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State-Induced Migration and the Creation of State Spaces in Early Chinese Empires: Perspectives from History and Archaeology

Published online by Cambridge University Press:  11 December 2020

Maxim Korolkov  and
Anke Hein Open the ORCID record for Anke Hein [Opens in a new window]
Maxim Korolkov
Affiliation:
University of Heidelberg, Germany
Anke Hein*
Affiliation:
University of Oxford, UK
*
Corresponding author Email: anke.hein@arch.ox.ac.uk
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Abstract

In ancient China, as elsewhere, states did not simply occupy a given territory but actively engaged in the production of space by transforming landscapes, moving populations, and enacting territorial hierarchies, thus creating “state spaces,” to borrow a term coined by James C. Scott. In the case of the early Chinese empires of Qin (221–207 BCE) and Han (202 BCE–220 CE), state-induced migration and settlement were key instruments of military control, administrative incorporation, economic intensification, and other processes connected with spatial distribution of state power. This article combines insights from transmitted texts, excavated documents, and archaeological evidence to explore factors and effects of migration in early Chinese empires, discussing the interconnection between state-organized resettlement and private migration as well as their embeddedness in the local geography. As the situation varies according to location, the present article introduces the approach and tests it on a case study, the Guanzhong metropolitan region.

Keywords

migrationsettlementgeographystate spaceseconomyQin and Han Empires
Type
Early Imperial and Early Medieval China
Information
Journal of Chinese History 中國歷史學刊 , Volume 5 , Special Issue 2: The State and Migration in Chinese History , July 2021 , pp. 203 - 225
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Copyright
Copyright © The Author(s), 2020. Published by Cambridge University Press

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Footnotes

The authors would like to express their sincere thanks to Anthony Barbieri-Low and Patricia Ebrey for organizing and inviting us to the “Migration and the State in Chinese History” and rescheduling and re-organizing everything in the middle of the Covid-19 outbreak. We would also like to thank the other conference participants for their comments and questions, which helped us improve this paper. We are also grateful to the anonymous reviewers for their constructive criticism and suggestions. All errors that remain are ours.

References

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36 Xianyangshi Wenwu Kaogu Yanjiusuo 咸阳市文物考古研究所, Ta'erpo Qin mu 塔爾破秦墓 (Xi'an: San Qin, 1998).

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38 For the example of Dianzi 店子, see Teng Mingyu, “Dianzi mudi de xingcheng yu fazhan ji xiangguan wenti taolun” 店子墓地的形成与發展及相關問題討論, Kaogu yu wenwu suppl. (2002), 286–98.

39 Teng Mingyu, “From Vassal State to Empire,” 90–92.

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45 Zhao Huacheng, “New Explorations of Early Qin Culture,” in Birth of an Empire, 53–70.

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49 Shaanxisheng Kaogu Yanjiusuo 陝西省考古研究所, Qin du Xianyang kaogu baogao 秦都咸陽考古報告 (Beijing: Kexue, 2004).

50 Ge Jianxiong, Xi Han renkou dili 西漢人口地理 (Beijing: Xinhua, 1986).

51 Shiji, 6.239.

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53 Xu Weimin 徐衛民, “Qin Han xingtu mu dingming shangque” 秦漢刑徒墓定名商榷, Xibu kaogu 1 (2019), 138–42.

54 Xu, Zhi, Zhang, Fan, Xu, Bosong, Tan, Jingze, Li, Shilin, Li, Chunxiang, Zhou, Hui, Zhu, Hong, Zhang, Jun, Duan, Qingbo, and Jin, Li, “Mitochondrial DNA Evidence for a Diversified Origin of Workers Building Mausoleum for First Emperor of China,” PLOS ONE 3.10 (2008), 1–7CrossRefGoogle ScholarPubMed.

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57 See Brian Lander, “Birds and Beasts Were Many: The Ecology and Climate of the Guanzhong Basin in the Pre-Imperial Period,” forthcoming in Early China 43 (2020).

58 Duan Chang-Qun, Gan Xue-Chun, Jeanny Wang, and Paul K. Chien, “Relocation of Civilization Centers in Ancient China: Environmental Factors,” Ambio 27.7 (1998), 572–75.

