In order to understand today's China, we have to go back in time to
report events which were cut short or left out of our earlier discussion
in order to present them in the context of this chapter.
Although socialism and communism had been known in China long ago, this
line of development of Western philosophy had interested Chinese
intellectuals much less than liberalistic, democratic Western ideas. It
was widely believed that communism had no real prospects for China, as a
dictatorship of the proletariat seemed to be relevant only in a highly
industrialized and not in an agrarian society. Thus, in its beginning
the "Movement of May Fourth" of 1919 had Western ideological traits but
was not communistic. This changed with the success of communism in
Russia and with the theoretical writings of Lenin. Here it was shown
that communist theories could be applied to a country similar to China
in its level of development. Already from 1919 on, some of the leaders
of the Movement turned towards communism: the National University of
Peking became the first centre of this movement, and Ch'en Tu-hsiu, then
dean of the College of Letters, from 1920 on became one of its leaders.
Hu Shih did not move to the left with this group; he remained a liberal.
But another well-known writer, Lu Hsuen (1881-1936), while following Hu
Shih in the "Literary Revolution," identified politically with Ch'en.
There was still another man, the Director of the University Library, Li
Ta-chao, who turned towards communism. With him we find one of his
employees in the Library, Mao Tse-tung. In fact, the nucleus of the
Communist Party, which was officially created as late as 1921, was a
student organization including some professors in Peking. On the other
hand, a student group in Paris had also learned about communism and had
organized; the leaders of this group were Chou En-lai and Li Li-san. A
little later, a third group organized in Germany; Chu Te belonged to
this group. The leadership of Communist China since 1949 has been in the
hands of men of these three former student groups.
After 1920, Sun Yat-sen, too, became interested in the developments in
Soviet Russia. Yet, he never actually became a communist; his belief
that the soil should belong to the tiller cannot really be combined with
communism, which advocates the abolition of individual landholdings.
Yet, Soviet Russia found it useful to help Sun Yat-sen and advised the
Chinese Communist Party to collaborate with the KMT (Kuo-min-tang). This
collaboration, not always easy, continued until the fall of Shanghai in
1927.
In the meantime, Mao Tse-tung had given up his studies in Peking and had
returned to his home in Hunan. Here, he organized his countrymen, the
farmers of Hunan. It is said that at the verge of the northern
expedition of Chiang Kai-shek, Mao's adherents in Hunan already numbered
in the millions; this made the quick and smooth advance of the
communist-advised armies of Chiang Kai-shek possible. Mao developed his
ideas in written form in 1927; he showed that communism in China could
be successful only if it was based upon farmers. Because of this
unorthodox attitude, he was for years severely attacked as a
deviationist.
When Chiang Kai-shek separated from the KMT in 1927, the main body of
the KMT remained in Hankow as the legal government. But now, while
Chiang Kai-shek executed all leftists, union leaders, and communists who
fell into his hands, tensions in Hankow increased between the Chinese
Communist Party and the rest of the KMT. Finally, the KMT turned against
the communists and reunited with Chiang Kai-shek. The remaining
communists retreated to the Hunan-Kiangsi border area, the centre of
Mao's activities; even the orthodox communist wing, which had condemned
Mao, now had to come to him for protection from the KMT. A small
communist state began to develop in Kiangsi, in spite of pressure and,
later, attacks of the KMT against them. By 1934, this pressure became so
strong that Kiangsi had to be abandoned, and in the epic "Long March"
the rest of the communists and their army fought their way through all
of western and northwestern China into the sparsely inhabited,
underdeveloped northern part of Shensi, where a new socialistic state
was created with Yen-an as its capital.
After the fall of the communist enclave in Kiangsi, the prospects for
the Nationalist regime were bright; indeed, the unification of China was
almost achieved. At this moment a new Japanese invasion threatened and
demanded the full attention of the regime. Thus, in spite of talk about
land reform and other reforms which might have led to a liberalization
of the government, no attention was given to internal and social
problems except to the suppression of communist thought. Although all
leftist publications were prohibited, most historians and sociologists
succeeded in writing Marxist books without using Marxist terminology, so
that they escaped Chiang's censors. These publications contributed
greatly to preparing China's intellectuals and youth for communism.
When the Japanese War began, the communists in Yen-an and the
Nationalists under Chiang Kai-shek agreed to cooperate against the
invaders. Yet, each side remembered its experiences in 1927 and
distrusted the other. Chiang's resistance against the invaders became
less effective after the Japanese occupied all of China's ports;
supplies could reach China only in small quantities by airlift or via
the Burma Road. There was also the belief that Japan could be defeated
only by an attack on Japan itself and that this would have to be
undertaken by the Western powers, not by China. The communists, on their
side, set up a guerilla organization behind the Japanese lines, so that,
although the Japanese controlled the cities and the lines of
communication, they had little control over the countryside. The
communists also attempted to infiltrate the area held by the
Nationalists, who in turn were interested in preventing the communists
from becoming too strong; so, Nationalist troops guarded also the
borders of communist territory.
American politicians and military advisers were divided in their
opinions. Although they recognized the internal weakness of the
Nationalist government, the fighting between cliques within the
government, and the ever-increasing corruption, some advocated more help
to the Nationalists and a firm attitude against the communists. Others,
influenced by impressions gained during visits to Yen-an, and believing
in the possibility of honest cooperation between a communist regime and
any other, as Roosevelt did, attempted to effect a coalition of the
Nationalists with the communists.
At the end of the war, when the Nationalist government took over the
administration, it lacked popular support in the areas liberated from
the Japanese. Farmers who had been given land by the communists, or who
had been promised it, were afraid that their former landlords, whether
they had remained to collaborate with the Japanese or had fled to West
China, would regain control of the land. Workers hoped for new social
legislation and rights. Businessmen and industrialists were faced with
destroyed factories, worn-out or antiquated equipment, and an unchecked
inflation which induced them to shift their accounts into foreign banks
or to favor short-term gains rather than long-term investments. As in
all countries which have suffered from a long war and an occupation,
the youth believed that the old regime had been to blame, and saw
promise and hope on the political left. And, finally, the Nationalist
soldiers, most of whom had been separated for years from their homes and
families, were not willing to fight other Chinese in the civil war now
well under way; they wanted to go home and start a new life. The
communists, however, were now well organized militarily and well equiped
with arms surrendered by the Japanese to the Soviet armies as well as
with arms and ammunition sold to them by KMT soldiers; moreover, they
were constantly strengthened by deserters from the KMT. The civil war
witnessed a steady retreat by the KMT armies, which resisted only
sporadically. By the end of 1948, most of mainland China was in the
hands of the communists, who established their new capital in Peking.
2 _Nationalist China in Taiwan_
The Nationalist government retreated to Taiwan with those soldiers who
remained loyal. This island was returned to China after the defeat of
Japan, though final disposition of its status had not yet been
determined.
Taiwan's original population had been made up of more than a dozen
tribes who are probably distant relatives of tribes in the Philippines.
These are Taiwan's "aborigines," altogether about 200,000 people in
1948.
At about the time of the Sung dynasty, Chinese began to establish
outposts on the island; these developed into regular agricultural
settlements toward the end of the Ming dynasty. Immigration increased in
the eighteenth and especially the nineteenth centuries. These Chinese
immigrants and their descendants are the "Taiwanese," Taiwan's main
population of about eight million people as of 1948.
Taiwan was at first a part of the province of Fukien, whence most of its
Chinese settlers came; there was also a minority of Hakka, Chinese from
Kuangtung province. When Taiwan was ceded to Japan, it was still a
colonial area with much lawlessness and disorder, but with a number of
flourishing towns and a growing population. The Japanese, who sent
administrators but no settlers, established law and order, protected the
aborigines from land-hungry Chinese settlers, and attempted to abolish
headhunting by the aborigines and to raise the cultural level in
general. They built a road and railway system and strongly stressed the
production of sugar cane and rice. During the Second World War, the
island suffered from air attacks and from the inability of the Japanese
to protect its industries.
After Chiang Kai-shek and the remainder of his army and of his
government officials arrived in Taiwan, they were followed by others
fleeing from the communist regime, mainly from Chekiang, Kiangsu, and
the northern provinces of the mainland. Eventually, there were on Taiwan
about two million of these "mainlanders," as they have sometimes been
called.
When the Chinese Nationalists took over from the Japanese, they assumed
all the leading positions in the government. The Taiwanese nationals who
had opposed the Japanese were disappointed; for their part, the
Nationalists felt threatened because of their minority position. The
next years, especially up to 1952, were characterized by terror and
bloodshed. Tensions persisted for many years, but have lessened since
about 1960.
The new government of Taiwan resembled China's pre-war government under
Chiang Kai-shek. First, to maintain his claim to the legitimate rule of
all of China, Chiang retained--and controlled through his party, the
KMT--his former government organization, complete with cabinet
ministers, administrators, and elected parliament, under the name
"Central Government of China." Secondly, the actual government of
Taiwan, which he considered one of China's provinces, was organized as
the "Provincial Government of Taiwan," whose leading positions were at
first in the hands of KMT mainlanders. There have since been elections
for the provincial assembly, for local government councils and boards,
and for various provincial and local positions. Thirdly, the military
forces were organized under the leadership and command of mainlanders.
And finally, the education system was set up in accordance with former
mainland practices by mainland specialists. However, evolutionary
changes soon occurred.
The government's aim was to make Mandarin Chinese the language of all
Chinese in Taiwan, as it had been in mainland China long before the War,
and to weaken the Taiwanese dialects. Soon almost every child had a
minimum of six years of education (increased in 1968 to nine years),
with Mandarin Chinese as the medium of instruction. In the beginning few
Taiwanese qualified as teachers because, under Japanese rule, Japanese
had been the medium of instruction. As the children of Taiwanese and
mainland families went to school together, the Taiwanese children
quickly learned Mandarin, while most mainland children became familiar
with the Taiwan dialect. For the generation in school today, the
difference between mainlander and Taiwanese has lost its importance. At
the same time, more teachers of Taiwanese origin, but with modern
training, have begun to fill first the ranks of elementary, later of
high-school, and now even of university instructors, so that the end of
mainland predominance in the educational system is foreseeable.
The country is still ruled by the KMT, but although at first hardly any
Taiwanese belonged to the Party, many of the elective jobs and almost
all positions in the provincial government are at present (1969) in the
hands of Taiwanese independents, or KMT members, more of whom are
entering the central government as well. Because military service is
compulsory, the majority of common soldiers are Taiwanese: as career
officers grow older and their sons show little interest in an army
career, more Taiwan-Chinese are occupying higher army positions. Foreign
policy and major political decisions still lie in the hands of mainland
Chinese, but economic power, once monopolized by them, is now held by
Taiwan-Chinese.
This shift gained impetus with the end of American economic aid, which
had tied local businessmen to American industry and thus worked to the
advantage of mainland Chinese, for these had contacts in the United
States, whereas the Taiwan-Chinese had contacts only in Japan. After the
termination of American economic aid, Taiwanese trade with Japan, the
Philippines, and Korea grew in importance and with it the economic
strength of Taiwan-Chinese businessmen. After 1964, Taiwan became a
strong competitor of Hong Kong and Japan in some export industries, such
as electronics and textiles. We can regard Taiwan from 1964 on as
occupying the "take-off" stage, to use Rostow's terminology--a stage of
rapid development of new, principally light and consumer, industries.
There has been a rapid rise of industrial towns around the major cities,
and there are already many factories in the countryside, even in some
villages. Electrification is essentially completed, and heavy
industries, such as fertilizer and assembly plants and oil refineries,
now exist.
This rapid industrialization was accompanied by an unusually fast
development of agriculture. A land-reform program limited land
ownership, reduced rents, and redistributed formerly Japanese-owned
land. This was the program that the Nationalist government had attempted
unsuccessfully to enforce in liberated China after the Pacific War. It
is well known that the abolition of landlordism and the distribution of
land to small farmers do not in themselves improve or enlarge
production. The Joint Council on Rural Reconstruction, on which American
advisers worked with Chinese specialists to devise a system comparable
to American agricultural extension services but possessing added
elements of community development, introduced better seeds, more and
better fertilizers, and numerous other innovations which the farmers
quickly adopted, with the result that the island became
self-supporting, in spite of a steadily growing population (thirteen
million in 1968).
