Chapter Ten. THE PERIOD OF ABSOLUTISM
(A) The Mongol Epoch (1280-1368)
1 Beginning of new foreign rules
During more than half of the third period of "Modern Times" which now began, China was under alien rule. Of the 631 years from 1280 to 1911, China was under national rulers for 276 years and under alien rule for 355. The alien rulers were first the Mongols, and later the Tungus Manchus. It is interesting to note that the alien rulers in the earlier period came mainly from the north-west, and only in modern times did peoples from the north-east rule over China. This was due in part to the fact that only peoples who had attained a certain level of civilization were capable of dominance. In antiquity and the Middle Ages, eastern Mongolia and Manchuria were at a relatively low level of civilization, from which they emerged only gradually through permanent contact with other nomad peoples, especially Turks. We are dealing here, of course, only with the Mongol epoch in China and not with the great Mongol empire, so that we need not enter further into these questions.
Yet another point is characteristic: the Mongols were the first alien people to rule the whole of China; the Manchus, who appeared in the seventeenth century, were the second and last. All alien peoples before these two ruled only parts of China. Why was it that the Mongols were able to be so much more successful than their predecessors? In the first place the Mongol political league was numerically stronger than those of the earlier alien peoples; secondly, the military organization and technical equipment of the Mongols were exceptionally advanced for their day. It must be borne in mind, for instance, that during their many years of war against the Sung dynasty in South China the Mongols already made use of small cannon in laying siege to towns. We have no exact knowledge of the number of Mongols who invaded and occupied China, but it is estimated that there were more than a million Mongols living in China. Not all of them, of course, were really Mongols! The name covered Turks, Tunguses, and others; among the auxiliaries of the Mongols were Uighurs, men from Central Asia and the Middle East, and even Europeans. When the Mongols attacked China they had the advantage of all the arts and crafts and all the new technical advances of western and central Asia and of Europe. Thus they had attained a high degree of technical progress, and at the same time their number was very great.
2 "Nationality legislation"
It was only after the Hsia empire in North China, and then the empire of the Juchen, had been destroyed by the Mongols, and only after long and remarkably modern tactical preparation, that the Mongols conquered South China, the empire of the Sung dynasty. They were now faced with the problem of ruling their great new empire. The conqueror of that empire, Kublai, himself recognized that China could not be treated in quite the same way as the Mongols' previous conquests; he therefore separated the empire in China from the rest of the Mongol empire. Mongol China became an independent realm within the Mongol empire, a sort of Dominion. The Mongol rulers were well aware that in spite of their numerical strength they were still only a minority in China, and this implied certain dangers. They therefore elaborated a "nationality legislation", the first of its kind in the Far East. The purpose of this legislation was, of course, to be the protection of the Mongols. The population of conquered China was divided into four groups - (1) Mongols, themselves falling into four sub-groups (the oldest Mongol tribes, the White Tatars, the Black Tatars, the Wild Tatars); (2) Central Asian auxiliaries (Naimans, Uighurs, and various other Turkish people, Tanguts, and so on); (3) North Chinese; (4) South Chinese. The Mongols formed the privileged ruling class. They remained militarily organized, and were distributed in garrisons over all the big towns of China as soldiers, maintained by the state. All the higher government posts were reserved for them, so that they also formed the heads of the official staffs. The auxiliary peoples were also admitted into the government service; they, too, had privileges, but were not all soldiers but in many cases merchants, who used their privileged position to promote business. Not a few of these merchants were Uighurs and Mohammedans; many Uighurs were also employed as clerks, as the Mongols were very often unable to read and write Chinese, and the government offices were bilingual, working in Mongolian and Chinese. The clever Uighurs quickly learned enough of both languages for official purposes, and made themselves indispensable assistants to the Mongols. Persian, the main language of administration in the western parts of the Mongol empire besides Uighuric, also was a lingua franca among the new rulers of China.
In the Mongol legislation the South Chinese had the lowest status, and virtually no rights. Intermarriage with them was prohibited. The Chinese were not allowed to carry arms. For a time they were forbidden even to learn the Mongol or other foreign languages. In this way they were to be prevented from gaining official positions and playing any political part. Their ignorance of the languages of northern, central, and western Asia also prevented them from engaging in commerce like the foreign merchants, and every possible difficulty was put in the way of their travelling for commercial purposes. On the other hand, foreigners were, of course, able to learn Chinese, and so to gain a footing in Chinese internal trade.
Through legislation of this type the Mongols tried to build up and to safeguard their domination over China. Yet their success did not last a hundred years.
3 Military position
In foreign affairs the Mongol epoch was for China something of a breathing space, for the great wars of the Mongols took place at a remote distance from China and without any Chinese participation. Only a few concluding wars were fought under Kublai in the Far East. The first was his war against Japan (1281): it ended in complete failure, the fleet being destroyed by a storm. In this campaign the Chinese furnished ships and also soldiers. The subjection of Japan would have been in the interest of the Chinese, as it would have opened a market which had been almost closed against them in the Sung period. Mongol wars followed in the south. In 1282 began the war against Burma; in 1284 Annam and Cambodia were conquered; in 1292 a campaign was started against Java. It proved impossible to hold Java, but almost the whole of Indo-China came under Mongol rule, to the satisfaction of the Chinese, for Indo-China had already been one of the principal export markets in the Sung period. After that, however, there was virtually no more warfare, apart from small campaigns against rebellious tribes. The Mongol soldiers now lived on their pay in their garrisons, with nothing to do. The old campaigners died and were followed by their sons, brought up also as soldiers; but these young Mongols were born in China, had seen nothing of war, and learned of the soldiers' trade either nothing or very little; so that after about 1320 serious things happened. An army nominally 1,000 strong was sent against a group of barely fifty bandits and failed to defeat them. Most of the 1,000 soldiers no longer knew how to use their weapons, and many did not even join the force. Such incidents occurred again and again.
4 Social situation
The results, however, of conditions within the country were of much more importance than events abroad. The Mongols made Peking their capital as was entirely natural, for Peking was near their homeland Mongolia. The emperor and his entourage could return to Mongolia in the summer, when China became too hot or too humid for them; and from Peking they were able to maintain contact with the rest of the Mongol empire. But as the city had become the capital of a vast empire, an enormous staff of officials had to be housed there, consisting of persons of many different nationalities. The emperor naturally wanted to have a magnificent capital, a city really worthy of so vast an empire. As the many wars had brought in vast booty, there was money for the building of great palaces, of a size and magnificence never before seen in China. They were built by Chinese forced labour, and to this end men had to be brought from all over the empire - poor peasants, whose fields went out of cultivation while they were held in bondage far away. If they ever returned home, they were destitute and had lost their land. The rich gentry, on the other hand, were able to buy immunity from forced labour. The immense increase in the population of Peking (the huge court with its enormous expenditure, the mass of officials, the great merchant community, largely foreigners, and the many servile labourers), necessitated vast supplies of food. Now, as mentioned in earlier chapters, since the time of the Later T'ang the region round Nanking had become the main centre of production in China, and the Chinese population had gone over more and more to the consumption of rice instead of pulse or wheat. As rice could not be grown in the north, practically the whole of the food supplies for the capital had to be brought from the south. The transport system taken over by the Mongols had not been created for long-distance traffic of this sort. The capital of the Sung had lain in the main centre of production. Consequently, a great fleet had suddenly to be built, canals and rivers had to be regulated, and some new canals excavated. This again called for a vast quantity of forced labour, often brought from afar to the points at which it was needed. The Chinese peasants had suffered in the Sung period. They had been exploited by the large landowners. The Mongols had not removed these landowners, as the Chinese gentry had gone over to their side. The Mongols had deprived them of their political power, but had left them their estates, the basis of their power. In past changes of dynasty the gentry had either maintained their position or been replaced by a new gentry: the total number of their class had remained virtually unchanged. Now, however, in addition to the original gentry there were about a million Mongols, for whose maintenance the peasants had also to provide, and their standard of maintenance was high. This was an enormous increase in the burdens of the peasantry.
Two other elements further pressed on the peasants in the Mongol epoch - organized religion and the traders. The upper classes among the Chinese had in general little interest in religion, but the Mongols, owing to their historical development, were very religious. Some of them and some of their allies were Buddhists, some were still shamanists. The Chinese Buddhists and the representatives of popular Taoism approached the Mongols and the foreign Buddhist monks trying to enlist the interest of the Mongols and their allies. The old shamanism was unable to compete with the higher religions, and the Mongols in China became Buddhist or interested themselves in popular Taoism. They showed their interest especially by the endowment of temples and monasteries. The temples were given great estates, and the peasants on those estates became temple servants. The land belonging to the temples was free from taxation.
