Tufei Yuan Ai Cuo Qiong Secretary

Tufei Yuan Ai Cuo Qiong Secretary
Empire-Building and Market-Making at the Qin Frontier: Imperial Expansion and Economic Change, 221–207 BCE. PhD dissertation, Columbia University
Empire-Building and Market-Making at the Qin Frontier: Imperial Expansion and Economic Change, 221–207 BCE. PhD dissertation, Columbia University
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This dissertation explores the relationship between the empire-building and economic change during the formative process of the Qin Empire. It employs transmitted and excavated textual materials as well as archaeological evidence to reconstruct institutions and practices of surplus extraction and economic management and their evolution during the period of Qin’s expansion culminating in the emergence of the first centralized bureaucratic empire in continental East Asia. I argue that the commercial expansion and the formation of markets for land, labor, and commodities during China’s early imperial period (221 BCE – 220 CE) can only be understood by considering their origins in the distributive command economy of the late Warring States and imperial Qin. The study focuses on the southern frontier zone of the empire, which is exceptionally well documented in the official and private documents excavated from the Qin and Han sites along the Middle Yangzi and its tributaries.
Management of migration and control over mobile populations were among the key processes that defined the emergence of the new forms of sociopolitical organization in the pre-modern world. The formation of territorial states in the Warring States world (fifth through third centuries BC) culminating in the emergence of a centralized bureaucratic empire in 221BC took place against the background of economic boom, population growth, and expansion through settlement in the wake of introduction of iron metallurgy, novel production techniques in agriculture and manufacturing, and coinage to facilitate exchange. Mobile populations such as farmer settlers, military colonists, traders, and itinerant government agents were the main target and also the key leverage of administrative and fiscal innovation that framed the institutions of the Chinese empire. These included land taxation, centralized distribution of agricultural land, economic intensification of the core regions, military settlement at the frontier, accumulation, distribution, and storage of grain to supply disaster refugees and state agents on their travels across the realm. This paper summarizes the discourse of state control over mobile populations in the political thought and practice of the late Warring States and early imperial China and explores the impact of migration management on the formation of empire's economic and sociopolitical institutions on the basis of excavated legal and administrative documents from the Qin (221-207BC) and early Western Han (202BC - 9CE) periods.
The physical mobility, or the ability of humans to move around their environment, may be considered as one of the key determinants of social life, and the capacity to grant, restrict, or otherwise control this ability was, in all historical societies, congruent with, and principal for social, political, and economic power. This paper analyses the aspects of physical mobility of the officials – the only social group in early imperial China that left over a variety of first-hand written sources reflecting their everyday experiences, practices, and concerns. I consider the controversial nature and miscellaneous manifestations of the state’s involvement in the issues of physical mobility of its subjects during the late Warring States and early imperial period. I argue that this controversy provides a background for understanding the aspects of physical mobility of the officials as reflected in the Qin and Han documents. After a brief discussion of the sources of this study – archaeologically recovered manuscripts on bamboo slips and wooden tablets – the structures of physical mobility are identified and analyzed, such as the economy and logistics of officials’ travels that included financial arrangements and regulations for sponsoring travels; means of transportation; accommodation and medical care provided to the traveling officials; and the institution of efficiency control designed to ensure that officials complied with requirements for the speed of traveling.
As a result of the increasing administrative needs in the early imperial period, the profession of scribes was liberated from being the exclusive reserve of traditional hereditary families and opened to aspirants from non-hereditary families. Based on the excavated legal and administrative texts from Liye, Shuihudi, and Zhangjiashan, this paper explores the complementary nature of the scribes and assistants to understand the opening of the scribal profession. This paper also coins a concept of " administrative literacy, " which suggests that the materiality of written surfaces is a significant factor in understanding the literacy of administrative officials in early imperial China.
Handbook of Ancient Afro-Eurasian Economies. Volume 1: Contexts
As a theoretical approach to public policy, the bureaucratic politics approach (BPA) emphasizes internal bargaining within the state and argues that policy outcomes result from a game of bargaining within the small, highly placed group of governmental actors. While the best-known BPA argument is that actors pursue policies that benefit the bureaus they represent rather than national or collective interests, bureaucratic politics studies also pay attention to other factors such as the access to information, which is in the focus of this paper. Conventionally described as the cradle of China’s imperial bureaucracy, the Qin Empire also produced the earliest evidence for the day-to-day operation of government, the county administrative archive from Liye. This archive contains documents drafted within and outside of its home Qianling County, both originals and copies. The pattern of archival storage reflects and potentially provides venue for the study of the modes of circulation, accumulation, and access to information in the bureaus of regional and local government. In this paper, I identify tentative criteria for discerning individual handwriting in the archival context for the purpose of classifying documents as “originals” or “copies”, and use some of these to illustrate the ways in which the nodes of official decision-making and control were created in and through the process of production and circulation of written documents.
