l&cr/150 l&cr/the yellow register archives and households under his control be properly...

148 L&CR/The Yellow Register Archives

Libraries & the Cultural Record,Vol.43,No.2,2008©2008bytheUniversityofTexasPress,P.O.Box7819,Austin,TX78713-7819

The Yellow Register Archives of Imperial Ming China

Wenxian Zhang

Chinahasalongrecordofarchivaldevelopment,reachingbackthroughthehistoryofallitsdynasties.Fromthelatefourteenthcenturytotheearlyseventeenthcentury,theMingEmpire(1368–1644CE)constructedandop-erateditsYellowRegisterArchivesinNanjingtohousepopulationsurveysusedtodetermineimperialtaxation.Althoughtheactualarchivalrecordsweredestroyed,primarydocumentscompiledbyMingarchivalofficialssurvived,revealingthedevelopmentoftheimperialarchivesinpremod-ernChina.ThosedocumentsnotonlyrevealtheadministrativestructuresandfiscalstrengthsoftheMingDynastybutalsopresentacomprehensivepictureofarchivalpracticesinMingChina.Asoneoftheworld’slargestarchivaloperationsinhistoryuntilitsdestructionin1645,theMingYellowRegisterrepositoryrepresentsanimportantandfascinatingchapterinthedevelopmentofhumanrecordkeepingandmanagement.

China has a long record of archival development, reaching backthroughthehistoryofallitsdynasties.1Fromthelatefourteenthcenturytotheearlyseventeenthcentury,theMingEmpire(1368–1644CE)con-structedandoperateditsYellowRegisterArchivesinNanjingtohousepopulationsurveysusedtodetermineimperialtaxation.Althoughnottheearliest imperialarchives, itwasoneoftheworld’slargestinthepremodernera.Inthelatefourteenthcentury,whentheMingDynastywasfirstestablished,ZhuYuanzhang(1328–98CE),EmperorHongwu,choseNanjingashiscapitalandorderedtheconstructionoftheimperialarchivesonasmallislandinthelargestlakeintheregion.2TheXuanwuLake,thencalledHouhu,isadjacenttoNanjingtothesouthandsur-roundedbymountainsonitsotherthreesides.Itcoversanareaof444hectareswithashorelineof15kilometersincircumference.3FiveisletsrisefromtheXuanwuLake:currentlynamedHuanzhouIsle,YingzhouIsle,LiangzhouIsle,CuizhouIsle,andLingzhouIsle.Occupyingonlyone-ninthofthelake,theislesareconnectedbybridgesormounds.FormorethantwoandahalfcenturiestheYellowRegisterArchivesoftheMingDynastywasconstructedandoperatedonthis isolatedand

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protected ground. Although the imperial archival records were de-stroyedduringthedynasticturmoilin1644–45thatbroughtdowntheMingDynasty,thelonghistoryofthearchivaloperationwaschronicledbyZhaoGuanin1513–14andlateraugmentedoverthenext106yearsbyotherarchivalpersonnelwhoworkedontheHouhuLake. TheYellowRegisters,alsoknownasthe“recordsforthelevyingoftaxesandcorvée”(fuyi ce),wereamongthemostvaluableof thead-ministrativeinstrumentsatthegovernment’sdisposal.4Theyrecordedindividual members of each household, which formed the basis forimposingtaxesorlaborserviceobligationsduringMingChina.UnderadirectorderfromEmperorHongwu,theYellowRegisterArchiveswereestablishedin1381tohousetherecordsofthefirstnationalpopulationsurvey,andninestackroomswereconstructed.5In1391,whenthesec-ondsurveywascarriedout,thepoliciesforpopulationregistrationandproceduresforcompilingtheYellowRegisterswerefullydeveloped,andmorethanathousanduniversitystudentswererecruitedbytheimpe-rialgovernmenttoworkinthecentralarchives.6Theywerethemainworkforceresponsibleforreceiving,registering,reviewing,andfilingthearchivaldocumentscollectedduringthesurveyyear.Duringtheearlyfifteenthcenturythepositionofsupervisingsecretary( jishizhong)intheRevenueScrutinyOffice(Huke)wascreatedtomanagetheYellowRegisterArchives.Atthattimeconcernsaboutarchivalpreservationwereraised.In1435aprocedurewasimplementedtoairthecollecteddocu-mentsonaregularbasis;despitevariousefforts,however,noeffectivemeansofpreservationandpreventivemeasureseverweredeveloped.Afterthefirstsurveyin1381YellowRegistersaccumulatedattheaveragerateof60,000volumespersurvey,requiring30additionalstackrooms.By1482,afterthetenthsurvey,thenumberofarchivalstackroomshadincreasedto285,andbytheearlyseventeenthcenturythenumberhadgrownto667.7Accordingtoonereport,bytheendoftheMingDynastythemassivecollectionsreachedmorethan1.7millionvolumeshousedin700storagerooms.8Altogethertwenty-sevensurveyswereconducted,thelastonein1642.ThevastmajorityoftherecordsweredestroyedonlythreeyearslaterwiththecollapseofthelocalMinggovernment.

The Registration Process and the Yellow Registers

ThehistoryoftheimperialMingarchivesbeganwiththecompilationof the national population records called Yellow Registers (Huangce,YellowRecordsorYellowBooks).Whilehewasstillaregionalleader,ZhuYuanzhang(laterEmperorHongwu)haddecreed thatallpopulation


andhouseholdsunderhiscontrolbeproperlyregisteredfortaxationpurposes.9Afterhedeclaredhimselfemperorhepersonallyinstructedthateachhouseholdbeissuedaregistrationcertificate.Thefirstna-tionwidesurveywasconductedin1381.Fromthenonthecensussurveywasfaithfullycarriedouteverytenyears,thelastonein1641–42,onlytwoyearsbeforethedynastycollapsed.Fourcopiesweremadeofeachrecord.Threeweredepositedinthecounty,prefecture,andprovincialgovernments.Thefourthcopy,whichwasrequiredtohaveayellowcover(hencethenameYellowRegisters),wassubmittedtotheMinistryofRevenue,locatedinNanjing.Forsafestorageofitscopy,theimperialgovernmentconstructedanarchivaldepositoryonislandsintheHouhuLakejustoutsidethecitywalls. AccordingtotheMingregulations,mostofthehouseholdsunderregistration were classified into one of three categories: the civilianpopulation, hereditary military families, or artisan households.10 Avocationalclassificationindicatedthetypeoflaborperformedbyresi-dentsofahousehold.Sinceitwasapplicabletohouseholdsinsteadofindividuals,thisimpliedthatafamilytradewastobeinheritedinper-petuity.DuringearlyMingthemembersofahouseholdweresupposedtobepermanentlyconfinedtotheirdistrictofregistration.However,bythemid-fifteenthcenturytheserestrictionsweregraduallyrelaxed,astheyweredifficulttoenforce.TheMingEmpireneverinsistedonrigidsocialstratification.Thevocationalregistrationwasdesignedsolelyforthepurposeofmaintainingapoolfromwhichtosupplyitsarmyandgovernmentservicepositions.Thecentralauthoritymerelydemandedthateachtypeofhouseholdprovideitwithaspecializedtypeofservicewhenneeded.Althoughthecoverageofthepopulationregistrationwasverybroad,andfewescapedserviceobligations,noblesandofficials,alongwiththeirfamilymembers,andqualifiedgovernmentstudents(sheng yuan)werepartiallyortotallyexempt.11 Alongwiththeregistrationprocesscamethelijiasystem,whichservedasthebasicbuildingblockoftheagriculturalsocietyinimperialMingChina.Underthissystem,tenhouseholdsformedajia,andleadersofeachgroupwereusuallyselectedfromthefamilieswiththemostmalemembers.Theli,orvillage,servedasthebasicunitincompilingtheYellowRegisters.Each li consistedof110 families,withanaldermanincharge.12Therecordsofeachliwerecompiledinasinglevolume,whichconsistedoftwosetsofinformation:householdandpopulationdata,andlandandtaxationrecords.AlongwiththeYellowRegisters,theYülin Tuce,orFish-ScaleMapsandBooks,werealsocompiled;they