At the same time, the government succeeded in stabilizing the currency
and in eliminating corruption, thus re-establishing public confidence
and security. Good incomes from farming as well as from industries were
invested on the island instead of flowing into foreign banks. In
addition, the population had enough surplus money to buy the products of
the new domestic industries as these appeared. Thus, the
industrialization of Taiwan may be called "industrialization without
tears," without the suffering, that is, of proletarian masses who
produce objects which they cannot afford for themselves. Today, even
lower middle-class families have television consoles which cost the
equivalent of US $200; they own electric fans and radios; they are
buying Taiwan-produced refrigerators and air conditioners; and more and
more think of buying Taiwan-assembled cars. They encourage their
children to finish high school and to attend college if at all possible;
competition for admission is very strong in spite of the continuous
building of new schools and universities. Education to the level of the
B. A. is of good quality, but for most graduate study students are still
sent abroad. Taiwan complains about the "brain drain," as about 93 per
cent of its students who go overseas do not return, but in many fields
it has sufficient trained manpower to continue its development, and in
any case there would not be enough jobs available if all the students
returned. Most of these expatriates would be available to develop
mainland China, if conditions there were to change in a way that would
make them compatible with the values with which these expatriates grew
up on Taiwan, or with the Western democratic values which they absorbed
abroad.
Chiang Kai-shek's government still hopes that one day its people will
return to the mainland. This hope has changed from hope of victory in a
civil war to hope of revolutionary developments within Communist China
which might lead to the creation of a more liberal government in which
men with KMT loyalties could find a place. Because they are Chinese, the
present government and, it is believed, the majority of the people,
consider themselves a part of China from which they are temporarily
separated. Therefore they reject the idea, proposed by some American
politicians, that Taiwan should become an independent state. There are,
mainly in the United States and Japan, groups of Taiwan-Chinese who
favor an independent Taiwan, which naturally would be close to Japan
politically and economically. One may agree with their belief that
Taiwan, now larger than many European countries, could exist and
flourish as an independent country; yet few Chinese will wish to divorce
themselves from the world's largest society.
3 _Communist China_
Both Taiwan and mainland China have developed extremely quickly. The
reasons do not seem to lie solely in the form of government, for the
pre-conditions for a "take-off" existed in China as early as the 1920's,
if not earlier. That is, the quick development of China could have
started forty years ago but was prevented, primarily for political
reasons. One of the main pre-conditions for quick development is that a
large part of the population is inured to hard and repetitive work. The
Chinese farmer was accustomed to such work; he put more time and energy
into his land than any other farmer. He and his fellows were the
industrial workers of the future: reliable, hard-working, tractable,
intelligent. To train them was easy, and absenteeism was never a serious
problem, as it is in other developing nations. Another pre-condition is
the existence of sufficient trained people to manage industry. Forty
years ago China had enough such men to start modernization; foreign
assistance would have been necessary in some fields, but only briefly.
Another requirement (at least in the period before radio and television)
is general literacy. Meaningful statistical data on literacy in China
before 1937 are lacking. Some authors remark that before 1800 probably
all upper-class sons and most daughters were educated, and that men in
the middle and even in the lower classes often had some degree of
literacy. In this context "educated" means that these persons could read
classical poetry and essays written in literary Chinese, which was not
the language of daily conversation. "Literacy," however, might mean only
that a person could read and write some 600 characters, enough to
conduct a business and to read simple stories. Although newspapers today
have a stock of about 6,000 characters, only some 600 characters are
commonly used, and a farmer or worker can manage well with a knowledge
of about 100 characters. Statements to the effect that in 1935 some 70
per cent of all men and 95 per cent of all women were illiterate must
include the last category in these figures. In any case, the literacy
program of the Nationalist government had penetrated the countryside and
had reached even outlying villages before the Pacific War.
The transportation system in China before the war was not highly
developed, but numerous railroads connecting the main industrial centers
did exist, and bus and truck services connected small towns with the
larger centers. What were missing in the pre-war years were laws to
protect the investor, efficient credit facilities, an insurance system
supported by law, and a modern tax structure. In addition, the monetary
system was inflation-prone. Although sufficient capital probably could
have been mobilized within the country, the available resources either
went into foreign banks or were invested in enterprises providing a
quick return.
The failure to capitalize on existing means of development before the
War resulted from the chronic unrest caused by warlordism,
revolutionaries and foreign invaders, which occupied the energies of the
Nationalist government from its establishment to its fall. Once a stable
government free from internal troubles arose, national development,
whether private or socialist, could proceed at a rapid pace.
Thus, the development of Communist China is not a miracle, possible only
because of its form of government. What is unusual about Communist China
is the fact that it is the only nation possessing a highly developed
culture of its own to have jettisoned it in favor of a foreign one. What
missionaries had dreamed of for centuries and knew they would never
accomplish, Mao Tse-tung achieved; he imposed an ideology created by
Europeans and understandable only in the context of Central Europe in
the nineteenth century. How long his success will last is uncertain. One
school of analysts believes that the friction between Soviet Russia and
Communist China indicates that China's communism has become Chinese.
These men point out that Communist Chinese practices are often direct
continuations of earlier Chinese practices, customs, and attitudes. And
they predict that this trend will continue, resulting in a form of
socialism or communism distinctly different from that found in any other
country. Another school, however, believes that communism precedes
"Sinism," and that the regime will slowly eliminate traits which once
were typical of China and replace them with institutions developed out
of Marxist thinking. In any case, for the present, although the
Communist government's aim is to impose communist thought and
institutions in the country, typically Chinese traits are still
omnipresent.
Soon after the establishment of the Peking regime, a pact of friendship
and alliance with the Soviet Union was concluded (February 1950), and
Soviet specialists and civil and military products poured into China to
speed its development. China had to pay for this assistance as well as
for the loans it received from Russia, but the application of Russian
experience, often involving the duplication of whole factories, was
successful. In a few years, China developed its heavy industry, just as
Russia had done. It should not be forgotten that Manchuria, as well as
other parts of China, had had modern heavy industries long before 1949.
The Manchurian factories ceased production because, when the Russians
invaded Manchuria at the end of the war, they removed the machinery to
Russia.
Russian aid to Communist China continued to 1960. Its termination slowed
development briefly but was not disastrous. Russian assistance was a
"shot in the arm," as stimulating and about as lasting as American aid
to Taiwan or to European countries. The stress laid upon heavy industry,
in imitation of Russia, increased China's military strength quickly, but
the consumer had to wait for goods which would make his life more
enjoyable. One cause of friction in China today concerns the relative
desirability of heavy industry versus consumer industry, a problem which
arose in Russia after the death of Stalin.
China's military strength was first demonstrated in the Korean War when
Chinese armies entered Korea (October 1950). Their successes contributed
to the prestige of the Peking regime at home and abroad, but they also
foreshadowed a conflict with Soviet Russia, which regarded North Korea
as lying within its own sphere of influence.
In the same year, China invaded and conquered Tibet. Tibet, under Manchu
rule until 1911, had achieved a certain degree of independence
thereafter: no republican Chinese regime ever ruled Lhasa. The military
conquest of Tibet is regarded by many as an act of Chinese imperialism,
or colonialism, as the Tibetans certainly did not want to belong to
China or be forced to change their traditional form of government.
Having regarded themselves as subjects of the Manchu but not of the
Chinese, they rose against the communist rulers in March 1959, but
without success.
Chinese control of Tibet, involving the construction of numerous roads,
airstrips, and military installations, as well as differences concerning
the international border, led in 1959 to conflicts with India, a country
which had previously sided with the new China in international affairs.
Indeed, the borders were uncertain and looked different depending on
whether one used Manchu or Indian maps. China's other border problem was
with Burma. Early in 1960 the two countries concluded a border agreement
which ended disputes dating from British colonial times.
Very early in its existence Communist China assumed control of Sinkiang,
Chinese Central Asia, a large area originally inhabited by Turkish and
Mongolian tribes and states, later conquered by the Manchu, and then
integrated into China in the early nineteenth century. The communist
action was to be expected, although after the Revolution of 1911 Chinese
rule over this area had been spotty, and during the Pacific War some
Soviet-inspired hope had existed that Sinkiang might gain independence,
following the example of Outer Mongolia, another country which had been
attached to the Manchu until 1911 and which, with Russian assistance,
had gained its independence from China. Sinkiang is of great importance
to Communist China as the site of large sources of oil and of atomic
industries and testing grounds. The government has stimulated and often
forced Chinese immigration into Sinkiang, so that the erstwhile Turkish
and Mongolian majorities have become minorities, envious of their ethnic
brothers in Soviet Central Asia who enjoy a much higher standard of
living and more freedom.
Inner Mongolia had a brief dream of independence under Japanese
protection during the war. But the majority of the population were
Chinese, and already before the Pacific War, the country had been
divided into three Chinese provinces, of which the Chinese Communists
gained control without delay.
In general, when the Chinese Communists discuss territorial claims, they
appear to seek the restoration of borders that China claimed in the
eighteenth century. Thus, they make occasional remarks about the Ili
area and parts of Eastern Siberia, which the Manchu either lost to the
Russians or claimed as their territory. North Vietnam is probably aware
that Imperial China exercised political rights over Tongking and Annam
(the present-day North and part of South Vietnam). And, treaty or no,
the Sino-Burmese question may be reopened one day, for Burma was
semi-dependent on China under the Manchu.
The build-up of heavy industry enabled China to conduct an aggressive
policy towards the countries surrounding her, but industrialization had
to be paid for, and, as in other countries, it was basically agriculture
that had to create the necessary capital. Therefore, in June 1950 a
land-reform law was promulgated. By October 1952 it had been implemented
at an estimated cost of two million human lives: the landlords. The next
step, socialization of the land, began in 1953.
The cooperative farms were supposed to achieve higher production than
small individual farms. It may be that any farmer, but particularly the
Chinese, is emotionally involved in his crop, in contrast to the
industrial worker, who often is alienated from the product he makes.
Thus the farmer is unwilling to put unlimited energy and time into
working on a farm that does not belong to him. But it may also be that
the application of principles of industrial operation to agriculture
fails because emergencies often occur in farming and are followed by
periods of leisure, whereas in industry steady work is possible.
In any case, in 1956 strains began to appear in China's economy. In
early 1958 the "Great Leap Forward" was promoted in an attempt to speed
production in all sectors. Soon after, the first communes were created,
against the advise of Russian specialists. The objective of the communes
seems to have been not only the creation of a new organizational form
which would allow the government to exercise more pressure upon farmers
to increase production, but also the correlation of labor and other
needs of industry with agriculture. The communes may have represented an
attempt to set up an organization which could function independently,
even in the event of a governmental breakdown in wartime. At the same
time, the decentralization of industries began and a people's militia
was created. The "back-yard furnaces," which produced high-cost iron of
low quality, seem to have had a similar purpose: to teach citizens how
to produce iron for armaments in case of war and enemy occupation, when
only guerrilla resistance would be possible. In the same year,
aggressive actions against offshore, Nationalist-held islands increased.
China may have believed that war with the United States was imminent.
Perhaps as a result of Russian talks with China, a detente followed in
1959, but so too did increased tension between Russia and China, while
the results of the Great Leap and its policies proved catastrophic. The
years 1961-64 provided a needed respite from the failures of the Great
Leap. Farmers regained limited rights to income from private efforts,
and improved farm techniques such as better seed and the use of
fertilizer began to produce results. China can now feed her population
in normal years.
Chinese leaders realize that an improved level of living is difficult to
attain while the birth rate remains high. They have hesitated to adopt a
family-planning policy, which would fly in the face of Marxist doctrine,
although for a short period family planning was openly recommended.
Their most efficient method of limiting the birth rate has been to
recommend postponement of marriage.
First the limitation of private enterprise and business and then the
nationalization of all important businesses following the completion of
land reform deprived many employers as well as small shopkeepers of an
occupation. But the new industries could not absorb all of the labor
that suddenly became available. When rural youth inundated the cities in
search of employment, the government returned the excess urban
population to the countryside and recruited students and other urban
youth to work on farms. Re-education camps in outlying areas also
provided cheap farm labor.
The problem facing China or any nation that modernizes and
industrializes in the twentieth century can be simply stated.
Nineteenth-century industry needed large masses of workers which only
the rural areas could supply; and, with the development of farming
methods, the countryside could afford to send its youth to the cities.
Twentieth-century industry, on the other hand, needs technicians and
highly qualified personnel, often with college degrees, but few
unskilled workers. China has traditionally employed human labor where
machines would have been cheaper and more efficient, simply because
labor was available and capital was not. But since, with the growth of
modern industry and modern farming, the problem will arise again, the
policy of employing urban youth on farms is shortsighted.
