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The political theories of Ku Yen-wu and the Manchu Conquest Ku, Wei-Ying 1983

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THE POLITICAL THEORIES OF KU YEN-WU AND THE MANCHU CONQUEST By WEI-YING KU B.A., The National Taiwan University, 1969 M.A., The National Taiwan University, 1973 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY in THE FACULTY OF GRADUATE STUDIES (Department of History) We accept this thesis as conforming to the required standard. THE UNIVERSITY OF BRITISH COLUMBIA August 1983 ®Wei-ying Ku, 1983 In p r e s e n t i n g t h i s t h e s i s i n p a r t i a l f u l f i l m e n t o f the o f B r i t i s h Columbia, I agree t h a t the L i b r a r y s h a l l make i t f r e e l y a v a i l a b l e f o r r e f e r e n c e and study. I f u r t h e r agree t h a t p e r m i s s i o n f o r e x t e n s i v e copying of t h i s t h e s i s f o r s c h o l a r l y purposes may be granted by the head o f my department o r by h i s o r her r e p r e s e n t a t i v e s . I t i s understood t h a t copying or p u b l i c a t i o n of t h i s t h e s i s f o r f i n a n c i a l g a i n s h a l l not be allowed without my w r i t t e n p e r m i s s i o n . requirements f o r an advanced degree a t the U n i v e r s i t y Department of The U n i v e r s i t y o f B r i t i s h Columbia 1956 Main Mall Vancouver, Canada V6T 1Y3 Date DE-6 (3/81) i i The P o l i t i c a l Theories of Ku Yen-wu and the Manchu Conquest ABSTRACT Of the many themes in the history of China, an important one is the persistence and effectiveness with which the Chinese managed to rule their huge country and keep i t unified. Many explanations for this have been given, such as the diffusion of Confucian ideology, and the integrative powers of the c i v i l service examination system. However, there was one phenomenon which influenced the longevity of the Chinese empire which has not received as much attention as i t deserves, that i s , Chinese theories of different types of local government. To be sure, there have been some studies on this topic. But the studies which have appeared have basically dealt with the institutional aspects of local government. Few, i f any, have explored this topic through a case study of the thought of one crucial historical individual. This thesis does not offer a synoptic examination of seventeenth-century local governments, but tries to achieve a better understanding of i t through the study of the thought of Ku Yen-wu (1613-1682), a key figure during the transitional period of early modern China. Ku was chosen not only because of the historical significance of his time and his crucial importance during his lifetime, but also because his thought about the problems of local power was the centerpiece of his p o l i t i c a l theorizing. i i i The thesis begins with an introduction which presents the general setting of seventeenth century China and the historiographical issues which i t raises. This i s followed by a chapter discussing Ku's family background and the great events in which he was involved during his formative years, and their effects upon him. The next three chapters are concerned with Ku's theoretical assessments of the development of different kinds of local power structures, and the.relevance of such local power structures as he saw i t to the dilemmas of China at the time of the Manchu conquest, which Ku Yen-wu hated. In these chapters, I shall examine Ku Yen-wu's views of the ideal and the real roles in the social order of such pivotal figures as the yamen clerks (hsli-li), and the local licentiates (sheng-yuan). More important, I shall attempt to elaborate Ku's basic anxieties about, and his solution to, the problems of the defense of China, which he related to the strengthening of the l o c a l i t i e s . In other words, the focus of this study i s on the interaction between Ku Yen-wu himself and the rapidly changing China of the Manchu conquest. I w i l l argue that many of the proto-bourgeois ideas which have been attributed to Ku were actually Confucian reactions to the corrupted social customs, an increasingly despotic central government, and the foreign conquest of China, rather than the pioneering declarations of the arrival of an era of "sprouting" capitalism which some scholars, both foreign and Chinese, have seen them to have been. The significance of Ku in the history of China i s discussed in the last chapter. This thesis attempts to specify some of the specific social features which a great scholar like Ku Yen-wu thought should be associated with a system of strong local power in seventeenth-century China. I hope this study iv w i l l provide a better insight into the thought of Ku Yen-wu and the society in which he lived. I hope also to suggest briefly how Chinese actions and reactions towards the Western challenge since the middle of the nineteenth century may have owed something to the thought of Ku Yen-wu. V TABLE OF CONTENTS Page Abstract i i Acknowledgement v i i I. The Modern Debate over Ku Yen-wu 1 The Importance of Ku's P o l i t i c a l Thought 1 The Study of Ku Yen-wu in a Historiographical Context 6 Sources 28 II. Ku Yen-wu's Formative Years (1613-1657) 38 The Decline of Ku's Family 38 The F a l l of the Ming and the Involvement of Ku in Local Resistance 47 Seventeenth-Century Serf Revolts and the Case of Lu En 58 The Many Possible Motivations of Ku's Famous Journey to North China 69 Ku's Earlier Life Experiences Reviewed 76 III. Local Power in China: Its History and Ku's Basic Concerns 84 The Historical Model of Chinese Local Government 86 The Decline of Local Autonomy 91 The Peculiar Tyranny of Clerks in Late Ming Local Government 105 Ku's Ideal Policy and his Search for Ideal Institutions 110 Ku's Local Consciousness and his Attitude Towards Foreigners 118 Foreigners and Ku's Perception of Cultural Decay 128 Ku Yen-wu's Basic Concerns 135 IV. The Administrative and Educational Aspects of Ku's 142 Ideal Policy The Formal Structure of Ku's Ideal Local Government 142 v i Page Local Administration as a Community Focus 161 Local Education and the Circulation of the E l i t e 176 Ku's Proposed Reforms Concerning the Recruitment of Men of Talent 193 V. Social Control and Economic Self-Sufficiency in Ku's Thought 206 The Restoration of Subcounty Offic i a l s and the Problem of Local P o l i t i c a l Organization 206 Social Customs (feng-su) and Social Order 212 Ku's Scheme of Social Harmony in the Perspective 229 Ku's View of the Problems of the Local Economy 236 In Search of Local Economic Autonomy 245 Ku's Personal Effort to Establish an Independent 257 Economic Base VI. A Review of Ku Yen-wu's P o l i t i c a l Theory and His Historical 265 Significance A Complete Picture of Ku's Ideal Policy 265 The Shifts in Views of Ku's Historical Importance in 272 Late Imperial China Ku's reputation in his own later years 272 Ku's second-generation admirers 276 Ku's nineteenth-century admirers 279 Ku in twentieth-century China 288 An Evaluation of Ku's Ideas and Proposals 295 Notes and Bibliography 308 Footnotes 309 Notes on Major Primary Sources 348 Bibliography 351 Glossary of Chinese Names and Terms 367 v i i ACKNOWLEDGEMENT In the course of my work there are many people to whom I owe my debt of gratitude. First of a l l , I would like to thank my thesis supervisor, Professor Alexander Woodside, who inspired and instructed me throughout the process of the writing. As a foreign student with very different cultural background, I have imposed much extra burden on him, which can hardly be imagined by an outsider. I would also like to thank Professor Edgar Wickberg for his encouragement and help. Thanks also be to the help from the Asian Library, the Department of History of the University of British Columbia, and National Taiwan University which made the completion of this thesis possible. If there are any merits in this thesis, that i s due to the wise instructions and sensible helps I received from the aforementioned persons and institutions. Needless to say, none of them should be responsible for any defects in this thesis. Last, but not least, I would like to thank my wife, Ch'ing-ch'ing, for her support in the true sense of the word throughout these years. 1 Chapter One: The Modern Debate Over Ku Yen-wu The Importance of Ku's P o l i t i c a l Thought This t h e s i s i s mainly concerned w i t h the background, nature and s i g n i -f i c a n c e of Ku Yen-wu's p o l i t i c a l thought, e s p e c i a l l y i n reference to h i s ideas on l o c a l community and government. In i t , I attempt to c l a r i f y some misunderstandings about h i s thought, s p e l l out the r e l a t i o n s h i p between the Manchu conquest and h i s p o l i t i c a l thought, and o f f e r a b e t t e r i n t e r p r e t a t i o n of h i s thought and behavior. There are three reasons behind the s e l e c t i o n of t h i s theme. F i r s t l y , the time the seventeenth century-—was c r u c i a l i n the development of Chinese h i s t o r y ; secondly, the man Ku Yen-wu was one of the most impor-tant t h i n k e r s of the time; t h i r d l y , the study of Ku's p o l i t i c a l thought i s inadequate. The study of Ku's p o l i t i c a l thought w i l l c o n t r i b u t e to the knowledge of the time and the man. The seventeenth century was one of paramount importance i n Chinese h i s t o r y , perhaps comparable only to the Warring States period (480-221 B.C.) and the t w e n t i e t h century. Scholars of the time witnessed economic develop-ment and s o c i a l d i v e r s i f i c a t i o n , e s p e c i a l l y i n the Kiangnan area. P o l i -t i c a l l y , they s u f f e r e d the h u m i l i a t i o n not only of seeing the e x i s t i n g dynasty c o l l a p s e but w i t n e s s i n g the conquest of China by non-Chinese. Their predicament was i n t e n s i f i e d by the p r e v a i l i n g i n d o c t r i n a t i o n of Neo-Confucianism, which emphasized the v i r t u e of u n c o n d i t i o n a l l o y a l t y to one dynasty. The t e n s i o n , a n x i e t y , and even to some extent the sense of g u i l t caused by the Manchu conquest g r e a t l y i n f l u e n c e d the t h i n k i n g of Chinese scholars at t h i s time. Many despondently gave up t h e i r c a r e e r s . Some of those w i t h 2 the greatest p o l i t i c a l a p t i t u d e s and i n t e r e s t s r e f l e c t e d on these events and sought to answer the nagging question: what was wrong w i t h the Ming govern-ment? Huang Tsung-hsi (1610-1695) pointed the f i n g e r at the monarch's s e l f i s h n e s s and abuse of power, and considered the r e s t o r a t i o n of the a u t h o r i t y of the Prime M i n i s t e r ( T s a i - h s i a n g ) , which had been abolished by the founder of the Ming dynasty, as a s o l u t i o n to the problem."'" Ku Yen-wu, on the other hand, looked at the lower s t r a t a of s o c i e t y and pr e s c r i b e d an i d e a l l o c a l government as the necessary foundation f o r a p e r f e c t p o l i t y . Ku wrote e x t e n s i v e l y on iss u e s such as how to reorganize a l o c a l government; the r e l a t i o n s h i p between l o c a l and c e n t r a l government; and how to r e c r u i t t a l e n t e d o f f i c i a l s . In e f f e c t , h i s proposals f o r an i d e a l l o c a l p o l i t y stand as the core of h i s p o l i t i c a l t h i n k i n g . One r e c u r r i n g and important i s s u e i n the h i s t o r y of Chinese p o l i t i c a l thought has been the debate over the advantages and disadvantages of what one might c a l l the " d e c e n t r a l i z a t i o n system" (feng-chien) and i t s opposite, the " c e n t r a l i z a t i o n system" (chun-hsien). In other words, the focus of the con-t r o v e r s y was on the p o l i t i c a l advantages and disadvantages of r e l a t i v e l y autonomous l o c a l power as opposed to a c e n t r a l i z e d a u t h o r i t a r i a n s t a t e . (The term "feudalism", the normal t r a n s l a t i o n of feng-chien, w i l l not be used i n t h i s t h e s i s i n order to avoid any misleading impressions; s i n c e the advent of Marxism i n China the term "feudalism" has come to possess new meanings suggested by Western s o c i a l and economic thought.) D i s c u s s i o n of t h i s i s s u e can be traced back to the Ch'in dynasty i n the 2 t h i r d century B.C. The f i r s t emperor of the Ch'in had favoured a cen-t r a l i z e d p r e f e c t u r a l system, arguing that f e u d a l s t a t e s tended to wage wars aga i n s t each other, as i n Late Chou times, and that i n circumstances of such d i s o r d e r the emperor would have a hard time keeping the country i n order. 3 Despite i t s founder's wishes, the Ch'in dynasty lasted only fifteen years. Learning from the lesson of the i l l - f a t e d Ch'in policies, and, at the same time, being aware of the shortcomings of the Chou decentralized feng-chien system, the Han dynasty (206 J3,C.-A.D. 220) had tried a compromise system. The emperor Liu Pang divided the empire into both "prefectures" (chtin) and "kingdoms" (kuo). This policy of compromise did not produce a satisfactory result, as i t ended in the Rebellion of the Seven Kingdoms in 154 B.C., which almost cost the Han the mandate of heaven. And the debate lingered on. In the debate, four topics stood out: The powers of endurance of a dynasty; public (kung) versus private or selfish (ssu) interest; the "ancient-is-right" (shih-ku) versus the "present-is-right" (shih-chin) idea; and the theme of "rule by man" (j en-chih) versus the theme of "rule by law" (fa-3 chih). To oversimplify the problem somewhat, the people in favour of feng- chien tended to argue that the decentralization system could unite the empire longer. The proponents of this idea were more concerned with public welfare. They regarded things in ancient times as having been better, and they thought that the most important step towards a perfect society would be to put virtuous people in high positions, The chun-hsien advocates, on the other hand, tended to be more oriented towards a Legalist fondness for the present and for the rule of laws. Both utilized a great many facts drawn from Chinese history to support their respective arguments. One important reason for the support which the decentralization system enjoyed was that the feng-chien ideal had been the principal policy during China's golden age the Three Dynasties. Confucian scholars always looked back with nostalgia to the Three Dynasties for their institutional model. The Duke of Chou had been the f i r s t important sage for Confucian scholars to imitate, along with his feng-chien system. 4 The association of this system with ancient sages met i t s strongest and most eloquent challenge from the late T'ang philosopher Liu .Tsung-yuan (773-814). In his provocative essay on the feng-chien system, Liu dealt a seemingly fata l blow to the myth which had upheld the feng-chien system that i t had been the ingenious design of the ancient sage rulers and declared that, on the contrary, this system had been the result of a h i s tor ica l neces-s i ty forced upon them by social developments. Liu's argument was presented as follows: In struggling for l i f e and for gain in a primitive society, i t was natural for t r i b a l groups to develop into a larger group or to be controlled by another group. Similarly, in later times, i t was natural for large t r i b a l groups to unite under a feudal lord whose power was hereditary because he was the leader of the group by consent. F ina l ly , i t was natural for a king to transcend the feudal states. After their conquests, the founders of the ancient Shang and Chou dynasties continued enfeoffment because they were obliged to reward their assistants . . . Feng-chien was not the design of 4 the sages, but.a product of circumstantial forces (shih). This rational approach undercut a basic assumption of the decentralization advocates and won Liu the reputation of being a leading Legalist of his time."' However, the feng-chien idealists s t i l l hung on. In the Sung dynasty (.960-1279), there was a resurgence of the feng- chien cause. This time i ts advocates did not talk extensively about the origins of the system, but rather expounded the advantages of a build-up of 5 many s t a t e s of l i m i t e d s i z e i n keeping i n t e r n a l order and i n defending against f o r e i g n aggression. This new emphasis was ob v i o u s l y a r e a c t i o n to the i n c r e a s i n g c e n t r a l i z a t i o n of the Sung, and the precarious f r o n t i e r s i t u a t i o n which China had at the time. The i s s u e was s t i l l very much a l i v e even a f t e r the i m p e r i a l era ended. In the e a r l y years of the present century, the r e v o l u t i o n a r y c l a s s i c i s t Chang T'ai-yen (1867-1936), wanting to play down the importance of representa-t i v e democracy i n modern China, argued that a " r e p r e s e n t a t i v e system i s but a v a r i a t i o n of feng-chien." The debate a l s o r e c u r s i n the Republican era i n the d i s c u s s i o n of " l o c a l self-government" ( t i - f a n g t z u - c h i h ) , which was very much i n vogue a f t e r 1911 and appealed to those s u f f e r i n g under the chaos of the e a r l y years of the Republic. The most i n t e r e s t i n g and i r o n i c a l p o i n t w i t h regard to t h i s debate, however, has to do w i t h n a t i o n a l defense. In the past, the feng-chien supporters l i k e d to s t r e s s the d e c e n t r a l i z a t i o n system as the best p o l i t i c a l form f o r defense against f o r e i g n i n v a s i o n , w h i l e Yuan S h i h - k ' a i (1859-1916) thought c e n t r a l i z a t i o n was the best defense against the formidable new f o r e i g n encroachment.^ During the Ming-Ch'ing t r a n s i t i o n , p o l i t i c a l t h i n k e r s who faced i n t e r n a l r e b e l l i o n and e x t e r n a l i n v a s i o n , n a t u r a l l y took a stand on the feng-chien versus chun-hsien i s s u e . Among them, Ku was one of the most i n f l u e n t i a l . B a s i c a l l y Ku Yen-wu was a supporter of the d e c e n t r a l i z a t i o n i d e a l , but he had h i s r e s e r v a t i o n s . He recognized the i r r e t r i e v a b i l i t y of some ancient i n s t i t u t i o n s , and understood the n e c e s s i t y of a c e n t r a l i z e d a d m i n i s t r a t i v e framework. What he proposed was to i n s i n u a t e the i d e a l of d e c e n t r a l i z a t i o n i n t o the c e n t r a l i z e d system. This point of view stands between these two p o l a r i t i e s . Ku leaned towards the feng-chien s i d e w i t h some q u a l i f i c a t i o n s . In a d d i t i o n to h i s ideas on l o c a l community and government, Ku a l s o 6 had some thoughts on non-Chinese peoples and f o r e i g n c u l t u r e . In the n i n e -teenth century, many p o l i t i c a l t h i n k e r s such as Feng Kuei-fen (1809-1874) were i n f l u e n c e d by Ku. Ku's a t t i t u d e towards f o r e i g n e r s and f o r e i g n c u l t u r e s had helped to shape the h i s t o r y of China's response t o the West's challenges. Not only d i d Ku hold a v a r i e t y of p o l i t i c a l concepts which occupied an important p o s i t i o n i n the h i s t o r y of Chinese p o l i t i c a l i d e a s, he a l s o s t r o n g l y i n f l u e n c e d h i s contemporaries and s c h o l a r s who came a f t e r him. Even when Ku was s t i l l a l i v e , someone made an attempt to become famous by g f a l s i f y i n g a conversation w i t h him. At l e a s t two prominent s c h o l a r s , v i z . , Feng Kuei-fen and Chang T'ai-yen, changed t h e i r names i n honour of Ku. Two books were w r i t t e n i n emulation of Ku's famous J i h - c h i h l u (A Record of D a i l y 9 Knowledge) . S t i l l many others such as Wang Chung (.1744-1794) and Tseng Kuo-fan (1811-1872) /were s t r o n g l y i n f l u e n c e d by him."^ Consequently, a study of the p o l i t i c a l thought of Ku Yen-wu i s both important and rewarding work. An understanding of Ku w i l l c o n t r i b u t e to the knowledge of the development of the feng-chien versus chiln-hsien debate, and consequently to a b e t t e r knowledge of the Chinese p o l i t i c a l t r a d i t i o n . Moreover, i t w i l l c o n t r i b u t e to the understanding of China's response to the West i n the nineteenth century. The Study of Ku Yen-wu i n a H i s t o r i o g r a p h i c a l Context While the study of the l i f e and thought of Ku Yen-wu has not been i n t e n -s i v e , i t has nonetheless been the subject of extensive i n t e r e s t i n Taiwan, mainland China, Japan and North America. Many sch o l a r s who have studied seventeenth-century China have discussed Ku i n one way or another. Some 7 misunderstand him; others have a s u p e r f i c i a l knowledge of h i s thought; s t i l l o thers have a profound knowledge of h i s s c h o l a r s h i p i n " e v i d e n t i a l " r e s e a r c h " (k'ao-chu). However, a systematic study of the background and nature of h i s p o l i t i c a l thought has yet to appear. The study of h i s t o r y i n China has changed s i n c e the May Fourth Move-ment. These changes r e f l e c t e d very f a i t h f u l l y the c l i m a t e of o p i n i o n during the Movement: the t o t a l r e j e c t i o n of t r a d i t i o n and a reverence f o r demo-cracy and f o r science as w e l l as f o r n a t i o n a l i s m . Quite a few books were w r i t t e n under these i n f l u e n c e s . Consequently, Ku Yen-wu came to be regarded by some Chinese as a great scholar w i t h democratic ideas, a s c i e n t i f i c method, and n a t i o n a l i s t i c i n c l i n a t i o n s . In h i s books C h ' i n g - t a i hsueh-shu k a i - l u n (The I n t e l l e c t u a l Trends i n  the Ch'ing Period) and Chung-kuo chin-san-pai-nien hsueh-shu s h i h (An Aca- demic H i s t o r y of China i n the Last Three Hundred Y e a r s ) , Liang Ch'i^ch'ao (1873-1929) t r e a t s Ku as the pioneer i n the " s c i e n t i f i c method""'""'" and the 12 study of the c l a s s i c s during the Ch'ing. Liang regards Ku's academic 13 a c t i v i t i e s as a r e a c t i o n to Ming Neo-Confucianism. He s p e c i f i c a l l y men-14 t i o n s that Ku's s i g n i f i c a n c e i s l a r g e l y due to h i s i n t e g r i t y . However, Liang's a r t i c l e deals only w i t h Ku's s c h o l a r s h i p and does not study Ku's p o l i t i c a l thought. In 1937, P r o f e s s o r Ch'ien Mu wrote a book a l s o t i t l e d An Academic  H i s t o r y of China i n the Last Three Hundred Years. In i t , P r ofessor Ch'ien r e j e c t s L i a n g 1 s statement that Ku was the pioneer of Ch'ing s c h o l a r s h i p . According to Ch'ien, Ku simply continued the i n t e l l e c t u a l trends which had already been extant s i n c e the Ming. Ch'ien a l s o d e s c r i b e s Ku's p o l i t i c a l ideas and c a l l s our a t t e n t i o n to Ku's emphasis on s o c i a l customs (feng-su) and l o c a l self-government ( t i - f a n g c t z u - c h i h ) . Ch'ien does not study Ku's 8 p o l i t i c a l thought i n any systematic way, however, nor does he i n q u i r e deeply i n t o i t s background. Other s c h o l a r s such as Ho I-k'un and Hsieh Kuo-chen have a l s o w r i t t e n books on Ku. They tend to p r a i s e Ku's ideas as the equals of those of pro-g r e s s i v e Western t h i n k e r s . Ku's "democratic a t t i t u d e " and h i s idea of 16 "workers being sacred" (lao-kung shen-sheng) are s p e c i f i c a l l y mentioned. These judgements of Ku's t h i n k i n g are dubious. Nonetheless, some p a r t s of Hsieh's book, such as the study of Ku's f r i e n d s and w r i t i n g s , are v a l u a b l e research m a t e r i a l s on Ku."^ Since 1949, i n t e l l e c t u a l development i n general and the study of h i s t o r y i n p a r t i c u l a r have been very d i f f e r e n t i n Taiwan from what they have been i n mainland China. Some s c h o l a r s , equipped w i t h t r a d i t i o n a l knowledge and t r a i n i n g i n modern s c h o l a r s h i p , have been able to use updated methodologies of the humanities i n t h e i r research i n t o the past. There are s e v e r a l a r t i c l e s on Ku which are good examples. Profes s o r Tu Wei-yun's "Ku Yen-wu yu C h ' i n g - t a i l i - s h i k'ao-chu hsueh-p'ai c h i h hsing-ch'eng" (Ku Yen-wu and the formation of the Ch'ing School of H i s t o r i c a l E v i d e n t i a l Research) gives 18 us a good d e s c r i p t i o n of the nature of Ku's h i s t o r i c a l methodology. Pr o f e s s o r Shih Chin has w r i t t e n two a r t i c l e s on Ku. One i s "Ku Yen-wu ch i n g - s h i h ssu-hsiang t e chi e h - h s i e n " (The l i m i t a t i o n of Ku Yen-wu's s t a t e -c r a f t t h i n k i n g ) , and the other i s "Ku Yen-wu ch i n g - s h i h ssu-hsiang chung 'pu-pie n ' yii 'pien' kuan-nien c h i h yen-chiu" (The study of 'non-change' and 19 'change' ideas i n Ku Yen-wu's s t a t e c r a f t t h i n k i n g ) . These a r t i c l e s were new and i n t e r e s t i n g attempts to analyse Ku's s t a t e c r a f t ideas, though Shih does not elab o r a t e h i s themes s u b s t a n t i a l l y . Many other s c h o l a r s ' works on Ku are s i m i l a r to those of the pre-modern p e r i o d . The e v a l u a t i o n of Ku's s i g n i f i c a n c e made by sc h o l a r s of 9 20 Taiwan i s s t i l l mainly m o r a l i s t i c . Ku i s f r e q u e n t l y regarded as a man of p r a c t i c a l l e a r n i n g (shih-hsueh) i n time of c r i s i s . The "great n a t i o n a l i s t i c cause" (ming-tsu t a - i ) , p a r t i c u l a r l y expressed i n Ku Yen-wu's obedience of the r u l e of "not ser v i n g two d y n a s t i e s " (pu-shih e r - h s i n g ) , has been some-th i n g they have p r o f u s e l y admired. This i s n a t u r a l and understandable when one considers the s i m i l a r i t y between the f a l l of Nanking i n 1645 and the f a l l of the same c a p i t a l c i t y over three hundred years l a t e r . In p a r t i c u l a r , s e v e r a l a r t i c l e s are e s p e c i a l l y s i g n i f i c a n t because t h e i r authors l i v e o u t s i d e China w h i l e w r i t i n g f o r Chinese readers. P r o f e s -sor P'an Chung-kuei's "T'.ing-lin yin-yu s h i h ho-lun" (On the i m p l i c a t i o n of Ku Yen-wu's secret poems) and "Ku T ' i n g - l i n yiian-j i h s h i h c h i h yen-chiu" (The study of Ku T ' i n g - l i n ' s poems on New Year's Day) r e s t o r e s Ku's pub-l i s h e d , though censored, poems to the o r i g i n a l t e x t , thus making h i s poems 21 more l o g i c a l and s e n s i b l e . The t h i r d a r t i c l e was Professo r Mou Jun-sun's "Ku Ning-jen hsueh-shu c h i h yuan-yuan k'ao-chu hsueh c h i h h s i n g - c h ' i c h i c h ' i fang-fa c h i h y u - l a i " (Ku Yen-wu's academic o r i g i n the r i s e and the 22 o r i g i n of the methods of the school of e v i d e n t i a l r e s e a r c h ) . Mou tra c e s i n d e t a i l the o r i g i n s of Ku's s c h o l a r s h i p to Chu H s i (1130-1200) and many other Sung s c h o l a r s , e s p e c i a l l y Huang Tung-fa (ca. 1250), and s p e c i f i e d that 23 Ku was not anti-Neo-Confucianism, as Liang Ch'i-ch'ao claimed him to be. Mou als o s t a t e s that the r i s e of the school of e v i d e n t i a l research was i n s p i r e d by Wang Y i n g - l i n (1223-1286) and even Chu H s i , and was intended to r e c t i f y the i m p r a c t i c a l i t y and shallowness of the Ming sc h o l a r s i n order to 24 r e s t o r e the study of the Sung s c h o l a r s . This work i s a good complement to the study of Ku's academic o r i g i n . The second a r t i c l e i s Dr. Y i n g - s h i h Yii's " C h ' i n g - t a i ssu-hsiang s h i h t e i-ke h s i n - c h i e h - s h i h " (Towards a new 25 i n t e r p r e t a t i o n of the Ch'ing i n t e l l e c t u a l h i s t o r y ) . S i g n i f i c a n t l y , Dr. Yii presents an i n t e r p r e t a t i o n of Ch'ing s c h o l a r s h i p from the p e r s p e c t i v e of the i n t e r n a l development of Neo-Confucianism. He r e j e c t s the conventional i n -t e r p r e t a t i o n , which regards the r i s e of Ch'ing s c h o l a r s h i p as the product of the Manchus' suppressive p o l i c y . He a l s o does not accept the theory of China's Enlightenment i n i t i a t e d by P r o f e s s o r Hou Wai-lu. Dr. Yu uses Ku's famous t h e s i s "the study of l i . ( p r i n c i p l e ) i s the study of the c l a s s i c s " (ching-hsiieh c h i l i - h s u e h ) :to .confirm the trend away from the Lu-Wang school's emphasis of tsun t e - h s i n g (honouring the moral nature) to., the Ch'eng-Chu school's emphasis on tao wen-hsueh ( f o l l o w i n g the path of i n q u i r y and study) which had p r e v a i l e d s i n c e the l a t e Ming. Dr. Yu's i n t e r p r e t a t i o n i s very profound, but i t does not d i s c u s s Ku's s c h o l a r s h i p i n d e t a i l . The r i s e of Ku's p o l i t i c a l , and even i n a sense of h i s i n t e l l e c t u a l a c t i v i t i e s , which w i l l be elaborated i n t h i s t h e s i s , i s a t t r i b u t a b l e mainly to the Manchu conquest. Ku's famous t h e s i s that "the study of JLi i s the study of the c l a s s i c s " was o r i g i n a l l y a r e a c t i o n to the 2 6 "mind s c h o o l " of the l a t e Ming, which i n Ku's view, was the cause of the d e c l i n e of the Ming. Dr. Yii's o b s ervation helps us b e t t e r understand the l a t e r development of the Ch'ing s c h o l a r s h i p , but not the background of Ku's thought. I n mainland China on the other hand, the study of Ku's thought and h i s time was in v o l v e d w i t h two major i s s u e s . The t o p i c of peasant u p r i s i n g s , of which there had been many during the Ming-Ch'ing t r a n s i t i o n , was widely discussed w i t h the r i s e of the new regime. The problem of "sprouting c a p i -t a l i s m " a l s o engendered heated debate i n the 1950's. The focus of t h i s debate was the socio-economic c o n d i t i o n s of Ku Yen-wu's time. Thus the study of Ku Yen-wu was involved i n these debates and d i s c u s s i o n s . Hua Shan and Wang Keng-t'ang wrote an a r t i c l e e n t i t l e d "Lun Ku Yen-wu 27 ssu-hsiang" (On the thought of Ku Yen-wu), i n which they p r a i s e d Ku's 11 " p a t r i o t i s m , " which they claimed surpassed the t r a d i t i o n a l " f e u d a l i s t i c l o y a l i s m to the throne." They stated that Ku's philosophy was m a t e r i a l i s t i c , whereas h i s s o c i o - p o l i t i c a l ideas were i d e a l i s t i c . In s h o r t , Ku was a t h i n k e r of the "enlightened l a n d l o r d c l a s s . " This o p i n i o n of Ku's p a t r i o -t i s m was challenged by Shen Chia-jung. In h i s a r t i c l e "Lun Ku Yen-wu t e 28 ai-kuo ssu-hsiang" (On Ku Yen-wu's p a t r i o t i c thought), Shen downgraded the i s s u e of the nature of Ku's p a t r i o t i s m to an appeal to rescue the l a n d l o r d 29 c l a s s . Ku's p a t r i o t i s m was, according to Shen, s t r i c t l y class-bound, 30 f e u d a l i s t i c , and c h a u v i n i s t i c . S i g n i f i c a n t l y enough, n e i t h e r a r t i c l e d e a l t w i t h Ku's ideas on l o c a l community and government. There are s t i l l other essays and books which d i s c u s s Ku and h i s w r i t i n g s , but some are not a v a i l a b l e , w h i l e i n others, Ku's thought i s only touched 31 upon m a r g i n a l l y . The most d e t a i l e d treatment of Ku's thought i s perhaps found i n the t h i r d chapter of P r o f e s s o r Hou Wai-lu's Chung-kuo t s a o - c h ' i . ch'i-meng ssu-hsiang s h i h (The H i s t o r y of E a r l y Chinese Enlightenment  