We have as yet no exact statistics of the Mongol epoch, only approximations. These set the total area under cultivation at some six million ch'ing (a ch'ing is the ideal size of the farm worked by a peasant family, but it was rarely held in practice); the population amounted to fourteen or fifteen million families. Of this total tillage some 170,000 ch'ing were allotted to the temples; that is to say, the farms for some 400,000 peasant families were taken from the peasants and no longer paid taxes to the state. The peasants, however, had to make payments to the temples. Some 200,000 ch'ing with some 450,000 peasant families were turned into military settlements; that is to say, these peasants had to work for the needs of the army. Their taxes went not to the state but to the army. Moreover, in the event of war they had to render service to the army. In addition to this, all higher officials received official properties, the yield of which represented part payment of their salaries. Then, Mongol nobles and dignitaries received considerable grants of land, which was taken away from the free peasants; the peasants had then to work their farms as tenants and to pay dues to their landlords, no longer to the state. Finally, especially in North China, many peasants were entirely dispossessed, and their land was turned into pasturage for the Mongols' horses; the peasants themselves were put to forced labour. On top of this came the exploitation of the peasants by the great landowners of the past. All this meant an enormous diminution in the number of free peasants and thus of taxpayers. As the state was involved in more expenditure than in the past owing to the large number of Mongols who were its virtual pensioners, the taxes had to be continually increased. Meanwhile the many peasants working as tenants of the great landlords, the temples, and the Mongol nobles were entirely at their mercy. In this period, a second migration of farmers into the southern provinces, mainly Fukien and Kwangtung, took place; it had its main source in the lower Yangtze valley. A few gentry families whose relatives had accompanied the Sung emperor on their flight to the south, also settled with their followers in the Canton basin.
The many merchants from abroad, especially those belonging to the peoples allied to the Mongols, also had in every respect a privileged position in China. They were free of taxation, free to travel all over the country, and received privileged treatment in the use of means of transport. They were thus able to accumulate great wealth, most of which went out of China to their own country. This produced a general impoverishment of China. Chinese merchants fell more and more into dependence on the foreign merchants; the only field of action really remaining to them was the local trade within China and the trade with Indo-China, where the Chinese had the advantage of knowing the language.
The impoverishment of China began with the flow abroad of her metallic currency. To make up for this loss, the government was compelled to issue great quantities of paper money, which very quickly depreciated, because after a few years the government would no longer accept the money at its face value, so that the population could place no faith in it. The depreciation further impoverished the people.
Thus we have in the Mongol epoch in China the imposing picture of a commerce made possible with every country from Europe to the Pacific; this, however, led to the impoverishment of China. We also see the rising of mighty temples and monumental buildings, but this again only contributed to the denudation of the country. The Mongol epoch was thus one of continual and rapid impoverishment in China, simultaneously with a great display of magnificence. The enthusiastic descriptions of the Mongol empire in China offered by travellers from the Near East or from Europe, such as Marco Polo, give an entirely false picture: as foreigners they had a privileged position, living in the cities and seeing nothing of the situation of the general population.
5 Popular risings: National rising
It took time for the effects of all these factors to become evident. The first popular rising came in 1325. Statistics of 1329 show that there were then some 7,600,000 persons in the empire who were starving; as this was only the figure of the officially admitted sufferers, the figure may have been higher. In any case, seven-and-a-half millions were a substantial percentage of the total population, estimated at 45,000,000. The risings that now came incessantly were led by men of the lower orders - a cloth-seller, a fisherman, a peasant, a salt smuggler, the son of a soldier serving a sentence, an office messenger, and so on. They never attacked the Mongols as aliens, but always the rich in general, whether Chinese or foreign. Wherever they came, they killed all the rich and distributed their money and possessions.
As already mentioned, the Mongol garrisons were unable to cope with these risings. But how was it that the Mongol rule did not collapse until some forty years later? The Mongols parried the risings by raising loans from the rich and using the money to recruit volunteers to fight the rebels. The state revenues would not have sufficed for these payments, and the item was not one that could be included in the military budget. What was of much more importance was that the gentry themselves recruited volunteers and fought the rebels on their own account, without the authority or the support of the government. Thus it was the Chinese gentry, in their fear of being killed by the insurgents, who fought them and so bolstered up the Mongol rule.
In 1351 the dykes along the Yellow River burst. The dykes had to be reconstructed and further measures of conservancy undertaken. To this end the government impressed 170,000 men. Following this action, great new revolts broke out. Everywhere in Honan, Kiangsu, and Shantung, the regions from which the labourers were summoned, revolutionary groups were formed, some of them amounting to 100,000 men. Some groups had a religious tinge; others declared their intention to restore the emperors of the Sung dynasty. Before long great parts of central China were wrested from the hands of the government. The government recognized the menace to its existence, but resorted to contradictory measures. In 1352 southern Chinese were permitted to take over certain official positions. In this way it was hoped to gain the full support of the gentry, who had a certain interest in combating the rebel movements. On the other hand, the government tightened up its nationality laws. All the old segregation laws were brought back into force, with the result that in a few years the aim of the rebels became no longer merely the expulsion of the rich but also the expulsion of the Mongols: a social movement thus became a national one. A second element contributed to the change in the character of the popular rising. The rebels captured many towns. Some of these towns refused to fight and negotiated terms of submission. In these cases the rebels did not murder the whole of the gentry, but took some of them into their service. The gentry did not agree to this out of sympathy with the rebels, but simply in order to save their own lives. Once they had taken the step, however, they could not go back; they had no alternative but to remain on the side of the rebels.
In 1352 Kuo Tz[)u]-hsing rose in southern Honan. Kuo was the son of a wandering soothsayer and a blind beggar-woman. He had success; his group gained control of a considerable region round his home. There was no longer any serious resistance from the Mongols, for at this time the whole of eastern China was in full revolt. In 1353 Kuo was joined by a man named Chu Yuean-chang, the son of a small peasant, probably a tenant farmer. Chu's parents and all his relatives had died from a plague, leaving him destitute. He had first entered a monastery and become a monk. This was a favourite resource - and has been almost to the present day - for poor sons of peasants who were threatened with starvation. As a monk he had gone about begging, until in 1353 he returned to his home and collected a group, mostly men from his own village, sons of peasants and young fellows who had already been peasant leaders. Monks were often peasant leaders. They were trusted because they promised divine aid, and because they were usually rather better educated than the rest of the peasants. Chu at first also had contacts with a secret society, a branch of the White Lotus Society which several times in the course of Chinese history has been the nucleus of rebellious movements. Chu took his small group which identified itself by a red turban and a red banner to Kuo, who received him gladly, entered into alliance with him, and in sign of friendship gave him his daughter in marriage. In 1355 Kuo died, and Chu took over his army, now many thousands strong. In his campaigns against towns in eastern China, Chu succeeded in winning over some capable members of the gentry. One was the chairman of a committee that yielded a town to Chu; another was a scholar whose family had always been opposed to the Mongols, and who had himself suffered injustice several times in his official career, so that he was glad to join Chu out of hatred of the Mongols.
These men gained great influence over Chu, and persuaded him to give up attacking rich individuals, and instead to establish an assured control over large parts of the country. He would then, they pointed out, be permanently enriched, while otherwise he would only be in funds at the moment of the plundering of a town. They set before him strategic plans with that aim. Through their counsel Chu changed from the leader of a popular rising into a fighter against the dynasty. Of all the peasant leaders he was now the only one pursuing a definite aim. He marched first against Nanking, the great city of central China, and captured it with ease. He then crossed the Yangtze, and conquered the rich provinces of the south-east. He was a rebel who no longer slaughtered the rich or plundered the towns, and the whole of the gentry with all their followers came over to him en masse. The armies of volunteers went over to Chu, and the whole edifice of the dynasty collapsed.
The years 1355-1368 were full of small battles. After his conquest of the whole of the south, Chu went north. In 1368 his generals captured Peking almost without a blow. The Mongol ruler fled on horseback with his immediate entourage into the north of China, and soon after into Mongolia. The Mongol dynasty had been brought down, almost without resistance. The Mongols in the isolated garrisons marched northward wherever they could. A few surrendered to the Chinese and were used in southern China as professional soldiers, though they were always regarded with suspicion. The only serious resistance offered came from the regions in which other Chinese popular leaders had established themselves, especially the remote provinces in the west and south-west, which had a different social structure and had been relatively little affected by the Mongol regime.
Thus the collapse of the Mongols came for the following reasons: (1) They had not succeeded in maintaining their armed strength or that of their allies during the period of peace that followed Kublai's conquest. The Mongol soldiers had become effeminate through their life of idleness in the towns. (2) The attempt to rule the empire through Mongols or other aliens, and to exclude the Chinese gentry entirely from the administration, failed through insufficient knowledge of the sources of revenue and through the abuses due to the favoured treatment of aliens. The whole country, and especially the peasantry, was completely impoverished and so driven into revolt. (3) There was also a psychological reason. In the middle of the fourteenth century it was obvious to the Mongols that their hold over China was growing more and more precarious, and that there was little to be got out of the impoverished country: they seem in consequence to have lost interest in the troublesome task of maintaining their rule, preferring, in so far as they had not already entirely degenerated, to return to their old home in the north. It is important to bear in mind these reasons for the collapse of the Mongols, so that we may compare them later with the reasons for the collapse of the Manchus.