The labor force also increased as a result of the "liberation" of women,
in which the marriage law of April 1950 was the first step. Nationalist
China had earlier created a modern and liberal marriage law; moreover,
women were never the slaves that they have sometimes been painted. In
many parts of China, long before the Pacific War, women worked in the
fields with their husbands. Elsewhere they worked in secondary
agricultural industries (weaving, preparation of food conserves, home
industries, and even textile factories) and provided supplementary
income for their families. All that "liberation" in 1950 really meant
was that women had to work a full day as their husbands did, and had, in
addition, to do house work and care for their children much as before.
The new marriage law did, indeed, make both partners equal; it also made
it easier for men to divorce their wives, political incompatibility
becoming a ground for divorce.
The ideological justification for a new marriage law was the
desirability of destroying the traditional Chinese family and its
economic basis because a close family, and all the more an extended
family or a clan, could obviously serve as a center of resistance. Land
collectivization and the nationalization of business destroyed the
economic basis of families. The "liberation" of women brought them out
of the house and made it possible for the government to exploit
dissention between husband and wife, thereby increasing its control over
the family. Finally, the new education system, which indoctrinated all
children from nursery to the end of college, separated children from
parents, thus undermining parental control and enabling the state to
intimidate parents by encouraging their children to denounce their
"deviations." Sporadic efforts to dissolve the family completely by
separating women from men in communes--recalling an attempt made almost
a century earlier by the T'ai-p'ing--were unsuccessful.
The best formula for a revolution seems to involve turning youth against
its elders, rather than turning one class against another. Not all
societies have a class system so clear-cut that class antagonism is
effective. On the other hand, Chinese youth, in its opposition to the
"establishment," to conservatism, to traditional religion, to blind
emulation of Western customs and institutions, to the traditional family
structure and the position of women, had hopes that communism would
eradicate the specific "evil" which each individual wanted abolished.
Mao and his followers had once been such rebellious youths, but by the
1960's they were mostly old men and a new youth had appeared, a
generation of revolutionaries for whom the "old regime" was dim history,
not reality. In the struggle between Mao and Liu Shao-ch'i, which became
increasingly apparent in 1966, Mao tried to retain his power by
mobilizing young people as "Red Guards" and by inciting them to make the
"Great Proletarian Revolution." The motives behind the struggle are
diverse. It is on the one hand a conflict of persons contending for
power, but there are also disagreements over theory: for example, should
China's present generation toil to make possible a better life only for
the next generation, or should it enjoy the fruits of its labor, after
its many years of suffering? Mao opposes such "weakening" and favors a
new generation willing to endure hardships, as he did in his youth.
There is also a question whether the Chinese Communist Party under the
banner of Maoism should replace the Russian party, establish Mao as the
fourth founder after Marx, Lenin, and Stalin, and become the leader of
world communism, or whether it should collaborate with the Russian
party, at least temporarily, and thus ensure China Russian support.
When, however, Chinese youth was summoned to take up the fight for Mao
and his group, forces were loosed which could not be controlled.
Following independent action by youth groups similar in nature to youth
revolts in Western countries, the power and prestige of older leaders
suffered. Even now (1969) it is impossible to re-establish unity and
order; the Mao and Liu groups still oppose each other, and local
factions have arisen. Violent confrontations, often resulting in
hundreds of deaths, occur in many provinces. The regime is no longer so
strong and unified as it was before 1966, although its end is not in
sight. Quite possibly far-reaching changes may occur in the future.
Three factors will probably influence the future of China. First, the
emergence of neo-communism, as in Czechoslovakia in 1968, in an attempt
to soften traditional communist practice. Second, the outcome of the war
in Vietnam. Will China be able to continue its eighteenth-century dream
of direct or indirect domination of Southeast Asia? Will North Vietnam
detach itself from China and attach itself more closely to Russia? Will
Russia and China continue to create separate spheres of influence in
Asia, Africa, and South America? The first factor depends on
developments inside China, the second on events outside, and at least in
part on decisions in the United States, Japan, and Europe.
The third factor has to do with human nature. One may justifiably ask
whether the change in human personality which Chinese communism has
attempted to achieve is possible, let alone desirable. Studies of
animals and of human beings have demonstrated a tendency to identify
with a territory, with property, and with kin. Can the Chinese eradicate
this tendency? The Chinese have been family-centered and accustomed to
subordinating their individual inclinations to the requirements of
family and neighborhood. But beyond these established frameworks they
have been individualistic and highly idiosyncratic at all times. Under
the communist regime, however, the government is omnipresent, and people
must toe the official line. One senses the tragedy that affects
well-known scholars, writers and poets, who must degrade themselves,
their work, their past and their families in order to survive. They may
hope for comprehension of their actions, but nonetheless they must
suffer shame. Will the present government change the minds of these men
and eradicate their feelings?
Communist China has made great progress, no doubt. Soon it may equal
other developed nations. But its progress has been achieved at an
unnecessary cost in human lives and happiness.
That the regime is no longer so strong and unified as it was before 1966
does not mean that its end is in sight. Far-reaching changes may occur
in the near future. Public opinion is impressed with mainland China's
progress, as the world usually is with strong nations. And public
opinion is still unimpressed by the achievements of Taiwan and has
hardly begun to change its attitude toward the government of the
"Republic of China." To the historian and the sociologist, the
experience of Taiwan indicates that China, if left alone and freed from
ideological pressures, could industrialize more quickly than any other
presently underdeveloped nation. Taiwan offers a model with which to
compare mainland China.
NOTES AND REFERENCES
The following notes and references are intended to help the interested
reader. They draw his attention to some more specialized literature in
English, and occasionally in French and German. They also indicate for
the more advanced reader the sources for some of the interpretations of
historical events. As such sources are most often written in Chinese or
Japanese and, therefore, inaccessible to most readers, only brief hints
and not full bibliographical data are given. The specialists know the
names and can easily find details in the standard bibliographies. The
general reader will profit most from the bibliography on Chinese history
published each year in the _Journal of Asian Studies_. These Notes do
not mention the original Chinese sources which are the factual basis of
this book.
_Chapter One_
p. 7: Reference is made here to the _T'ung-chien kang-mu_ and its
translation by de Mailla (1777-85). Criticism by O. Franke, Ku
Chieh-kang and his school, also by G. Haloun.
p. 8: For the chronology, I rely here upon Ijima Tadao and my own
research. Excavations at Chou-k'ou-tien still continue and my account
should be taken as very preliminary. An earlier analysis is given by E.
von Eickstedt (_Rassendynamik von Ostasien_, Berlin 1944). For the
following periods, the best general study is still J. G. Andersson,
_Researches into the Prehistory of the Chinese_, Stockholm 1943. A great
number of new findings has been made recently, but no comprehensive
analysis in a Western language is available.
p. 9: Comparison with Ainu has been made by Weidenreich. The theory of
desiccation of Asia is not the Huntington theory, but I rely here upon
arguments by J. G. Andersoon and Sven Hedin.
p. 10: The earlier theories of R. Heine-Geldern have been used here.
p. 11: This is a summary of my own theories. Concerning the Tungus
tribes, K. Jettmar (_Wiener Beitraege zur Kulturgeschichte_, vol. 9,
1952, p. 484f and later studies) has proposed a more refined theory;
other parts of the theory, as far as it is concerned with conditions in
Central Asia, have been modified by F. Kussmaul (in: _Tribus_, vol.
1952-3, pp. 305-60). Archaeological data from Central Asia have been
analysed again by K. Jettmar (in: _The Museum of Far Eastern
Antiquities, Bulletin_ No. 23, 1951). The discussion on domestication of
large animals relies on the studies by C. O. Sauer, H. von Wissmann,
Menghin, Amschler, Flohr and, most recently, F. Hancar (in: _Saeculum_,
vol. 10, 1959, pp. 21-37 with further literature), and also on my own
research.
p. 12: An analysis of the situation in the South according to Western
and Chinese studies is found in H. J. Wiens, _China's March toward the
Tropics_, Hamden 1954. Much further work is now published by Ling
Shun-sheng, Rui Yi-fu and other anthropologists in Taipei. The best
analysis of denshiring in the Far East is still the book by K. J. Pelzer,
_Population and Land Utilization_, New York 1941. The anthropological
theories on this page are my own, influenced by ideas of R.
Heine-Geldern and Gordon Luce.
p. 14: Sociological theory, as developed by R. Thurnwald and others, has
been used as a theoretical tool here, together with observations by A.
Credner and H. Bernatzik. Concerning rice in Yang-shao see R.
Heine-Geldern in _Anthropos_, vol. 27, p. 595.
p. 15: Wu Chin-ting defended the local origin of Yang-shao; T. J. Arne,
J. G. Andersson and many others suggested Western influences. Most
recently R. Heine-Geldern elaborated this theory. The allusion to
Indo-Europeans refers to the studies by G. Haloun and others concerning
the Ta-Hsia, the later Yueeh-chih, and the Tocharian problem.
p. 16: R. Heine-Geldern proposed a "Pontic migration". Yin Huan-chang
discussed most recently Lung-shan culture and the mound-dwellers.
p. 17: The original _Chu-shu chi-nien_ version of the stories about Yao
has been accepted here, together with my own research and the studies by
B. Karlgren, M. Loehr, G. Haloun, E. H. Minns and others concerning the
origin and early distribution of bronze and the animal style. Smith
families or tribes are well known from Central Asia, but also from India
and Africa (see W. Ruben, _Eisenschmiede und Daemonen in Indien_, Leiden
1939, for general discussion).--For a discussion of the Hsia see E.
Erkes.
_Chapter Two_
p. 19: The discussion in this chapter relies mainly upon the An-yang
excavation reports and the studies by Tung Tso-pin and, most strongly,
Ch'en Meng-chia. In English, the best work is still H. G. Creel, _The
Birth of China_, London 1936 and his more specialized _Studies in Early
Chinese Culture_, Baltimore 1937.
p. 20: The possibility of a "megalithic" culture in the Far East has
often been discussed, by O. Menghin, R. Heine-Geldern, Cheng Te-k'un,
Ling Shun-sheng and others. Megaliths occur mainly in South-East Asia,
southern China, Korea and Japan.--Teng Ch'u-min and others believe that
silk existed already in the time of Yang-shao.
p. 21: Kuo Mo-jo believes, that the Shang already used a real plough
drawn by animals. The main discussion on ploughs in China is by Hsue
Chung-shu; for general anthropological discussion see E. Werth and H.
Kothe.
p. 22: For the discussion of the T'ao-t'ieh see the research by B.
Karlgren and C. Hentze.
p. 23: I follow here mainly Ch'en Meng-chia, but work by B. Schindler,
C. Hentze, H. Maspero and also my own research has been considered.
p. 24: I am accepting here a narrow definition of feudalism (see my
_Conquerors and Rulers_, Leiden 1952).--The division of armies into
"right" and "left" is interesting in the light of the theories
concerning the importance of systems of orientation (Fr. Roeck and
others).
p. 25: Here, the work by W. Koppers, O. Spengler, F. Hancar, V. G. Childe
and many others, concerning the domestication of the horse and the
introduction of the war-chariot in general, and work by Shih Chang-ju,
Ch'en Meng-chia, O. Maenchen, Uchida Gimpu and others concerning
horses, riding and chariots in China has been used, in addition to my
own research.
p. 26: Concerning the wild animals, I have relied upon Ch'en Meng-chia,
Hsue Chung-shu and Tung Tso-pin.--The discussion as to whether there was
a period of "slave society" (as postulated by Marxist theory) in China,
and when it florished, is still going on under the leadership of Kuo
Mo-jo and his group. I prefer to differentiate between slaves and serfs,
and relied for factual data upon texts from oracle bones, not upon
historical texts.--The problem of Shang chronology is still not solved,
in spite of extensive work by Liu Ch'ao-yang, Tung Tso-pin and many
Japanese and Western scholars. The old chronology, however, seems to be
rejected by most scholars now.
_Chapter Three_
p. 29: Discussing the early script and language, I refer to the great
number of unidentified Shang characters and, especially, to the
composite characters which have been mentioned often by C. Hentze in his
research; on the other hand, the original language of the Chou may have
been different from classical Chinese, if we can judge from the form of
the names of the earliest Chou ancestors. Problems of substrata
languages enter at this stage. Our first understanding of Chou language
and dialects seems to come through the method applied by P. Serruys,
rather than through the more generally accepted theories and methods of
B. Karlgren and his school.
p. 30: I reject here the statement of classical texts that the last
Shang ruler was unworthy, and accept the new interpretation of Ch'en
Meng-chia which is based upon oracle bone texts.--The most recent
general study on feudalism, and on feudalism in China, is in R.