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60 Yijie Zhuang and Tristram R. Kidder, “Archaeology of the Anthropocene in the Yellow River Region, China, 8000–2000 cal. BP.,” The Holocene 24.11 (2014), 1602–23.

61 Qing Pei, Harry F. Lee, and David D. Zhang, “Long-Term Association between Climate Change and Agriculturalists’ Migration in Historical China,” The Holocene 28.2 (2018), 208–16.

62 Qing Pei, David D. Zhang, and Harry F. Lee, “Contextualizing Human Migration in Different Agro-Ecological Zones in Ancient China,” Quaternary International 426 (2016), 65–74.

63 Shiji, 6.239.

64 Chunqiu fanlu yizheng 春秋繁露義證, edited by Su Yu 蘇輿 (Beijing: Zhonghua, 1992), 8.240.

65 Hanshu, 28A.1543–48.

66 Shiji, 6.239.

67 A document from the collection of looted Qin manuscripts acquired by Peking University contains a detailed description of a route for grain shipment from the Middle Yangzi basin (present-day Hubei province) to the imperial granaries in the Luoyang area that served to supply the Qin capital. The text is dated from the imperial Qin period. For a discussion, see, for example, Xin Deyong 辛德勇, “Beijing Daxue cang Qin shui licheng jiance chubu yanjiu” 北京大學藏秦水陸里程簡策初步研究, Chutu wenxian 4 (2013), 177–279.

68 For a discussion and source references, see Ge Jianxiong et al., Jianming Zhongguo yimin shi, 61; Jia Junxia 賈俊俠, “Qin Han shiqi Qi Lu guizu qianxi Guanzhong kaoshu” 秦漢時期齊魯貴族遷徙關中考述, Shaanxi Shifan Daxue xuebao (zhexue shehui kexue ban) 陝西師範大學學報（哲學社會科學版） 1 (2012), 39–44.

69 Michael Loewe, “The Tombs Built for Han Chengdi,” 213–14.

70 Yuelu shuyuan cang Qin jian 岳麓書院藏秦簡, vol. 4, edited by Chen Songchang 陳松長 (Shanghai: Shanghai cishu, 2015), 145–46, slips 232–36. See also Shuihudi Qin mu zhujian, 155–56, slips 46–49; Hulsewé, Remnants of Ch'in Law, 195–96.

71 Shiji, 99.2715, comm. 2; Wang Liqi 王利器, ed. and comm., Yantielun jiaozhu 鹽鐵論校注 (Beijing: Zhonghua Shuju, 1992), 4.241.

72 Zhao Chongliang 趙寵亮, “Qin Han shuzu fubian wenti chutan” 秦漢戍卒赴邊問題初探, in Feiling guanglu: Zhongguo gudai jiaotong shi lunji 飛軨廣路：中國古代交通史論集, edited by Zeng Lei 曾磊, Sun Wenbo 孫聞博, Xu Chang 徐暢, and Li Lanfang 李蘭芳 (Beijing: Zhongguo Shehui Kexueyuan, 2015), 136–56.

73 Yang Jian 楊建, Xi Han chuqi jinguan zhidu yanjiu 西漢初期津關制度研究 (Shanghai: Shanghai Guji, 2010), 116–21.

74 This is suggested by the comparison with a better documented resettlement of a large group of Kaifeng 開封 residents to Yanjing 燕京 about 650 kilometers to the north, after the Northern Song capital was sacked by the Jurchen at the beginning of 1127 CE. It took them two months to reach the destination, suggesting a travel speed of 10–11 kilometers per day. See Patricia Ebrey, “State-Forced Relocations in China, 900–1300,” in State Power in China, 900–1325, edited by Patricia Ebrey and Paul Smith (Seattle: University of Washington Press, 2016), 307–40, esp. 323.

75 For the rations of traveling officials, see Shuihudi Qin mu zhujian, 60, slips 180–82. For the convict rations, see Shuihudi Qin mu zhujian, 33–34, slips 55–56.