Thought). Hou regards the Ming-Ch'ing t r a n s i t i o n a l p eriod as the " E n l i g h t -enment" of China. The three c h a r a c t e r i s t i c s which Lenin b e l i e v e d had dominated the Russian Enlightenment i n the nineteenth century are a l s o t r a n s f e r r e d by Hou to seventeenth-century China: they were, f i r s t l y , a great h o s t i l i t y to the a g r i c u l t u r a l s e r f (nung-nu) system and a l l the phenomena created by t h i s system; secondly, the strong advocacy of a Western European-l i k e l i f e s t y l e , e s p e c i a l l y i t s education, i t s self-government, and i t s l i b e r t y ; and t h i r d l y , the f i r m promotion of the i n t e r e s t s of the people, 32 e s p e c i a l l y of the peasant. With these p o i n t s as h i s frame of re f e r e n c e , Hou's a n a l y s i s of the thought of many Chinese s c h o l a r s of t h i s p eriod portrayed them as the spokes-men of such an Enlightenment. Among ot h e r s , Ku Yen-wu was f r e q u e n t l y 12 claimed to be one of the leaders of the presumed Enlightenment. Ku un-doubtedly had c r i t i c i z e d the dark s i d e of the s o c i e t y of h i s time, such as the shortcomings of the eight-legged essay, and Hou took t h i s as an a t t a c k 33 on " f e u d a l " s o c i e t y as a whole. Ku had undoubtedly d i f f e r e n t i a t e d between the f a l l of a s t a t e (wang-kuo) and the f a l l of the Chinese empire (wang  t ' i e n - h s i a ) , and had suggested that the r e s p o n s i b i l i t y f o r the f a l l of a s t a t e was that of the monarch and h i s o f f i c i a l s , but the r e s p o n s i b i l i t y f o r the f a l l of the Chinese empire belonged to everyone i n the s o c i e t y . This p o i n t i s one of Ku's l e g a c i e s and w i l l r e c e i v e f u l l treatment l a t e r i n t h i s t h e s i s . Hou claimed that Ku's viewpoint about "everyone's r e s p o n s i b i l i t y " was 34 d e f i n i t e l y a "pr o t e s t against the f e u d a l system". I t goes without saying t h a t Ku's advocacy of the feng-chien i d e a l and "pure d i s c u s s i o n " ( c h ' i n g - i ) was regarded by Hou as exemplifying Lenin's second f e a t u r e of the Russian 35 Enlightenment. Furthermore, Hou even compared Ku's ideas about "pure 3 6 d i s c u s s i o n " w i t h the p r i n c i p l e s of B r i t a i n ' s Magna Charta, and thought that Ku's d i s c u s s i o n of " s o c i a l customs" embodied the i n c i p i e n t idea of a 37 parliamentary system. As f o r whether Ku had any p o p u l i s t sympathy f o r the people, Hou q u i c k l y mentioned Ku's proposals f o r the reform of county government and f o r the c o l l e c t i o n of taxes i n k i n d . In Ku's mind, an i d e a l county government was b a s i c a l l y one i n which more power was put i n t o the hands of the county magistrate so that he could create a government s i m i l a r to an extended f a m i l y . I f that happened, Ku b e l i e v e d , the county would become a model l o c a l i t y , because the magistrate would regard i t s government as the management of h i s own property. Hou used t h i s point of Ku's to 38 suggest t h a t Ku might be proposing the people's r i g h t to p r i v a t e property. Ku's taxes i n k i n d p o l i c y was, i n Hou's eyes, the r e s u l t of h i s compassion 13 39 f o r the peasant. In sum, Ku could be made to l o o k l i k e the champion of 40 the demands of an enlightened b o u r g e o i s i e . At f i r s t glimpse, a l l these arguments, backed by Hou's frequent quotations from Hegel, Marx, Engels and Lenin, look s o l i d enough. But i f one probes them, one can not escape f e e l i n g that Hou was overzealous i n f i n d i n g p a r a l l e l s to the Enlightenment i n Chinese h i s t o r y . Many of Ku's a f o r e -mentioned ideas could be i n t e r p r e t e d i n d i f f e r e n t or even c o n t r a r y ways. 41 Ku's c r i t i c i s m of some Ming i n s t i t u t i o n s was intended not as Hou argued, to destroy the whole bureaucracy, but to improve the i n s t i t u t i o n s i n question and thus strengthen the whole system. Ku's view about "everyone's respon-s i b i l i t y " was perhaps merely h i s attempt to awaken a consciousness of com-munity among the Chinese people, as a f i r s t step towards r e s t o r i n g the Ming dynasty. Ku's feng-chien and c h ' i n g - i i d e a l s could be regarded as r e f l e c t i n g h i s i n t e n t i o n to increase l o c a l power, and r e c t i f y the corrupt s o c i a l customs of the country. As f a r as I can see, Ku's proposals f o r the reform of Chinese government and s o c i e t y had nothing to do w i t h the championship of the r i g h t to p r i v a t e property. L a s t l y , although Ku's advocacy of taxes i n kind was meant to a l l e v i a t e the peasant's f i n a n c i a l burdens, i t c o n t r a d i c t e d Lenin's second f e a t u r e of the Enlightenment. By e a r l y modern European standards, i t would have seemed backward. .If Ku had r e a l l y been sympathetic to the peasants, he should have supported the peasant u p r i s i n g s of h i s age, which he i n f a c t s t r o n g l y opposed. Of course, Hou was aware of these and some other i n c o n s i s t e n c i e s , but he a t t r i b u t e d them to the " h i s t o r i c a l 42 l i m i t a t i o n s " or to the " i n c i p i e n t new i n an o l d s o c i e t y . " I t seems that Hou f a i l e d to plumb the depths of the innermost thoughts of the key persons whom he was studying; and dogma provided the e a s i e s t escape. Recently i n mainland China there appeared an essay e n t i t l e d "Ku Yen-wu 14 pel-shang k'ang-Ch'ing shuo k'ao-pien" (A c l a r i f i c a t i o n of the argument A 3 that Ku Yen-wu went north to r e s i s t the Manchus) by Wang Ch'un-yil. The purpose of t h i s essay was to r e j e c t any speculation that Ku had t r a v e l l e d to north China to r e s i s t the Manchus. The essay's e f f o r t to play down the anti-Manchu f e e l i n g during the Ming-Ch'ing t r a n s i t i o n i s perhaps one of the recent trends i n China's historiography, as described by Professor Frederick Wakeman J r . : Regarding nationalism the anti-Manchu f e e l i n g s that motivated so much writing on the Qing conquest from the beginning of t h i s century through the 1950's, have now given way to what might be c a l l e d "one-nation-ism," that i s , an emphasis on how the Manchus and a l l other non-Han peoples have become integrated into a s i n g l e , 44 u n i f i e d country. Wang based h i s argument on the assumptions that, f i r s t l y , Ku's going north had been to escape from the revenge of h i s personal enemies i n the Yeh family, and the charge they had brought against him of anti-Manchu activ i - . A . . t i e s ; secondly, the friends Ku had made i n north China had not been a c t i v e l y anti-Manchu, but rather people who were increasingly i n c l i n e d to favour the new Ch'ing regime; t h i r d l y , Ku's references to the northwest as a possible anti-Manchu base had been nothing but "an easy r e p e t i t i o n of a 45 conventional opinion." Therefore, Ku had eventually s e t t l e d down i n northwest China merely because t h i s area had been a source of Chinese c i v i l i z a t i o n and thus provided a l o g i c a l place where history-conscious scholars such as Ku could contemplate the panorama of Chinese h i s t o r y and the 15 46 lessons of the f a l l of the Ming house. One problem w i t h t h i s argument i s that the author seems to i n d i s c r i m i -n a t e l y take Ku's words at t h e i r face v a l u e . I s h a l l argue that Ku's words were d e l i b e r a t e l y c r y p t i c or r e s t r a i n e d , e s p e c i a l l y w i t h regard to h i s a n t i -Manchuism. I t may be tru e that Ku went no r t h to avoid personal t r o u b l e s imposed upon him by the Yeh f a m i l y . But t h i s c o n s t i t u t e d perhaps only part of h i s m o t i v a t i o n . I t i s a l s o t r u e that some of Ku's f r i e n d s i n the north surrendered to the Ch'ing^ but they d i d so only i n a much l a t e r p e r i o d , r a t h e r than at the time Ku went nor t h . Some f r i e n d s , such as Ch'u Ta-chun and Sun Hsia-feng, never gave i n . Moreover, Wang used incomplete m a t e r i a l s to support h i s statement that one of Ku's c l o s e s t f r i e n d s , Wan Nien-shao, 47 was w i l l i n g to have cooperation w i t h the Ch'ing. Wang does not take i n t o account a book published i n 1919 by the famous scholar Luo Cheng-yu (1866-48 1940) which ca s t s doubt on Wan's "compromise". L a s t l y , Ku's reference to the northwest as a p o l i t i c a l base was not merely a s u p e r f i c i a l r e p e t i t i o n of othe r s ' o p i n i o n s , but a c a l c u l a t e d personal choice, as I s h a l l t r y to show l a t e r i n t h i s t h e s i s . The f a c t that Ku went no r t h and ev e n t u a l l y s e t t l e d down i n Shensi can be i n t e r p r e t e d as a change over from a posture of a c t i v e r e s i s t a n c e to r e s i s -tance that was passi v e . Ku's academic i n t e r e s t s c e r t a i n l y weighed more and more upon h i s l i f e in. h i s l a t e r years. Yet I b e l i e v e , he s t i l l t r i e d to undermine Ch'ing r u l e whenever p o s s i b l e . Ku's p e r s i s t e n t anti-Manchuism w i l l be discussed i n Chapter Two. Modern Japanese scholars of Chinese h i s t o r y have been i n t e r e s t e d i n the nature and c h a r a c t e r i s t i c s of seventeenth-century China because these issues 49 have been h o t l y debated between the s o - c a l l e d "Kyoto" and "Tokyo" schools. Several Japanese a r t i c l e s w i t h important i n s i g h t s on Ku Yen-wu's thought have 16 appeared. However, a comprehensive Japanese study of h i s p o l i t i c a l thought has yet to be done. Two a r t i c l e s which s p e c i f i c a l l y d e a l t w i t h Ku bear f u r t h e r d i s c u s s i o n : one by P r o f e s s o r Shigesawa Toshiro of Kyoto U n i v e r s i t y , e n t i t l e d "An ap-p r a i s a l of Ku Y e n - w u " , a n d another by Pro f e s s o r Yamanoi Yu of Tokyo Uni-v e r s i t y , e n t i t l e d "Ku Yen-wu 1s view of s c h o l a r s h i p seen from the perspec-t i v e of the t r a n s i t i o n from Ming to Ch'ing scholarship."^"'' Shigesawa i s an e s t a b l i s h e d scholar of pre-Han Chinese h i s t o r y . He argued that the p r a i s e accorded Ku f o r being the founder of the Ch'ing e v i d e n t i a l research school and a great Ming l o y a l i s t s was one-sided. Shigesawa advocated a new approach 52 i n which Ku would be evaluated i n terms of h i s " h i s t o r i c a l s i t u a t i o n . " Shigesawa's argument went as f o l l o w s : Ku was a very harsh c r i t i c of the famous l a t e Ming i c o n o c l a s t L i Chih (1527-1602). But i n f a c t L i was b a s i c a l l y s i m i l a r to Ku i n terms o f ...his deep concern f o r t r u t h . Ku's a t t a c k on L i , t h e r e f o r e , was r e a l l y based on s o c i a l c l a s s c o n s i d e r a t i o n s : Ku's f a m i l y had been a r e s i d e n t l a n d l o r d f a m i l y i n K'un-shan; many of Ku's forebears had been Ming o f f i c i a l s , and Ku was brought up i n a f a m i l y of "abundance and 53 life-enjoyment." Ku hated not j u s t L i Chih, but a l s o Wang Yang-ming, because they represented a t h r e a t to the e s t a b l i s h e d s o c i a l system. In 1655, moreover, Ku k i l l e d one of h i s r e b e l l i o u s s e r f s . This showed the i n -human behaviour which stemmed from Ku's s o c i a l c l a s s code, as w e l l as Ku's p e r s o n a l l y p a r o c h i a l status-consciousness. Ku had to k i l l t h i s s e r f i n order to secure h i s property. As to Ku's a t t i t u d e to the Manchu i n v a s i o n , t h i s had changed the r e l a t i o n s h i p between masters and s e r f s . Ku's p e r s i s t e n t l o y a l t y to the Ming and h i s r e s i s t a n c e e f f o r t s against the Manchus, t h e r e f o r e were the r e s u l t not j u s t of h i s " n a t i o n a l f e e l i n g " , but were a l s o i n s p i r e d by h i s p e r c e p t i o n of the t h r e a t to h i s f i n a n c i a l and s o c i a l w e l l - b e i n g , which i n t u r n was the r e a l foundation of h i s world view. Ku's. hatred of the Manchus as w e l l as of L i Chih had a strong s o c i a l animus : both posed a th r e a t to the e s t a b l i s h e d s o c i a l order. Furthermore, Ku's viewpoint on s o c i a l e t h i c s cannot be separated from h i s viewpoint on s c h o l a r s h i p . Ku's value system was the product of h i s t o r y . Ku d i d not r e a l l y want to determine the o r i g i n a l meanings of the c l a s s i c s . In an extreme sense, he merely intended to ransack the c l a s s i c s i n order to f i n d something b e n e f i c i a l to h i s own i n t e r e s t . Ku perceived himself as a member of the r u l i n g group i n a c l a s s s o c i e t y . Ku's endorsement of s e l f -i n t e r e s t , u n l i k e that of L i Chih or T a i Chen (1724-1777), was not an end i n i t s e l f , but merely a means to an end. In Shigesawa's eyes, Ku's theory aimed to promote absolute d e s p o t i s m . I n other words, i t i s not r i g h t to say that Ku's famed "righteousness" transcended h i s t o r y , and had an absolute va l u e . Any e v a l u a t i o n of Ku has to be focussed on the h i s t o r i c a l context. Shigesawa's essay i s very unconventional and s t i m u l a t i n g . I agree w i t h part of h i s explanation of Ku's hatred of the Wang Yang-ming school, but there are other aspects of t h i s essay w i t h which I cannot agree at a l l . P r o f e s s o r Shigesawa has seemed to po r t r a y Ku as a man whose c l a s s i n t e r e s t outweighed h i s n a t i o n a l f e e l i n g . In e f f e c t I t h i n k that there was a cause-and-effect r e l a t i o n s h i p between Ku's d i s l i k e of the Manchu conquest and h i s d i s t a s t e f o r Wang and L i , r a t h e r than both of these things being caused by s o c i a l f e a r s . I t i s tru e that Ku's s e l e c t i o n of items i n the J i h - c h i h l u shows a concern w i t h s o c i a l order and f o r strong l o c a l community, but the contents of t h i s work are hardly c o n t r i v e d . A c t u a l l y , Ku's knowledge and s o l i d s c h o l a r s h i p were and are w e l l recognized. Last but not l e a s t , Ku d i d not mean to serve the i n t e r e s t s of an absolute monarch. The opposite was tr u e . I t w i l l be demonstrated l a t e r i n t h i s t h e s i s that h i s idea of 18 enlightened s e l f - i n t e r e s t was derived from t r a d i t i o n a l thought. Profess o r Yamanoi's essay, i n c o n t r a s t , was an e f f o r t i n i n t e l l e c t u a l h i s t o r y , but was a l s o a product of the d i s c u s s i o n of the s i g n i f i c a n c e of the 5 6 l a t e Ming and e a r l y Ch'ing p e r i o d . As mentioned e a r l i e r , Ch'ien Mu r e j e c t e d Liang Ch'i-ch'ao's argument about the r i s e of the Ch'ing s c h o l a r s h i p , because he saw many methodological l i n k s between the Ch'ing w r i t i n g s of the school of e v i d e n t i a l research and l a t e Ming s c h o l a r l y works. The Japanese scholar Goto Motomi a l s o disagress w i t h Liang. According to Goto, " i t was during the Ming, a f t e r a l l , t hat the c r i t i c a l s p i r i t and p r a c t i c a l emphasis so h i g h l y p r i z e d by Ch'ing s c h o l a r s were f i r s t enunciated and p r a c t i c e d . " Other Japanese sc h o l a r s such as Yamashita R y u j i and Shimade K a n j i b a s i c a l l y accepted t h i s c l a i m . ^ Yamanoi Yu developed an a n a l y s i s of t h i s period which disagreed w i t h both Liang and Ch'ien. Yamanoi regarded seventeenth-century China as a " t r a n s i -t i o n a l p e r i o d " which was c h a r a c t e r i z e d by an emphasis .on " s t a t e c r a f t " ( c h i n g -shih) ideas. The s t a t e c r a f t ideas were a r e a c t i o n to Ming s c h o l a r s h i p , and 58 were an immediate predecessor of the Ch'ing school of e v i d e n t i a l research. Yamanoi s e l e c t e d the w r i t i n g s of Ku Yen-wu to i l l u s t r a t e h i s theme. In t h i s a r t i c l e , he uses many of Ku's own words to s u b s t a n t i a t e h i s argument; namely, that the aim of Ku's study of the c l a s s i c s and h i s t o r y was to solv e the s o c i a l , p o l i t i c a l , and economic problems of the time; Ku's l a c k of i n -t e r e s t i n metaphysics and h i s s t r e s s on " p r a c t i c e " showed h i s d i f f e r e n c e s w i t h , as w e l l as h i s s i m i l a r i t y to e a r l i e r Neo-Confucianism; Ku's u t i l i z a t i o n of the Han commentaries and h i s annotation of the c l a s s i c s had not been to p r a i s e Han s c h o l a r s h i p per se but to promote h i s s t a t e c r a f t ideas. In sum, Ku was n e i t h e r an anti-Sung-Ming nor a pro-Han s c h o l a r . He was a s t a t e c r a f t 59 t h i n k e r and a t r a n s i t i o n a l f i g u r e . Yamanoi's a r t i c l e i s a f i n e , s o l i d , s c h o l a r l y work. I agree w i t h h i s views so f a r as they go. I t h i n k , however, our p i c t u r e of Ku would be im-proved i f we could r e l a t e Ku's s c h o l a r s h i p to h i s own experiences and per-sonal p o l i t i c a l t h i n k i n g without f a l l i n g i n t o the trap of a crude s o c i a l c l a s s a n a l y s i s . L a s t l y , Asahi Shinbun Press has published a Japanese annotated an-60 thology of the w r i t i n g s of Ku Yen-wu. Some rel e v a n t p o i n t s made i n t h i s book w i l l be discussed i n due course. To t u r n to l i t e r a t u r e i n E n g l i s h , a short biography of Ku was pub-l i s h e d by P r o f e s s o r W i l l a r d Peterson i n the Harvard J o u r n a l of A s i a t i c Studies 61 i n 1968 and 1969. This i s a work of modern s c h o l a r s h i p which gives Western readers a c l e a r d e s c r i p t i o n of the l i f e of Ku. P r o f e s s o r Peterson d i d not, however, s p e c i f i c a l l y examine Ku's thought, as opposed to examining h i s l i f e . In the l a s t ten years, the i n c r e a s i n g i n t e r e s t of American S i n o l o g i s t s i n the Ming-Ch'ing period has been demonstrated by the p u b l i c a t i o n of such works as 62 The Unfolding of Neo-Confucianism (1974), C o n f l i c t and C o n t r o l i n Late Im-63 p e r i a l China (1976), and From Ming to Ch'ing Conquest, Region, and Contin-64 u i t y i n Seventeenth-Century China (1979) . Many sch o l a r s such as F r e d e r i c k Wakeman J r . , J e r r y Dennerline and P h i l i p Kuhn comment on the thought of Ku Yen-wu, w h i l e f o r m u l a t i n g t h e i r theories, about the era. They employ whatever approaches they consider s u i t a b l e to the study of Ku, thus f r e e i n g themselves from the l i m i t a t i o n s imposed by dogma. Nevertheless, i t seems that P r o f e s -sors Wakeman, Dennerline, and Kuhn take a more or l e s s s i m i l a r view of Ku. At-the r i s k of o v e r s i m p l i f i c a t i o n , we w i l l t r y to summarize t h e i r b a s i c opinions about Ku. According to them, i n seventeenth-century China there was a c r u c i a l t e n s i o n between the l o c a l l i c e n t i a t e s (sheng-yuan) and the upper 65 gentry (chu-j en or above); there was a l s o a c o n f l i c t of i n t e r e s t between 20 the gentry and non-gentry l o c a l landowners.(Dennerline). To respond to the c r i s e s of the time, the gentry and the l o c a l a d m i n i s t r a t o r s formed a gentry-66 bureaucrat a l l i a n c e . Their a l l i a n c e was aimed against l o c a l landowners who, i n order to evade taxes, had r e s o r t e d to techniques such as f a l s e r e g i s -t r y without the knowledge of the gentry whose names they used. This gentry-bureaucrat a l l i a n c e was intended to e l i m i n a t e i n e q u a l i t i e s i n the tax system, but d i d not succeed i n doing so completely. The Ming dynasty's downfall was caused by the encroachment of the a l -l i a n c e ' s enemies, the l e s s p o l i t i c a l l y responsive landowners, who squeezed the peasants too much and pushed them i n t o r e b e l l i o n . Had the more i d e a l i s t i c gentry been able to dominate the s i t u a t i o n , they would have been able to maintain the s o c i a l and economic s e r v i c e s which kept p o t e n t i a l peasant r e b e l s 67 s a t i s f i e d w h i l e s t i l l l i n i n g t h e i r own pockets. This gentry-bureaucrat a l l i a n c e continued i n t o the new Manchu regime. The gentry surrendered to the Ch'ing because they needed a strong c e n t r a l a u t h o r i t y to p r o t e c t t h e i r i n -68 t e r e s t s . But they a l s o r e a l i z e d that i f they were to get something, they would have to pay f o r i t by g i v i n g up economic p r i v i l e g e s . The upper gentry d i s l i k e d the l o c a l sheng-yuan because "with l e s s of a stake i n property, the lower gentry d i d not have much to l o s e i f i t s tax evasion drove the peasantry i n t o r e b e l l i o n . Ku Yen-wu wrote a famous essay "Sheng-yuan l u n " (On the l o c a l l i c e n t i - .. a t e s ) . In i t , he vehemently attacked the wrongdoings of the sheng-yuan i n l o c a l areas. P r o f e s s o r Wakeman uses t h i s a c c u s a t i o n of the sheng-yuan to speculate on the existence of c o n f l i c t s between the upper and lower gentry. Moreover, Wakeman even l i k e n e d the Ch'ing Yung-cheng emperor ( r e i g n . 1723-1736) to Ku by t h e i r common animus towards sheng-yuan.^ In f a c t , the Yung-cheng emperor attacked the sheng-yuan i n order to c e n t r a l i z e l o c a l power while Ku Yen-wu did so to decentralize despotic power. To turn to more specific comments on Ku, we w i l l look f i r s t at Denner-line' s description of Ku's ideal society: The bases for a society built on classical ideals were a subsistence economy, public ownership of land, and participatory local administration. The only true wealth was in the land and i t s produce, and the wealthy were most l i k e l y to provide good government, since what was good for them and what was good for the com-71 munity were the same. Wakeman's comments on Ku are much more detailed. Wakeman f i r s t pointed out the moral degradation of the sheng-yuan in the late Ming. According to Wakeman, there were two ways to rectify the situation: ,one was to regulate examination quotas; the other was to draw a sharp distinction between the more ideal behaviour of the upper gentry and the very real venality of the sheng-yuan. According to Wakeman, Ku took the second way, but appeared to be calling for contradictory solutions to the problems of the time. On the one hand, Ku believed that formal recognition of the local gentry's j u r i s -diction over local affairs would improve the government. But, on the other hand, he vehemently condemned the sheng-yuan for meddling in yamen aff a i r s . Wakeman argues, however, that there is no contradiction, because Ku's "pre-scription for gentry home rule actually meant government by the upper gentry The lower sheng-yuan were condemned because they lacked the moral self-control of metropolitan scholar-22 . o f f i c i a l s who presumably were more e t h i c a l because they had climbed higher up on the examination degree ladder ... Behind t h i s assumption, which was open to question, was Ku's own s p e c i a l p e rception of the changing c l a s s character of the gentry. He wrote a t a time when l a r g e landowning was f a s t on i t s way to becoming the reward of high o f f i c e and the economic foundations of es t a t e management were s l i p p i n g ... He was thus almost n o s t a l g i c f o r a disappearing r u r a l s o c i e t y i n which a landed gentry p a t e r n a l i s t i c a l l y handled i t s own l o c a l a f f a i r s and infused d i s t r i c t government w i t h "the s p i r i t of feudalism". To r e s t o r e that presumed benevolence, he proceeded to i d e a l i z e the r e s p o n s i b i l i t y and m o r a l i t y of members of the upper gentry who by then could lend themselves to t h i s g l o r i f i c a t i o n because they were more d i s i n t e r e s t e d 72 l a n d l o r d s than t h e i r predecessors. Observing these two passages, i t seems safe to say that Dennerline and Wakeman regard Ku Yen-wu as a spokesman f o r the i n t e r e s t of "the wealthy" or "upper gentry." This "wealthy" or "upper gentry" group missed the good o l d days when i t " p a t e r n a l i s t i c a l l y handled i t s own l o c a l a f f a i r s . " P r o f e s s o r Wakeman's own assumptions, which, i n c i d e n t a l l y , are a l s o question-a b l e , are apparent i n t h i s passage. Wakeman's assumptions were as f o l l o w s : great changes i n the economy, s o c i a l s t r u c t u r e , and the management of l o c a l a f f a i r s took p l a c e . E a r l i e r , the upper gentry was able to p a r t i c i p a t e d i r e c t l y i n l o c a l a d m i n i s t r a t i o n , but by the l a t e Ming, the lower gentry and 23 the l a n d l o r d s without s c h o l a s t i c degrees began to j e o p a r d i z e the l o c a l ad-m i n i s t r a t i o n . Disappointed by t h i s phenomenon, Ku attacked the sheng-yuan f o r d e s t r o y i n g the harmony of the past. This was why Ku advocated l o c a l r u l e by the l o c a l upper gentry. The problem w i t h Wakeman's i n t e r p r e t a t i o n of Ku's viewpoint on the gentry i s that he mistakes Ku's c a l l f o r reform, which was prompted by the Manchu conquest, f o r the r e a l s i t u a t i o n . I can not f i n d i n Ku's w r i t i n g s anything f a v o u r i n g the argument that he b e l i e v e d that the wealthy were most l i k e l y to provide good government or that he i d e a l i z e d "the r e s p o n s i b i l i t y and m o r a l i t y of members of the upper gentry." I t i s very d o u b t f u l that there d i d e x i s t a r u r a l s o c i e t y i n which a landed gentry r u l e d on i t s own. Indeed, Ku d i d condemn the l o c a l sheng-yuan. But he d i d so because they had become the scourge of the country, r a t h e r than because they lacked the m o r a l i t y of higher m e t r o p o l i t a n s c h o l a r - o f f i c i a l s . Throughout Ku's w r i t i n g s , I t h i n k there i s l i t t l e evidence to show that Ku advocated government by the "upper gentry". What Ku urged was a reformation of the educational system to c reate new s c h o l a r s who would v i r t u o u s l y and r e s p o n s i b l y r u l e t h e i r home land. Furthermore, as w i l l be discussed l a t e r i n t h i s t h e s i s , Ku d i d favour the r e g u l a t i o n of examination quotas. Profess o r P h i l i p Kuhn a l s o d e a l t h w i t h Ku b r i e f l y i n h i s essay " L o c a l Self-Government Under the R e p u b l i c . " The only p o i n t of h i s w i t h which I disagree i s that Kuhn suggests Ku's advocacy of l o c a l autonomy was intended to strengthen the c e n t r a l i z e d monarchy. Kuhn's comment i s as f o l l o w s : The c e n t r a l i z e d monarchy would remain: Ku thought i t would even be strengthened by the i n t r o d u c t i o n of h e r e d i t a r y county posts. His feng-chien proposals 24 were not conceived i n support of l o c a l autonomy f o r i t s own sake, but r a t h e r as a guarantee of s t a b i l i t y and p r o s p e r i t y w i t h i n the monarchic s t r u c t u r e . I n -deed the supreme a u t h o r i t y of the monarch was i n d i s -pensable to Ku's system, f o r i t was through the monarchy that the myriad p r i v a t e i n t e r e s t s throughout the empire would somehow be transformed i n t o the p u b l i c i n t e r e s t , as represented by the monarch hi m s e l f . The sum of enlightened m a g i s t e r i a l s e l f - i n t e r e s t s was only e x p r e s s i b l e as a c o l l e c t i v e phenomenon (and t h e r e -by made p u b l i c r a t h e r than p r i v a t e ) i n the. person of the r u l e r . ^ Indeed, Ku's advocacy of l o c a l autonomy d i d presuppose that a monarch would remain at the top of the h i e r a r c h y , and i t was meant to b e n e f i t China as a whole. However, to my knowledge, there i s nothing i n Ku's w r i t i n g s which i n d i c a t e s that Ku s t r o n g l y b e l i e v e d that the "supreme a u t h o r i t y " of the monarch, as power meaningfully e x e r c i s e d , was indispensable to Ku's system. In e f f e c t , , had Ku's proposals been implemented, the monarch would have l o s t much of h i s p o l i t i c a l power. This i n t u r n would have enabled the country to become much more d e f e n s i b l e . On the other hand, i t i s probable that Ku might have cherished a secret wish to undermine the Ch'ing c e n t r a l r u l e by advocating l o c a l autonomy. In summary, Western sc h o l a r s seem to regard Ku's p o l i t i c a l thought as the r e f l e c t i o n of the s o c i a l change and economic development of the l a t e Ming. According to them, there were three reasons why Ku wanted to reform the l o c a l a d m i n i s t r a t i o n : f i r s t , he saw the d e c l i n e of the l i - c h i a ( v i l l a g e s and s e c t i o n s system) and the liang-chang (land-tax c o o r d i n a t o r ) ; second, he viewed p e s s i m i s t i c a l l y the r i s e of tax-in-money instead of a t a x - i n - k i n d p o l i c y ; and t h i r d , he experienced the i n c r e a s i n g tyranny of the yamen c l e r k s , sheng-yuan and l a n d l o r d s i n the l a t e Ming, e s p e c i a l l y when the " S i n g l e Whip" method abolished the household as the primary u n i t of t a x a t i o n i n favour of the l a n d . Western sc h o l a r s p o r t r a y the development of the l a t e Ming and the e a r l y Ch'ing as a continuum which was not s i g n i f i c a n t l y i n t e r -rupted by the Manchu conquest. I b e l i e v e that they have f a i l e d to under-stand the impact of the trauma i n f l i c t e d on the thought of Ku by the f a l l of the Ming dynasty and the r i s e of the Manchu regime. I would argue that Ku's experience of and r e a c t i o n to the Manchu takeover changed h i s b a s i c p o l i t i c a l concerns, and helped him to form h i s ideas on the reform of l o c a l community and government, which he hoped would p r o t e c t China from another f o r e i g n i n v a s i o n . Much of Ku's behaviour, such as h i s c r i t i c i s m of the l o c a l sheng-yuan, can be b e t t e r understood from t h i s p e r s p e c t i v e . Another of P r o f e s s o r Wakeman's comments on Ku a l s o seems to me to be problematic. Since t h i s comments d i s t o r t s ideas which were c r u c i a l to Ku's p o l i t i c a l t h i n k i n g and s i n c e t h i s comment was the b a s i s of Wakeman's a r t i c l e "Localism and Loyalism." i t i s worth d i s c u s s i n g here. H i s t r a n s l a t i o n reads i n p a r t : ...In the b a s i c annals of the T ' a i - t i n g emperor i n the Yuan-shih, ( i t i s recorded that) the s t a r v i n g people were forbidden to form a she of cudgelmen (p i e n - t a n ) ; f o r , one hundred people were wounded by s t i c k s ... A f t e r the T'.ien-ch'i period (1621-1627), sc h o l a r s wrote lampoons back and f o r t h . The v a r i o u s she acted as though they were guardposts and spoke of oaths or of club pledges (she-meng). This is what the Liao-shih called "needling friends" (tz'u-hsueh yu). Today, people's feelings (properly incline toward) associating four ways, by year (of examination), by she (altar), by village, and by clan; and that is a l l . Anyone doing away with these four would seriously (risk) losing the empire. Right after this passage, Wakeman has this comment: By condemning a l l voluntary she whether bandit gangs or late-Ming scholarly clubs Ku rejected the one rela-tively autonomous p o l i t i c a l development of his time which could conceivably have expressed local rule. For, just as he denied the organizational legitimacy of corporations, so did his distaste for laws (viewed as expression of depersonalized rule rather than as prin-ciples of rational authority) deprive his favored local e l i t e of protective guarantees against p o l i t i c a l ab-sorption by the s t a t e . ^ There are some mistranslations in this quotation on which Professor Wakeman's statement was based. The sentences underlined below are the problematic ones. The correct translation would seem to me to be: •In the basic annals of the T'ai-ting emperor in the 27 Yilan-shih, ( i t i s recorded that) the s t a r v i n g people were forbidden to form a she of cudgelmen Cpien-tan). I f any member hurt someone, he was punishable by one hundred s t i c k s ... A f t e r the T ' i e n - c h ' i period (1621-1627), s c h o l a r s exchanged name cards back and f o r t h , the word "she" was s t i l l w idely used. These scholar groups were c a l l e d "leagues" (meng) or "club leagues" (she-meng). This i s what the L i a o - s h i h c a l l e d "needling f r i e n d s " (t'zu-hslieh yu) . Today, people's f e e l i n g s (properly i n c l i n e toward) a s s o c i a t i n g four ways, by year (of examination), by she ( s c h o l a r l y s o c i e t y ) , by v i l l a g e , and by c l a n ; and that i s a l l . They cannot see 7 6 anything beyond these four connections. Furthermore, a c a r e f u l study of t h i s paragraph w i l l help us to understand that Ku himself d i d not condemn the four important t r a d i t i o n a l Chinese v o l u n -t a r y a s s o c i a t i o n s ( i . e . by examination year, by she, by v i l l a g e and by c l a n ) . In f a c t , i n t h i s paragraph Ku simply traced the h i s t o r i c a l o r i g i n of the she, and, at the end, as was a common p r a c t i c e f o r t r a d i t i o n a l Chinese h i s t o r i a n s , commented on the f a c t that the Chinese of Ku's time r e l i e d too h e a v i l y on these four connections. What Ku r e a l l y meant i n t h i s passage was that he hoped that people could broaden t h e i r p e r s p e c t i v e beyond these four groups. Ku considered too much dependence s o l e l y on these four a s s o c i a t i o n s to be d e s t r u c t i v e r a t h e r than c o n s t r u c t i v e . B a s i c a l l y , Ku was by no means opposed to v o l u n t a r y a s s o c i a t i o n s . His d i s t a s t e f o r the formation of f a c t i o n a l t i e s between students and t h e i r examiners appears to be the exception. But Ku's d i s l i k e of such t i e s stemmed 28 from h i s f e a r of the moral degradation that such f a c t i o n a l i s m might cause, because, he thought, there was no proper b a s i s f o r t h e i r development.