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describedeachparceloflandandlisteddetailsaboutitsowner.13Twentyyears in the making, the land-survey maps and the Yellow Registersformed the foundationof thefiscal structureof theMingEmpire.14Changesinbirth,death,andtradeoflandownershipwouldbereflectedinthereports,whichwerecompletedeverytenyears,startingin1381.Householdswithonlywidows,feebleseniors,handicapped,andminorswereexemptedfromtaxationandcorvée,andtheirinformationwaslistedinaseparatevolumeandfiledinthecentralgovernmentarchives.Planscalledfornewcountseverytenyears,andtheMinggovernmentthenleviedlaborserviceandtaxesaccordingtotheriseordeclineofthenumberofindividualsandtheamountofpropertyineachfamily.Theformalityofsubmittingdecennialrecordsandlandreturnswascar-riedoutthroughoutthedynasty;however,itshouldbenotedthattheregistersfromlateryearswereincompleteandaninaccuratereflectionofthepopulationdataoftheMingDynasty.AspointedoutbyPing-tiHo, despite their resemblance to modern census returns, they weresimplysurveysofmembersoftheMingpopulationwhoweresubjecttotaxation.15 Thesecondnationwidesurveywasconductedin1391,andrecordsagainweredepositedintheHouhuLakearchivesinNanjing.Whenthefoundingemperorpassedawayin1398,turmoiloversuccessiontothethronedelayedthescheduledsurveyfortwoyears.EmperorHongwuwassucceededonthethronebyhisfavoritegrandson,ZhuYunwen,anarrangementthatdispleasedhisfourthson,ZhuDi(1360–1424CE),apowerfulprincestationedinBeijing.Heinitiatedamilitaryexpeditionin1399andoverthrewtheyoungEmperorJianwenfouryearslater.AssoonasEmperorYongle(1403–24CE)securedhisthrone,hepromptlyorderedathirdempirewidetaxsurvey.RecordsagainweredepositedintheHouhuarchives.Yearslater,whenhemovedtheMingcapitalfromNanjingtohispoliticalpowerbaseinBeijing,EmperorYongledecidedtokeepallYellowRegistersintheHouhuarchives,thuscontinuingthetraditionestablishedbyEmperorHongwu.Fromthenonthenationalpopulationsurveywasroutinelyconductedeverytenyearswithoutin-terruption, and the records were dutifully maintained in the centralarchivesofNanjing.Withhundredsof thousandsof YellowRegistersstoredatHouhu,theentireregionwasdeclaredarestrictedarea,andacomprehensivesystemwasdevelopedforthemaintenanceofthosevalu-abledocuments.Theformatoftherecordswasmeticulouslystipulated,stationerywasstandardized,andhundredsofimperialuniversitystudentswereassignedtoworkinthecentralarchivesonaregularbasis.


The Compilation and Structure of Annals of the Houhu Lake

ThehistoryoftheHouhuLakerepositorywaslargelyreflectedinabookpublishedoverthecourseof106yearsduringtheMingDynastyentitled Annals of the Houhu Lake (1514–1620).Despite the fact thatmostYellowRegisterswerelostatthetimeofthedownfalloftheMingDynasty,thisbookprovidesawealthofinformationontheYellowReg-istersurveys,procedures,andarchivaloperations.16Afterareviewofthecompilationand structuresof thebook, this articleexamines indetail thegeneraloperationsof theYellowRegisterArchivesduringMingChina. Annals of the Houhu LakewasfirstcompiledbyZhaoGuanin1514andaugmentedbymanyofhiscolleaguesduringthelateryearsofthedynasty.ZhaoGuan,whosescholarlynamewasZhaoWeixian,wasfromtheHezhouPrefecture.Afterreceivinghisroyaldoctorate(jinshi)in1511,ZhaoservedasthesupervisingsecretaryoftheRevenueScrutinyOfficeinthecentralimperialgovernmentduringthereignofEmperorZhengde(1505–21CE).Inhiscapacityasthehighest-rankingofficialintheYellowRegisterArchives,hehadopportunitiestoreviewrecordsstoredatHouhusincetheestablishmentof thenationalregistrationsystem.In1513hedecidedtocompilevariousdocumentsonfileintoamonograph.AsthebookreflectedthehistoricalsignificanceoftheHouhuarchives,numerousofficialsbegantoreviseandaugmentthevolume.Thewholeprocess lastedmorethanacentury,withthe lastdocumentsbeingaddedin1620,onlytwenty-fouryearsbeforethecol-lapseoftheMingDynasty. Thegoalsofthecompilationweretopaytributetothegreatnessandprudenceof thefirstMingemperor in thedesignof thepopulationregistrationsystemanditsstoragestructureandtoremindfuturegen-erationstofollowcloselyestablishedsystemsandproceduresinordertoensurethecontinuityofthegrandMingEmpire.Therevisededitionofthebookconsistedofelevenvolumes.Thegeneralintroduction,physi-caldescription,andhistoryofHouhuLakewereincludedinvolume1,alongwithtwoimperialordersissuedin1583and1620regardingthecollectionandmanagementoftheYellowRegisters.Volume2containedthegeneralstatisticsoftheYellowRegisters,stackrooms,andadministra-tivestructures.Volume3recordedthearchivalofficials,clerks,guards,andotherrelatedpersonnelservingontheHouhuLake.Volume11collectedpoemsandliteraryessaysrelatedtothelakebysomefamousChinese poets and writers over a span of more than one thousandyears.Thebulkofthebookwasinvolumes4to10,whichincludedinchronologicalorder128documentsonthemanagementoftheYellow

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RegistersstoredatHouhu.Allwereofficialdocumentssubmittedbythemanagementpersonneltotheimperialcourtconcerning,amongothersubjects,thecollectionoftheYellowRegisters;theconstruction,access,andsecurityoftherepository;andthepreservationofthearchivalfiles.ManyofthosedocumentsalsoincludedtheopinionsofthecourtandfinaldecisionsbytheMingemperors.Thebooknotonlyrevealedthead-ministrativestructuresandfiscalstrengthsoftheMingDynastybutalsopresentedacomprehensivepictureofarchivalpracticesinpremodernChina.AlthoughthemonographfocusedonlyontheMingarchivesinNanjing,itwasanimportantdocumentinthehistoricaldevelopmentofChineseimperialarchives.FollowingtheproceduresdevelopedduringtheMingera,theQingDynasty(1644–1911)alsoestablishedasystemofcompilingandcollectingtheYellowRegisters,althoughtheirscopewasmuchbroaderthantheMingrecords,andtheywerestoredinBeijinginsteadofNanjing.17

The Collection and Organization of the Yellow Registers in the Imperial Archives

In1391,whenthesecondpopulationsurveywasconducted,thepro-cedureswerestandardized.Thegovernmentwastoprintoutandmassdistributeamodelformtocommunitiesacrossthecountry.Thenlocalleadersandaldermenwouldaskeveryhouseholdundertheirsupervi-siontoregisterfollowingthegivenexample.18Exemptionswereper-mittedonlyintheethnicminorityregionsintheremoteYunnanandGuizhouprovinces.19Theheadofhouseholdofanyfamilythatdaredtowithholdpopulationgrowthinordertoevadeitsservicedutieswouldbeexecutedwithoutmercy.20Peoplewhorelocatedfromdifferentareashadtorecordtheiroriginsandvocationalcategoriesinthenewsurvey,andundernocircumstancecouldmilitaryfamiliesregisterascivilianhouseholds.Furthermore, anyonewhodefied the lawby concealinglandunderothers’nameswouldhavehispropertyconfiscatedbythegovernment,andhisfamilywouldbeinductedintothemilitaryandsenttothefrontiers.21Whencollectedinformationwasfiledatthecountylevel, themagistrateshadtosummarize thedataandcomparethemwiththeprevioussurveytoensuretheaccuracyoftherecordsbeforesubmittingthemtotherespectiveprefecturesandprovincialgovern-ments.Similarly,officialsatthesehigherlevelswouldreviewthestatisticsin theiradministrativeregions, sign thedocuments,andthenstampthemwithofficialsealsbeforeforwardingthemtothecentralarchivesinNanjingbytheendofthecensusyear.22Thecoverforthefinalarchival


copywasspecifiedtobeofayellowcolor,whilelocalvolumesstoredincounties,prefectures,andprovinceswerecoveredinblue.Nostickerswereallowed;titlesmarkingadministrativeregionshadtobewrittendirectlyonthecover.Rankingexecutiveswhoneglectedtheirdutiesinthisregardwouldbedemoted,andanyofficialsorprocessingclerkswhodaredtoabusethesystem,whenrevealed,wouldbebroughttothecapitalalongwiththeYellowRegistersandexecutedinpublic.23Despitetheseverityofthelaws,theywerenotstrictlyenforced,especiallyinthelateryearsoftheMingDynasty. ThecentralarchivesontheHouhuLakewerefirstarrangedbythecensusyear,thenbyadministrativeregions.Everytenyearshundredsofgovernmentalagenciesatdifferentlevelshadtheobligationtofiletheirrespectivereportsontime,whichvariedfrom22daysto150days,depend-ingontheirtraveldistancestoNanjing.24BecauseoftheevolutionofthegeopoliticallandscapeduringtheMingDynasty,thereweresomeminorchangeswitheachsurvey.Nonetheless,theoveralladministrativestructurestayedrelativelystable.Accordingtothe1502surveyreport,1,731gov-ernmentalentitiesfiledstatisticstothecentralgovernment,amongthem1,138counties,234subprefectures,142prefectures,anddozensofothergovernmentalagencies.In1542therewere1,783agenciesfilingreportstothecentralarchives,including1,139counties,230subprefectures,and240prefectures.25Detailed listingsof all counties, subprefectures, andprefectureswerealsoincorporatedintheAnnals,givingacomprehensiveaccountoftheadministrativestructureduringMingChina.26 Thedatalistedintable1werecompiledfromvolume2oftheAn-nals.27TheypresentacomparativesummaryofthreesurveysconductedduringtheMingDynasty.Thesurveywascarriedoutforthefirsttimein1381,sothenumbersrecordedwerelikelymoreprecisethanthoseinlaterreports.Thepopulationandhouseholddatafrom1502and1542maynotbeaccuratecountsbecauseofvariousabusesduringthelateryearsofthesurveyprocess.ThevolumefigureswereactualtalliesoftheYellowRegistersfiledinthecentralarchives,andthesummerandfalltaxeswereamountscollectedbytheMinistryofRevenueeachyearbasedonthesurveydata.Itisstunningtoseethat120yearsafterthefirstcensuswasconductedthetaxablefarmlandshadshrunkbymorethanhalfinMingChina,whiletheamountofannualtaxationremainedrelatively stable. If the information is accurate, the landswere likelygrabbedby thenobles,governmentofficials,andtheir families,whoenjoyeda special tax-exempt status in theempire.Ordinary farmershadtoshoulderamuchheavierburdenoftaxationcomparedwiththeearlyyearsoftheMingDynasty.28

