《近代中国对外关系史 The History of Modern China's Foreign Relations》课程教学资源（阅读材料）John King Fairbank - Trade and Diploma on the China Coast

Trade and Diplomac on the China Coast閔 THE OPENING OF THE TREATY PORTS 1842-I854 By JOHN KING FAIRBANK 圖 VOLUME ONE 馆接交書刊 Cambridge Museum of Fine Arts,Boston HARVARD UNIVERSITY PRESS CH'I-YING I953 Portrait presented by the Imperial Commissioner to the Honorable Caleb Cushing of Massachusetts in 1844 00192G

Museum of Fine Arts, Boston CH'I-YING Portrait presented by the Imperial Commissioner to the Honorable Caleb Cushing oj Massachusetts in 1844 Trade and Diploma on the China Coas THE OPENING OF THE TREATY PORTS 184 2 - I8 54 By JOHN KING FAIRBANK Cambridge HARVARD UNIVERSITY PRESS 1953

IN GRATEFUL MEMORY OF COPYRIGHT,1953 BY THE PRESIDENT.AND FELLOWS OF HARVARD COLLEGE HOSEA BALLOU MORSE (855-I934) A.B.;Harvard,1874,LL.D.1924. Commissioner of Chinese Maritime Customs. Historian of Chinese Foreign Relations. DR.MoRse's contribution to our understanding of modern China's relations with the West was based on his two careers,in the Customs, and in historical research.After graduation from the Boston Latin School DISTRIBUTED IN GREAT BRITAIN BY and from Harvard in 1874,he entered the Chinese Imperial Maritime Customs Service with three of his classmates.In the next thirty-five GEOFFREY CUMBERLEGE years he served at Shanghai,Peking,Tientsin,Pakhoi,Tamsui,Lungchow, OXFORD UNIVERSITY PRESS Hankow,and Canton,and on many special assignments,concluding with LONDON the post of Statistical Secretary in the Inspectorate General.On retire- ment in Igo8 he settled in England,publishing his first large work,The Trade and Administration of the Chinese Empire that same year,the first volume of The International Relations of the Chinese Empire in Igro,and the second and third in 1918.In 1ga6 he completed The Chronicles of the East India Compuny Trading to China in four volumes, with a fifth in 1929.These books still constitute the starting point for study of China's foreign relations,particularly with Britain,between 1634 and I9rI. Dr.Morse's second career,as a scholar,was informed and guided by his earlier practical experience as a civil servant of China.Though he lived through the decades of foreign imperialism and the collapse of the Chinese Empire,his historical work avoids the obtrusive chauvinism of the Western treaty port community of that period.He was a scholar un- usually devoted to the ideal of scrupulous,impartial,and accurate pres- entation of the facts.To me,as to other beginners,he offered generous encouragement and wise counsel,while his work gave us firm ground upon which to build our smaller contributions. LIBRARY OF CONGRESS CATALOG CARD NUMBER 52-12260 PRINTED IN THE UNITED STATES OF AMERICA

COPYRIGHT, 1953 BY THE PRESIDENT· AND FELLOWS OF HARVARD COLLEGE DISTRIBUTED IN GREAT BRITAIN BY GEOFFREY CUMBERLEGE OXFORD UNIVERSITY PRESS LONDON LIBRARY OF CONGRESS CATALOG CARD NUMBER 52-12260 PRINTED IN THE UNITED STATES OF AMERICA IN GRATEFUL MEMORY OF HOSEA BALLOU MORSE (18 55-1 934) A.B., Harvard, 1874, LL.D., 1924. Commissioner of Chinese Maritime Customs. Historian of Chinese Foreign Relations. DR. MORSE'S contribution to our understanding of modern China's relations with the West was based on his two careers, in the Customs, and in historical research. After graduation from the Boston Latin School and from Harvard in 1874, he entered the Chinese Imperial Maritime Customs Service with three of his classmates. In the next thirty-five years he served at Shanghai, Peking, Tientsin, Pakhoi, Tamsui, Lungchow, Hankow, and Canton, and on many special assignments, concluding with the post of Statistical Secreta.ry in the Inspectorate General. On retire￾ment in' 1908 he settled in England, publishing his first large work, The Trade and Administration of the Chinese Empire that same year, the first volume of The International Relations of the Chinese Empire in 1910, and the second and third in 1918. In 1926 he completed The Chronicles of the East India Company Trading to China in four volumes, with a fifth in 1929. These books still constitute the starting point for study of China's foreign relations, particularly with Britain, between 1634 and 1911. Dr. Morse's second career, as a scholar, was informed and guided by his earlier practical experience as a civil servant of China. Though he lived through the decades of foreign imperialism and the collapse of the Chinese Empire, his historical work avoids the obtrusive chauvinism of the Western treaty port community of that period. He was a scholar un￾usually devoted to the ideal of scrupulous, impartial, and accurate pres￾entation of the facts. To me, as to other beginners, he offered generous encouragement and wise counsel, while his work gave us firm ground upon which to build our smaller contributions