^ As w i l l be shown, Ku regarded gentry f a m i l i e s and c l a n s as the cornerstone upon which he hoped to b u i l d h i s i d e a l l o c a l community. A f t e r a l l , he himself was a member of a v o l u n t a r y a s s o c i a t i o n the famous Fu-she ( R e v i v a l o • \ 78 S o c i e t y ) . There are s t i l l other Western s c h o l a r s , such as John Watt and Joseph R. Levenson, who a l s o d i s c u s s Ku. I w i l l d eal w i t h them i n l a t e r chapters. I s h a l l propose t h a t some of t h e i r arguments seem well-formulated but are po o r l y documented. I t i s very easy to create d i f f e r e n t images about a man who wrote as many works as Ku d i d . As w i l l be discussed l a t e r , the p e c u l i a r way i n which Ku wrote h i s J i h - c h i h l u has o f t e n misled l a t e r researchers to quote passages which i n f a c t were not Ku Yen-wu's own words. In order to get a more balanced view of Ku's thoughts, t h e r e f o r e , a more c a r e f u l and comprehensive study of h i s works i s warranted. A l l these r e f l e c t i o n s seem to h i g h l i g h t the need to undertake a thorough e x p l o r a t i o n of Ku's p o l i t i c a l thought, based on a systematic research of the primary sources. By w r i t i n g t h i s t h e s i s , I hope to c o n t r i b u t e to a b e t t e r understanding of Ku Yen-wu by focusing p a r t i c u l a r l y on h i s background and the nature of h i s p o l i t i c a l ideas. Sources The sources f o r t h i s study are mainly Ku's w r i t i n g s , e s p e c i a l l y the famous J i h - c h i h l u and the c o l l e c t i o n of Ku's essays, l e t t e r s , prefaces and 79 poems published under the t i t l e Ku T ' i n g - l i n s h i h wen c h i . The most widely c i r c u l a t e d e d i t i o n of the J i h - c h i h l u i s the one annotated by Huang Ju-ch'eng, which appeared i n 1834. But i n 1958, a book w i t h the t i t l e Yuan-ch'ao-pen J i h - c h i h l u (The O r i g i n a l Copy of the J i h - c h i h l u ) was published i n Taiwan by the w i f e of Chang Chi (1882-1947), an i n f l u e n t i a l former T'ung-meng Hui member, who i n t u r n had purchased the o r i g i n a l copy i n 1932 from an antique 80 book s t o r e i n Peking. This e d i t i o n i s s a i d to be a copy of the a u t h e n t i c uncensored w r i t i n g s of Ku. The famous r e v o l u t i o n a r y c l a s s i c i s t Chang T ' a i -yen (1868-1936) and h i s d i s c i p l e Huang Chi-kang (1886-1935) have compared the 1834 e d i t i o n of Huang; Ju-ch'eng w i t h the Yuan-ch'ao-pen. They found that i n the Huang Ju-ch'eng e d i t i o n many words, terms and paragraphs which might have antagonized the Manchu regime had e i t h e r been replaced w i t h other more 81 n e u t r a l terms, or deleted a l t o g e t h e r . The Huang Ju-ch'eng e d i t i o n i s composed of t h i r t y - t w o chuan and 1023 e n t r i e s , but there are two e n t r i e s which 82 are m i s s i n g , w i t h only t h e i r t i t l e s l e f t . I accept the a u t h e n t i c i t y of the Yuan-ch'ao-pen. My f i r s t reason f o r doing so i s that I b e l i e v e that Ku was conscious of the p o s s i b i l i t y of a l i t e r a r y i n q u i s i t i o n , and had already prepared himself f o r i t . He made h i s consciousness evident i n such remarks as these: What I wanted to say I dared not t e l l anyone e l s e of our time. The one t e x t which was b l o c k - p r i n t e d and c i r c u l a t e d e a r l i e r covered only a marginal part of my thought. What I could do i s to w r i t e more copies, so that i f there are people who do not l i k e the ideas i n the J i h - c h i h 84 l u , they w i l l not be able to e l i m i n a t e them. Thus i t i s p o s s i b l e that Ku wrote e x t r a manuscript copies of the o r i g i n a l 30 J i h - c h i h l u . A f t e r Ku d i e d , a l l of h i s c o l l e c t i o n s of books and w r i t i n g s f e l l i n t o the.hands of h i s nephews the i n f l u e n t i a l Hsu broth e r s . I t was then 85 th a t Ku's J i h - c h i h l u was published. The t e x t which was o f f e r e d to the p u b l i c was h e a v i l y e d i t e d to avoid t r o u b l e . The Yuan-ch'ao-pen, i f we take t h i s view, survived the l i t e r a r y i n q u i s i t i o n under the p r o t e c t i o n of the Hsu brothers, p o s s i b l y even without t h e i r knowledge of the existence of such manuscripts. A second reason f o r accepting i t s a u t h e n t i c i t y i s that the Yuan-ch'ao-pen kept the f u l l t e x t s of the two items which are missing i n the more widely read t e x t . By no accident at a l l , these two items c a r r i e d very strong nega-8 6 t i v e words about non-Chinese peoples. T h i r d , Chang Chi mentioned that there was another hand-copied v e r s i o n of the J i h - c h i h l u c o l l e c t e d by the Shantung P r o v i n c i a l L i b r a r y . This copy was almost completely i d e n t i c a l to the Yuan-ch'ao-pen, w i t h only some n e g l i g i b l e 87 d i f f e r e n c e s , according to Chang. L a s t l y , the terms used i n the Yuan-ch'ao-pen conform, I would argue, to Ku's t h i n k i n g as found elsewhere. For example, Ku on one occasion suggested th a t everyone has the r i g h t to r e f e r to the former dynasty as pen-ch'ao (my 88 own dynasty). But i n the Huang Ju-ch'eng e d i t i o n of the J i h - c h i h l u , when-ever there was a reference to the Ming dynasty, the term "Ming" r a t h e r than pen-ch'ao was used. The r e v o l u t i o n a r y c l a s s i c i s t Chang T'ai-yen once remarked that when he read the J i h - c h i h l u f o r the f i r s t time, he was very disappointed and sur-p r i s e d to f i n d that although Ku was supposed to have been i n t e n s e l y f a i t h f u l to the Ming dynasty, he r e f e r r e d to the Ming and i t s emperors detachedly, w i t h no d i f f e r e n t i a t i o n from the way he r e f e r r e d to other e a r l i e r d y n a s t i e s . Chang suspected that the book had been censored by the Ch'ien-lung emperor. 31 Later Chang read the f i r s t e d i t i o n of the J i h - c h i h l u , published s h o r t l y a f t e r Ku's death i n 1695 by P'an L e i , and was again disappointed to n o t i c e that the t e x t remained the same. For a long time Chang was unhappy w i t h t h i s d i s e covery, because he thought P'an L e i ' s e d i t i o n had been taken from Ku's o r i -g i n a l manuscript, and had expected the o r i g i n a l manuscript to be much more anti-Manchu and p a t r i o t i c . This misunderstanding was f i n a l l y c o r r e c t e d i n the e a r l y 1930's, when Chang had an opportunity to read the p r i s t i n e Yuan- ch'ao-pen, i n which a l l the d e l e t i o n s and r e v i s i o n s were r e s t o r e d . To Chang's d e l i g h t , Ku i n v a r i a b l y r e f e r r e d to the Ming as "my dynasty" instead of the 89 more detached phrase "Ming dynasty." The i n t e r n a l consistency which char-a c t e r i z e s the Yuan-ch'ao-pen i s perhaps the strongest proof of i t s authen-t i c i t y . A reading of the Yuan-ch'ao-pen gives us a very d i f f e r e n t impression from the one we get from reading the J i h - c h i h l u . Only when the o r i g i n a l terms are r e s t o r e d , I suggest, can we a p p r e c i a t e the i n t e n s i t y of Ku's p a t r i o t i s m and of i t s i n f l u e n c e upon h i s i d e a l s . Presumably the Yuan-ch'ao-pen r e v e a l s more of Ku's innermost concerns, which, above a l l , are the fountainhead of h i s ideas, e s p e c i a l l y h i s p o l i t i c a l ideas. Ku began w r i t i n g the J i h - c h i h l u w h i l e s t i l l young, but i t d i d not appear 90 i n p r i n t u n t i l 1670, when Ku was f i f t y - e i g h t s u i . This f i r s t e d i t i o n had o n l y e i g h t , r a t h e r than the l a t e r t o t a l of t h i r t y - t w o , chuan. Ku wrote very slowly and r e v i s e d the work repeatedly, whenever he thought i t necessary. In a l e t t e r r e p l y i n g to. i n q u i r i e s from a f r i e n d about the progress of the w r i t i n g of the J i h - c h i h l u , Ku s a i d : You ask me how many more chuan of the J i h - c h i h l u I have f i n i s h e d r e c e n t l y ? ... I t has been a year s i n c e 32 we l a s t met, and I have studied day and night and cross-examined (the c l a s s i c s and h i s t o r i e s ) r e -peatedly, but I have-just w r i t t e n a l i t t l e b i t more 91 than ten e n t r i e s . Ku's p a i n s t a k i n g s c h o l a s t i c i s m e x p l a i n s why he was so proud of the o r i g i n a l i t y 92 of the J i h - c h i h l u , w h i l e he accused h i s contemporaries of p l a g i a r i s m . Ku never f e l t s a t i s f i e d w i t h the f i r s t e d i t i o n of the J i h - c h i h l u , because, w i t h h i s i n c r e a s i n g knowledge, he wanted to improve and r e v i s e i t . Once Ku wrote to h i s d i s c i p l e P'an L e i : "The J i h - c h i h l u has to wait f o r another ten years to be p e r f e c t . I f I cannot l i v e that long, then the f i n a l form of the 93 J i h - c h i h l u w i l l be s e t t l e d by my l a s t brush s t r o k e . " The prudence w i t h which Ku wrote imposes great d i f f i c u l t y on the study of h i s thought, e s p e c i a l l y the e v o l u t i o n of h i s ideas. I t i s hard to a s c e r t a i n the exact dates of h i s w r i t i n g s . Another d i f f i c u l t y i n the study of the J i h - c h i h l u i s the book's loose o r g a n i z a t i o n . Ku d i v i d e d the work i n t o three p a r t s ( p ' i e n ) . The f i r s t p art d e a l t w i t h the c l a s s i c s ; the next p a r t d e a l t w i t h methods of government; and the l a s t part was devoted to more general i n -formation. However, these d i v i s i o n s remained vague, and a l l the e n t r i e s i n each part were not put together i n any well-ordered way. In the J i h - c h i h l u , Ku's personal ideas were s c a t t e r e d throughout and were o f t e n fragmentary, d i s -persed i n a mass of formal h i s t o r i c a l or t e x t u a l d i s c u s s i o n which sometimes seemed to have nothing to do w i t h h i s p o l i t i c a l t h i n k i n g , l e t alone .the sub-j e c t of l o c a l community or government. Furthermore, the study of Ku i s com-p l i c a t e d by Ku's l i b e r a l quotation of other t h i n k e r s . Ku f r e q u e n t l y i n s e r t e d c i t a t i o n s of o t h e r s ' w r i t i n g s i n t o h i s own words without c l e a r s e p a r a t i o n . Famous modern sc h o l a r s as d i v e r s e as Liang Ch'i-ch'ao, Hou Wai-lu, and 33 Joseph R. Levenson have been confused by t h i s , and have sometimes mistakenly put someone e l s e ' s words i n t o Ku's mouth. For example, Liang Ch'i-ch'ao i n h i s famous book C h ' i n g - t a i hsueh-shu k a i - l u n , p r o f u s e l y p r a i s e d Ku's " s c i e n t i f i c " research methodology, saying that Ku had demanded the " o r i g i n a l evidence" (pen-cheng) as w e l l as the "supporting 94 evidence" (p'ang-cheng). In f a c t , Liang was quoting the words of Ch'en T i 95 of the Ming dynasty r a t h e r than Ku. On another occasion, Hou Wai-lu quoted the J i h - c h i h l u to support h i s statement that Ku had been h o s t i l e to the Lu-Wang "school of mind." But Hou was a c t u a l l y p u t t i n g Huang Tung-fa's words, 96 which Ku had quoted, i n t o Ku's mouth. As w i l l be shown i n Chapter Four, Profess o r Levenson, when he elaborated h i s theme of t ' i e n - h s i a (world) versus kuo-chia ( s t a t e ) , i d e n t i f i e d as the statement of Ku Yen-wu something which had r e a l l y been the pronouncement of Ming T ' a i - t s u . A c a r e f u l study w i t h the help of Ku's other, more e x p l i c i t essays on p o l i t i c a l theory i n other books, however, makes i t p o s s i b l e to understand Ku's own viewpoint and r e c o n s t r u c t h i s p o l i t i c a l theory. Ku's other w r i t i n g s have a l s o been o c c a s i o n a l l y used as supplementary sources i n t h i s t h e s i s . However, the major sources are s t i l l the c o l l e c t i o n of h i s essays, l e t t e r s and poems, and the J i h - c h i h l u . The reason f o r using h i s essays, l e t t e r s and poems i s obvious. As f o r the J i h - c h i h l u , i t i s h i s mature work and the only book which he p u b l i c l y acknowledged as h i s own work expressing h i s own ideas and wishes. Ku s a i d : I have w r i t t e n more than t h i r t y volumes of the J i h - c h i h l u . My l i f e l o n g i d e a l s (chih) and accomplishment (yeh) are embedded i n t h i s work ... Should a p r i n c e a r i s e and adopt what I suggest i n t h i s work, that would be the m a t e r i a l i z a t i o n of my wish. Another famous work compiled by Ku, e n t i t l e d T'ien-hsia chuh-kuo l i - p i n g shu (The Advantages and Disadvantages of the L o c a l Areas i n the Empire) i s three times l a r g e r than the J i h - c h i h l u and was s t a r t e d when Ku was only 98 twenty-seven. Quite a few sc h o l a r s consider i t an important .source book 99 on the l a t e Ming socio-economic s i t u a t i o n . I agree w i t h t h i s e v a l u a t i o n , but I suspect the v a l i d i t y of ta k i n g t h i s work as a good source f o r Ku's p o l i t i c a l ideas. This work was l o o s e l y compiled without any o r g a n i z a t i o n a l p r i n c i p l e s . I t was not even f i n i s h e d . Ku simply stopped working on i t and put i t a s i d e when he was f i f t y , twenty years before h i s death. The f o l l o w i n g i s what Ku t e l l s us about the general c o n d i t i o n of t h i s work: ...Whenever I found something, I copied i t ... A f t e r the chaos (of the f a l l of the Ming), many m a t e r i a l s were l o s t , but sometimes new in f o r m a t i o n was added to i t . During the process of c o m p i l a t i o n of t h i s work, there was no f i x e d o r g a n i z a t i o n a l p r i n c i p l e . Furthermore, there were many essays from previous d y n a s t i e s , and the geographical s i t u a t i o n and s o c i a l environment discussed i n those essays were not good any more. Advanced i n age, I forgot things e a s i l y and could not r e v i s e them thoroughly. Now I j u s t leave t h i s p r e l i m i n a r y d r a f t i n my luggage, w a i t i n g f o r a gentleman of a l a t e r time .to make use of i t . 1 0 0 35 F i n a l l y , a b r i e f d i s c u s s i o n of the term, "community " which i s q u i t e f r e q u e n t l y used i n t h i s t h e s i s , i s necessary. Although there i s no p e r f e c t 101 d e f i n i t i o n of the term, "community" b a s i c a l l y has two kinds of meaning. One use of the term r e f e r s to a group w i t h concrete boundaries, such as t e r r i t o r y ( l o c a l community) or race (e.g. the Indian community); the other use of the term i s p s y c h o l o g i c a l , and attempts to denote a f e e l i n g of c l o s e -ness, of being aware of a group i d e n t i t y through such things as p a r t i c i p a t i o n 102 i n a common p r o f e s s i o n . In t h i s work I s h a l l t a l k about Ku's i d e a l s of a l o c a l boundary-defined community, but sometimes the term "community" w i l l be used w i t h the second meaning. L o c a l communalism means the consciousness of l o c a l community or the idea of promoting communal f e e l i n g s and a conscious-ness of l o c a l community. To be sure, i n Ku's vocabulary, there were no exact terms f o r " l o c a l community." In f a c t , no word i n seventeenth-century China was e x a c t l y equivalent to the E n g l i s h word "community". At present, i n Chinese we have "she-ch'u" to denote the community w i t h t e r r i t o r i a l boundaries, as we a l s o have the term kung-t'ung-t'i, probably imported from the Japanese, to serve 103 as the Chinese t r a n s l a t i o n of "community". There were some words i n pre-modern China which denoted l o c a l u n i t s , such as t u , h s i a n g - l i , t ' u , t ' i n g , 104 she and l i - c h i a . P r o f e s s o r Charles 0. Hucker has equated the l i _ of the Ming dynasty w i t h the concept of l o c a l community. The Chinese term i n Ku's w r i t i n g which was most c l o s e to the modern concept of "community" was she. In the Spring and Autumn period (722-481 B.C.), one she contained twe n t y - f i v e households, and i t was below the l e v e l of the hsiang. La t e r i n Sung times (960-1279), people gathered f o l l o w e r s and c a l l e d t h e i r groups she. In the Ming dynasty (1368-1644), scholars who met to p o l i s h t h e i r e s s a y - w r i t i n g a l s o c a l l e d t h e i r a s s o c i a t i o n s she."*"^ Thus she had two 36 meanings which were s i m i l a r to those of community. Ku Yen-wu d i d not use she as h i s term f o r the i d e a l l o c a l community, however, because he thought that the. term she had gained n o t o r i e t y when i t had been used to r e f e r to groups of s o c i a l outlaws. A l s o , he may have thought that the ancient she was not l a r g e and important enough to serve h i s community-building purposes. In t h i s t h e s i s , when we use the term " l o c a l community," we w i l l i n f a c t t r e a t the county (.hsien) as being the u n i t which e x e m p l i f i e s i t , because Ku Yen-wu i n h i s p o l i t i c a l t r e a t i s e s b a s i c a l l y d e a l t w i t h the hsien."*"^ I t may seem strange to apply the term " l o c a l community" to h s i e n which were i n e f f e c t l o c a l governments, but i t was i n f a c t Ku who o f t e n d i d not d i f f e r e n t i -ate between the n o t i o n s of l o c a l community and l o c a l governemnt. When Ku mentioned h i s ideal l o c a l u n i t , he could not de s c r i b e i t without r e f e r r i n g to some form of government. Ku's l o c a l government was to be based upon communal forc e s such as gentry, clans and l i n e a g e s , a common e t h i c a l code and a n a t i v e h e r e d i t a r y l e a d e r s h i p . A s e l f - c o n t a i n e d economy was a l s o an important part of h i s i d e a l . But no consciousness of marketing systems i n f l u e n c e d Ku's t h i n k i n g about the i d e a l l o c a l p o l i t y , nor d i d he t r e a t r e l i g i o u s communities or o c c u p a t i o n a l communities i n any d e t a i l . The reason why Ku d i d not provide due treatment to these communities was not because he was not concerned about them, but because he d i d not t h i n k the marketing system, popular r e l i g i o n s , or occ u p a t i o n a l g u i l d s helped to improve the l o c a l s o c i a l order. Ku regarded the development of these o r g a n i -z a t i o n s as p o t e n t i a l t h r e a t s to the supremacy of Confucianism and as t h r e a t s to the s o c i a l h i e r a r c h y which was the ba s i c foundation of a harmonious s o c i e t y . As w i l l become c l e a r e r l a t e r i n t h i s t h e s i s , Ku Yen-wu's whole idea was to u t i l i z e the l o c a l gentry-scholar c l a s s as the mediator of China's "Great T r a d i t i o n j " and so to create some kind of "community consciousness" i n the l o c a l i t i e s as the base upon which a sense of China as a whole community could be b u i l t . I n other words, Ku wanted to promote the community awareness of the Chinese people by f i r s t c o r r e c t l y i n s t i t u t i o n a l i z i n g the l o c a l community. His u l t i m a t e goal was to create a community-like l o c a l government which would be i n the best i n t e r e s t s of the l o c a l people and which could t h e r e f o r e serve as an e f f e c t i v e defense of the empire against o u t s i d e i n v a s i o n . H e r e a f t e r , I w i l l use the term " l o c a l community" when the non - a d m i n i s t r a t i v e aspects of a l o c a l u n i t ( u s u a l l y a hsien) are emphasized, and the term " l o c a l government" when the a d m i n i s t r a t i v e aspect i s being considered. Many aspects of Ku's p o l i t i c a l thought w i l l be discussed i n due course i n ; t h i s t h e s i s . With the p r o l i f e r a t i o n of p s y c h o a n a l y t i c a l s t u d i e s of h i s -t o r i c a l f i g u r e s , the dictum "the childhood shows the man" has gained great f o r c e . Let us s t a r t w i t h the e a r l y l i f e of Ku Yen-wu and examine some of h i s e a r l y experiences which may have c o n t r i b u t e d to h i s p o l i t i c a l t h i n k i n g . 38 Chapter Two: Ku Yen-wu's Formative Years (1613-1657) The Decline of Ku's Family When Chinese people r e f e r to t h e i r d i s t a n t ancestors, they commonly s t r e s s that they are the d i r e c t descendants of ancient sage kings o r , b e t t e r s t i l l , of the Duke of Chou. I f such i s not the case, many w i l l s t i l l t r y very hard to prove that t h e i r f o r e f a t h e r s were somehow r e l a t e d to or en-f e o f f e d by the sage kings of China's golden-age. ^This p r a c t i c e r e v e a l s the Chinese t r a d i t i o n of f a m i l y consciousness which has such s o c i a l and educa-t i o n a l f u n c t i o n s as improving one's s t a t u s or self-image. I t has an a d d i -t i o n a l i m p l i c a t i o n when i t i s a p p l i e d to a new r u l e r i n a regime."'' To say that a r u l e r or a president i s a descendant of a p r e s t i g i o u s i m p e r i a l f a m i l y i s not only to promote t h i s person's h e r e d i t a r y f a m i l y s t a t u s , but a l s o to j u s t i f y him as the r i g h t f u l r e c i p i e n t of the-'mandate of heaven, which i s indispensable f o r the c o n s o l i d a t i o n of a new regime. Since the members of a l l Chinese l i n e a g e s seek to elevate the s t a t u s of t h e i r a n c e s t r a l l i n e s , i t i s not s u r p r i s i n g to f i n d that most of the e x i s t i n g genealogies point out, sometimes p a i n s t a k i n g l y , the l i n e ' s r e l a t i o n s h i p to the great sage kings. The book of Ku Yen-wu's ancestry, Ku-shihp'u4hsi k'ao (The study of . 2 Ku's genealogy) i s no exception. Ku's p o l i t i c a l philosophy cannot be understood without an awareness of h i s deep f a m i l y consciousness, and an awareness, too, of the s p e c i f i c p i c t u r e he had of h i s own f a m i l y h i s t o r y . Ku traced h i s f a m i l y t r e e back to the e i g h t h generation of the king of Yueh (ca. 500 B.C.), who was r e l a t e d to the emperor Yu of :the H s i a dynasty. For generations, the Ku f a m i l y l i v e d i n K ' u a i - c h i p r e f e c t u r e , now i n the neighbourhood of Wu county i n Kiangsu. In l a t e Han times, K ' u a i - c h i 39 branched o f f i n t o Wu and K ' u a i - c h i . Later., the Ku f a m i l y was r e f e r r e d to as n a t i v e s of Wu p r e f e c t u r e , u n t i l other branches of the l i n e a g e appeared again i n the Sung dynasty. In the era of the Three Kingdoms (220-279), Sun Ch'uan (d. 252), who was based i n Eastern Wu, contended f o r the hegemony of the Chinese empire w i t h L i u P e i (d. 223) of Shu-Han i n Szechwan and Ts'ao P e i (d. 226) of Wei i n the n o r t h . The l i n e a g e of Ku prospered and p r o l i f e r a t e d so much that i t came to c o n s t i t u t e one of the four most powerful l i n e a g e s i n the Kingdom of Wu. The other three were Chu, Chang and Lu. Together w i t h Ku, the four have been c a l l e d the "Sun-wu ssu-hsing" (Four b i g surnames of Sun Wu), or simply the Wu-hsing. In the next seven hundred years, t h i s southern part of China proper was r u l e d almost e n t i r e l y by the four Wu-hsing and four other i n f l u e n t i a l l i n e -ages which had f l e d to the south w i t h the emperor of the Chin dynasty (266-316) when the F i v e non-Han t r i b e s took over the t e r r i t o r y n o r t h of the Yangtze R i v e r . These l i n e a g e s of northern o r i g i n were Wang, Hsieh, Yuan and Hsiao, and they were known as the "ch'iao-hsing" '(.sojourner surnames). The northerners i n the south accomodated the b i g n a t i v e f a m i l i e s by conceding to them many p o l i t i c a l , economic, and s o c i a l p r i v i l e g e s which the people of the lower c l a s s could not enjoy. The s i t u a t i o n i n the n o r t h was very much the same: the a r i s t o c r a t i c nomad f a m i l i e s gained the cooperation of the i n f l u e n t i a l l i n e a g e s both i n Shantung and Kuan-chung (present-day Shensi). The t h i r t y o r so l i n e a g e s of t h i s k i n d i n China dominated the country from 3 the f o u r t h century to the tenth century. In the south, members of the eight l i n e a g e s i n c l u d i n g the Ku were c a l l e d " s h i h - t s u " (gentry group) or " s h i h - t s u " ( l i n e a g e group). Others were c a l l e d the han-men (poor o r i g i n , l i t . , " c o l d door"). The s h i h - t s u was a c a s t e - l i k e group whose i n f l u e n c e v i r t u a l l y precluded any p o s s i b i l i t y of s o c i a l upward m o b i l i t y f o r a member of the han-men. I t was t r u e , however, that some han-men might o b t a i n p o l i t i c a l and m i l i t a r y power, because the value system of the s h i h - t s u r e q u i r e d them to be ch'ing (pure) and thus shun a l l v u l g a r a d m i n i s t r a t i v e matters. The han-men u p s t a r t s , however, were s t i l l d e l i b e r a t e l y refused even the r i g h t to s i t together w i t h the s h i h - t s u , l e t alone make f r i e n d s w i t h or marry members of the group. A t y p i c a l example i s given i n the biography of Wang Ch'iu i n Nan-shih (The h i s t o r y of the Southern  Dy n a s t i e s ) : A s e c r e t a r y of Chung-shu (the S e c r e t a r i a t ) by the name of Hsu Yuan had gained favour w i t h the emperor. The emperor once ordered Wang Ch'iu and Y i n Ching-jen to be f r i e n d s w i t h Hsu. Ch'iu d e c l i n e d by saying: "The d i f f e r e n t i a t i o n of commoners from the upper c l a s s i s made according to the c o n s t i t u t i o n of our country. Your o f f i c i a l dare not accept your order." The emperor 4 changed h i s f a c i a l expression and made an apology. There i s no doubt that Ku had an extensive knowledge of the h i s t o r y of t h i s time. This knowledge, upon which we w i l l elaborate l a t e r , had a great impact on Ku's t h i n k i n g on the subject of l o c a l power. I t i s one of the major reasons why Ku was upset by the d e c l i n i n g i n f l u e n c e of the b i g l i n e a g e s , the moral degradation of l o c a l l i c e n t i a t e s (sheng-yuan), and the c o r r u p t i o n and v u l n e r a b i l i t y of l o c a l government i n the l a t e Ming. Such things made Ku look back w i t h n o s t a l g i c envy to the autonomous, strong, r e g i o n a l power of Sun Ch'uan's Wu kuo (kingdom). Much of Ku's m o t i v a t i o n f o r admonishing people to c u l t i v a t e t h e i r p e r s o n a l i t y was to strengthen l i n e a g e s o l i d a r i t y 41 and to encourage the development and reinforcement of a strong l o c a l base by the l e a d e r s h i p of gentry l i n e a g e s , as Sun Ch'uan had done i n Wu kuo. I f ah opportunity arose, Ku, l i k e Sun, might have competed w i t h others f o r c o n t r o l of the Chinese empire ( t ' i e n - h s i a ) , by basing himself i n Wu. For v a r i o u s reasons, Ku gave up the idea of going back to Kiangnan i n h i s l a t e r years, but he s t i l l e n t e r t a i n e d the thought of e s t a b l i s h i n g a s e l f - c o n t a i n e d l o c a l stronghold i n Shensi.^ Ku's n o s t a l g i a f o r Wu kuo was a l s o apparent i n h i s preference f o r _ r e f e r r i n g to himself as Ku Yen-wu of the Eastern Wu (Tung Wu), r a t h e r than, more a c c u r a t e l y , by the name of K'un-shan county where h i s ancestors had moved during the Sung and had l i v e d f o r f i f t e e n generations. According to Ku, h i s f a m i l y was o r i g i n a l l y from Wu. They moved out at the time of the F i v e Dynasties (907-960) and f i n a l l y s e t t l e d down i n K'un-shan during the Sung dynasty.