Coulborn, _Feudalism in History_, Princeton 1956. Stimulating, but in
parts antiquated, is M. Granet, _La Feodalite Chinoise_, Oslo 1952. I
rely here on my own research. The instalment procedure has been
described by H. Maspero and Ch'i Szu-ho.
p. 31: The interpretation of land-holding and clans follows my own
research which is influenced by Niida Noboru, Kato Shigeru and other
Japanese scholars, as well as by G. Haloun.--Concerning the origin of
family names see preliminarily Yang Hsi-mei; much further research is
still necessary. The general development of Chinese names is now studied
by Wolfgang Bauer.--The spread of cities in this period has been studied
by Li Chi, _The Formation of the Chinese People_, Cambridge 1928. My
interpretation relies mainly upon a study of the distribution of
non-Chinese tribes and data on early cities coming from excavation
reports (see my "Data on the Structure of the Chinese City" in _Economic
Development and Cultural Change_, 1956, pp. 253-68, and "The Formation
of Chinese Civilization" in _Sociologus_ 7, 1959, pp. 97-112).
p. 32: The work on slaves by T. Pippon, E. Erkes, M. Wilbur, Wan
Kuo-ting, Kuo Mo-jo, Niida Noboru, Kao Nien-chih and others has been
consulted; the interpretation by E. G. Pulleyblank, however, was not
accepted.
p. 33: This interpretation of the "well-field" system relies in part
upon the work done by Hsue Ti-shan, in part upon M. Granet and H.
Maspero, and attempts to utilize insight from general anthropological
theory and field-work mainly in South-East Asia. Other interpretations
have been proposed by Yang Lien-sheng, Wan Kuo-ting, Ch'i Szu-ho P.
Demieville, Hu Shih, Chi Ch'ao-ting, K. A. Wittfogel, and others. Some
authors, such as Kuo Mo-jo, regard the whole system as an utopia, but
believe in an original "village community".--The characterization of the
_Chou-li_ relies in part upon the work done by Hsue Chung-shu and Ku
Chieh-kang on the titles of nobility, research by Yang K'uan and textual
criticism by B. Karlgren, O. Franke, and again Ku Chieh-kang and his
school.--The discussion on twin cities is intended to draw attention to
its West Asian parallels, the "acropolis" or "ark" city, as well as to
the theories on the difference between Western and Asian cities (M.
Weber) and the specific type of cities in "dual societies" (H. Boeke).
p. 34: This is a modified form of the Hu Shih theory.--The problem of
nomadic agrarian inter-action and conflict has been studied for a later
period mainly by O. Lattimore. Here, general anthropological research as
well as my own have been applied.
p. 36: The supra-stratification theory as developed by R. Thurnwald has
been used as analytic tool here.
p. 38: For this period, a novel interpretation is presented by R. L.
Walker, _The Multi-State System of China_, Hamden 1953. For the concepts
of sovereignty, I have used here the _Chou-li_ text and interpretations
based upon this text.
p. 40: For the introduction of iron and the importance of Ch'i, see Chu
Hsi-tsu, Kuo Mo-jo, Yang K'uan, Sekino, Takeshi.--Some scholars (G.
Haloun) tend to interpret attacks such as the one of 660 B. C. as attacks
from outside the borders of China.
p. 41: For Confucius see H. G. Creel, _Confucius_, New York 1949. I do
not, however, follow his interpretation, but rather the ideas of Hu
Shih, O. Franke and others.
p. 42: For "chuen-tzu" and its counterpart "hsiao-jen" see D. Bodde and
Ch'en Meng-chia.
p. 43: I rely strongly here upon O. Franke and Ku Chieh-kang and upon my
own work on eclipses.
p. 44: I regard the Confucian traditions concerning the model emperors
of early time as such a falsification. The whole concept of "abdication"
has been analysed by M. Granet. The later ceremony of abdication was
developed upon the basis of the interpretations of Confucius and has
been studied by Ku Chieh-kang and Miyakawa Hisayuki. Already Confucius'
disciple Meng Tzu, and later Chuang Tzu and Han Fei Tzu were against
this theory.--As a general introduction to the philosophy of this
period, Y. L. Feng's _History of Chinese Philosophy_, London 1937 has
still to be recommended, although further research has made many
advances.--My analysis of the role of Confucianism in society is
influenced by theories in the field of Sociology of religion.
p. 45: The temple in Turkestan was in Khotan and is already mentioned in
the _Wei-shu_ chapter 102. The analysis of the famous "Book on the
transfiguration of Lao Tzu into a Western Barbarian" by Wang Wei-cheng
is penetrating and has been used here. The evaluation of Lao Tzu and his
pupils as against Confucius by J. Needham, in his _Science and
Civilization in China_, Cambridge 1954 _et sqq._ (in volume 2) is very
stimulating, though necessarily limited to some aspects only.
p. 47: The concept of _wu-wei_ has often been discussed; some, such as
Masaaki Matsumoto, interpreted the concept purely in social terms as
"refusal of actions carrying wordly estimation".
p. 49: Further literature concerning alchemy and breathing exercises is
found in J. Needham's book.
_Chapter Four_
p. 51: I have used here the general frame-work of R. L. Walker, but more
upon Yang K'uan's studies.
p. 52: The interpretation of the change of myths in this period is based
in part upon the work done by H. Maspero, G. Haloun, and Ku Chieh-kang.
The analysis of legends made by B. Karlgren from a philological point of
view ("Legends and Cults in Ancient China", _The Museum of Far Eastern
Antiquities, Bulletin_ No. 18, 1946, pp. 199-365) follows another
direction.
p. 53: The discussion on riding involves the theories concerning
horse-nomadic tribes and the period of this way of life. It also
involves the problem of the invention of stirrup and saddle. The saddle
seems to have been used in China already at the beginning of our period;
the stirrup seems to be as late as the fifth century A.D. The article by
A. Kroeber, _The Ancient Oikumene as an Historic Culture Aggregate_,
Huxley Memorial Lecture for 1945, is very instructive for our problems
and also for its theoretical approach.--The custom of attracting
settlers from other areas in order to have more production as well as
more man-power seems to have been known in India at the same time.
p. 54: The work done by Kato Shigeru and Niida Noboru on property and
family has been used here. For the later period, work done by Makino
Tatsumi has also been incorporated.--Literature on the plough and on
iron for implements has been mentioned above. Concerning the fallow
system, I have incorporated the ideas of Kato Shigeru, Oshima Toshikaza,
Hsue Ti-shan and Wan Kuo-ting. Hsue Ti-shan believes that a kind of
3-field system had developed by this time. Traces of such a system have
been observed in modern China (H. D. Scholz). For these questions, the
translation by N. Lee Swann, _Food and Money in Ancient China_, 1959 is
very important.
p. 55: For all questions of money and credit from this period down to
modern times, the best brief introduction is by Lien-sheng Yang, _Money
and Credit in China_, Cambridge 1952. The _Introduction to the Economic
History of China_, London 1954, by E. Stuart Kirby is certainly still
the best brief introduction into all problems of Chinese Economic
history and contains a bibliography in Western and Chinese-Japanese
languages. Articles by Chinese authors on economic problems have been
translated in E-tu Zen Sun and J. de Francis, _Chinese Social History_;
Washington 1956.--Data on the size of early cities have been collected
by T. Sekino and Kato Shigeru.
p. 56: T. Sekino studied the forms of cities. G. Hentze believes that
the city even in the Shang period normally had a square plan.--T. Sekino
has also made the first research on city coins. Such a privilege and
such independence of cities disappear later, but occasionally the
privilege of minting was given to persons of high rank.--K. A. Wittfogel,
_Oriental Despotism_, New Haven 1957 regards irrigation as a key
economic and social factor and has built up his theory around this
concept. I do not accept his theory here or later. Evidence seems to
point towards the importance of transportation systems rather than of
government-sponsored or operated irrigation systems.--Concerning steel,
we follow Yang K'uan; a special study by J. Needham is under
preparation. Centre of steel production at this time was Wan (later
Nan-yang in Honan).--For early Chinese law, the study by A. F. P. Hulsewe,
_Remnants of Han Law_, Leiden 1955 is the best work in English. He does
not, however, regard Li K'ui as the main creator of Chinese law, though
Kuo Mo-jo and others do. It is obvious, however, that Han law was not a
creation of the Han Chinese alone and that some type of code must have
existed before Han, even if such a code was not written by the man Li
K'ui. A special study on Li was made by O. Franke.
p. 57: In the description of border conditions, research by O. Lattimore
has been taken into consideration.
p. 59: For Shang Yang and this whole period, the classical work in
English is still J. J. L. Duyvendak, _The Book of Lord Shang_, London
1928; the translation by Ma Perleberg of _The Works of Kung-sun
Lung-tzu_, Hongkong 1952 as well as the translation of the _Economic
Dialogues in Ancient China: The Kuan-tzu_, edited by L. Maverick, New
Haven 1954 have not found general approval, but may serve as
introductions to the way philosophers of our period worked. Han Fei Tzu
has been translated by W. K. Liao, _The Complete Works of Han Fei Tzu_,
London 1939 (only part 1).
p. 60: Needham does not have such a positive attitude towards Tsou Yen,
and regards Western influences upon Tsou Yen as not too likely. The
discussion on pp. 60-1 follows mainly my own researches.
p. 61: The interpretation of secret societies is influenced by general
sociological theory and detailed reports on later secret societies. S.
Murayama and most modern Chinese scholars stress almost solely the
social element in the so-called "peasant rebellions".
_Chapter Five_
p. 63: The analysis of the emergence of Ch'in bureaucracy has profitted
from general sociological theory, especially M. Weber (see the new
analysis by R. Bendix, _Max Weber, an Intellectual Portrait_, Garden
City 1960, p. 117-157). Early administration systems of this type in
China have been studied in several articles in the journal _Yue-kung_
(vol. 6 and 7).
p. 65: In the discussion of language, I use arguments which have been
brought forth by P. Serruys against the previously generally accepted
theories of B. Karlgren.--For weights and measures I have referred to T.
Sekino, Liu Fu and Wu Ch'eng-lo.
p. 66: For this period, D. Bodde's _China's First Unifier_, Leiden 1938
and his _Statesman, Patriot, and General in Ancient China_, New Haven
1940 remain valuable studies.
_Chapter Six_
p. 71: The basic historical text for this whole period, the _Dynastic
History of the Han Dynasty_, is now in part available in English
translation (H. H. Dubs, _The History of the Former Han Dynasty_,
Baltimore 1938, 3 volumes).
p. 72: The description of the gentry is based upon my own research.
Other scholars define the word "gentry", if applied to China,
differently (some of the relevant studies are discussed in my note in
the _Bull. School of Orient. & African Studies_, 1955, p. 373 f.).
p. 73: The theory of the cycle of mobility has been brought forth by Fr.
L. K. Hsu and others. I have based my criticism upon a forthcoming study
of _Social Mobility in Traditional Chinese Society_. The basic point is
not the momentary economic or political power of such a family, but the
social status of the family (_Li-shih yen-chiu_, Peking 1955, No. 4, p.
122). The social status was, increasingly, defined and fixed by law
(Ch'ue T'ung-tsu).--The difference in the size of gentry and other
families has been pointed out by a number of scholars such as Fr. L. K.
Hsu, H. T. Fei, O. Lang. My own research seems to indicate that gentry
families, on the average, married earlier than other families.
p. 74: The Han system of examinations or rather of selection has been
studied by Yang Lien-sheng; and analysis of the social origin of
candidates has been made in the _Bull. Chinese Studies_, vol. 2, 1941,
and 3, 1942.--The meaning of the term "Hundred Families" has been
discussed by W. Eichhorn, Kuo Mo-jo, Ch'en Meng-chia and especially by
Hsue T'ung-hsin. It was later also a fiscal term.
p. 75: The analysis of Hsiung-nu society is based mainly upon my own
research. There is no satisfactory history of these northern federations
available in English. The compilation of W. M. MacGovern, _The Early
Empires of Central Asia_, Chapel Hill 1939, is now quite antiquated.--An
attempt to construct a model of Central Asian nomadic social structure
has been made by E. E. Bacon, _Obok, a Study of Social Structure in
Eurasia_, New York 1958, but the model constructed by B. Vladimirtsov
and modified by O. Lattimore remains valuable.--For origin and
early-development of Hsiung-nu society see O. Maenchen, K. Jettmar, B.
