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Financial Expertise, Examinations, and the Formulation of Economic Policy in Northern Sung China

Published online by Cambridge University Press:  23 March 2011

Robert M. Hartwell
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Abstract

This paper is primarily concerned with the institutional framework of economic policy formulation in China during the Northern Sung dynasty (960–1126). During this period there evolved a professional financial service whose members had a direct influence on economic legislation either as incumbents in fiscal offices or as members of Imperial advisory organs. The financial specialist was seen as possessing a specific body of expertise—administrative ability, talent in mathematics, a knowledge of classical Chinese monetary theory and familiarity with the history of economic policy. These attributes were tested in the civil service recruitment examinations and used as criteria for the recommendation and assignment of men to fiscal posts. The resulting consistency and predictability in legislation was a significant aspect of material progress in eleventh century China. The article is based on an extensive analysis of biographical information contained in chronicles, dynastic histories, records of conduct, and funerary inscriptions, as well as extant copies of examination questions and answers and edicts of appointment contained in the collected papers of Nordiern Sung writers.

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Articles
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The Journal of Asian Studies , Volume 30 , Issue 2 , February 1971 , pp. 281 - 314
Copyright
Copyright © The Association for Asian Studies, Inc. 1971

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References

1 Fan Chung-yen, Fan Wen-cheng Kung Chi (Ssu-pu ts'ung-k'an ed. Hereafter cited as SPTK), chüan 11.

2 For example, Feuerwerker, Albert, China's Early Industrialization (Cambridge: Harvard University Press, 1958), pp. 31–40CrossRefGoogle Scholar; Wright, Mary C., The Last Stand of Chinese Conservatism (New York: Atheneum, 1966), pp. 148–195Google Scholar; Chen, Huan Chang, The Economic Principles of Confucius and His School (1911)Google Scholar.

3 This introductory section is a summary of Hartwell, Robert M., “Classical Chinese Monetary Analysis and Economic Policy in T'ang-Northern Sung China,” Transactions of the International Conference of Orientalists in Japan, No. XIII (1968), pp. 70–81Google Scholar, which, in turn, is a sketchy outline of an in progress extensive reconstruction of classical Chinese monetary theory. The process of theory-making and the pre-scientific nature of Chinese economics is discussed in Hartwell, Robert M., “Historical-Analogism, Public Policy and Social Science in Eleventh and Twelfth-Century China,” The American Historical Review (June 1971)CrossRefGoogle Scholar.

4 Tao, Li, Hsü Tzu-chih t'ung-chien Ch'ang-pien (Taipei: World Book Co., 1964)Google Scholar, 54/1a-3a. Hereafter cited as HCP.

5 Ibid.

6 HCP, 54/1a, 3a.

7 HCP, 54/3a.

8 HCP, 54/9b-10a. For designation of Li Shih-heng as author of this sealed memorial, see HCP, 54/3a.

9 HCP, 54/10a.

10 HCP, 54/18a.

11 See below, “Notes on Financial Careers,” p. 311, no. 36.

12 T'o, T'o, Sung Shih (Shanghai: T'ung-wen Shu-chü, 1884)Google Scholar, 307/14b-15a. Hereafter cited as SS.

13 For sources on the careers of Lin T'e, Li Shih-heng and Chang Yung,(2) see below, “Notes on Financial Careers, pp. 311–312, nos. 31, 43, 45.

14 Kracke, E. A. Jr., Civil Service in Early Sung China—960–1067 (Cambridge: Harvard University Press, 1953), pp. 30–32Google Scholar.

15 SS, 284/4a; Ch'ih, Li, Huang-Sung Shih Ch'ao Kang-yao (Shanghai: Tung-fang Hsüeh-hui ed., 1926)Google Scholar, 2/5a; Hsü Tzu-ming, Sung Tsai-fu Piennien-lu (Ching-ch'ing-lou ts'ung-shu ed.), 3/11b.

16 STPL, 3/28b.

17 Denis Twitchett, “The salt commissioners after the rebellion of An Lu-shan,” Asia Major, (n.s.) 4,1 (1954), pp. 60–89.

