moreover, the people on the Kaidang toucong baoyang registers had a wide geographical distribution. As table 5.1 shows, 33.4 percent of the observations were from North Liaodong, 15.7 percent from Central Liaodong, 33.7 percent from South-Central Liaodong, and another 17.2 from South Liaodong.

The occupational profile also indicated the lower status of this dependent population. In this population, only one family had a salaried non-farming position, the lowly position of Tax Preceptor (lingcui). The rest of the population included cotton-pickers, salt-makers, tomb caretakers, and regular adult males (zhuangding). Along with the categories of special service these people provided, there were also overseers (zhuangtou) supervising their labor service.

Despite their lower status, this population had considerable geographical mobility. As table 5.2 shows, more than 16 percent of the individuals on the Kaidang toucong baoyang registers had lived in two or more regions in Liaodong. This geographical mobility is higher than most of the regular bannermen. CMGPD-LN USER GUIDE

5.29. Mianhua yandian xiaomen rending

The Mianhua yandian xiaomen rending dataset was transcribed from the 10 volumes of Mianhua yandian xiaomen rending hukouce, or the small household population register of the estate farms of cotton, salt, and dye, produced between 1861 and 1909. This set of registers is a subset of dataset 25, the Mianhua yandian zhuangtou zhuangding register. Originally the records of this population were part of the Mianhua yandian zhuangtou zhuangding register. In 1861, the Imperial Household Agency recategorized these households as xiaomen, literally low status, and registered them separately in this xiaomen register.

Table 5.32 Characteristics of Kaidang toucong baoyang population. Population status Dependent bannermen Ethnicity Han Organization Organized by residential household (linghu) and patrilineal household groups (yihu or zu) CMGPD-LN USER GUIDE

Commander Zuoling Overseer Zhuangtou (for part of the population) Administrative Head of household authority group Military officials No Artisans No Civil officials No Number of 2 honorific titles Participation in Yes state sponsored exams Geographic Very high mobility Salaried position No

The dataset in total provides 25,900 observations for 5,277 individuals from 44 villages in North, Central, South-Central, and South Liaodong. Of the 5,277 individuals, 1,266 had records in both datasets 25 and 29. We linked the records for these 1,266 individuals from the xiaomen register to their records in the original Mianhua yandian zhuangtou zhuangding register. Across both registers the xiaomen population increased from 1,488 in 1861 to 3,871 in 1909.

Like the Mianhua yandian zhuangtou zhuangding population and other dependent populations, the xiaomen population also had a wide geographical distribution. As table 5.1 shows, the majority of the observations were of people living in Niuzhuang in South-Central Liaodong or Gaizhou in South Liaodong (43.5 and 42.7 percent, respectively). In addition, 7.4 percent were in North Liaodong, and 6.3 percent were in Shenyang in Central Liaodong. Similar to the Mianhua yandian zhuangtou population, the xiaomen population also had considerable geographical mobility. As table 5.2 shows, 14 percent of the individuals in this set of registers had lived in two regions in Liaodong.

The occupational profile of the xiaomen population also resembled the Mianhua yandian zhuangtou population, or reflected even lower status. The xiaomen population had no opportunity to obtain salaried non-farming positions. As table 5.3 shows, not a single person in the xiaomen population register ever had a salaried position. Instead, this population consisted of people providing special service to the Imperial Household Agency: cotton-pickers, salt-makers, and dyers.

However, the omission of daughters is much severe in the xiaomen population than in the Mianhua yandian zhuangtou zhuangding population. While the 668:100 sex ratio for age 1-15 sui in the Mianhua yandian zhuangtou zhuangding population was quite high, the sex ratio for the Mianhua yandian zhuangtou zhuangding dataset was incalculable for practical purposes since the xiaomen CMGPD-LN USER GUIDE

population registers rarely recorded daughters at all. In the entire period covered by the xiaomen population registers, there were only 23 records of daughters.