Bernstam, Uchida Gimpu and many others.
p. 79: Material on the "classes" (_szu min_) will be found in a
forthcoming book. Studies by Ch'ue T'ung-tsu and Tamai Korehiro are
important here. An up-to-date history of Chinese education is still a
desideratum.
p. 80: For Tung Chung-shu, I rely mainly upon O. Franke.--Some scholars
do not accept this "double standard", although we have clear texts which
show that cases were evaluated on the basis of Confucian texts and not
on the basis of laws. In fact, local judges probably only in exceptional
cases knew the text of the law or had the code. They judged on the basis
of "customary law".
p. 81: Based mainly upon my own research. K. A. Wittfogel, _Oriental
Despotism_, New Haven 1957, has a different interpretation.
p. 82: Cases in which the Han emperors disregarded the law code were
studied by Y. Hisamura.--I have used here studies published in the
_Bull. of Chinese Studies_, vol. 2 and 3 and in _Toyo gakuho_, vol. 8
and 9, in addition to my own research.
p. 85: On local administration see Kato Shigeru and Yen Keng-wang's
studies.
p. 86: The problem of the Chinese gold, which will be touched upon later
again, has gained theoretical interest, because it could be used as a
test of M. Lombard's theories concerning the importance of gold in the
West (_Annales, Economies, Societes, Civilisations_, vol. 12, Paris
1957, No. 1, p. 7-28). It was used in China from _c._ 600 B.C. on in form
of coins or bars, but disappeared almost completely from A.D. 200 on,
i.e. the period of economic decline (see L. S. Yang, Kato Shigeru).--The
payment to border tribes occurs many times again in Chinese history down
to recent times; it has its parallel in British payments to tribes in
the North-West Frontier Province in India which continued even after the
Independence.
p. 88: According to later sources, one third of the tributary gifts was
used in the Imperial ancestor temples, one third in the Imperial
mausolea, but one third was used as gifts to guests of the Emperor.--The
trade aspect of the tributes was first pointed but by E. Parker, later
by O. Lattimore, recently by J. K. Fairbank.--The importance of Chang
Ch'ien for East-West contacts was systematically studied by B. Laufer;
his _Sino-Iranica_, Chicago 1919 is still a classic.
p. 89: The most important trait which points to foreign trade, is the
occurrence of glass in Chinese tombs in Indo-China and of glass in China
proper from the fifth century B.C. on; it is assumed that this glass was
imported from the Near East, possibly from Egypt (O. Janse, N. Egami,
Seligman).
p. 91: Large parts of the "Discussions" have been translated by Esson M.
Gale, _Discourses on Salt and Iron_, Leiden 1931; the continuation of
this translation is in _Jour. Royal As. Society, North-China Branch_
1934.--The history of eunuchs in China remains to be written. They were
known since at least the seventh century B.C. The hypothesis has been
made that this custom had its origin in Asia Minor and spread from there
(R. F. Spencer in _Ciba Symposia_, vol. 8, No. 7, 1946 with references).
p. 92: The main source on Wang Mang is translated by C. B. Sargent, _Wang
Mang, a translation_, Shanghai 1950 and H. H. Dubs, _History of the
Former Han Dynasty_, vol, 3, Baltimore 1955.
p. 93: This evaluation of the "Old character school" is not generally
accepted. A quite different view is represented by Tjan Tjoe Som and
R. P. Kramers and others who regard the differences between the schools
as of a philological and not a political kind. I follow here most
strongly the Chinese school as represented by Ku Chieh-kang and his
friends, and my own studies.
p. 93: Falsification of texts refers to changes in the Tso-chuan. My
interpretation relies again upon Ku Chieh-kang, and Japanese
astronomical studies (Ijima Tadao), but others, too, admit
falsifications (H. H. Dubs); B. Karlgren and others regard the book as in
its main body genuine. The other text mentioned here is the _Chou-li_
which is certainly not written by Wang Mang (_Jung-chai Hsue-pi_ 16), but
heavily mis-used by him (in general see S. Uno).
p. 94: I am influenced here by some of H. H. Dubs's studies. For this and
the following period, the work by H. Bielenstein, _The Restoration of
the Han Dynasty_, Stockholm 1953 and 1959 is the best monograph.--The
"equalization offices" and their influence upon modern United States has
been studied by B. Bodde in the _Far Eastern Quarterly_, vol. 5, 1946.
p. 95: H. Bielenstein regards a great flood as one of the main reasons
for the breakdown of Wang Mang's rule.
p. 98: For the understanding of Chinese military colonies in Central
Asia as well as for the understanding of military organization, civil
administration and business, the studies of Lao Kan on texts excavated
in Central Asia and Kansu are of greatest importance.
p. 101: Mazdaistic elements in this rebellion have been mentioned mainly
by H. H. Dubs. Zoroastrism (Zoroaster born 569 B.C.) and Mazdaism were
eminently "political" religions from their very beginning on. Most
scholars admit the presence of Mazdaism in China only from 519 on
(Ishida Mikinosuke, O. Franke). Dubs's theory can be strengthened by
astronomical material.--The basic religious text of this group, the
"Book of the Great Peace" has been studied by W. Eichhron, H. Maspero
and Ho Ch'ang-ch'uen.
p. 102: For the "church" I rely mainly upon H. Maspero and W. Eichhorn.
p. 103: I use here concepts developed by Cheng Chen-to and especially by
Jung Chao-tsu.
p. 104: Wang Ch'ung's importance has recently been mentioned again by J.
Needham.
p. 105: These "court poets" have their direct parallel in Western Asia.
This trend, however, did not become typical in China.--On the general
history of paper read A. Kroeber, _Anthropology_, New York 1948, p.
490f., and Dard Hunter, _Paper Making_, New York 1947 (2nd ed.).
_Chapter Seven_
p. 109: The main historical sources for this period have been translated
by Achilles Fang, _The Chronicle of the Three Kingdoms_, Cambridge,
Mass. 1952; the epic which describes this time is C. H. Brewitt-Taylor,
_San Kuo, or Romance of the Three Kingdoms_, Shanghai 1925.
p. 112: For problems of migration and settlement in the South, we relied
in part upon research by Ch'en Yuean and Wang Yi-t'ung.
p. 114: For the history of the Hsiung-nu I am relying mainly upon my own
studies.
p. 117: This analysis of tribal structure is based mainly upon my own
research; it differs in detail from the studies by E. Bacon, _Obok, a
Study of Social Structure in Eurasia_, New York 1958, B. Vladimirtsov,
O. Lattimore's _Inner Asian Frontiers of China_, New York 1951 (2nd
edit.) and the studies by L. M. J. Schram, _The Monguors of the
Kansu-Tibetan Frontier_, Philadelphia 1954 and 1957.
p. 118: The use of the word "Huns" does not imply that we identify the
early or the late Hsiung-nu with the European Huns. This question is
still very much under discussion (O. Maenchen, W. Haussig, W. Henning,
and others).
p. 119: For the history of the early Hsien-pi states see the monograph
by G. Schreiber, "The History of the Former Yen Dynasty", in _Monomenta
Serica_, vol. 14 and 15 (1949-56). For all translations from Chinese
Dynastic Histories of the period between 220 and 960 the _Catalogue of
Translations from the Chinese Dynastic Histories for the Period
220-960_, by Hans H. Frankel, Berkeley 1957, is a reliable guide.
p. 125: For the description of conditions in Turkestan, especially in
Tunhuang, I rely upon my own studies, but studies by A. von Gabein, L.
Ligeti, J. R. Ware, O. Franke and Tsukamoto Zenryu have been used, too.
p. 133: These songs have first been studied by Hu Shih, later by Chinese
folklorists.
p. 134: For problems of Chinese Buddhism see Arthur F. Wright, _Buddhism
in Chinese History_, Stanford 1959, with further bibliography. I have
used for this and later periods, in addition to my own sociological
studies, R. Michihata, J. Gernet, and Tamai Korehiro.--It is interesting
that the rise of land-owning temples in India occurred at exactly the
same time (R. S. Sharma in _Journ. Econ. and Soc. Hist. Orient_, vol. 1,
1958, p. 316). Perhaps even more interesting, but still unstudied, is
the existence of Buddhist temples in India which owned land and villages
which were donated by contributions from China.--For the use of foreign
monks in Chinese bureaucracies, I have used M. Weber's theory as an
interpretative tool.
p. 135: The important deities of Khotan Buddhism are Vaisramana and
Kubera, (research by P. Demieville, R. Stein and others).--Where, how,
and why Hinayana and Mahayana developed as separate sects, is not yet
studied. Also, a sociological analysis of the different Buddhist sects
in China has not even been attempted yet.
p. 136: Such public religious disputations were known also in India.
p. 137: Analysis of the tribal names has been made by L. Bazin.
p. 138-9: The personality type which was the ideal of the Toba
corresponded closely to the type described by G. Geesemann, _Heroische
Lebensform_, Berlin 1943.
p. 142: The Toba occur in contemporary Western sources as Tabar, Tabgac,
Tafkac and similar names. The ethnic name also occurs as a title (O.
Pritsak, P. Pelliot, W. Haussig and others).--On the _chuen-t'ien_ system
cf. the article by Wan Kuo-ting in E-tu Zen Sun, _Chinese Social
History_, Washington 1956, p. 157-184. I also used Yoshimi Matsumoto and
T'ang Ch'ang-ju.--Census fragments from Tunhuang have been published by
L. Giles, Niida Noboru and other Japanese scholars.
p. 143: On slaves for the earlier time see M. Wilbur, _Slavery in China
during the Former Han Dynasty_, Chicago 1943. For our period Wang
Yi-t'ung and especially Niida Noboru and Ch'ue T'ung-tsu. I used for this
discussion Niida, Ch'ue and Tamai Korehiro.--For the _pu-ch'ue_ I used in
addition Yang Chung-i, H. Maspero, E. Balazs, W. Eichhorn. Yang's
article is translated in E-tu Zen Sun's book, _Chinese Social History_,
pp. 142-56.--The question of slaves and their importance in Chinese
society has always been given much attention by Chinese Communist
authors. I believe that a clear distinction between slaves and serfs is
very important.
p. 145: The political use of Buddhism has been asserted for Japan as
well as for Korea and Tibet (H. Hoffmann, _Quellen zur Geschichte der
tibetischen Bon-Religion_, Mainz 1950, p. 220 f.). A case could be made
for Burma. In China, Buddhism was later again used as a tool by rulers
(see below).
p. 146: The first text in which such problems of state versus church are
mentioned is Mou Tzu (P. Pelliot transl.). More recently, some of the
problems have been studied by R. Michihata and E. Zuercher. Michihata
also studied the temple slaves. Temple families were slightly different.
They have been studied mainly by R. Michihata, J. Gernet and Wang
Yi-t'ung. The information on T'an-yao is mainly in _Wei-shu_ 114
(transl. J. Ware).--The best work on Yuen-kang is now Seiichi Mizuno and
Toshio Nagahiro, _Yuen-kang. The Buddhist Cave-Temples of the Fifth
Century A.D. in North China_, Kyoto 1951-6, thus far 16 volumes. For
Chinese Buddhist art, the work by Tokiwa Daijo and Sekino Tadashi,
_Chinese Buddhist Monuments_, Tokyo 1926-38, 5 volumes, is most
profusely illustrated.--As a general reader for the whole of Chinese
art, Alexander Soper and L. Sickman's _The Art and Architecture of
China_, Baltimore 1956 may be consulted.
p. 147: Zenryu Tsukamoto has analysed one such popular, revolutionary
Buddhist text from the fifth century A.D. I rely here for the whole
chapter mainly upon my own research.
p. 150: On the Ephtalites (or Hephtalites) see R. Ghirshman and
Enoki.--The carpet ceremony has been studied by P. Boodberg, and in a
comparative way by L. Olschki, _The Myth of Felt_, Berkeley 1949.
p. 151: For Yang Chien and his time see now A. F. Wright, "The Formation
of Sui Ideology" in John K. Fairbank, _Chinese Thought and
Institutions_, Chicago 1957, pp. 71-104.
p. 153: The processes described here, have not yet been thoroughly
analysed. A preliminary review of literature is given by H. Wiens,
_China's March towards the Tropics_, Hamden 1954. I used Ch'en Yuean,
Wang Yi-t'ung and my own research.
p. 154: It is interesting to compare such hunting parks with the
"_paradeisos_" (Paradise) of the Near East and with the "Garden of
Eden".--Most of the data on gardens and manors have been brought
together and studied by Japanese scholars, especially by Kato Shigeru,
some also by Ho Tzu-ch'uean.--The disappearance of "village commons" in
China should be compared with the same process in Europe; both
processes, however, developed quite differently. The origin of manors
and their importance for the social structure of the Far East (China as
well as Japan) is the subject of many studies in Japan and in modern
China. This problem is connected with the general problem of feudalism
East and West. The manor (_chuang_: Japanese _sho_) in later periods has
been studied by Y. Sudo. H. Maspero also devotes attention to this
problem. Much more research remains to be done.
p. 158: This popular rebellion by Sun En has been studied by W.
