The memorial text with full translation

Note on the text: The text is a transcription of the facsimile reproduction of the manuscript copy from the imperial archive in Qinggong Lin Zexu dang'an huibian, vol. 10, 97-117. This text diverges in a few characters from the version in Lin Wenzhong gong zhengshu 林文忠公政書, Huangchao jingshiwen tongbian 皇朝經世文統編 and WanQing wenxuan 晚清文選 (Lin Zexu 2002, Shao Zhitang 1901, Zheng Zhenduo 1937). I have used the subdivision into paragraphs of WanQing wenxuan 晚清文選, and the interpunctuation of Lin Zexu quanji 2002, part Zouzhe 奏折, vol. 4, 493-500. I have added one subdivision in the twelfth paragraph of WanQing wenxuan. This results in a total of 27 paragraphs. For quick reference, the paragraph numbers are added.

查勘礦廠情形試行開採疏

Inspection of the Situation in the Mines and Trial Implementation of Exploitation Development

1

竊准部咨，奉上諭，前因戶部奏籌備庫款一摺，當派宗人府、大學士、軍機大臣會同妥議具奏。茲據另議章程五條，無非就自然之利，斟酌損益。惟在該督撫等，各就地方情形，熟商妥議，立定章程，具奏等因。欽此。臣等跪誦再三，仰見聖主裕國足民，利用厚生之至意。

複查新定章程五條，內如河工漕務，本為滇省所無，鹽務則向有定章，並無懸引墮課，自應遵旨，無庸更易。至錢糧年清年款各稅，盡收盡解，均無蒂欠。除將應造清冊、飭屬依限、據實造報、聽候稽查、以昭劃一外，計滇省所應辦者，首在開採一事。敢不詳慎籌維。

From ministerial communications and imperial edicts, which we humbly perused and received, we learnt of the palace memorial by the Ministry of Finance on the preparation of treasury holdings, upon which the Imperial Clan Court, The Grand Secretariat and the Grand Council held consultation and jointly memorialized. Hereupon five statutes have been proposed, which all concern benefits derived from natural resources, measuring their detrimental and beneficial effects. Now, the provincial governors, in accordance with the situation in their localities, following thorough consultation and counsel, have set up further statutes, which all have been reported in joint memorials. In awe we praise our emperor who takes his intentions of enriching our state and ensuring the daily needs of our people, of making use of benefits to better their well-being to the fullest.

We have repeatedly studied the new five statutes: Among them are matters, such as the state grain transport system, that do not apply to Yunnan, the salt gabelle with long-established statutes and no issues of above-quota salt tickets or lost tax revenues that has observed all command and requires no change. Regarding the land and poll tax, as well as the annual clearance of accounts, all is handled by “full collection, full remittance,” with no arrears. Beyond the supervision of account-keeping, the observation of deadlines, truthful reporting, and unified procedures, of all matters that Yunnan ought to undertake, mining is of paramount importance. We would not dare to allow the slightest negligence here.
2

複思有土有財，貨原惡其棄於地，因利而利，富仍使之藏於民。果能經理得宜，自可推行無弊。考之《周禮》丱人，掌金玉錫石之地。注云：丱之言礦也。其曰為之厲禁以守者，為未經開採言之也。曰以時取之， 物其地圖 而授之，巡其禁令[1]。此即明言開採之法，為後世所仿而行焉者也。

We have repeatedly pondered matters of earth and wealth, that commercial products resent being left idle in the land, whereas by profiting from these benefits, the wealth is still stored among the people. Indeed, when managed well, expanding these [benefits] without ill effects is possible. Consulting the Zhouli, [it defines] ‘kuangren: [the official] in charge of land of metals, jade, and tinstone.’ The commentary explains “kuang” as “ore”. Thus, where [the classic] says ‘protect it by strict access ban,’ this refers to unexploited ore [deposits]. [The classic further] says that ‘it is to be extracted in timely manner, so that material that in the soil is desired may be obtained, subsequently [resuming] bans and orders.’ Thus it elucidates the method for mining exploitation for later ages to emulate and follow.
3 以時雲者，注疏但釋其大意。今以臣等在滇所訪聞者証之，似指冬春水涸之時而言。蓋金為水母，五金所產之硐，皆須 戽水 而後取礦。故辦銅例有 水洩之費 。銀礦亦然。夏秋 𥕢硐 多水，宣洩倍難，往往停歇。若水過多而無處可洩，則美礦被淹，亦成廢硐。乃悟以時二字，古人固早見及此也。 Commentaries on timeliness only explain the general meaning. Now our inquiries in Yunnan found further evidence: It appears to refer to the dry season during winter and spring. This presumably is because metal is the mother of water, and therefore caves that produce the five metals invariable require lifting water before ore can be extracted. For this reason, copper workings customarily levy drainage fees, as do silver mines. When workings suffer from excessive water during summer and autumn, draining them becomes highly difficult, and in many cases interrupting operation. When there is too much water and nowhere to drain it to, rich ore is drowned and workings will be abandoned. We thus had the revelation that by “timely” the ancients recognized these conditions long ago.
