160 J.K.FAIRBANK AND S.Y.TENG hibitions regarding Persons Absconding,with penalties;the Soothing and Reuniting of Persons who Absconded,with penalties for non- cooperation.37 As Mr.Lattimore points out,as these regulations were in general designed to check the reuniting of the Mongol tribes under another Jenghis Khan,a process which could occur only when relation- ships in Mongolia were so fluid as to allow the concentration of many personal loyalties under one tribal leader.Further regulations then dealt with Assemblies at Court,Presentation of Tribute,Banquets, Court Tribute,and Bestowal of Rewards,-all in the traditional forms of the tributary relationship.20 The later Ch'ing rulers appear to have covered the tributary rela- tionship with a sugar coating heavy enough to make it decidedly palatable.On the one hand it was decreed that"the various ranks of princes among the Mongols at the New Year festival all in Court dress are to look toward the throne and perform the ceremony of the three kneeling and nine knockings of the head";40 and there were further regulations for the presentation of tribute and the bestowal of gifts and banquets in return.Yet within the limits of these formali- ties the system was developed to allow a maximum of Manchu super- vision and control with a minimum of irritation on the part of the Mongols.The nobility among the Inner Mongols,for example,were divided into three classes (pan),of which one came to Court each year in rotation,just before New Years.Limits were put on the num- ber of retainers that each might bring to the capital and on the length of time they might stay,and they were required to practice the cere- monies on their arrival;but beneath all these details the fact stands out that considerable payments were made to and for them.The seven ranks of Mongol nobility each received annually from the imperial coffers an emolument lu)corresponding to his rank.In the case s Ibid.,142 passim. ss O.LATTIMORE,Inner Asian Frontiers of China 90.The Li Fan Yiian kept a record of boundaries,with maps,of ranks and titles,and of genealogies,revised every decade;it conferred patents of nobility,enforced regulations of the sort mentioned above,and had a hand in marriages.Among other things it is provided that Mongols who have had smallpox are to be received in audience at Peking while those who have not had it,and therefore might carry it,are to be received in audience at Jehol. Cf.Kuang--hsi hui--tien64.10a.The Huang-ch'ao fam-uao-lieh皇朝藩部要略 (A general survey of the feudatory tribes under the reigning dynasty)(18 chiian, piao 4 chuian,preface 1839,colophon 1845)gives a chronological summary of edicts on these matters of administration. 49 K'ang-hsi hui-tien 143-144. Kuang-hsii hui-tien 65.4
160 J. K. FAIRBANK AND S. Y. TENG hibitions regarding Persons Absconding, with penalties; the Soothing and Reuniting of Persons who Absconded, with penalties for nonco6peration.37 As Mr. Lattimore points out,38 these regulations were in general designed to check the reuniting of the Mongol tribes under another Jenghis Khan, a process which could occur only when relationships in Mongolia were so fluid as to allow the concentration of many personal loyalties under one tribal leader. Further regulations then dealt with Assemblies at Court, Presentation of Tribute, Banquets, Court Tribute, and Bestowal of Rewards,-all in the traditional forms of the tributary relationship.39 The later Ch'ing rulers appear to have covered the tributary relationship with a sugar coating heavy enough to make it decidedly palatable. On the one hand it was decreed that " the various ranks of princes among the Mongols at the New Year festival all in Court dress are to look toward the throne and perform the ceremony of the three kneeling and nine knockings of the head "; 40 and there were further regulations for the presentation of tribute and the bestowal of gifts and banquets in return. Yet within the limits of these formalities the system was developed to allow a maximum of Manchu supervision and control with a minimum of irritation on the part of the Mongols. The nobility among the Inner Mongols, for example, were divided into three classes (pan), of which one came to Court each year in rotation, just before New Years. Limits were put on the number of retainers that each might bring to the capital and on the length of time they might stay, and they were required to practice the ceremonies on their arrival; but beneath all these details the fact stands out that considerable payments were made to and for them. The seven ranks of Mongol nobility each received annually from the imperial coffers an emolument ( fit lu) corresponding to his rank. In the case 3 Ibid.. 142 passim. 