No mention need be made here of the names of the Mongol rulers in China after Kublai. After his death in 1294, grandsons and great-grandsons of his followed each other in rapid succession on the throne; not one of them was of any personal significance. They had no influence on the government of China. Their life was spent in intriguing against one another. There were seven Mongol emperors after Kublai.
6 Cultural
During the Mongol epoch a large number of the Chinese scholars withdrew from official life. They lived in retirement among their friends, and devoted themselves mainly to the pursuit of the art of poetry, which had been elaborated in the Later Sung epoch, without themselves arriving at any important innovations in form. Their poems were built up meticulously on the rules laid down by the various schools; they were routine productions rather than the outcome of any true poetic inspiration. In the realm of prose the best achievements were the "miscellaneous notes" already mentioned, collections of learned essays. The foreigners who wrote in Chinese during this epoch are credited with no better achievements by the Chinese historians of literature. Chief of them were a statesman named Yeh-lue Ch'u-ts'ai, a Kitan in the service of the Mongols; and a Mongol named T'o-t'o (Tokto). The former accompanied Genghiz Khan in his great campaign against Turkestan, and left a very interesting account of his journeys, together with many poems about Samarkand and Turkestan. His other works were mainly letters and poems addressed to friends. They differ in no way in style from the Chinese literary works of the time, and are neither better nor worse than those works. He shows strong traces of Taoist influence, as do other contemporary writers. We know that Genghiz Khan was more or less inclined to Taoism, and admitted a Taoist monk to his camp (1221-1224). This man's account of his travels has also been preserved, and with the numerous European accounts of Central Asia written at this time it forms an important source. The Mongol Tokto was the head of an historical commission that issued the annals of the Sung dynasty, the Kitan, and the Juchen dynasty. The annals of the Sung dynasty became the largest of all the historical works, but they were fiercely attacked from the first by Chinese critics on account of their style and their hasty composition, and, together with the annals of the Mongol dynasty, they are regarded as the worst of the annals preserved. Tokto himself is less to blame for this than the circumstance that he was compelled to work in great haste, and had not time to put into order the overwhelming mass of his material.
The greatest literary achievements, however, of the Mongol period belong beyond question to the theatre (or, rather, opera). The emperors were great theatre-goers, and the wealthy private families were also enthusiasts, so that gradually people of education devoted themselves to writing librettos for the operas, where in the past this work had been left to others. Most of the authors of these librettos remained unknown: they used pseudonyms, partly because playwriting was not an occupation that befitted a scholar, and partly because in these works they criticized the conditions of their day. These works are divided in regard to style into two groups, those of the "southern" and the "northern" drama; these are distinguished from each other in musical construction and in their intellectual attitude: in general the northern works are more heroic and the southern more sentimental, though there are exceptions. The most famous northern works of the Mongol epoch are P'i-p'a-chi ("The Story of a Lute"), written about 1356, probably by Kao Ming, and Chao-shih ku-erh-chi ("The Story of the Orphan of Chao "), a work that enthralled Voltaire, who made a paraphrase of it; its author was the otherwise unknown Chi Chuen-hsiang. One of the most famous of the southern dramas is Hsi-hsiang-chi ("The Romance of the Western Chamber"), by Wang Shih-fu and Kuan Han-ch'ing. Kuan lived under the Juchen dynasty as a physician, and then among the Mongols. He is said to have written fifty-eight dramas, many of which became famous.
In the fine arts, foreign influence made itself felt during the Mongol epoch much more than in literature. This was due in part to the Mongol rulers' predilection for the Lamaism that was widespread in their homeland. Lamaism is a special form of Buddhism which developed in Tibet, where remnants of the old national Tibetan cult (Bon) were fused with Buddhism into a distinctive religion. During the rise of the Mongols this religion, which closely resembled the shamanism of the ancient Mongols, spread in Mongolia, and through the Mongols it made great progress in China, where it had been insignificant until their time. Religious sculpture especially came entirely under Tibetan influence (particularly that of the sculptor Aniko, who came from Nepal, where he was born in 1244). This influence was noticeable in the Chinese sculptor Liu Yuean; after him it became stronger and stronger, lasting until the Manchu epoch.
In architecture, too, Indian and Tibetan influence was felt in this period. The Tibetan pagodas came into special prominence alongside the previously known form of pagoda, which has many storeys, growing smaller as they go upward; these towers originally contained relics of Buddha and his disciples. The Tibetan pagoda has not this division into storeys, and its lower part is much larger in circumference, and often round. To this day Peking is rich in pagodas in the Tibetan style.
The Mongols also developed in China the art of carpet-knotting, which to this day is found only in North China in the zone of northern influence. There were carpets before these, but they were mainly of felt. The knotted carpets were produced in imperial workshops - only, of course, for the Mongols, who were used to carpets. A further development probably also due to West Asian influence was that of cloisonne technique in China in this period.
Painting, on the other hand, remained free from alien influence, with the exception of the craft painting for the temples. The most famous painters of the Mongol epoch were Chao Meng-fu (also called Chao Chung-mu, 1254-1322), a relative of the deposed imperial family of the Sung dynasty, and Ni Tsan (1301-1374).
(B) The Ming Epoch (1368-1644)
1 Start. National feeling
It was necessary to give special attention to the reasons for the downfall of Mongol rule in China, in order to make clear the cause and the character of the Ming epoch that followed it. It is possible that the erroneous impression might be gained that the Mongol epoch in China was entirely without merits, and that the Mongol rule over China differed entirely from the Mongol rule over other countries of Asia. Chinese historians have no good word to say of the Mongol epoch and avoid the subject as far as they can. It is true that the union of the national Mongol culture with Chinese culture, as envisaged by the Mongol rulers, was not a sound conception, and consequently did not endure for long. Nevertheless, the Mongol epoch in China left indelible traces, and without it China's further development would certainly have taken a different course.
The many popular risings during the latter half of the period of Mongol rule in China were all of a purely economic and social character, and at first they were not directed at all against the Mongols as representatives of an alien people. The rising under Chu Yuean-chang, which steadily gained impetus, was at first a purely social movement; indeed, it may fairly be called revolutionary. Chu was of the humblest origin; he became a monk and a peasant leader at one and the same time. Only three times in Chinese history has a man of the peasantry become emperor and founder of a dynasty. The first of these three men founded the Han dynasty; the second founded the first of the so-called "Five Dynasties" in the tenth century; Chu was the third.
Not until the Mongols had answered Chu's rising with a tightening of the nationality laws did the revolutionary movement become a national movement, directed against the foreigners as such. And only when Chu came under the influence of the first people of the gentry who joined him, whether voluntarily or perforce, did what had been a revolutionary movement become a struggle for the substitution of one dynasty for another without interfering with the existing social system. Both these points were of the utmost importance to the whole development of the Ming epoch.
The Mongols were driven out fairly quickly and without great difficulty. The Chinese drew from the ease of their success a sense of superiority and a clear feeling of nationalism. This feeling should not be confounded with the very old feeling of Chinese as a culturally superior group according to which, at least in theory though rarely in practice, every person who assimilated Chinese cultural values and traits was a "Chinese". The roots of nationalism seem to lie in the Southern Sung period, growing up in the course of contacts with the Juchen and Mongols; but the discriminatory laws of the Mongols greatly fostered this feeling. From now on, it was regarded a shame to serve a foreigner as official, even if he was a ruler of China.
2 Wars against Mongols and Japanese
It had been easy to drive the Mongols out of China, but they were never really beaten in their own country. On the contrary, they seem to have regained strength after their withdrawal from China: they reorganized themselves and were soon capable of counter-thrusts, while Chinese offensives had as a rule very little success, and at all events no decisive success. In the course of time, however, the Chinese gained a certain influence over Turkestan, but it was never absolute, always challenged. After the Mongol empire had fallen to pieces, small states came into existence in Turkestan, for a long time with varying fortunes; the most important one during the Ming epoch was that of Hami, until in 1473 it was occupied by the city-state of Turfan. At this time China actively intervened in the policy of Turkestan in a number of combats with the Mongols. As the situation changed from time to time, these city-states united more or less closely with China or fell away from her altogether. In this period, however, Turkestan was of no military or economic importance to China.
In the time of the Ming there also began in the east and south the plague of Japanese piracy. Japanese contacts with the coastal provinces of China (Kiangsu, Chekiang and Fukien) had a very long history: pilgrims from Japan often went to these places in order to study Buddhism in the famous monasteries of Central China; businessmen sold at high prices Japanese swords and other Japanese products here and bought Chinese products; they also tried to get Chinese copper coins which had a higher value in Japan. Chinese merchants co-operated with Japanese merchants and also with pirates in the guise of merchants. Some Chinese who were or felt persecuted by the government, became pirates themselves. This trade-piracy had started already at the end of the Sung dynasty, when Japanese navigation had become superior to Korean shipping which had in earlier times dominated the eastern seaboard. These conditions may even have been one of the reasons why the Mongols tried to subdue Japan. As early as 1387 the Chinese had to begin the building of fortifications along the eastern and southern coasts of the country; The Japanese attacks now often took the character of organized raids: a small, fast-sailing flotilla would land in a bay, as far as possible without attracting notice; the soldiers would march against the nearest town, generally overcoming it, looting, and withdrawing. The defensive measures adopted from time to time during the Ming epoch were of little avail, as it was impossible effectively to garrison the whole coast. Some of the coastal settlements were transferred inland, to prevent the Chinese from co-operating with the Japanese, and to give the Japanese so long a march inland as to allow time for defensive measures. The Japanese pirates prevented the creation of a Chinese navy in this period by their continual threats to the coastal cities in which the shipyards lay. Not until much later, at a time of unrest in Japan in 1467, was there any peace from the Japanese pirates.