4 物其地圖云者，亦如今之 覓礦 ，先求山形豐厚，地脈堅結， 草皮 旺盛， 引苗 透露，乃可冀其成廠。滇中諺云： 一山有礦，千山有引 。引之初見者，曰 子檈 。漸而得有 正檈 ，乃可進山獲礦。礦形成片者謂之 刷 ，𥕢硐寬廣者謂之 堂 。由成刷而成堂，始為旺廠。若土石夾雜，則謂之 松塃 ，旋開旋廢，易虧工本。甚至下開上壓，滇諺謂之 蓋被 ，則非徒無益矣。故認勘必須詳細。所謂物其地圖者，正以此耳。 The meaning of the phrase “material that in the soil is desired may be obtained” is just like present-day prospecting for ore: This begins with searching for full-bodied mountains with strong earth veins and lush turf, where veins protrude; at such a site a mine may be developed. A saying in Yunnan goes “one mountain with ore, a thousand with veins.” The veins first discovered are called “baby seams”. Those that lead on are called “regular seams,” where entering the mountain to extract the ore becomes worthwhile. Orebodies in the shape of sheets are called “swipe,” when workings widen out they are called “halls.” Only these will make [a mine] prosperous. Mixed soil and rock is called “loose gangue,” causing frequent interruption and easily leading to costs exceeding returns. Even worse, is an opening below and pressure from above, colloquially called “under the bedcovers” in Yunnan, as in this situation no effort will lead to benefits. For these reasons, surveying has to be undertaken with great care. This precisely is meant by “material that in the soil is desired may be obtained.”
5 巡其禁令云者，誠以開採人多，須有彈治之法。如今之廠內，各設 課長 、 客長 、 硐長 、 爐頭 、 欀頭 、 鍋頭 ，皆所以約束 𥕢戶 、 尖戶 、及 爐丁 ， 砂丁 之類。又須多派書差巡練，以杜偷匿漏課。並禁奪底爭尖。此皆巡其禁令之遺意。是開礦之舉，不獨歷代具有成法，而《周禮》早已明著為經。況滇省跬步皆山，本無封禁。而小民趨利若鶩，礦旺則不招自來，礦竭亦不驅自去。斷無盤踞廢硐，甘心虧本之理。其謂人眾難散，非真知礦廠情形者也。 The “bans and orders” undoubtedly address the large numbers of people in a mine that require apt policing. In the mines nowadays, they set up tax master, guest master, mine master, furnace master, timbering master, and pot boss, who are all in charge of restraining the masses of ditch and adit households, the furnace workers and miners. In addition, many clerks, runners, police- and militiamen have to be sent in to prevent theft and tax evasion, as well as to suppress fights over [claim] bottoms and adits. All these measures are implied in the bans and orders. Thus, the activity of mining not only has been regulated in regulations through the dynasties, but find classic elucidation already in the Zhouli. Regarding Yunnan, we must add that mountains are everywhere, and therefore mining bans did not exist. The simple people follow profit as ducks, where ore is abundant they will come unrequested, when it is exhausted the will leave without being driven away. Nothing will convince them to stay put at an abandoned mine or to put up with sunk investment. Those who descry the difficulty of dispersing people once they have congregated do not truly understand the situation in mines and smelters.
6 滇人生計維艱，除耕種外，開採是其所習。近年因銅斤產薄，唯恐京運不敷。但有能 覓子廠 之人， 廠員 無不亟令 試採 。若輩行山望氣，日以為常。於地力之衰旺盈虛，大都能知梗概。見有可圖之利，或以 紅單 [2] 而報苗引， 或以僉呈[3] 而請 山牌 [4] 。當其 朋集鳩貲 ，人人有所希冀。要之 人事居其半，天事亦居其半 。據本地人所言，開而能成，成而能久者，向實不可多得。 The people of Yunnan have a hard time making a living; apart from farming, mining is their customary occupation. Lately, copper outputs have decreased, to the point that it is to be feared that [the province] may fail fulfilling the annual copper quota for the metropolitan mints. Mining officials order all men who have the skills to find branch mines to undertake trial exploitation. These men are habituated to walking in the mountains and looking for signs, having knowledge of the fluctuations in the earth’s powers. When they find a spot where profit might be obtained, they either report a vein by red note or send a request for a mining permit. Once a partnership is assembled and brought funds together, all start out with high hopes. Man’s doing is half of the matter, yet heaven is the other. As locals say, opening a mine does not mean successful mining, and successful mining that lasts is rare indeed.
7 然第就目前而論，如其地可聚千人者，必有能活千人之利。聚至數百人者，亦必有能活數百人之利。無利之處，人乃裹足。故凡各屬礦廠衰旺興閉，地方官皆不能隱瞞。惟設法經理之人，能使已閉複興，轉衰為旺者，實難其選耳。 Nevertheless, from present-day conditions we can conclude that where one-thousand men congregate, the profits must be sufficient to feed this number; and where several hundred congregate, profits must be sufficient to feed this number. Without profits, people will not proceed. For this reason, local officials cannot conceal booms and closures of mines in their jurisdiction. All they can do is to set up persons to manage them. Yet installing a manager who is capable of reviving a failing mine is difficult indeed.