38 0. LATTIMORE, Inner Asian Frontiers of China 90. The Li Fan Yuan kept a record of boundaries, with maps, of ranks and titles, and of genealogies, revised every decade; it conferred patents of nobility, enforced regulations of the sort mentioned above, and had a hand in marriages. Among other things it is provided that Mongols who have had smallpox are to be received in audience at Peking while those who have not had it, and therefore might carry it, are to be received in audience at Jehol. Cf. Kuang-hsii hIui-tien 64. 10a. The Huang-ch'ao fan-pu yao-liieh f (A general survey of the feudatory tribes under the reigning dynasty) (18 chfian, piao 4 chfian, preface 1839, colophon 1845) gives a chronological summary of edicts on these matters of administration. 3 K'ang-hsi hui-tien 143-144. 40 Kuang-hsil hui-tien 65. 4
ON THE CHING TRIBUTARY SYSTEM 161 of a first class prince,this stipend might come to Tls.2000 in silver (feng yin俸银)and25 rolls of silks(feng pi幣)or satin(feng tuan )"Chieftains (Dzassak),hereditary nobles (Daidji),and Tabu- mang,have a stipend of Tls.100 in silver and 4 rolls of satin." Further,the expenses of the noble's suits were taken care of in Peking, provisions being due to them for as much as 40 days.Thus a chieftain, the lowest of the seven ranks,was allowed to have ten retainers and receive provisions while in Peking in the following amounts:every day,in silver Tls.1.61,in rice 6.5 pints;for three riding horses and ten lead horses,every day for fodder Tls.0.875511.42 There were also the customary banquets and presents,and even a gift of travel ex- penses on departure.In contrast to all these imperial donations,the statutory tribute presented at Court,as recorded for the late nine- teenth century,was purely nominal."The annual tribute of Inner (Mongol)chieftains is not to exceed...one sheep and one bottle of milk-wine(koumiss).48(This use of the velvet glove does not imply that the Mongols did not contribute heavily elsewhere).In the nineteenth century the regulations for Outer Mongolia,including the lamaseries, and for East Turkestan (the moslems of the Hami and Turfan areas) were along the same lines.+The Dalai Lama and others in Tibet were likewise now included in the system.5 Enough has been said to indicate that the traditional system of tribute was applied to northern and western Asia,though in a form adapted to new circumstances.This success in using old bottles for new wine must have given strength to the continuing Manchu effort to keep the European traders bottled up at Macao and Canton. As a second point it is noteworthy that the jurisdiction of the Li Fan Yuian was extended to Central Asia only gradually.Relations with Turfan were not under its control until sometime after 1732 (see 41Ibid,65.1. *Ibid..4. Ibid.,5b. “Ibid,chuan68. Cf.Kuang-hsii hui-tien 67.1b-13b:"Tribute from Tibet arrives at fixed intervals: Tibet (Hsi Tsang,i.e.central Tibet,Lhasa)once every year sends an envoy to present tribute.Anterior Tibet (Ch'ien Tsang,i.e.eastern Tibet)and Ulterior Tibet (Hou Tsang,i.e.western Tibet)each send tribute once every third year....The Po-k'o- pa-la Living Buddha of Chamdo (eastern Tibet)sends an envoy to present tribute once every five years....The Gurkha Erdeni King (King of Nepal)sends an envoy to present tribute once in five years..."Officers are deputed to escort these tributary envoys,who are often abbots;their suites are limited in size but they are allowed to use the postal stations,for which purpose the Board of War issues tallies, and so on. 3