The Japanese attacks were especially embarrassing for the Chinese government for one other reason. Large armies had to be kept all along China's northern border, from Manchuria to Central Asia. Food supplies could not be collected in north China which did not have enough surplusses. Canal transportation from Central China was not reliable, as the canals did not always have enough water and were often clogged by hundreds of ships. And even if canals were used, grain still had to be transported by land from the end of the canals to the frontier. The Ming government therefore, had organized an overseas flotilla of grain ships which brought grain from Central China directly to the front in Liao-tung and Manchuria. And these ships, vitally important, were so often attacked by the pirates, that this plan later had to be given up again.
These activities along the coast led the Chinese to the belief that basically all foreigners who came by ships were "barbarians"; when towards the end of the Ming epoch the Japanese were replaced by Europeans who did not behave much differently and were also pirate-merchants, the nations of Western Europe, too, were regarded as "barbarians" and were looked upon with great suspicion. On the other side, continental powers, even if they were enemies, had long been regarded as "states", sometimes even as equals. Therefore, when at a much later time the Chinese came into contact with Russians, their attitude towards them was similar to that which they had taken towards other Asian continental powers.
3 Social legislation within the existing order
At the time when Chu Yuean-chang conquered Peking, in 1368, becoming the recognized emperor of China (Ming dynasty), it seemed as though he would remain a revolutionary in spite of everything. His first laws were directed against the rich. Many of the rich were compelled to migrate to the capital, Nanking, thus losing their land and the power based on it. Land was redistributed among poor peasants; new land registers were also compiled, in order to prevent the rich from evading taxation. The number of monks living in idleness was cut down and precisely determined; the possessions of the temples were reduced, land exempted from taxation being thus made taxable - all this, incidentally, although Chu had himself been a monk! These laws might have paved the way to social harmony and removed the worst of the poverty of the Mongol epoch. But all this was frustrated in the very first years of Chu's reign. The laws were only half carried into effect or not at all, especially in the hinterland of the present Shanghai. That region had been conquered by Chu at the very beginning of the Ming epoch; in it lived the wealthy landowners who had already been paying the bulk of the taxes under the Mongols. The emperor depended on this wealthy class for the financing of his great armies, and so could not be too hard on it.
Chu Yuean-chang and his entourage were also unable to free themselves from some of the ideas of the Mongol epoch. Neither Chu, nor anybody else before and long after him discussed the possibility of a form of government other than that of a monarchy. The first ever to discuss this question, although very timidly, was Huang Tsung-hsi (1610-1695), at the end of the Ming dynasty. Chu's conception of an emperor was that of an absolute monarch, master over life and death of his subjects; it was formed by the Mongol emperors with their magnificence and the huge expenditure of their life in Peking; Chu was oblivious of the fact that Peking had been the capital of a vast empire embracing almost the whole of Asia, and expenses could well be higher than for a capital only of China. It did not occur to Chu and his supporters that they could have done without imperial state and splendour; on the contrary, they felt compelled to display it. At first Chu personally showed no excessive signs of this tendency, though they emerged later; but he conferred great land grants on all his relatives, friends, and supporters; he would give to a single person land sufficient for 20,000 peasant families; he ordered the payment of state pensions to members of the imperial family, just as the Mongols had done, and the total of these pension payments was often higher than the revenue of the region involved. For the capital alone over eight million shih of grain had to be provided in payment of pensions - that is to say, more than 160,000 tons! These pension payments were in themselves a heavy burden on the state; not only that, but they formed a difficult transport problem! We have no close figure of the total population at the beginning of the Ming epoch; about 1500 it is estimated to have been 53,280,000, and this population had to provide some 266,000,000 shih in taxes. At the beginning of the Ming epoch the population and revenue must, however, have been smaller.
The laws against the merchants and the restrictions under which the craftsmen worked, remained essentially as they had been under the Sung, but now the remaining foreign merchants of Mongol time also fell under these laws, and their influence quickly diminished. All craftsmen, a total of some 300,000 men with families, were still registered and had to serve the government in the capital for three months once every three years; others had to serve ten days per month, if they lived close by. They were a hereditary caste as were the professional soldiers, and not allowed to change their occupation except by special imperial permission. When a craftsman or soldier died, another family member had to replace him; therefore, families of craftsmen were not allowed to separate into small nuclear families, in which there might not always be a suitable male. Yet, in an empire as large as that of the Ming, this system did not work too well: craftsmen lost too much time in travelling and often succeeded in running away while travelling. Therefore, from 1505 on, they had to pay a tax instead of working for the government, and from then on the craftsmen became relatively free.
4 Colonization and agricultural developments
As already mentioned, the Ming had to keep a large army along the northern frontiers. But they also had to keep armies in south China, especially in Yuennan. Here, the Mongol invasions of Burma and Thailand had brought unrest among the tribes, especially the Shan. The Ming did not hold Burma but kept it in a loose dependency as "tributary nation". In order to supply armies so far away from all agricultural surplus centres, the Ming resorted to the old system of "military colonies" which seems to have been invented in the second century B.C. and is still used even today (in Sinkiang). Soldiers were settled in camps called ying, and therefore there are so many place names ending with ying in the outlying areas of China. They worked as state farmers and accumulated surplusses which were used in case of war in which these same farmers turned soldiers again. Many criminals were sent to these state farms, too. This system, especially in south China, transformed territories formerly inhabited by native tribes or uninhabited, into solidly Chinese areas. In addition to these military colonies, a steady stream of settlers from Central China and the coast continued to move into Kwangtung and Hunan provinces. They felt protected by the army against attacks by natives. Yet Ming texts are full of reports on major and minor clashes with the natives, from Kiangsi and Fukien to Kwangtung and Kwangsi.
But the production of military colonies was still not enough to feed the armies, and the government in Chu's time resorted to a new design. It promised to give merchants who transported grain from Central China to the borders, government salt certificates. Upon the receipt, the merchants could acquire a certain amount of salt and sell it with high profits. Soon, these merchants began to invest some of their capital in local land which was naturally cheap. They then attracted farmers from their home countries as tenants. The rent of the tenants, paid in form of grain, was then sold to the army, and the merchant's gains increased. Tenants could easily be found: the density of population in the Yangtze plains had further increased since the Sung time. This system of merchant colonization did not last long, because soon, in order to curb the profits of the merchants, money was given instead of salt certificates, and the merchants lost interest in grain transports. Thus, grain prices along the frontiers rose and the effectiveness of the armies was diminished.
Although the history of Chinese agriculture is as yet only partially known, a number of changes in this field, which began to show up from Sung time on, seem to have produced an "agricultural revolution" in Ming time. We have already mentioned the Sung attempts to increase production near the big cities by deep-lying fields, cultivation on and in lakes. At the same time, there was an increase in cultivation of mountain slopes by terracing and by distributing water over the terraces in balanced systems. New irrigation machines, especially the so-called Persian wheel, were introduced in the Ming time. Perhaps the most important innovation, however, was the introduction of rice from Indo-China's kingdom Champa in 1012 into Fukien from where it soon spread. This rice had three advantages over ordinary Chinese rice: it was drought-resistant and could, therefore, be planted in areas with poor or even no irrigation. It had a great productivity, and it could be sown very early in the year. At first it had the disadvantage that it had a vegetation period of a hundred days. But soon, the Chinese developed a quick-growing Champa rice, and the speediest varieties took only sixty days from transplantation into the fields to the harvest. This made it possible to grow two rice harvests instead of only one and more than doubled the production. Rice varieties which grew again after being cut and produced a second, but very much smaller harvest, disappeared from now on. Furthermore, fish were kept in the ricefields and produced not only food for the farmers but also fertilized the fields, so that continuous cultivation of ricefields without any decrease in fertility became possible. Incidentally, fish control the malaria mosquitoes; although the Chinese did not know this fact, large areas in South China which had formerly been avoided by Chinese because of malaria, gradually became inhabitable.
The importance of alternating crops was also discovered and from now on, the old system of fallow cultivation was given up and continuous cultivation with, in some areas, even more than one harvest per field per year, was introduced even in wheat-growing areas. Considering that under the fallow system from one half to one third of all fields remained uncultivated each year, the increase in production under the new system must have been tremendous. We believe that the population revolution which in China started about 1550, was the result of this earlier agrarian revolution. From the eighteenth century on we get reports on depletion of fields due to wrong application of the new system.