Eichhorn.
p. 163: On foreign music in China see L. C. Goodrich and Ch'ue T'ung-tsu,
H. G. Farmer, S. Kishibe and others.--Niida Noboru pointed out that
musicians belonged to one of the lower social classes, but had special
privileges because of their close relations to the rulers.
p. 164: Meditative or _Ch'an_ (Japanese: _Zen_) Buddhism in this period
has been studied by Hu Shih, but further analysis is necessary.--The
philosophical trends of this period have been analysed by E.
Balazs.--Mention should also be made of the aesthetic-philosophical
conversation which was fashionable in the third century, but in other
form still occurred in our period, the so-called "pure talk"
(_ch'ing-t'an_) (E. Balazs, H. Wilhelm and others).
_Chapter Eight_
p. 167: For genealogies and rules of giving names, I use my own research
and the study by W. Bauer.
p. 168: For Emperor Wen Ti, I rely mainly upon A. F. Wright's
above-mentioned article, but also upon O. Franke.
p. 169: The relevant texts concerning the T'u-chueeh are available in
French (E. Chavannes) and recently also in German translation (Liu
Mau-tsai, _Die chinesischen Nachrichten zur Geschichte der Ost-Turken_,
Wiesbaden 1958, 2 vol.).--The Toeloes are called T'e-lo in Chinese
sources; the T'u-yue-hun are called Aza in Central Asian sources (P.
Pelliot, A. Minorsky, F. W. Thomas, L. Hambis, _et al._). The most
important text concerning the T'u-yue-hun had been translated by Th. D.
Caroll, _Account of the T'u-yue-hun in the History of the Chin Dynasty_,
Berkeley 1953.
p. 171: The transcription of names on this and on the other maps could
not be adjusted to the transcription of the text for technical reasons.
p. 172: It is possible that I have underestimated the role of Li Yuean. I
relied here mainly upon O. Franke and upon W. Bingham's _The Founding of
the T'ang Dynasty_, Baltimore 1941.
p. 173: The best comprehensive study of T'ang economy in a Western
language is still E. Balazs's work. I relied, however, strongly upon Wan
Kuo-ting, Yang Chung-i, Kato Shigeru, J. Gernet, T. Naba, Niida Noboru,
Yoshimi Matsumoto.
p. 173-4: For the description of the administration I used my own
studies and the work of R. des Rotours; for the military organization I
used Kikuehi Hideo. A real study of Chinese army organization and
strategy does not yet exist. The best detailed study, but for the Han
period, is written by H. Maspero.
p. 174: For the first occurrence of the title _tu-tu_ we used W.
Eichhorn; in the form _tutuq_ the title occurs since 646 in Central Asia
(J. Hamilton).
p. 177: The name T'u-fan seems to be a transcription of Tuepoet which, in
turn, became our Tibet. (J. Hamilton).--The Uigurs are the Hui-ho or
Hui-hu of Chinese sources.
p. 179: On relations with Central Asia and the West see Ho Chien-min and
Hsiang Ta, whose classical studies on Ch'ang-an city life have recently
been strongly criticized by Chinese scholars.--Some authors (J. K.
Rideout) point to the growing influence of eunuchs in this period.--The
sources paint the pictures of the Empress Wu in very dark colours. A
more detailed study of this period seems to be necessary.
p. 180: The best study of "family privileges" (_yin_) in general is by
E. A. Kracke, _Civil Service in Early Sung China_, Cambridge, Mass. 1953.
p. 180-1: The economic importance of organized Buddhism has been studied
by many authors, especially J. Gernet, Yang Lien-sheng, Ch'uean
Han-sheng, K. Tamai and R. Michihata.
p. 182: The best comprehensive study on T'ang prose in English is still
E. D. Edwards, _Chinese Prose Literature of the T'ang Period_, London
1937-8, 2 vol. On Li T'ai-po and Po Chue-i we have well-written books by
A. Waley, _The Poetry and Career of Li Po_, London 1951 and _The Life
and Times of Po Chue-i_, London 1950.--On the "free poem" (_tz'u_), which
technically is not a free poem, see A. Hoffmann and Hu Shih. For the
early Chinese theatre, the classical study is still Wang Kuo-wei's
analysis, but there is an almost unbelievable number of studies
constantly written in China and Japan, especially on the later theatre
and drama.
p. 184: Conditions at the court of Hsuean Tsung and the life of Yang
Kui-fei have been studied by Howard Levy and others, An Lu-shan's
importance mainly by E. G. Pulleyblank, _The Background of the Rebellion
of An Lu-shan_, London 1955.
p. 187: The tax reform of Yang Yen has been studied by K. Hino; the most
important figures in T'ang economic history are Liu Yen (studied by Chue
Ch'ing-yuean) and Lu Chih (754-805; studied by E. Balazs and others).
p. 187-8: The conditions at the time of this persecution are well
described by E. O. Reischauer, _Ennin's Travels in T'ang China_, New York
1955, on the basis of his _Ennin's Diary. The Record of a Pilgrimage to
China_, New York 1955. The persecution of Buddhism has been analysed in
its economic character by Niida Noboru and other Japanese
scholars.--Metal statues had to be delivered to the Salt and Iron Office
in order to be converted into cash; iron statues were collected by local
offices for the production of agricultural implements; figures in gold,
silver or other rare materials were to be handed over to the Finance
Office. Figures made of stone, clay or wood were not affected
(Michihata).
p. 189: It seems important to note that popular movements are often not
led by simple farmers or members of the lower classes. There are other
salt merchants and persons of similar status known as leaders.
p. 190: For the Sha-t'o, I am relying upon my own research. Tatars are
the Ta-tan of the Chinese sources. The term is here used in a narrow
sense.
p. 195: Many Chinese and Japanese authors have a new period begin with
the early (Ch'ien Mu) or the late tenth century (T'ao Hsi-sheng, Li
Chien-nung), while others prefer a cut already in the Middle of the
T'ang Dynasty (Teng Ch'u-min, Naito Torajiro). For many Marxists, the
period which we called "Modern Times" is at best a sub-period within a
larger period which really started with what we called "Medieval China".
p. 196: For the change in the composition of the gentry, I am using my
own research.--For clan rules, clan foundations, etc., I used D. C.
Twitchett, J. Fischer, Hu Hsien-chin, Ch'ue T'ung-tsu, Niida Noboru and
T. Makino. The best analysis of the clan rules is by Wang Hui-chen in
D. S. Nivison, _Confucianism in Action_, Stanford 1959, p. 63-96.--I do
not regard such marriage systems as "survivals" of ancient systems which
have been studied by M. Granet and systematically analysed by C.
Levy-Strauss in his _Les structures elementaires de la parente_, Paris
1949, pp. 381-443. In some cases, the reasons for the establishment of
such rules can still be recognized.--A detailed study of despotism in
China still has to be written. K. A. Wittfogel's _Oriental Despotism_,
New Haven 1957 does not go into the necessary detailed work.
p. 197: The problem of social mobility is now under study, after
preliminary research by K. A. Wittfogel, E. Kracke, myself and others. E.
Kracke, Ho Ping-ti, R. M. Marsh and I are now working on this topic.--For
the craftsmen and artisans, much material has recently been collected by
Chinese scholars. I have used mainly Li Chien-nung and articles in
_Li-shih yen-chiu_ 1955, No. 3 and in _Mem. Inst. Orient. Cult._
1956.--On the origin of guilds see Kato Shigeru; a general study of
guilds and their function has not yet been made (preliminary work by P.
Maybon, H. B. Morse, J. St. Burgess, K. A. Wittfogel and others).
Comparisons with Near-Eastern guilds on the one hand and with Japanese
guilds on the other, are quite interesting but parallels should not be
over-estimated. The _tong_ of U. S. Chinatowns (_tang_ in Mandarin) are
late and organizations of businessmen only (S. Yokoyama and Laai
Yi-faai). They are not the same as the _hui-kuan_.
p. 198: For the merchants I used Ch'ue T'ung-tsu, Sung Hsi and Wada
Kiyoshi.--For trade, I used extensively Ch'uean Han-sheng and J.
Kuwabara.--On labour legislation in early modern times I used Ko
Ch'ang-chi and especially Li Chien-nung, also my own studies.--On
strikes I used Kato Shigeru and modern Chinese authors.--The problem of
"vagrants" has been taken up by Li Chien-nung who always refers to the
original sources and to modern Chinese research.--The growth of cities,
perhaps the most striking event in this period, has been studied for the
earlier part of our period by Kato Shigeru. Li Chien-nung also deals
extensively with investments in industry and agriculture. The problem as
to whether China would have developed into an industrial society without
outside stimulus is much discussed by Marxist authors in China.
p. 199: On money policy see Yang Lien-sheng, Kato Shigeru and others.
p. 200: The history of one of the Southern Dynasties has been translated
by Ed. H. Schafer, _The Empire of Min_, Tokyo 1954; Schafer's
annotations provide much detail for the cultural and economic conditions
of the coastal area.--For tea and its history, I use my own research;
for tea trade a study by K. Kawakami and an article in the _Frontier
Studies_, vol. 3, 1943.--Salt consumption according to H. T. Fei,
_Earthbound China_, 1945, p. 163.
p. 201: For salt I used largely my own research. For porcelain
production Li Chien-nung and other modern articles.--On paper, the
classical study is Th. F. Carter, _The Invention of Printing in China_,
New York 1925 (a revised edition now published by L. C. Goodrich).
p. 202: For paper money in the early period, see Yang Lien-sheng, _Money
and Credit in China_, Cambridge, Mass., 1952. Although the origin of
paper money seems to be well established, it is interesting to note that
already in the third century A.D. money made of paper was produced and
was burned during funeral ceremonies to serve as financial help for the
dead. This money was, however, in the form of coins.--On iron money see
Yang Lien-sheng; I also used an article in _Tung-fang tsa-chih_, vol.
35, No. 10.
p. 203: For the Kitan (Chines: Ch'i-tan) and their history see K. A.
Wittfogel and Feng Chia-sheng, _History of Chinese Society. Liao_,
Philadelphia 1949.
p. 204: For these dynasties, I rely upon my own research.--Niida Noboru
and Kato Shigeru have studied adoption laws; our specific case has in
addition been studied by M. Kurihara. This system of adoptions is
non-Chinese and has its parallels among Turkish tribes (A. Kollantz,
Abdulkadir Inan, Osman Turan).
p. 207: For the persecution I used K. Tamai and my own research.
p. 211: This is based mainly upon my own research.--The remark on tax
income is from Ch'uean Han-sheng.
p. 212: Fan Chung-yen has been studied recently by J. Fischer and D.
Twitchett, but these notes on price policies are based upon my own
work.--I regard the statement, that it was the gentry which prevented
the growth of an industrial society--a statement which has often been
made before--as preliminary, and believe that further research,
especially in the growth of cities and urban institutions may lead to
quite different explanations.--On estate management I relied on Y.
Sudo's work.
p. 213: Research on place names such as mentioned here, has not yet been
systematically done.--On _i-chuang_ I relied upon the work by T. Makino
and D. Twitchett.--This process of tax-evasion has been used by K. A.
Wittfogel (1938) to construct a theory of a crisis cycle in China. I do
not think that such far-reaching conclusions are warranted.
p. 214: This "law" was developed on the basis of Chinese materials from
different periods as well as on materials from other parts of Asia.--In
the study of tenancy, cases should be studied in which wealthier farmers
rent additional land which gets cultivated by farm labourers. Such cases
are well known from recent periods, but have not yet been studied in
earlier periods. At the same time, the problem of farm labourers should
be investigated. Such people were common in the Sung time. Research
along these lines could further clarify the importance of the so-called
"guest families" (_k'o-hu_) which were alluded to in these pages. They
constituted often one third of the total population in the Sung period.
The problem of migration and mobility might also be clarified by
studying the _k'o-hu._
p. 215: For Wang An-shih, the most comprehensive work is still H.