CMGPD-LN USER GUIDE

Appendix A. The CMGPD-LN Population Names in Pinyin and in Chinese Characters

Pinyin Chinese Characters Dataset

1 Daoyi tun hukou ce - Hanjun rending hukou ce 道义屯户口册-汉军人丁户口册

2 Gaizhou hukou ce - Hanjun rending hukou ce 盖州户口册-汉军人丁户口册

3 Dami hukou ce - Hanjun rending hukou ce 打蜜户口册-汉军人丁户口册

4 Chengnei hukou ce - Hanjun rending hukou ce 城内户口册-汉军人丁户口册

5 Gaizhou mianding hukou ce - Hanjun mianding - hukou ce 盖州棉丁户口册 汉军人丁户口册 6 Niuzhuang Liuerbao Lamayuan rending hukouce - - Hanjun rending hukou ce -Hanjun yuding hukou ce 牛庄刘二堡喇嘛园人丁户口册 汉军 人丁户口册-汉军鱼丁户口册

7 Feidi Yimiancheng rending hukou ce – Hanjun - rending hukou ce 肥地一面城人丁户口册 汉军人丁户 口册

8 Gaizhou rending hukou ce – Man Han rending hukou - ce 盖州人丁户口册 满汉人丁户口册 9 Dadianzi hukou ce - Hanjun rending hukou ce 大甸子户口册-汉军人丁户口册

10 Guosan tun rending hukou ce - Hanjun rending - hukou ce 郭三屯人丁户口册 汉军人丁户口册 11 Bakeshu Laogudong rending hukou ce – Man Han - rending hukou ce 八棵树老古洞人丁户口册 满汉人丁 户口册

12 Daxin tun rending hukou ce - Hanjun rending hukou - ce 大辛屯人丁户口册 汉军人丁户口册 13 Nianma Daihaizhai rending hukou ce – Hanjun 年马岱海寨人丁户口册-汉军人丁户 CMGPD-LN USER GUIDE

rending hukou ce 口册

14 Changzhaizi hukou ce - Hanjun rending hukou ce 长寨子户口册 - 汉军人丁户口册

15 Zhaohua tun rending hukou ce - Hanjun rending - hukou ce 照化屯人丁户口册 汉军人丁户口册 16 Diaopi tun rending hukou ce - Hanjun rending hukou - ce 貂皮屯人丁户口册 汉军人丁户口 册

17 Langjiabao Weijia tun Tanggangzi Haizhou Yuezhou

rending hukou ce – Hanjun rending hukou ce 郎家堡魏家屯汤岗子海州岳州人丁 户口册 -- 汉军人丁户口册

18 Wangzhihui tun rending hukou ce - Hanjun rending -- hukou ce 王指挥屯人丁户口册 汉军人丁户 口册

19 Aerjishan hukou ce 阿尔吉善户口册

20 Haizhou hukou ce – Haicheng Hanjun rending hukou - ce 海州户口册 海城汉军人丁户口册 21 Wangduoluoshu Manzhou shengding hukou ce 王多罗树满洲牲丁户口册

22 Wangduoluoshu Manzhou rending hukou ce 王多罗树满洲人丁户口册

23 Waziyu rending hukou ce - Hanjun rending hukou ce 瓦子峪人丁户口册--汉军人丁户口册

24 Wuhu rending hukou ce - Hanjun rending hukou ce 五户人丁户口册 -- 汉军人丁户口册

25 Mianhua yandian rending hukou ce [zuoling name] — zuoling xia mianhua yandian zhuangtou zhuangding 棉花盐靛人丁户口册 佐领下盐靛 hukou ce 庄头壮丁户口册

26 Subaigong rending hukou ce 苏拜公人丁户口册 CMGPD-LN USER GUIDE

27 Kaidang hukou ce 开档户口册

28 Kaidang toucong baoyang rending hukou ce 开档投从抱养人丁户口册

29 Mianhua yandian xiaomen rending hukou ce 棉花盐靛小门人丁户口册 CMGPD-LN USER GUIDE

Appendix B. The Liaodong Population and Household Registers: An Analytic List (CMPGD-LN Populations Identified in Boldface)