ON THE CH'ING TRIBUTARY SYSTEM 161 of a first class prince, this stipend might come to Tls. 2000 in silver (feng yinfi4R) and 25 rolls of silks (feng pi *) or satin (feng tuan A ). " Chieftains (Dzassak), hereditary nobles (Daidji), and Tabunang, have a stipend of Tls. 100 in silver and 4 rolls of satin. '41 Further, the expenses of the noble's suits were taken care of in Peking, provisions being due to them for as much as 40 days. Thus a chieftain, the lowest of the seven ranks, was allowed to have ten retainers and receive provisions while in Peking in the following amounts: every day, in silver Tls. 1.61, in rice 6.5 pints; for three riding horses and ten lead horses, every day for fodder Tis. 0.875511.42 There were also the customary banquets and presents, and even a gift of travel expenses on departure. In contrast to all these imperial donations, the statutory tribute presented at Court, as recorded for the late nineteenth century, was purely nominal. " The annual tribute of Inner (Mongol) chieftains is not to exceed ... one sheep and one bottle of milk-wine (koumiss) .4 (This use of the velvet glove does not imply that the Mongols did not contribute heavily elsewhere). In the nineteenth century the regulations for Outer Mongolia, including the lamaseries, and for East Turkestan (the moslems of the Hami and Turfan areas) were along the same lines." The Dalai Lama and others in Tibet were likewise now included in the system.45 Enough has been said to indicate that the traditional system of tribute was applied to northern and western Asia, though in a form adapted to new circumstances. This success in using old bottles for new wine must have given strength to the continuing Manchu effort to keep the European traders bottled up at Macao and Canton. As a second point it is noteworthy that the jurisdiction of the Li Fan Yuan was extended to Central Asia only gradually. Relations with Turfan were not under its control until sometime after 1732 (see 41 Ibid., 65. 1. 43 Ibid.. 4. 42 Ibid., 5b. 44 Ibid., chilan 68. 45 Cf. Kuang-hsil hui-tien 67.12b-13b: " Tribute from Tibet arrives at fixed intervals: Tibet (Hsi Tsang, i. e. central Tibet, Lhasa) once every year sends an envoy to present tribute. Anterior Tibet (Ch'ien Tsang, i.e. eastern Tibet) and Ulterior Tibet (Hou Tsang, i. e. western Tibet) each send tribute once every third year. . . . The Po-k'opa-la Living Buddha of Chamdo (eastern Tibet) sends an envoy to present tribute once every five years. . . . The Gurkha Erdeni King (King of Nepal) sends an envoy to present tribute once in five years. . . ." Officers are deputed to escort these tributary envoys, who are often abbots; their suites are limited in size but they are allowed to use the postal stations, for which purpose the Board of War issues tallies, and so on. 3
162 J.K.FAIRBANK AND S.Y.TENG Table 2 in section 4 below).It appears that the Manchu conquests which built up a great continental empire including Mongolia,Tibet, and Chinese Turkestan,-ending with the conquest of Kashgar by 1760,-led to a reorganization of the Li Fan Yiian and an extension of its activities."0 This meant in turn that tributary relations and tributary trade with the continent to the north and west of China were put in a special category,removed from the inherited tributary administration under the Board of Ceremonies.Central Asian trade in the later Ch'ing period thus becomes a special study,connected with the administration of the Li Fan Yuan,and until extensive re- search is done upon the working of this new agency,Manchu relations with Central Asia cannot easily be fitted into our picture of the tribu- tary commercial system as a whole.In particular,a correlation be- tween tribute and trade,such as it may have been for the Ming period, becomes impossible for this area under the Ch'ing because tributary embassies ceased to be even a chief form of economic intercourse. For this reason an examination of the tributary embassies from the north and west recorded at the end of each annual section in the Draft History of the Ch'ing (Ch'ing-shih kao,pen-chi,see Table 5 below)cannot yield results as significant as those gained in this way 4 In the first two editions of the Statutes the Li Fan Yuan was divided into four departments,as follows:1.Department of Records of Merit (Lu Hsiin Ch'ing Li Ssu 禄勵)，2.Department of Guests(PinK'o賓客)，s.Department for Receiving Princes of Outer Mongolia(Jou Yuan柔遠，BRUNNERT495.4;lit.