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AgreatmajorityofthedocumentsincludedintheAnnalsdealwiththecollectionoftheYellowRegisters.Themostcommonproblemsas-sociatedwiththecompilationoftheYellowRegistersweremuddlinghouseholdregistrations tododgemilitaryduties,concealingpopula-tiongrowthtoavoidserviceobligations,andhidinglandpurchasestocircumventmandatorytaxation.Amongthefrequentlycitedcaseswerethoseinwhichsonsfrommilitaryfamilieswereimproperly“adopted”bycivilianhouseholds,ortheysimplymovedawaywithnewnamesandoccupationalcategories,leadingtoareducedreserveforce.Inothercasesonlyseniorswerereported,whileyoungadultswereomittedfromtheregisters,orthenamesofdeceasedwereillegallyassumedinordertoachievetheexemptstatusinserviceobligations.Additionalmanipu-lationentailedthedivisionoflargeandstronghouseholdsintoseveralsmallandweakfamiliestoevadetheirrequiredduties.29 Thedeadlineforsubmissionofcompiledreportstothecentralar-chivesusuallywastheendofthesurveyyear.Byandlarge,punishmentforofficialswhofailedtosubmitreports involvedwithholdingsalarypaymentuntil theworkwascompletedandreceivedby the imperialgovernment.Inlightoftheextensivemanipulationsanewpolicywasproposedin1511requiringthataseparatelistofallpeopleinvolvedinthereportcompilationprocessbefiledtothecentralarchivesforrecord-checkingpurposes.30Afewunluckyoneswhoabusedthesystemwereeventuallycaught,andtheywereremovedfromofficeandfacedmoresevereretributions.However,onlyabout10percentofthetotal

Table 1Statistical Comparison of Three Ming Surveys

SurveyYear 1381 1502 1542

Volumes 53,393 67,468 65,859Households 10,652,789 9,691,548 9,972,220Population 60,545,812 61,416,375 62,530,195Farmland(acres) 145,044,718 70,710,227 71,834,607Farmland(qing) 8,804,623 4,292,310 4,360,563Summertax(bushels) 12,900,273 14,255,259 13,726,871Summertax(shi) 4,691,520 5,184,296 4,992,134Falltax(bushels) 67,998,569 67,335,267 66,538,538Falltax(shi) 24,729,450 24,488,223 24,198,472

Source:Annals of the Houhu Lake,ce2,j.2,1a–27b.


corruptioncaseswereeverunearthed.31Asbriberyandembezzlementbecamewidespread, salaryonly accounted for a smallportionof anofficial’stotalincome;thus,withholdingsalarybecameanineffectivedeterrenttocorruptionandnegligence.Itwasbusinessasusualduringthesurveytimeeverytenyears,andnotmanyeffectivemeasureswereimplementedtoensuretheaccuracyofeachreport inthelaterpartoftheMingDynasty.IntheAnnals of the Houhu LakeandothersourcesfromtheMingDynastynumerousreferencesweremadetobriberyandtheintentionalomittingandillegalalteringofthelocalregisters.32 When errors were discovered by people working in the centralarchives, the local registrationswouldberejectedby theMinistryofRevenue, and it was required that revisions be submitted within sixmonths.Sincetherewaslittleconsequence,delaysinfilingtothena-tionalarchivesbecameamajorproblemduringthesurveyprocess.In1493itwasreportedthatsomeofthe1,482documentsrejectedbythecentralarchivesandreturnedtothelocalgovernmentsforcorrectionshad not been resubmitted.33 Another report in 1510 stated that lessthan20percentoftherejecteddocumentswerereturnedontime.34By1546 ithadbeennotedthatnumerousgovernmentagencieshadnotyetsubmittedtheirrevisedreportsafterfourteenyears.35Althougharecommendationwasmadetolinkfuturepromotionswiththecom-pilationoftheYellowRegisters,itwasrarelyenforced.36Anaccountin1572documentedthatthenationalarchiveswasstillwaitingforsomeoftherejectedrecordsfromthe1562and1552surveys.37 Duringareviewin1580itwasobservedthatsomeareassimplyaddedtenyearstotheageofthepopulationandrefiledtheirpreviousreports,whileotherswerecitedforpoorpaperquality,inappropriatestyles,andunsuitablesizes.38Aseparateaccountstatedthatsomeofthereportsweretheexactcopiesofpreviousregisters,andonecountylisted3,700householdswithpeopleover100yearsofage.39Thesystemwassobur-densomethatbythelateMingDynastysomegovernmentalagenciessimplyfiledthesamereportstothecensusarchiveswhilemaintainingaseparaterecordoflocaltaxations.40Itwasrecommendedin1594thatamorepracticalregistrationbeadopted.41However,bythattimethestructurewasbankrupt,andtheMingEmpirewaswellonitscourseofcollapseandcouldnolongerbesavedbyanynewreformmeasures.

Personnel and Funding Issues

At thebeginningof theMingDynasty theHouhuYellowRegisterArchiveswerea responsibilityof the viceministerof theMinistryof

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Revenue.DuringthereignofXuande(1426–35CE)anewposition,supervisingsecretaryintheRevenueScrutinyOffice,wascreated;thesupervising secretarywasdirectly in chargeof themanagementandsecurity of the Yellow Register Archives in Nanjing. Zhang You wasthefirsttoassumethepost.42ShortlythereafteraseparatepositionofsecretaryofrevenueinspectionwasalsoestablishedintheMinistryofRevenue,andZhuXinwasthefirsttoholdthattitle.Thisnewofficewasmainly accountable for thewell-beingofYellowRegisters storedontheHouhuLake.Besidesthosetwohigh-rankingofficials,thecoreworkforce in the archives consisted of scores of national universitystudents, who were responsible for receiving, handling, registering,verifying,andpreservingtheYellowRegisterssubmittedbyvariouslocalgovernmentagencies.43ThepracticewasstartedbythefirstemperorwiththeemploymentoffiftyuniversitystudentsinNanjing.Duringasurveyyearahugenumberofadditionalpersonnelwereengagedtoprocessthevoluminousincomingrecords.In1391,whenthesecondnationalsurveywasconducted,twelvehundreduniversitystudentswererecruitedtocheckthenewreportsagainstpreviousregisters.44Afterabriefinterruption,in1436SupervisingSecretaryZhangYouproposedapermanentstatuteofengagingtheservicesofuniversitystudentswitheachsurveyreport.InthesameyearhealsosuccessfullypetitionedtheMinistryofPersonnelforthirtyclerkstoassisttheworkoftheuniver-sitystudents.45 In1413,whenseveraluniversitystudentsbecamesickwhileworkinginthearchives,medicalserviceswereprovidedontheislandinsteadofsendingstudentsbacktothecity.46TherecordsshowthatbecauseofthelargenumberofpeopleworkingatHouhuin1510,SupervisingSecretaryHeLiangrequestedthatadditionalpersonnelbestationedonthelake,includingtwomedicaldoctorstocareforarchivalworkers,craftsmentomaintainstoragespace,andsailorstooperateferryservicesforpeopleleavingandreturningtothearchives.47Later,tocareforthislargeteamofworkers,theservicesoffourrotatingdoctorswererequested,withatleastonepersonstayingontheislandovernight. According to theMing regulations, allYellowRegistershad toberecorded,checkedforerrors,andfiledintheirrespectivestackroomsin a timely andorderly fashion.Due todecliningenrollment at thenationaluniversityandseveralotherfactors,thenumberofstudentsdecreased to800 in1442and then to350 in1493.48Moreover, sixtylaborerswerehiredtoshiptheYellowRegisterstotheirstoragestacks.Inaddition,therewerefiftycooksandfivedeliverypersonneltofeedeveryone.49Inthecentralarchivesthenumberofregularstaffwasabouttwohundred;however,duringtheregisterreviewtimetherecouldbe