^ Ku Yen-wu's e a r l y l i f e i s w e l l d e l i n e a t e d i n P r o f e s s o r W i l l a r d Peterson's essays. Here, w i t h a minimum of redundancy, I w i l l elaborate on some of the i m p l i c a t i o n s of s e v e r a l i n c i d e n t s or events i n Ku's l i f e which may have had a bearing on h i s p o l i t i c a l t h i n k i n g . Ku was born i n 1613. i n t o a f a m i l y w i t h a long t r a d i t i o n of o f f i c i a l s e r -v i c e , but one whose fortunes were then i n d e c l i n e . His n a t u r a l grandfather was a c h i n - s h i h who died at the age of f o r t y - s e v e n . Ku was adopted i n h i s infancy as the h e i r of h i s deceased uncle. He thus became a member of a f a i r l y r i c h f a m i l y , l i v i n g w i t h h i s adopted mother and h i s grandfather g ( n a t u r a l granduncle), Shao-fei. Male o f f s p r i n g were the e s s e n t i a l foundation of the Chinese l i n e a g e system. "There are three t h i n g s which are u n f i l i a l , 9 and to have no p o s t e r i t y i s the g r e a t e s t of them," says Mencius. By being chosen as an h e i r by a r e l a t i v e other than h i s f a t h e r , Ku must have sensed very e a r l y the pressures to produce male o f f s p r i n g and l a t e r u n i v e r s a l i z e d t h i s experience i n t o h i s concept of i d e a l f ather-son r e l a t i o n s . This idea was e s s e n t i a l to h i s ideas on l o c a l government, whose l e a d e r -ship was to be based i n an h e r e d i t a r y gentry f a m i l y . An obsession w i t h the c l a s s i c a l father-son r e l a t i o n s h i p perhaps prompted Ku to take a concubine r i g h t a f t e r h i s son died at the age of t h r e e . I t may a l s o have caused Ku to take another concubine when he was t o l d , a f t e r a pulse examination by a famous scholar-turned-monk named Fu Shan (.1607-1684) , t hat he could s t i l l have c h i l d r e n i n h i s sixties."'"''' But s h o r t l y afterwards, he r e g r e t t e d doing so and sent the concubine away. F i n a l l y , Ku s e t t l e d f o r adopting the son 12 of a d i s t a n t r e l a t i v e . S i g n i f i c a n t l y , Ku even managed to adopt a c h i l d 13 as the o f f s p r i n g of h i s deceased son. The p o i n t I want to make here i s that one of Ku's preoccupations was perhaps the u l t i m a t e consummation of hsiao ( f i l i a l p i e t y ) one of the axiomatic Chinese v i r t u e s . The l i f e which Ku's mother had l e d put a d d i t i o n a l weight on the demands of hsiao f o r Ku. Ku's mother by adoption was surnamed Wang. She had gained a r e p u t a t i o n f o r c h a s t i t y . As i s w e l l known, Wang, having heard of the un-t i m e l y death of her fianc"e, when she was only i n her l a t e teens, v o l u n t a r i l y l i v e d i n the Ku f a m i l y as a nominal daughter-in-law. For the next f o r t y years, she served her parents-in-law impeccably and on one occasion even cut her f i n g e r to make some kind of medicine f o r her mother-in-law, ap-p a r e n t l y f o l l o w i n g the example i n the primer f o r c h i l d r e n e n t i t l e d E r - s h i h - ssu hsiao (Twenty-four S t o r i e s of F i l i a l P i e t y ) . Wang was f i r s t recognized f o r her v i r t u e i n l a t e Ming times when the incumbent magistrate paid her a v i s i t i n 1615. She was only t h i r t y then, and Ku was three. Later i n 1634, an i t i n e r a n t censor (hsun-an yii-shih) p u b l i c l y honoured Wang's v i r t u e s . Two years l a t e r another censor memorialized her to the throne, recommending the 43 commemoration of her deeds. She was awarded a t a b l e t i n s c r i b e d w i t h the 14 t i t l e "chen-hsiao" C c h a s t e and f i l i a l ) . In doing so, the Ming a u t h o r i t i e s encouraged subjects to be good, and thus not to make t r o u b l e , e s p e c i a l l y when the regime was threatened from w i t h i n and without i n the 1630's. For a lady a thousand m i l e s away who l i k e d to read h i s t o r i e s l i k e the H i s t o r i c a l Records (Shih-chi) and who was an admirer of martyrs l i k e Fang Hs i a o - j u (1357-:. . 1 4 0 2 ) , t h i s honour was bound to have been extremely g r a t i f y i n g and must have had a great impact on her outlook on l i f e . This added to the pressures on Ku; s i n c e people looked up to Wang, they a l s o had high expectations f o r Ku. An even heavier burden f o r Ku was that he was the only person i n the f a m i l y to whom they could look. There were no brothers to share these f e e l i n g s and pressures. T h i s , together w i t h h i s somewhat strange appearance h i s face had been ravaged by an a t t a c k of small pox"^ caused Ku to experience a very l o n e l y childhood. These were the circumstances surrounding h i s e a r l y l i f e of study. U n l i k e other boys of h i s background, Ku was not ready f o r the examina-t i o n s u n t i l he was twelve. Ku's grandfather by adoption p r e s c r i b e d a very unusual combination of books f o r Ku to study, probably because of h i s own f a i l u r e to o b t a i n the chu-j en degree and a l s o because of the i n c r e a s i n g en-croachment of the Manchus. But the f i r s t person who ever taught Ku was h i s mother, when he was s i x . The Great Learning (Ta-hsileh) has been claimed as the f i r s t book Ku s t u d i e d . " ^ To be sure, there i s some doubt as to whether or not t h i s was the f i r s t book taught to the young Ku. I t i s more l i k e l y t h at he s t u d i e d the Three Character C l a s s i c (San-tzu ching) or the One 18 Thousand Character Text (Ch'ien-tzu wen). Ku may have claimed that the Ta-hsueh was the f i r s t book taught him by h i s mother because of t h i s book's importance i n Neo-Confucianism. 44 The Ta-hsiieh, r a t h e r than the Analects or the Mencius, was ranked as the f i r s t book by Chu H s i (1130-1200) i n the famous Ssu-shu (The Four Books). Chu H s i once s a i d that the e n t i r e body of h i s knowledge was devoted to the 19 commentaries on t h i s book. The s i g n i f i c a n c e of t h i s book l i e s i n the f a c t that i t i s the convergence of a l l the p o l i t i c a l thought of e a r l y Confu-cianism. This book f i r s t appeared i n the Ch'in-Han era and c o n s i s t e d mainly of the Three Basic Platforms (san kang-ling) and the Eight Items (pa t ' i a o - mu), which o u t l i n e d a step-by-step plan f o r harmonizing the universe (p'ing  t ' i e n - h s i a ) . With the advantage of h i n d s i g h t , Ku might have f e l t t hat t h i s small but meaningful book provided a convenient, i n t e g r a t e d framework f o r a Confucian p o l i t y . "The c o n t r i b u t i o n of the Great Learning," says one promi-nent s c h o l a r , " c o n s i s t s i n the c l e a r and comprehensive p r e s e n t a t i o n of the ideas and systems covering a l l the c o m p l e x i t i e s of human l i f e : the inner (nei) and the outer (wai); the e s s e n t i a l (pen) and the t r i v i a l ' (mo); and the 20 p r i o r (hsien) and the p o s t e r i o r (hou)." The mo n i s t i c tone and i n d u c t i v e t h i n k i n g of the book was a l s o very obvious i n Ku's p o l i t i c a l t h i n k i n g : the extension of s e l f through f a m i l i e s , and the extension of kuo to the whole empire. At age seven, Ku attended a p r i v a t e school where he was f i r s t taught the Four Books and the F i v e C l a s s i c s . U n l i k e other boys of t h i s time, Ku read not only the o r i g i n a l t e x t s of these Chinese C l a s s i c s , but a l s o a l l the 21 commentaries. This acquainted Ku w i t h the whole Confucian i n t e l l e c t u a l t r a d i t i o n of China and made him c r i t i c a l of the requirements f o r success i n the examinations. At home Ku had a d i f f e r e n t schedule of reading. He was 22 i n s t r u c t e d to read the Book of Changes at age nine. The next year, i n the wake of i n t e r n a l r e b e l l i o n s and the Manchu i n v a s i o n , Ku's grandfather had him study the m i l i t a r y c l a s s i c s l i k e Sun-tzu, Wu-tzu and the Tso Commentary, 45 Chan-kuo t s ' e ( I n t r i g u e s of the Warring S t a t e s ) , Kuo-yu ( T r e a t i s e of the Lu 23 State) and the H i s t o r i c a l Records. The r i c h n e s s of the .Chinese i n t e l l e c t u a l t r a d i t i o n provided many stimu-l a t i n g a l t e r n a t i v e s f o r those Chinese who e i t h e r f a i l e d or d i d not want to advance t h e i r career by passing the examinations. The books mentioned above were very h e l p f u l f o r people seeking i n s t r u c t i o n i n how to deal w i t h people and c r i s e s i n time of need. But they were of d o u b t f u l value f o r a c h i e v i n g success i n the examinations i n Ming and Ch'ing times. Another volume was added to Ku's book l i s t when he was eleven: the Tzu-chih t'ung-chien (the 24 Comprehensive M i r r o r f o r A i d i n Government). This book, a l s o a f a v o u r i t e 25 of Ku's mother, d e p i c t s the r i s e and f a l l of the dynasties from the Warring States period to the Sung dynasty. This e x t r a o r d i n a r y reading and study c u r r i c u l u m of Ku's e a r l y l i f e enabled him to gain a general knowledge of Chinese C l a s s i c s and h i s t o r i e s . Since t h i s knowledge was denied to most of Ku's contemporaries, Ku achieved a higher standing i n almost a l l aspects of the i n t e l l e c t u a l a c t i v i t i e s of the e a r l y Ch'ing. Ku's academic l i f e underwent a dramatic change i n 1624 when he was twelve. That year witnessed the subsiding of i n t e r n a l and e x t e r n a l t h r e a t s to the regime. The Ming court was te m p o r a r i l y out of imminent danger. At t h i s time, under the strong encouragement of a f r i e n d , Ku's grandfather 2 6 began to have him p r a c t i c e the essay w r i t i n g necessary f o r i the examinations. From then on u n t i l the f a l l of the Ming i n 1644 Ku was burdened by the high expectations of h i s grandfather and l e d a very f r u s t r a t e d l i f e . I n 1625 Ku's grandfather purchased the t i t l e of sheng-yuan candidate i n the l o c a l 27 school f o r him. The next year, when he was fourteen, Ku passed an examina-« 28 t i o n administered at Soochow p r e f e c t u r e and became a formal sheng-yuan. However, he never succeeded i n the p r o v i n c i a l examination to become a chu-jen. In 1626, Ku f i n i s h e d reading the Comprehensive M i r r o r . As he r e c a l l e d l a t e r , then h i s grandfather immediately i n s t r u c t e d him to read the C a p i t a l Gazette (Ti-pao), which provided i n f o r m a t i o n on what was happening i n the government. This arrangement made i t p o s s i b l e f o r Ku to put the contemporary a f f a i r s of the empire i n t o an h i s t o r i c a l p e r s p e c t i v e . He was a l s o ordered to read the Book of Documents, the Book of Odes and the Spring and Autumn 29 Annals. Another s i g n i f i c a n t event took place i n Ku's l i f e to make i t e a s i e r f o r him to advance i n the l a t e r examinations. He j o i n e d the Fu-she (The R e v i v a l S o c i e t y ) . As Lu S h i h - i (1611-1672) pointed out i n the Fu-she c h i - l u e h (The Record of the R e v i v a l S o c i e t y ) , there were v a r i o u s motivations f o r j o i n i n g the Fu-she. " D i l i g e n t knowledge-thirsty s c h o l a r s looked at the s o c i e t y as a r e s o u r c e f u l p l a c e to t u r n t o ; ambitious and greedy persons regarded i t as the 30 ladder of success i n the c i v i l s e r v i c e examinations." Due to i t s tremendous 31 i n f l u e n c e over the r e s u l t s of the annual and p r e f e c t u r a l examinations, Ku Yen-wu was probably i n s t r u c t e d to attend to the Fu-she by h i s grandfather more f o r t h i s l a t t e r reason than f o r any other. Since the leaders of Fu-she were very e n t h u s i a s t i c i n h e l p i n g t h e i r j u n i o r .'members in.:the examinations, which were c r u c i a l f o r e s t a b l i s h i n g the e l i g i b i l i t y of the sheng-yuan to s i t f o r the p r o v i n c i a l examinations, i t i s s i g n i f i c a n t that Ku attended t h i s s o c i e t y r i g h t a f t e r he became a sheng-yuan. S t i l l , a l l t h i s p r e p a r a t i o n and degree-seeking maneuvering d i d not help Ku advance h i s case. To be sure, Ku had h i s ups and downs i n the annual and 32 p r e f e c t u r a l examinations, and he f a i l e d a l l the p r o v i n c i a l examinations before the f a l l of the Ming. There may have been s e v e r a l reasons f o r h i s f a i l u r e . For one t h i n g , h i s i d i o s y n c r a t i c behaviour probably was of l i t t l e help i n the Fu-she except i n c o n s o l i d a t i n g h i s f r i e n d s h i p w i t h Kuei Chuang (1613-1673), the great-grandson of the most ce l e b r a t e d l i t e r a r y s t y l i s t of 34 the Ming Kuei Yu-kuang (1506-1571). Furthermore, Ku's academic background 35 and h i s i n t e l l e c t u a l i n t e r e s t s i n Neo-Confucianism at the time might have ruined h i s essay s t y l e , an important f a c t o r i n the examinations. U n l i k e h i s contemporaries who only sought "empty r e p u t a t i o n , " Ku and h i s best f r i e n d Kuei l i k e d to w r i t e i n the ancient s t y l e and r e f i n e d t h e i r behaviour by 3 6 mutual encouragement. They l e d a non-conformist way of l i f e . In l i g h t of these f a c t o r s , Ku's f a i l u r e i s not s u r p r i s i n g , d e s p i t e a l l h i s e f f o r t s . Ku's f r u s t r a t i o n s c o n t r i b u t e d to h i s determination to seek an a l t e r n a t i v e to the examinations. This determination was g r e a t l y r e i n f o r c e d by the Manchu conquest. I f i t i s c o r r e c t to say that one of the great f r u s -t r a t i o n s f o r a Confucian scholar was not being a b l e to serve i n the govern-ment, then f a i l u r e i n the examinations meant a l o t to Ku. On the other hand, Ku's f a i l u r e prevented him from h o l d i n g a high degree or a government o f f i c e w i t h conspicuously important a d m i n i s t r a t i v e o b l i g a t i o n s that would have endangered h i s l i f e during the s o c i o - p o l i t i c a l ferment of the 1660's. The F a l l of the Ming and the Involvement of Ku i n L o c a l Resistance The r e a l t u r n i n g p o i n t i n Ku's l i f e came between years 1644 and 1645. During t h i s p e r i o d , the d y n a s t i c t r a n s i t i o n was completed and the major r e s i s t a n c e i n the south suppressed. The i n v a s i o n of the Manchus had an im-pact on most Chinese of the time, but the people i n the Kiangnan area were most hard h i t , because t h i s was one of the major centres of r e s i s t a n c e . I t i s very l i k e l y t h a t Ku destroyed a l l the evidence and records of h i s i n -volvement i n the r e s i s t a n c e , because he was i m p l i c a t e d twice as a t r a i t o r , though not c o n v i c t e d . I n examining a l l the other sources a v a i l a b l e , however, i t i s not f a r - f e t c h e d to say that Ku was very a c t i v e i n the defense of the area around h i s home town i n K'un-shan county. Watching the r i s e and f a l l of the Southern Ming, the execution of i t s p r i n c e s and o f f i c i a l s , the surrender of one town a f t e r another, and h i s own loved, ones dying f o r a l o s t cause, Ku endured traumatic experiences which were c r u c i a l to h i s p o l i t i c a l t h i n k i n g . Had Ku not been through the whole ordeal . of t h i s v i o l e n t d y n a s t i c change, he might very w e l l have ended up as a conventional member of the scholar-gentry. Ku once remarked: "When I was young, I j u s t followed the example of the l i t e r a t i of the time: 37 w r i t i n g and exchanging poems." The changes i n Ku's i n t e l l e c t u a l concerns occurred g r a d u a l l y , culmina-t i n g w i t h the c o n s o l i d a t i o n of the new regime. Ku's d i s i l l u s i o n m e n t w i t h the examinations s t a r t e d a f t e r h i s t h i r d f u t i l e attempt i n 1639. "Rejected i n the p r o v i n c i a l examination i n 1639," Ku says, " I r e t i r e d and read books. R e a l i z i n g the many grievous problems w i t h which the s t a t e was faced, I was ashamed of the meager resources which students of the C l a s s i c s possessed to 38 deal w i t h these problems." Ku c o n s c i o u s l y f e l t the inadequacy of the examination system to meet the challenge of the time. To equip himself b e t t e r , Ku turned to non-examination-oriented but unmistakably p r a c t i c a l books such as the Twenty-one Dynastic H i s t o r i e s and l o c a l g a z e t t e e r s . H i s d i s i l l u s i o n m e n t was not overwhelming, however. The next year, Ku again 39 attended the annual examinations. In 1641, j u s t before Ku wanted to attempt yet another p r o v i n c i a l examination, h i s grandfather Shao-fei died and a f i r e broke out i n Ku's home before the b u r i a l ceremony was completed. These f a m i l y mishaps, together w i t h the imminent c o l l a p s e of the Ming regime, r u l e d out the p o s s i b i l i t y f o r Ku to advance i n any other examinations. I n 1643, j u s t a year before the 49" f a l l of Peking, Ku's mourning period ended and he became an i m p e r i a l student by "customary recommendation" ( l i - k u n g ) . This was the highest l e v e l Ku was ever able to reach i n the hi e r a r c h y of the gentry. The t i t l e was a purchased one • 40 and too low to confer e l i g i b i l i t y f o r any o f f i c e . More s i g n i f i c a n t than gaining the t i t l e of the kung-sheng was Ku's new .. i n t e l l e c t u a l endeavour. Ku l a t e r recounted t h i s development: " A f t e r I was t h i r t y s u i , I began to note down some things w h i l e studying the c l a s s i c s and 41 h i s t o r i e s . " The next t h i r t y years' accumulation of these notes became the backbone of h i s l a t e r famous books, such as the J i h - c h i h l u . The words " t h i r t y s u i " do not n e c e s s a r i l y mean the exact year 1643, because Ku j u s t gave an approximate but convenient date when r e c a l l i n g the event i n h i s l a t e r years. Moreover, Confucius once mentioned that a man should be f u l l y inde-pendent upon reaching the age of t h i r t y (san-shih er l i ) . This n o t i o n was i n -f l u e n t i a l i n i t s e l f . Even today, many Chinese w i l l say that they have reached the age of e r - l i ( e r - l i chih-nien) when they t u r n t h i r t y . This idea may have, i n s p i r e d Ku to choose t h i s year as h i s t u r n i n g p o i n t . The e a r l y 1640's were the most c r u c i a l years f o r the dynasty, f o r Ku's f a m i l y , and, above a l l , f o r Ku Yen-wu hi m s e l f . In 1644, a f t e r the s u i c i d e of the Ming emperor and the f a l l of Peking to L i Tzu-ch'eng, Ku moved around i n the r u r a l v i c i n i t y of K'un-shan and Ch'ang-shu, t a k i n g h i s mother and f a m i l y . Ku's house was robbed l a t e that year when he moved back to Ch'ien-tun of K'un-shan t e m p o r a r i l y . A f t e r the Ming o f f i c i a l s i n the south e s t a b l i s h e d the Southern Ming i n Nanking, court f a c t i o n a l s t r u g g l e s took a t u r n f o r the worse. Ku was recommended to be se c r e t a r y i n the Board of War by the magistrate of K'un-shan. But the i l l - f a t e d Southern court i n Nanking was to be crushed before Ku was able to e f f e c t i v e l y assume o f f i c e . The a v a i l a b l e data on these events are very 50 vague. We only know that Ku was i n the Soochow area w i t h some armed f o r c e s . On the s i x t h month of the lu n a r calendar i n 1645, Ku returned to h i s f a m i l y ' s 42 h i d i n g place i n Y u - l i e n - c h i n g . When the Ch'ing army drew near K'un-shan, c i t y d w e l l e r s f l e d to the countryside and the gentry and the el d e r s of the c i t y c o l l a b o r a t e d w i t h the 43 Manchus. They even c o n t r i b u t e d some money to the new conquerors. Two days a f t e r the new Ch'ing a u t h o r i t i e s issued t h e i r order to Chinese males to 44 shave t h e i r heads, however, a massive r i o t broke out. This was a t y p i c a l case of c u l t u r a l i s m overcoming ethnocentrism. Anti-Manchu f e e l i n g was aroused by c u l t u r a l tyranny r a t h e r than by the change of the r u l i n g house. On the f i f t e e n t h day of the month, the an t i - C h ' i n g o f f i c i a l s and gentry formed an a l l i a n c e , planning to hold the c i t y as long as p o s s i b l e . They organized the c i t y ' s male p o p u l a t i o n and had them "dressing l i k e s o l d i e r s and standing on 45 the parapet of the c i t y w a l l . " Presumably Ku was a l s o there, because h i s best f r i e n d s Kuei Chuang and Wu Ch'i-hang were a c t i v e l y i nvolved i n these defense e f f o r t s . The r e s i s t a n c e movement was perhaps j e o p a r d i z e d , j u s t as i s described i n some Western s c h o l a r s ' d e s c r i p t i o n s of these a c t i v i t i e s , by the c o n f l i c t of i n t e r e s t among the l o c a l a d m i n i s t r a t o r s , l o c a l l a n d l o r d s , 46 and commoners. On the s i x t h day of the seventh month, the Ch'ing f o r c e s took over the c i t y of K'un-shan and a massacre f o l l o w e d . Ku's two younger f u l l brothers d i e d ; and h i s n a t u r a l mother was wounded 47 by the Ch'ing troops. When Ku's nominal mother Wang heard of the f a l l of the c i t y of Ch'ang-shu on the fou r t e e n t h day of the seventh month, she stopped e a t i n g and died f i f t e e n days l a t e r . Her l a s t words f o r Ku were: Although a woman, I have rece i v e d great benevolence from the dynasty; to p e r i s h w i t h the dynasty i s the 51 appropriate t h i n g f o r me to do. Thou s h a l t not serve another dynasty. Thou s h a l t not r e t u r n d i s -grace f o r the great benevolence bestowed generation a f t e r generation on our f a m i l y by the (Ming) dy-nasty. Thou s h a l t not for g e t the i n s t r u c t i o n s handed down from your ancestors. Then I s h a l l be 48 able to c l o s e my eyes i n peace under the ear t h . To d i e t h i s way was to achieve another high v i r t u e p o p u l a r i z e d by Neo-Confucianism. Ku's mother had already been recognized by the Ming f o r her c h a s t i t y (chen) and f i l i a l p i e t y ( h s i a o ) , but her l o y a l t y (chung) to the Ming fo r which she gave her l i f e would have been ignored, l i k e that of many other s , i f Ku had not f r e q u e n t l y c a l l e d h i s i n f l u e n t i a l f r i e n d s ' a t t e n t i o n 49 to her martyrdom. What would Ku have to do to l i v e up to the expectations of h i s mother who was the p e r s o n i f i c a t i o n of chen, hsiao and chung? What was Ku supposed to do to keep from d i s g r a c i n g h i s d i s t i n g u i s h e d mother? As an i m p e r i a l student and a recommended o f f i c i a l , Ku might have f e l t more or l e s s o b l i -gated to the Ming. But the f e e l i n g was transformed i n t o a more powerful sense of moral r e s p o n s i b i l i t y by h i s mother's s u i c i d e . For Ku, u n l i k e many other Chinese l i t e r a t i , was f r e e of the dilemma of observing chung and hsiao at the same time. Ku's s i t u a t i o n presented a paradigm f o r others to f o l l o w : "to r e p l a c e f i l i a l p i e t y w i t h l o y a l t y to the dynasty" ( i - h s i a o tso-chung). The most d e s i r a b l e but by no means e a s i e s t t h i n g f o r Ku to do was to f o l l o w Wang's l a s t words. In the l a t e 1670's, when Ku was i n v i t e d to be a c a n d i -date f o r the p r e s t i g i o u s Po-hsueh hung-tz'u examination, he d e c l i n e d by saying that everybody but himself might come out of o b s c u r i t y to be a 52 candidate; he had committed himself to the f u l f i l l m e n t of h i s mother's l a s t wish."^ Later he again d e c l i n e d another recommendation to be a compiler of the O f f i c i a l H i s t o r y of the Ming D y n a s t y . A f t e r the death of h i s mother, there was no d i f f e r e n c e f o r Ku between chung and h s i a o . To remain l o y a l to the Ming was to p r a c t i c e f i l i a l p i e t y to h i s mother. Therefore the year 1645 was not only the s t a r t of a new dynasty, but a l s o a new beginning i n the l i f e of Ku Yen-wu. 52 L i k e many Ming l o y a l i s t s , Ku changed h i s name, from Chiang to Yen-wu. 53 The new personal name of h i s best f r i e n d Kuei Chuang Tso-ming ( t s p , l i t . , good l u c k ; ming, the name of the i l l - f a t e d dynasty. When put together, i t means "long l i f e to the Ming") was obviously h o s t i l e . to the new regime. Ku's new name "Yen-wu," on the other hand, was more s u b t l e , but would not have escaped the a t t e n t i o n of a Chinese w i t h some c u l t u r a l background. Yen was a symbol of the Han dynasty: modern-day Chinese say that the Chinese people were o r i g i n a l l y the o f f s p r i n g of Yen-huang, and yen was a l s o the f i r s t p a rt of the r e i g n t i t l e of the Late Emperor of Shu-Han: Yen-hsin (263), which, although being one of the Three Kingdoms, has been regarded by many h i s t o r i a n s as the l e g i t i m a t e successor to the Han dynasty; wu simply_ means "to f o l l o w . " Another source says that the name Yen-wu was based upon the name of a d i s c i p l e of a great Sung Martyr Wen T'ien-hsiang (1236-1282) during 54 the Mongol conquest Wang Yen-wu. In a l l l i k e l i h o o d , t h i s a c t i o n was an expression of Ku's anti-Manchu f e e l i n g . S i g n i f i c a n t l y enough, cautious scholars' of the.'Ch'ing addressed Ku not as Yen-wu but as T ' i n g - l i n , the name of a place where one of Ku's famous ancestors, Ku Yeh-wang of the Ch'en dynasty (557-89), used to s t u d y . A t the end of the nineteenth century, the r e v o l u t i o n a r y c l a s s i c i s t Chang T'ai-yen unmistakably borrowed the yen from Ku's name i n order to express h i s own admiration f o r Ku's 53-anti-Manchuism. I t i s a l s o very s i g n i f i c a n t that Ku had i n t e n t i o n a l l y recorded the time of h i s w r i t i n g of a l l h i s poems s i n c e 1644, although he had already become famous and must have w r i t t e n many poems p r i o r to the f a l l of 56 the Ming dynasty. The f i r s t s e v e r a l years a f t e r the f a l l of the Nanking Ming regime were u n s e t t l i n g f o r Ku, because the r e s i s t a n c e movement s t i l l l i n g e r e d on and Ku was s t i l l i n v o l v e d i n the entourage of the Ming P r i n c e T'ang. A l l Ku's a c t i v i t i e s during t h i s p eriod have been recorded i n d e t a i l i n W i l l a f d Peterson's essays. The only point on which I disagree w i t h Dr. Peterson i s the c l a i m that Ku t a c i t l y accepted Ch'ing r u l e around 1650.^ In my view, the evidence supporting t h i s statement i s not s o l i d enough. What I am going to argue i s t h i s : although i n h i s l a t e years, .Ku was not o p t i m i s t i c about the r e s t o r a t i o n of the Ming, he died i n 1682 without ever having accepted the new dynasty. Ku t r i e d every p o s s i b l e method of r e s i s t i n g the temptation to serve the Ch'ing dynasty. Furthermore, i n accordance w i t h the Confucian i d e a l s p e c i f i c a l l y p r e s c r i b e d f o r the time when the "Way" was not p r e v a i l i n g , Ku concentrated on w r i t i n g h i s t o r i c a l lessons i n order to enable l a t e r generations to avoid the mistakes made by the Ming which had r e s u l t e d i n the i n v a s i o n of the f o r e i g n e r s . Perhaps Ku al s o wrote these essays i n order to provide some g u i d e l i n e s f o r p o t e n t i a l a n t i - C h ' i n g a c t i v i t i e s . The study of Ku and h i s a t t i t u d e s i s aided c o n s i d e r a b l y by the study of h i s poems. L i k e many other Chinese s c h o l a r s , Ku wrote poems to mark impor-tant i n c i d e n t s i n h i s l i f e . But u n l i k e most of h i s contemporaries, who may have devoted too much time to r e l a t i v e l y t r i v i a l w r i t i n g i n pompous and o v e r l y ornamental language, Ku wrote i n order to say something s u b s t a n t i a l . Ku quoted and endorsed a statement by the famous T'ang poet Po C h i i - i (772-846) on the purpose of w r i t i n g essays and poems: "An essay i s to be w r i t t e n 54 f o r the time we are l i v i n g ; poems and songs are to be composed f o r s i g n i f i -58 cant events." Therefore, there i s perhaps no be t t e r way to understand the s i g n i f i c a n c e of more important i n c i d e n t s , and of Ku's i n t e n t i o n s during them, than by t a k i n g a c l o s e r l o o k at h i s poems. Furthermore, Ku c o n s i s t e n t l y recorded the year when he wrote each poem; thus we can f a i r l y r e a d i l y t r a c e h i s changes of a t t i t u d e and thought by examining h i s three hundred and 59 t h i r t y d i f f e r e n t poems. A poem e n t i t l e d " C u t t i n g H a i r , " which was w r i t t e n i n 1650, has been used by Dr. Peterson as the main evidence f o r h i s c l a i m about Ku's t a c i t submission 60 to the Ch'ing. In t h i s poem, Ku t a l k e d about the s u f f e r i n g s of h i s l a s t wandering years i n the regions of Wu and K'uai. Ku s a i d that he had a dw e l l i n g to stay i n , but that he d i d not f e e l i t to be a home upon which he could r e l y . To t r y to escape the persecution of h i s enemies, Ku d i s g u i s e d himself as a merchant by c u t t i n g h i s h a i r "a l i t t l e b i t . " Ku decided to go to the C e n t r a l P l a i n i n the hope that he could, l i k e Teng Yu of the Eastern 61 Han, help the r e s t o r a t i o n of the dynasty. Peterson compared t h i s poem w i t h one w r i t t e n i n 1648 i n which Ku wrote of "crouching i n one co r n e r . " Peterson sees t h i s as a remarkable change from Ku the i s o l a t i o n i s t to Ku the adventurer. But the poem of 1648 had already i n d i c a t e d Ku's i n t e n t i o n to go to the C e n t r a l P l a i n and the f a c t that 62 he had taken Teng Yu as h i s model. The enemies Ku r e f e r r e d to were some members of a powerful gentry f a m i l y i n K'un-shan whose land adjoined Ku's. Taking advantage of Ku's d e c l i n i n g f a m i l y fortune and Ku's c l a n d e s t i n e a n t i -Ch'ing a c t i v i t i e s , the powerful Yeh f a m i l y ignored Ku's d e s i r e to r e c l a i m 63 the land he mortgaged to them two years e a r l i e r . The Yehs even harboured a house s e r f who had defected from the Ku f a m i l y , encouraging the house s e r f , Lu En, to accuse Ku of c o l l u d i n g w i t h the e x i l e d Southern Ming co u r t . r 55 i Peterson i s not c e r t a i n whether Ku surrendered to the Manchu requirement about h a i r s t y l e a f t e r 1645. He t h i n k s that t h i s poem by Ku contains "an element of presumably i n t e n t i o n a l ambiguity." I suggest that the Peterson i n t e r p r e t a t i o n of t h i s poem leads to a misunderstanding of Ku's p o s i t i o n . To be f a i r , i t i s very d i f f i c u l t to detect the r e a l i n t e n t i o n i n any poem w r i t t e n during the time of d i s s i d e n t - h u n t i n g by the Manchus. People l i k e Ku had to use h i g h l y a l l e g o r i c a l terms and h i s t o r i c a l a l l u s i o n s i n t h e i r poetry to avoid p o s s i b l e persecution by the Ch'ing, so t h e i r usages o f t e n b a f f l e readers. To make i n t e r p r e t a t i o n even more d i f f i c u l t , the nature of poetry n e c e s s i t a t e s b r e v i t y i n i t s w r i t i n g . A l l t h i s c o n t r i b u t e s to i n -accuracy i n i n t e r p r e t i n g the s u b t l e t i e s i n Ku's poem. My i n t e r p r e t a t i o n of h i s poem i s , however, d i f f e r e n t from that of Peterson. I t i s a l s o d i f f i c u l t to concur w i t h Peterson when he uses the words " i l l - s u i t e d " to d e s c r i b e Ku's analogy between himself and Teng Yu. I t might be argued that Ku was very c l e a r about h i s past and f u t u r e i n t h i s poem. Ku had kept h i s h a i r uncut f o r some f i v e years (from 1645 to 1649), and t h i s had not been easy f o r him. Having r e a l i z e d that h i s enemies were t r y i n g to destroy him, Ku had to stay away from h i s n a t i v e p l a c e . To do so was compatible w i t h h i s long-cherished plan to go nor t h to promote the cause of a Ming r e s t o r a t i o n , but to be abl e to t r a v e l around, i t was dangerous f o r him to keep h i s long h a i r . On the other hand, Ku d i d not want to conform to the Ch'ing r u l e s about h a i r s t y l e . He solved the dilemma by d i s g u i s i n g himself as a merchant. P a r t of t h i s poem goes l i k e t h i s : At dawn I climbed the tower of Pei-ku (suggesting l o o k i n g northward) . F u l l of sorrow, I have shed t o r r e n t s of t e a r s . 