18 These include: The Finance Commissioners (San-ssu Shih), 960–3/6/982; Co-Commissioners of Finance (T'ung San-ssu Shih), 3/6/982–4/22/983; the three separate Commissioners in Charge of Salt and Iron (Yen-t'ieh Shih), Funds (Tu-chih Shih) and Census (Hu-pu Shih), 4/22/983–6/13/993; Finance Commissioner, 6/13/993-Oct./Nov., 993; the Commissioners of Accounts (Yu-chi Shih, Tso-chi Shih, and Tsung-chi Shih), Oct./Nov., 993-Jan./Feb., 995; the three separate Commissioners in Charge of Salt and Iron, Funds and the Census, Jan./Feb., 995–6/30/1003; and the Finance Commissioners, 6/30/1003–5/23/1082. The sources used in reconstructing the fiscal careers of these officials, which provide the documentation for many statements in this article, are cited below, “Notes on Financial Careers,” pp. 310–314, nos. 1–85.

19 The sources on the incumbents in the fiscal hierarchy of 1005 are cited below, “Notes on Financial Careers,” p. 314, nos. 86–102.

20 Kracke, p. 59, n. 16.

21 See Chart I and Table I.

22 Ch'ien Jo-shui and others, T'ai-tsung Huang-ti Shih-lu (SPTK), 43/8b. Hereafter cited as TTHTSL.

23 TTHTSL, 43/9a; HCP 28/3a.

24 Ibid.; SS, 278/8a.

25 TTHTSL, 43/3a-4b; HCP, 29/5a-5b, SS, 278/8a.

26 HCP, 52/5a-5b.

27 SS, 261/9b-10b.

28 HCP, 52/5a.

29 SS, 261/11a.

30 HCP, 129/1a.

31 HCP, 147/2a-2b.

32 SS, 463/22b; HCP, 161/1a, 166/2a, 14a, 167/7b.

33 HCP, 168/15b.

34 HCP, 169/13a-13b.

35 Ibid.

36 A career financial official or expert is defined in this paper as a man who either served as Finance Commissioner or who held a minimum of four fiscal posts.

37 Kracke, pp. 30–38.

38 Chao Sheng, Ch'ao-yeh lei-yao (Chih-pu-tsu-chai ts'ung-shu ed.), 4/4b.

39 Kracke, pp. 30–31.

40 Ssu-ma Kuang, Wen-kuo Wen-cheng Ssu-ma Kung Wen-chi (SPTK), 23/5b.

41 HCP, 191/10a.

42 See below, “Notes on Financial Careers,” pp. 310–314, nos. 3, 6, 47, 50, 53, 54, 56, 57, 65, 67, 69, 71, 72, 76, 85.

43 Ibid., nos. 2, 42, 48, 49, 63, 73.

44 Ibid., no. 40.

45 In addition to those cited in notes 42–44, Ibid., nos. 5, 7, 11, 17, 20, 22, 25, 35, 19, 24, 60, 62, 78, 79. 80, 81.

46 Ibid., nos. 2, 5, 12, 40, 42, 47, 56, 67, 72, 76, 79, 81.

47 Finance Commissioners will be identified by F.C. and the dates of their terms in parentheses.

48 HCP, 118/1a-1b.

49 HCP, 120/1a.

50 HCP, 120/11a.

51 SS, 292/9a-11b, 310/18b-22b.

52 HCP, 121/7a-7b; SS, 292/2b-5a.

53 HCP, 162/6b-7a, 164/11b-13a.

54 HCP, 40/10b-11a.

55 See below, “Notes on Financial Careers,” pp. 311–312, nos. 36, 39.

56 HCP, 63/13b.

57 HCP, 111/20a.

58 Yung-lo-ta-tien (World Bookstore ed. of HCP), 12399/10b-11b. Hereafter cited as YL.

59 HCP, 141/2a, 189/73.

60 HCP, 172/1a.

61 HCP, 192/4a-4b, 7a-8a.

62 Huang I-chou and others, Hsü Tzu-chih-t'ung-chien Ch'ang-pien Shih-pu (World Bookstore ed. of HCP), 4/4b. Hereafter cited as HCP:SP.