morethanfourteenhundredpeopleworkingontheHouhuLake.50ItisevidentthatfromthelatefourteenthcenturytotheearlyseventeenthcenturytheMingYellowRegisterArchivesinNanjingremainedoneoftheworld’slargestarchivaloperationsofthepremodernera. Quotasweresetfortheuniversitystudentsworkinginthearchives.Eachindividualhadtogothroughtwofeetofrecordswithinfivedays,checkingthemwithpreviousregistersandsearchingforerrors.Thestu-dentstypicallyworkedsixmonthsayear,withtwothree-monthshiftsonthelake:fromFebruary16toMay16andfromAugust16toNovember16.51Whileatworktheywerenotallowedtowalkfreelybuthadtostayintheirassignedareas;atnighttheywouldstayincompletedarknessbecauseofthestrictfirecontrolmeasures.52Oneofthestudentsfellillwhileworkingandpassedaway.Hisbodyhadtoremainontheisleuntilthescheduledferrytripafewdayslater.53Needlesstosay,moralewasverylowforthosestudentsservingtheirtimeintheYellowRegisterArchives.ToaddressthisissueSupervisingSecretaryYiZanpetitionedthe imperialcourt in1517 that the three-monthshiftbecountedaspartofastudent’sofficialimperialgovernmentservicerequirement.54DuringtheMingDynasty,afteranationaluniversitystudenthadcom-pletedoneyearofservice,hecouldbepromotedtooneofthelower-rankgovernmentpositionsintheempire.Despitethisnewincentive,workingintheYellowRegisterArchivesontheHouhuLakecontinuedtoberegardedasabrutalassignmentbymanyuniversitystudents,asadozendeathsandsomecasesofinsanitywerereportedduringtheearlyyearsofEmperorJiajing(1523–66CE).55 MentoconstitutetheteamofmanuallaborersassignedtotheYellowRegister Archives were routinely dispatched by various local govern-mentsintheNanjingCapitalRegion.56However,witheachnewsurveyadditional serviceswere requested, thusaddingaheavierburden tothelocals.In1537,afteritwasfoundthatmanyofthoseworkerswhowereeitheragedorinpoorhealthwereunabletoperformtheassignedduties,anewapproachwasadopted.Thearchivespetitionedtheimpe-rialcourtforcommercialrecruitmentofanewworkforceconsistingofyoungandableworkerswithcleanrecordswhoweretobepaidfromthespecialsurveyfinesimposedsince1514.57 ThroughouttheMingDynastythehighcostofoperatingthearchivesandmaintainingthemassiveyetfragilecollectionsconcernedsupervis-ingsecretaries.Thetraditionthatbeganwiththe1381surveywastoaskthecountiesinthecapitalregionfornumeroussuppliesandhundredsofworkerstofulfilltheirserviceobligations.Thatexpense,whicheasilyranovertensofthousandsofouncesofsilverduringthesurveyyear,

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addedaharshfiscalburdentothelocalgovernments,whichalsohadtosupportotheradministrativeagenciesinthearea.Wheneveraspecialprojectwasproposed,extrafundinghadtobesecuredfirst,suchasoc-curredin1490,whenrevenuefromthesaleofgovernment-controlledsaltwasallocatedfortherestorationofbookcoversthatwerefallingapartduetopoorstorageconditions,shifting,andusage.58 In1514,while reviewing the1512 registers,SupervisingSecretaryShiLunotedthatnationwideatotalof140,000householdregistrationswereerroneous,andtherewerealsowidespreadabusesanddelaysinfilingthereportsacrossthecountry.Consequently,heproposedtotheimperialcourt that specialfinesbe imposed for thosegovernmentalagencieswhosereportswererejectedordelayedforvariousreasons.59Suchchargeswouldbebasedonthetotalnumberofrejectedregistra-tionsanddepositedinanaccountreservedonlyforthemanagementandrenovationoftheYellowRegisterArchivesinNanjing.Thismeasurenotonlylessenedtheburdenontheregionalgovernmentsbut,moreimportantly,ensuredsufficientfundingforthecontinuousoperationoftheHouhuarchives.Althoughtheoriginalintentionofthismeasurewastocurbtheabusesandspeedupthefilingprocess,theproblemsweresoprevalentduringthelateryearsoftheMingEmpirethatthechargesalmostamountedtoanationwidearchivestax,paidbyalreadystrugglingfarmers.60Forexample, in1521,eightyearsafter thenewfinesystemwasimposed,517governmentalagenciesfromsixprovincesstillhadfailedtoresubmitreportsthathadbeenrejected.61Inlightofthewidespreadnegligenceandabuses,in1528aspecialcommissionerpositionwasrecommendedforvariouslevelsofgovernmentalagenciestocurtailsuchtribulations.62Inspiteofthismeasure,therewerestillaccountsofabusesduringthelateMingDynasty.63In1562someoftheimposedsurveyfineswereembezzledbyatransportingindividualonhiswaytoNanjing.64In1580numerousaccountswerefiledontheillicitwithholdingoffeesowedtothecentralarchivesbymanylocalofficialsfromtheJiangxiProvince.65Bytheearlyseventeenthcenturythefinesforlateandrejectedreportsweresocommonthattheywereapportionedautomaticallyaspartoftheregistrationprocess.66Thesurveyyearswereregardedbymanycorruptofficialsandclerksasgoldenopportunitiesforextortion.67 Byandlarge,thesupervisingsecretariesworkingonHouhuLakewereconsciousofcost-cuttingmeasuresandthesafekeepingof thearchivalfunding.Anauditreportin1548statedthatduringthethirty-yearperiodfrom1516to1545atotalof219,110ouncesofsilverwascollected,ofwhich183,711ounceswereusedforarchivaloperationsontheHouhuLake.


Noembezzlementwasfound.68Oneoftheestablishedproceduresdur-ingtheMingyearswasthatupontheconclusionoftheregisterreviewthemanagementpersonnelfromtheHouhuarchiveswouldtraveltoBeijing toreportdirectly to the imperialcourt.Thegroup includedthesupervisingsecretary,thesecretaryandthreeotherofficialsfromtheMinistryofRevenue,andtwoinvestigatingcensorsassignedtothearchives.Tosavetravelexpenses,thereportingteamwasreducedin1538toonlythesupervisingsecretaryandthesecretaryfromtheMinistryofRevenue.69In1545itwasfoundthatmorethan23,231ouncesofsilverfromthespecialarchivalfundshadbeendivertedbytheMinistryofPublicWorksfortheproductionofimperialtextiles.SupervisingSec-retaryYouZhendefoughtforthereturnofthefullamountborrowedandsoughttheassurancefromtheimperialcourttolimitfutureuseofthefundstoarchivaloperationsonly.70Nevertheless,whenthesecurityoftheempirewasinjeopardy,contributionsweremadefromthear-chivalaccountforemergencyreliefefforts,suchasforfaminereliefinsouthernChinain1546.71In1592SupervisingSecretaryYanWanxuanvoluntarilyreducedthearchivalexpensesbycuttingstaffandreformingroutineoperationsandcontributed26,000ouncesofsilverfromthearchivalfundingtowardthemilitarydrivesagainstpeasantrebelsandJapanesepiratesassaultingMingChina.72

Management and Use of the Yellow Register Archives

As the first designated official for the Yellow Register Archives inNanjing, Supervising Secretary Zhang You worked diligently for themaintenanceoftheYellowRegistersandpushedhardfortheconstruc-tionandcontinuousrenovationofthearchivalfacilitiesontheHouhuLake.FiftyyearsafterthefirstsurveywasconducteditwasdiscoveredthatmanyvolumesoftheYellowRegistershadbeenseverelydamagedbyinsects.AnewpracticewasthendevelopedthateveryfivedaysonarotatingbasisfromApriltoOctoberthecollecteddocumentsweretobeairedoutdoors.73Fiftylaborersweresummonedfromnearbycountiestofulfilltheirservicedutiestotheimperialgovernment,movingmassivevolumesofrecordsoutandinonsunnydays.Whatevervaluetheworkhadforpreservation,itwasadisasterforthearchives.Asthemajorityoftheworkforcewasilliterate,theygenerallyignoredtheinternalorderof thedocuments.Tofix theproblemZhangYouordered in1435ateamoftwentyclerkstoworkalongwiththelaborers.Ifvolumeswerecompletelyruined,replacementcopieshadtobemade.Inthesameyear,whennoticingthatsomeofthestackdoorsandwindowshadbeen

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stolenforfirewood,healsoinstatedasystemofnightlypatrolbytheMinistryofRevenuepersonnelontheisland.74 In1490SupervisingSecretaryShaoChengnotedinareporttotheimperialcourtthatthesmallcharactersusedinsomeofthevolumesnotonlymade subsequent reviews conducted in theYellowRegisterArchivesdifficultbutalsocreatedalikelyopportunityforlawbreakerstoeasilyaltertheofficialrecordstotheirownadvantage.ItwasfoundthatinafewcasestheshipmentsoftheYellowRegisterswereintention-allydelayedalongtheroutessothatoffenderscouldhaveachancetoillegallymodify the local registrations submitted to thegovernment.Inlightofthisflawseveralrecommendationsweremade,amongthemstandardizingthefontsused intheYellowRegistersas thetitlepagecharacters, sealing the collected reports, and assigning honest andcapable individuals tobe inchargeof transporting local registers tothecentralarchives.75Asanadditionalsafetymeasure,whileapersonwasrunninghiserrandtoNanjingwithcollectedYellowRegisters,hisfamilywasputundersurveillanceuntilhissafereturn.76Furthermore,given thatmany coversofprevious registerswere lost after constantuse, frequentairing,and insectdamage, itwasdecided that startingin1492allfuturesurveysshouldincludethenecessaryinformationonadministrativeregionsinstrict lijiaorderinsideeachvolume.IntheensuingyeardocumentssubmittedbytheTaipingPrefectureandtheDangtuCountywererejectedonthebasisthattheydidnotfollowthenewformat.77 AlthoughseverallocalcopiesoftheYellowRegistersweremadeforvariouslevelsofgovernmentalagenciesduringthesurveyprocess,theywererenderedoflittlevalueafterabriefperiod,astherewasneithersufficientspacetostorenoradequatepersonneltocareforthosedocu-ments.78 Therefore, the volumes stored in the central archives wereregardedastheauthoritativeand,formanyplaces,theonlycopyintheempire.Wheneverthereweredisputesinpopulationcounts,vocationalregistrations,andlandtransactions,officialinquirieswouldbemadetothenationalarchivesinNanjingorauthorizedindividualsdispatcheddirectlytotheHouhuLaketoverifytheoriginalrecords.Suchrequestscreated a heavy burden on the maintenance of the Yellow Registersthroughout the years. In 1492 a subprefecture magistrate from thecapitalregionrequestedthatasetofearlyvocationalregistrationsformilitaryfamiliesbemadefromthecentralarchivessothattheirhistoriescouldbeeasilytracked,thusensuringabundantreservesfortheimpe-rialarmy.However,whentheinventorywasconducteditwasnotedthatnearlyhalfofthefirsttworeportsand10to20percentofeachofthe