4,000 household and population registers survive in the archives of the Shengjing Imperial Household Agency, half more or less complete and half damaged. These registers are physically stored in the Liaoning Provincial Archives in Shenyang. Many of the complete registers are available on film through the Genealogical Society of Utah and its worldwide branch libraries. This appendix is an analytic summary and categorization of these physical and filmed registers based on a partial catalog compiled in 1958 of 500 physical registers then available at the Liaoning Provincial Archives,58 on a more complete catalog of 2200 filmed registers currently available from the Genealogical Society of Utah,59 and on our own study of 732 of these filmed registers as well as the 300 physical reels of microfilm we obtained from the Genealogical Society of Utah to create the CMGPD-LN.60 Virtually all these registers date from the century and a half between 1750 and 1910 and are written in Han Chinese.

I. Regular Banner Household registers Volumes Bakeshu laogudong rending hukou ce - Man Han rending hukou ce 31 vols.61 Changzhaizi Hukou ce - Hanjun rending hukou ce 25 vols. Chen qianhutun hukou ce 12 vols. Chengnei hukou ce – rending hukou ce 15 vols.

58 This catalog of household and population registers stored in the Liaoning Provincial Archives is preserved in volume 12 of the Manzu lishi shehui diaocha ziliao field notebooks currently stored at the Central Minority University in Beijing. We thank Yizhuang Ding for allowing us to review the contents in Beijing in 1999. While the holdings described in the catalog are very incomplete compared to the far richer holdings filmed by the Genealogical Society of Utah, they include over one hundred ‘complete’ registers as well as many ‘incomplete’ registers that are not in the Genealogical Society of Utah collection. 59 We compiled this catalog with the assistance of Tsay Sue Mei, using the film lists from the Liaoning Provincial Archives supplied to us by Mel Thatcher and Jeff Svare of the Genealogical Society of Utah and would like to thank them for their assistance. 60 Subsequent comparison by Sun Huicheng of the film lists to the actual film supplied by the Liaoning Provincial Archives to the Genealogical Society of Utah revealed that the lists are missing about one-tenth of the actual filmed material. We suspect that the purported film lists are based on an earlier archival accession list and are not an actual list of what was filmed by the Liaoning Provincial Archives for the Genealogical Society of Utah. We thank Huicheng here for completing this detailed comparison. 61 30 of these volumes are available through the Genealogical Society of Utah. The 31st is only available through the Liaoning Provincial Archives. CMGPD-LN USER GUIDE

Dadianzi hukou rending ce - Hanjun rending hukou ce 30 vols.62 Dasifashi hukou ce 8 vols. Daxintun hukou ce 1 vol. Daxintun rending hukou ce - Hanjun rending hukou ce 30 vols.63 Daoyitun rending hukou ce - Hanjun rending hukou ce 36 vols. Feidi Yimiancheng rending hukou ce - Hanjun rending hukou ce 39 vols. Fuguantun hukou ce - Hanjun rending hukou ce 23 vols.64 Gaizhou hukou ce - Hanjun rending hukou ce 30 vols.65 Gaizhou rending hukou ce - Man Han rending hukou ce 21 vols.66 Ganguantun hukou 11 vols.67 Gaojiawanzi hukou ce 13 vols.

Guosantun hukou ce - Hanjun rending hukou ce 33 vols. Haizhou hukou ce - Hai (zhou) cheng Hanjun rending hukou ce 25 vols. Hongling bao hukou ce - Hanjun rending hukou ce 14 vols. Huangjia tun hukou ce 1 vol. Huangniwa hukou ce 14 vols.68 Jingjiatai rendinghukou ce 1 vol. Lama rending Hukou ce 1 vol.