63 In addition to the sources on the Finance Commissioners and officials of 1005 (see below, “Notes on Financial Careers,” pp. 310–314), this statement is based on the following documents: SS, 258/18a-18b, 292/6b-9a, 12b-14a, 311/8a-9b, 292/2b-5a, 9a-12b, 265/15a-16a, 285/14a-22a, 302/12a-14a, 310/18b-22b, 316/4a-7b, 322/3a-4b, 333/4b-5a.

64 Chang Fang-p'ing, Lo-ch'üan Chi (Ssu-k'u Ch'üan-shu Chen-pen ed.), 26/18b-23a. For approximate date of this memorial, see HCP, 269/10a.

65 HCP, 104/22b.

66 HCP, 218/15a-15b, 246/14a, 225/21a, 245/3a, 283/14b, 251/4b; SS, 341/11a-16a, 330/6a-7a, 320/9a-9b), 291/15b-16b, 329/19b-20a, 355/15a, 442/17b, 327/11b-13b, 344/17a-20b, 347/21a-22b; and below, “Notes on Financial Careers,” pp. 310–314.

67 For example, TTHTSL, 31/5a; SS, 283/7b, 301/8a, 328/27b.

68 HCP:SP, 4/19a. Chieh replied that An-shih excels in all three, but is planning changes which will upset the people.

69 For example, TTHTSL, 78/3b; SS, 267/11b, 277/16a, 328/27b; Wang Shang (?) and Wang Ch'eng, Tung-tu Shih-lüeh (Taipei: Wen-hai Publishing Co., 1967), 54/6a. Hereafter cited as TTSL.

70 Ssu-ma Kuang, 23/4b. For date of this memorial, see HCP, 196/13b.-22b.

71 SS, 277/7a.

72 SS, 330/3b; HCP, 368/20b.

73 Hsin-chi. For Sang Hung-yang's skill, see Kuang, Ssu-ma, Tzu-chih-t'ung-chien Chin-chu (Taipei: Commercial Press, 1966), vol. II, chüan 19, p. 32Google Scholar. Hereafter cited as TCTC. Cf. Swann, Nancy Lee, Food and Money in Ancient China (Princeton: Princeton University Press, 1950), p. 272Google Scholar. Sung fiscal experts, who gained this reputation included Ch'en Tsung-hsin, TTHTSL, 31/5a; Wei Yü, TTHTSL, 78/3b; Hsü Chung-hsüan, HCP, 20/19b-20a; Lin T'e, SS, 283/7b; and Yen Tu, SS, 298/12a-12b.

74 HCP, 368/20b; SS, 330/3b.

75 SS, 301/8a, 328/27b.

76 Holzman, Donald, “Shen Kua and his Meng-ch'i pi-t'an,” T'oung Pao, XLVI (1958), p. 288Google Scholar.

77 Needham, Joseph, Science and Civilization in China (Cambridge: University Press, 1959), vol. III, pp. 38–39Google Scholar, passim.

78 Heckscher, Eli F., Mercantilism (London: George Allen and Unwin Ltd., 1955, 2nd ed.), I, p. 178Google Scholar.

79 Wittfogel, Karl A., Oriental Despotism (New Haven: Yale University Press, 1957), P. 129Google Scholar.

80 For the date of the composition of this work, see HCP, 114/18a-18b, 122/5b; Shih, Su, Su Tung-p'o Ch'üan-chi (Taipei: World Book Co., 1964)Google Scholar, “Hou-chi,” chüan 17, pp. 637–638.

81 Chang Fang-p'ing, 15/2b-3b.

82 Lu Chih, Lu Hsüan-kung Han-yüan Chi (SPTK), 18/7a. For date, see TCTC, vol. XII, chüan 234, pp. 597–598.

83 Fan Tsu-yü, Fan T'ai-shih Chi (Ssu-k'u Ch'üan-shu Chen-pen ed.), 15/15a.

84 Chang Fang-p'ing, 15/2b-3b).

85 An-shih, Wang, Lin-ch'uan Hsien-sheng Wen-chi (Shanghai, 1959)Google Scholar, chüan 70, p. 745.

86 Chang Fang-p'ing, 15/1b.

87 HCP, 47/10a-11a.

88 Ssu-ma Kuang, 23/5b). For date, see HCP, 196/13b.9–22b.

89 Liu, James T. C., Reform in Sung China (Cambridge: Harvard University Press, 1959), p. 49CrossRefGoogle Scholar; Wang An-shih, chüan 70, p. 745. According to Liu, Wang's ideas were uniquely original. But this view of economic development was widely held during this period by many commentators on fiscal administration, including Wang's chief antagonist, Ssu-ma Kuang.