“for gracious treatment of persons from afar"),4.Judicial Department (Li Hsing).In the third and later editions,that is,from 1764 on,there were six departments;these are named as follows in BRUNNERT 495.1-6,where further details may be found: 1.Department of the Inner Mongols,2.of the Outer Mongols,8.for Receiving Princes of Inner Mongolia,4.for Receiving Princes of Outer Mongolia,5.Department of Eastern Turkestan,6.Judicial Department.There were in addition a Treasury,a Mongol Translation Office,a Tangut Studies Office,Inspectors,Secretaries,a Chancery, and so on.For the nineteenth century the Mongol tribes and banners may be tabulated as follows (for details see BRUNNERT pp.442-464,which,however,omits a simple synoptic table such as this): AREA TRIBES BANNERS Inner Mongolia (So.of the Gobi).............................. 24 49 Outer Mongolia (across the Gobi).............................. 6 86 Kokonor (Ch'ing Hai Mongolia)(Kukunor)...................... 5 8 Kobdo (between the Altai and the T'ien Shan,Oelots,Durbets,ete.) 11 84 Hami-Turfan (MMoslems)....................................... g Cf.Kuang-hsi hui-tien 63-68 or,for details,Ch'in-ting Li-Fan-Yiian tse-li 藩院則例(1908 movable type edition,64 chian)
162 J. K. FAIRBANK AND S. Y. TRNG Table 2 in section 4 below). It appears that the Manchu conquests which built up a great continental empire including Mongolia, Tibet, and Chinese Turkestan,-ending with the conquest of Kashgar by 1760,-led to a reorganization of the Li Fan Yuan and an extension of its activities.46 This meant in turn that tributary relations and tributary trade with the continent to the north and west of China were put in a special category, removed from the inherited tributary administration under the Board of Ceremonies. Central Asian trade in the later Ch'ing period thus becomes a special study, connected with the administration of the Li Fan Yuan, and until extensive research is done upon the working of this new agency, Manchu relations with Central Asia cannot easily be fitted into our picture of the tributary commercial system as a whole. In particular, a correlation between tribute and trade, such as it may have been for the Ming period, becomes impossible for this area under the Ch'ing because tributary embassies ceased to be even a chief form of economic intercourse. For this reason an examination of the tributary embassies from the north and west recorded at the end of each annual section in the Draft History of the Ch'ing (Ch'ing-shih kao, pen-chi, see Table 5 below) cannot yield results as significant as those gained in this way " In the first two editions of the Statutes the Li Fan Yuan was divided into four departments, as follows: 1. Department of Records of Merit (Lu Hsiin Ch'ing Li Ssfi AfdW), 92. Department of Guests (Pin K'o A 3. Department for Receiving Princes of Outer Mongolia (Jou Yuan A BRUNNERT 495.4; lit. "for gracious treatment of persons from afar "), 4. Judicial Department (Li Hsing RffiJ) . In the third and later editions. that is, from 1764 on, there were six departments; these are named as follows in BRUNNERT 495. 1-6, where further details may be found: 1. Department of the Inner Mongols, 2. of the Outer Mongols, 3. for Receiving Princes of Inner Mongolia, 4. for Receiving Princes of Outer Mongolia, 5. Department of Eastern Turkestan, 6. Judicial Department. There were in addition a Treasury, a Mongol Translation Office, a Tangut Studies Office, Inspectors, Secretaries, a Chancery, and so on. For the nineteenth century the Mongol tribes and banners may be tabulated as follows (for details see BRUNNERT pp. 442-464, which, however, omits a simple synoptic table such as this): AREA TRIBES BANNERS Inner Mongolia (So. of the Gobi) .............................. 24 49 Outer Mongolia (across the Gobi) .............................. 6 86 Kokonor (Ch'ing Hai Mongolia) (Kukunor) ...................... 5 28 Kobdo (between the Altai and the T'ien Shan, Oelots, Durbets, etc.) 11 34 Hami-Turfan (Moslems) ................. ... 2 Cf. Kuang-hsii hui-tien 63-68 or, for details, Ch'in-ting Li-Fan-Yuan tse-li , ffjqM'JfjI (1908 movable type edition, 64 chuan)