62 27 of these volumes are available through the Genealogical Society of Utah. The other three are only available through the Liaoning Provincial Archives. 63 27 of these volumes are available through the Genealogical Society of Utah. The other three are only available through the Liaoning Provincial Archives. 64 Includes 1 Fuguantun Hanjun rending huaming ce. 65 27 of these volumes are available through the Genealogical Society of Utah. The other three are only available through the Liaoning Provincial Archives. 66 20 of these volumes are available through the Genealogical Society of Utah. The other three are only available through the Liaoning Provincial Archives. 67 In addition, there are 2 other registers probably mistitled as Qianguantun hukou ce. 68 Includes 1 Huangniwa rending hukou ce. CMGPD-LN USER GUIDE

Lama yuan rending hukou ce 15 vols. Laishengbao hukou ce 3 vols.

Langjiabao Weijiatun Yangwangzi Haizhou Yuezhou Hanjun rending hukou ce - 26 vols. Hanjun rending hukou ce Lidarentun hukou ce - Hanjun rending hukou ce 22 vols. Ligangtun rending hukou ce - Hanjun rending hukou ce 19 vols. Liandaowan hukou ce 13 vols. Liaoyang hukou ce 1 vol. Linshengbao hukou ce 13 vols. Liuerbao hukou ce 4 vols. Liuerbao lamayuan hukou ce - rending hukou ce 3 vols. Liu Qianhutun hukou ce 9 vols. Magedan hukou ce - Hanjun rending hukou ce 14 vols. Mojiabao hukou ce - Hanjun rending hukou ce 35 sets69 Nianmadaihaizhai rending hukou ce - Hanjun rending hukou ce 32 vols. Nianmadaihaizhai miding ce 1 vol. Nianmazhou hukou ce 9 vols. Suhuzibao hukou ce- Hanjun rending hukou ce 16 vols. Wazigao/Wazigu hukou ce – Hanjun rending huaming ce 17 vols. Waziyu Hanjun hukouce – Hanjun rending hukou ce 29 vols. Wanggangbao Hukou ce - Hanjun rending hukou ce 20 vols.

Wangzhihuitun rending hukou ce - Hanjun rending hukou ce 27 vols. Wulukou hukou ce 12 vols Xu family hukou ce 14 vols70

69 Almost every set is a 2 volume shang-xia set. CMGPD-LN USER GUIDE

Zhangshitai hukou ce - Hanjun rending hukou ce 28 sets71 Zhaohuatun rending hukou ce - Hanjun rending hukou ce 26 vols.

70 These include 2 registers identified as Xu Hongxin hukou ce dated 1834 and 1837, 2 registers identified as Xu Zong hukou ce dated 1843 and 1846, 3 registers identified as Xu Tianshen hukou ce dated 1849, 1852, and 1855, and 7 registers identified as Xu Hui hanjun rending huou ce dated between 1873 and 1910. 71 Almost all of these sets are 2 vol shangxia sets. CMGPD-LN USER GUIDE

II. The Special Duty Banner Household Registers Volumes Dami buyu rending ce - zhuangding ce 22 vols. Dami hukou ce - Hanjun rending hukou ce 32 vols. Dami yangfeng deng rending ce 1 vols. Damu ranpi hukou ce 1 vols. Dayu Hanjun rending hukou ce 8 vols. Daxilinyu hukou ce - Hanjun rending hukou ce 21 vols. Ding yan xiaomen rending hukou ce 1 vols. Ding zhuangtou deng hukou ce - Hanjun rending hukou ce 22 vols.72 Diao pitun rending hukou ce -Hanjun piding hukou ce 31 vols. Gaizhou Mianding hukou ce 19 vols.73 Gaizhou Yanding hukou ce 8 vols. Jingxijia yinding hukou ce 11 vols. Kan bailama fen dayu deng hukou ce 1 vols. Kanfen dayu hukou ce 15 vols. Liaoyang dingding hukou ce 11 vols. Liaoyang mianding hukou ce 15 vols. Miding hukou ce 16 vols. Mianding hukou ce 2 vols. Mianhua yandian rending hukou ce - Hanjun rending hukou ce - Man Han 28 vols. rending hukou ce.