90 For example, HCP, 47/10a-11a, 368/20a-21b, 461/9a-10a; Fan Chung-yen, chüan 11; Ssu-ma Kuang, 23/1b-12a; Fan Tsu-yü, 20/7a-7b; Li Kou, Chih-Chiang Li Hsien-sheng Wen-chi (SPTK), 20/7a-7b.

91 Hartwell, pp. 71–72.

92 Swann, pp. 194–196.

93 HCP:SP, 5/1b-3a.

94 Swann, pp. 275–278, 285; Twitchett, Denis, Financial Administration under the T'ang Dynasty (Cambridge: University Press, 1963), pp. 50–53Google Scholar; HCP, 63/13b, 15b, 66/11b-12a, 17b-18a, 71/18b, 171/16a-16b, 192/5b.

95 Fan Tsu-yü, 15/15a; HCP, 55/4b, 368/20a-21b.

96 TCTC, vol. II, chüan 19, p. 32; Swann, p. 272. Keng Shou-ch'ang is reputed to be one of the early editors of the Chinese mathematical classic, Chiu-chang Suan-shu (SPTK). See preface. SS, 328/27b, 283/7b.

97 Shen Kou, Hsi-ch'i Wen-chi (in San Shen Chi [SPTK]), 5/56a-56b. Approximate date derived from Wang An-shih, chüan 93, pp. 961–962 and TTSL, 76/5bff.

98 Tseng Kung, Yüan-feng Lei-kao (Ssu-pu-pei-yao ed. Hereafter cited as SPPY.), 22/1a.

99 Wang An-shih, chüan 49, p. 514.

100 Yü Ching, Wu-ch'i Chi (Kuang-tung ts'ungshu ed., 1940), 11/6b-7a.

101 See Table II.

102 Gungwu, Wang, The Structure of Power in North China During the Five Dynasties (Kuala Lumpur: University of Malaya Press, 1963), p. 215Google Scholar.

103 Sources cited below, “Notes on Financial Careers,” pp. 310–314.

104 Kracke, pp. 60–67.

105 Sung Hui-yao Chi-kao (Shanghai, 1936), “Hsüan-chü,”Google Scholar 1/1a-12b. Hereafter cited as SHY:HC. HCP, 1/8a, 2/2b, 3/4a, 5/7a, 6/6a, 7/3a, 8/3b, 9/2a, 10/2b, 11/3a-3b, 68/11a, 77/1a, 84/2b, 93/1a, 102/1b, 105/1b, 109/1a, 114/2a, 121/2b, 158/2b), 166/1b, 174/2a, 185/1a, 189/3a, 193/1a, 198/1b, 242/7a, 272/1b-2a, 296/1b, 322/2a; YL, 12306/2a, 9a, 15b; TTHTSL, 32/2a, 44/5b-6a.

106 SHY:HC, 1/8a-8b; HCP, 77/1a; SS, 277/16b-20a, 282/5b-6b, 305/7b-9a, 430/9a-16a.

107 SHY:HC, 1/10a; HCP, 121/2b; SS, 262/13a-13b, 292/9a-12b, 294/11a-11b; Tseng Kung (?), Lung P'ing-chi (Ch'i Yeh T'ang ed., 1701), 14/9a. Hereafter cited as LPC. The three fiscal experts included the future Finance Commissioners, Wang Yao-ch'en and Cheng Chien.

108 SHY:HC, 1/10b; SS, 288/15a-17a.

109 SHY:HC, 1/1a-2a.

110 SHY:HC, 1/2a-11a.

111 SHY:HC, 1/11a ff.

112 Hsüeh Chü-cheng in 963. HCP, 4/5a; SHY:HC, 1/1a.

113 This statement is based on an investigation into the Sung Dynastic History biographies of each of the 128 different examiners listed in SHY:HC, 1/1a-12b.