ACKNOWLEDGMENTS In my senior year at Harvard,in 1929,(Sir)Charles Kingsley Webster suggested that the study of modern China,using the voluminous Chinese documentation which was then becoming available,could shed much light on the ominous problems of East Asia.Subsequently at Oxford I took up this suggestion,and in the Public Record Office in London began research on British relations with China.At this time I made the acquaintance of a fellow-alumnus of Harvard,the late Dr.H.B.Morse,to whom this volume is dedicated.After the Rhodes Trust had kindly let me transfer to Peiping in 1932,I studied Chinese there and began to use Chinese documents under the guidance of Dr.T.F.Tsiang,then head of the History Department at Tsing Hua University. Twenty years ago I thus entered upon two approaches to the study of modern China-through Far Eastern languages and Sino-Western rela- tions.Their confluence has at length produced this book,yet it seems a shallow product,compared with the problems and materials with which it deals and the mountainous load of obligation which I have accumulated. I am obliged to many scores of friends and strangers-teachers of Chinese in the old Peking Legation Quarter,consular and Customs officers and taipans in the treaty ports of a bygone era,students and colleagues in the Departments of History and of Far Eastern Languages and in the Regional Studies Program at Harvard.This list of persons,to whom I feel most indebted in large ways or small,is incomplete but may serve at least as a bare acknowledgment:the late Sir Stephen Gaselee,the Foreign Office, and British diplomatic personnel at Peiping,Tientsin,Shanghai,Ningpo, Foochow,Amoy and Canton(for access to the British consular archives in China);former Ambassador Nelson T.Johnson,the Department of State, and American consular officers (for access to American records);the late Dr.John C.Ferguson and authorities of the Palace Museum,Peiping,and Dr.T.F.Tsiang (for access to unpublished documents from the Ch'ing archives);Sir Frederick Maze,sometime Inspector General of Chinese Maritime Customs,Stanley F.Wright,L.K.Little,Everitt Groff-Smith and others of the Customs Service,and members of the pioneer British firm of Jardine,Matheson and Company. This research has received generous support successively from the Rhodes Trust,the General Education Board,the Harvard-Radcliffe Bureau of International Research,and the Rockefeller Foundation.For scholarly aid and encouragement in diverse ways,I am particularly indebted to

I ACKNOWLEDGMENTS In my senior year at Harvard, in 1929, (Sir) Charles Kingsley Webster suggested that the study of modern China, using the voluminous Chinese documentation which was then becoming available, could shed much light on the ominous problems of East Asia. Subsequently at Oxford I took up this suggestion, and in the Public Record Office in London began research on British relations with China. At this time I made the acquaintance of a fellow-alumnus of Harvard, the late Dr. H. B. Morse, to whom this volume is dedicated. After the Rhodes Trust had kindly let me transfer to Peiping in 1932, I studied Chinese there and began to use Chinese documents under the guidance of Dr. T. F. Tsiang, then head of the History Department at Tsing Hua University. Twenty years ago I thus entered upon two approaches to the study of modern China - through Far Eastern languages and Sino-Western rela￾tions. Their confluence has at length produced this book, yet it seems a shallow product, compared with the problems and materials with which it deals and the mountainous load of obligation which I have accumulated. I am obliged to many scores of friends and strangers - teachers of Chinese in the old Peking Legation Quarter, consular and Customs officers and taipans in the treaty ports of a bygone era, students and colleagues in the Departments of History and of Far Eastern Languages and in the Regional Studies Program at Harvard. This list of personsJ to whom I feel most indebted in large ways or small, is incomplete but may serve at least as a bare acknowledgment: the late Sir Stephen Gaselee, the Foreign Office, and British diplomatic personnel at Peiping, Tientsin, Shanghai, Ningpo, Foochow, Amoy and Canton (for access to the British consular archives in China); former Ambassador Nelson T. Johnson, the Department of State, and American consular officers (for access to American records); the late Dr. John C. Ferguson and authorities of the Palace Museum, Peiping, and Dr. T. F. Tsiang (for access to unpublished documents from the Ch'ing archives); Sir Frederick Maze, sometime Inspector General of Chinese Maritime Customs, Stanley F.Wright, L. K. Little, Everitt Groff-Smith and others of the Customs Service, and members of the pioneer British firm of Jardine, Matheson and Company. This research has received generous support successively from the Rhodes Trust, the General Education Board, the Harvard-Radcliffe Bureau of International Research, and the Rockefeller Foundation. For scholarly aid and encouragement in diverse ways, I am particularly indebted to