8 案查嘉慶十六年間，戶部議覆：雲南銀廠十六處，抽收課稅，以二萬六千五百五十兩零，為每年總額。准以此廠之有餘，補彼廠之不足。不必分廠核算。務期總額無虧。如收不足數，著落分賠。遇有盈餘，盡數報解。迨嘉慶十九年白沙一廠衰竭封閉，奉旨開除。此後定有課額者，共止十五廠。年應抽解課銀二萬四千一百一十四兩零[5]， 載在戶部則例。 According consulted records, in 1811 the Ministry of Finance confirmed a proposal according to which Yunnan had 16 silver mines that fulfilled a total annual tax quota of 26,550 liang, permitting [the province] to use above-quota tax revenues obtained from one mine to compensate shortfalls of another, not requesting separate reporting for each mine, but to aim at fulfilling the aggregate quota. If failing to do this, compensatory payments had to be distributed. In the event of a surplus, the full sum was to be reported and remitted. In 1813, Baisha was exhausted and closed, with permission to strike them off [the tax register]. The annual total for the remaining 15 mines of 24,114 liang is recorded in the “Regulations of the Finance Ministry.”
9 其奏准盡收盡解之廠，則例所載，只有角麟、太和、悉宜、白羊四處。嗣又據續報永北廳之東升廠、東川府之共山廠共山廠、新平縣之白達母廠，此內惟東升一廠，歷年出產較多，所抽課銀，尚可以補各廠之缺。若硔山、白達母二廠，則皆於鉛礦內抽取，殊不濟事。其已定課額之十五廠內，如南安州之石羊、土革，鎮雄州之銅廠坡，會澤縣之金牛，永平縣之三道溝，實皆歷年廢歇。因課額早定，不敢短絀。 According to the Regulations, only four mines received permission for taxation by the principle of ‘full collection - full remittance,’ namely Jiaolin, Taihe, Xiyi and Baiyang. Later registrations are Dongsheng in Yongbei, Hongshan in Dongchuan, and Baidamu in Xinping. Of these, only Dongsheng has been productive for consecutive years, producing tax silver that compensates shortfalls from other mines. Hongshan and Baidamu in fact exploit lead ore and contribute very little. Of the 15 mines that fulfil fixed tax quotas, Shiyang and Tuge in Nan’an, Tongchangpo in Zhenxiong, Jinniu in Huize and Sandagou in Yongping in fact have been abandoned for years. Yet as their quotas have long been laid down, the [local authorities] do not dare not remitting them.
10 或以未成之 子廠 ，先行劃補，或由經管之有司，自行賠解。檢查歷年奏銷冊內，均與開化府、鶴慶州、永北廳之金廠四處，一同按額解課，總數並無虧短。除課金贏餘無多不計外，其報撥課銀節年贏餘，自一二千兩至六七千兩不等。此臣等於未奉諭旨之先，因欲整飭廠務，即已分別查明之實在情形也。 Shortfalls are either covered from not yet established branch mines, or the official charged with administrating the respective mine covers it by his own means. Consulting the accounts through the years, I have found that by including the four gold mines of Kaihua, Heqing and Yongbei with the reported and remitted [silver mining] tax, the total quota could be fulfilled. Beyond a minimal surplus in tax gold, the surplus in tax silver is between 1000-2000 liang to a maximum of 6000-7000 liang per year. This is the situation that we ascertained in the process of reordering mining affairs prior to receiving the above-mentioned edict.
11 茲蒙諭令，於所屬境內，確切查勘，廣為曉諭，酌量開採，自應先於舊廠之外，加意稽查。當飭藩司，遴擇曉事委員，分路訪覓，諭以金銀皆可採取，不必拘定一格。即或有人互爭之地，前因滋事而未准開者，今不妨由官督辦。抑或 草皮單薄 之礦，前恐未成而不敢稟者，今不妨據實報聞。且仰繹訓諭諄諄，不准游移不辦。如果開採之後，弊多利少，亦准奏明停止等因。聖明俯體下情，如此開誠布公，官民更何所用其疑慮乎？ Upon receiving the edict, we have specifically inspected the situation in our jurisdiction, made the imperial order for adequate development of exploitation widely known, including the attention to searching beyond existing mines. The treasurer should be instructed to select knowledgeable officials for commissions to prospecting in the different regions, for both gold and silver, without specific restrictions. In areas where fighting has occurred and mining therefore has been banned, it now ought to be [again] permitted under government supervision. Sites that [local government] did not dare to report because they might consist only of surface ore and not turn out productive now ought to be factually reported. Furthermore, sincerely following imperial guidance, indecision and inactivity will not be tolerated. When following the opening of a mine, ills are found to outweigh benefits, it will be permitted upon reporting to close it down again. As the emperor gazes down on the situation on the ground with such justness, how can officials and commoners have any doubts?