Another plant deeply affected Chinese agriculture: cotton. It is often forgotten that, from very early times, the Chinese in the south had used kapok and similar fibres, and that the cocoons of different kinds of worms had been used for silk. Real cotton probably came from Bengal over South-East Asia first to the coastal provinces of China and spread quickly into Fukien and Kwangtung in Sung time.
On the other side, cotton reached China through Central Asia, and already in the thirteenth century we find it in Shensi in north-western China. Farmers in the north could in many places grow cotton in summer and wheat in winter, and cotton was a high-priced product. They ginned the cotton with iron rods; a mechanical cotton gin was introduced not until later. The raw cotton was sold to merchants who transported it into the industrial centre of the time, the Yangtze valley, and who re-exported cotton cloth to the north. Raw cotton, loosened by the string of the bow (a method which was known since Sung), could now in the north also be used for quilts and padded winter garments.
5 Commercial and industrial developments
Intensivation and modernization of agriculture led to strong population increases especially in the Yangtze valley from Sung time on. Thus, in this area commerce and industry also developed most quickly. Urbanization was greatest here. Nanking, the new Ming capital, grew tremendously because of the presence of the court and administration, and even when later the capital was moved, Nanking continued to remain the cultural capital of China. The urban population needed textiles and food. From Ming time on, fashions changed quickly as soon as government regulations which determined colour and material of the dress of each social class were relaxed or as soon as they could be circumvented by bribery or ingenious devices. Now, only factories could produce the amounts which the consumers wanted. We hear of many men who started out with one loom and later ended up with over forty looms, employing many weavers. Shanghai began to emerge as a centre of cotton cloth production. A system of middle-men developed who bought raw cotton and raw silk from the producers and sold it to factories.
Consumption in the Yangtze cities raised the value of the land around the cities. The small farmers who were squeezed out, migrated to the south. Absentee landlords in cities relied partly on migratory, seasonal labour supplied by small farmers from Chekiang who came to the Yangtze area after they had finished their own harvest. More and more, vegetables and mulberries or cotton were planted in the vicinity of the cities. As rice prices went up quickly a large organization of rice merchants grew up. They ran large ships up to Hankow where they bought rice which was brought down from Hunan in river boats by smaller merchants. The small merchants again made contracts with the local gentry who bought as much rice from the producers as they could and sold it to these grain merchants. Thus, local grain prices went up and we hear of cases where the local population attacked the grain boats in order to prevent the depletion of local markets.
Next to these grain merchants, the above-mentioned salt merchants have to be mentioned again. Their centre soon became the city of Hsin-an, a city on the border of Chekiang and Anhui, or in more general terms, the cities in the district of Hui-chou. When the grain transportation to the frontiers came to an end in early Ming time, the Hsin-an merchants specialized first in silver trade. Later in Ming time, they spread their activities all over China and often monopolized the salt, silver, rice, cotton, silk or tea businesses. In the sixteenth century they had well-established contacts with smugglers on the Fukien coast and brought foreign goods into the interior. Their home was also close to the main centres of porcelain production in Kiangsi which was exported to overseas and to the urban centres. The demand for porcelain had increased so much that state factories could not fulfil it. The state factories seem often to have suffered from a lack of labour: indented artisans were imported from other provinces and later sent back on state expenses or were taken away from other state industries. Thus, private porcelain factories began to develop, and in connection with quickly changing fashions a great diversification of porcelain occurred.
One other industry should also be mentioned. With the development of printing, which will be discussed below, the paper industry was greatly stimulated. The state also needed special types of paper for the paper currency. Printing and book selling became a profitable business, and with the application of block print to textiles (probably first used in Sung time) another new field of commercial activity was opened.
As already mentioned, silver in form of bars had been increasingly used as currency in Sung time. The yearly government production of silver was c. 10,000 kg. Mongol currency was actually based upon silver. The Ming, however, reverted to copper as basic unit, in addition to the use of paper money. This encouraged the use of silver for speculative purposes.
The development of business changed the face of cities. From Sung time on, the division of cities into wards with gates which were closed during the night, began to break down. Ming cities had no more wards. Business was no more restricted to official markets but grew up in all parts of the cities. The individual trades were no more necessarily all in one street. Shops did not have to close at sunset. The guilds developed and in some cases were able to exercise locally some influence upon the officials.
6 Growth of the small gentry
With the spread of book printing, all kinds of books became easily accessible, including reprints of examination papers. Even businessmen and farmers increasingly learned to read and to write, and many people now could prepare themselves for the examinations. Attendance, however, at the examinations cost a good deal. The candidate had to travel to the local or provincial capital, and for the higher examinations to the capital of the country; he had to live there for several months and, as a rule, had to bribe the examiners or at least to gain the favour of influential people. There were many cases of candidates becoming destitute. Most of them were heavily in debt when at last they gained a position. They naturally set to work at once to pay their debts out of their salary, and to accumulate fresh capital to meet future emergencies. The salaries of officials were, however, so small that it was impossible to make ends meet; and at the same time every official was liable with his own capital for the receipt in full of the taxes for the collection of which he was responsible. Consequently every official began at once to collect more taxes than were really due, so as to be able to cover any deficits, and also to cover his own cost of living - including not only the repayment of his debts but the acquisition of capital or land so as to rise in the social scale. The old gentry had been rich landowners, and had no need to exploit the peasants on such a scale.
The Chinese empire was greater than it had been before the Mongol epoch, and the population was also greater, so that more officials were needed. Thus in the Ming epoch there began a certain democratization, larger sections of the population having the opportunity of gaining government positions; but this democratization brought no benefit to the general population but resulted in further exploitation of the peasants.
The new "small gentry" did not consist of great families like the original gentry. When, therefore, people of that class wanted to play a political part in the central government, or to gain a position there, they had either to get into close touch with one of the families of the gentry, or to try to approach the emperor directly. In the immediate entourage of the emperor, however, were the eunuchs. A good many members of the new class had themselves castrated after they had passed their state examination. Originally eunuchs were forbidden to acquire education. But soon the Ming emperors used the eunuchs as a tool to counteract the power of gentry cliques and thus to strengthen their personal power. When, later, eunuchs controlled appointments to government posts, long established practices of bureaucratic administration were eliminated and the court, i.e. the emperor and his tools, the eunuchs, could create a rule by way of arbitrary decisions, a despotic rule. For such purposes, eunuchs had to have education, and these new educated eunuchs, when they had once secured a position, were able to gain great influence in the immediate entourage of the emperor; later such educated eunuchs were preferred, especially as many offices were created which were only filled by eunuchs and for which educated eunuchs were needed. Whole departments of eunuchs came into existence at court, and these were soon made use of for confidential business of the emperor's outside the palace.
These eunuchs worked, of course, in the interest of their families. On the other hand, they were very ready to accept large bribes from the gentry for placing the desires of people of the gentry before the emperor and gaining his consent. Thus the eunuchs generally accumulated great wealth, which they shared with their small gentry relatives. The rise of the small gentry class was therefore connected with the increased influence of the eunuchs at court.
7 Literature, art, crafts
The growth of the small gentry which had its stronghold in the provincial towns and cities, as well as the rise of the merchant class and the liberation of the artisans, are reflected in the new literature of Ming time. While the Mongols had developed the theatre, the novel may be regarded as the typical Ming creation. Its precursors were the stories of story-tellers centuries ago. They had developed many styles, one of which, for instance, consisted of prose with intercalated poetic parts (pien-wen). Buddhists monks had used these forms of popular literature and spread their teachings in similar forms; due to them, many Indian stories and tales found their way into the Chinese folklore. Soon, these stories of story-tellers or monks were written down, and out of them developed the Chinese classical novel. It preserved many traits of the stories: it was cut into chapters corresponding with the interruptions which the story-teller made in order to collect money; it was interspersed with poems. But most of all, it was written in everyday language, not in the language of the gentry. To this day every Chinese knows and reads with enthusiasm Shui-hu-chuan ("The Story of the River Bank"), probably written about 1550 by Wang Tao-k'un, in which the ruling class was first described in its decay. Against it are held up as ideals representatives of the middle class in the guise of the gentleman brigand. Every Chinese also knows the great satirical novel Hsi-yu-chi ("The Westward Journey"), by Feng Meng-lung (1574-1645), in which ironical treatment is meted out to all religions and sects against a mythological background, with a freedom that would not have been possible earlier. The characters are not presented as individuals but as representatives of human types: the intellectual, the hedonist, the pious man, and the simpleton, are drawn with incomparable skill, with their merits and defects. A third famous novel is San-kuo yen-i ("The Tale of the Three Kingdoms"), by Lo Kuan-chung. Just as the European middle class read with avidity the romances of chivalry, so the comfortable class in China was enthusiastic over romanticized pictures of the struggle of the gentry in the third century. "The Tale of the Three Kingdoms" became the model for countless historical novels of its own and subsequent periods. Later, mainly in the sixteenth century, the sensational and erotic novel developed, most of all in Nanking. It has deeply influenced Japanese writers, but was mercilessly suppressed by the Chinese gentry which resented the frivolity of this wealthy and luxurious urban class of middle or small gentry families who associated with rich merchants, actors, artists and musicians. Censorship of printed books had started almost with the beginning of book printing as a private enterprise: to the famous historian, anti-Buddhist and conservative Ou-yang Hsiu (1007-1072), the enemy of Wang An-shih, belongs the sad glory of having developed the first censorship rules. Since Ming time, it became a permanent feature of Chinese governments.