56 Having removed my hair here and there, I took the guise of a t r a v e l i n g merchant. Alas, when I think of these f i v e years, It has not been easy f o r me to keep my h a i r . A man of s p i r i t takes a l l four quarters as h i s domain; Why hold to but one p r i n c i p l e (meaning the. keeping of long hair)? Let me not be taken advantage of by l i t t l e men: I would merely be throwing myself to the hungry t i g e r . My ardent thoughts are wholly about the Central P l a i n ; And I am determined to leave the bank of the Great River. There w i l l come a time f o r achievement, .and.repute; 64 Then I s h a l l "whip the horse and j o i n Kuang-wu." In short, t h i s poem j u s t i f i e d l i m i t e d h a i r - c u t t i n g with the vow that a r e s t o r a t i o n could be achieved a much more desi r a b l e goal than simply keeping one's h a i r . With the s i m i l a r i t y between Ku's time and the Hsin Interregnum (9-23), and also given Ku's wishful thinking, i t was only s u i t a b l e that Ku portrayed himself as a Teng Yu, who had been instrumental i n the r e s t o r a t i o n of the Han. Dr. Peterson also i n f e r s Ku's t a c i t r e c o n c i l i a t i o n with the Manchu regime from the fac t that Ku v i s i t e d the tomb of the founder of the Ming dynasty i n Nanking i n 1651. Dr. Peterson states: The process of h i s becoming reconciled to the per-manance of the Ch'ing dynasty may also be in f e r r e d from Ku's worshipping at the tomb of Ming T'ai - t s u . . . 57 I t i s p o s s i b l e to i n t e r p r e t Ku's attendance at the tomb of the founder of the Ming dynasty as acquis escence to the i n f e a s i b i l i t y of r e v i v i n g the f a l l e n i m p e r i a l h o u s e . ^ Nothing could be f u r t h e r from the t r u t h . I t has been a part of Chinese p o l i t i c a l t r a d i t i o n to express l o y a l t y by v i s i t i n g and worshipping at somebody's g r a v e . ^ A case i n point i s the v i s i t to the tomb of Ming T'.ai-tsu by Dr. Sun Yat-sen i n 1912, immediately a f t e r the overthrow of the Ch'ing dynasty. A v i s i t to the tomb of Ming T ' a i - t s u allowed Ku Yen-wu to show h i s l o y a l t y to the Ming and to make a renewed commitment to the cause of the r e s t o r a t i o n . There i s an o l d Chinese saying that "poetry serves as a medium to convey one's a s p i r a t i o n or ambition." Ku's i n t e n t i o n i s c l e a r l y expressed i n the poem w r i t t e n on the occasion of h i s "Respectful V i s i t to the Tomb of Ming 67 T a i - t s u . " There i s a couplet i n the middle of the poem i n d i c a t i n g Ku's c o n d i t i o n : "My p h y s i c a l appearance has changed through the o r d e a l , but my bravery and s p i r i t are genuine d e s p i t e the hardship." To conclude t h i s poem, Ku confirms h i s determination by saying: " I would l i k e to say that I w i l l take Teng Yu as my example, and, a f t e r the (Ming) r e s t o r a t i o n , I w i l l arrange a date to worship at your tomb j u s t as Teng d i d at the tomb of the 68 founder of the Han dynasty." In a d d i t i o n to t h i s , Ku's method of re c o r d i n g the year i s a l s o i n d i c a t i v e of h i s unwavering l o y a l t y ; i nstead of us i n g the e i g h t h year of the Sun-chih r e i g n , Ku adopted a very o l d , c l a s -s i c a l , n o n - p o l i t i c a l method to i n d i c a t e the year. For example, i n 1651, Ku wrote the poem about v i s i t i n g the tomb of Ming T ' a i - t s u and recorded the year as i - h s i a ch'ung kuang ts'an_yu (the e i g h t h i n the Ten C e l e s t i a l Stems and the f o u r t h i n the Twelve T e r r e s t r i a l Branches), r a t h e r than the 69 ei g h t h year of the Shun-chih r e i g n . He kept up t h i s p r a c t i c e throughout h i s l i f e , thus showing h i s uncompromising a t t i t u d e towards the new regime. A d i s c u s s i o n of Ku's l o y a l t y i s c r i t i c a l , because i t has important beamings upon the formation of h i s i d e a l s w i t h respect to l o c a l community and government. As w i l l be shown i n l a t e r chapters, many of the ideas of Ku Yen-wu can be f u l l y understood only when we keep i n mind t h a t , instead of t a c i t l y submitting to the Ch'ing, Ku t a c i t l y r e s i s t e d Ch'ing r u l e through-out h i s l i f e . A f t e r Ku cut h i s h a i r , he d i d not immediately leave f o r the nor t h . He continued to wander around the Kiangnan area, perhaps t r y i n g to respond to the a c t i v i t i e s of the Southern Ming court and Koxinga i n T a i w a n . ^ H i s f i n a l departure f o r the n o r t h was prompted by an i n c i d e n t i n 1655, i n which a charge was brought against him by h i s d i s g r u n t l e d house s e r f Lu En. The i n c i d e n t almost cost Ku h i s l i f e . Seventeenth Century Serf Revolts and the Case of Lu En A prominent f e a t u r e of Chinese h i s t o r y during the seventeenth century was the prevalence of s e r f r i o t s (nu-pien) . Many provinces,...especially i n Kiangnan and i n c e n t r a l China, were a f f e c t e d . ^ There have been some de-t a i l e d s t u d i e s of t h i s t o p i c . Here we are only going to summarize a few re l e v a n t aspects of t h i s problem. The f i r s t controversy i s over the name " s e r f " . I t i s w e l l known that a Chinese " s e r f " i n t h i s p eriod could be very r i c h , powerful, and even en-t i t l e d to take concubines. There i s no corresponding term f o r t h i s kind of s o c i a l s t a t u s i n E n g l i s h . There were many names i n Chinese which described a group of people who worked as tenants or as servants from generation to generation. They might be called shih-p'u (generation servants), or t'ung-72 yueh (servants by bond), or pang-tang (followers). The general term "serf" is the closest one to nu. The usage of "serf" is jus t i f i e d only with some qualifications. For one thing, the nu theoretically had the privilege of cultivating a portion of land, even when i t s overall ownership was trans-ferred. Secondly, such persons could be very influential, especially i f their masters were powerful. Thirdly, the nu did not necessarily work in the fi e l d s : some of them functioned as secretaries for their masters, or as their masters' accountants. The origins of the nu can be traced back to antiquity, but they are outside the primary interest of this thesis. The tradition of keeping serfs was s t i l l very much alive in seventeenth-century China. However, the acquisition of serfs was not a reward for winning a 73 war, but rather was a result of social and economic dislocation. The commercialization of rural areas had driven many peasants into landlessness and unemployment. In addition, there were two Ming tax policies aggravating the situation. The f i r s t was the liang-chang tax collection system. Although the liang-chang system .was originally designed to e l i c i t the participation of local landlords in the collection of taxes to curb the power of local administrators, i t later degenerated, becoming a heavy burden on the peasants. The local landlord had nothing to gain, though he was s t i l l responsible for tax quotas. Tax evasion by the landlords themselves forced peasants to pay even higher taxes. The other policy originated in the hatred of Ming T'ai-tsu towards the Kiangnan area, which had been occupied by the people of his archrival Chang Shih-ch'eng (d. 1367). After the Ming dynasty began, T'ai-tsu deliberately imposed a high tax rate on the people of this area as a punishment for their support of Chang. These two policies had forced many peasants i n southeastern China to give up t h e i r land and t u r n to more powerful p r o t e c t o r s f o r help. To a l l e v i a t e t h e i r predicament, peasants "commended" themselves to i n -f l u e n t i a l f a m i l i e s . In so doing, such peasants not only evaded taxes and r e n t s , but t h e i r l i v e s were protected too. Hsieh Kuo-chen i n h i s essay "Ming-chi nu-pien k'ao" (A study of the s e r f r e b e l l i o n s i n the Ming dynasty) discussed the o r i g i n of the Ming s e r f s . Hsieh sta t e d that the m a j o r i t y of the Ming s e r f s who "commended" (t'ou-k'ao) themselves to the i n f l u e n t i a l d i d so v o l u n t a r i l y (ch'ing-yiian). Hsieh pointed out t h a t , i n the case of Tung Ch'i-ch'ang (1555-1636) , people not only "commended";"their land but a l s o t h e i r 1 pleasure boats. Most of Tung's one hundred pleasure boats came from people who had "commended" themselves to h i s p r o t e c t i o n . ^ I n Kiangnan, the s i t u a t i o n was p a r t i c u l a r l y s e r i o u s : Nowadays i t (keeping s e r f s ) has become fa s h i o n a b l e among many s c h o l a r - o f f i c i a l s i n Kiangnan. As soon as someone passes the c i v i l examination, these la d s rush to h i s place (asking to be s e r f s ) . This i s c a l l e d t'ou-k'ao (submit and become dependent). The number of these people sometimes even reaches one thousand. In seventeenth-century China, s e r f s posed a s e r i o u s problem f o r the gentry c l a s s . R i o t s were common. Some sch o l a r s regard the r i o t s as an i n -7 6 d i c a t i o n of c l a s s s t r u g g l e . Others, l i k e Meng Sen, consider them to be i n d i c a t i o n s that some s e r f s were t a k i n g advantage of the chaos i n f l i c t e d by the Manchu conquest i n order to achieve personal gain or r e v e n g e . ^ Meng Sen rejects the argument of class struggle, saying that there was no universal animosity between the serfs and their masters. Unlike the slaves in the United States and the serfs in Russia, who wanted to be emancipated from a 78 general suppression, many Chinese volunteered to be serfs. In any case, the fact is that Chinese serfs could be rich and powerful. This was one of the main reasons why serfs had the a b i l i t y and the resources to rise against their masters. The question i s : how had the serfs become so powerful? The relationship between the serfs and their masters could be developed in many ways. Some serfs were more important than others because they were good-looking or they had pretty wives. Others became powerful because they were more competent in serving their masters. Ku talked about the extent to which the serf could be a de facto master: Some serfs who are in charge of their master's business can actually control their master's daily schedule and a l l aspects of his l i f e . Some even have the decisive voice in what their masters should do or say. Some scholar-officials are even willing to destroy their re-putation (ming) and lose their principles. The serf consequently becomes the master and the master the serf. The power of some serfs was also derived from their masters' prestige and influence. A serf to the most powerful.Prime Minister in late Ming times, Chang Chu-cheng (.1528-1582), is a case in point. Being a serf of Chang, Yu Shou-li not only solicited influence and bribes, but also accepted the poetry and essays presented to him in his honour by court o f f i c i a l s . 80 He acted as a peer of the gentry. What worried Ku was not the rise or f a l l 62 of any p a r t i c u l a r person's f o r t u n e s , but the ominous b l u r r i n g of the d i f -f e r e n t i a t i o n between the upper and the lower s t r a t a of s o c i e t y . The breakdown of ming-chiao (the creed of the proper h i e r a r c h i c a l r e l a -t i o n s h i p s ) meant the c o l l a p s e of the Confucian p o l i t y , which was a t e r r i f y i n g t h r e a t to Ku. R e f l e c t i n g upon the whole t r a g i c Manchu conquest, Ku appears to have formulated a theory of barbarian conquest by a s s o c i a t i n g a s o c i e t y of decaying ming-chiao w i t h the i n d i f f e r e n c e of the people towards the defense of t h e i r country. This was why Ku p e r s o n a l l y k i l l e d h i s r e b e l l i o u s s e r f Lu En and vehemently reproached those i n v o l v e d i n s i m i l a r i n c i d e n t s of r e b e l l i o n 81 throughout h i s t o r y . For Ku, the most i n t o l e r a b l e offense was r e b e l l i n g against a s u p e r i o r . He once s a i d : There are two kinds of persons without the v i r t u e s proper to humanity (pu-j en). The f i r s t k i n d are those who are fond of offe n d i n g t h e i r s u p e r i o r s and s t i r r i n g up confusion...Then how should we teach a student? F i r s t of a l l , we have to teach f i l i a l p i e t y and f r a t e r n a l submission, i n order to e l i m i n a t e h i s offe n d i n g 82 and r e b e l l i n g m e n t a l i t y . Many r i o t s occurred during the Ming-Ch'ing t r a n s i t i o n a l p e r i o d . They took s e v e r a l forms, i n c l u d i n g i n c i d e n t s of burning the masters' r e s i d e n c e s , demanding the r e t u r n of s e r f c o n t r a c t s , or merely d e f e c t i n g to another mas-83 t e r . Some s e r f s took advantage of the Ming l o y a l i s t f a m i l i e s ' l o s s of power. These s e r f s took over t h e i r masters' property and very o f t e n charged 84 t h e i r masters w i t h having connections, to the r e s i s t a n c e movement. The new regime feared the e x i l e d Southern Ming c o u r t , because i t s t i l l owned the J 63 symbols of the o l d dynasty, to which many Chinese f o r v a r i o u s reasons owed t h e i r a l l e g i a n c e . The Ch'ing a u t h o r i t i e s made every e f f o r t to discourage people from i d e n t i f y i n g themselves w i t h the p r i n c e s of the Ming. For t h i s reason, many s e r f s got t h e i r way. In 1655 Ku was involved i n t h i s type of se r f r i o t . But the s e r f Lu En was drowned by Ku before he was able to make charges. The i l l - f a t e d Lu En was a s e r f of the t h i r d generation. Having watched the d e c l i n i n g fortunes of Ku's f a m i l y , Lu t r a n s f e r r e d h i s l o y a l t y to the neighbouring powerful Yeh f a m i l y , which had been i n dis p u t e w i t h Ku over mortgaged l a n d . Lu, wanted by Ku, t r i e d to ward o f f t r o u b l e by charging Ku w i t h connections to Koxinga i n Taiwan. Ku, i n t u r n , captured Lu, " r e -85 counted to him h i s crimes, and drowned him'.'. Lu's son-in-law, a l s o a s e r f , a l s o turned to the Yeh f a m i l y f o r help. With the Yeh f a m i l y ' s as-s i s t a n c e , t h i s son-in-law f i l e d s u i t a g a i n s t Ku, charging him w i t h involvement i n the Ming r e s i s t a n c e movement i n K'un-shan county. By paying a b r i b e of one thousand t a e l s , the Yehs t r i e d to have Ku put to death. Instead of the county j a i l , t h e r e f o r e , Ku was placed under the custody of a serf of the Yeh f a m i l y . Ku re c e i v e d tremendous help from f r i e n d s who rushed to h i s rescue. Despite the . f a c t that the Yeh f a m i l y obtained the cooperation of higher and lower o f f i c i a l s i n Soochow p r e f e c t u r e , Ku, however, was f i n a l l y t r a n s f e r r e d to the j a i l of neighbouring Sung-chiang p r e f e c t u r e , where the 8 6 Yeh f a m i l y ' s i n f l u e n c e could not reach. E v e n t u a l l y Ku was charged w i t h 87 " u n l a w f u l l y k i l l i n g a s e r f , " which only i n c u r r e d a minor penalty i n Confucian China. The Lu En i n c i d e n t i s j u s t one example of s e r f t r o u b l e s i n l a t e Ming times. I t s r o l e i n Ku's changing a t t i t u d e s was important, but i t would be going too f a r to conclude that i t can e x p l a i n a l l of Ku's subsequent 64 behaviour. However, i t does serve to point out the s i g n i f i c a n c e of the s e r f problem and the way Ku handled i t . The m o t i v a t i o n f o r t h i s case was probably economic advantage-taking r a t h e r than i n t e r - c l a s s antagonism. The f a c t that Lu En d i d not get himself out of h i s s e r f status i s i n t e r e s t i n g . Lu simply defected to a more i n f l u -e n t i a l gentry f a m i l y . He was s t i l l a s e r f . His son-in-law d i d not escape serfdom e i t h e r . For Ku, the k i l l i n g of Lu was a matter of h i s own l i f e or death. I f he were convicted of the charge of c o l l u s i o n w i t h Koxinga, the death penalty would be i n e v i t a b l e . Lu En very l i k e l y possessed some s o l i d evidence against Ku. I n a d d i t i o n , observance of the s t a t u s d i f f e r e n c e s among v a r i o u s s t r a t a i n s o c i e t y was fundamental to Ku's ideas on s o c i a l s t r u c t u r e . The maintenance of order and s t a b i l i t y i n s o c i e t y r e q u i r e d that everyone f u l f i l l the d u t i e s of t h e i r r e s p e c t i v e p o s i t i o n s as p r e s c r i b e d by Confucianism. The promotion of any e g a l i t a r i a n e f f o r t to e l i m i n a t e s o c i a l d i f f e r e n c e s i n v i t e d t r o u b l e and induced c u l t u r a l d e c l i n e . L i k e many Confucians, Ku thought that keeping a s t r i c t h i e r a r c h i c a l s t r u c t u r e would guarantee a har-monious s o c i e t y . For Ku,a s e r f r i s i n g against h i s master meant the d e s t r u c -t i o n of ming-chiao, which not only caused personal t r o u b l e , but a l s o under-mined the Chinese e t h i c a l code. Thus, he f e l t Lu En' s execution was j u s t i f i e d . This i n c i d e n t demonstrates both the power and the l i m i t a t i o n s of a gentry f a m i l y . Ku took the law i n t o h i s own hands because he knew the punishment f o r k i l l i n g a s e r f would be l i g h t . He d i d not expect that Lu En would get the support of another powerful f a m i l y that could exert i t s i n f l u e n c e i n the p r e f e c t u r e yamen. Yet the i n f l u e n c e of even a powerful gentry f a m i l y l i k e the Yehs only reached as f a r as i t s own p r e f e c t u r a l boundaries. A l e g a l case l i k e t h i s was beyond t h e i r c o n t r o l when i t moved to another p r e f e c t u r e . Thanks to a f r i e n d , Lu Tse-p'u, the son of a Ming 65 minister and an inf luent ia l metropolitan o f f i c i a l , Ku escaped with his l i f e . Infuriated by his fa i lure to put Ku to death, Yeh Fang-heng hired an assas-sin to follow Ku, whom this assassin eventually attacked at the c i ty gate of 88 Nanking. Ku suffered head injuries , but again he survived. This is another indication of the impotence of the local gentry outside of i t s own loca l i ty . One attitude which Ku may have developed during this case was an intense d is l ike for yamen clerks (hsu- l i ) . This was possibly related to his hatred for rebellious serfs, since there are many s imi lari t ies between these two lowly groups of people. Like serfs, yamen clerks had no social prestige and used any means to curry favour with their superiors. They could, for example, take advantage of the weaknesses of their masters' personalities. It was also possible for them to use blackmail i f their masters became involved in scandals or clandestine ac t iv i t i e s . The bureaucracy's law of avoidance meant that only clerks knew the details of the local conditions, information v i t a l to effective local administration. Thus, clerks could use this information to control their masters even better than the serf could. Ku's personal experience might also have contributed to his attitude towards yamen clerks. Ku must have suffered when he was f i r s t arrested, because the Yeh family was said to be "on good terms with everyone in the 89 prefecture, no matter whether they were in high or low position." It was very l ike ly that Ku was put into a private j a i l because of an arrangement with yamen clerks. There was also a record indicating that one serf was himself a yamen clerk who sold smuggled salt and was involved in many i l l e g a l 90 ac t i v i t i e s . A l l this led Ku to reflect with unusual intensity about the need to overhaul the local government infrastructure, as a necessary step towards better local government. 66 In 1668, Ku was i m p l i c a t e d i n another charge of treason. This time i t was again a case of a s e r f accusing h i s master, but Ku was only i n d i r e c t l y i n v o l v e d . A c h i n - s h i h by the name of Chiang Yilan-heng, whose f a m i l y had been s e r f s f o r generations i n the Huang f a m i l y i n Shantung, accused f a m i l y members of w r i t i n g p r o v o c a t i v e a n t i - C h ' i n g poems. Ku was a l l e g e d to be a sponsor and an e d i t o r of these poems i n the south. Upon hearing of t h i s charge, Ku stopped h i s t r a v e l l i n g and went to Chi-nan to r e p o r t to the a u t h o r i t i e s . Ku was put i n j a i l where he awaited t r i a l . E v i d e n t l y he had a hard time: he i s s a i d to have had a d a i l y f a r e of only s e v e r a l b i s c u i t s . Ku f i n a l l y was c l e a r e d of the charge, due to a l a c k of evidence as w e l l as to the help of 91 i n f l u e n t i a l m e t r o p o l i t a n o f f i c i a l s . The lessons of these l e g a l cases were obvious f o r Ku. To keep away from t r o u b l e , i t was i n Ku's i n t e r e s t to avoid s e n s i t i v e t o p i c s . I t would be m i s l e a d i n g , however, to say that Ku's w r i t i n g s were mainly about t r i v i a l matters. A f t e r the continued f a i l u r e of m i l i t a r y u p r i s i n g s to r e s t o r e the Ming, Ku's s o l e ambition was to c o n t r i b u t e to the l o y a l i s t cause through h i s w r i t i n g s . This s i t u a t i o n imposed a dilemma on Ku. How could he be a l o y a l i s t and a widely c i r c u l a t e d w r i t e r at the same time? This dilemma had t r o u b l e d many p o l i t i c a l l y conscious Chinese h i s t o r i a n s . They had overcome i t by p u t t i n g a l l "dangerous" ideas i n obscure words or by burying them i n --a sea of h i s t o r i c a l f a c t s from e a r l i e r h i s t o r i e s or w r i t i n g s . Sometimes, t h e r e f o r e , there were items i n the J i h - c h i h l u which seemed to be i n s i g n i -f i c a n t . However, a f t e r a c l o s e r examination, the reader can o f t e n detect something i n these items which touches upon Ku's b a s i c concerns. Here, the Grand H i s t o r i a n Ssu-ma Ch'ien (135?-93? B.C.) provided a good example f o r Ku. According to Ku: 67 There was one person i n ancient times who could w r i t e h i s t o r y without e x p l i c i t l y passing judgement. And we s t i l l could d i s c e r n h i s judgement r i g h t i n the nar-r a t i o n . This person was Ssu-ma Ch'ien...Few of l a t e r 92 generations know t h i s s k i l l . Throughout these l e g a l cases, Ku a l s o developed a l o a t h i n g f o r the r i s i n g of subordinates against s u p e r i o r s . By extension, Ku's d e t e s t a t i o n of yamen c l e r k s was l o g i c a l , but h i s .negative a t t i t u d e towards sheng-ytian could a l s o be p a r t i a l l y explained by h i s personal experiences. L i k e the yamen c l e r k s , sheng-yuan very o f t e n banded together and blackmailed the magistrate 93 or p r e f e c t whenever they could. Most important of a l l , sheng-ytian not only c o l l u d e d w i t h yamen c l e r k s but a l s o , according to Ku, became yamen 94 c l e r k s themselves. What was the extent of Ku's animosity towards the p o l i t i c a l s e l f -a s s e r t i o n of s o c i a l l y l o w l y people? In a book e n t i t l e d A Supplement to the J i h - c h i h l u ( J i h - c h i h l u c h i h yu), Ku took pains to c o l l e c t a l l the famous h i s t o r i c a l i n c i d e n t s of " s e r f s accusing t h e i r masters" (nu kao chu), making t h i s a s p e c i a l category of h i s t o r i c a l knowledge. He a l s o created some s i m i l a r c a t e g o r i e s , such as: " s o l d i e r s accusing t h e i r commanders" ( t z u  kao chiang); " s u b - o f f i c i a l s accusing t h e i r s u p e r i o r s " (,li kao pen-kuan) ; "lowly o f f i c e r s k i l l i n g t h e i r l e a d e r s " (hsiao-chiao sha pen-kuan), and 95 "wives g i v i n g witness a g a i n s t t h e i r husbands" ( c h ' i - t z u kao chia-chang). In a l l such types of h i s t o r i c a l events, Ku thought the i n f e r i o r s were to be blamed; t h e i r accusations were e i t h e r deemed unfounded or d e l i b e r a t e l y ignored. The e n t i r e e x e r c i s e demonstrated very sharply Ku's concern w i t h ming-chiao. A few of Ku's examples w i l l s u f f i c e to make t h i s point c l e a r : 68 In the reign of Liao Ching-tsung (969-979), the king of Wu was, on one occasion, accused by a serf. The o f f i c i a l in charge wanted to investigate. The emperor said, "I know this is a false accusation. If you make a fuss, I fear that others might follow suit." So the emperor ordered the execution 96 of the serf as a warning to the people. In the Off i c i a l Yuan Dynasty History in the biography of Pu-hu-shu, there was a serf who accused his master of corruption. The master was consequently executed and the serf :was ordered'to take over the master !s office. . Pu-hu-shu. said: ; If this happens, i t w i l l do tremendous harm to moral customs in the world. Eventually i t w i l l diminish human sentiments towards others (jen-ch'ing) and there w i l l be no difference between the high and the low. 97 The emperor regretted the order and invalidated i t . Recounting another occasion when a censor in the Ming T'ai-tsu era asked about the arrest of a Cheng-tu prefect who was accused by his subor-dinate of receiving bribes, Ku approvingly quoted the emperor as saying: The relation of sub-officials and clerks to their superiors is l i k e the relation of sons or younger brothers to their fathers or elders. A case of the low accusing the high like this i s a violation of "the creed of the proper hierarchical relationships." 98 It is not worth listening to. To solve the serf problem in Kiangnan, however, Ku suggested that serfdom 69 be avoided. Ku suggested that the gentry in that area follow the example of the people north of the Yangtze River, who hired helpers or tenants rather than taking them as serfs. He also advised the government to emanci-pate the serfs from their existing obligations and move them to dwellings in remote border areas. If the government did this, the people of the country-side could sleep comfortably. "The gentry are to be free of control by others; then they can manage to do good things. If we want fewer lawsuits 99 and better moral customs, we f i r s t have to solve the serf problem." A l l these examples should demonstrate that Ku had a clear belief in a hierarchical social structure. Serfs, clerks, and even females belonged to the lower echelons. This was very conventional and Confucian. But these examples must be taken in a relative sense. In a time when serfs could succeed to the position of a chin-shih degree h o l d e r , t h e y thus could become masters themselves in the sense that they could become influential o f f i c i a l s . What Ku emphasised, therefore, was the upkeep of a moral standard which was'based on ming-fen (roles appropriate to one's hierarchical posi-tion) . Ku had no hatred for the serf per se, but rather a hatred of anyone who violated the ming-fen. The serf riots in the Ming-Ch'ing period brought the problem of ming-fen to Ku's attention and sharpened his consciousness of the need to prevent moral decay in social relationships. The Many Possible Motivations of Ku's Famous Journey to North China In 1657 when Ku was forty-five, he bid farewell to his friends and l e f t for the n o r t h . T h i s f u l f i l l e d a dream he had cherished since 1648, yet the irony is that Ku went north with reluctance. He l e f t his home a year after his legal d i f f i c u l t i e s ended. "After the plan (to k i l l me) of the influential people (.the Yeh family) failed, I stayed vigilant. Finally I 70 102 decided to travel to Shantung." The task of explaining the motives behind Ku's decision to v i s i t north China has been a vexing one to the many special-ists who have studied his l i f e ; here I propose to assess various possible motives on the basis of relatively sparse evidence. The delay of his original hope, for nine a c t i v i t y - f i l l e d years after the f a l l of the Ming, can be interpreted in a very different way i f we believe Ku was s t i l l a Ming loyal i s t . In a poem of 1648, Ku had spelled out his admiration for a restoration hero of the Late Han. This was Teng Yu, who, in spite of invitations from other leaders, had travelled a long way to join the cause of his long-time classmate and friend, the latter-day 103 emperor of Kuang-wu. Ku had not gone north in 1648, as opposed to 1657, because in 1648 many anti-Ch'ing uprisings were s t i l l occurring in the neighbourhood of K'un-shan. The Southern Ming court s t i l l lingered on in southeastern China. If there had been any chance for restoration in the 1640's, the hope would have lai n in the recovery of the Kiangnan area. The anti-Ch'ing movement was especially active in northern Kiangsu around 1648. Nanking and Miao-wan, which was strategically important because a l l grain transported to the north had to pass through this town, were attacked by 104 the Ming restorationists. Indeed i t is quite possible, as Hsieh Kuo-chen speculated, that the reason for Ku's several excursions to the Huai River 105 area was to investigate the situation. A collection of essays written by Ku's best friend Kuei Chuang and not published un t i l the early 1950's also mentions the likeliness of Ku and Kuei's participation in the resistance movement. The editor depicts the activities of Kuei Chuang after the f a l l of K'un-shan: In 1652, he (Kuei) accepted the invitation of Wan 71 Nien-shao (style, Shou-ch'i) to teach in Huai-yin. It is said he was in contact with Ku Yen-wu, planning to organize a l l the Ming loyalists in the Huai area and in i t i a t i n g the anti-Ch'ing movement. Shortly thereafter, Wan Nien-shao took i l l and died, and 106 (Kuei) again returned to K'un-shan. According to Kuei Chuang's record, Ku decided to leave for the north at this time because his l i f e was endangered and his house had been ransacked by the Yeh family."*"^7 As mentioned before, the Yehs despatched an assassin who made an attempt on Ku's l i f e in front of the Nanking city gate. Ku sur-vived the attack but suffered head injuries. However, the frustrated Yeh Fang-heng sent dozens of people to rob Ku's house. They took away Ku!s 108 precious book collection, which had been accumulated over generations. "Nin-jen (Ku's style) realized that i f he sued the Yehs, he could not win 109 the legal battle, so he was determined to go away." This is an indication of the vulnerability of a declining gentry family as well as of the power and influence of a rising gentry family, at least in the rising family's home-town. Escape from persecution by the Yehs was one valid .reason for Ku's leaving his home, but there are other aspects to Ku's motivation to move away which might also be assessed. A further possible motivation is that Ku wanted to find out the where-abouts of his son. To Ku, a male descendant was very important to the upkeep of the family line. Ku's wife, Wang, did not bear Ku any children. In 1649 when Ku was thirty-seven, he took a concubine by the name of Han. In the following Spring, Han gave birth to a baby boy who was named I-ku. I-ku died in 1653, however."