72 The first two vols in this series are also identified by the zhuangtou’s name - Zou Rongsheng 1771 and Cheng Shangji 1786. 73 17 of these volumes are available through the Genealogical Society of Utah. The other two are only available through the Liaoning Provincial Archives. CMGPD-LN USER GUIDE

Mianhua yandian xiaomen rending hukou ce 19 vols.74 Nianmadaihaizhai miding ce 1 vols.

Niuzhuang Liuerbao Hanjun yuding hukou ce - lamayuan rending hukou ce 27 vols.75 Ranpizi hukou ce - Hanjun rending hukou ce 21 vols. Renfang Hanjun mianding hukou ce 1 vols. Wangduoluoshu hukou ce – Manzhou muding hukou ce 22 vols Wazi mi rending 45 vols.76 Wuerzhanjia yinding hukou ce 15 vols. Yang fengzi hukou ce - Hanjun rending hukou ce 23 vols.

74 There are also 4 Mianhua yanding xiaomen zhuangding Man Han sandai ce that overlap with these household registers. 75 25 of these volumes are available through the Genealogical Society of Utah. The other two are only available through the Liaoning Provincial Archives. 76 This title does not appear in our records of the Utah holdings and is from the partial catalog completed in 1958 of 500 household and population registers then available at the Liaoning Provincial Archives. According to this catalog, the archives then had an almost complete recorded series of population registers for the Wazi bee-men with only 1 missing register over a one hundred and thirty year period between 1780 and 1910. However by 1982 when Lee began his investigation at the Liaoning Provincial Archives of these sorts of population records they had disappeared. Repeated attempts since to find this series from the Liaoning Provincial Archives have been unsuccessful. CMGPD-LN USER GUIDE

III. The Estate Banner Household Registers Volumes

Aerjishan hukou ce 18 vols. Subaigong rending hukou ce 10 vols. Wuhu rending hukou ce Hanjun rending hukou ce 27 vols.77 Luhongling Hanjun mianding Hukou ce - Hanjun rending hukou ce 8 vols. Lu Family hukou ce 12 vols78 Beilu zhuangtou deng hukou ce 15 vols. Daxiao Beilu zhuangtou hukou ce 2 vols Daxiao Nanlu zhuangtou hukou ce 1 vol Daxiao Xilu zhuangtou deng hukou ce 3 vols Getui zhuangtou Zhang qishiwu deng guahu ce 21vols Mianhua zhuangtou Li Guopei Hukou ce 1 vol Mianhua zhuangtou Lu Hongling hukou ce (see population five in this category) 1 vol Mianhua zhuangtou Lu Shiyuan hukou ce 1 vol Mianhua zhuangtou Ren Fang Hukou ce 1 vol Mianhua zhuangtou Zhao Jinhui hukou ce 1 vol Mianhua zhuangtou Zhou Yongzhi hukou ce 1 vol Nanlu zhuangtou deng hukou ce 19 vols Xiang huangqi yuantou Cui ? ? mingxia hukou ce 1 vol79

77 Wuhu is also a proper name. Moreover, there are also 5 sandai ce entitled Wuhu rending sandai ce or Wuhu Man Han sandai ce. 78 These include 1 register identified as Lu Kaiguang hukou ce dated 1840, 2 registers identified as Lu Hongquan hukou ce dated 1843 and 1849, and 9 registers identified as Lu Hongling hukou ce or Lu Honging hanjun rending hukou ce dated between 1864 and 1910. 79 Both this register and the following register do not appear in the Utah catalog, but are from the list of 500 household and population registers that were available from the Liaoning Provincial Archives in 1958. The Yuantou registers, unlike the CMGPD-LN USER GUIDE

Zheng huangqi yuantou Li xianggui mingxia hukou ce 1 vol Xilu zhuangtou deng hukou ce 19 vols Yan zhuangtou hukou ce - Hanjun rending hukou ce 18 vols. Zhuangtoudeng mingxia puren ce 9 vols