12 況查滇省課金，或以床計，或以票計，例定課額甚微。其課銀章程，本系一五抽收。民間採得十萬兩之銀，納課者僅一萬五千兩。可謂斂從其薄。於民誠有大益。將此明白開導，似民間皆已踊躍倍常。 Besides, the inspection on gold taxation found it to be calculated by either “berths” or “tickets” and quotas to be set very low. Silver taxation statutes define the base rate at 15 [%].Commoners who extract 100,000 liang of silver, submit a tax of merely 15,000 liang, truly minimizing the frugal and truly beneficial to the people. With illuminated guidance, commoners would be highly encouraged.
13 當據委員會同臨安、普洱文武稟稱，查得他郎通判所轄坤勇箐地方，距城九十里，有土山數重，山頂全系碎砂，不能栽種，故無民居。前因土內產有金砂，遂有外來游民，私挖淘洗，致相爭鬥。稟經前督臣委員會同他郎元江廳州前往查逐。該游民各即逃散，遂將該山封閉。但金砂仍不時湧現，挖淘較易，難免游民旋複潛來。如蒙奏明開採，雖豐嗇難以遽定，究足以裨公課而杜私爭。 There is a ranges of earth mountains, the tops of which are covered in loose gravel that cannot be planted and which therefore are uninhabited. Because the soil produces gold sand, vagrants from outside the region began illicit exploitation by washing and flotation, which led to infighting. Upon reporting, the then acting governor in consultation with the officials of Talang and Yuanjiang proceeded there to pursue the matter and to drive off the vagrants, who dispersed promptly. The mountain was thereupon closed to mining. Because gold sand at times still appeared, and digging and washing was comparatively easy, however, preventing the clandestine return of the vagrants is difficult. If permission for exploitation could be granted, while productivity cannot be established with certainty, it will suffice to produce revenue and to prevent outbreaks of fighting.
14 臣等隨複批飭各員親詣該山勘明實在情形。旋據稟覆，山頂寬平，周圍約七八里，掘土尺餘，即見細碎金砂，閃爍耀目。官員到山，游民先已躲避。勘有私硐四口。詢訪附近村人云：挖起金砂，取水屢淘，複以木板為床，竟日搖蕩。一人之力，日可得金幾厘。多亦不出一分。又離該山數里，有名為三股牆及小凹子二處，勘有 草皮 銀礦，微夾金砂。現亦有人偷挖。但未進山成硐等情。臣等當即批准，將此三處試行開採。 I have thereupon ordered the local officials to personally inspect the mountain and clarify the facts. According to their responding report, the flat mountain top covers seven to eight li [in circumference]. About a chi [32 cm] under the surface, fine gold sand is found that glitters and gleams. When the official reached the mountain, the vagrants had dispersed and gone into hiding. They saw four illicit workings. According to statements by villagers in the vicinity, the gold sand is dug up and washed for an entire day in wooden berths. One workman can obtain between a few thousandths to one hundredth of a liang in a day’s work. In addition, several li from this mountain, surface silver ores that also contain traces of gold ore have been discovered at two places called Sanguqiang and Xiao’aozi. Illicit exploiters have started working these sites, but not yet developed workings. We have given permission to undertake trial mining at these three sites.
15 但先前既因私挖，致釀鬥爭。此次官為督辦，亟應選擇殷實良善者，作為頭人。責令招募 砂丁 ，逐層約束。前此偷挖滋事驅逐複來者，亦當訪拿究辦，以示懲儆。且必須先派員弁，多帶兵丁，始足以資彈壓。容臣等斟酌調遣，一俟布置定局，再行縷析奏聞。 However, because of the illicit exploitation that led to fighting before, this time operations have to be under government supervision. It is necessary to select a wealthy and decent person to serve as headman. He will be ordered to hire miners and organize them at several levels for tight control. When those involved in the illicit exploitation come back, they have to be identified, apprehended and publicly punished. Besides, a military official and sufficient numbers of soldiers or militiamen have to be stationed before trial mining begins, with sufficient funding for suppressing violence. We beg for permission to carry out inspections as adequate, to install all necessary arrangements, and to report on them after completion.
16 又據鎮沅直隸同知，暨文山廣通二縣，先後稟稱：前因奉文 廣覓銅廠 ，疊經示諭民人訪尋子廠呈報。嗣有鎮沅廳民羅椊鵬等，報有距城百餘里之興隆山麓，獲銀礦引苗。當令招丁試採。該廳時往履勘。其礦砂忽接忽跳，未能定准。如數月內堪以接採，擬即酌定課程。 Further, the sub-prefect of Zhenyuan reports on the basis of the magistrates of Wenshan and Guangtong that responding to the order to prospect for copper, they instructed commoners to report on discoveries of branch mines. Luo Cuipeng of Zhenyuan and others, reported a silver vein discovered at the foot of Mount Xinglong, over 100 li from the seat. They received the order to hire men and carry out trial mining, under regular inspections by the sub-prefect. The ore at times continues, at time breaks off, so that steady [outputs] cannot be assessed. Once ore extraction becomes continuous for several months, appropriate taxation is to be set.