114 SHY:HC, 7/5b-6a.

115 SHY:HC, 7/11b-12a.

116 This was the general format before 1071. Kracke, p. 62. In this year, poetry, memory passages, and summaries were replaced by two sessions on the general meaning (ta-i) of the classics. Yang Chung-liang, Hsü Tzu-chih-t'ung-chien Ch'ang-pien Chi-shih-pen-mo (Kuang-hsü 19 [1893] ed.), 75/1a. Hereafter cited as HCPCSPM. This remained the general system until the end of the dynasty, with the exception that poetry replaced one of the sessions on the classics between 1086 and 1093, and during most of the Southern Sung. The most comprehensive and detailed description of the administration of the Sung examination is contained in the recently published Toshikazu, Araki, Sōdai kokyo seido kenkyū (Kyoto: Tōyōshi kenkyū kai, 1969)Google Scholar. But Araki gives little attention to the careers of examiners or the subject matter of the policy questions. That these problems (ts'e) were the primary criteria used in determining the rank of the candidate in the final lists is documented in several places. Cf. SS, 295/19; SHY:HC, 5/7b-8a.

117 Ch'uan-ching, Ting, Sung Jen Yi-shih Hui-pien (Shanghai, 1935), p. 173Google Scholar; Kuang, Ssu-ma, Sou-shui chi-wen (Taipei: World Book Co., 1962), chüan 3, p. 26Google Scholar.

118 This was partially provided for by early legislation. Cf. HCP, 21/3b. According to Kracke, p. 87, 91, “By 993, it wss ruled that no official could serve as administrator or vice-administrator of a prefecture who had not first gained experience in the lower ranks of local government.” And, the difference in the initial appointment of new examination graduates was not great. “New men in general received posts of the lowest civil service grade, prefectural inspector or, subprefectural registrar or sherif.” The evidence gathered in the course of this study demonstrates that this was just not true in practice. Twelve of the Financial Commissioners investigated for this article received initial appointments as Vice Administrator of prefectures (T'ung-p'an) upon successful completion of the chin-shih exam: Hsü Hsiu-fu, 977 (Li Ch'ih, 2/5a; SS, 276/15a); Li Ch'ang-ling, 978 (SS, 287/10a), Tung Yen, 978 (SS, 307/7a); Hsüeh Ying, n.d. (SS, 305/11b), Ting Wei, 992 (SS, 283/8a-8b; STPL, 3/23b); Li Tzu, 1005 (SS, 292/1a-1b; LPC, 10/9a); Ts'ai Ch'i, 1015 (Li Ch'ih, 3/5b; Fan Chung-yen, chüan 12; Ouyang Hsiu, Ou-yang Wen-chung Kung-chi [Kuohsüeh Chi-pen Ts'ung-shu ed. Hereafter cited as KHCPTS], “Chü-shih-chi,” chüan 38 [ts'e 5, p. 22]); Wang Yao-ch'en, 1027 (Liu Pin, Kung-shih Chi [KHCPTS], chüan 51, p. 609; Ou-yang Hsiu, chüan 32 [ts'e 4, p. 62]; Li Ch'ih, 4/8b; SS, 292/19b; HCP, 105/5a); Han Ch'i, 1027 (Han Ch'i, Han Wei-kung Chi [KHCPTS], “Chia-chuan,” chüan 10, p. 154); Wang Kung-ch'en, 1030 (Liu Pin, chüan 51, p. 613; SS, 318/73; Li Ch'ih, 4/8b); Yang Ch's, 1034 (SS, 295/26a; LPC, 14/17b); and Han Chiang, n.d. (SS, 315/5b; TTSL, 58/2b; Han Yüan-chi, T'ung-yin hua-chiu [Hsüeh-hai-lei-pien ed.], 3b). Of the eight for whom information on rank is available, three were no. 1 (Ts'ai Ch'i, Wang Yao-ch'en and Wang Kung-ch'en), one was no. 2 (Han Ch'i), two were no. 3 (Li Tzu and Han Chiang), one was no. 4 (Ting Wei), and Yang Ch'a was in the first class. Five others (Chang Yung(2), Liang Ting, K'ou Chun, Pao Ch'eng, and Chang Ch'un) received initial assignments as subprefects. At least three of them passed the chin-shih exam with distinction. For other sources on relation of position on exam list to first appointment, see below, “Notes on Financial Careers,” pp. 310–314.