vi道 ACKNOWLEDGMENTS Masataka Banno,Ida M.Cannon,Chang Te-ch'ang,W.C.Costin,Wilma C.Fairbank,the late Roger S.Greene,Kwang-ching Liu,the late William E.Soothill,the late B.Humphrey Sumner,Ssu-yu Teng,James R.Ware, CONTENTS Mary Wright,L.S.Yang,and Gerald Yorke;and for practical help of the most tangible sort to Rosamond Chapman,Marjorie Ellms,Wilma Fair- PART I bank,Norma Ford,Hope Kay,Marian Schlesinger,and especially E-tu CHINA'S UNPREPAREDNESS FOR WESTERN CONTACT Zen Sun,who read over most of my translations and.contributed particu- larly to Chapter 14. Page J.K.F. 1.THE PROBLEM OF CHINA'S RESPONSE TO THE WEST The kistorical context of the period 1842-54.The nature of Chinese A Note on Romanization.Trying to write English letters so as to represent society and its response to the West.China's conception of the Chinese sounds is a fruitless effort.Romanization can never be made exact Western barbarians.The confusion regarding European countries. and therefore should be conventional.Conventions should be simple,not The lack of real intercourse.Examples of barbarian lore.The in- teraction of dynastic decline and Western invasion. extravagant,and so I have stripped the Wade-Giles system of all diacritical marks except the umlaut over i when actually needed for dictionary 2.TRIBUTE AND THE GROWTH OF TRADE finding purposes.For such technical matters the reader is referred to the The role of the barbarians in the Chinese state.Theoretical basis preface of Volume II. of tribute.Tribute as ritual.Functions of the tribute system. Tributary trade.The eclipse of tribute by trade. 3.CH'ING POLICY AND THE CANTON SYSTEM The Manchu position in China.Early Manchu foreign policy. The background of Ch'ing policy at Canton.Evolution of the Canton system.Oficial profit and imperial policy, PART II THE FIRST BRITISH TREATY SETTLEMENT I842-43 4.OPIUM AND THE COLLAPSE OF THE CANTON SYSTEM 57 Decline of the Company.Origins of the private trade.Rise of the opium trade.Opium on the China coast.Chinese official con- nivance.The early coast trade as seen from the inside.The British siri社in the I84os. 5.THE OPIUM WAR 1840-42 The Chinese anti-opium movement.The Britisk contribution to the crisis.Lin Tse-hsii versus William Jardine. 6.MANCHU DIPLOMACY AND THE TREATY OF NAN- KING 1842 Fears of the Manchu court in 1843.The decision to negotiate.The mnperial co机nissioner Ch'i-yi祝g.Opening the对egotiati0i3.The Manchu-Chinese side of the negotiations.Imperfections in the treaty agreement

I. viii ACKNOWLEDGMENTS Masataka Banno, Ida M. Cannon, Chang Te-ch'ang, W. C. Costin, Wilma C. Fairbank, the late Roger S. Greene, Kwang-ching Liu, the late William E. SoothiII, the late B. Humphrey Sumner, Ssu-yli Teng, James R. Ware, Mary Wright, L. S. Yang, and Gerald Yorke; and for practical help of the most tangible sort to Rosamond Chapman, Marjorie Ellms, Wilma Fair￾bank, Norma Ford, Hope Kay, Marian Schlesinger, and especially E-tu Zen Sun, who read over most of my translations and. contributed particu￾larly to Chapter 14. J.K.F. A Note on Romanization. Trying to write English letters so as to represent Chinese sounds is a fruitless effort. Romanization can never be made exact and therefore should· be conventional. Conventions should be simple, not extravagant, and so I have stripped the Wade-Giles system of all diacritical marks except the umlaut over u when actually needed for dictionary finding purposes. For such technical matters the reader is referred to the preface of Volume II. CONTENTS PART I CHINA'S UNPREPARE.DNESS FOR WESTERN CONTACT 1. THE PROBLEM OF CHINA'S RESPONSE TO THE WEST The historical context of the period I8,p-54. The nature of Chinese society and its response to the West. China's conception of the Western barbarians. The confusion regarding European countries. The lack oj real intercourse. Examples of barbarian lore. The in￾teraction 'of dynastic decline and Western invasion. 2. TRIBUTE AND THE GROWTH OF TRADE The role of the barbarians in the Chinese state. Theoretical basis of tribute. Tribute as ritual. Functions of the tribute system. Tributary trade. The eclipse of tribute by trade. 3. CH'ING POLICY AND THE CANTON SYSTEM The Manchu position in China. Early Manchu foreign policy. The background of Ch'ing policy at Canton. Evolution of the Canton system. Official profit and imperial policy. PART II THE FIRST BRITISH TREATY SETTLEMENT 1842-43 4. OPIUM AND THE COLLAPSE OF THE CANTON SYSTEM Decline of the Company. Origins of the private trade. Rise of the opium trade. Opium on the China coast. Chinese official con￾nivance. The early coast trade as seen from the inside. The British spirit in the I840'S. 5. THE OPIUM WAR 1840-42 The Chinese anti-opium movement. The British contribution to the crisis. Lin Tse-hsu versus William Jardine. 6. MANCHU DIPLOMACY AND THE TREATY OF NAN￾KING 1842 Fears of the Manchu court in I8,p. The decision to negotiate. The imperial commissioner Ch'i-ying. Opening the negotiations. The Manchu-Chinese side of the negotiations. Imperfections in the treaty agreement. Page 3 23 39 57 74