ON THE CHING TRIBUTARY SYSTEM 163 for the Ming period.The chart which we have constructed of these recorded embassies shows a vast profusion of Mongol tribes and dignitaries presenting tribute at various times up to the beginning of the K'ang-hsi period (1662).From that time on,however,places in the north and west practically disappear from the record;during the remainder of the dynasty the embassies listed are almost entirely from the south and east.The classification of Turfan as a tributary until after 1732 might be taken to indicate that up to that time it was serving as a funnel for caravan trade with regions to the west,as Hami had done under the Ming;but the tribute embassies recorded in the Ch'ing-shih kao as from Turfan are so very few as to leave the whole question in obscurity. 4.CH'ING TRIBUTARIES FROM THE SOUTH AND EAST-GENERAL REGULATIONS. Before touching upon the status formally accorded to Europeans in the Ch'ing tributary system,we must look at the general scheme into which they were fitted.The Ch'ing regulations for the Reception Department of the Board of Ceremonies were modelled upon those which have been described,by Professors CHANG Te-ch'ang,YANo Jinichi,T.C.LIN,UcHIA Naosaku,and others,for the Ming period.7 Needless to say,an understanding of these rules will explain many of the points of friction that arose when Sino-European diplomatic rela- tions became intensified.We therefore quote at length the statement of administrative principles made in the 1690 (K'ang-hsi)edition of the Collected Statutes.s (We have ourselves numbered the sections of the text,to facilitate reference.) GENERAL REGULATIONS FOR THE PRESENTATION OF TRIBUTE AT COURT: "The prosperity of the united country exceeds that of all previous ages.East,west,north,and south,those who declare themselves sub- See appendix 1. K'ang-hsi hui-tien 72 (Board of Ceremonies 33).1-3b:"Reception Department: The Senior Secretaries,Second-class Secretaries,and Second-class Assistant Secretaries divide the charge of the barbarians that send tribute to the Court,the receiving and entertainment of them,and the bestowal of presents upon them.They examine their translated documents;they explain the prohibitory regulations,together with the Superintendent of the Residence for Tributary Envoys.All rewards bestowed upon officials and the local tribute of the various provinces are also under their control." (The general regulations then follow.)
ON THE CH'ING TRIBUTARY SYSTEM 163 for the Ming period. The chart which we have constructed of these recorded embassies shows a vast profusion of Mongol tribes and dignitaries presenting tribute at various times up to the beginning of the K'ang-hsi period (1662). From that time on, however, places in the north and west practically disappear from the record; during the remainder of the dynasty the embassies listed are almost entirely from the south and east. The classification of Turfan as a tributary until after 1732 might be taken to indicate that up to that time it was serving as a funnel for caravan trade with regions to the west, as Hami had done under the Ming; but the tribute embassies recorded in the Ch'ing-shih kao as from Turfan are so very few as to leave the whole question in obscurity. 4. CH'ING TRIBUTARIES FROM THE SOUTH AND EAST - GENERAL REGULATIONS. Before touching upon the status formally accorded to Europeans in the Ch'ing tributary system, we must look at the general scheme into which they were fitted. The Ch'ing regulations for the Reception Department of the Board of Ceremonies were modelled upon those which have been described, by Professors CHANG Te-ch'ang, YANO Jinichi, T. C. LIN, UCHDA Naosaku, and others, for the Ming period.47 Needless to say, an understanding of these rules will explain many of the points of friction that arose when Sino-European diplomatic relations became intensified. We therefore quote at length the statement of administrative principles made in the 1690 (K'ang-hsi) edition of the Collected Statutes.48 (We have ourselves numbered the sections of the text, to facilitate reference.) "GENERAL REGULATIONS FOR THE PRESENTATION OF TRIBUTE AT COURT: " The prosperity of the united country exceeds that of all previous ages. East, west, north, and south, those who declare themselves sub- 17 See appendix 1. 48 K'ang-hsi hui-tien 72 (Board of Ceremonies 33). 1-3b: " Reception Department: The Senior Secretaries, Second-class Secretaries, and Second-class Assistant Secretaries divide the charge of the barbarians that send tribute to the Court, the receiving and entertainment of them, and the bestowal of presents upon them. They examine their translated documents; they explain the prohibitory regulations, together with the Superintendent of the Residence for Tributary Envoys. All rewards bestowed upon officials and the local tribute of the various provinces are, also under their control." (The general regulations then follow.)