nextthreesurveyswereruined.Fearingthatsuchbreacheswouldfurthercomplicatetheexistingproblems,theimperialcourtturneddowntherequest fromthemagistratefollowingtherecommendationfromthesupervisingsecretaryofthecentralarchives.Itwasdecidedthatwithanyfuturerequests,properdocumentationfromlocalgovernmentslistingreference names would be required, only the information related tothefamiliesinlegaldisputescouldbereviewedandcopied,individualswerenotallowedtocheckthestatusofotherunrelatedregistrations,andundernocircumstancescouldawholebookbereproducedwithoutproperauthorizationfromgovernmentpersonnel.79 ThroughoutthehistoryoftheimperialMingarchivaldepository,themajorityofthestaffmembersworkeddiligentlytoverifytheaccuracyofrecordssubmittedtothecentralarchives.Muchofthenegligenceandabusewasunearthedamongthereportsfiledduringthesecondhalfofthedynasty.Whenerrorswerediscovered,thecommonpracticewastoreturnanentirebooktoitsoriginforanewproduction;andbecausetheprocessusuallytookalongtime,therevisedreportswererarelyrejectedagain.80In1499,however,itwasdiscoveredthatthenumberofflawedvol-umesfromthe1492surveywasverysubstantial.Toeasethefiscalburdensonlocalgovernments,speeduptheprocess,andeliminateadditionalchancesfortampering,itwasdecidedthattheaffectedvolumeswouldbemarkedwitharevisionreference,stampedwithanofficialseal,andkeptinthecentralarchives;onlyaseparateretractionsummaryamendingtheoriginalsubmissionneededtobereturnedbylocalgovernmentstoNanjing.81Thenin1583alocalofficialfromtheSichuanProvincede-fiedtheestablishmentbyalteringthesubsidiarystructuresofhisregion,andhebeatsurveystaffwhochallengedhisillegitimateact.SupervisingSecretaryYuMoxuefromthecentralarchiveshadtopetitiontheMingcourtfortheenforcementoftheimperialregulations.82 OutofthousandsofpeoplewhoworkedattheHouhufacilitiesduringnearlytwocenturies,onlyafewarchivalstaffmemberswereinvolvedinillegitimateactivities.In1466archivalworkerZhangChengwascaughtacceptingbribesandstealingandalteringcollecteddocuments.Hewasbeheadedswiftly.83In1510MinisterofRevenueZhangJie,alongwiththesupervisingsecretary,HeLiang,reportedthatGaoJingqing,whowasamemberofthearchivalstoragestaff,conspiredwithChenJisantosteal,alter,anddestroytheYellowRegistersfrom1391and1403.Bothwerepromptlydecapitated.Asawarningtopossiblefutureoffenders,Gao’sheadwashunginfrontofthecentralarchivesinNanjing,andChen’sheadwassenttohishomeprovincetobedisplayedinpublic.Theotherindividualsinvolvedwiththemwereexiledtoremotefrontiers.84Aftera

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subsequentfewdecadesoftranquility,in1549SupervisingSecretaryWanWencainotedthatafewarchivalworkerscapriciouslyaltered,rejected,anddestroyedrecordssothattheycouldfileforapaymentextension.In retribution,when the register reviewwasdone, SecretaryWencaipromptlyreducedthenumberoftranscribingclerksfromnearlyonehundredtoonlythirty.85

Construction and Security of Archival Facilities

OntheislesofHouhuLake,stackroomsweregenerallybuiltinaneast-westdirection,withwindowsinbothfrontandbackforaircircula-tion.Itwasreportedthatthefirstemperorwasdirectlyinvolvedinthe

Table 2Inventory of Archival Stacks in the Central Ming Archives (1381–1562)

SurveyYear Rooms Stacks

1381 9 35 1391 25 100 1403 29 120 1412 24 96 1422 30 127 1432 30 142 1442 30 120 1452 24 98 1462 22 88 1472 30 100 1482 30 94 1492 30 118 1502 30 120 1512 30 120 1522 30 120 1532 30 120 1542 30 120 1552 30 120 1562 30 120 Total 525 2,078

Source:Annals of the Houhu Lake,ce2,j.2,18a–29b.


designofthecentralMingarchives.86Typically,therewerefourrangesofstacksineachroom,andeachrangehadthreelevelsofstoragespace.Awoodenpanelwasplacedontopofeachshelftoprotectdocumentsfrompossibleroofleaks.ApartialinventoryofstacksshowsthescopeoftheMingcensuscollections(seetable2).87 In1502,when the spaceon the large isleof Jiuzhouwasfilled tocapacity, new stacks were constructed on the adjacent desert isle ofZhongzhou,andthetwowereconnectedwithabridge.Thatwasonlyatemporarysolution,however.In1532storageroomshadtobebuiltonthenextadjacentisleofXinzhou.88In1560SupervisingSecretaryGuoDoupetitionedfortheconstructionoftwoadministrativehallsononeoftheotherislandsfortheRevenueScrutinyOfficeandtheMinistryofRevenue.89Sincethestructuresweresurroundedbywater,therewasaconstantneedfortherestorationoffoundations,walls,androofs.In

Figure 1. SketchmapoftheYellowRegisterArchivesoftheMingDynastyonislandsinHouhuLakenearNanjing,China.FromAnnals of Houhu Lake,ce2,j.2. Original located at the People’s University, Beijing, China.

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1579thirtynewstackroomswerescheduledtobebuilt forthe1582survey.Toensurethequalityofthework,SupervisingSecretaryWangWeirequestedthatthenamesofcontractorsandcraftsmenbeinscribedonthebuildingssothattheycouldbetrackeddownandpunishedifthestructuresneededrepairswithinfivetosevenyears.90By1612therewere667stackroomsholding1,531,458volumes.Another233roomsofofficespaceandlivingquartershadbeenconstructedontheHouhuLakeislands.91Figure1isasketchmapoftheYellowRegisterArchivesfromtheMingDynasty.92 AccordingtotheAnnals,thesecuritysurroundingtheYellowRegisterArchiveswasprovidedbytheMilitaryDistrictoftheNanjinggovern-ment.Asmallarmyofarcherspatrolledthevicinityofthelakedayandnight,andadditionalsoldiersguardedtheentrancetothearchives.93Twolargesignswereconstructedbythelakewarningthegeneralpublicnottotrespass.Asearlyas1391theaccessprocedureswerestandardized.Onlyauthorizedpersonnelweregrantedpassagetothelake,andtheferrywasoperatedonceeveryfivedaysforthoseclearedthroughthesecuritycheck.94Initially,peoplewhogainedadmittancetothearchiveswerestampedontheirhandsbeforeboardingtheferry.However,be-causetheprocedurewassomessyandimpractical,itwassoonchangedtotheissuingofmarkedbamboosticks. Thepracticeofusinganofficialseal forbusinesstransactionswasinitiatedin1520.95Beforethattimeplainpaperwasusedforcorrespon-dencetofrequentreferencerequestsandotherarchivaloperations.In1519acontractorwascaughtinanattempttoembezzle260ouncesofsilverbyforgeryfromthecentralarchives.96Fromthenontheofficialsealwasappliedtoallarchivaltransactions.Itwassoheavilyusedthatreplacementsealswereorderedin1546andin1592.Othernoticeableincidentsincludedoneinvolvingahigh-rankingeunuchnamedGuoYong.OnNovember20,1487,whileservingasaspecialimperialen-voyandaccompaniedbyanentourageoftwodozenpeople,hewentpleasureboatingandsightseeingontheHouhuLakewithoutproperauthorization.97ThisviolationwaspromptlyreportedtotheemperorandtheimperialcourtbyaninvestigatingcensorinNanjing.Asare-sult,Guolosthispositionandwasreprimanded,andthecaseservedeffectivelyasasignofwarningforfutureofficialsofvariousranksintheMingDynasty.Subsequently,nofurtheroccurrenceofillegalentrybyimperialofficialswasreported. During1487thefloodgatesonthesouthshorewerebroken,causingwaterinthelaketofalltoaverylowlevel.Inaddition,peoplealongthecoastlinebegantodivertwaterforirrigation,furthercomplicatingthe