This paper challenges to some degree the traditional stereotypes surrounding Qin and Han-era official scribes. It explores certain anxieties they encountered in their service to the bureaucratic hierarchy. Han texts have portrayed them as “knife-and-brush officials,” “harsh officials,” and “legal clerks,” but are silent on the realities of a scribe’s life under the unified empire. Incorporating newly unearthed administrative documents, the following study examines the processes undertaken by local scribes in preparing annual account-books to be forwarded to the next bureaucratic level. Given the complexities, tight schedule, and material constraints, to prepare such accounts could be a nightmare, even for these professionals. While struggling with endless paperwork and meager salaries, low-ranked scribes faced pressure from two quarters: the state and their superiors. By examining the legal regulations for monitoring related administrative practices as well as corruption cases pertaining to the forwarding of account-books, this paper shows that the low-ranked scribes were placed in a dilemma: to choose between the state’s regulations and the orders of their often locally-dominant superiors. Institute of History and Philology: https://www2.ihp.sinica.edu.tw/file/4569LeIKiPg.pdf
Harvard Journal of Asiatic Studies 78.2 (2018): 413-478.
https://hjas.org/ A recent article argued that “texts can be used as tools for enacting identities in social settings” (Reading Research Quarterly 44.4 (2009): 416). Considering the multitude of manuscripts yielded by fourth through first-centuries BCE burials, such a statement seems pertinent for early Chinese society as well. What does it say about the self-concept of an individual when his ability to write and / or read assumed a prominent role in funerary rites? This paper analyzes evidence of literacy that may be found in Chinese textual sources (received and archaeological) and tombs by applying identity concepts developed in anthropology and the social sciences to Chinese funerary data. It not only argues that the actual ability to write is palpable through certain kinds of texts that were associated with writing paraphernalia, but that literacy in particular was a crucial aspect of the self-representation of a particular group of people, namely the shǐ 史 (“scribes”).
In ancient China, as elsewhere, states did not simply occupy a given territory but actively engaged in the production of space by transforming landscapes, moving populations, and enacting territorial hierarchies, thus creating "state spaces," to borrow a term coined by James C. Scott. In the case of the early Chinese empires of Qin (221-207 BCE) and Han (202 BCE-220 CE), state-induced migration and settlement were key instruments of military control, administrative incorporation, economic intensification, and other processes connected with spatial distribution of state power. This article combines insights from transmitted texts, excavated documents, and archaeological evidence to explore factors and effects of migration in early Chinese empires, discussing the interconnection between state-organized resettlement and private migration as well as their embeddedness in the local geography. As the situation varies according to location, the present article introduces the approach and tests it on a case study, the Guanzhong metropolitan region.
This article offers an analysis of interrogation procedure as reflected in the legal documents drafted on bamboo and wooden strips and excavated during the past decades from Qin (221-207 B.C.) and early Former Han (206 B.C.-A.D. 9) sites. First, it is demonstrated that a considerable degree of what modern legal sociologists call “process control” was conferred upon those under interrogation, and that the application of judicial torture by the investigators was subject to strict limitations, violation of which, if detected, could result in prosecution of the officials involved. These features of judicial interrogation under the Qin and Han call for an interpretation that the present paper attempts to provide by considering the development of interrogation procedure in the context of empire-building, as one of the strategies designed to generate among the subjects of the expanding territorial state the justice-related ideas and perceptions directly associated with the law and political authority of the emerging empire rather than with the alterative agents of social justice, such as the kinship and community structures and “old” polities swallowed up in course of Qin and Han conquests. Those under interrogation were permitted to present their argumentation uninterruptedly as long as this argumentation was engaged and was built upon the discussion of the legal norms defined by the imperial government. By introducing a new framework of judicial argumentation, the architects of the emergent imperial state sought to shape the legal discourse and to direct the justice-related sentiments of their subjects.
This article investigates the regulations on grain storage and the ration system during the Qin and Han periods of China (221 BCE-220 CE), using the Shuihudi Qin legal texts and the Zhangjiashan Han legal manuscripts. The " Statutes on Granaries " (" Cang lü ") and the " Statutes on Rations at Conveyance Stations " (" Zhuan shi lü ") are compared to administrative documents from Liye and Xuanquan to demonstrate that there were significant discrepancies between these statutes and the actual distribution of food. This research on the process and the amounts of rations issued by local granaries reveals that the highly detailed regulations were designed not to guarantee a certain amount of rations to the recipients but to prevent the abuse of government property.
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Handbook of Ancient Afro-Eurasian Economies
Antonella Brita, Giovanni Ciotti, Florinda De Simini, Amneris Roselli (eds), Copying Manuscripts: Textual and Material Craftsmanship (Napoli: Università degli studi di Napoli “L'Orientale”, Dipartimento Asia Africa e Mediterraneo)
Birth of an Empire: The State of Qin revisited. Berkeley: University of California Press, 2014, pp. 1-36.
heiDOK - University of Heidelberg open access platform
Archives internationales d'histoire des sciences
Documents and Writing Materials in East Asia, edited by Tomoyuki Nagata, 1-27. (Occasional Research Reports of International Oriental Studies, no. 1).
Oriens Extremus 55 (2016): 105-166.
Handbook of Ancient Afro-Eurasian Economies. Volume 1: Contexts
Journal of the American Oriental Society
Wolfgang Behr et al., Encyclopedia of Chinese Language and Linguistics. Leiden: Brill
“Between Merit and Pedigree: Evolution of the Concept of ‘Elevating the Worthy’ in pre-imperial China,” in: Daniel Bell and Li Chenyang, eds., The Idea of Political Meritocracy: Confucian Politics in Contemporary Context. Cambridge: Cambridge University Press, 2013: 161-202.
“Reassessing Textual Sources for Pre-Imperial Qin History,” in Sergej Dmitriev and Maxim Korolkov, eds., Sinologi Mira k iubileiu Stanislava Kuczery: Sobranie Trudov. (Uchenye Zapiski Otdela Kitaja 11). Moscow: Institut Vostokovedeniia RAN, 2013: 236-263.

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