17 又文山縣民萬雲隴等，以距城一百八十里之白得牛寨地方，出有礦苗。該民等已各出備油米，呈縣開採。經該縣報府委勘，山勢豐厚，惟四圍包欄不甚緊密，所出 草皮 塃礦， 𧶔色 較低。兼以時有時無，不免旋作旋輟。請加察看，可否抽收銀課，盡收盡解。 Furthermore, Wan Yunlong, a commoner of Wenshan county, and others discovered a vein at Baideniu zhai, 180 li from the city. They have already prepared oil and rice and asked the county magistrate for a mining permit. According to the magistrate’s inspection upon the prefect’s orders, the mountain is full-bodied, but the perimeter not well-defined, it produces relatively poor surface ore [mixed with] gangue. It is also present at times and vanishes at others, thus exploitation will be discontinuous. We suggest that further observation is ordered to see whether tax can be collected by “collecting and remitting in full.”
18 又廣通縣民李集之等，以象山地方，距城九十七里，有礦可採，報經該縣，准令試辦。嗣採得 閂 礦，所出無多，業經搘爐分汁。無如銀 𧶔色 低，唯將所出黑鉛，藉作 底母 之用。尚須再行試准，量請抽課。各據實具稟前來。 Furthermore Li Jizhi, a commoner of Guangtong county, and others found exploitable ore at Xiangshan, at 97 li from the city, which they reported to the magistrate, receiving permission for trial mining. Not much ore was extracted, which separated into silver, yet the silver purity was low. Only the lead can be used as “bottom mother.” Further trials are needed to assess whether a tax is to be requested. All these matters are reported factually.
19 臣等查該三廠開採，雖尚未見成效，然總須該地方官激勵廠民，奮勉從事，不可任其半途而廢。現已札令速將礦砂 煎樣解驗 ，應抽課銀，先許盡收盡解。俟試辦一年，察定情形，再將抽解數目，入額清撥。至此外，更令廣為 覓採 ，有苗即力求獲礦，有礦即務使成 堂 。如能採辦數多，應先遵照朝議，商給優獎，官請議敘，以期率作興事，感奮爭先。 By our investigation, these three mines, although not yet productive, nevertheless require local officials’ every effort to encourage the miners, offering support and exemptions, so that the work will not be abandoned half-way. We have ordered them to speedily carry out trial smeltings and send them for assaying to assess taxes, initially by “full collection and remittance.” When operations have been carried out for a year and conditions can be assessed with certainty, the rate will be set and entered into the accounts. At the same time, further prospecting has been ordered far and wide, and wherever veins are found no effort will be spared at obtaining ore, working hard to achieve “hall ore.” When sites produce much output, with permission of the court, prices should be granted to the merchants, by petition and council of officials, thus to promote their industry and enthusiasm.
20 至舊額老廠，雖據逐細查訪，實系衰歇者多。然習於廠事者，必能明其消長之機,以籌修複之法。或 拉龍扯水 ，或 旁路 抄尖 ，或 配石 分汁 。如 錘手 背夫 ，及 搘爐 下罩 之人，所見既多，諒亦能知補救。即或需費工本，但能先難後獲，亦當設法為之。倘實系硐產全枯，徒勞無益，則名是實非之廠，似應據實開除。即於盡收盡解各廠中，奏明抵補。總須比較原定舊額，無絀有贏，方為核實整頓之道。不得因廣採新山，而轉置舊廠於不問。 Regarding the quotas of the old mines, detailed investigation has shown that many indeed have withered. Yet those who are experienced in mining matters, will understand fluctuations and have ways of restoring [productivity]. For example, by drainage by pumps, by opening new workings and adits, by changing the composition of fluxes. The miners and ore carriers, the men who stoke furnaces and perform cupellation have seen much and can provide helpful knowledge. Even if costs of labour may appear wasteful, if initial difficulties will contribute to obtaining results later, these efforts should be undertaken where possible. In cases where the productivity of workings in fact is totally exhausted, an all labour is fruitless, these mines that exist in name but not in fact should be deleted as in fact non-existent. The mines that are taxed by “full collection and remittance,” [revenue] should be used to compensate for shortages. In the final analysis, the original quota has to be [seen] in relation [to productivity]; only by creating no shortage but a surplus will substantial restoration of order be achieved. Neglecting the old mines while opening new exploitations far and wide is to be rejected.