Williamson's _Wang An-shih_, London 1935, 3 vol., but this work in no
way exhausts the problems. We have so much personal data on Wang that a
psychological study could be attempted; and we have since Williamson's
time much deeper insight into the reforms and theories of Wang. I used,
in addition to Williamson, O. Franke, and my own research.
p. 216: Based mainly upon Ch'ue T'ung-tsu.--For the social legislation
see Hsue I-t'ang; for economic problems I used Ch'uean Han-sheng, Ts'en
Chung-mien and Liu Ming-shu.--Most of these relief measures had their
precursors in the T'ang period.
p. 217: It is interesting to note that later Buddhism gave up its
"social gospel" in China. Buddhist circles in Asian countries at the
present time attempt to revive this attitude.
p. 218: For slaughtering I used A. Hulsewe; for greeting R. Michihata;
on law Ch'ue T'ung-tsu; on philosophy I adapted ideas from Chan
Wing-sit.
p. 219: A comprehensive study of Chu Hsi is a great desideratum. Thus
far, we have in English mainly the essays by Feng Yu-lan (transl. and
annotated by D. Bodde) in the _Harvard Journal of Asiat. Stud._, vol. 7,
1942. T. Makino emphasized Chu's influence upon the Far East, J. Needham
his interest in science.
p. 220: For Su Tung-p'o as general introduction see Lin Yutang, _The Gay
Genius. The Life and Times of Su Tungpo_, New York 1947.--For painting,
I am using concepts of A. Soper here.
p. 222: For this period the standard work is K. A. Wittfogel and Feng
Chia-sheng, _History of Chinese Society, Liao_, Philadelphia
1949.--Po-hai had been in tributary relations with the dynasties of
North China before its defeat, and resumed these from 932 on; there were
even relations with one of the South Chinese states; in the same way,
Kao-li continuously played one state against the other (M. Rogers _et
al._).
p. 223: On the Kara-Kitai see Appendix to Wittfogel-Feng.
p. 228: For the Hakka, I relied mainly upon Lo Hsiang-lin; for Chia
Ssu-tao upon H. Franke.
p. 229: The Ju-chen (Jurchen) are also called Nue-chih and Nue-chen, but
Ju-chen seems to be correct (_Studia Serica_, vol. 3, No. 2).
_Chapter Ten_
p. 233: I use here mainly Meng Ssu-liang, but also others, such as Chue
Ch'ing-yuean and Li Chien-nung.--The early political developments are
described by H. D. Martin, _The Rise of Chingis Khan and his Conquest of
North China_, Baltimore 1950.
p. 236: I am alluding here to such Taoist sects as the Cheng-i-chiao
(Sun K'o-k'uan and especially the study in _Kita Aziya gakuho_, vol. 2).
pp. 236-7: For taxation and all other economic questions I have relied
upon Wan Kuo-ting and especially upon H. Franke. The first part of the
main economic text is translated and annotated by H. F. Schurmann,
_Economic Structure of the Yuean Dynasty_, Cambridge, Mass., 1956.
p. 237: On migrations see T. Makino and others.--For the system of
communications during the Mongol time and the privileges of merchants, I
used P. Olbricht.
p. 238: For the popular rebellions of this time, I used a study in the
_Bull. Acad. Sinica_, vol. 10, 1948, but also Meng Ssu-liang and others.
p. 239: On the White Lotos Society (Pai-lien-hui) see note to previous
page and an article by Hagiwara Jumpei.
p. 240: H. Serruys, _The Mongols in China during the Hung-wu Period_,
Bruges 1959, has studied in this book and in an article the fate of
isolated Mongol groups in China after the breakdown of the dynasty.
pp. 241-2: The travel report of Ch'ang-ch'un has been translated by A.
Waley, _The Travels of an Alchemist_, London 1931.
p. 242: _Hsi-hsiang-chi_ has been translated by S. I. Hsiung. _The
Romance of the Western Chamber_, London 1935. All important analytic
literature on drama and theatre is written by Chinese and Japanese
authors, especially by Yoshikawa Kojiro.--For Bon and early Lamaism, I
used H. Hoffmann.
p. 243: Lamaism in Mongolia disappeared later, however, and was
re-introduced in the reformed form (Tsong-kha-pa, 1358-1419) in the
sixteenth century. See R. J. Miller, _Monasteries and Culture Change in
Inner Mongolia_, Wiesbaden 1959.
p. 245: Much more research is necessary to clarify Japanese-Chinese
relations in this period, especially to determine the size of trade.
Good material is in the article by S. Iwao. Important is also S. Sakuma
and an article in _Li-shih yen-chiu_ 1955, No. 3. For the loss of coins,
I relied upon D. Brown.
p. 246: The necessity of transports of grain and salt was one of the
reasons for the emergence of the Hsin-an and Hui-chou merchants. The
importance of these developments is only partially known (studies mainly
by H. Fujii and in _Li-shih-yen-chiu_ 1955, No. 3). Data are also in an
unpublished thesis by Ch. Mac Sherry, _The Impairment of the Ming
Tributary System_, and in an article by Wang Ch'ung-wu.
p. 247: The tax system of the Ming has been studied among others by
Liang Fang-chung. Yoshiyuki Suto analysed the methods of tax evasion in
the periods before the reform. For the land grants, I used Wan
Kuo-ting's data.
p. 248: Based mainly upon my own research. On the progress of
agriculture wrote Li Chien-nung and also Kato Shigeru and others.
p. 250: I believe that further research would discover that the
"agrarian revolution" was a key factor in the economic and social
development of China. It probably led to another change in dietary
habits; it certainly led to a greater labour input per person, i.e. a
higher number of full working days per year than before. It may be--but
only further research can try to show this--that the "agrarian
revolution" turned China away from technology and industry.--On cotton
and its importance see the studies by M. Amano, and some preliminary
remarks by P. Pelliot.
p. 250-1: Detailed study of Central Chinese urban centres in this time
is a great desideratum. My remarks here have to be taken as very
preliminary. Notice the special character of the industries
mentioned!--The porcelain centre of Ching-te-chen was inhabited by
workers and merchants (70-80 per cent of population); there were more
than 200 private kilns.--On indented labour see Li Chien-nung, H. Iwami
and Y. Yamane.
p. 253: On _pien-wen_ I used R. Michihata, and for this general
discussion R. Irvin, _The Evolution of a Chinese Novel_, Cambridge,
Mass., 1953, and studies by J. Jaworski and J. Prusek. Many texts of
_pien-wen_ and related styles have been found in Tunhuang and have been
recently republished by Chinese scholars.
p. 254: _Shui-hu-chuan_ has been translated by Pearl Buck, _All Men are
Brothers_. Parts of _Hsi-yu-chi_ have been translated by A. Waley,
_Monkey_, London 1946. _San-kuo yen-i_ is translated by C. H.
Brewitt-Taylor, _San Kuo, or Romance of the Three Kingdoms_, Shanghai
1925 (a new edition just published). A purged translation of
Chin-p'ing-mei is published by Fr. Kuhn _Chin P'ing Mei_, New York 1940.
p. 255: Even the "murder story" was already known in Ming time. An
example is R. H. van Gulik, _Dee Gong An. Three Murder Cases solved by
Judge Dee_, Tokyo 1949.
p. 256: For a special group of block-prints see R. H. van Gulik, _Erotic
Colour Prints of the Ming Dynasty_, Tokyo 1951. This book is also an
excellent introduction into Chinese psychology.
p. 257: Here I use work done by David Chan.
p. 258: I use here the research of J. J. L. Duyvendak; the reasons for the
end of such enterprises, as given here, may not exhaust the problem. It
may not be without relevance that Cheng came from a Muslim family. His
father was a pilgrim (_Bull. Chin. Studies_, vol. 3, pp. 131-70).
Further research is desirable.--Concerning folk-tales, I use my own
research. The main Buddhist tales are the _Jataka_ stories. They are
still used by Burmese Buddhists in the same context.
p. 260: The Oirat (Uyrat, Ojrot, Oeloet) were a confederation of four
tribal groups: Khosud, Dzungar, Doerbet and Turgut.
p. 261: I regard this analysis of Ming political history as
unsatisfactory, but to my knowledge no large-scale analysis has been
made.--For Wang Yang-ming I use mainly my own research.
p. 262: For the coastal salt-merchants I used Lo Hsiang-lin's work.
p. 263: On the rifles I used P. Pelliot. There is a large literature on
the use of explosives and the invention of cannons, especially L. C.
Goodrich and Feng Chia-sheng in _Isis_, vol. 36, 1946 and 39, 1948; also
G. Sarton, Li Ch'iao-p'ing, J. Prusek, J. Needham, and M. Ishida; a
comparative, general study is by K. Huuri, _Studia Orientalia_ vol. 9,
1941.--For the earliest contacts of Wang with Portuguese, I used Chang
Wei-hua's monograph.--While there is no satisfactory, comprehensive
study in English on Wang, for Lu Hsiang-shan the book by Huang Siu-ch'i,
_Lu Hsiang-shan, a Twelfth-century Chinese Idealist Philosopher_, New
Haven 1944, can be used.
p. 264: For Tao-yen, I used work done by David Chan.--Large parts of the
_Yung-lo ta-tien_ are now lost (Kuo Po-kung, Yuean T'ung-li studied this
problem).
p. 265: Yen-ta's Mongol name is Altan Qan (died 1582), leader of the
Tuemet. He is also responsible for the re-introduction of Lamaism into
Mongolia (1574).--For the border trade I used Hou Jen-chih; for the
Shansi bankers Ch'en Ch'i-t'ien and P. Maybon. For the beginnings of the
Manchu see Fr. Michael, _The Origins of Manchu Rule in China_, Baltimore
1942.
p. 266: M. Ricci's diary (Matthew Ricci, _China in the Sixteenth
Century_, The Journals of M. Ricci, transl. by L. J. Gallagher, New York
1953) gives much insight into the life of Chinese officials in this
period. Recently, J. Needham has tried to show that Ricci and his
followers did not bring much which was not already known in China, but
that they actually attempted to prevent the Chinese from learning about
the Copernican theory.
p. 267: For Coxinga I used M. Eder's study.--The Szechwan rebellion was
led by Chang Hsien-chung (1606-1647); I used work done by James B.
Parsons. Cheng T'ien-t'ing, Sun Yueh and others have recently published
the important documents concerning all late Ming peasant
rebellions.--For the Tung-lin academy see Ch. O. Hucker in J. K.
Fairbank, _Chinese Thought and Institutions_, Chicago 1957. A different
interpretation is indicated by Shang Yueeh in _Li-shih yen-chiu_ 1955,
No. 3.
p. 268: Work on the "academies" (shu-yuean) in the earlier time is done
by Ho Yu-shen.
p. 273-4: Based upon my own, as yet unfinished research.
p. 274: The population of 1953 as given here, includes Chinese outside
of mainland China. The population of mainland China was 582.6 millions.
If the rate of increase of about 2 per cent per year has remained the
same, the population of mainland China in 1960 may be close to 680
million. In general see P. T. Ho. _Studies on the Population of China,
1368-1953_, Cambridge, Mass., 1960.
p. 276: Based upon my own research.--A different view of the development
of Chinese industry is found in Norman Jacobs, _Modern Capitalism and
Eastern Asia_, Hong Kong 1958. Jacobs attempted a comparison of China
with Japan and with Europe. Different again is Marion Levy and Shih
Kuo-heng, _The Rise of the Modern Chinese Business Class_, New York
1949. Both books are influenced by the sociological theories of T.
Parsons.
p. 277: The Dzungars (Dsunghar; Chun-ko-erh) are one of the four Oeloet
(Oirat) groups. I am here using studies by E. Haenisch and W. Fuchs.
p. 278: Tibetan-Chinese relations have been studied by L. Petech, _China
and Tibet in the Early 18th Century_, Leiden 1950. A collection of data
is found in M. W. Fisher and L. E. Rose, _England, India, Nepal, Tibet,
China, 1765-1958_, Berkeley 1959. For diplomatic relations and tributary
systems of this period, I referred to J. K. Fairbank and Teng Ssu-yue.
p. 279: For Ku Yen-wu, I used the work by H. Wilhelm.--A man who
deserves special mention in this period is the scholar Huang Tsung-hsi
(1610-1695) as the first Chinese who discussed the possibility of a
non-monarchic form of government in his treatise of 1662. For him see
Lin Mou-sheng, _Men and Ideas_, New York 1942, and especially W. T. de
Bary in J. K. Fairbank, _Chinese Thought and Institutions_, Chicago 1957.
p. 280-1: On Liang see now J. R. Levenson, _Liang Ch'i-ch'ao and the Mind
of Modern China_, London 1959.
p. 282: It should also be pointed out that the Yung-cheng emperor was
personally more inclined towards Lamaism.--The Kalmuks are largely
identical with the above-mentioned Oeloet.
p. 286: The existence of _hong_ is known since 1686, see P'eng Tse-i and
Wang Chu-an's recent studies. For details on foreign trade see H. B.
Morse, _The Chronicles of the East India Company Trading to China
1635-1834_, Oxford 1926, 4 vols., and J. K. Fairbank, _Trade and
Diplomacy on the China Coast. The Opening of the Treaty Ports,
1842-1854_, Cambridge, Mass., 1953, 2 vols.--For Lin I used G. W.