CONTENTS CONTENTS 7.CH'I-YING'S APPEASEMENT POLICY 104 14.THE REORGANIZATION OF THE CANTON SYSTEM 24 Ch'i-ying's desire for responsibility.The friendship policy in action. Hong merchants and Hoppo under the treaties.The tarif and the Hoppo.Insertion of the treaty ports into the Ck'ing customs 8.THE TREATY SETTLEMENT OF 1843 114 administration.The working of the quota system. The treaty tariff versus transit taxes.The tarif negotiations.The trade regulations.The Supplementary treaty of 1843.The com- mercial status of Hongkong.British sailing letters.Chinese in PART IV Hongkong.Enforcement of the treaty tarif. THE PROGRESSIVE BREAKDOWN OF THE TREATY SYSTEM I845-51 9.THE OPIUM SETTLEMENT OF 1843 I33 15.ANGLO-CHINESE FRICTION 267 The British opium establishment.The principle of bilateral regu- The end of the diplomatic honeymoon.The Britisk community at lation.The rashness of Captain Hope.The Chinese reaction.Pot- Canton.The "city question"and the Davis raid.The new pro- tinger's proposal and arrangements.The unoficial solution of the tagonists of 1848.Growth of anti-foreignism.Governor Hsil's opium problem. new view of the地orld. 16.GROWTH AND TAXATION OF THE LEGAL TRADE 285 PART III Domestic trade and capital.The silk and tea industries.The non- opening of Foochow.Exploration of the tea and silk routes. THE APPLICATION OF THE TREATIES 1843-45 Transit taxes"from the Chinese side.Licensed merchants and trade monopolies.The Hangchow customs. Io.THE TREATY PORTS AND THE BRITISH CONSULS 155 17.THE FOREIGN INVASION OF THE COASTING TRADE The treaty port community.The Britisk consular staf.The lan- guage problem.Consulates and their health.Communications and The Chinese junk trade.Re-export.Native shippers and the native finance.The British consular approach to China. tarif.Parkes'inconclusive victory at Amoy.Sailing letters.The Portuguese lorchas. 11.THE CHINESE RESPONSE TO WESTERN CONTACT 176 18.NINGPO:PIRACY AND CONVOY 329 The new "barbarian experts."The Lin-Wei foreign policy.A Features of outport life.The growth of piracy.The convoy busi- survey of the Western religions.China's post-war defense pro- ness.Portuguese competition.Cantonese versus Portuguese. gram.Ch'i-ying's staf.Handling the barbarians at Shanghai. The most-favored-nation principle:the American and Frenck 19.THE EVASION OF LEGAL DUTIES 347 treaties. Tke smuggling problem at Amoy.Corruption at Canton."Chisel- ing the emperor"at Shanghai.The threat of American competi- 12.PROBLEMS IN THE APPLICATION OF THE TREATIES 200 tion.The case of the Lady Mary Wood.The case of the John AT THE NEW PORTS Dugdale. Problems of consular residence.Problems of treaty application: (a)tonnage dues.(b)The shroff shops.Efect of the American PART V treaty of 1844.Restriction of foreign excursionists and hunters. The problem of British control over other foreigners.Britain's THE CREATION OF THE FOREIGN INSPECTORATE OF CUSTOMS AT control over her Chinese subjects.The early trade in coolies. The Cantonese as Brilish allies. SHANGHAI I850-54 2o.PALMERSTON ABANDONS THE TREATY TARIFF 185o-51 371 13.THE OPIUM SETTLEMENT IN PRACTICE 226 The trend of British policy in 1850.Palmerston's appeal to Peking. British exclusion of the opium trade from the treaty ports.The Palmerston's thoughts of war.Mercantile proposals for customs dual system of trade.Hongkong and the receiving stations.Ch'ing reform.The decision to stop consular interference.Implications of anti-opium policy.The Chimmo Bay piracy,1847. Palmerston's decision