21 至於官辦民辦商辦及如何統轄彈治稽查之處，仰蒙恩諭，不為遙制。凡在官商士庶，無不感激倍深，自當按地方之情形，籌經久之善策。查辦廠先須備齊油米柴炭，資本甚鉅，原非一人之力所能獨開。官辦呼應雖靈，而在任久暫無常，恐交代葛藤滋甚。倘或因之虧空參辦，則有所藉口，籌補[6]則益啟效尤。況地方官經管事多，安能親駐廠中，胼胝手足[7]。勢必假手於幕丁胥役，弊竇[8]愈多。似仍招集商民，聽其 朋資 伙辦。成則加獎，歇亦不追。則官有督率之權，而無著賠之累，似可常行無弊。 Regarding operation by officials or by commoners and how to best administrate policing and control, the benevolent edict has instructed us to control from afar. All officials, merchants, gentry and commoners are deeply grateful for this, and will find good and lasting solutions for management according to local conditions. According to consulted documents, operating a mine requires great sums up front to prepare for oil, rice, firewood and charcoal, far larger than the means of a single person shoulder on his own. An official taking on operation has the power to make his orders followed, yet the durations of official appointment vary greatly, hence it is to be feared that entanglements and even conflict will occur upon handing over to the next incumbent. Punitive extension of tenure in case of leaving a deficit provides a pretext for [extracting surcharges] as compensatory funds, setting even more harmful negative examples. Moreover, as local magistrates manage many things; they cannot possibly themselves reside in the mines and grow callouses on their hands and feet. They have no choice but to rely on private secretaries or servants, clerks and runners, which inevitably involves even more graft. It thus appears rather commendable [for the official] to call upon commoner merchants to congregate, leaving it to their joint-stock fellowships to jointly run operations, to award them when these are successful and not hold them responsible when they discontinue operations. With officials empowered of supervision but not troubled by having to compensate for shortfalls, it appears that steady operation without abuses is possible.
22 臣等與在省司道及日久在滇之正佐各員，下逮商旅民人，無不虛衷採訪。竊以此次認真整頓，令在必行。所宜先定章程者，約有四事。 We have carefully listened to the circuit intendants, to regular and assistant officials who have long served in Yunnan, and down to merchants and commoners. On this basis, we have earnestly deliberated on necessary measures for the re-ordering so that imperial orders will be carried out in full, It appear commendable to lay down new statutes concerning four matters.
23 一曰寬鉛禁。查銀礦惟 炸礦 為上，為其塊頭淨潔，出銀多而 𧶔色 高。然廠中似此之礦，百不得一。其習見者，名為 大花銀礦 ， 細花銀礦 ，其實皆鉛礦也[9]。鉛礦百斤，煎鉛得半，即為好礦。而好鉛十斤， 入爐 架罩 ，其上者得銀六七錢，次者僅二三錢。除抽課工費之外，只敷半本[10]。其裹出 鉛汁 ，名為 銪團 [11]。鉛浸灰內，名曰 底母 。皆可 溜 成黑鉛[12]。以此售賣，始獲微利。滇省向因黑鉛攸關軍火，曾有比照私賣硝磺辦罪之案。故爐戶所餘底銪，皆為棄物，虧本愈多。臣等查黑鉛一項，或錘造錫薄，或 炒煉 黃丹顏料所用亦廣，原非僅為制造鉛彈之需。律例內並無黑鉛不准通商之文。且貴州之柞子廠，四川之龍頭山，黑鉛均准售賣。滇省事同一律。如准將底銪出售，以補廠民成本之虧，庶不至於退歇。況售賣底銪，必有行店。其發運若干，令廠員驗明編號，填給照票。俟運至彼處，即將照票赴該地方衙門繳銷。既可杜其走私，於軍火無所妨礙。藉得沾有利益，於廠民實獲補苴。 First, relaxing of the ban on [trade in] lead. Investigations have shown that “frying ore” is the best ore exploited by silver mines, as it forms clean pieces with high silver content is high and yielding silver of high purity. But in a mine, not one in a hundred [of such pieces of ore] may be obtained. The frequently seen ores are called “large flower” and “fine flower” silver ores, in fact all lead ores. Of 100 jin of these lead ores, half [of this weight] is lead extractable in smelting provided that it is good ore. From 10 jin of good lead, cupellation in hoods will produce 0.6 to 0.7 liang silver, while only 0.2 to 0.3 liang are obtained from ore of lesser quality. Once tax, wages and surcharges are deducted, only half of the investment is covered. In the process, the lead juice that flows out is called “melt lumps;” the lead that penetrates into the ashes is called “bottom mother.” All these can be cast to [metallic] lead. If sold, these realize small profits. In Yunnan lead has been treated as a military armament, with punishments by the precedent of illicit trade in salpetre and sulphur. For this reason, smelterers discard all left over cupellation wastes and therefore incur even larger losses. I have investigated lead and found that it has many uses, hammered into tinfoil and treated by firing to make yellow medicinal pills and pigment, actually not only serving to make bullets. Criminal law in fact does not contain a ban of trade in lead. In fact, the Zhazi mines in Guizhou and Longtoushan in Sichuan permit the sale of lead. The same law should apply in Yunnan. If cupellation wastes were permitted to be sold, the miners’ losses on investment could be reduced, which would mean that they will not cease operations and pull out. However, transport storage facilities will be required for selling lead. The amount that is to be carried out of the mines, should be inspected and marked with numbers by the mine official, which would be entered into the license ticket. Upon arrival at the destination, the local government would check against the ticket and hand out payment. By this means, illicit trade would be blocked, while military supplies would not be jeopardized. Using this to generate benefits would indeed provide substantial means to make up for losses.