The best known of the erotic novels is the Chin-p'ing-mei which, for reasons of our own censors can be published only in expurgated translations. It was written probably towards the end of the sixteenth century. This novel, as all others, has been written and re-written by many authors, so that many different versions exist. It might be pointed out that many novels were printed in Hui-chou, the commercial centre of the time.
The short story which formerly served the entertainment of the educated only and which was, therefore, written in classical Chinese, now also became a literary form appreciated by the middle classes. The collection Chin-ku ch'i-kuan ("Strange Stories of New Times and Old"), compiled by Feng Meng-lung, is the best-known of these collections in vernacular Chinese.
Little original work was done in the Ming epoch in the fields generally regarded as "literature" by educated Chinese, those of poetry and the essay. There are some admirable essays, but these are only isolated examples out of thousands. So also with poetry: the poets of the gentry, united in "clubs", chose the poets of the Sung epoch as their models to emulate.
The Chinese drama made further progress in the Ming epoch. Many of the finest Chinese dramas were written under the Ming; they are still produced again and again to this day. The most famous dramatists of the Ming epoch are Wang Shih-chen (1526-1590) and T'ang Hsien-tsu (1556-1617). T'ang wrote the well-known drama Mu-tan-ting ("The Peony Pavilion"), one of the finest love-stories of Chinese literature, full of romance and remote from all reality. This is true also of the other dramas by T'ang, especially his "Four Dreams", a series of four plays. In them a man lives in dream through many years of his future life, with the result that he realizes the worthlessness of life and decides to become a monk.
Together with the development of the drama (or, rather, the opera) in the Ming epoch went an important endeavour in the modernization of music, the attempt to create a "well-tempered scale" made in 1584 by Chu Tsai-yue. This solved in China a problem which was not tackled till later in Europe. The first Chinese theorists of music who occupied themselves with this problem were Ching Fang (77-37 B.C.) and Ho Ch'eng-t'ien (A.D. 370-447).
In the Mongol epoch, most of the Chinese painters had lived in central China; this remained so in the Ming epoch. Of the many painters of the Ming epoch, all held in high esteem in China, mention must be made especially of Ch'in Ying (c. 1525), T'ang Yin (1470-1523), and Tung Ch'i-ch'ang (1555-1636). Ch'in Ying painted in the Academic Style, indicating every detail, however small, and showing preference for a turquoise-green ground. T'ang Yin was the painter of elegant women; Tung became famous especially as a calligraphist and a theoretician of the art of painting; a textbook of the art was written by him.
Just as puppet plays and shadow theatre are the "opera of the common man" and took a new development in Ming time, the wood-cut and block-printing developed largely as a cheap substitute of real paintings. The new urbanites wanted to have paintings of the masters and found in the wood-cut which soon became a multi-colour print a cheap mass medium. Block printing in colours, developed in the Yangtze valley, was adopted by Japan and found its highest refinement there. But the Ming are also famous for their monumental architecture which largely followed Mongol patterns. Among the most famous examples is the famous Great Wall which had been in dilapidation and was rebuilt; the great city walls of Peking; and large parts of the palaces of Peking, begun in the Mongol epoch. It was at this time that the official style which we may observe to this day in North China was developed, the style employed everywhere, until in the age of concrete it lost its justification.
In the Ming epoch the porcelain with blue decoration on a white ground became general; the first examples, from the famous kilns in Ching-te-chen, in the province of Kiangsi, were relatively coarse, but in the fifteenth century the production was much finer. In the sixteenth century the quality deteriorated, owing to the disuse of the cobalt from the Middle East (perhaps from Persia) in favour of Sumatra cobalt, which did not yield the same brilliant colour. In the Ming epoch there also appeared the first brilliant red colour, a product of iron, and a start was then made with three-colour porcelain (with lead glaze) or five-colour (enamel). The many porcelains exported to western Asia and Europe first influenced European ceramics (Delft), and then were imitated in Europe (Boettger); the early European porcelains long showed Chinese influence (the so-called onion pattern, blue on a white ground). In addition to the porcelain of the Ming epoch, of which the finest specimens are in the palace at Istanbul, especially famous are the lacquers (carved lacquer, lacquer painting, gold lacquer) of the Ming epoch and the cloisonne work of the same period. These are closely associated with the contemporary work in Japan.
8 Politics at court
After the founding of the dynasty by Chu Yuean-chang, important questions had to be dealt with apart from the social legislation. What was to be done, for instance, with Chu's helpers? Chu, like many revolutionaries before and after him, recognized that these people had been serviceable in the years of struggle but could no longer remain useful. He got rid of them by the simple device of setting one against another so that they murdered one another. In the first decades of his rule the dangerous cliques of gentry had formed again, and were engaged in mutual struggles. The most formidable clique was led by Hu Wei-yung. Hu was a man of the gentry of Chu's old homeland, and one of his oldest supporters. Hu and his relations controlled the country after 1370, until in 1380 Chu succeeded in beheading Hu and exterminating his clique. New cliques formed before long and were exterminated in turn.
Chu had founded Nanking in the years of revolution, and he made it his capital. In so doing he met the wishes of the rich grain producers of the Yangtze delta. But the north was the most threatened part of his empire, so that troops had to be permanently stationed there in considerable strength. Thus Peking, where Chu placed one of his sons as "king", was a post of exceptional importance.
In Chu Yuean-chang's last years (he was named T'ai Tsu as emperor) difficulties arose in regard to the dynasty. The heir to the throne died in 1391; and when the emperor himself died in 1398, the son of the late heir-apparent was installed as emperor (Hui Ti, 1399-1402). This choice had the support of some of the influential Confucian gentry families of the south. But a protest against his enthronement came from the other son of Chu Yuean-chang, who as king in Peking had hoped to become emperor. With his strong army this prince, Ch'eng Tsu, marched south and captured Nanking, where the palaces were burnt down. There was a great massacre of supporters of the young emperor, and the victor made himself emperor (better known under his reign name, Yung-lo). As he had established himself in Peking, he transferred the capital to Peking, where it remained throughout the Ming epoch. Nanking became a sort of subsidiary capital.
This transfer of the capital to the north, as the result of the victory of the military party and Buddhists allied to them, produced a new element of instability: the north was of military importance, but the Yangtze region remained the economic centre of the country. The interests of the gentry of the Yangtze region were injured by the transfer. The first Ming emperor had taken care to make his court resemble the court of the Mongol rulers, but on the whole had exercised relative economy. Yung-lo (1403-1424), however, lived in the actual palaces of the Mongol rulers, and all the luxury of the Mongol epoch was revived. This made the reign of Yung-lo the most magnificent period of the Ming epoch, but beneath the surface decay had begun. Typical of the unmitigated absolutism which developed now, was the word of one of the emperor's political and military advisors, significantly a Buddhist monk: "I know the way of heaven. Why discuss the hearts of the people?"
9 Navy. Southward expansion
After the collapse of Mongol rule in Indo-China, partly through the simple withdrawal of the Mongols, and partly through attacks from various Chinese generals, there were independence movements in south-west China and Indo-China. In 1393 wars broke out in Annam. Yung-lo considered that the time had come to annex these regions to China and so to open a new field for Chinese trade, which was suffering continual disturbance from the Japanese. He sent armies to Yuennan and Indo-China; at the same time he had a fleet built by one of his eunuchs, Cheng Ho. The fleet was successfully protected from attack by the Japanese. Cheng Ho, who had promoted the plan and also carried it out, began in 1405 his famous mission to Indo-China, which had been envisaged as giving at least moral support to the land operations, but was also intended to renew trade connections with Indo-China, where they had been interrupted by the collapse of Mongol rule. Cheng Ho sailed past Indo-China and ultimately reached the coast of Arabia. His account of his voyage is an important source of information about conditions in southern Asia early in the fifteenth century. Cheng Ho and his fleet made some further cruises, but they were discontinued. There may have been several reasons, (1) As state enterprises, the expeditions were very costly. Foreign goods could be obtained more cheaply and with less trouble if foreign merchants came themselves to China or Chinese merchants travelled at their own risk. (2) The moral success of the naval enterprises was assured. China was recognized as a power throughout southern Asia, and Annam had been reconquered. (3) After the collapse of the Mongol emperor Timur, who died in 1406, there no longer existed any great power in Central Asia, so that trade missions from the kingdom of the Shahruk in North Persia were able to make their way to China, including the famous mission of 1409-1411. (4) Finally, the fleet would have had to be permanently guarded against the Japanese, as it had been stationed not in South China but in the Yangtze region. As early as 1411 the canals had been repaired, and from 1415 onward all the traffic of the country went by the canals, so evading the Japanese peril. This ended the short chapter of Chinese naval history.