119 Kracke, pp. 87–90.

120 See Table II.

121 Sources cited below, “Notes on Financial Careers,” pp. 310–314.

122 Kracke, E. A. Jr., “Family vs. Merit in Chinese Civil Service Examinations under the Empire,” Harvard journal of Asiatic Studies 10 (1943), pp. 110, 113Google Scholar.

123 These questions are analyzed in Robert Hartwell, “Historical-Analogism. …”

124 Yüan Chieh, Yüan Tz'u-shan Chi (KHCPTS), chüan 9, pp. 140–141.

125 Chou Pi-ta, Lu-ling Chou l-kuo Wen-chung Kung Chi (Ch'ing ed.), “Yü-t'ang lei-k'ao,” 20/4b-6a.

126 Su Shih, “Hsü-chi,” chüan 9, pp. 271–273. For date, Ibid., “Nien-p'u,” p. 13.

127 Wei Hsiang, Wei Hsien-sheng Chi (Ch'ing ed.), 17/40b-42a.

128 Su Che, Luan-ch'eng Chi (SPPY), 20/10a.

129 Po Chü-i, Po Shih Ch'ang-ch'ing Chi (SPTK), 46/5a.

130 This is evident from even a casual survey of edicts of appointment preserved in the collected papers of Sung drafting officials. E.g., Wang Anshih, chüan 51–52, pp. 535–563.

131 Kracke, Civil Service …, pp. 43–44.

132 HCP, 128/12a-12b.

133 Kracke, Civil Service …, pp. 43–44.

134 Hou Chih (YL, 12307/58, 7a); Ch'eng Lin (Ou-yang Hsiu, chüan 21 [ts'e 3, p. 62], chüan 30 [ts'e 4, p. 47]); Hu Tse (Fan Chung-yen, chüan 12; HCP, 106/22a); Li Ch'ang-ling (SS, 287/10b-11a); Hsüeh Ying (HCP, 48/10b-11a; SS, 305/12a; Sung Hui-yao Chi-kao [Shanghai, 1936], “Chih-kuan,” 23/5b. Hereafter cited as SHY:CK); Ting Wei (SS, 283/9a); Wang Po-wen (SS, 291/18b); Chang Yao-tso (SS, 463/22b HCP, 164/3a); Ts'ai Hsiang (Ou-yang Hsiu, chüan 35 [ts'e 4, p. 92]; and Tseng Pu (HCP, 227/6a, 228/13a-13b).

135 Liang Hao (SS, 296/7a; HCP, 55/4a-4b); Yeh Ch'ing-ch'en (SS, 295/20a); Ts'ai Ch'i (Fan Chung-yen, chüan 12; Ou-yang Hsiu, chüan 38 [ts'e 5, p. 23]); Wang Yao-ch'en (Liu Pin, chüan 51. p. 610; Ou-yang Hsiu, chüan 32 [ts'e 4, p. 62]); and Wang Kung-ch'en (Liu Pin, chüan 51, p. 614).

136 The documentation for this statement is provided by the sources cited in “Notes on Financial Careers,” below, pp. 310–314.

137 HCP, 30/34a; SHY:CK, 5/25a. This function was handled by other offices as early as 974–5 (SHY:CK, 5/25a) and 982 (SHY:CK, 59/3a-3b). See also, HCP, 90/9b.

138 SHY:CK, 59/7a-7b.

139 HCP, 45/10b; Sung Hui-yao Chi-kao (Shanghai, 1936), “Shih-huo,”Google Scholar 49/1a. Hereafter cited as SHY:SH.

140 According to Kracke, p. 88, “It is noteworthy that among the factors affecting sequence of office, that of specialization was generally absent.” The evidence presented in this article clearly demonstrates that this was not true of the financial administration. See also, HCP, 23/11b, 33/1a, 34/7b, 43/5b-6a, 96/10a-10b, 131/9b.