problem.ForthesakeoftheYellowRegisterArchives,apublicorderwasissuedprohibitingfarming,fishing,lumbering,weeding,andlotusharvestingalongthecoastlineoftheHouhuLake.Thedecreewentintoeffectimmediatelyandappliedtobothcivilianandmilitarypersonnel;98fishingwasauthorizedaroundthelakeforonlyfivedayseachwinter.Thenin1521anotherdroughtwasreported.Thewaterlevelbecamesolowthatpeoplecouldwadeacrossthelake.Consequently,SupervisingSecretaryYiZanproposedthatawall4,500yardslongbebuiltontheeastandnorthsidesofthelakeandadditionalmilitaryguardsdispatchedtopreventunauthorizedaccesstothecentralarchives.99However,becauseofitshugecost,thisorderwasneverimplemented.100Instead,amilitarypostwasinstalledin1549toguardtheterrain.101 In1490ImperialCommissionerHeMureviewedthepracticesonthe Houhu Lake and filed a detailed report on the management oftheYellowRegisterArchives.Followinghisadvice,theoutsideborderalongtheHouhuLakewasthoroughlysurveyedandclearlymarkedinordertofurtherdeteranyunauthorizedactivities.Afterthefloodgatewasfinallyrepairedheproposedhavingastonepillarinsertedinthelaketomarktheappropriatelevelofwatersurroundingthearchives.Inthesamereporthenotedthatsincenotallofthedesignatedboatswereusedat thesametime,someof thecleversailorshadbeguntousethevesselsforpersonalandbusinessgains.Proceduresweretight-ened,andanyboatnotbeingusedofficiallywouldbe lockedby thesouthbank.102Furthermore,CommissionerMunotedthatovergrowngrassneararchivalstoragestructureswasapotentialfirehazardduringwinter.Therefore,ateamoftwentylaborerswasdispatchedtoclearoutthegrassyareainlatefall.Theweedsweremovedtoanearbyisleandstoredforuseincookingforworkersemployedduringthenextsurvey.Grassbeyondwhatcouldbestoredwassoldinthelocalmarket,anditsrevenuewasdepositedtofundfuturerenovation.103 By1545itwasnotedthatlotusesweresoplentifulthattheycloggedthewaterflowsandobstructedtheferryoperationinthelake.Super-visingSecretaryYouZhendethusfiledaspecialreporttotheimperialcourt,askingforassistancetobeabletoremovealllotussproutsthefollowingspring.104

Preservation of the Yellow Registers

Thepoorqualityofthepaperusedwasamajorproblemforthepres-ervationoftheYellowRegistersthroughthedynasty.105Anearlytraditionintheregistercompilationwastouseflourpastetoglueapieceofsilk

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asacover,theonlyplacewherethetitleandotheridentifyinginforma-tionappearedoneachYellowRegister.Suchapractice inadvertentlyspeededupinsectinfestation.Further,coverseasilyfelloffduringthecourseofshiftingandreviewingvolumes,whichmadeitverydifficulttotrackdownagivenvolumeforaparticularcountyorregion.Accordingtooneinventory,outofatotalof792,900reportsinthecentralarchives,647,200volumeshadbeendamagedorhadlosttheircovers.106In1490ImperialCommissionerHeMuproposedthatonlyheavypaperbeusedforcoversand thateachvolumebeboundwith thickcotton threadsinsteadofglue.Theuseofstarchwasprohibited.Theinformationonadministrativeregionshadtoberecordedinsideeachvolumeaswellasonthereportcover.107Tomendthevolumesindisrepair,1,295,200piecesofheavypaperandabundantcottonstringswereordered,thecostofwhichaddeduptonearly5,850ouncesofsilverin1490.Topayforthis,aspecialpetitionwastobesubmittedtotheimperialcourtrequestingthesaleofextrasalt.108Furthermore,giventhatbamboowasmorelikelytoattractinsectsthanotherkindsofwood,allstackshelvesweretobeconvertedtopanelsmadeofwoodotherthanbamboo.109Thenin1501,underthedirectionofSupervisingSecretaryLiZan,afullinventoryofthecollectionswasconductedandaninternalcatalogof144volumeswascompiledonallruinedreportsfromtheearlyregisters.110In1524aplanwasproposedthataduplicatesetoftheexistingreportsfromthefirsttwosurveysbemadeforfutureuse.111 Despitenumerousofficialordersandwarnings,starchpaperswerestillfoundwitheachsurveyregistration.In1503SupervisingSecretaryZhangHuanreportedthatthe1492registrationssubmittedbythecapi-talregionandZhejiangProvincecontainedstarchedpapers,resultinginseverepestmutilationwithinafewyears.Thedamagedvolumeswererejectedforreproduction,andanewdirectivewasissuedprohibitingfurtheruseofstarchpaperinregistercompilation.Accordingtotheedict,anyfutureviolatorswouldfaceharshpunishment,includingexiletotheremoteregionsasmilitaryservants.112A1520accountstatedthat6,035volumesoutof10,140registerssubmittedbytheJiangxiProvincefrom1512wereseverelydamagedbypests.113Over80percentofrecordsfor some counties were compromised, while others were completelyruined.Thedestructionwassoextensivethattherecordssimplyfelltopieceswhentouched.Sincethesameproblemwasalsonotedwiththeprovinceduringthe1502survey,allofficialsandclerksinvolvedweretrackeddownandpunished, and replacement copiesmadeof thickwhitepaperswerepromptlyorderedfromlocalgovernments.Inaddi-tion,anewprocedurewasimplemented,requestingthereviewofpaper


qualitieswitheachbatchofnewlysubmitteddocuments.However,by1528itwasagainnotedthatoutof9,692reportsfromthe1522censussubmittedbyseveralprovinces6,289volumesweredamagedbyinsects.Thistimetheresponsibleofficialswerefinedonemonthoftheirearn-ings.114Similarproblemswerealsoreportedwithsurveysfrom1532to1592.115Giventhebroadnegligence,anewpolicywasissuedin1560requiringthenotationofproducersonthetypeofpaperusedintheregistersalongwiththenamesofprocessingclerks.116 Inaddition, itwasrecommendedthatpepperandmineralpowderbeusedwithbookcoverstodeterpestdamage.117 InthefirsthalfofthefifteenthcenturyacomprehensivesystemwasestablishedandgraduallymodifiedtodealwiththeissuesofstorageandpreservationoftheYellowRegisters.Aspecificprocedurewastoair collected archival documents every five days on a rotating basis,witheachstackbeingair-driedatleasttwiceayear.However,withthesheersizeofthecollectionsandinsufficientstaff,thecyclewasmorelikelyonceeverytwoyearsinpractice.Afterfourteennationalsurveys,by1520therewere383stackroomsandover1,030,000volumesstoredinthecentralarchives.SupervisingSecretaryYiZanrecommendedanincreaseoflaborersfromseventy-fivetomorethantwohundredsothatalaborerwithaone-yearshiftwouldberesponsibleforonlytwostackrooms.Hisproposalwasturneddownbytheimperialcourt,butasacompromiseitwasdecidedthattenextralaborerswouldbeaddedtotheworkforcewitheachnewcollection.118Inaddition,numerousplat-formswerebuiltin1524toimprovetheefficiencyofoutdoorairingoftheYellowRegisters.119 SinceNanjingis locatedinsouthernChina,whichreceivesplentyofannualrainfall,waterdamagetostacksandcollectionsfromleakingroofswasnotuncommon,althoughitwasnotusuallyidentifieduntiltheirnextscheduledexposuretime.In1493itwasdeterminedthataftereverydownpourarchivalstaffshouldcheckthestatusofeachcollection;whenproblemswerenoticed,damageddocumentsshouldbepromptlyair-driedandleakingreportedtoproperauthoritiesforquickrepair.120Moreover,itwasdiscoveredduringtheairingprocessthatmanyofthevolumeswereofdifferentsizes,andlargebooksweredifficulttohandleandeasytobreak.InlightofthepolicyofstandardizingthefontsusedintheYellowRegisters,anewguidelinewasthendevelopedrequestingthatallfuturereportsshouldbefifteeninchesinsize.121 Asapreventivemeasure,fireandcandlelightwerestrictlyforbiddenaround theYellowRegisterArchiveson theHouhuLake.When thestackroomswerefirstconstructedon the large isle, thekitchenwas

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atleastfifty-fiveyardsaway.However,sinceadditionalstoragefacilitieswerecontinuallybuiltwitheachnationalsurvey,by1482thearchivalstructures stood only about twenty feet from the kitchen. Althoughextraprecautionsweretaken,fireremainedaconstant threat to thecollections. In1512SupervisingSecretaryZhaoGuanproposedthatthecookingfacilityberelocatedtothenearbysmallisleandreachedwithabridge.Hissuggestionwasquicklyadopted,andanewbulletinboardwasinstalledbythebridgewarningthatnofirewaspermittedbeyondthatpoint.122 WiththecollapseofthecentralMinggovernment,thevastmajorityoftheYellowRegisterswerelostintheturmoilofthewarwhenthemightyQingarmyfoughtitswayintoNanjingin1645.Inadesperateattempttofendofftheinvasionforces,thesouthernMingcourtofHongGuangwasreportedtohaveusedtheYellowRegistersaskindlingforgunpowder,thusdestroyingmostoftherecordscollectedoverpreviouscenturies.123