III.A. Other Servile Dependent Population Household Registers Volumes Getun suoshu kaidang toucong baoyang rending Man Han hukou ce 2 vols Guhu rending hukou ce 1 vol Guangning sanqi kaidang ce 2 vols80 Kaidang hukou ce 12 vols Kaidang toucong baoyang hukou ce 25 vols Kaidang toucong baoyang rending Man Han ce 15 vols Lingshang xiansan jiangyi mian ding yan zhuangren deng hukou ce 2 vols Lingji hukou ce - zhuangding deng Man Han ce 13 vols Nanlu kaidang hukou ce - rending hukou ce 24 vols Sanqi kaidang rending hukou ce 3 vols Sula Baxiang huaming ce 2 vols Xilu kaidang hukou ce - rending ce 20 vols

We also have identified some guanling xia household registers which may well also cover serf populations. These registers are usually accompanied by a variety of guanling xia population sandai ce as well.

other estate registers, are under the authority of the Zhangyi si, rather than a specific banner (Ding, Guo, Lee, and Campbell 2004). 80 Although the majority of Liaoning peasants initially lived in the Guangning area, very little documentation about them survives in the Liaoning population registers as they were under the authority of the Imperial Household Agency in Beijing. CMGPD-LN USER GUIDE

Fuling nei guanling xia rending hukou ce 1 vol Sanqi nei guanling xia hukou ce - rending hukou ce 2 vols xianghuangqi nei guanling xia hukou ce 1 vol Zhengbaiqi nei guanling xia rending hukou ce 2 vols

CMGPD-LN USER GUIDE

IV. Military and Official Household Registers Volumes Baqi rending hukou ce 1 vol Guanbing hukou ce 1 vol Guangning xiang huangqi (zheng baiqi) huou ce 5 vols Jinzhou xiang huangqi Wanganguang zuoling xia hukou ce 1 vol Jing niulu hukou ce - Man Han rending hukou ce 24 vols Neiwufu hukou ce 30 vols. Tieling zhengbai qi hukou ce 1 vol xiang baiqi hukou ce 1 vol xiang hongqi hukou ce 1 vol Xiongyan cheng bowang shuangchengpu ge qiding hukou ce 1 vol Yuanding hukou ce 2 vols. Zheng baiqi jie hukou ce 1 vol Zheng baiqi qianzong name mingxia hukouce 6 vols Zheng baiqi jie yuantou name mingxia hukou ce 6 vols Zheng huangqi hukou ce 2 vols Zheng huangqi qianzong name mingxia hukouce 3 vols Zheng huangqi jie yuantou name mingxia hukou ce 6 vols

CMGPD-LN USER GUIDE

V. Miscellaneous Other Household Registers Volumes Assorted famine relief registers81 Donglu na qianliang hukou ce - Hanjun rending hukou ce 14 sets82 Dongnane biancha baojia hukou ce 1 vol Dujing xiansan hukou ce 1 vol Enshang Baxiang ce 5 vols Fuding hukou ce 1 vol Fuling rending hukou ce 1 vol Guanzhuang suochu kuaiji si rending ce 1 vol Naqianliang hukou ce 1 vol Nanlu naqianliang hukou ce - Hanjun rending hukou ce 16 vols Rending hukou ce 4 vols Saisimaojia xia hukou 1 vol Xinchen zhuangding hukou ce 1 vol Yang Shibin hukou ce 1 vol Zhangyisi hukou ce 4 vols Zhaoling gezhong jiangyi hukou ce 1 vol Zhuangding hukou ce 1 vol

81 These include registers for the following places and years: 1830 Liaoyang, Guangning, Juliuhe 1831 Niuzhuang, Guangning 1840 Gaizhou, Niuzhuang, Liaoyang, Guangning, Baiqibai, Juliuhe 1874 Gaizhou 82 Some of these sets are 2 vol shangxia sets. CMGPD-LN USER GUIDE