24 一曰減浮費。查雲南各屬，無論五金之廠，皆有廠規。其頭人分為 七長 。每開一廠，則七長商議立規。名目愈多，剝削愈甚。查歷辦章程，迤東各廠，銅戶賣礦，按所得礦價，每百兩官抽銀十五兩，謂之 生課 。迤西各廠，硐戶賣礦，不納課。惟按煎成銀數，每百兩抽銀十二三兩不等，謂之 熟課 。每批解造報之正款，必不可少。此外有所謂撒散(0)者，則頭人書役巡查之工食薪水出焉。有所謂 火耗 、 馬腳 、 硐主 、 硐分 、 水分 以及 西嶽廟功德 、 合廠公費 等名目，皆頭人所逐漸增添者。雖不能盡裁，亦必須大減。現在出示曉諭，務令痛刪無益之規銀，以辦必須之油米。庶不至因累而散。 Second, reducing irregular surcharges. According to consulted records, each and every metal mine throughout Yunnan province has its “mine rules.” There are altogether seven headmen, and upon opening a mine, these hold council and set up these rules [governing surcharges]. The more items these contain, the worse the exploitation. According to consulted records, the statutes that have been applied throughout state for mines in eastern Yunnan that miners upon selling their ore and by the price they obtain for it, have 15 out of every 100 liang collected as government tax. This is called “raw tax.” In the mines of western Yunnan, the miners pay no tax when selling their ore, but from the silver that is obtained in smelting 12 to 13 out of every 100 liang are collected as tax. This is called “cooked tax.” All revenue of the regular quota has to be reported and remitted in full. In addition, there are the so-called “scattered” surcharges that provide for wages of the headmen, the clerks and runners, as well as many other fees that the headmen impose, increase or reduce as they see fit, called “water consumption,” “pack animal and porterage,” “mine owner” “mine shares,” “water shares”, and then also the “meritorious contributions to the Xiyue temple,” “the public funds of the mining community,” and so on. Although not all of these can be abolished, they have to be greatly reduced. At present we are making the imperial pronouncement known, with the aim of drastic cuts in useless customary surcharges levied in silver so that the necessary oil and rice can be provided, and the commoners will not disperse because the feel overburdened.
25 一曰嚴法令。查向來廠上之人，殷實良善者什之一，而獷悍詭譎者什之九。又廠中極興燒香結盟之習。故滇諺有云： 無香不成廠 。其分也爭相雄長，其合也並力把持。恃眾欺民，漸而抗官藐法。是以有礦之地，不獨官懼考成，並紳士居民亦皆懍然防範。今興利必先除害，非嚴不可。即如所用鐵器，除錘鏨鍋鏟菜刀准帶外，一切鳥槍刀械，全應搜淨，方許入廠。其駐廠彈壓之印委員弁，皆准設立枷杖等刑具。有犯先予枷責，或插耳箭游示，期於小懲大戒。若廠匪膽敢結黨仇殺多命，鬧成巨案，或恃眾強奸盜劫，擾害平民，責令該府州廳縣會同營員，立即兜拿務獲，審明詳定之後，請照現辦迤西匪類章程，就地請令正法，俾得觸目驚心，庶可懲一儆百。 Fourth is strict order by law. We have learnt that among the people in the mines, the wealthy and well-intentioned are one out of ten, while the other nine are violent and cunning. Moreover, burning incense and forming brotherhoods is extremely common in mining communities. According to a Yunnanese proverb, therefore, there is “no mine without incense.” When these [brotherhoods] as set against each other, they will fight for dominance, when they unite, they lord it over the local people and will gradually come to resist the state and disregard the law. For this reason, in an area where a mine is located, it is not only the official who is scared of prosecution and punishment, but gentry and commoners will also abhor and reject the prospect. To promote benefits, evils have to be eradicated first, and this can be accomplished by strictness alone. An example are iron implements: hammers, chisels, pots and kitchen knives have to be admitted, while guns and blades have to be searched for, so that no man carrying them can enter the mines. Seal-bearing officials who are dispatched to reside at mines, are granted the power to set up cangues, bamboo sticks and other devices of punishment. First transgressors should be put in the cangue, or paraded through the street with pierced ears, thus effect deterrence from major crime by minor punishment. If mine bandits form sworn brotherhoods and kill several of their enemies or harass the commoner population by rape and robbery, all prefect, sub-prefects, department and county magistrates together with military officials have to immediately apprehend the criminals, and after trial and inspection of recommended punishment, we beg for applying the statutes on the punishment of banditry of western Yunnan to recommend capital punishment, thus to shock the eyes and instil fear in their hearts, to punish one to cow a hundred into submission.