Overdijkink's study.
p. 287: On customs read St. F. Wright, _Hart and the Chinese Customs_,
Belfast 1950.
p. 288: For early industry see A. Feuerwerker, _China's Early
Industrialization: Sheng Hsuan-huai (1844-1916)_, Cambridge, Mass.,
1958.
p. 289: The Chinese source materials for the Mohammedan revolts have
recently been published, but an analysis of the importance of the
revolts still remains to be done.--On T'ai-p'ing much has been
published, especially in the last years in China, so that all documents
are now available. I used among other studies, details brought out by Lo
Hsiang-lin and Jen Yu-wen.
p. 291: For Tseng Kuo-fan see W. J. Hail, _Tseng Kuo-fan and the
T'ai-p'ing Rebellion_, Hew Haven 1927, but new research on him is about
to be published.--The Nien-fei had some connection with the White Lotos,
and were known since 1814, see Chiang Siang-tseh, _The Nien Rebellion_,
Seattle 1954.
p. 292: Little is known about Salars, Dungans and Yakub Beg's rebellion,
mainly because relevant Turkish sources have not yet been studied. On
Salars see L. Schram, _The Monguors of Kansu_, Philadelphia 1954, p. 23
and P. Pelliot; on Dungans see I. Grebe.
p. 293: On Tso Tsung-t'ang see G. Ch'en, _Tso Tung T'ang, Pioneer
Promotor of the Modern Dockyard and Woollen Mill in China_, Peking 1938,
and _Yenching Journal of Soc. Studies_, vol. 1.
p. 294: For the T'ung-chih period, see now Mary C. Wright, _The Last
Stand of Chinese Conservativism. The T'ung-chih Restoration, 1862-1874_,
Stanford 1957.
p. 295: Ryukyu is Chinese: Liu-ch'iu; Okinawa is one of the islands of
this group.--Formosa is Chinese: T'ai-wan (Taiwan). Korea is Chinese:
Chao-hsien, Japanese: Chosen.
p. 297: M. C. Wright has shown the advisers around the ruler before the
Empress Dowager realized the severity of the situation.--Much research
is under way to study the beginning of industrialization of Japan, and
my opinions have changed greatly, due to the research done by Japanese
scholars and such Western scholars as H. Rosovsky and Th. Smith. The
eminent role of the lower aristocracy has been established. Similar
research for China has not even seriously started. My remarks are
entirely preliminary.
p. 298: For K'ang Yo-wei, I use work done by O. Franke and others. See
M. E. Cameron, _The Reform Movement in China, 1898-1921_, Stanford 1921.
The best bibliography for this period is J. K. Fairbank and Liu
Kwang-ching, _Modern China: A Bibliographical Guide to Chinese Works,
1898-1937_, Cambridge, Mass., 1950. The political history of the time,
as seen by a Chinese scholar, is found in Li Chien-nung, _The Political
History of China 1840-1928_, Princeton 1956.--For the social history of
this period see Chang Chung-li, _The Chinese Gentry_, Seattle 1955.--For
the history of Tzu Hsi Bland-Backhouse, _China under the Empress
Dowager_, Peking 1939 (Third ed.) is antiquated, but still used For some
of K'ang Yo-wei's ideas, see now K'ang Yo-wei: _Ta T'ung Shu. The One
World Philosophy of K'ang Yu Wei_, London 1957.
_Chapter Eleven_
p. 305: I rely here partly upon W. Franke's recent studies. For Sun
Yat-sen (Sun I-hsien; also called Sun Chung-shan) see P. Linebarger,
_Sun Yat-sen and the Chinese Republic_, Cambridge, Mass., 1925 and his
later _The Political Doctrines of Sun Yat-sen_, Baltimore
1937.--Independently, Atatuerk in Turkey developed a similar theory of
the growth of democracy.
p. 306: On student activities see Kiang Wen-han, _The Ideological
Background of the Chinese Student Movement_, New York 1948.
p. 307: On Hu Shih see his own _The Chinese Renaissance_, Chicago 1934
and J. de Francis, _Nationalism and Language Reform in China_, Princeton
1950.
p. 310: The declaration of Independence of Mongolia had its basis in the
early treaty of the Mongols with the Manchus (1636): "In case the Tai
Ch'ing Dynasty falls, you will exist according to previous basic laws"
(R. J. Miller, _Monasteries and Culture Change in Inner Mongolia_,
Wiesbaden 1959, p. 4).
p. 315: For the military activities see F. F. Liu, _A Military History of
Modern China, 1924-1949_, Princeton 1956. A marxist analysis of the 1927
events is Manabendra Nath Roy, _Revolution and Counter-Revolution in
China_, Calcutta 1946; the relevant documents are translated in C.
Brandt, B. Schwartz, J. K. Fairbank, _A Documentary History of Chinese
Communism_, Cambridge, Mass., 1952.
_Chapter Twelve_
For Mao Tse-tung, see B. Schwartz, _Chinese Communism and the Rise of
Mao_, second ed., Cambridge, Mass., 1958. For Mao's early years; see
J. E. Rue, _Mao Tse-tung in Opposition, 1927-1935_, Stanford 1966. For
the civil war, see L. M. Chassin, _The Communist Conquest of China: A
History of the Civil War, 1945-1949_, Cambridge, Mass., 1965. For
brief information on communist society, see Franz Schurmann and Orville
Schell, _The China Reader_, vol. 3, _Communist China_, New York 1967.
For problems of organization, see Franz Schurmann, _Ideology and
Organization in Communist China_, Berkeley 1966. For cultural and
political problems, see Ho Ping-ti, _China in Crisis_, vol. 1, _China's
Heritage and the Communist Political System_, Chicago 1968. For a
sympathetic view of rural life in communist China, see J. Myrdal,
_Report from a Chinese Village_, New York 1965; for Taiwanese village
life, see Bernard Gallin, _Hsin Hsing, Taiwan: A Chinese Village in
Change_, Berkeley 1966.
INDEX
Abahai, ruler, 269
Abdication, 92-3, 182, 227, 302
Aborigines, 323
Absolutism, 196, 208, 210, 232 ff., 247
(_see_ Despotism, Dictator, Emperor,
Monarchy)
Academia Sinica, 307
Academies, 221, 255, 267-8, 272
Administration, 64, 82-4, 138 ff, 142, 144, 154, 170, 173-4, 210;
provincial, 85
(_see_ Army, Feudalism, Bureaucracy)
Adobe (Mud bricks), 16, 19, 32
Adoptions, 204
Afghanistan, 146-7
Africa, 201, 259
Agriculture, development, 54, 198 ff., 249-50, 275;
Origin of, 10, 11;
of Shang, 21;
shifting (denshiring), 32
(_see_ Wheat, Millet, Rice, Plough, Irrigation, Manure, Canals,
Fallow)
An Ti, ruler of Han, 92
Ainu, tribes, 9
Ala-shan mountain range, 88
Alchemy, 49, 104
(_see_) Elixir
Alexander the Great, 146-7
America, 276, 300
(_see_) United States
Amithabha, god, 188
Amur, river, 278
An Chi-yeh, rebel, 293
An Lu-shan, rebel, 184 ff., 189, 195
Analphabetism, 65
Anarchists, 47
Ancestor, cult, 24, 32
Aniko, sculptor, 243
Animal style, 17
Annam (Vietnam), 97, 160, 209, 219, 234, 258, 265, 295, 330
Anyang (Yin-ch'ue), 19, 22
Arabia, 258; Arabs, 104, 178, 183, 185, 266
Architecture, 147, 256
Aristocracy, 25, 26, 36, 122, 195
(_see_ Nobility, Feudalism)
Army, cost of, 211;
organization of, 24, 118, 174, 236;
size of, 53;
Tibetan, 127
(_see_ War, Militia, tu-tu, pu-ch'ue)
Art, Buddhist, 146-7
(_see_ Animal style, Architecture, Pottery, Painting, Sculpture,
Wood-cut)
Arthashastra, book, attributed to Kautilya, 59
Artisans, 19, 26, 31, 33, 56, 79;
Organizations of, 58
(_see_ Guilds, Craftsmen)
Assimilation, 144, 152, 166, 244
(_see_ Colonization)
Astronomy, 266
Austroasiats, 10, 12
Austronesians, 12
Avars, tribe, 140
(_see_ Juan-juan)
Axes, prehistoric, 10
Axis, policy, 51
Babylon, 65
Baghdad, city, 201
Balasagun, city, 224
Ballads, 133
Banks, 265, 305
Banner organization, 268, 291
Barbarians (Foreigners), 109, 122, 246, 278
Bastards, 41
Bath, 217
Beg, title, 289
Beggar, 239
Bengal, 250, 283
Boat festival, 23
Bokhara (Bukhara), city, 46
Bon, religion, 242
Bondsmen, 31, 117, 143
(_see pu-ch'ue_, Serfs, Feudalism)
Book, printing, 201; B burning, 66
Boettger, inventor, 256
Boxer rebellion, 299
Boycott, 314
Brahmans, Indian caste, 34, 106
Brain drain, 326
Bronze, 17, 20, 22, 29, 33, 40, 106, 180-1
(_see_ Metal, Copper)
Brothel (Tea-house), 163, 217
Buddha, 46; Buddhism, 20, 106, 108-9, 125, 127, 133 ff., 145 ff., 150,
161, 164, 168, 178, 179 ff., 188, 217, 218, 236, 257, 259, 266, 306
(_see_ Ch'an, Vinaya, Sects, Amithabha, Maitreya, Hinayana,
Mahayana, Monasteries, Church, Pagoda, Monks, Lamaism)
Budget, 168, 175, 209, 210, 215, 261
(_see_ Treasury, Inflation, Deflation)
Bullfights, 182
Bureaucracy, 24, 33, 63, 72;
religious B, 25
(_see_ Administration; Army)
Burgher (_liang-min_), 143, 183, 216
Burma, 12, 146, 234, 248, 265, 269, 283, 318, 319, 322, 329, 330
Businessmen, 64
(_see_ Merchants, Trade)
Byzantium, 177
Calcutta, city, 283
Caliph (Khaliph), 185
Cambodia, 234, 295
Canals, 170, 246; Imperial C, 168, 235-6
(_see_ Irrigation)
Cannons, 232, 263
Canton (Kuang-chou), city, 67, 77, 89, 97, 159, 190, 209, 237, 262, 266,
286, 287, 308, 309, 312, 314
Capital of Empire, 144
(_see_ Ch'ang-an, Si-an, Lo-yang, etc.)
Capitalism, 180-1, 212, 297, 303
(_see_ Investments, Banks, Money, Economy, etc.)
Capitulations (privileges of foreign nations), 273, 287, 290, 312, 316
Caravans, 86, 98, 121, 129, 181
(_see_ Silk road, Trade)
Carpet, 243
Castes, 106
(_see_ Brahmans)
Castiglione, G., painter, 281
Cattle, breeding, 155
Cavalry, 53
(_see_ Horse)
Cave temples, 146-7
(_see_ Lung-men, Yuen-kang, Tun-huang)
Censorate, 84
Censorship, 254
Census, 143
(_see_ Population)
Central Asia, 25, 87-88, 90, 113, 119, 135, 169, 179, 209, 259, 277, 330
(_see_ Turkestan, Sinkiang, Tarim, City States)
Champa, State, 249
Ch'an (Zen), meditative Buddhism, 164, 175, 218, 263
Chan-kuo Period (Contending States), 51 ff.
Chancellor, 82
Ch'ang-an, capital of China, 123, 127, 129, 167, 172, 176, 184, 185,
190, 207
(_see_ Sian)
Chang Ch'ien, ambassador, 88
Chang Chue-chan, teacher, 265
Chang Hsien-chung, rebel, 268, 271
Chang Hsueeh-liang, war lord, 316
Chang Ling, popular leader, 101, 136, 147, 264
Chang Ti, ruler, 99
Chang Tsai, philosopher, 218
Chang Tso-lin, war lord, 312, 316
Chao, state, 53, 63;
Earlier Chao, 124;
Later Chao, 124
Chao K'uang-yin (T'ai Tsu), ruler, 208, 209
Chao Meng-fu, painter, 243
Charters, 30
Chefoo Convention, 295
Ch'en, dynasty, 162 ff.
Ch'en Pa-hsien, ruler, 162
Ch'en Tu-hsiu, intellectual, 307, 320
Ch'eng Hao, philosopher, 219
Cheng Ho, navy commander, 258
Ch'eng I, philosopher, 219
Cheng-i-chiao, religion, 263-4