Summary

FromthebeginningoftheMingDynasty,EmperorHongwuestablishedacomprehensivepopulationregistrationsystemacrosshisempireanddesignatedtheHouhuLakeinNanjingasthecentraldepositoryforthesafekeepingofcollectedregistrationrecordsfromthroughoutthecoun-try.ThelonghistoryoftheMingYellowRegisterArchiveswasdocumentedinthenumerousarchivalreportscompiledbyitssupervisingsecretary,ZhaoGuan,andhiscolleagues.TheiraspirationsweretopaytributetothegreatnessandprudenceofthefirstMingemperorinthedesignofthepopulationregistrationandstoragestructureandtoremindfuturegenerationstofollowcloselytheestablishedsystemsandproceduresinordertoensurethecontinuityofthegrandMingEmpire.Thereportswere allofficialdocuments submittedby the imperial curators to theMingcourtconcerningthecompilationoftherecords,theconstruction,access,andsecurityofthedepository,andthepreservationoftheYellowRegistersundertheirsupervision.Itshouldbenotedthatcompilingthosearchivalrulesandregulationsdidnotmeanthattheywerenecessarilyallobeyedandfullyimplemented.However,basedonthebroadnatureofthosehistoricaldocuments,itisfairtosaythattheynotonlypresentedaglimpseoftheadministrativestructuresandfiscalstrengthsoftheMingDynastybutalsoprovidedacomprehensivepictureofarchivalpracticesin premodern China. Although the manuscripts focused only on theMingYellowRegisterArchivesontheHouhuLake,theywereimportantdocumentsinthehistoricaldevelopmentofChineseimperialarchives.


Overaperiodofmorethantwoandahalfcenturies,massivearchivalfacilitieswereconstructedontheHouhuLake.Thousandsofpeoplecon-tributedtimeandefforttothecreationandmaintenanceofenormousarchivaloperationsduringtheMingDynasty.Manywerehardworkers,dedicatedtotheirarchivalassignments,andtheyenduredharshworkingconditionsontheislesforlongperiodsoftime.Alongthewayacom-prehensivesystemwasdevelopedforregistering,shifting,assembling,checking,andstoringthecollecteddocumentsinthecentralarchives,andduring theprocess theestablishedpoliciesandprocedureswerecontinuallyreviewedandupdated.ExtraprecautionswerealsotakenbythearchivalmanagementpersonneltoensurethesafetyoftheYellowRegistersandthesecurityandaccesstothecentraldepository. EmperorHongwu’svigilanceensuredthathisofficialswereenergeticincarryingouttheirdutiesinthepopulationregistration,butthenegli-genceoflateremperorsledtoimperialofficialsandclerksindulgingincorruptionofallkinds.Likemanyotherexcellentinstitutionsdevisedby thefounderofadynasty, thesystemofnationalregistrationsoonbecameunworkable,forwhenabusesarosetherewasnoonetoeffec-tivelycheckthem.124ThecreepinginaccuracyoftheYellowRegistersfromtheMingDynastywaswellrecognized.AccordingtoareportfromtheQingDynasty,somelateMingrecordsstillretainedthepersonalnamesandpropertyholdingsoftheearlyMingera.125The1572editionoftheKuaiji County GazetteerreportedtheofficialpopulationintheYel-lowRegistersas62,004people,buttheactualnumbermusthavebeenmorethanfourtimesthatfigure.126The1609editionoftheWenshang County GazetteercondemnedtheYellowRegistersasawasteofpaperandwritingbrushes.127FromthebeginningthesupervisingsecretariesontheHouhuLakewerefightingalosingbattletoensurethequalityandaccuracyoftheYellowRegisters,andthisworkwasbeyondthescopeoftheirresponsibilitiesasthemanagersofthecentralimperialarchives. EmperorHongwu’sdecision tobuildanarchival repository in theHouhuLakewasoccasionedmainlybysafetyconcerns.Whileitistruethatthesecuritysurroundingthearchiveswasneverseriouslybreached,andnomajorcatastropheswerereportedoveritslonghistory,theloca-tionwasnotatall ideal forthepreservationofhistoricaldocuments.AbundantmoisturefromthelakewasdetrimentaltotheYellowRegisters.Theregularairingprocessmightsolvetheproblemonashort-termbasis,butthedirectsunlightactuallyspedupthedestructionofthearchivaldocuments.ThroughoutthehistoryoftheMingarchivestherewerenoeffectivemeansofcontrollingdamagefrompests.Infact,modernarchi-valpracticeswerenotestablishedinChinauntilthetwentiethcentury.

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Nevertheless, theHouhuYellowRegisterArchives,oneoftheworld’slargestarchivaloperationsinthepremodernera,remainsanimportantandfascinatingchapterinthedevelopmentofChinesearchives.

Notes

TheauthorwouldliketoexpresssincereappreciationtoProfessorsYushengYao,KateReich,andBillSvitavskyandtotwoanonymousreviewersfortheirconstructivecriticisminreviewingthisarticle.

1. Wenxian Zhang, “Dang An: A Brief History of the Chinese ImperialArchives and ItsAdministration,” Journal of Archival Organization 2,nos. 1–2(2004):17–38.

2.AlllistingsofspecialtermsarebasedontheStandardChinesePronuncia-tionSystem,HanyuPinyin,andpersonalnamesarelistedinthispaperwiththeirfamilynamesfirst,followingChinesecustoms.

3.ThelargeandscenicXuanwuLakeinNanjinghasalonghistory.Ithasbeenusedbymanydynastiesasan idealplacetotrainanddisplay theirwa-terbornetroops,andevenbattleswerefoughtthere.ThenameHouhuLakewasestablishedasearlyastheendoftheEasternHanDynasty(25–220CE).In241SunQuan(182–252CE),thekingoftheeasternWuKingdom(222–80CE),connectedthelakewiththeQingxiCreektoserveasaportionofhiscitymoat.In267waterfromthelakewaschanneledtocirclearoundthepalaceoftheWuKingdom.Becausethelakelaynorthofthecapitalcity,itwasthenknownasHouhu(RearLake)orNorthLake.In320EmperorYuandioftheJinDynasty(265–420CE)beganthetraditionoftraininghisimperialnavyonthe lake,which thenbecameknownas theTrainingLake (Lianhu). In446EmperorWendiaddedaroyalrecreationcentertothelake.Twoyearslater,whilereviewinghisforcesonthelake,Wendisworethathesawablackdragoninthewater.ChineseTaoistsbelievedthattheblackdragonwasawatergodappearinginthecombinedformofaturtleandasnakecalledXuanwu.HencethelakewasalsocalledXuanwuLake.DuringthereignofXiaowu(454–64CE)aroyalgardenwasadded,andtheemperorconductedgrandinspectionsofhisarmedforcesonthelakein461and463.Numerousbattleswerefoughtoverthelakeduringtheensuingcenturies.BytheNorthSongDynasty(960–1127CE)thewell-knownpoliticianandscholarWangAnshi(1021–86CE)proposedin1077toEmperorShenzong(1068–85CE)thatthelakebedrainedforricefields.WhentheMingDynasty(1368–1644CE)wasestablished,ZhuYuanzhang(1328–98CE),EmperorHongwu,recoveredthelakefromthefieldsandorderedtheconstructionofimperialarchivesonanisland.DuringtheQingDynasty(1644–1911)thelakewasusedforrecreationbyaristocrats.Withthedownfallofthelastdynastyin1911itwasturnedintothelargestpublicparkinNanjing.In2008,with itspicturesquebeautyandhistorical interest, the lakeattractsmorethanthreemillionvisitorseachyear.

4.AlbertChan,The Glory and Fall of the Ming Dynasty(Norman:UniversityofOklahomaPress,1982),135.

5.WeiQingyuan,Yellow Register System of the Ming Dynasty(Beijing:ZhonghuaShuju,1961),89.


6.Ibid.,106.7. Annals of the Houhu Lake (Houhu Zhi) (Nanjing, 1514–1620), ce 6, j.

11,3b.Thecopyconsultedforthisresearchandreferencedinthepaperisaseven-juan(ce)reprintfrom1987(Houhu Zhi[Nanjing:JiangsuGuanglingGujiPublishingHouse,1987]).

8.ZhouXueheng,History of Chinese Archives(Beijing:People’sUniversityPress,1994),259–63.