141 HCP, 96/10a-10b.

142 HCP, 94/7a; SS, 284/8a-9b, 298/9b-10b), 16b-18b, 310/16b-18b, 311/8a-9b.

143 HCP, 140/8a.

144 SHY:CK, 5/24a, 33a, 38b, 59/4b.

145 HCP, 256/13b.

146 SS, 303/1a.

147 YL, 12399/7b.

148 HCP, 141/2b.

149 HCP, 44/14a, 118/2a; YL, 12399/10a.

150 HCP, 171/16a-16b.

151 HCP, 187/15a-15b.

152 HCP, 141/2b.

153 HCP, 164/11a.

154 HCP, 61/12a-12b; SS, 306/19a-22a.

155 SS, 306/19a-22a.

156 HCP, 87/8b-9a.

157 SS, 306/19a-22a.

158 SS, 277/15b.

159 SHY:CK, 60/17a-18a.

160 HCP, 48/15b-16a.

161 HCP, 56/6b-7a; SHY:CK, 60/17a-17b.

162 SHY:CK, 60/16a-17a.

163 SS, 277/20a, 27b-28a, 298/12a-12b, 299/18a-19b, 24a, 300/10b-12a, 303/1a-2b, 16b-17b; Liu Fang, P'eng-ch'eng Chi (KHCPTS), chüan 36, pp. 483–485; Yin Chu, Ho-nan Hsien-sheng Wen-chi (SPTK), chüan 16; and sources on the careers of Finance Commissioners cited below, “Notes on Financial Careers,” pp. 310–314.

164 SS, 301/4a; HCP, 44/14a.

165 Hartwell, Robert, “Markets, Technology, and the Structure of Enterprise in the Development of the Eleventh-Century Chinese Iron and Steel Industry,” The Journal of Economic History, XXVI (March 1966), pp. 44–58Google Scholar; Hartwell, Robert, “A Cycle of Economic Change in Imperial China,” Journal of the Economic and Social History of the Orient, X (1967), pp. 114–115Google Scholar.

166 HCP, 44/14a; Wu T'ing-hsieh, Pei-Sung Ching-fu nien-piao (Erh-shih-wu shih p'u-pien ed.), p. 23.

167 HCP, 71/4a.

168 HCP, 71/14a, 73/22a.

169 SS, 301/4a.

170 HCP, 85/10b.

171 Weber, Max, General Economic History (New York: Collier Books, 1961), pp. 249–258Google Scholar.

172 Cf. Friedman, Milton and Savage, L. J., “The Utility Analysis of Choices Involving Risk,” in Stigler, George J. and Boulding, Kenneth E. (eds.), Readings in Price Theory (Chicago: Richard D. Irwin, Inc., 1952), pp. 57–96Google Scholar.

173 Weber, pp. 249–258.

174 The precocity of the Sung economy has been studied in its variety of aspects. E.g., Balazs, Etienne, “The Birth of Capitalism in China,” in Chinese Civilization and Bureaucracy (New Haven: Yale University Press, 1964), pp. 34–54Google Scholar; Hartwell, Robert, “A Revolution in the Chinese Iron and Coal Industries during the Northern Sung, 960–1126 a.d.,” Journal of Asian Studies XXI (Feb. 1962), pp. 153–162CrossRefGoogle Scholar; Han-sheng, Ch'üan, “T'ang Sung Cheng-fu Sui-ju yü Huo-pi Ching-chi ti Kuan-hsi,” Chung-yang Yen-chiu Yüan, Li-shih Yü-yen Yen-chiu So Chi-k'an, XX (1948), pp. 189–221Google Scholar; Ch'üan Han-sheng, “Pei-Sung Pien-liang ti Shu Ch'u-ju Huo-yi,” ibid., VIII (1939), pp. 189–301; Shih-ch'eng, Shu, “Lun Pei-Sung Shih Tzu-pen-chu-i kuan-hsi ti ch'an-sheng,” Shih-hsüeh chi-k'an (July, 1956), pp. 49–64Google Scholar; Yoshinobu, Shiba, Sō-dai shōgyō-shi kenkyū (Tokyo, 1968)Google Scholar; Tomi, Saeki, “So-dai ni okeru Myo-fan no sembai seido,” in Chūgoku-shi kenkyū (Kyoto, 1969), pp. 421–457Google Scholar.