*"^ In the same year Ku took another concubine who 72 may have been from Nanking. Ku l e f t her i n Ch'ing-chiang-p'u f o r a period of time before she j o i n e d Ku i n K'un-shan. Since Ku had been roaming about the Kiangnan area during the ten years s i n c e 1648, i t i s not c l e a r whether or not he took h i s wives w i t h him. In a poem w r i t t e n by Kuei, he i n d i c a t e s that Ku and h i s second concubine d i d not stay together i n K'un-shan f o r nine y e a r s . I n other words, Ku probably v i s i t e d h i s second concubine i n the Nanking area, but d i d not take her back to K'un-shan u n t i l 1653. Thus, i t i s l i k e l y that she or one of Ku's wives gave b i r t h to a son who f o r some reason was sent to be r a i s e d by someone e l s e . L a t e r , when a much ol d e r Ku s t i l l had no son, he began t h i n k i n g of l o o k i n g f o r the son who had been sent away. This was revealed i n a l e t t e r w r i t t e n by Ku's best f r i e n d Kuei i n 1668 urging him to come home a f t e r an absence of eleven.years: "Your son 112 must be grown up. Do you t r y very hard to l o c a t e him?" Another mention of Ku's son appears i n the poem w r i t t e n c o l l e c t i v e l y i n 1658 on the occasion of the f a r e w e l l party held f o r Ku by h i s f r i e n d s and f e l l o w countrymen. In the poem, there i s a couplet w r i t t e n by Kuei i n d i c a t i n g the a r r i v a l of a 113 new son. There were other motivations i n a d d i t i o n to these. In a c i v i l i z a t i o n w i t h such r i c h t r a d i t i o n s , people could always f i n d some model w i t h which to i d e n t i f y . One might suggest that f o r an a c t i v e person, there were two bas i c models to f o l l o w . I f a person was i n t e r e s t e d i n c u l t u r a l or i n t e l l e c t u a l a c t i v i t i e s , he might choose to emulate the great h i s t o r i a n Ssu-ma Ch'ien, who had been through unspeakable h u m i l i a t i o n , but i n the long run had managed to become the most admired w r i t e r and h i s t o r i a n i n Chinese h i s t o r y . I f a person's i n t e r e s t s were more predominantly p o l i t i c a l , he could f o l l o w the i l l u s t r i o u s example of the eleventh-century Chinese statesman Fan Chung-yen (989-1052), who had r i s e n from humble o r i g i n s to the premiership and had ex p e l l e d f o r e i g n invaders. Teng Yvi of the Eastern Han i s of the l a t t e r type, though not as famous as Fan. I suggest that Ku t r i e d to f o l l o w both models. On the surface, Ku's journey n o r t h was s i m i l a r to the journeys of Ssu-ma Ch'ien, who v i s i t e d famouse h i s t o r i c a l s i t e s . One of Ku's f r i e n d s , Ch'eng Hsien-chen, remarked that Ku's t r a v e l l i n g "followed the precedent of the Grand H i s t o r i a n (e.g. 114 Ssu-ma Ch'ien)." More s p e c i f i c a l l y , Ku revealed h i s i n t e n t i o n to be a h i s t o r i a n i n a poem w r i t t e n f o r h i s f r i e n d the h i s t o r i a n P'an Sheng-chang (1628-1662). I n the poem, Ku expressed h i s wish to w r i t e something about the preceding dynasty which could be u t i l i z e d to a i d the r u l e of l a t e r p r i n c e s : When the Hsia dynasty came to an end, (there was) someone handing down the Yu-kung ( T r i b u t e to Emperor Yu). When Chou was i n d e c l i n e , the L i u -kuan (The R i t e s of Chou) was w r i t t e n f o r l a t e r generations. A l a t e r p r i n c e thus had something to base h i s r u l e upon, and as a r e s u l t , people could enjoy p r o s p e r i t y and peace. P'an was l a t e r i nvolved i n the case of Chuang T'ing-lung, who was charged w i t h w r i t i n g a Ming h i s t o r y which contained few complimentary words about the Manchus. P'an and other h i s t o r i a n s who helped i n w r i t i n g t h i s h i s t o r y were summarily executed. The death of h i s f r i e n d , w i t h whom he had shared deep mutual i n t e r e s t s , d e a l t a heavy blow to Ku's a s p i r a t i o n to be another Grand H i s t o r i a n . Ku was prevented from attempting to engage i n w r i t i n g the h i s t o r y of the Ming not only by harsh and oppressive Manchu p o l i c i e s , but a l s o by the f a c t t h a t a l l h i s c o l l e c t i o n of approximately two thousand volumes of h i s t o r i a l : r ecords, memorials and documents which he had l e n t to the i l l - f a t e d P'an disappeared w i t h P'an upon h i s execution."'""''^ The focus of Ku's w r i t i n g , however, d i d not change a f t e r t h i s i n c i d e n t . Ku had been t r y i n g to recon-s t r u c t something u s e f u l out of the past i n order to avoid repeating the e r r o r s of the Ming. Nevertheless, the form and s t y l e of Ku's w r i t i n g , i f not the focus, was to change from the w r i t i n g of h i s t o r y to the more covert l i s t i n g of key n o t a t i o n s from the c l a s s i c s . This change i n e v i t a b l y moved Ku's a t t e n t i o n away from the h i s t o r y of the Ming to the whole h i s t o r y of China, and to the c l a s s i c s which were assumed to possess the s e c r e t s of peace and p r o s p e r i t y . Ku's emphasis on the study of the c l a s s i c s and h i s advocacy of the s u b s t i t u t i o n of t h i s study f o r the more a b s t r a c t Neo-Confu-cianism made him the prime a u t h o r i t y on the study of the c l a s s i c s i n the e a r l y Ch'ing p e r i o d , w h i l e the great p o l i t i c a l philosopher Huang Tsung-hsi became well-known f o r h i s knowledge of the study of h i s t o r y i n the south. In the p r e c a r i o u s years of the e a r l y Ch'ing, a man of v a r i e d i n t e r e s t s l i k e Ku could not be content merely w i t h c h e r i s h i n g the i d e a l of being another great h i s t o r i a n . As we may judge from Ku's poems and a c t i v i t i e s , he thought that i t was completely p o s s i b l e f o r him to attempt the r o l e of Fan Chung-yen. In 1654, a f t e r he paid a v i s i t to the temple of Fan Chung-yen, Ku voiced h i s admiration of Fan: The former dynasty was a l s o weary of the t h r e a t of Yuan-hao (a r e b e l l i o u s t r i b u t a r y leader i n the Southern Sung. Here Ku r e f e r r e d to the e x t e r n a l t h r e a t . ) But, among the o f f i c i a l s , who was the equal of Mr. Fan.:.'.(.who was c r e d i t e d w i t h the defeat of Yuan-hao) ? I would l i k e to have c a r r i e d out great plans w i t h you, s i r . There would have been endless w o r r i e s , but a l s o j o y . ^ " For Ku, to be another Fan was to save the country from the i n v a s i o n o: an a l i e n people. Around 1658, but not before, the only chance f o r Ku to achieve anything was to go n o r t h , e i t h e r to Shantung or the northwest pro-v i n c e s where the anti - C h ' i n g movement was s t i l l a c t i v e . A passage i n the statement made by Ku's f r i e n d s a t the f a r e w e l l p a r t y best summarized the most important m o t i v a t i o n of Ku's l e a v i n g f o r the nor t h : A long time ago, Ssu-ma Ch'ien t r a v e l l e d exten-s i v e l y around the country and then f i n i s h e d the S h i h - c h i ; Fan Wen-cheng (Chung-yen) took the w e l l -being o f the s t a t e as h i s own r e s p o n s i b i l i t y when he had j u s t gotten h i s h s i u - t s ' a i degree. A man l i k e Ning-jen (Ku) i s more or l e s s i n possession of both. The places Ku stayed i n both areas were centres of r e s i s t a n c e . In Shantung, Ku s e t t l e d at Chang-ch'iu where peasant r e s i s t a n c e to the Manchus 119 was a c t i v e . In 1659, Ku suddenly took a t r i p to the south and " c o i n c i -d e n t a l l y " met the a n t i - C h ' i n g troops l e d by the famous Ming general Chang 120 Huang-yen i n Nanking. Six t e e n years l a t e r , In 1675, Ku t r a v e l l e d from Shantung, passing through Honan, and a r r i v e d i n Ch'i county, Shansi, where he lived in a studio built especially for him by a native friend Tai T'ing-shih, who was said to be the chief figure in charge of anti-Ch'ing a c t i v i -121 ties in northern China. It is l i k e l y that while Ku travelled he was at the same time investigating the anti-Ch'ing situation. But such actions were very risky, and must have been conducted under careful disguise. One of Ku's friends wrote a poem, advising him to be watchful against pseudo-Ming loyalists who might betray him: Do not trust your heart unto friends. Nowadays the so-called "heroes" are not always authentic. Life is treacherous and dangerous, and i t is very smart for a rabbit to build three l a i r s . A great man is not to be confined in a small corner, and the water dragon is not going up into the sky u n t i l there is thunder . 122 and ram. In 1657, Ku took off for Shantung. This was to be a journey of no return, although at f i r s t Ku seemed not to think of i t in this light. Here again was a turning point in Ku's l i f e . A new experience lay ahead of him. Ku's Earlier Life Experiences Reviewed By providing this rather detailed descriptive summary of Ku Yen-wu's early l i f e , I hope to examine and sum up what was particular to his experi-ence. F i r s t l y , Ku came into the world bearing a heavy legacy of family tradition: the memorable influence of the grandeur of the Ku clan.in medi-eval China, and the prestige the Ming dynasty had conferred upon his mother 77 Both exerted pressures upon the young Ku. Secondly, as a s c h o l a r , Ku suf-fered f r u s t r a t i o n s of almost every k i n d : the i l l n e s s which d i s f i g u r e d h i s l e f t eye; the l o n e l i n e s s of h i s childhood; repeated f a i l u r e s i n the c i v i l s e r v i c e examinations and most of a l l , the f a l l of the Ming dynasty. When we observe Ku's r e l a t i o n s h i p w i t h o t h e r s , i t becomes c l e a r that of the f i v e c a r d i n a l human r e l a t i o n s h i p s (wu-lun), Ku was denied, or d i d not enjoy, the m a j o r i t y of them. The emperor committed s u i c i d e , h i s f a t h e r died before he was born, he ignored h i s w i f e and he had no brothers. The s i n g l e kind of r e l a t i o n s h i p he was a b l e to and d i d enjoy was f r i e n d s h i p . D e t a i l s of Ku's married l i f e do not emerge w i t h c l a r i t y . His w i f e , named Wang, was perhaps r e l a t e d to Ku's mother, and d i d not bear any c h i l d r e n . Before Ku l e f t f o r the n o r t h , he took at l e a s t two concubines. But i t seems that he t r a v e l l e d alone. In 1672 when Ku was s i x t y , as mentioned e a r l i e r , he took another concubine, but sent her away before.long. His unintimate, even remote r e l a t i o n s h i p w i t h h i s w i f e may not have been uncommon, yet s i g n i f i c a n t l y , i n 1680, when h i s w i f e died i n K'un-shan, Ku "upon hearing the news, on the next day, moved out from h i s host f a m i l y , and on the eleventh day put on mourning garments and observed f u n e r a l e t i -quette. He a l s o o f f e r e d s a c r i f i c e s and burned paper money every seventh 123 day, f o l l o w i n g the general r i t u a l s . " Ku's meticulous observance of h i s wife's f u n e r a l ceremony i n d i c a t e d h i s obssession w i t h Chinese " r i t u a l s " ( l i ) , e s p e c i a l l y f u n e r a l r i t e s which were so v i s i b l y r e l a t e d to general s o c i a l customs (feng-su). I t appears that Ku's marriage d i d not g r e a t l y i n f l u e n c e h i s l i f e , but the change of the mandate of heaven d i d have a s i g n i f i c a n t e f f e c t on him. As pointed out e a r l i e r , Ku was repeatedly f r u s t r a t e d by h i s f a i l u r e i n the p r o v i n c i a l examinations before the c o l l a p s e of the Ming. He d i d show some 78 signs of t r y i n g d i f f e r e n t academic a c t i v i t i e s , and he developed some kind of d i s t a s t e f o r the examination system. I f t h i s could be c a l l e d Ku's " i d e n t i t y c r i s i s , " then h i s " i d e n t i t y c r i s i s " was mostly r e s o l v e d w i t h the e s t a b l i s h -ment of the Manchu regime. A l l the Confucian d i s c i p l i n e , i n c u l c a t e d i n Ku, and e s p e c i a l l y h i s mother's l a s t words, poignantly placed l i m i t s upon him. Although, during the f i r s t few years of Manchu r u l e , Ku was not very c l e a r about what to pursue i n the f u t u r e , he was unmistakably c e r t a i n of what not to do. With hope f o r the r e s t o r a t i o n of the Ming g r a d u a l l y d i m i n i s h i n g , Ku i n c r e a s i n g l y moved away from heavy engagement i n the r e s i s t a n c e movement and towards more i n t e l l e c t u a l l y - o r i e n t e d a c t i v i t i e s . The ephemeral armed s t r u g g l e gave way to p r o t r a c t e d c u l t u r a l competition. In other words, Ku Yen-wu as a Ssu-ma Ch'ien g r a d u a l l y took the place of Ku Yen-wu as a Fan Chung-yen. I t i s u n l i k e l y that Ku ever r e l i n q u i s h e d a l l hope of r e s t o r a t i o n , because a n t i - C h ' i n g a c t i v i t i e s remained unabated i n some p a r t s of China even i n h i s l a t e years. A case i n p o i n t i s Taiwan, which was not taken over u n t i l 1684: Ku had died two years e a r l i e r . With the c o n s o l i d a t i o n of Ch'ing power i n China proper, however, Ku was l e f t very l i t t l e room to maneuver by means of armed r e s i s t a n c e , so he r e s o r t e d to r e s i s t a n c e i n the academic sphere. His t r a v e l s i n n o r t h China f i t t e d i n w i t h both these p u r s u i t s . Another s i g n i f i c a n t point of Ku's frequent t r a v e l s was the precedent he e s t a b l i s h e d concerning a way of l i f e f o r the i n t e l l e c t u a l during dynas-t i c change. In times of u n c e r t a i n t y , c o n s c i e n t i o u s Chinese followed past models and examples. U n f o r t u n a t e l y , Confucius had not l e f t much advice concerning how to l i v e under a l i e n r u l e . Confucius perceived Chinese c u l -t u r e to be s u p e r i o r to other c u l t u r e s , but he had never l i v e d under a non-Chinese government. One Confucian c l a s s i c , however, d i d bequeath some vague p r i n c i p l e s about the proper way of l i f e under a l i e n r u l e . " I f one r e s i d e s among barbarians, one behaves c o r r e c t l y d e s p i t e the barbarians." X 2 A . ( s s u - i - t i , hsing-hu i - t i ) i s a t y p i c a l example. ,. Many people .took l i b e r t i e s w i t h t h e i r i n t e r p r e t a t i o n of t h i s advice. Ku expounded i t i n h i s J i h - c h i h l u , using the complete saying as a formal category. In h i s e x p o s i t i o n , Ku vehemently attacked those who i n t e r p r e t e d t h i s saying to mean tha t people should obey t h e i r r u l e r s , r e g a r d l e s s of whether they were Chinese or barbarians. In the same passage, Ku a l s o o p t i m i s t i c a l l y p r e d i c t e d that though China had been temp o r a r i l y conquered by barbarians order would very soon be r e s t o r e d . This item, not s u r p r i s i n g l y , was deleted from the J i h - c h i h l u when i t f i r s t was published, but was r e s t o r e d i n the Yuan-ch'ao- .... 125 pen-Not only d i d Ku make e f f o r t s from h i s own viewpoint to t r a n s l a t e Con-f u c i u s ' o v e r - s i m p l i f i e d slogan i n t o e a s i l y comprehensible language, but he a l s o l e d a kind of l i f e which could serve m u l t i p l e purposes. At the same time, i t was much s a f e r than simply s t a y i n g a t home during the chaos of dyn a s t i c change and the e a r l y years of a new and su s p i c i o u s emperor. This way of l i f e could be c o n c i s e l y c a l l e d a l i f e of "being a hermit by t r a v e l -126 l i n g " ( i - y u w e i - y i n ) . In a l e t t e r to a d i s c i p l e , Ku s a i d : " A l l these years, wherever I stayed, I stayed no more than three months...In any year, 127 more than h a l f of the days I spent i n h o t e l s . " In another l e t t e r , Ku again had t h i s to say: "No sooner had I put my body i n a c h a i r than I went out to t r a v e l to the south and the n o r t h of the Yellow R i v e r . This 128 was to show my i n t e n t i o n of not being bogged down i n one p l a c e . " On another occasion when Ku t r i e d to f i n d a place to hide i n order to avoid a teaching job forced upon him by an i n f l u e n t i a l o f f i c i a l , Ku wrote to h i s 80 friend: ....Would you please make an arrangement with the old gentleman Piao? (What I need is) to find a temple in the countryside to hide in for one or two months. I would bring my own food; this w i l l cost the host nothing. I would stay un t i l my nephews (the HsU brothers) come to Peking. They can get me 129 out of this trouble. Under the reign of the astute K'ang-hsi, when conciliatory policies towards the gentry were in vogue, Ku's behaviour was especially effective. The new regime launched a massive effort to enlist the cooperation of the former Ming scholar-gentry. The dilemma for these people was obvious, and Ku's l i f e style paid off. Being constantly on the run, his mobility made him more d i f f i c u l t to locate. Consequently, he had more leeway to manage his escape from the increasingly intense controls of Ch'ing rule than he 130 would have had as a hermit hidden in his hometown. A Japanese scholar, Ono Kazuko, has observed that Ku's trip to the north was made possible only when the Chinese economy had become more prosperous 131 than in the 1640's. In other words, Professor Ono has suggested that, had the economy of the Chinese empire not been prosperous enough to provide such necessary services as transportation and local accommodation, i t would have been impossible for Ku to make this extensive t r i p . This emphasis on the more sophisticated economic and social development of the later 1600's is very much in line with the theory that "sprouts" of capitalism had again begun to appear in China. However, Ku's trip had nothing to do directly with the development of China's economy. A l l that mattered was personal m o t i v a t i o n and a f f o r d a b i l i t y . That i s to say, anyone could make such a t r i p i f they were r i c h enough and wanted to go. Furthermore, Ku was not the f i r s t d i s g r u n t l e d scholar-observer to embark on a prolonged tour across the country. More than seventeen hundred years e a r l i e r , i n an unmistakably p r e - c a p i t a l i s t age, the famous Grand H i s t o r i a n Ssu-ma Ch'ien had done the same t h i n g i n order to w r i t e a b e t t e r h i s t o r y . In both cases, personal m o t i v a t i o n seemed to assume a more important r o l e i n t h e i r extensive t r a v e l -l i n g than the economy of the empire. Under Manchu r u l e , many of Ku's f r i e n d s took d i f f e r e n t approaches to av o i d i n g surrender to the Ch'ing. In order to avoid having to obey the embarrassing " h a i r - c u t t i n g order," many-scholar-gentry simply shaved t h e i r h a i r and masqueraded as Buddhist monks or Ta o i s t p r i e s t s . As Ch'ien Mu describes i t : "Many educated Chinese l o y a l to the Ming dynasty, i n c l u d i n g c i v i l and m i l i t a r y o f f i c i a l s , forsook t h e i r l i v e s as householders to take 13 refuge i n monasteries and f l e d to the southwest as the Manchus approached." Some gentry, l i k e Kuei Chuang and Fu Ch'ing-chu and o f f i c i a l s l i k e the former K'un-shan magistrate Yang Yung-yen, v o l u n t a r i l y adopted a lower s o c i a l s t a t u s , thus surrendering t h e i r s o c i a l p r e s t i g e . Even though they entered the priesthood f o r p o l i t i c a l p r o t e c t i o n , some s t i l l were not q u i t e f r e e from t r o u b l e . Fang I - c h i h (1611-1671) l i v e d as a monk, but was l a t e r cap-133 tured and committed s u i c i d e . Fu Shan behaved l i k e a T a o i s t p r i e s t but i n 1679 was "recommended" to the Po-hsueh hung-tz'u examination d e s p i t e h i s r e l u c t a n c e . Against t h i s background, Ku's behaviour was s t r i k i n g . As mentioned before, Ku adopted the d i s g u i s e of a merchant. He d i d not comply t o t a l l y w i t h the Ch'ing order, but more or l e s s trimmed h i s h a i r . His choice of the guise of a merchant r a t h e r than that of a monk was c o n s i s t e n t w i t h h i s 82 b e l i e f that Chinese c u l t u r a l decay, and consequently, f o r e i g n encroachment were p a r t l y caused by the "contamination" of Buddhist and Ta o i s t ideas, and t h e i r subversion of Confucianism. We w i l l take up the i s s u e of c u l t u r a l decay l a t e r . S u f f i c e i t to say that i n Ku's mind the f a l l of the Ming to a c u l t u r a l l y i n f e r i o r regime marked the n a d i r of China's c u l t u r a l decay. Much of Ku's l i f e and energy were to be spend on the i s s u e of how to p r o t e c t China from another f o r e i g n conquest. One b a s i c theme Ku developed i n d e a l i n g w i t h t h i s problem was the strengthening of l o c a l power. The experiences of Ku's e a r l i e r l i f e helped to formulate the s p e c i f i c d e t a i l s of t h i s theme. The past g l o r i e s of h i s c l a n made him conscious of the p o l i t i c a l s t r e n g t h and s o c i a l i n f l u e n c e of gentry f a m i l i e s i n h i s community. Ku's e x t r a o r d i n a r y e a r l y education and h i s f r u s t r a t i o n w i t h the examination system brought to h i s a t t e n t i o n the inadequacy of the system f o r the r e c r u i t -ment of t a l e n t e d people. The " s e r f r i o t " or the Lu En Incident caused Ku to worry about s o c i a l and moral customs, e s p e c i a l l y the breakdown of the s o c i a l h i e r a r c h y , something which assumed great importance i n Confucian China. By extension as w e l l as by experience, Ku considered the rapacious l o c a l sheng-yuan and yamen c l e r k s as j u s t another group bent on usurping the power which belonged to higher o f f i c i a l s . F i n a l l y , the l a s t ten years of h i s wandering from town to town w i t h i n the Kiangnan area before h i s t r i p to the n o r t h provided Ku w i t h f i r s t h a n d i n f o r m a t i o n about l o c a l s i t u a t i o n s i n t h i s r e g i o n , which he was l a t e r a b l e to compare w i t h l o c a l s i t u a t i o n s i n the n o r t h . A l l i n a l l , Ku's e a r l y l i f e was an important f a c t o r i n the shaping of h i s views on the i d e a l nature of l o c a l community and government. In the f o l l o w i n g chapters, I w i l l f i r s t d i s c u s s the e v o l u t i o n of forms of l o c a l a d m i n i s t r a t i o n i n the development of Chinese h i s t o r y , l o c a t i n g Ku Yen-wu's basic concerns, and then examine several aspects of Ku's ideals with respect to this issue. 84 Chapter Three: L o c a l Power i n China: I t s H i s t o r y and Ku's Bas i c Concerns S o c i a l t h e o r e t i c i a n s have posed a dichotomy between Gemeinschaft and G e s e l l s c h a f t : namely, a d i f f e r e n c e between "those n a t u r a l l y developed forms of o r g a n i z a t i o n which have i n t r i n s i c and n o n - l o g i c a l values to them" and those " d e l i b e r a t e l y formed a s s o c i a t i o n s f o r r a t i o n a l achievement of mutual goals.""'" Many s o c i a l t h e o r i s t s such as K a r l Marx, S i r Henry Maine, Auguste Comte, Herbert Spencer, and Emile Durkheim saw the s o c i a l changes of t h e i r 2 time as moving the world from the former towards the l a t t e r . In K a r l W i t t -f o g e l ' s theory of O r i e n t a l S o c i e t y , which attempted to analyze the Chinese empire, there was a l s o a fundamental d i v i s i o n between s t a t e and s o c i e t y ; that i s , between i n s t i t u t i o n s "born of s t a t e p r e s c r i p t i o n " and those "born of the needs of n a t u r a l s o c i a l u n i t y . " "According to t h i s theory and i t s d e r i v a t i v e s , a powerful despotic s t a t e seeks to impose i t s own forms of o r g a n i z a t i o n upon the n a t u r a l u n i t s of r u r a l s o c i e t y i n order to c o n t r o l and 3 tax them." IJhe c e n t r a l government's p r o g r e s s i v e a c q u i s i t i o n of l o c a l power s i n c e the S u i dynasty (589-619) can be seen as a process i n which a powerful des-p o t i c s t a t e (the court) had sought to impose i t s own forms of o r g a n i z a t i o n ( l o c a l governments) upon the n a t u r a l u n i t s of r u r a l s o c i e t y i n order to con-t r o l or tax them. In a way comparable to the Western s o c i a l t h e o r i s t s ' per-ce p t i o n of s o c i a l e v o l u t i o n , Ku Yen-wu a l s o saw the s o c i a l change of the l a s t one thousand years i n China as the e c l i p s e of l o c a l community i n favour of a c e n t r a l i z e d empire. One d i f f e r e n c e between Ku and some Western s o c i a l t h e o r i s t s was h i s a t t i t u d e towards s o c i a l change. Marx and Spencer saw the d e s t r u c t i o n of the o l d world of communal patte r n s as the end of c o n s t r a i n t s on human e q u a l i t y and economic a f f l u e n c e , an end to the tyranny of custom, and a leap to the "Kingdom of Freedom." But Ku Yen-wu, l i k e some other s o c i a l t h e o r i s t s such as Comte, i d e n t i f i e d the l o s s of community w i t h the d e s t r u c t i o n of a s t a b l e environment and an a u t h o r i t y e s s e n t i a l to human w e l l - b e i n g . They saw chaos i n the disappearance of a system of ordered and r e s p e c t f u l r e l a t i o n s between s t a b l e c l a s s e s . ^ In the l a t e Ming, the development of l o c a l government seemed to poi n t i n t h i s d i r e c t i o n . The Ming l o c a l government always seemed to pursue the i n t e r e s t of n a t i o n a l government at the expense of the f e e l i n g s of l o c a l com-muni t i e s . Thus, Ku wanted reform. One t h i n g we must bear i n mind i s that i n seventeenth-century China, Ku Yen-wu, l i k e many other s c h o l a r s , made no d i s t i n c t i o n between l o c a l community and l o c a l government. In t r a d i t i o n a l China, i n s t e a d of a t h e o r e t i c a l d i s t i n c t i o n between " s o c i e t y " and " s t a t e , " the f a m i l i a r dichotomies were, f o r example, feng-chien versus chun-hsien or Confucianism versus Legalism. On balance, Ku d i d p r e f e r feng-chien i d e a l s and Confucianism to the ot h e r s . However, he thought that law and c e n t r a l government were indispensable to the order of s o c i e t y . In s h o r t , he thought them necessary e v i l s , but he wished f o r a minimum of c e n t r a l i z e d government and a maximum of l o c a l autonomy. Ku d i d not p r e s c r i b e an i d e a l l o c a l community, but r a t h e r a community-l i k e l o c a l government. Ku seemed to t h i n k of a "good" l o c a l a d m i n i s t r a t i o n as the f i r s t step towards the i d e a l community, because most of h i s more ex-p l i c i t t r e a t i s e s on l o c a l a f f a i r s dealt.'.•with l o c a l government, e s p e c i a l l y at the county (hsien) l e v e l . ^ Ku wanted to transform a s e l f - c e n t r e d l o c a l government i n t o a l o c a l government more attuned to communal i n t e r e s t s and l o c a l f e e l i n g s . H i s design f o r l o c a l a d m i n i s t r a t i o n s t r e s s e d the accommoda-t i o n of community needs. Many s c h o l a r s , i n c l u d i n g Ku, u s u a l l y r e f e r r e d to the h s i e n when speaking of l o c a l government because i n the hsien the 86 government o f f i c i a l s were theoretically able to have personal contact with g the people. To get a better understanding of Ku's proposal, i t is worth looking briefly at traditional Chinese local government, particularly during i t s golden age and i t s decline after the Sung dynasty. The Historical Model of Chinese Local Government Many traditional thinkers in China looked to the text known as the Rites of Chou (Chou Li) for inspiration and support in reform. In the late Ch'ing, both orthodox Confucians lik e Feng Kuei-fen and their enemies the Taiping leaders, advocated the restoration of the "village o f f i c i a l " (hsiang-kuan) 9 according to the Rites of Chou. This text was so extensively and frequently referred to by such reformers that John Watt, a Western scholar of China has said: For a guide to the policy of tranquilization, the Chou L i was the most persuasive source. It was the Chou L i which provided the classic precedents for systems for equitable land allotment registration systems, provision of famine r e l i e f , arbitration of minor l i t i g a t i o n , or forensic techniques for solving criminal cases. Above a l l the Chou L i was the classic source for the public security systems of later ages."^ Modern Chinese historians might dispute this statement on two points. First, the impeccable institutions recorded in the Chou L i had not actually existed in the Chou dynasty; they were only ideal versions of a government 87 s t r u c t u r e which g r a d u a l l y through many generations acquired an aura of per-f e c t i o n and were l a t e r mistaken f o r the r e a l Chou institutions."'""'' The Chou 12 L i i t s e l f was not even purely Confucian. Secondly, many h i s t o r i a n s would argue that although l a t e r dynasties could not be compared favourably w i t h the golden age of China, there were good and e f f e c t i v e i n s t i t u t i o n s i n some of the post-Chou dynasties from which people could l e a r n and adopt ideas. The l o c a l a d m i n i s t r a t i o n of the Han dynasy, the recruitment of e l i t e s during the Han and the T'ang, the defense s t r a t e g i e s of the r e i g n of Sun T ' a i - t s u , and the peasant-oriented p o l i c i e s of the f i r s t - M i n g 13 »« emperor are but a few. The p r e f e c t u r e and county (chiin-hsien) system was i n i t i a t e d by the Ch'in dynasty. T r a d i t i o n a l s c h o l a r s of l a t e r generations were r e l u c t a n t to say anything good about the i n s t i t u t i o n s of t h i s f i r s t u n i f i e d Chinese empire because the i l l - f a t e d Ch'in regime was n o t o r i o u s f o r i t s oppressive p o l i c i e s . The Han dynasty replaced the Ch'in and l a s t e d more than four hundred years. The s t r e n g t h and g l o r y of the Han empire became the p r i d e of the Chinese people. L o c a l a d m i n i s t r a t i o n was one of 14 the most important l e g a c i e s of Han r u l e . In h i s strenuous search f o r the i d e a l l o c a l government, Ku Yen-wu unmistakably s i n g l e d out the Han l o c a l system as a m o d e l . ^ To get a sense of comparison w i t h Ku's ideas, i t i s necessary to set f o r t h the b a s i c f e a t u r e s of the Han l o c a l government. One prominent f e a t u r e was the s i m p l i c i t y of the s t r u c t u r e . There were only two l e v e l s of l o c a l a d m i n i s t r a t i o n : p r e f e c t u r e (chun) and county ( h s i e n ) . The number of p r e f e c t u r e s was s l i g h t l y more than one hundred, and the number of hsien ranged from eleven hundred to fourteen hundred. In other words, each chun was r e s p o n s i b l e f o r the business of approximately ten to twenty counties. There were no provinces of c i r c u i t s (tao) standing between the court and the p r e f e c t u r e s , n e i t h e r was there any u n i t between the p r e f e c t u r e and the c o u n t i e s . There were many lower o f f i c i a l s ( h s a i o -kuan) and few h i g h o f f i c i a l s (ta-kuan) i n the Han government which, ac-cording to Ku was a key requirement f o r a prosperous s o c i e t y . Another f e a t u r e of the Han l o c a l government s t r u c t u r e was the high s t a t u s of the p r e f e c t ( t ' a i - s h o u ) . The o f f i c i a l s a l a r y f o r these o f f i c i a l s was two thousand s h i h , equal to that of the "nine m i n i s t e r s " ( c h i u - c h ' i n g ) . In other words, the p r e f e c t was on the same st a t u s s c a l e as a m i n i s t e r i n the c e n t r a l government. Indeed, there are cases showing that some p r e f e c t s were l a t e r t r a n s f e r r e d to m i n i s t e r i a l p o s i t i o n s or even appointed as one of the "three highest o f f i c i a l s " (san-kung)."