9.Ming Shi Lu, Taizu Shi Lu(Taibei:AcademiaSinica),70.10.Wei,Yellow Register System of the Ming Dynasty,21.11.RayHuang,Taxation and Governmental Finance in Sixteenth-Century Ming

China(London:CambridgeUniversityPress,1974),32–33.12.Ming Shu: Fu Yi Zhi,j.68;Wei,Yellow Register System of the Ming Dynasty,20.13. Ping-ti Ho, Studies on the Population of China, 1368–1953 (Cambridge,

Mass.:HarvardUniversityPress,1959),3–4.14.Wei,Yellow Register System of the Ming Dynasty,72–79.15.Ho,Studies on the Population of China,3–23.16.Annals.UpontheinitialcompletionbyZhaoGuan,twoofhiscolleagues

inNanjingwroteprefacesforthebook:YangLianin1513andLuoQinshunin1514.YangLianwasthevicecommissionerintheOfficeofTransmission,theformersupervisingsecretaryintheRevenueScrutinyandMilitaryScrutinyoffices,andaHanlinfellowintheHanlinAcademy;LuoQinshunwastheviceminister in theCourtof ImperialSacrifices, aHanlincompiler, anda royallecturer.Thebookwasenlargedin1549byWanWencaiandLiWanbao,bothofwhomservedasthesupervisingsecretariesintheRevenueScrutinyOfficeinNanjing.ThenitbecameatraditionforthesubsequentsupervisingsecretariesintheRevenueScrutinyOfficetoreviseandsupplementthevolume.Whentheworkwasagainaugmentedin1588,anintroductoryessaywasaddedbyXiKongjiao,anotherHanlinfellowandcompilerintheHanlinAcademyandaroyallecturerduringthereignofEmperorWanli(1572–1620CE).In1611arevisiontotheintroductionwaswrittenbyLiangGaojie,thesupervisingsecre-taryintheOfficeoftheMilitaryScrutinyinNanjing.OthercontributorstothebookincludeZhangYuyan,thesectionalsecretaryforGuangxiProvinceintheMinistryofRevenue,whorectifiedthemanuscriptsalongwithLuoQinshun.Overall,morethanadozenofficialsfromtheMinistryofRevenuecontributedtothecompilation,rectification,andpublicationoftheAnnals,amongthemLiuDawu,GuoDou,WangXuemo,LuFengyi,WangDaoguang,ZhangHuan,ZhengHao,andFangHang.Fourepilogueswerewrittenin1514byShiLu,XuWentao,YueHu, andPanTang; anaddendumwas included in1611byHanGuofan.

17.Ho,Studies on the Population of China,24.18.TimothyBrook,Confusions of Pleasure: Commerce and Culture in Ming China

(Berkeley:UniversityofCaliforniaPress,1998),63–64.19. Wei, Yellow Register System of the Ming Dynasty, 29. Cf. Ming Regulations

(Ming Huidian),j.20;Annals,ce3,j.4,3b.20.Annals,ce3,j.4,2a.21.Ibid.,ce3,j.4,6a–b.22.Wei,Yellow Register System of the Ming Dynasty,27.Cf.Ming Regulations,j.

20.23.Annals,ce3,j.4,2a.

173

24.Wei,Yellow Register System of the Ming Dynasty,102.25.Annals,ce2,j.2,30a–37b.26.Ibid.,ce2,j.2,40a–88a.27.Ibid.,ce2,j.2,1a–27b.28.Chan,The Glory and Fall of the Ming Dynasty,214.29.Ho,Studies on the Population of China,13–16;Wei,Yellow Register System of

the Ming Dynasty,108.30.Annals,ce3,j.8,4a.31.Ibid.,ce3,j.6,7a.32.Wei,Yellow Register System of the Ming Dynasty,129–42.33.Annals,ce3,j.6,5b–6a.34.Ibid.,ce3,j.7,8a.35.Ibid.,ce4,j.10,30a–31a.36.Ibid.,ce5,j.10,78a–79b.37.Ibid.,ce5,j.10,77a.38.Huang,Taxation and Governmental Finance,61;Annals,ce5,j.10,97a.39.Wei,Yellow Register System of the Ming Dynasty,224;Annals,ce5,j.10,109a.40.Ho,Studies on the Population of China,18;Annals,ce5,j.10,130a–b.41.Annals,ce5,j.10,142a–b;Wei,Yellow Register System of the Ming Dynasty,

233–44.42.Annals,ce3,j.3,1a.43.Wei,Yellow Register System of the Ming Dynasty,103–5,151–68;Annals,ce

3,j.3,1a.44.Wei,Yellow Register System of the Ming Dynasty,106.Cf.Ming Regulations,

j.42.45.Annals,ce3,j.3,1a.46.Ibid.,ce3,j.4,4a–b.47.Ibid.,ce3,j.3,1a–2b.48.Ibid.,ce3,j.3,2a.49.Ibid.50.Wei,Yellow Register System of the Ming Dynasty,92.51.Annals,ce3,j.9,5a;ce4,j.10,8a.52.Wei,Yellow Register System of the Ming Dynasty,164–66.53.Annals,ce3,j.9,5a–b.54.Wei,Yellow Register System of the Ming Dynasty,158.Cf.Ming Regulations,j.

13;Annals,ce3,j.9,5a–7b.55.Annals,ce4,j.10,7b.56.Wei,Yellow Register System of the Ming Dynasty,121.Cf.HuangZuo,Nanyong

Gazetteerj.1.57.Annals,ce4,j.10,15a–17b.58.Ibid.,ce3,j.9,2a.59.Annals,ce3,j.9,1a–4b;Wei,Yellow Register System of the Ming Dynasty,126.

Cf.Ming Regulations,j.42.60.Huang,Taxation and Governmental Finance,248–49;Wei,Yellow Register

System of the Ming Dynasty,124–28.61.Annals,ce3,j.9,19a.62.Ibid.,ce4,j.10,14a.63.Wei,Yellow Register System of the Ming Dynasty,135.64.Annals,ce4,j.10,60a.


65.Ibid.,ce5,j.10,91b–95a.66.Huang,Taxation and Governmental Finance,249.Cf.HaiRui,Hai Rui Ji

(Beijing,1962),49.67.Annals,ce4,j.10,33a–b;Wei,Yellow Register System of the Ming Dynasty,

129–42.68.Annals,ce4,j.10,34a–36a.69.Ibid.,ce4,j.10,18a–19b.70.Ibid.,ce4,j.10,22b–25a.71.Ibid.,ce4,j.10,26b.72.Ibid.,ce5,j.10,137a.73.Wei,Yellow Register System of the Ming Dynasty,98–99.74.Annals,ce3,j.4,5a–b.75.Ibid.,ce3,j.5,9a–b.76.Wei,Yellow Register System of the Ming Dynasty,179–80.Cf.Ming Regula-

tions,j.20;Annals,ce3,j.9,10a.77.Annals,ce3,j.6,5b.78.Wei,Yellow Register System of the Ming Dynasty,111.79.Ibid.Cf.Ming Regulations,j.42;Annals,ce3,j.6,1a–3a,5a.80.Wei,Yellow Register System of the Ming Dynasty,109–10.81.Ibid.,110.Cf.Ming Regulations,j.42;Annals,ce3,j.6,8b–9b.82.Annals,ce5,j.10,105b–107b;113a–114b.83.Ibid.,ce3,j.4,8a.84.Ibid.,ce3,j.7,4a–5a.85.Ibid.,ce4,j.10,38b–40a.86.Wei,Yellow Register System of the Ming Dynasty,89.87.Annals,ce2,j.2,28a–29b.88.Ibid.89.Ibid.,ce3,j.3,3a.90.Ibid.,ce5,j.10,89b–90a.91.Ibid.,ce6,j.11,3b.92.Ibid.,ce2,j.2.93.Ibid.,ce3,j.3,2a–b.94.Wei,Yellow Register System of the Ming Dynasty,115.95.Annals,ce3,j.3,1a.96.Ibid.,ce3,j.9,14b–15b.97.Wei,Yellow Register System of the Ming Dynasty,117.Cf.Ming Shi(History

oftheMingDynasty),j.180,304;Annals,ce3,j.5,1b–2a.98.Annals,ce3,j.5,1a–b.99.Ibid.,ce3,j.9,22b–24a.

100.Ibid.,ce4,j.10,2b.101.Ibid.,ce4,j.10,37a–38b.102.Wei,Yellow Register System of the Ming Dynasty,115.Cf.Ming Shi Lu,j.249;

Annals,ce3,j.5,3b–4a.103.Annals,ce3,j.5,3b–4a.104.Ibid.,ce4,j.10,21a–22b.105.Wei,Yellow Register System of the Ming Dynasty,169–74.106.Annals,ce3,j.5,6b.107.Ibid.,ce3,j.5,4a–b.108.Ibid.,ce3,j.5,6b–7b.

175

109.Wei,Yellow Register System of the Ming Dynasty,99.110.Annals,ce3,j.6,10b–11a.111.Ibid.,ce4,j.10,4b.112.Ibid.,ce3,j.7,1a–2b.113.Ibid.,ce3,j.9,16b–17a.114.Ibid.,ce4,j.10,11b.115.Ibid.,ce4,j.10,43a–44b,68a–b;ce5,j.10,119a–120a,147b.116.Ibid.,ce4,j.10,54b.117.Wei,Yellow Register System of the Ming Dynasty,171;Annals,ce4,j.10,68b;

ce5,j.10,119b.118.Annals,ce3,j.9,10a–11b.119.Ibid.,ce4,j.10,1a–b.120.Ibid.,ce3,j.6,3b–4a.121.Ibid.,ce4,j.10,4a–b.122.Ibid.,ce3,j.8,6b–8a.123.Wei,Yellow Register System of the Ming Dynasty,244.124.Chan,Glory and Fall of the Ming Dynasty,135–36.125.Wei,Yellow Register System of the Ming Dynasty,224.126.Huang,Taxation and Governmental Finance,62.Cf.Kuaiji County Gazetteer

(1572),j.5,2–3.127. Huang, Taxation and Governmental Finance, 61. Cf. Wenshang County

Gazetteer(1609),j.4,1–2.

l&cr/150 l&cr/the yellow register archives and households under his control be properly...

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