《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）Embarrassed Monarchist：Frank J. Goodnow and Constitutional Development in China, 1913-1915

Embarrassed Monarchist: Frank J.Goodnow and Constitutional Development in China,1913-1915 Noel Pugach The author is a member of the history department in the University of New Mexico. TH BrTING SATIRE,the cartoon in the Baltimore Evening Sun portrayed Professor Frank J.Goodnow as the carpenter who helped President Yuan Shih-k'ai tear down China's infant republic in or- der to restore the empire.1 In particular,it referred to the intentions and use of Goodnow's memorandum of July 1915 which concluded that,in view of her history and political experience,China would be better served by a constitutional monarchy as long as certain spe- cific conditions could be met.?Read by itself,the memorandum might be considered an academic treatise by a noted political scien- tist,as indeed some supporters of Yuan sorely tried to claim.3 But viewed within the context of the attempt to raise Yuan to the imperial throne,the conclusions drawn by contemporaries were either that Goodnow had been duped by the monarchists or that he approved of and aided the movement. 1 Baltimore Evening Sun,Dec.14,1915. 2 The text of the memorandum may be found in U.S.Dept.of State,Papers Re- lating to the Foreign Relations of the United States,1915 (Washington,1924),53-58 (hereafter this collection will be referred to as FR with the appropriate year). 3 Baltimore Sun,Aug.25 and 31,1915;Journal of the American Asiatic Association, XV (Sept.1915),225 (hereafter cited as JA44). 499 This content downloaded from 137.222.248.222 on Wed,24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions

Embarrassed Monarchist: Frank J. Goodnow and Constitutional Development in China, 1913-1915 Noel Pugach The author is a member of the history department in the University of New Mexico. W ITH BITING SATIRE, the cartoon in the Baltimore Evening Sun portrayed Professor Frank J. Goodnow as the carpenter who helped President Yuan Shih-k'ai tear down China's infant republic in or￾der to restore the empire.' In particular, it referred to the intentions and use of Goodnow's memorandum of July 1915 which concluded that, in view of her history and political experience, China would be better served by a constitutional monarchy as long as certain spe￾cific conditions could be met.2 Read by itself, the memorandum might be considered an academic treatise by a noted political scien￾tist, as indeed some supporters of Yuan sorely tried to claim.3 But viewed within the context of the attempt to raise Yuan to the imperial throne, the conclusions drawn by contemporaries were either that Goodnow had been duped by the monarchists or that he approved of and aided the movement. 1 Baltimore Evening Sun, Dec. 14, 1915. 2 The text of the memorandum may be found in U. S. Dept. of State, Papers Re￾lating to the Foreign Relations of the United States, 1915 (Washington, 1924), 53-58 (hereafter this collection will be referred to as FR with the appropriate year). 3 Baltimore Sun, Aug. 25 and 31, 1915; Journal of the American Asiatic Association, XV (Sept. 1915), 225 (hereafter cited as JAAA). 499 This content downloaded from 137.222.248.222 on Wed, 24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions

500 PACIFIC HISTORICAL REVIEW Paul S.Reinsch,a fellow political scientist and then United States minister to China,generally defended Goodnow in his memoir,An American Diplomat in China.Goodnow,he claimed,had honestly stated his position in a theoretical statement "prepared simply for the information of the President."Unbeknown to Goodnow,how- ever,a group of supporters of the monarchical scheme had arranged for the memorandum in order to forward their own ambitions. "Advisors had been so generally treated as academic ornaments," Reinsch testified,"that Doctor Goodnow did not suspect that in this case his memorandum would be made the starting point and basis of positive action." Subsequently,historians have differed in their assessment of Goodnow's actions.Tien-yi Li,who sympathizes with the American attempt to create a stable government in China,feels that Good- now's memorandum was unfairly misquoted by the monarchists, but refrains from saying that the professor was duped.In his harsh biography of Yuan Shih-k'ai,Jerome Ch'en is more blunt:it was naive for such an eminent scholar to speak on such sensitive matters. Nemai Sadhan Bose,relying on Reinsch's account,concludes that Goodnow was fooled and agrees with Tang Shao-yi that"Dr.Good- now was simply used as a tool."George Beckmann,on the other hand,maintains that Goodnow knowingly urged Yuan to ascend the throne.Similarly,Jerry Israel includes Goodnow in the group of Americans who believed that stability could only be attained through a strong executive,"even if it meant catering to Yuan Shih-k'ai's obvious imperial pretensions."5 By calling Goodnow either a dupe or monarchist and by focusing almost exclusively on his memorandum of 1915,historians have overly simplified a revealing episode in Sino-American relations. An appreciation of the Goodnow incident requires consideration of his career as constitutional adviser from the beginning of his appointment in 1913.This essay will,therefore,examine the initial phase of Goodnow's involvement in Chinese constitutional affairs 4 Paul S.Reinsch,An American Diplomat in China(Garden City,1922),172-174. 5 Tien-yi Li,Woodrow Wilson's China Policy,1913-1917 (New York,1952),147-148; Jerome Ch'en,Yuan Shih-k'ai,1859-1916:Brutus Assumes the Purple (London,1961), 205;Nemai Sadhan Bose,American Attitude and Policy to the Nationalist Movement in China (1911-192/)(New Delhi,1970),81,88,96-97,113;George Beckmann,The Modernization of China and Japan (New York,1962),226;Jerry Israel,Progressivism and the Open Door:America and China,1905-1921 (Pittsburgh,1971),123. This content downloaded from 137.222.248.222 on Wed,24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions

500 PACIFIC HISTORICAL REVIEW Paul S. Reinsch, a fellow political scientist and then United States minister to China, generally defended Goodnow in his memoir, An American Diplomat in China. Goodnow, he claimed, had honestly stated his position in a theoretical statement "prepared simply for the information of the President." Unbeknown to Goodnow, how￾ever, a group of supporters of the monarchical scheme had arranged for the memorandum in order to forward their own ambitions. "Advisors had been so generally treated as academic ornaments," Reinsch testified, "that Doctor Goodnow did not suspect that in this case his memorandum would be made the starting point and basis of positive action."4 Subsequently, historians have differed in their assessment of Goodnow's actions. Tien-yi Li, who sympathizes with the American attempt to create a stable government in China, feels that Good￾now's memorandum was unfairly misquoted by the monarchists, but refrains from saying that the professor was duped. In his harsh biography of Yuan Shih-k'ai, Jerome Ch'en is more blunt: it was naive for such an eminent scholar to speak on such sensitive matters. Nemai Sadhan Bose, relying on Reinsch's account, concludes that Goodnow was fooled and agrees with Tang Shao-yi that "Dr. Good￾now was simply used as a tool." George Beckmann, on the other hand, maintains that Goodnow knowingly urged Yuan to ascend the throne. Similarly, Jerry Israel includes Goodnow in the group of Americans who believed that stability could only be attained through a strong executive, "even if it meant catering to Yuan Shih-k'ai's obvious imperial pretensions." 5 By calling Goodnow either a dupe or monarchist and by focusing almost exclusively on his memorandum of 1915, historians have overly simplified a revealing episode in Sino-American relations. An appreciation of the Goodnow incident requires consideration of his career as constitutional adviser from the beginning of his appointment in 1913. This essay will, therefore, examine the initial phase of Goodnow's involvement in Chinese constitutional affairs 4 Paul S. Reinsch, An American Diplomat in China (Garden City, 1922), 172-174. 5 Tien-yi Li, Woodrow Wilson's China Policy, 1913-1917 (New York, 1952), 147-148; Jerome Ch'en, Yuan Shih-k'ai, 1859-1916: Brutus Assumes the Purple (London, 1961), 205; Nemai Sadhan Bose, American Attitude and Policy to the Nationalist Movement in China (1911-1921) (New Delhi, 1970), 81, 88, 96-97, 113; George Beckmann, The Modernization of China and Japan (New York, 1962), 226; Jerry Israel, Progressivism and the Open Door: America and China, 1905-1921 (Pittsburgh, 1971), 123. This content downloaded from 137.222.248.222 on Wed, 24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions

Embarrassed Monarchist 501 as well as his activities as advisor to Yuan's government.It will then be possible to clarify his role in the monarchical movement of 1915. Frank Johnson Goodnow was an established scholar,teacher,and political scientist.He was a recognized expert on administrative law and municipal problems as well as a pioneer in formulating the concept of the separation of politics from administration.Indepen- dent wealth permitted him to lead a relaxed life,but the Columbia University professor viewed his career as an outlet for his bursting energy and as a means for self-fulfillment.In 1914,Goodnow's scholarship,civic activities,and membership in the eastern intel- lectual establishment brought an invitation to become president of Johns Hopkins University. Goodnow was a man of strong and definite views,distrustful of theorists and somewhat skeptical of the cliches of the day.He was a progressive,a pragmatist,and an historicist,who saw government as an evolving institution satisfying the needs of society.The demands of the modern age,he believed,required positive intervention by a strong central government that possessed flexible administrative power and made widespread use of experts.But having studied the constitutional systems of the leading European nations,Goodnow concluded that the proper spheres of action of each government authority"are matters which must very largely be governed by the history and political needs of the particular country,and any at- tempt to impose on a country any hard and fast rule derived either from a priori reasoning or from any inductive generalization,based upon the experience of other countries,is rather more apt to meet with failure than success."7 In January 1913,the Chinese government,acting on a suggestion from Charles Eliot,president emeritus of Harvard and a trustee of the Carnegie Endowment for International Peace,asked the Car- 6 See the brief sketches on Goodnow in the Encyclopedia Americana,1964 ed.,XIII, 38;New York Times,March 14,1913;The Dial,LVI (March 16,1914),233;Bernard Crick,The American Science of Political Science:Its Origins and Conditions(Berkeley and Los Angeles,1959),101-102. 7 This summary of Goodnow's major ideas is based on an analysis of his Compar. ative Administrative Law:An Analysis of the Administrative Systems,National and Local,of the United States,England,France and Germany (New York,1893);Muni- cipal Government (New York,1910);Municipal Problems (New York,1911);Politics and Administration:A Study in Government (New York,1900);Social Reform and the Constitution (New York,1911).The quotation is from Comparative Administrative Law,Part I,22. This content downloaded from 137.222.248.222 on Wed,24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions

Embarrassed Monarchist 501 as well as his activities as advisor to Yuan's government. It will then be possible to clarify his role in the monarchical movement of 1915. Frank Johnson Goodnow was an established scholar, teacher, and political scientist. He was a recognized expert on administrative law and municipal problems as well as a pioneer in formulating the concept of the separation of politics from administration. Indepen￾dent wealth permitted him to lead a relaxed life, but the Columbia University professor viewed his career as an outlet for his bursting energy and as a means for self-fulfillment. In 1914, Goodnow's scholarship, civic activities, and membership in the eastern intel￾lectual establishment brought an invitation to become president of Johns Hopkins University.6 Goodnow was a man of strong and definite views, distrustful of theorists and somewhat skeptical of the cliches of the day. He was a progressive, a pragmatist, and an historicist, who saw government as an evolving institution satisfying the needs of society. The demands of the modern age, he believed, required positive intervention by a strong central government that possessed flexible administrative power and made widespread use of experts. But having studied the constitutional systems of the leading European nations, Goodnow concluded that the proper spheres of action of each government authority "are matters which must very largely be governed by the history and political needs of the particular country, and any at￾tempt to impose on a country any hard and fast rule derived either from a priori reasoning or from any inductive generalization, based upon the experience of other countries, is rather more apt to meet with failure than success."7 In January 1913, the Chinese government, acting on a suggestion from Charles Eliot, president emeritus of Harvard and a trustee of the Carnegie Endowment for International Peace, asked the Car- 6 See the brief sketches on Goodnow in the Encyclopedia Americana, 1964 ed., XIII, 38; New York Times, March 14, 1913; The Dial, LVI (March 16, 1914), 233; Bernard Crick, The American Science of Political Science: Its Origins and Conditions (Berkeley and Los Angeles, 1959), 101-102. 7 This summary of Goodnow's major ideas is based on an analysis of his Compar￾ative Administrative Law: An Analysis of the Administrative Systems, National and Local, of the United States, England, France and Germany (New York, 1893); Muni￾cipal Government (New York, 1910); Municipal Problems (New York, 1911); Politics and Administration: A Study in Government (New York, 1900); Social Reform and the Constitution (New York, 1911). The quotation is from Comparative Administrative Law, Part I, 22. This content downloaded from 137.222.248.222 on Wed, 24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions

502 PACIFIC HISTORICAL REVIEW negie Endowment to recommend an expert who was fully ac- quainted with the French constitution and who could assist in draft- ing a constitution for China.After screening several candidates,the trustees of the Carnegie Endowment nominated Goodnow."So far as I can judge,"Nicholas Murray Butler,president of Columbia University and a trustee,stated in a glowing recommendation to Eliot,"he is the best possible person because he unites the highest type of legal scholarship with experience in affairs as well as with very agreeable manners and personality."8 On February 21,1913, the Endowment formally notified Goodnow of his selection for a three-year term at an annual salary of $12,000.But he was also re- minded that his duties would be advisory"rather than constructive, the Chinese intending to prepare their own constitution and desir- ing an adviser to revise and modify the instrument as to make it consistent in all its parts." Goodnow arrived in Peking on May 3,1913,and immediately encountered the bitter struggle raging between President Yuan and the republican forces led by the Kuomintang in Parliament.Under such circumstances,there could be little serious effort at constitu- tion drafting."I think that this is a queer country for a college pro- fessor who like me has been accustomed to pretty straight-forward action to be having his first lessons in politics,"he remarked to Butler soon after his arrival in China.10 After a pleasant though perfunctory interview with Yuan,Good- now was assigned to work with the Bureau of Legislation,an ad- visory body attached to the Cabinet.The members of the bureau gave a dinner in his honor,but then did nothing more than inform him of postponements of meetings.Impatient with the Chinese in- difference and angry because he was disregarded,Goodnow decided to take the initiative.He was also moved to act when he learned that 8 Eliot to Butler,Jan.30,Feb.11,1913;Butler to Eliot,Feb.13,and 16,1913,Papers of the Carnegie Endowment for International Peace,Division of Intercourse and Education,Columbia University Special Collections;Eliot to Goodnow,March 18, 1913,Frank J.Goodnow Papers,Johns Hopkins University. 9 James Brown Scott to Goodnow,Feb.21,1913,Goodnow Papers. 10 Goodnow to Butler,May 18,1913,Carnegie Endowment Papers.For background on the Chinese political crisis of 1913,see Beckmann,The Modernization of China and Japan,220-223;Li,Woodrow Wilson's China Policy,78;Bose,American Attitude and Policy to the Nationalist Movement in China,chaps,2-3;Ch'en,Yuan Shih-k'ai, chaps.8-9. This content downloaded from 137.222.248.222 on Wed,24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions

502 PACIFIC HISTORICAL REVIEW negie Endowment to recommend an expert who was fully ac￾quainted with the French constitution and who could assist in draft￾ing a constitution for China. After screening several candidates, the trustees of the Carnegie Endowment nominated Goodnow. "So far as I can judge," Nicholas Murray Butler, president of Columbia University and a trustee, stated in a glowing recommendation to Eliot, "he is the best possible person because he unites the highest type of legal scholarship with experience in affairs as well as with very agreeable manners and personality."8 On February 21, 1913, the Endowment formally notified Goodnow of his selection for a three-year term at an annual salary of $12,000. But he was also re￾minded that his duties would be advisory "rather than constructive, the Chinese intending to prepare their own constitution and desir￾ing an adviser to revise and modify the instrument as to make it consistent in all its parts."9 Goodnow arrived in Peking on May 3, 1913, and immediately encountered the bitter struggle raging between President Yuan and the republican forces led by the Kuomintang in Parliament. Under such circumstances, there could be little serious effort at constitu￾tion drafting. "I think that this is a queer country for a college pro￾fessor who like me has been accustomed to pretty straight-forward action to be having his first lessons in politics," he remarked to Butler soon after his arrival in China.o0 After a pleasant though perfunctory interview with Yuan, Good￾now was assigned to work with the Bureau of Legislation, an ad￾visory body attached to the Cabinet. The members of the bureau gave a dinner in his honor, but then did nothing more than inform him of postponements of meetings. Impatient with the Chinese in￾difference and angry because he was disregarded, Goodnow decided to take the initiative. He was also moved to act when he learned that 8 Eliot to Butler, Jan. 30, Feb. 11, 1913; Butler to Eliot, Feb. 13, and 16, 1913, Papers of the Carnegie Endowment for International Peace, Division of Intercourse and Education, Columbia University Special Collections; Eliot to Goodnow, March 18, 1913, Frank J. Goodnow Papers, Johns Hopkins University. 9 James Brown Scott to Goodnow, Feb. 21, 1913, Goodnow Papers. 10 Goodnow to Butler, May 18, 1913, Carnegie Endowment Papers. For background on the Chinese political crisis of 1913, see Beckmann, The Modernization of China and Japan, 220-223; Li, Woodrow Wilson's China Policy, 78; Bose, American Attitude and Policy to the Nationalist Movement in China, chaps, 2-3; Ch'en, Yuan Shih-k'ai, chaps. 8-9. This content downloaded from 137.222.248.222 on Wed, 24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions

Embarrassed Monarchist 503 two drafts of a constitution had been prepared by persons not con- nected with the government.Goodnow and his personal secretary, Lancelot Packer,had,in fact,already drawn up a constitution, "which we would have ready for an emergency."It was now offered to the bureau,which eagerly accepted it and met regularly in June to discuss it and translate it into Chinese.11 In the following months,Goodnow sought out opportunities to expound his ideas on China's constitutional development and gain support for them.In a published interview with Li Ching-fang, president of the Constitutional News Association and a member of the parliamentary drafting committee,Goodnow stressed the need to concentrate executive and administrative power in the hands of a president,elected by the National Assembly,but otherwise mod- eled after the American system rather than the French office.12 He also agreed to give an elementary course on constitutional law at Peking University in the fall of 1913 because his lectures were pub- lished in the daily newspaper and attracted public attention."The result,"he happily noted,"is that I am getting considerable pub- licity for my views,which was what I was after."is During the summer months another lull in Goodnow's official work set in which,together with Peking's intense heat,severely tried his patience.14 Ignoring Goodnow's arguments,Yuan and the Bureau of Legislation continued to favor a premier and cabinet system of government.On the other side,the parliamentary consti- tutional committee refused to give Goodnow a hearing and called for a weak president subject to parliament's control.Since Parlia- ment,under the provisional constitution,was to approve the final document,it was very unlikely that the Kuomintang-led body would approve anything prepared by an agency controlled by Yuan or a presidential adviser.However,when the army supported Yuan 11 Goodnow to Butler,June 26,1913,Goodnow Papers. 12 Goodnow,"Dr.Goodnow's Opinions on the Constitution,"in "Constitutional Ideas of Prominent Figures,"Hsien-fa hsin-wen [The Constitution News](Peking: Hsien-fa hsin-wen she,1913-),XII,June 29,1913,pp.2-5.The author would like to thank his colleague,Professor Jonathan Porter,for directing him to the Chinese language sources used in this article,and Mr.Ger Kai-Hwa,a Ph.D.candidate in the University of New Mexico,for translating important sections into English. 13 Goodnow to Butler,Nov.2,Dec.12,1913,Goodnow Papers. 14 Goodnow to Butler,July 7,23,1913,ibid;Goodnow to John Bassett Moore,Sept. 23,1913,John Bassett Moore Papers,Library of Congress. This content downloaded from 137.222.248.222 on Wed,24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions

Embarrassed Monarchist 503 two drafts of a constitution had been prepared by persons not con￾nected with the government. Goodnow and his personal secretary, Lancelot Packer, had, in fact, already drawn up a constitution, "which we would have ready for an emergency." It was now offered to the bureau, which eagerly accepted it and met regularly in June to discuss it and translate it into Chinese." In the following months, Goodnow sought out opportunities to expound his ideas on China's constitutional development and gain support for them. In a published interview with Li Ching-fang, president of the Constitutional News Association and a member of the parliamentary drafting committee, Goodnow stressed the need to concentratexecutive and administrative power in the hands of a president, elected by the National Assembly, but otherwise mod￾eled after the American system rather than the French office.12 He also agreed to give an elementary course on constitutional law at Peking University in the fall of 1913 because his lectures were pub￾lished in the daily newspaper and attracted public attention. "The result," he happily noted, "is that I am getting considerable pub￾licity for my views, which was what I was after."' During the summer months another lull in Goodnow's official work set in which, together wilth Peking's intense heat, severely tried his patience.l" Ignoring Goodnow's arguments, Yuan and the Bureau of Legislation continued to favor a premier and cabinet system of government. On the other side, the parliamentary consti￾tutional committee refused to give Goodnow a hearing and called for a weak president subject to parliament's control. Since Parlia￾ment, under 'the provisional constitution, was to approve the final document, it was very unlikely that the Kuomintang-led body would approve anything prepared by an agency controlled by Yuan or a presidential adviser. However, when the army supported Yuan 11 Goodnow to Butler, June 26, 1913, Goodnow Papers. 12 Goodnow, "Dr. Goodnow's Opinions on the Constitution," in "Constitutional Ideas of Prominent Figures," Hsien-fa hsin-wen [The Constitution News] (Peking: Hsien-fa hsin-wen she, 1913-), XII, June 29, 1913, pp. 2-5. The author would like to thank his colleague, Professor Jonathan Porter, for directing him to the Chinese language sources used in this article, and Mr. Ger Kai-Hwa, a Ph.D. candidate in the University of New Mexico, for translating important sections into English. 13 Goodnow to Butler, Nov. 2, Dec. 12, 1913, Goodnow Papers. 14 Goodnow to Butler, July 7, 23, 1913, ibid; Goodnow to John Bassett Moore, Sept. 23, 1913, John Bassett Moore Papers, Library of Congress. This content downloaded from 137.222.248.222 on Wed, 24 Jun 2015 07:41:42 UTC All use subject to JSTOR Terms and Conditions