^ The job of p r e f e c t was so f i n a n -c i a l l y rewarding and p r e s t i g i o u s that i t was i n the best i n t e r e s t s of the job holder to achieve success. The simple s t r u c t u r e of o f f i c i a l d o m a l s o f a c i l i t a t e d i n t e r c h a n g e a b i l i t y of posts between the c e n t r a l and l o c a l government. The r i g h t s and powers which Han p r e f e c t s enjoyed were a l s o the envy of l a t e r l o c a l o f f i c i a l s . Han l o c a l o f f i c i a l s d i d not have to observe the "law of avoidance,'.' which meant that the nature of a l o c a l i t y could serve as a p r e f e c t i n h i s own home town, and d i d not have to :take h i s f a m i l y to a post thousands of m i l e s away. There was a l s o a minimum of higher super-v i s o r y personnel (normally only one). This p o l i c y not only r e l i e v e d l o c a l o f f i c i a l s of the burden of f l a t t e r i n g numerous higher o f f i c i a l s as t h e i r counterparts i n l a t e r d y n a s t i e s were forced to do, but helped these o f f i -c i a l s keep the d i g n i t y and spontaneity which C o n f u c i a n i s t s so g r e a t l y cherished. Above a l l , the Han p r e f e c t s possessed the p r i v i l e g e of h i r i n g 18 a l l the o f f i c i a l s under them. In other words, the system provided much leeway f o r the l o c a l government leaders to i n i t i a t e programmes whenever they saw f i t . 89 These leaders avoided the problems of the p r e f e c t s or magistrates of l a t e r dynasties who, when they took o f f i c e , simply i n h e r i t e d a group of e s t a b l i s h e d , experienced strangers already w e l l p r a c t i s e d i n the a r t s of manipulation. The Han t'ai-shou was the "head" of the l o c a l government i n the t r u e sense of the word. He a l s o had the freedom to c o n t r o l l o c a l f inances and l o c a l m i l i t a r y f o r c e s . The r e l a t i o n s h i p between the t'ai-shou and the l o c a l o f f i c i a l s under him was equivalent to that between the emperor and h i s s u b j e c t s , and i n f a c t they addressed each other the way the emperor 19 and the subjects addressed each other. I n short, the Han t'ai-shou was very powerful. The tenure of the o f f i c e was a l s o very long. The only d i f -ference between a fe u d a l p r i n c e and a Han p r e f e c t was the h e r e d i t a r y nature of the former's p o s i t i o n . The only e v a l u a t i o n of the merits or demerits of the p r e f e c t came from the "censors" ( t z ' u - s h i h ) , who were dispatched by the court to every corner of the country i n August of each year. Their assessment of the p r e f e c t s ' achievements was mainly based upon the p r e f e c t s ' a b i l i t y to manage the 20 government, r e c r u i t t a l e n t and prevent the m i s c a r r i a g e of j u s t i c e . The tz 'u-shih..reported to the court at the end of each year. I f charges were made by the t z ' u - s h i h , the court would launch an i n v e s t i g a t i o n . The st a t u s and s a l a r y of the t z ' u - s h i h was a very low s i x hundred s h i h , but he was powerful and re s p e c t a b l e . "The low status but the powerful p o s i t i o n of the t z ' u - s h i h kept them i n high s p i r i t s and at the same time enabled them to 21 perform t h e i r d u t i e s . " To keep the t z ' u - s h i h from showing f a v o u r i t i s m towards the t'a i - s h o u , the tenure f o r the post was only one year. The r e l a t i o n s h i p between the centre and i t s l o c a l i t i e s was enhanced by the p r e f e c t ' s y e a r l y " p r e s e n t a t i o n of s t a t i s t i c s books" (shang-chi). The " s t a t i s t i c book" (chi-pu) to be presented was the annual a d m i n i s t r a t i v e 90 r e c o r d , which included s e c t i o n s on f i n a n c e , economics, education, j u s t i c e , c i v i l a f f a i r s , s o c i a l unrest and n a t u r a l d i s a s t e r s . These books were sent to the i m p e r i a l c a p i t a l i n September or October and subjected to the s c r u t i n y of the c e n t r a l government. This a c t i o n provided an opportunity f o r the p r e f e c t to demonstrate the achievements and f a i l u r e s w i t h i n h i s l o c a l i t y . I t a l s o symbolized the subordinate p o s i t i o n of h i s a d m i n i s t r a t i v e r o l e to the whole of China. As long as the p r e f e c t was i n power, however, he had complete autonomy w i t h i n h i s l o c a l e . Although Ku p r a i s e d the b r e v i t y and straightforwardness of some Han county m a g i s t r a t e s , he i n f a c t acknowledged that the magistrate was only the subordinate ( s h u - l i ) of the t' a i - s h o u , and that the p r e f e c t u r e (chun) 22 i n the Han dynasty was the r e a l model f o r l a t e r l o c a l government. The reason f o r t h i s i s that i n sixt e e n t h - c e n t u r y China, the county, l i k e the Han p r e f e c t u r e , was the bas i c government u n i t . Furthermore, the po p u l a t i o n and workload of a Ming county resembled those of a Han p r e f e c t u r e . A remarkable f e a t u r e of Chinese l o c a l government was the s t a b l e number of c o u n t i e s . Ever s i n c e the Han, there had been approximately eleven . hundred c o u n t i e s , whereas the po p u l a t i o n had increased about s i x times by 23 the seventeenth century. This was one reason why the Chinese gentry v a s t l y increased i t s i n f l u e n c e i n the Ming-Ch'ing era, a time when the county government could no longer handle a l l the business of such a l a r g e p o p u l a t i o n . Thus, Ku wanted a powerful seventeenth-century h s i e n , f i r s t l y , to recapture the e f f i c i e n c y of the Han chun, and, secondly, to e l i m i n a t e the i n f l u e n c e of the sheng-yuan by f o r m a l i z i n g the l o c a l power of the whole gentry c l a s s . Ku thought to achieve these goals by appointing members of the l o c a l gentry c l a s s to the county magistrate and other l o c a l p o s i t i o n s . 91 The Decline of L o c a l Autonomy Even though the number of counties remained r e l a t i v e l y s t a t i c , l o c a l autonomy had waned i n medieval China, and i t s d e c l i n e was a powerful i n f l u -ence which haunted Ku's thought. The Han dynasty i n many ways Ku's model had d i s i n t e g r a t e d i n t o the Three Kingdoms, a time when r e a l power was i n the hands of s e v e r a l i n f l u e n t i a l l i n e a g e s . I t was not u n t i l the Sui and T'ang dynasties that China was u n i f i e d . There was a change of p o l i c y i n the S u i which Ku saw as a s i g n i f i c a n t change i n China 1 s l o c a l power s t r u c t u r e i n favour of the c e n t r a l government. In 595, the system of the " v i l l a g e o f f i c i a l " (hsiang-kuan) was abolished 24 by the Wen Emperor. The channel by which l o c a l v o i c e s could reach the court was d i s r u p t e d . I t seemed t h a t , however, l o c a l power i t s e l f remained i n t a c t , as, on the one hand, the i n f l u e n c e of huge c l a n s and a r i s t o c r a t s 25 was s t i l l very v i s i b l e , and, on the other hand, the T'ang l o c a l warlords 26 (fan-chen) could s t i l l appoint t h e i r own subordinates. Dr. John Watt notes: "By a l l accounts c i v i l a d m i n i s t r a t i o n of d i s t r i c t government reached a low ebb i n the period preceding the Sung dynasty. With the breakdown of c e n t r a l appointment procedures, l o c a l a d m i n i s t r a t i v e a u t h o r i t y 27 had become h e r e d i t a r y . " This statement a l s o suggests that one f i n a l era of strong l o c a l autonomy f l o u r i s h e d before the Sung dynasty. I t i s from the Sung dynasty onwards that we see the gradual increase of the power of the c e n t r a l government. This trend towards c e n t r a l i z a t i o n continued u n t i l the mid-nineteenth century. With the d i m i n i s h i n g i n f l u e n c e of T'ang a r i s t o c r a t s and the i n s t i t u -t i o n a l i z a t i o n of the c i v i l s e r v i c e examinations, the emperors of China were i n a b e t t e r p o s i t i o n to e f f e c t i v e l y r u l e l o c a l areas by u s i n g the non-hereditary, and thus more manageable, degree-holders. This innovation, along with the deliberate anti-militarist policy of the Sung founder, put an indelible mark on Chinese history. Ku Yen-wu was very c r i t i c a l of the Sung emperor's policies. He even suggested that as Sung policies had reduced 28 local power, they were responsible for the collapse of the Ming. It may be worthwhile to briefly discuss the Sung local policies here. Sung T'ai-tsu, himself a military man of the Late Chou (951-960), was suddenly established by his officers as a ruler when his subordinates declared their allegiance to him. Theoexistence of other local warlords made the new emperor uncomfortable, because they were possible competitors for the mandate of heaven. In a dramatic move during a grand feast, the new ruler relieved a l l the powerful warlords of their duties and gave them 29 handsome pensions. The warlords were forced to retire and the central government took over local government. Emperor Chao K'uang-ying also esta-blished a few precedents for his descendants to observe, such as prohibitions against k i l l i n g high o f f i c i a l s and censors; these carried much weight in a country which cherished f i l i a l piety as much as China. The positive effect of this policy is evident in the fact that many o f f i c i a l s s t i l l identified themselves with the Sung and rose against the conquerors when the Sung 30 succumbed to the Mongols. It was during the Sung, however, that what remained of local autonomy collapsed. This was the f i r s t time in Chinese history that the local ad-ministration, the economy and the military establishment"were controlled by the central government. This was a reaction to the disastrous military regionalism of the Five Dynasties period (Wu-tai, 907-960). Military men were asked to withdraw from the local government, and were replaced by c i v i l o f f i c i a l s sent by..the court to local areas to assume the office of p r e f e c t or of county magistrate. The formal t i t l e f o r the o f f i c e was merely "chih-chou chun-shih" or " c h i h - h s i e n ? " which meant "to manage the m i l i t a r y 31 a f f a i r s of the p r e f e c t u r e " or "to manage the county's a f f a i r s . " In con-t r a s t to the Han t i t l e s t'ai-shou (the p r o t e c t o r of the p r e f e c t u r e ) or h s i e n - l i n g (the commander of the county), the Sung t i t l e s f o r l o c a l o f f i c e s p l a i n l y showed that the new o f f i c e s were not the r e a l centre of l o c a l a u t h o r i t y . B a s i c a l l y , the Sung p r e f e c t and county magistrate were o f f i c i a l s of the c e n t r a l government: they were assigned to l o c a l j u r i s d i c t i o n s on a temporary b a s i s . To p r o t e c t the l o c a l leader from abusing power, the Sung court a l s o e s t a b l i s h e d the o f f i c e of v i c e p r e f e c t (t'ung-p'an) i n each chou. Every d e c i s i o n on l o c a l a f f a i r s made by the p r e f e c t was not v a l i d unless endorsed by the t'ung-p'an. The t'ung-p'an a l s o had the r i g h t to make a 32 secret r e p o r t to the c o u r t . The dual l e a d e r s h i p of the Sung chou govern-ment was another blow to l o c a l autonomy. The economic power of the l o c a l i -t y was a l s o taken away by the new o f f i c e of " t r a n s p o r t a t i o n commisioner" (chuan-yun-shih) i n each chou. Whereas i n the T'ang dynasty a f i x e d amount of t a x a t i o n income was withheld f o r l o c a l use, the chuan-yun-shih of the Sung was r e s p o n s i b l e f o r forwarding a l l income except the most minimal 33 f i n a n c i a l n e c e s s i t i e s to the c a p i t a l . In order to e l i m i n a t e the r e g i o n a l m i l i t a r y t h r e a t once and f o r a l l , something had to be done about l o c a l m i l i t a r y f o r c e s . The c e n t r a l govern-ment of the Sung issued an order to l o c a l governments which asked that the e l i t e of the l o c a l m i l i t a r y f o r c e s be sent to the court to be i m p e r i a l guards. Only those s o l d i e r s who d i d not become part of the i m p e r i a l guard 34 stayed i n the l o c a l f o r c e s . Thus the a d m i n i s t r a t i v e , economic, and m i l i t a r y powers of the l o c a l government were a l l assumed by the new regime. Many h i s t o r i a n s view t h i s as the beginning of i n c r e a s i n g despotism by the 94 Sung dynasty and of a c e n t r a l i z a t i o n process which was to reach a climax 35 during the Ming-Ch'ing p e r i o d . Ku's harsh, c r i t i c i s m of Sung T'ai-tsu's c e n t r a l i z a t i o n p o l i c i e s seems to have come from h i s preoccupation w i t h the c o l l a p s e of the Ming dynasty, 36 e s p e c i a l l y the f a i l u r e of l o c a l r e s i s t a n c e to the e x t e r n a l t h r e a t . To be f a i r to Sung T'.ai-tsu, these p o l i c i e s were not i n s p i r e d s o l e l y by h i s narrow personal i n t e r e s t s . Reaction to the preceding chaos created by m i l i t a r y r e g i o n a l i s m notwithstanding, the emperor had other p r a c t i c a l c o n s i d e r a t i o n s which impelled him to i n i t i a t e the reform of l o c a l government. One reason f o r the f i l l i n g of l o c a l o f f i c e s by people from the c e n t r a l government was the need to c o r r e c t the wrongdoings of the magistrates i n the preceding d y n a s t i e s . Often, these men were dishonest, incompetent, and even s e n i l e former government c l e r k s . Given the need to r e c t i f y c o r r u p t i o n among greedy o f f i c i a l s , i t was c r u c i a l to have tough r e g u l a t i o n s r e s t r i c t i n g ex-penditures. L a s t l y , i t i s c e r t a i n that the Sung emperor d i d not want to see any r e s i d u a l power granted to r e g i o n a l m i l i t a r y l e a d e r s . Keeping weak and o l d s o l d i e r s i n the l o c a l f o r c e s was more or l e s s j u s t i f i e d by the f a c t that those s o l d i e r s undertook the corvee which would otherwise have been 37 imposed on the peasants, as had bfeen the case i n previous regimes. Nevertheless, i n the l a t e t e nth century, China had the most respectable c e n t r a l government i t had had i n the l a s t 2 0 0 years. The axiomatic p o l i c y of the new regime "strong stem, weak branches" (ch'iang-kan j o - c h i h ) was 38 c h a r a c t e r i s t i c of the Sung dynasty. I t i s s i g n i f i c a n t that t h i s regime was c o n s t a n t l y plagued by e x t e r n a l t h r e a t s , l o s t h a l f of i t s t e r r i t o r y to the Jurchen, and l a t e r was destroyed by the Mongol i n v a s i o n . The remarkable s i m i l a r i t i e s between Sung and Ming h i s t o r y forced Chinese t h i n k e r s to r e f l e c t on the causes of the tragedy. I t i s not s u r p r i s i n g that Ku and 95 many of h i s contemporaries thought that o v e r - c e n t r a l i z a t i o n was a major f a c t o r . D i f f e r e n t people advocated d i f f e r e n t c o r r e c t i v e reforms. Huang Tsung-hsi discussed the importance of the Prime M i n i s t e r i n r e s t r i c t i n g the a r b i t r a r y power of the emperor, whereas Ku Yen-wu looked i n t o the reform of l o c a l government. The d i f f e r e n c e between these two w i l l be discussed l a t e r i n t h i s t h e s i s . The s h o r t - l i v e d Yuan dynasty l e f t an enduring imprint upon Chinese p o l i t i c s w i t h which Ku a l s o had to reckon. With regard to l o c a l govern-ment, the Mongol " p r o v i n c i a l system" (hsing-shen chih-tu) stands out as an example. The p r o v i n c i a l system was c l o s e l y r e l a t e d to the frequent move-ment of Mongol m i l i t a r y f o r c e s . In order to c e n t r a l i z e and maximize the e f f i c i e n c y of the commanding power of the m i l i t a r y commanders i n the f i e l d , the Yuan dynasty set up a temporary " a c t i n g C e n t r a l S e c r e t a r i a t " (hsing  chung-shu sheng, sometimes abbreviated .as hsing-sheng) i n the areas away from the c a p i t a l where there were emergencies. With t h i s new i n s t i t u t i o n , the emperor or the commissioner could m o b i l i z e a l l the p o s s i b l e resources they needed to achieve t h e i r goals. L a t e r t h i s hsing-sheng became a per-manent h i g h - l e v e l l o c a l a d m i n i s t r a t i o n r u l e d by high o f f i c i a l s dispatched from the c o u r t . Thus there was yet another i n s t i t u t i o n a l l e v e l of p o l i -t i c a l s u p e r v i s i o n imposed upon the chou and hsien governemnts which Ku wanted to e l i m i n a t e . The Mongols' p r a c t i c e s of ethnic and s o c i a l d i s c r i m i n a t i o n a l s o had a bearing on the l o c a l government. Their r i g i d o r g a n i z a t i o n of s o c i a l and p r o f e s s i o n a l groups placed the Chinese i n t e l l e c t u a l very low i n the s o c i a l 39 h i e r a r c h y . Many s c h o l a r s turned from p o l i t i c s to the study of the c l a s -s i c s . Consequently, the study of the c l a s s i c s '(ching-hsueh) advanced con-s i d e r a b l y i n t h e ; Y l i a n . ^ Most Chinese o f f i c e s under the Yuan were f i l l e d by the t r a d i t i o n a l l y despised yamen c l e r k s . The low q u a l i t y of the o f f i -c i a l s , together w i t h the Mongols' s u s p i c i o n of the Han Chinese, c o n t r i b u t e d to the c o r r u p t i o n and i n e f f i c i e n c y of Yuan a d m i n i s t r a t i o n . Two common d e s c r i p t i o n s of the Yuan government c l e a r l y r e v e a l the c h a r a c t e r i s t i c s of t h i s regime: "Conquering from horseback, and r u l i n g from horseback" (ma-shang t e - c h i h , ma-shang c h i h - c h i h ) ; and " r u l i n g the country with yamen 41 c l e r k s " ( i - l i chih-kuo). The founder of the Ming dynasty can be compared i n many ways to the founder of the Han dynasty, except i n h i s p o l i c y towards l o c a l government. Ming T ' a i - t s u , being the son of a poor peasant f a m i l y , had more knowledge of the problems of the peasant and of a g r i c u l t u r e than any other dyna s t i c founder. As i s well-known, Ming T'ai-tsu's major innovations i n a g r i c u l t u r e were the c o m p i l a t i o n of a Land-Tax R e g i s t r y ( y u - l i n g t'u-ts'e) and a House-hold R e g i s t r y (huang-ts'e), and the c r e a t i o n of l o c a l u n i t c h i e f s ( c h i a - chang) and land-tax c o o r d i n a t o r s (liang-chang). Wu Han, a famous modern Ming s p e c i a l i s t , regarded these i n v e n t i o n s as a renewal of e x p l o i t a t i o n of the peasant and as the b e t r a y a l of the peasant. Wu made the f o l l o w i n g comment: (On the surface these p o l i c i e s ) seemed to b e n e f i t the poor. But i n f a c t , the poor could gain nothing, as those who executed the compilations of these R e g i s t r i e s were l a n d l o r d s , those who c o l l e c t e d taxes were a l s o l a n d l o r d s , the l i - c h a n g and the head of c h i a again were l a n d l o r d s . The l a n d l o r d c l a s s would 42 never look a f t e r the i n t e r e s t s of t i l l e r s or tenants. Modern Western s c h o l a r s h i p views these innovations d i f f e r e n t l y . Dr. John Watt looked at the r e v i s i o n of l o c a l l e a d e r s h i p as a d e l i b e r a t e a t t a c k on the l o c a l a d m i n i s t r a t o r ' s power: "The immediate aims of the l i - c h i a system were to e q u a l i z e the tax burden and to have the people c o l l e c t i t themselves....There i s l i t t l e doubt that the l i - c h i a system was designed 43 to d i m i n i s h the power of o f f i c i a l d o m over r u r a l s o c i e t y . " P r o f e s s o r J e r r y Dennerline a l s o regards the l i - c h i a system as a design "to a l l o w l o c a l landowners to share the r e s p o n s i b i l i t y f o r d i s t r i b u t i n g the other s e r v i c e o b l i g a t i o n s i n t h e i r community." In other words, Dennerline t h i n k s that "the Ming founder r e v i v e d the i d e a l of p a r t i c i p a t o r y a d m i n i s t r a t i o n 44 by r e i n t r o d u c i n g c o n s c r i p t i o n f o r l o c a l s e r v i c e s . " At any r a t e , i t i s tru e that the l i - c h a n g and liang-chang were r i c h peasants, and the people sent to the countryside to measure the land were 45 a l s o from l a n d l o r d f a m i l i e s . The problem r a i s e d by the d i f f e r e n t i n t e r -p r e t a t i o n s i s : to what extent can we say that i n e a r l y Ming China a gentry f a m i l y was by d e f i n i t i o n a r i c h f a m ily? This i s not an easy question to answer. S u f f i c e i t to say that whatever e l s e was i n Chu Yuan-chang's mind, he s t r e s s e d the importance of f o r m a l i z i n g the p r e v i o u s l y i n f o r m a l l o c a l i n f l u e n c e possessed by r i c h f a m i l i e s . This attempt o b v i o u s l y f a i l e d , because the l i - c h a n g and liang-chang system d i d not l a s t very long. The magistrate became the agent of the c e n t r a l government w i t h o f f i c i a l powers, and the l a n d l o r d s and degree holders out of o f f i c e possessed tremendous u n o f f i c i a l power i n l o c a l areas. With t h i s i n mind, we can e a s i l y understand why the Ming a u t h o r i t i e s t r i e d to p r o h i b i t the l o c a l sheng-yuan from banding together and v o i c i n g t h e i r p o l i t i c a l o p i n i o n s . Having..seen and even s u f f e r e d from the wrongdoings of the rapacious sheng-yuan i n l o c a l areas, i t i s not s u r p r i s i n g that Ku wanted to cr e a t e a new kind of sheng-yuan who would be more s e n s i t i v e to the i n t e r e s t s of the l o c a l community. One source of the inf o r m a l power possessed by the sheng-yuan i n l o c a l areas was the p r i v a t e academies (shu-yuan). The academy system had become e s p e c i a l l y popular i n the Yuan dynasty when many Chinese l i t e r a t i r e t i r e d to set up p r i v a t e schools as a p r o t e s t against Ytian a l i e n r u l e . In the Ming p e r i o d , the l o c a l sheng-yilan and other degree-holders a l s o found a base i n p r i v a t e academies. Not only did. they preach t h e i r own i d e a l s , but they a l s o formed a c l i m a t e of o p i n i o n which i n t u r n became c r u c i a l i n court p o l i -t i c s . The Tung-lin movement of l a t e Ming times was mainly a f u n c t i o n of t h i s academy system. Due to involvement i n f a c t i o n a l s t r u g g l e s the academies were banned i n the l a t e Ming, and the p r o h i b i t i o n of sheng-yuan from meeting was re-confirmed. The l o c a l degree-holders thus l o s t the power which might have been used as a leverage against the ubi q u i t o u s and f a r - r e a c h i n g des-46 p o t i c and c e n t r a l i z i n g i n f l u e n c e . Neither the l o c a l sheng-yuan nor the d i r e c t o r of county schools had any power i n the formal education system; i t was the magistrate and the d i r e c t o r 47 of p r o v i n c i a l schools who were i n charge of p u b l i c education. Furthermore, a u t h o r i t y i n the county government was very much concentrated i n the hands of the magis t r a t e , r a t h e r than being broadly d i s t r i b u t e d among the v a r i o u s sinecures at both the county and p r e f e c t u r e l e v e l s of a d m i n i s t r a t i o n . The magistrate, however, was kept under c l o s e r e s t r i c t i o n and s u r v e i l l a n c e . I t was these r e s t r i c t i o n s and s u r v e i l l a n c e that Ku Yen-Wu d i s l i k e d most. He be l i e v e d these to be the major b a r r i e r s against a c h i e v i n g an i d e a l , spontane-ous, r e s p o n s i b l e l o c a l government. The magistrates were al s o under heavy pressure. Their a u t h o r i t y was confined by a d e t a i l e d system of d i s c i p l i n a r y 48 c o n t r o l s , and they were given l i t t l e chance f o r promotion. Simply put, the l o c a l a d m i n i s t r a t i o n from the county l e v e l upward had 99 become very much c e n t r a l i z e d s i n c e the Sung dynasty. The c e n t r a l a u t h o r i t y had taken over the a d m i n i s t r a t i v e , economic and m i l i t a r y power of l o c a l government. However, t h i s was not the only cause f o r Ku's alarm. There was something f a r more ominous. Due to the i n s u f f i c i e n t number of county governments, the l o c a l areas of China had become more d i f f i c u l t to c o n t r o l . The c e n t r a l i z a t i o n of l o c a l a u t h o r i t y d i d not help to ease t h i s predicament, because even at h i s best, the magistrate s t i l l could not handle the average two hundred thousand i n h a b i t a n t s of each county. The cooperation of the l o c a l s c holar-gentry and powerful l i n e a g e s was indispensable i n keeping a hsien i n order. The c e n t r a l i z a t i o n of l o c a l economic and m i l i t a r y power, however, made cooperation precarious because the resources which the l o c a l s cholar-gentry or lin e a g e s could m o b i l i z e were l i m i t e d . While the magis-t r a t e monopolized the formal a d m i n i s t r a t i v e power, the l o c a l scholar-gentry and t h e i r l i n e a g e s possessed informal a u t h o r i t y . Both p a r t i e s , doubtless, shared some common i n t e r e s t s , such as maintaining the st a t u s quo, but when r a d i c a l change such as dy n a s t i c change became i n e v i t a b l e , t e n s i o n and s t r i f e emerged between them. On the sur f a c e , the number of f o r c e s and the power at China's d i s p o s a l were formidable, but China was r i d d l e d w i t h such c o n f l i c t s of i n t e r e s t that she could not summon any d e c i s i v e s t r e n g t h w i t h which to r e s i s t an organized outside a t t a c k . Being so huge, but at the same time so c e n t r a l i z e d i n terms of governmental s t r u c t u r e , Ku saw China as t o t a l l y v u l n e r a b l e to any i n v a s i o n . Thus, he advocated the feng-chien i d e a l i n order to i n j e c t some communal s p i r i t i n t o t h i s huge, l o o s e l y organized s o c i e t y . A few quotations from Ku may demonstrate my p o i n t : The ancient sage kings t r e a t e d the people of the world w i t h public-mindedness (kung-hsin). They d i v i d e d the country i n t o s e v e r a l s t a t e s and enfeoffed the over-l o r d s . The emperors of modern days take over the whole world w i t h i n the four seas as t h e i r own p r e f e c -t u r e and c o u n t i e s . And they are s t i l l not contented. The emperors of modern days are s u s p i c i o u s of everyone; they take charge of everything. The r e g u l a t i o n s and documents (.in the l o c a l government) get i n c r e a s i n g l y complicated. S t i l l the emperors impose the o f f i c e of censor on the l o c a l governments, and again the p r e f e c t s and magistrates can not e x p l o i t the people. What they do not know i s that the l o c a l o f f i c i a l s are doing nothing but avoiding any t r o u b l e . The p r e f e c t s and magistrates w i l l c ongratulate themselves i f they are replaced without any punishment. None of them would l i k e to do anything b e n e f i c i a l to the people even f o r one day. How could the people not be poor? How could 49 the country not be weak? ....Therefore the great need of t h i s country i s to have p r e f e c t s and magistrates (more s e n s i t i v e to the i n t e r e s t of the people). But today no one i s more powerless than p r e f e c t s and ma g i s t r a t e s . The p r e f e c t s and magistrates have no power, and the s u f f e r i n g s and complains of the l o c a l people are not heard by the c e n t r a l government. How can we expect to keep peace i n the s o c i e t y and to prolong the mandate of heaven f o r the dynasty?"