76 Yinwan Han mu jiandu, 78.

77 Walter Scheidel, “State Revenue and Expenditure in the Han and Roman Empires,” in State Power in Ancient China and Rome, edited by Walter Scheidel (Oxford: Oxford University Press, 2015), 150–80.

78 The reliability of these numbers is a problem that the historians of Early China have been grappling with for many decades. For a recent discussion, particularly with regard to migrant numbers, see Barbieri-Low, “Coerced Migration and Resettlement in the Qin Imperial Expansion,” 6–7. Derk Bodde believes that the Shiji number of aristocratic households resettled in 221 BCE, 120,000, was possibly “selected as a multiple of 6, the number that the Ch'in government allegedly decided to emphasize in 221 as part of its cult of the element of water and its correlates.” See Bodde, “The State and Empire of Ch'in,” in The Cambridge History of China, vol. 1: The Ch'in and Han Empires, edited by Denis Twitchett and Michael Loewe (Cambridge: Cambridge University Press, 1986), 101. In this case, the possibly exaggerated number of households is counterbalanced by the fact that “the aristocratic families … would have been considerably larger than the average peasant family of five.” All in all, the 221 BCE event almost certainly represented a resettlement of an extraordinary scale. We suspect that the two slightly smaller though still substantial resettlements of 212 BCE, which are reported to have jointly involved 80,000 households (see Appendix), were the follow-up adjustments designed to relieve the capital of overpopulation. In view of this latter number, the 221 BCE migration may have involved well over 100,000 households.

79 Hanshu, 1A.46.

80 Richard Von Glahn, The Economic History of China from Antiquity to the Nineteenth Century (Cambridge: Cambridge University Press, 2016), 113–20.

81 Any calculations, particularly for the Qin and the beginning of the Han period, are by necessity somewhat speculative, considering the virtual absence of numerical evidence. They are meant to provide the sense of the order of magnitude rather than accurate numbers. According to Walter Scheidel's analysis of Donghai Commandery statistics, the in-kind grain revenue constituted about 11 percent of the government's income, the rest being represented by monetary payments, see Scheidel, “State Revenue and Expenditure,” 151–52. This ratio was certainly much more in favor of in-kind revenues in the late third and early second century BCE. The total amount of central government's income was also much smaller. In the absence of any budgetary figures akin to those of the Yinwan documents, the only possible proxy are the population numbers. One detailed study assesses the empire's population at the beginning of the Western Han period as 13 million people, or about 20 percent of the late Western Han number. See Shang Xinli 尚新麗, “Xi Han renkou yanjiu” 西漢人口研究 (PhD diss., Zhengzhou University, 2003), 13–17. More than half of this population was living in the eastern part of the empire, which was divided into regional princedoms largely autonomous from the central government, including their finances. The taxable population available to the imperial authorities at the beginning of the Western Han period was therefore about 10 percent of that at the times of the Donghai Commandery records. Newly published excavated documents suggest that the Qin Empire equally failed to establish an efficient centralized control over most of the territories conquered during the final decade of the Warring States era, which roughly coincided with the territories of the early Han princedoms. For a discussion, see Korolkov, “Empire-Building and Market-Making at the Qin Frontier,” 183–97.

82 Hanshu, 24B.1162.

83 Hanshu, 6.170.

84 Hanshu, 6.178.

85 Hanshu, 46.2197–98.

86 For a discussion of Western Han mausoleum towns as a state-sponsored instrument for the economic development of capital region, see S.V. Dmitriev, “Imperatorskii mavzolei epokhi Zapadnaya Khan’ (206 g. do n.e.–9 g. n.e.): nekotoriye soobrazheniya,” Kratkiye soobsheniya Instituta Archeologii 229 (2013), 57–70.

87 Hanshu 28A.1543–1548. For a map consult Mark Lewis, The Early Chinese Empires: Qin and Han (Cambridge, MA: Harvard University Press, 2007), 96.