These travels of Cheng Ho seem to have had one more cultural result: a large number of fairy-tales from the Middle East were brought to China, or at all events reached China at that time. The Chinese, being a realistically-minded people, have produced few fairy-tales of their own. The bulk of their finest fairy-tales were brought by Buddhist monks, in the course of the first millennium A.D., from India by way of Central Asia. The Buddhists made use of them to render their sermons more interesting and impressive. As time went on, these stories spread all over China, modified in harmony with the spirit of the people and adapted to the Chinese environment. Only the fables failed to strike root in China: the matter-of-fact Chinese was not interested in animals that talked and behaved to each other like human beings. In addition, however, to these early fairy-tales, there was another group of stories that did not spread throughout China, but were found only in the south-eastern coastal provinces. These came from the Middle East, especially from Persia. The fairy-tales of Indian origin spread not only to Central Asia but at the same time to Persia, where they found a very congenial soil. The Persians made radical changes in the stories and gave them the form in which they came to Europe by various routes - through North Africa to Spain and France; through Constantinople, Venice, or Genoa to France; through Russian Turkestan to Russia, Finland, and Sweden; through Turkey and the Balkans to Hungary and Germany. Thus the stories found a European home. And this same Persian form was carried by sea in Cheng Ho's time to South China. Thus we have the strange experience of finding some of our own finest fairy-tales in almost the same form in South China.
10 Struggles between cliques
Yung-lo's successor died early. Under the latter's son, the emperor Hsuean Tsung (1426-1435; reign name Hsuean-te), fixed numbers of candidates were assigned for the state examinations. It had been found that almost the whole of the gentry in the Yangtze region sat at the examinations; and that at these examinations their representatives made sure, through their mutual relations, that only their members should pass, so that the candidates from the north were virtually excluded. The important military clique in the north protested against this, and a compromise was arrived at: at every examination one-third of the candidates must come from the north and two-thirds from the south. This system lasted for a long time, and led to many disputes.
At his death Hsuean Tsung left the empire to his eight-year-old son Ying Tsung (1436-49 and 1459-64), who was entirely in the hands of the Yang clique, which was associated with his grandmother. Soon, however, another clique, led by the eunuch Wang Chen, gained the upper hand at court. The Mongols were very active at this time, and made several raids on the province of Shansi; Wang Chen proposed a great campaign against them, and in this campaign he took with him the young emperor, who had reached his twenty-first birthday in 1449. The emperor had grown up in the palace and knew nothing of the world outside; he was therefore glad to go with Wang Chen; but that eunuch had also lived in the palace and also knew nothing of the world, and in particular of war. Consequently he failed in the organization of reinforcements for his army, some 100,000 strong; after a few brief engagements the Oirat-Mongol prince Esen had the imperial army surrounded and the emperor a prisoner. The eunuch Wang Chen came to his end, and his clique, of course, no longer counted. The Mongols had no intention of killing the emperor; they proposed to hold him to ransom, at a high price. The various cliques at court cared little, however, about their ruler. After the fall of the Wang clique there were two others, of which one, that of General Yue, became particularly powerful, as he had been able to repel a Mongol attack on Peking. Yue proclaimed a new emperor - not the captive emperor's son, a baby, but his brother, who became the emperor Ching Tsung. The Yang clique insisted on the rights of the imperial baby. From all this the Mongols saw that the Chinese were not inclined to spend a lot of money on their imperial captive. Accordingly they made an enormous reduction in the ransom demanded, and more or less forced the Chinese to take back their former emperor. The Mongols hoped that this would at least produce political disturbances by which they might profit, once the old emperor was back in Peking. And this did soon happen. At first the ransomed emperor was pushed out of sight into a palace, and Ching Tsung continued to reign. But in 1456 Ching Tsung fell ill, and a successor to him had to be chosen. The Yue clique wanted to have the son of Ching Tsung; the Yang clique wanted the son of the deposed emperor Ying Tsung. No agreement was reached, so that in the end a third clique, led by the soldier Shih Heng, who had helped to defend Peking against the Mongols, found its opportunity, and by a coup d'etat reinstated the deposed emperor Ying Tsung.
This was not done out of love for the emperor, but because Shih Heng hoped that under the rule of the completely incompetent Ying Tsung he could best carry out a plan of his own, to set up his own dynasty. It is not so easy, however, to carry a conspiracy to success when there are several rival parties, each of which is ready to betray any of the others. Shih Heng's plan became known before long, and he himself was beheaded (1460).
The next forty years were filled with struggles between cliques, which steadily grew in ferocity, particularly since a special office, a sort of secret police headquarters, was set up in the palace, with functions which it extended beyond the palace, with the result that many people were arrested and disappeared. This office was set up by the eunuchs and the clique at their back, and was the first dictatorial organ created in the course of a development towards despotism that made steady progress in these years.
In 1505 Wu Tsung came to the throne, an inexperienced youth of fifteen who was entirely controlled by the eunuchs who had brought him up. The leader of the eunuchs was Liu Chin, who had the support of a group of people of the gentry and the middle class. Liu Chin succeeded within a year in getting rid of the eunuchs at court who belonged to other cliques and were working against him. After that he proceeded to establish his power. He secured in entirely official form the emperor's permission for him to issue all commands himself; the emperor devoted himself only to his pleasures, and care was taken that they should keep him sufficiently occupied to have no chance to notice what was going on in the country. The first important decree issued by Liu Chin resulted in the removal from office or the punishment or murder of over three hundred prominent persons, the leaders of the cliques opposed to him. He filled their posts with his own supporters, until all the higher posts in every department were in the hands of members of his group. He collected large sums of money which he quite openly extracted from the provinces as a special tax for his own benefit. When later his house was searched there were found 240,000 bars and 57,800 pieces of gold (a bar was equivalent of ten pieces), 791,800 ounces and 5,000,000 bars of silver (a bar was five ounces), three bushels of precious stones, two gold cuirasses, 3,000 gold rings, and much else - of a total value exceeding the annual budget of the state! The treasure was to have been used to finance a revolt planned by Liu Chin and his supporters.
Among the people whom Liu Chin had punished were several members of the former clique of the Yang, and also the philosopher Wang Yang-ming, who later became so famous, a member of the Wang family which was allied to the Yang. In 1510 the Yang won over one of the eunuchs in the palace and so became acquainted with Liu Chin's plans. When a revolt broke out in western China, this eunuch (whose political allegiance was, of course, unknown to Liu Chin) secured appointment as army commander. With the army intended for the crushing of the revolt, Liu Chin's palace was attacked when he was asleep, and he and all his supporters were arrested. Thus the other group came into power in the palace, including the philosopher Wang Yang-ming (1473-1529). Liu Chin's rule had done great harm to the country, as enormous taxation had been expended for the private benefit of his clique. On top of this had been the young emperor's extravagance: his latest pleasures had been the building of palaces and the carrying out of military games; he constantly assumed new military titles and was burning to go to war.
11 Risings
The emperor might have had a good opportunity for fighting, for his misrule had resulted in a great popular rising which began in the west, in Szechwan, and then spread to the east. As always, the rising was joined by some ruined scholars, and the movement, which had at first been directed against the gentry as such, was turned into a movement against the government of the moment. No longer were all the wealthy and all officials murdered, but only those who did not join the movement. In 1512 the rebels were finally overcome, not so much by any military capacity of the government armies as through the loss of the rebels' fleet of boats in a typhoon.
In 1517 a new favourite of the emperor's induced him to make a great tour in the north, to which the favourite belonged. The tour and the hunting greatly pleased the emperor, so that he continued his journeying. This was the year in which the Portuguese Fernao Pires de Andrade landed in Canton - the first modern European to enter China.
In 1518 Wang Yang-ming, the philosopher general, crushed a rising in Kiangsi. The rising had been the outcome of years of unrest, which had two causes: native risings of the sort we described above, and loss for the gentry due to the transfer of the capital. The province of Kiangsi was a part of the Yangtze region, and the great landowners there had lived on the profit from their supplies to Nanking. When the capital was moved to Peking, their takings fell. They placed themselves under a prince who lived in Nanking. This prince regarded Wang Yang-ming's move into Kiangsi as a threat to him, and so rose openly against the government and supported the Kiangsi gentry. Wang Yang-ming defeated him, and so came into the highest favour with the incompetent emperor. When peace had been restored in Nanking, the emperor dressed himself up as an army commander, marched south, and made a triumphal entry into Nanking.
One other aspect of Wang Yang-ming's expeditions has not yet been studied: he crushed also the so-called salt-merchant rebels in the southernmost part of Kiangsi and adjoining Kwangtung. These merchants-turned-rebels had dominated a small area, off and on since the eleventh century. At this moment, they seem to have had connections with the rich inland merchants of Hsin-an and perhaps also with foreigners. Information is still too scanty to give more details, but a local movement as persistent as this one deserves attention.