^ 101 ...and i n the p r e f e c t u r e s and counties of today, the l o c a l o f f i c i a l s have no s p e c i f i c power and l o c a l people do not know what to do. That i s why there are so many r e b e l l i o n s and barbarian i n v a s i o n s . (When they) come to one p r e f e c t u r e , t h i s p r e f e c t u r e c o l l a p s e s ; (when they) come to one county, t h i s county falls."'"'" Ku's general p r i n c i p l e , u n d erlying h i s proposed reforms of l o c a l gov-ernment, was to make t h e whole county i n t o the magistrate's personal property which could be handed down from generation to generation. Then, i n times of e x t e r n a l t h r e a t , he was confident that there would be "some one who"would defend the country to the death, some one who would t r y to u n i t e w i t h other 52 people to r e s i s t the i n v a s i o n . " I t i s necessary to examine the problem of the f a i l u r e of the r e s i s t a n c e movement of the Ming l o y a l i s t s . No more r e l e v a n t questions are asked on t h i s t o p i c than those r a i s e d by J e r r y Dennerline i n a recent essay. Denner-l i n e 's three major questions are as f o l l o w s : Given the high r a t e of r e s i s t a n c e throughout the Yangtze v a l l e y and the south, why was the n a t i v e p o l i t i c a l s t r u c t u r e unable to s u r v i v e the Ch'ing challenge? I f the r e s i s t a n c e leaders were at once the r e p r e s e n t a t i v e s of Ming a u t h o r i t y and the n a t u r a l leaders of l o c a l s o c i e t y , why were they unable to r e t a i n c o n t r o l of t h e i r home d i s t r i c t s when Ch'ing magistrates w i t h no l o c a l r e p u t a t i o n or connections a r r i v e d to take o f f i c e ? With such an abundance of 102 Ming p r i n c e s and pretenders, p r o v i n c i a l armies and powerful warlords, l o y a l i s t m i n i s t e r s and gentry st a l w a r t s , roaming the, south u n t i l the 1680's, why d i d popular n a t i v i s t sentiment not provide them w i t h 53 the s t r e n g t h to expel the invaders? I f we accept .the premises which u n d e r l i e these questions, P r o f e s s o r Dennerline's answers are, f i r s t , t hat the i n t e r e s t s of l o c a l o f f i c i a l s were 54 i n c o n f l i c t w i t h those of the l o c a l magnates, and furthermore, there was a h i a t u s i n the p o l i t i c a l s t r u c t u r e of l o c a l s o c i e t y : the Ming l o y a l i s t s were i n no way able to maintain e f f e c t i v e c o n t r o l over the r e s i s t a n c e f o r c e s . The terms Profes s o r Dennerline employs i n h i s essay are not always c l e a r , and h i s i n t e r p r e t a t i o n of the f a i l u r e of the r e s i s t a n c e movement l a c k s s u f f i c i e n t substance. He employs more than ten d i f f e r e n t names f o r impor-tant l o c a l people: l o c a l magnates, v i l l a g e l a n d l o r d s , v i l l a g e l e a d e r s , l o c a l l e a d e r s , b u r e a u c r a t i c l e a d e r s , p a r a m i l i t a r y l e a d e r s , l o c a l e l i t e , 56 l o c a l strongman, r e b e l l i o u s magnate, powerful f a m i l i e s . . . Only one c l e a r group emerges from among these many names the "bureaucratic e l i t e . " P r ofessor Dennerline uses t h i s term to r e f e r to the degree holders who were e l i g i b l e f o r p u b l i c o f f i c e , b u t h i s other c a t e g o r i e s are d i f f i c u l t to i d e n t i f y . On one occasion, Dennerline s t a t e s : "Hsu Tu may w e l l have 58 been t y p i c a l of the l o c a l l e a d e r s h i p . " But what i s unclear here i s which i n t e r e s t Hsu represented. I f Hsu was rep r e s e n t i n g l o c a l i n t e r e s t , then what segment of the l o c a l people d i d he represent? The l o c a l magnate? The bu r e a u c r a t i c e l i t e ? Or the v i l l a g e leaders? P r o f e s s o r Dennerline's i n t e r p r e t a t i o n of the c o n f l i c t s of i n t e r e s t i s 103 a l s o somewhat vague. C o n f l i c t s e x i s t e d everywhere, even among c l o s e r e l a -t i v e s . What i s c r u c i a l about the f a i l u r e of the r e s i s t a n c e here i s why and how the l o c a l magnates would t h i n k they might be b e t t e r o f f under Manchu r u l e . The temptation to accept the Ch'ing o f f e r of surrender was open to everyone, no matter whether they were Ming l o y a l i s t s or l o c a l magnates. Ku Yen-wu d i d not consider the f a i l u r e of the r e s i s t a n c e movement to be the r e s u l t of d e f e c t s i n the l o c a l p o l i t i c a l s t r u c t u r e . On the c o n t r a r y , he thought that l o c a l s o c i e t y would have been much stronger and b e t t e r o f f i f the c e n t r a l government had adopted a more or l e s s l a i s s e z - f a i r e p o l i c y on l o c a l government. In Ku's eyes, the greater the i n t e g r a t i o n of l o c a l and c e n t r a l government, the more v u l n e r a b l e to e x t e r n a l a t t a c k the county or p r e f e c t u r e would be. Ku thought that.the f a i l u r e of the r e s i s t a n c e move-ment was caused by a l a c k of s t r e n g t h i n the counties and p r e f e c t u r e s . Yet many f a c t o r s c o n t r i b u t e d to the weakness of l o c a l defence. - . i. According to Ku, one point was c r u c i a l : the over-concentration of l o c a l a u t h o r i t y i n the hands of the c e n t r a l government. This being the case, there was no room or i n c e n t i v e l e f t f o r l o c a l people to i n i t i a t e defense programmes. Even i f some people intended to do so, they lacked the indispensable economic and m i l i t a r y resources to implement such pro-:, grammes. In the J i h - c h i h l u , Ku quoted the words of Ch'en Liang of the Sung dynasty as a way of v o i c i n g h i s o p p o s i t i o n to the c e n t r a l i z a t i o n p o l i c y : During the period of the F i v e Dynasties, the m i l i t a r y and f i n a n c i a l power were concentrated i n the hands of l o c a l l e a d e r s . The F i r s t Emperor of the Sung dynasty reversed t h i s trend and held these powers i n the c e n t r a l government i n order to suppress the r e b e l -l i o n s . The emperors of l a t e r generations d i d not understand the m o t i v a t i o n behind t h i s p o l i c y and maintained t h e i r hold on these powers. This caused the emptiness and weakness of the p r e f e c t u r e s and c o u n t i e s . Thus the centre and the l o c a l areas are v u l n e r a b l e . For Ku, the f i r s t step towards a stronger l o c a l defence would be the establishment of autonomous l o c a l governments. Ku a l s o wished to make ad-m i n i s t r a t i v e , e d u c a t i o n a l , s o c i a l , and economic reforms i n order to c o n s o l i date l o c a l defence. C e r t a i n l y Ku d i d not have the exact questions r a i s e d by P r o f e s s o r Dennerline i n mind when he set f o r t h h i s ideas about l o c a l community and government. What Ku t r i e d to answer was, more l i k e l y , the question of why the Ming court s u f f e r e d and f a i l e d to hold o f f the Manchu i n v a s i o n . But i f we take a c l o s e r l o o k at the questions r a i s e d by Dennerline, we n o t i c e that some of the premises are i n v a l i d , and that the questions themselves r e v e a l the cause of the f a i l u r e of the r e s i s t a n c e movement. I n the second h a l f of Dennerline's second question, the premise that the new Ch'ing magis t r a t e s had "no l o c a l r e p u t a t i o n or connections" i s dubious. As mentioned i n the l a s t chapter, the f i r s t Ch'ing magistrate of K'un-shan, according to Ku's biography, was the former deputy magistrate Yen Mao-ts'ai. I t i s obvious t h a t Yen must have had l o c a l connections and l o c a l knowledge. The Manchus d i d not b u i l d an e n t i r e empire from nothing. They conquered China and c o n s o l i d a t e d their.,.power l a r g e l y through the c o l l a b o r a t i o n of Chinese o f f i c i a l s and p e o p l e . u u And, more important, the Manchus b a s i c a l l y i n h e r i t e d the e s t a b l i s h e d Ming i n s t i t u t i o n s w i t h which they could govern the whole 61 s t a t e . In other words, the Ch'ing dynasty was s u c c e s s f u l l y e s t a b l i s h e d by u t i l i z i n g the p r e s t i g e , connections, and experience of prominent Chinese c o l l a b o r a t o r s . Dennerline's l a s t question, r e f e r r i n g to the "abundance of Ming p r i n c e s and pretenders, p r o v i n c i a l armies and powerful warlords, l o y a l i s t s , m i n i s t e r s and gentry s t a l w a r t s roaming the south u n t i l the 1680's," asks why such people were denied s u f f i c i e n t support of popular n a t i v i s t sentiment. But the very "abundance" of these p a r t i s a n s i s the r e a l crux of the matter. I r o n i c a l l y enough, the more Ming p r i n c e s who claimed to be the l e g i t i m a t e h e i r s to the Ming throne, the fewer the resources which such p r i n c e s could draw upon. At f i r s t glance, the sheer number of d i f f e r e n t l o y a l i s t f o r c e s and the areas they i n f l u e n c e d looked formidable, but t h e i r l a c k of coordina-t i o n l e f t these r e s i s t a n c e groups v u l n e r a b l e to the more e f f i c i e n t Manchu-Chinese m i l i t a r y o p p o s i t i o n . The P e c u l i a r Tyranny of Clerks i n Late Ming L o c a l Government L o c a l defence was not the f i r s t p r i o r i t y of the magistrate. Formally, i t was only one part of n a t i o n a l defence. C o l l e c t i n g taxes and cap t u r i n g law-breakers was more important to the county m a g i s t r a t e . Ming T'ai-tsu's f a i l u r e to encourage l o c a l r i c h people's p a r t i c i p a t i o n i n government, as i n the case of the liang-chang and the l i - c h a n g , meant that the magistrate had to r e l y more on the yamen c l e r k s and runners. The yamen c l e r k s and runners i n t u r n depended l a r g e l y on the in f o r m a l i n f l u e n c e of the l o c a l sheng-yuan to enforce the payment of taxes. C o l l u s i o n between the yamen 106 c l e r k s and the l o c a l sheng-yfjan was r e i n f o r c e d by the f a c t that the magis-t r a t e was an o u t s i d e r , a non-native appointed by the c e n t r a l government according to. the law of avoidance. Since the Sung dynasty, l o c a l government had been plagued by yamen c l e r k s ( h s u - l i ) . During preceding dynasties such as the Han or T'ang, the 62 h s u - l i had been l e s s d i s t i n g u i s h a b l e from the formal o f f i c i a l s . In other words, the p o s s i b i l i t y of h s u - l i r i s i n g to the ranks of o f f i c i a l s (kuan) had been high. As a matter of f a c t , a general term f o r o f f i c i a l s i n China had been k u a n - l i , a term which combined both c a t e g o r i e s . The h a b i t of making a sharp d i s t i n c t i o n between the two s t a r t e d i n the Sung dynasty. The c l e r k s g r a d u a l l y formed t h e i r own c a s t e - l i k e s t a t u s . There are s e v e r a l reasons f o r t h i s development i n c l u d i n g : f i r s t , more frequent r e -cruitment of o f f i c i a l s from among c h i n - s h i h degree holders; second, Sung T'ai-tsu's i n c r e a s i n g r e l i a n c e on yamen c l e r k s and d i s t r u s t f o r o f f i c i a l s , and t h i r d , the tedious nature of the c l e r k s ' work. The h s u - l i had no access to the channels of promotion. Their meagre s a l a r i e s and low s o c i a l s t a t u s c o n t r i b u t e d to t h e i r c o r r u p t i b i l i t y . Furthermore, the t e c h n i c a l i t i e s i n v o l v e d i n the t r a n s f e r of documents, government accounting, and v a r i o u s n i c e t i e s of l e g a l work a l l daunted o u t s i d e r s and helped to make the jobs of yamen c l e r k s h e r e d i t a r y , or at l e a s t passed on from masters to apprentices. Even i n the Sung, t h i s s i t u a t i o n became so acute that the famous statesman and t h i n k e r Yeh Shrh once remarked: "nowadays the o f f i c i a l s are not f e u d a l i s t i c , but the c l e r k s are f e u d a l i s t i c . " ( c h i n kuan wu feng-chien, l i yu feng- chien .) ^ As mentioned e a r l i e r , the Mongols used such c l e r k s to r u l e the country. However, the l i . were not admired, because the Yuan court ..adopted a d i s c r i m i -natory p o l i c y a gainst Han Chinese, and many Chinese s c h o l a r s d i d not want to serve as o f f i c i a l s under a l i e n r u l e . The s i t u a t i o n was described as f o l l o w s by the famous h i s t o r i a n Wu Han: A f t e r Yuan Shih-tsu (1280-1294) ascended the throne, the court even appointed a c l e r k Prime M i n i s t e r . This became a f a d . In the C e n t r a l P l a i n (Northern China), a person could f i r s t be a c l e r k i n the m i n i s t r i e s and l a t e r become a high o f f i c i a l and thus g l o r i f y h i s forebears and achieve fame as long as he knew characters and was able to handle documents. The s c h o l a r s i n the south would not p a r t i c i p a t e : i n the c i v i l s e r v i c e examinations, nor would they w i l l i n g l y be c l e r k s . Their s i t u a t i o n d e t e r i o r a t e d . I t was n a t u r a l f o r them to harbour animosity 64 towards the c l e r k s i n the n o r t h . The founder of the Ming dynasty was a southerner who t r a d i t i o n a l l y looked down on the ljL. Consequently, he undertook p o l i c i e s to reduce the importance of the c l e r k s . The aforementioned l i - c h a n g and liang-chang systems are examples. By c o n f e r r i n g a d m i n i s t r a t i v e r e s p o n s i b i l i t i e s upon l o c a l community l e a d e r s , the Ming government hoped to reduce the yamen c l e r k s ' o p p o r t u n i t i e s to manipulate the governmental process. Another p o l i c y was the e l i m i n a t i o n of any p o s s i b i l i t y f o r a c l e r k to be promoted to the f o r m a l , more respectable bureaucracy. I t was t y p i c a l of the foundi of new d y n a s t i e s , and of Ming T ' a i - t s u i n p a r t i c u l a r , to appoint persons from d i f f e r e n t backgrounds to high p o s i t i o n s en masse. Ming T'ai-tsu's i m p e r i a l u n i v e r s i t y students are well-known. However, the Ming founder 108 decreed that everyone but the h s u - l i would be allowed to p a r t i c i p a t e i n the examinations or be recommended to o f f i c e . The h s l i - l i 'were r e j e c t e d on the grounds that t h e i r m e n t a l i t y had been corrupted (hsin-shu i - h u a i ) . ^ This 66 p o l i c y was continued throughout the Ming dynasty. Due to the Chinese p r a c t i c e of f o l l o w i n g a n c e s t r a l precedents, the message from these i n c i d e n t s was c l e a r : no c l e r k s would be allowed to ascend to formal bur e a u c r a t i c o f f i c e . The llang-chang system was not s u c c e s s f u l , and i t was l a t e r replaced by the l i - c h a n g system. The f u n c t i o n s of the l i - c h a n g . became such a burden that accepting them meant bankruptcy. R i c h l a n d l o r d s avoided the problem by removing land from the land r e g i s t e r s . Gentry f a m i l i e s s p l i t t h e i r h o l d i n g s , p l a c i n g each piece of property i n a d i f f e r e n t l i - c h i a u n i t , thus q u a l i f y i n g f o r tax exemptions.^ Thus, the r u r a l government of the Ming s t i l l had to r e l y very much on the yamen c l e r k s i n order to meet i t s tax c o l l e c t i o n s quotas. Moreover, the Ming non-promotion p o l i c y towards the c l e r k s drove them to seek even greater i l l i c i t p r o f i t s , because there was 68 no other means of f u r t h e r i n g t h e i r c a r e e r s . Another p o l i c y that made the Ming c l e r k s behave more d i s r e p u t a b l y was the p u n i t i v e demotion to c l e r k s t a t u s of d i s q u a l i f i e d i m p e r i a l c o l l e g e 69 students. The c l e r k s themselves formed a d i s t i n c t group, and, being aware of t h e i r low s o c i a l s t a t u s , they indulged i n loose l i v i n g . Ming T' a i - t s u was worried that the c l e r k s might l i e , cheat, tamper w i t h w r i t t e n documents, and manipulate r e g u l a t i o n s . In the long run, the c l e r k s would have, not only usurped the power of the bureaucrats, but would a l s o have rendered the emperor's power i n e f f e c t i v e . ^ The development of the Ming government to the s i x t e e n t h century d i d 109 not e n t i r e l y bear out Ming T.'.ai-tsu's worst f e a r s . The c l e r k s d i d expand t h e i r i n f l u e n c e , but not so much at the expense of the emperor's power as at the expense of that of the o f f i c i a l s . I n Ming times, the emperors a c t u a l l y increased t h e i r power, but at the same time were g r e a t l y i n f l u -enced by the eunuchs. The c l e r k s became even more entrenched because the emperor d i d not completely t r u s t o f f i c i a l s at any level.''''" In Ku's words, the yamen c l e r k s were l i k e " m i l l i o n s of t i g e r s and wolves" who preyed on • - 72 socxety. The c l e r k s ' power increased not because the p o l i t i c a l a t t i t u d e towards them changed, but because government power became c e n t r a l i z e d i n i m p e r i a l hands. To prevent o f f i c i a l s a t d i f f e r e n t l e v e l s from g e t t i n g too much power, the Ming court send out s u p e r v i s i n g o f f i c i a l s to spy and report on other o f f i c i a l s ' behaviour, and a l s o r e l i e d on e s t a b l i s h e d r e g u l a t i o n s (fa) 73 to discourage u n d e s i r a b l e a c t i o n s by incumbent o f f i c i a l s . To avoid t r o u b l e , formal o f f i c i a l s came to depend more than ever on c l e r k s , who had 74 experience w i t h and knowledge of a l l the r e g u l a t i o n s . Furthermore, the honouring of "precedents" (,li) by the government put more power than ever i n t o the hands o f the c l e r k s . While r e g u l a t i o n s were o b j e c t i v e and v i s i b l e , there was no way f o r o f f i c i a l s to know a l l the "precedents." The c l e r k s could monopolize and e x p l o i t t h e i r knowledge of the "precedents" from generation to g e n e r a t i o n . ^ Some of the more competent c l e r k s were able to o b t a i n t r a n s f e r s to posts i n the p r e f e c t u r a l government, where they were 7 6 a b l e to meddle from above i n chou or hsien a f f a i r s . Regulations and pre-cedents s t i f l e d a l l the o f f i c i a l s ' c r e a t i v i t y and, i n p r a c t i c a l terms, put them at the mercy of the c l e r k s . The general negative e f f e c t s o f i t h e c l e r k s ' i n f o r m a l domination of l o c a l government were compounded by the s e l f - s e r v i n g sheng-yuan, whom we w i l l t r e a t more f u l l y i n Chapter F i v e . S u f f i c e i t to say here that many people t r i e d desperately to o b t a i n sheng-yuan s t a t u s , not to achieve success, but merely to enjoy the p r i v i l e g e of t h i s s t a t u s i n t h e i r home towns. The p r i v i l e g e s conferred on them by government s t a t u t e s provided the sheng-yuan w i t h means to i n t e r f e r e i n l o c a l tax or l e g a l a f f a i r s . Obviously, the problems of l o c a l a d m i n i s t r a t i o n m u l t i p l i e d when the l o c a l sheng-yuan con-sorted w i t h the yamen c l e r k s . In s h o r t , l o c a l a d m i n i s t r a t i o n i n the l a t e Ming had t o t a l l y l o s t a l l i t s r e a l economic, p o l i t i c a l and;.educational power. I t served the c e n t r a l government r a t h e r than the l o c a l people. The magistrate and formal o f f i -c i a l s had l i t t l e p r a c t i c a l m aneuverability, u s u a l l y f o l l o w i n g the e s t a b l i s h e d r e g u l a t i o n s and precedents whose i n t e r p r e t a t i o n was the s p e c i a l t y of the yamen c l e r k s . The morale of the l o c a l o f f i c i a l s was understandably low. Ati- times of c r i s i s , l o c a l o f f i c i a l s d i d not have access to adequate resources and perhaps were not even s t r o n g l y motivated to ward o f f e x t e r n a l a t t a c k s . The l o c a l people were even l e s s l i k e l y to i d e n t i f y themselves w i t h the l o c a l government. This was e x a c t l y what happened when the Manchus took over r u r a l China i n the 1640's. Ku's I d e a l P o l i t y and His Search f o r I d e a l I n s t i t u t i o n s Ku c o n c i s e l y summarizes the general p r i n c i p l e by which China might be r u l e d e f f e c t i v e l y i n a sentence i n the J i h - c h i l u : " I f o f f i c i a l s at the lower l e v e l s are numerous, the country i s prosperous. I f there are too many higher o f f i c i a l s i n a country, we know i t i s i n d e c l i n e . " ^ In other words, Ku thought p e t t y o f f i c i a l s served the p u b l i c best. By p e t t y o f f i c i a l s , Ku meant mainly those below the magistrate l e v e l , e s p e c i a l l y those bureaucrats I l l working i n the v i l l a g e s who had d a i l y f a c e - t o - f a c e contact w i t h the people. Of course t h i s excluded the yamen c l e r k s , who had no o f f i c i a l s t a t u s . I r o n i c a l l y enough, Ku's i n s p i r a t i o n came from L i u Tsung-yuan of the l a t e T'ang dynasty, who was probably the most famous of a l l a n t i - f e n g - c h i e n w r i t e r s . Ku quoted what L i u s a i d about the formation of a country: There were l o c a l o f f i c i a l s ( l i - h s u ) f i r s t , a f t e r : that came the county o f f i c i a l s ( h s i e n - t a - f u ) , and then came the fe u d a l nobles (chu-hou), then the feu d a l p r i n c e s and l o r d s (fang-po l i e n - s h u a i ) , 78 and then the son of heaven. What L i u wanted to prove was that a c e n t r a l i z e d government system followed the n a t u r a l tendencies of p o l i t i c a l e v o l u t i o n . The o r i g i n a l small group had, by n e c e s s i t y , snowballed i n t o a great s t a t e . L i u eloqu e n t l y argued that s i n c e the i n s t i t u t i o n of the son of heaven was a n a t u r a l development, there was no p o i n t , as some C o n f u c i a n i s t s might argue, i n t u r n i n g back the c l o c k and r e - e s t a b l i s h i n g the feng-chien system. Ku, however, took t h i s passage q u i t e d i f f e r e n t l y , i n t e r p r e t i n g i t as a kind of p r i o r i t y l i s t f o r the i n s t i t u t i o n s of an i d e a l government: "From t h i s p e r s p e c t i v e , we might say that f o r e f f e c t i v e governmental a d m i n i s t r a t i o n , l o c a l o f f i c i a l s come 79 f i r s t and foremost, and the son of heaven comes l a s t . I t i s q u i t e obvious." To be sure, Ku's i d e a l order r e t a i n e d the p o s i t i o n of emperor. But l i k e many of h i s contemporaries, Ku held the emperor at l e a s t p a r t l y respon-s i b l e f o r the demise of the Ming dynasty. A r e e v a l u a t i o n of the r o l e of the emperor was an e s s e n t i a l part of the work of Ku and other t h e o r i s t s . Commenting on the v a r i o u s ranks and emoluments of the n o b i l i t y i n Chou times, Ku made i t clear that the institution of the emperor was created on behalf of the people and was no different from that of the other nobles. The emoluments of a l l bureaucrats were actually supposed to be a .substitute for harvests gained from working in the fields (tai-keng). Those in posi-tions of power from the emperor down to ordinary bureaucrats did not receive their incomes for doing nothing. Everyone paid by the government should perform his proper duties. No one was supposed to presume himself naturally more worthy or eminent than others. Only when the emperor understood this, 80 "would he not exploit other people in order to serve himself." Since the Three Dynasties, many emperors had not understood their role and insulted and oppressed the people. On another occasion, Ku made an even stronger criticism of later emperors. He argued that later emperors should have followed the example of their counterparts in the Three Dynasties, who had personally experienced the daily hardships and sufferings of the common people: A person who wants to enjoy the greatest happiness has f i r s t to go through the greatest t o i l in the world; a person who wants to occupy the most eminent place in the world has f i r s t to experience the most despised job....Earlier emperors in ancient times . . .... taught us that; we .had to learn how to serve other people before we could command them; that only after our mind was capable of attending to the "subtleties" of any small thing could we manage to handle "the vastness of the world's a f f a i r s . " A holy man such as Shun was ate rotten food, and grass; A holy man 113 such as Yu worked so hard that he got c a l l u s e s on h i s hands and f e e t and h i s face turned y e l l o w i s h - d a r k . This was why such men could use the Tao to help the world and become the forebears of l a t e r emperors. But what would happen when l a t e r emperors appeared 81 who were i n f e r i o r to Shun and Yu? The messages from these passages are very c l e a r . The emperor was to serve the people. He was to earn h i s pay. Furthermore, the emperor should share the experience of the poorest people i n s o c i e t y . Nevertheless, the people needed to have an emperor at the apex of the r u l i n g s t r u c t u r e . This was a long-standing t r a d i t i o n . U n l i k e the r u l e r s of the l a t e Ming, however, an emperor had to behave r e s p o n s i b l y w i t h respect to the needs of the people. The main d i f f e r e n c e between Ku and h i s famous contemporary Huang Tsung-h s i i s that Ku devoted much of h i s knowledge to the d e l i n e a t i o n of a method-ology by which l o c a l power could be strengthened, whereas Huang paid much more a t t e n t i o n to the problems of c e n t r a l government, e s p e c i a l l y those problems at the Prime M i n i s t e r i a l l e v e l . This might have been because of Huang's personal involvement i n court p o l i t i c s and the power s t r u g g l e a g a i n s t the eunuchs. Huang acquired h i s f i r s t - h a n d experience of the l a t e Ming t r o u b l e s at the centre of n a t i o n a l power; Ku's personal experiences were confined to l o c a l p o l i t i c s . Ku d i d s p e c i f y g u i d e l i n e s f o r the general p o l i t i c a l s t r u c t u r e . He wanted a l l the super- county s u p e r v i s o r y i n s t i t u t i o n s a b o l i s h e d , because he considered these a major handicap to any c r e a t i v e developments on the l o c a l l e v e l . To serve the w e l f a r e of the people, Ku advocated f u l l y i n s t i -t u t i o n a l i z e d v i l l a g e , county and p r e f e c t u r e governments. Any l e v e l of local government beyond these, such as the province and the c i r c u i t , should be abolished and the number of higher o f f i c i a l s supervising local affairs kept to a minimum. In order to make local o f f i c i a l s more responsive to the people's needs, they should have the f u l l trust of the centre. As for the central government structure, Ku preferred the Han or T'ang system in which, he argued, the Board of Rites which was responsible for education was more highly regarded than the Board of Finance. People in ancient times looked down upon financial matters. When Emperor Shun appointed his nine ministers, there was no one responsible for handling finances. In the Chou L l , finance was administered by an assistant in the Heavens Office (J'ien-kuan); the six ministers had nothing to do with i t . During Han times, there were nine ministers (chiu-ch'ing): The f i r s t was T'ai- ch'ang (Minister of Rites), the second Kuang-lu-hstin ' (Palace Doorkeeper), the third Wei-wei (Palace Security Chief), the fourth T'ai-p'u (Royal Chauffeur), the f i f t h T'ing-wei (Minister for Suppressing Crime), the sixth Hung-lu (Foreign Minister), the seventh Tsung-cheng (Minister of the Imperial Clan), the eighth Ta-nung, (Finance Minister), the ninth Shao-fu (Court Treasurer). The Ta-nung, who was in charge of finance, was inferior to those seven who preceded him, and the Shao-fu, who handled the emperor's private income, was ranked last. The nine ministers in T'ang times were ranked from the T'ai-ch'ang to the T'ai-fu. This situation was very 115 s i m i l a r to that of the Han. In T'ang times, the Board of Revenue (Hu-pu) was only a subordinate branch of the Shang-shu Sheng ( S e c r e t a r i a t s ) , and together w i t h L i (Appointment), L i ( R i t e s ) , Ping (War), Hsing ( J u s t i c e ) , 82 and Kung (Works), i t made up the S i x Boards. Ku p r a i s e d Ming T ' a i - t s u h i g h l y , but he objected to the Ming founder's a b o l i t i o n of the o f f i c e of Prime M i n i s t e r (Tsai-hsiang) and of that of Education M i n i s t e r (Ssu-t'u): " e l i m i n a t i n g the Prime M i n i s t e r and Education M i n i s t e r , and promoting the Board p e r s i d e n t s of the S i x Boards to second rank o f f i c i a l s was i n c o n s i s t e n t w i t h the p r i n c i p l e of education f i r s t and finance l a s t . " ^ Ku had some ideas about reform of the recruitment of t a l e n t , and e s p e c i a l l y of the c i v i l s e r v i c e examination system. This aspect of Ku's thought w i l l be elaborated i n the next chapter of t h i s t h e s i s . However, one g u i d e l i n e of Ku's worth mentioning here i s that court o f f i c i a l s should be chosen from the ranks of county magistrates or p r e f e c t s . Ku gave many instances of the r e g u l a t i o n s of governmental appointments i n previous dynasties which s t i p u l a t e d that the appointment of high c e n t r a l o f f i c i a l s be from the ranks of those who had experience i n l o c a l posts. In the Chin dynasty (264-420), only those who had served as county magistrate were e l i g i b l e f o r the post of m i n i s t e r . ^ According to Ku, the famous T'ang Prime M i n i s t e r Chang C h i u - l i n g (.673-740) once s a i d to the Hstian-tsung emperor, In the ancient times, when the p r e f e c t ( t z ' u - s h i h ) was t r a n s f e r r e d to the c e n t r a l government, he became 116 one of the three highest m i n i s t e r s . When a censor or a second-class s e c r e t a r y of the c e n t r a l government was t r a n s f e r r e d to the l o c a l i t y , he was always ap-pointed magistrate., The ba s i c idea of r u l i n g a country e f f i c i e n t l y i s none other than to pay high regard to l o c a l o f f i c i a l s . No one, although he places high i n the court examinations, should be q u a l i f i e d to be m i n i s t e r unless he has been a p r e f e c t or a l o c a l governor ( t u - f u ) . No one, although they be recognized as a good o f f i c i a l , should be e l i g i b l e to be a censor or a second-class s e c r e t a r y i n the c e n t r a l government unless they have been county magistrates. A l l the l o c a l o f f i c i a l s , even i f t h e i r posts are f a r away, should be t r a n s f e r r e d to the 85 c e n t r a l government w i t h i n no more than ten years. The emperor accepted t h i s suggestion. Ku could not agree more w i t h t h i s idea. The reasoning behind i t was that a c e n t r a l o f f i c i a l had to have experience i n d e a l i n g d i r e c t l y w i t h people i n order to be p r o f i c i e n t . I n other words, an o f f i c i a l had to understand the s u f f e r i n g s and hardships (chi-k'u) of l o c a l people i n order to be worthy of o b t a i n i n g a high 86 p o s i t i o n . Before Ku commented on the Ming p r a c t i c e of governmental appointments, he again c i t e d another instance from the.Southern Sung dynasty. During the r e i g n of the Sung Hsiao-tsung (1163-1189), some o f f i c i a l s s a i d that a person had to have experience 117 i n order to know how to govern the people, and t a l e n t was to be discovered only through examinations. A person who had not been a l o c a l o f f i c i a l should not be promoted too f a s t . Therefore, a r e g u l a t i o n was made s e t t i n g the tenure f o r a county magistrate at three years, and d i s q u a l i f y i n g a magistrate from the post of a censor unless he had f i n i s h e d two terms as a magistrate. According to Ku, t h i s and the previous T'ang example explained why these two periods i n Chinese h i s t o r y enjoyed good governments. As f o r the Ming dynasty, Ku remarked: In Ming times, a person had to be a Han-1in i n order to get a high p o s i t i o n i n the c e n t r a l government. The post of county magistrate was f i l l e d by those who ranked t h i r d (pin-k'e) i n the palace examination. As a r e s u l t , the o f f i c e of governing people was despised and the handling of l o c a l documents and land r e g i s t e r s 88 came i n t o the hands of vulg a r c l e r k s ( s u - l i ) . To be sure, there were cases i n the h i s t o r y of the Ming dynasty i n 89 which some high c e n t r a l o f f i c i a l s had p r e v i o u s l y been l o c a l o f f i c i a l s . Nevertheless, there was no r u l e which d i s q u a l i f i e d people who had not had l o c a l posts, from being made c e n t r a l o f f i c i a l s . I t i s tr u e that the c h i n - s h i h degree i n c r e a s i n g l y became the s i n g l e q u a l i f i c a t i o n f o r any s i g n i f i c a n t post, but, u n l i k e what Ku claimed, the chii-jen or kung-sheng ( l i c e n c i a t e by recommendation) was also eligible for the post of t'ui-kuan (prefect j u d i c i a l 90 o f f i c i a l ) or county magistrate. At any rate, Ku