Glossary

Baizong Commander of One Hundred 百总 baojia 保甲 civilian registration baoyang fostered 抱养

Baoyi Zuoling Bond laborer Captain 包衣佐领 bianwai beyond the barrier 边外

Bing 兵 soldier

Bitieshi 笔帖式 Scribe can 残 Damaged

Caifeng Tailor 裁缝 chaming genji investigate origins 查明根基

Changlingda 长领达

Chengding 城丁 urban adult male

Cheng zhuangtou urban estate overseer 城庄头

~da 达 ～leader danwei administrative unit 单位

Ding 丁 adult male Dingdai a hat with ornament 顶戴 CMGPD-LN USER GUIDE

Fending tomb personnel 坟丁

Fengding 蜂丁 bee-keeper

Fuding 夫丁 Servant

Fu jingli Chief secretary in prefect yamen 府经历 Fu Siku Associate Accountant 副司库

Gaoli Manzhou Korean Manchu 高丽满洲

Gongjiang 工匠 Artisan guandi 官地 state land

Guanling servile Banner Captain 管领

Guanfu 官夫 Runner guanzhuang 官庄 state estate guhu orphan household 孤户

Hanjun Han Martial 汉军

Huaerjiang 花儿匠 funeral artisan Hubu Board of Revenue 户部 huji Household registration system 户籍

Jia 甲 armored soldier Jiading 甲丁 armored soldier jungong Certificate of Military Merit 军功 kaidang newly registered 开档 CMGPD-LN USER GUIDE

Kezijiang 稞子匠 Blacksmith Kuaijisi Office of Accounting 会计司

Kushi warehouse clerk 库使 liangzhuang 粮庄 grain estate

Liding 礼丁 ritual adult males

Ling 翎 birds’ tail feathers Lingcui tax preceptor 领催 linghu residential household 另户 lingji Separately registered 另记

Liutiaobian Willow Palisade 柳条边

Maimairen Merchant 买卖人

Manzhou Manchu 满洲

Menggu 蒙古 Mongol

Miding 蜜丁 honey collector

Minren 民人 Civilian mu Chinese acre (one-sixth an

亩 English acre)

Muding 牧丁 Shepherd Muzhang Head Shepherd 牧长

Neiguanling Inner servile Banner Captain 内管领 CMGPD-LN USER GUIDE

Niulu cuizhang Banner tax preceptor 牛录催长 nuren 奴人 Slave

Pijiang 皮匠 Tanner puren 仆人 Servant

Qiren 旗人 Bannermen

Ranjiang 染匠 Dyer Shifeng cuizhang Tax preceptor with salary 食俸催长

Siku Accountant 司库 sui Chinese years of age 岁 suilong follow the dragon 随龙

Sula 拉 bannermen without a state- 苏 assigned occupation

Tang zhushi Chief Secretary 堂主事

Tao 逃 Abscond

Tongpan 通判 Second class sub-prefect

Tongzhi 同知 Sub-prefect toucong 投从 Surrendered

Wading 瓦丁 tile makers Wanghu Ocean fishing household 网户

Wei lingcui Guard tax preceptor 委领催

Wei Zhushi Guard assistant secretary 委主事 CMGPD-LN USER GUIDE

Wopengtou Hamlet Head 窝棚头 xiaomen low status 小门

Xiaoqi xiao Sergeant 骁骑校 yihu administrative household 一户

Yuantou Orchard Head 园头

Yuding Fisherman 鱼丁 zhengshen qiren 正身旗人 normal Bannerman

Zhifu 知府 Prefect Zhishiren Subofficial 执事人

Zhixian District Magistrate 知县

Zhuangtou estate head 庄头

Zongguan dachen General Commander 总管大臣 zu 族 household group

Zhushi 主事 Assistant Secretary

Zuzhang Household-group Leader 族长

Zuoling Banner Captain 佐领

CMGPD-LN USER GUIDE

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