x CONTENTS 7. CH'I-YING'S APPEASEMENT POLICY Ch'i-ying's desire for responsibility. The friendship policy in action. 8. THE TREATY SETTLEMENT OF 1843 The treaty tariff versus transit taxes. The tariff negotiations. The trade regulations. The Supplementary treaty of 1843. The com￾mercial status of Hongkong. British sailing letters. Chinese in H ongkong. Enforcement of the treaty tariff. 9. THE OPIUM SETTLEMENT OF 1843 The British opium establishment. The principle of bilateral regu￾lation. The rashness of Captain Hope. The Chinese reaction. Pot￾tinger's proposal and arrangements. The unofficial solution of the opium problem. PART III THE APPLICATION OF THE TREATIES 1843-45 10. THE TREATY PORTS AND THE BRITISH CONSULS The treaty port community. The British consular staff. The lan￾guage problem. Consulates and their health. Communications and finance. The British consular approach to China. II. THE CHINESE RESPONSE TO WESTERN CONTACT The new "barbarian experts." The Lin-Wei foreign policy. A survey of the Western religions. China's post-war defense pro￾gram. Ch'i-ying's staff. Handling the barbarians at Shanghai. The most-favored-nation principle: the American and French treaties. 12. PROBLEMS IN THE APPLICATION OF THE TREATIES AT THE NEW PORTS Problems of consular residence. Problems oj treaty application: (a) tonnage dues. (b) The shroff shops. Effect of the American treaty of 1844. Restriction of foreign excursionists and hunters. The problem of British control over other foreigners. Britain's control over her Chinese subjects. The early trade in coolies. The Cantonese as British allies. 13. THE OPIUM SETTLEMENT IN PRACTICE British exclusion of the opium trade from the treaty ports. The dual system of trade. Hongkong and the receiving stations. Ch'ing anti-opium policy. The Chimmo Bay piracy, 1847. 104 II4 133 155 200 CONTENTS 14. THE REORGANIZATION OF THE CANTON SYSTEM Hong merchants and Hoppo under the treaties. The tariff and the Hoppo. Insertion of the treaty ports into the Ch'ing customs administration. The working of the quota system. PART IV xi THE PROGRESSIVE BREAKDOWN OF THE TREATY SYSTEM 1845-51 IS. ANGLO-CHINESE FRICTION The end of the diplomatic honeymoon. The British community at Canton. The "city question" and the Davis raid. The new pro￾tagonists of 1848. Growth of anti-foreignism. Governor Hsu's new view' oj the world. 16. GROWTH AND TAXATION OF THE LEGAL TRADE Domestic trade and capital. The silk and tea industries. The non￾opening of Foochow. Exploration of the tea and silk routes. "Transit taxes" from the Chinese side. Licensed merchants and trade monopolies. The Hangchow customs. 17. THE FOREIGN INVASION OF THE COASTING TRADE The Chinese junk trade. Re-export. Native shippers and the native tariff. Parkes' inconclusive victory at Amoy. Sailing letters. The Portuguese lorchas. 18. NINGPO: PIRACY AND CONVOY Features of outport life. The growth of piracy. The convoy busi￾ness. Portuguese competition. Cantonese versus Portuguese. 19. THE EVASION OF LEGAL DUTIES The smuggling problem at Amoy. Corruption at Canton. "Chisel￾ing the emperor" at Shanghai. The threat oj American competi￾tion. The case of the Lady Mary Wood. The case of the John Dugdale. PART V 3II 329 347 THE CREATION OF THE FOREIGN INSPECTORATE OF CUSTOMS AT SHANGHAI I850-54 20. PALMERSTON ABANDONS THE TREATY TARIFF 1850--5I The trend of British policy in I850. Palmerston's appeal to Peking. Palmerston's thoughts of war. Mercantile proposals for customs reform. The decision to stop consular interference. Implications of Palmerston's decision. 371