164 J.K.FAIRBANK AND S.Y.TENG missive feudatories and present tribute at Court are beyond counting. As to the Mongolian tribes,the Court of Colonial Affairs (Li Fan Yuan)has been especially established to control them.Likewise the various aboriginal tribes are under the control of the Board of War. As for those which are under the Reception Department and the Residence for Tributary Envoys,-the years when they present tribute come at certain intervals,the persons who come to Court are of a certain number,the local products (presented as tribute)are of a certain amount,the rewards bestowed are of certain categories.Here we put the general regulations first of all,and then the various coun- tries in order according to their priority in presenting tribute: 1."In the Ch'ung-te period (1635-43)it was settled that on (the rulers of)all foreign countries which tendered their submission there should be bestowed an imperial patent of appointment(ts'e-kao),and there should be conferred a noble rank,and thereafter whenever memorials and official despatches ought to be presented,they should all be dated by the Ta Ch'ing dynastic reign-title.On the occasion of imperial birthdays,New Years days,and winter solstices,they should present a memorial in the imperial presence and offer a tribute of local products,and present a (congratulatory)tablet to the Empress and the Heir-apparent and offer a tribute of local products,sending an official delegate to the Court congratulations. 2."In the Shun-chih period (1644-61)it was settled that when- ever foreign countries presented tribute to the Court with a memorial and local products as proof of the fact,the Governor-General and Governor concerned should examine their authenticity and then per- mit them to present a memorial and send the tribute to Court. 3."Whenever foreign countries,in presenting tribute to the Court, send back the imperial seal granted them in the Ming period,the local authorities may be allowed to present a memorial (on their behalf). 4."The officers and servants who bring tribute on any one occasion must not exceed a hundred men;only twenty officers and servants may enter the capital,all the rest remaining at the border to await their reward.The ships which bring tribute must not be more than three;each ship must not exceed a hundred men. 5."Whenever a tribute envoy reaches the capital,the local pro- ducts which he is presenting as tribute are reported by the Residence for Tributary Envoys to the Board of Ceremonies.The Superintend-
164 J. K. FAIRBANK AND S. Y. TENG missive feudatories and present tribute at Court are beyond counting. As to the Mongolian tribes, the Court of Colonial Affairs (Li Fan Yuan) has been especially established to control them. Likewise the various aboriginal tribes are under the control of the Board of War. As for those which are under the Reception Department and the Residence for Tributary Envoys,-the years when they present tribute come at certain intervals, the persons who come to Court are of a certain number, the local products (presented as tribute) are of a certain amount, the rewards bestowed are of certain categories. Here we put the general regulations first of all, and then the various countries in order according to their priority in presenting tribute: 1. "In the Ch'ung-te period (1635-43) it was settled that on (the rulers of) all foreign countries which tendered their submission there should be bestowed an imperial patent of appointment (ts'e-kao), and there should be conferred a noble rank, and thereafter whenever memorials and official despatches ought to be presented, they should all be dated by the Ta Ch'ing dynastic reign-title. On the occasion of imperial birthdays, New Years days, and winter solstices, they should present a memorial in the imperial presence and offer a tribute of local products, and present a (congratulatory) tablet to the Empress and the Heir-apparent and offer a tribute of local products, sending an official delegate to the Court congratulations. 2. "In the Shun-chih period (1644-61) it was settled that whenever foreign countries presented tribute to the Court with a memorial and local products as proof of the fact, the Governor-General and Governor concerned should examine their authenticity and then permit them to present a memorial and send the tribute to Court. 3. " Whenever foreign countries, in presenting tribute to the Court, send back the imperial seal granted them in the Ming period, the local authorities may be allowed to present a memorial (on their behalf) . 4. " The officers and servants who bring tribute on any one occasion must not exceed a hundred men; only twenty officers and servants may enter the capital, all the rest remaining at the border to await their reward. The ships which bring tribute must not be more than three; each ship must not exceed a hundred men. 5. " Whenever a tribute envoy reaches the capital, the local products which he is presenting as tribute are reported by the Residence for Tributary Envoys to the Board of Ceremonies. The Superintend-