26 一曰杜詐偽。查礦廠向系 朋開 ，其股分多寡不一。有 領頭兼股 者，亦有 搭股分尖 者。自必見有好礦而後合伙。滇省有一種詐偽之徒，慣以哄騙油米為伎倆。於礦砂堆中，擇其極好淨塊，如俗名 墨綠 及 朱砂 蕎面 之類，作為樣礦示人，啖以重利，慫恿出貲。承攬既多，身先逃避。愚者以此受累，黠者以此詐財。良民不敢開採，多以此故。又廠上賣礦買礦之時，複有一種積蠹，插身說合，往往私抽厘頭，為之裝蓋底面，顛倒好醜，為貽害廠務之尤。茲先出示諭禁。嗣後訪獲此等匪徒，皆即加重懲辦，庶可除弊棍而示勸懲矣。 Fourth, blocking scams. Our investigations have shown mines to be always operated by partnerships, with varying numbers of shares. Some are operated by a main investor with additional shareholders, in others partners pool money and in return receive corresponding rights to workings. In any case, these only form when good ore has been spotted. In Yunnan, a type of fraudster is found, who swindle people into investing rice and oil [to develop a mine]. In the ore heaps, they select the purest pieces, which commonly are called “ink green,” “cinnaber,” or “buckwheat flour,” and show them as samples, thus inciting greed for large profits, so that many come forth to invest. Once the fraudster] has contracted for a large sum, he will vanish. The stupid are thus left exhausted, while the cunning cheat them out of their wealth. This is the very reason for which good commoners are afraid of mining. Another [fraudulent practice] occurs in the selling and buying of ore in the mines. Here a type of leech inserts himself, often taking a fraction for himself, who will cover the bottom [in an ore bucket] and exchange good for bad, thus doing great damage to mining matters. Following announcements that ban these practices, criminal offences should be punished heavily, so that the evildoers are warned and exposed to the public.
27 臣等在滇未久，於礦廠情形，本不諳習。仰荷聖慈委任，且蒙訓諭周詳，謹就察訪實情，先籌大概。雖成效尚未能豫必，而任事斷不敢畏難。此外續查利弊情形，總當據實直陳，以仰副宵旰疇咨於萬一。 As we have recently come to Yunnan without prior knowledge of mining affairs, we beg for your majesty’s gracious guidance on all specific matters. For now, we report the overall situation derived from my investigations and enquiries.
  1. The quote only omits the linking characters. The full Zhouli entry reads:卝人：掌金至錫石之地，而為之厲禁以守之。若以時取之，則物其地圖而授之。巡其禁令。
  2. The “red note” 紅單 elsewhere appears as a document in land taxation, probably a tax receipt.
  3. Jiancheng 僉呈 appears to specifically refer to reporting by commoners to the local magistrate.
  4. The context identifies “mountain tablet” 山牌 as a public announcement regarding a mining permit at a designated site, presumably in the form of a wooden or bamboo tablet . I have found a single quotation of this term in the Guangxu edition of the collected Qing Statutes 光緒朝大清會典事例, part 1 (上), juan 243, entry for the year GX 10 (1884): 奏准雲南省城設開採五金總局遇有呈請開採者由藩司發給開山牌票. In the context of restoring and reforming the mining administration of Yunnan, this statute formally delegated the power of granting mining permits (開山牌票) to the treasurer of Yunnan province.
  5. This tax quota is recorded for the year 1811 (嘉慶十六年) in DNKCTL juan 2, 19a.
  6. I am uncertain whether this is a general term referring to raising funds specifically to cover shortfalls or for other purposes in the context of the clearance procedures in which a local official handed the local treasury to the his successor.
  7. The locus classicus of this expression refers to the labours of the Great Yu.
  8. The difference between the term bidou 弊竇 and the more common biduan 弊端 is not entirely clear. Both refer to abuses that typically tamper with taxation procedures to increase actual tax incomes above the official rates. It appears that bidou more specifically implies that the sub-official and non-official staff lined their own pockets.
  9. On silver ores, see also Kim 2024.
  10. Ben 本, translated as “investment” in my understanding is capital in monetary value that is “sunk” into a business venture, i.e. invested before any returns materialize. By this token, 抽課工費, literally “tax extracted [by proportional tax rate] and expenses for labour wages” or “tax extracted [by proportional tax rate], labour and expenses” are amounts paid from the silver yield, i.e. after returns materialize. Gongfei 工費 presumably is an enumeration of gong, refer narrowly to the day wages or more broadly to all labour costs, and fei referring to tax-like surcharges raised for the institutions of the mining community, such as the temple as the ritual and communal centre as well as the site for mediating conflicts, the guild, and possibly other structures and projects, such as guards or a mine militia, infrastructure construction and drainage galleries.
  11. This character is written xiaotuan 銷團 in Lin Wenzhong gong zhengshu and WanQing wenxuan. A printing error appears probable because 底銪 appears a few sentences later, apparently as short binom of dimu [and] youtuan/xiaotuan.
  12. I have not found liu 溜 appears in no other metallurgical context. My translation is therefore a mere guess, extrapolating from the use as counting unit for copper smelting processes.