88 These counties are Baling 霸陵 (Emperor Wen, r. 180–157 BCE), Nanling 南陵 (Emperor Wen's mother), Duling 杜陵 (Emperor Xuan, r. 74–49 BCE), Yunling 雲陵 (Emperor Zhao's mother), Yangling 陽陵 (Emperor Jing, r. 157–141 BCE), Anling 安陵 (Emperor Hui, r. 195–188 BCE), and Pingling 平陵 (Emperor Zhao, r. 87–74 BCE).

89 Ge Jianxiong et al., Jianming Zhongguo yimin shi, 66.

90 See Loewe, “The Tombs Built for Han Chengdi,” 213, who considers the population numbers in the Hanshu (see the next footnote) as referring to “registered population of large urban areas.”

91 A typical entry for a commandery-level administrative unit looks the following way: “commandery name + commandery population in 2 CE + number of counties + list of counties.” Hanshu, 28A.1543–604; 28B.1609–39.

92 Yang Wuzhan 楊武站 and Wang Dong 王東, “Xi Han lingyi yingjian xiangguan wenti yanjiu” 西漢陵邑營建問題研究, Wenbo 6 (2014), 39–43.

93 Chen Bo 陳博, Cong zhongxin dao bianjiang: Han diguo chengshi yu chengshi tixi de kaoguxue yanjiu 從中心到邊疆——漢帝國城市與城市體系的考古學研究 (Beijing: Kexue Chubanshe, 2016), 136–37.

94 Ge Jianxiong et al., Jianming Zhongguo yimin shi, 60.

95 Scheidel, Walter, “Human Mobility in Roman Italy, I: The Free Population,” The Journal of Roman Studies 94 (2004), 1–26CrossRefGoogle Scholar, esp. 15–17.

96 Hanshu 28A.1543–48. See also Loewe, “The Tombs Built for Han Chengdi,” 213.

97 For the suggestion that 5,000 households represented a typical settler party to the mausoleum towns during the Western Han period, see Jia Junxia, “Qin Han shiqi Qi Lu guizu qianxi Guanzhong kaoshu,” 41.

98 Yang Wuzhan and Wang Dong, “Xi Han lingyi yingjian xiangguan wenti yanjiu,” 42.

99 Michael Nylan, “Supplying the Capital with Water and Food,” in Chang'an 26 BCE, 99–130, esp. 109–10.

100 The Hanshu records that 28 billion cash were issued by the central mints during this period, or approximately 230 million per year (Hanshu, 24B.1177).

101 Yamada Katsuyoshi 山田勝芳, Shin Kan zaisei shūnyū no kenkyū 秦漢財政収入の研究 (Tokyo: Kyūko shoin, 1993), 653–58; Von Glahn, The Economic History of China, 117.

102 Lewis, The Early Chinese Empires, 95–96.

103 See, for example, Shiji, 101.2737, 102.2757, 103.2763.

104 The same argument was made for late republican and imperial Rome; see Scheidel, “Human Mobility in Roman Italy, I: The Free Population,” 21–24.

105 For a discussion of the significance of various imperial policies as the mechanisms for communicating information to and promoting cooperation among the subjects, see Sanft, Charles, Communication and Cooperation in Early China: Publicizing the Qin Dynasty (Albany: State University of New York Press, 2014)Google Scholar.

106 Scott, The Art of Not Being Governed, 64–97.

107 See Gideon Shelach, “Collapse or Transformation,” in Birth of an Empire, 113–38.

108 Discussed in detail in Wu, Xiaotong, Hein, Anke, Zhang, Xingxiang, Jin, Zhengyao, Wei, Dong, Huang, Fang, and Yin, Xijie, “Resettlement Strategies and Han Imperial Expansion into Southwest China: A Multimethod Approach to Colonialism and Migration,” Archaeological and Anthropological Sciences 11.12 (2019), 6751–81CrossRefGoogle Scholar.

109 See, for example, Yoffee, Norman, Myths of the Archaic State: Evolution of the Earliest Cities, States, and Civilizations (Cambridge: Cambridge University Press, 2004), 131–60Google Scholar; and Scott, James C., Against the Grain: A Deep History of the Earliest States (New Haven: Yale University Press, 2017), 183–218CrossRefGoogle Scholar.