Wang Yang-ming became acquainted as early as 1519 with the first European rifles, imported by the Portuguese who had landed in 1517. (The Chinese then called them Fu-lan-chi, meaning Franks. Wang was the first Chinese who spoke of the "Franks".) The Chinese had already had mortars which hurled stones, as early as the second century A.D. In the seventh or eighth century their mortars had sent stones of a couple of hundredweights some four hundred yards. There is mention in the eleventh century of cannon which apparently shot with a charge of a sort of gunpowder. The Mongols were already using true cannon in their sieges. In 1519, the first Portuguese were presented to the Chinese emperor in Nanking, where they were entertained for about a year in a hostel, a certain Lin Hsuen learned about their rifles and copied them for Wang Yang-ming. In general, however, the Chinese had no respect for the Europeans, whom they described as "bandits" who had expelled the lawful king of Malacca and had now come to China as its representatives. Later they were regarded as a sort of Japanese, because they, too, practiced piracy.
12 Machiavellism
All main schools of Chinese philosophy were still based on Confucius. Wang Yang-ming's philosophy also followed Confucius, but he liberated himself from the Neo-Confucian tendency as represented by Chu Hsi, which started in the Sung epoch and continued to rule in China in his time and after him; he introduced into Confucian philosophy the conception of "intuition". He regarded intuition as the decisive philosophic experience; only through intuition could man come to true knowledge. This idea shows an element of meditative Buddhism along lines which the philosopher Lu Hsiang-shan (1139-1192) had first developed, while classical Neo-Confucianism was more an integration of monastic Buddhism into Confucianism. Lu had felt himself close to Wang An-shih (1021-1086), and this whole school, representing the small gentry of the Yangtze area, was called the Southern or the Lin-ch'uan school, Lin-ch'uan in Kiangsi being Wang An-shih's home. During the Mongol period, a Taoist group, the Cheng-i-chiao (Correct Unity Sect) had developed in Lin-ch'uan and had accepted some of the Lin-ch'uan school's ideas. Originally, this group was a continuation of Chang Ling's church Taoism. Through the Cheng-i adherents, the Southern school had gained political influence on the despotic Mongol rulers. The despotic Yung-lo emperor had favoured the monk Tao-yen ( c. 1338-1418) who had also Taoist training and proposed a philosophy which also stressed intuition. He was, incidentally, in charge of the compilation of the largest encyclopaedia ever written, the Yung-lo ta-tien commissioned by the Yung-lo emperor.
Wang Yang-ming followed the Lin-ch'uan tradition. The introduction of the conception of intuition, a highly subjective conception, into the system of a practical state philosophy like Confucianism could not but lead in the practice of the statesman to Machiavellism. The statesman who followed the teaching of Wang Yang-ming had the opportunity of justifying whatever he did by his intuition.
Wang Yang-ming failed to gain acceptance for his philosophy. His disciples also failed to establish his doctrine in China, because it served the interests of an individual despot against those of the gentry as a class, and the middle class, which might have formed a counterweight against them, was not yet politically ripe for the seizure of the opportunity here offered to it. In Japan, however, Wang's doctrine gained many followers, because it admirably served the dictatorial state system which had developed in that country. Incidentally, Chiang Kai-shek in those years in which he showed Fascist tendencies, also got interested in Wang Yang-ming.
13 Foreign relations in the sixteenth century
The feeble emperor Wu Tsung died in 1521, after an ineffective reign, without leaving an heir. The clique then in power at court looked among the possible pretenders for the one who seemed least likely to do anything, and their choice fell on the fifteen-year-old Shih Tsung, who was made emperor. The forty-five years of his reign were filled in home affairs with intrigues between the cliques at court, with growing distress in the country, and with revolts on a larger and larger scale. Abroad there were wars with Annam, increasing raids by the Japanese, and, above all, long-continued fighting against the famous Mongol ruler Yen-ta, from 1549 onward. At one time Yen-ta reached Peking and laid siege to it. The emperor, who had no knowledge of affairs, and to whom Yen-ta had been represented as a petty bandit, was utterly dismayed and ready to do whatever Yen-ta asked; in the end he was dissuaded from this, and an agreement was arrived at with Yen-ta for state-controlled markets to be set up along the frontier, where the Mongols could dispose of their goods against Chinese goods on very favourable terms. After further difficulties lasting many years, a compromise was arrived at: the Mongols were earning good profits from the markets, and in 1571 Yen-ta accepted a Chinese title. On the Chinese side, this Mongol trade, which continued in rather different form in the Manchu epoch, led to the formation of a local merchant class in the frontier province of Shansi, with great experience in credit business; later the first Chinese bankers came almost entirely from this quarter.
After a brief interregnum there came once more to the throne a ten-year-old boy, the emperor Shen Tsung (reign name Wan-li; 1573-1619). He, too, was entirely under the influence of various cliques, at first that of his tutor, the scholar Chang Chue-chan. About the time of the death, in 1582, of Yen-ta we hear for the first time of a new people. In 1581 there had been unrest in southern Manchuria. The Mongolian tribal federation of the Tuemet attacked China, and there resulted collisions not only with the Chinese but between the different tribes living there. In southern and central Manchuria were remnants of the Tungus Juchen. The Mongols had subjugated the Juchen, but the latter had virtually become independent after the collapse of Mongol rule over China. They had formed several tribal alliances, but in 1581-83 these fought each other, so that one of the alliances to all intents was destroyed. The Chinese intervened as mediators in these struggles, and drew a demarcation line between the territories of the various Tungus tribes. All this is only worth mention because it was from these tribes that there developed the tribal league of the Manchus, who were then to rule China for some three hundred years.
In 1592 the Japanese invaded Korea. This was their first real effort to set foot on the continent, a purely imperialistic move. Korea, as a Chinese vassal, appealed for Chinese aid. At first the Chinese army had no success, but in 1598 the Japanese were forced to abandon Korea. They revenged themselves by intensifying their raids on the coast of central China; they often massacred whole towns, and burned down the looted houses. The fighting in Korea had its influence on the Tungus tribes: as they were not directly involved, it contributed to their further strengthening.
The East India Company was founded in 1600. At this time, while the English were trying to establish themselves in India, the Chinese tried to gain increased influence in the south by wars in Annam, Burma, and Thailand (1594-1604). These wars were for China colonial wars, similar to the colonial fighting by the British in India. But there began to be defined already at that time in the south of Asia the outlines of the states as they exist at the present time.
In 1601 the first European, the Jesuit Matteo Ricci, succeeded in gaining access to the Chinese court, through the agency of a eunuch. He made some presents, and the Chinese regarded his visit as a mission from Europe bringing tribute. Ricci was therefore permitted to remain in Peking. He was an astronomer and was able to demonstrate to his Chinese colleagues the latest achievements of European astronomy. In 1613, after Ricci's death, the Jesuits and some Chinese whom they had converted were commissioned to reform the Chinese calendar. In the time of the Mongols, Arabs had been at work in Peking as astronomers, and their influence had continued under the Ming until the Europeans came. By his astronomical labours Ricci won a place of honour in Chinese literature; he is the European most often mentioned.
The missionary work was less effective. The missionaries penetrated by the old trade routes from Canton and Macao into the province of Kiangsi and then into Nanking. Kiangsi and Nanking were their chief centres. They soon realized that missionary activity that began in the lower strata would have no success; it was necessary to work from above, beginning with the emperor, and then, they hoped, the whole country could be converted to Christianity. When later the emperors of the Ming dynasty were expelled and fugitives in South China, one of the pretenders to the throne was actually converted - but it was politically too late. The missionaries had, moreover, mistaken ideas as to the nature of Chinese religion; we know today that a universal adoption of Christianity in China would have been impossible even if an emperor had personally adopted that foreign faith: there were emperors who had been interested in Buddhism or in Taoism, but that had been their private affair and had never prevented them, as heads of the state, from promoting the religious system which politically was the most expedient - that is to say, usually Confucianism. What we have said here in regard to the Christian mission at the Ming court is applicable also to the missionaries at the court of the first Manchu emperors, in the seventeenth century. Early in the eighteenth century missionary activity was prohibited - not for religious but for political reasons, and only under the pressure of the Capitulations in the nineteenth century were the missionaries enabled to resume their labours.
14 External and internal perils
Towards the end of the reign of Wan-li, about 1620, the danger that threatened the empire became more and more evident. The Manchus complained, no doubt with justice, of excesses on the part of Chinese officials; the friction constantly increased, and the Manchus began to attack the Chinese cities in Manchuria. In 1616, after his first considerable successes, their leader Nurhachu assumed the imperial title; the name of the dynasty was Tai Ch'ing (interpreted as "The great clarity", but probably a transliteration of a Manchurian word meaning "hero"). In 1618, the year in which the Thirty Years War started in Europe, the Manchus conquered the greater part of Manchuria, and in 1621 their capital was Liaoyang, then the largest town in Manchuria.
But the Manchu menace was far from being the only one. On the south-east coast a pirate made himself independent; later, with his family, he dominated Formosa and fought many battles with the Europeans there (European sources call him Coxinga). In western China there came a great popular rising, in which some of the natives joined, and which spread through a large part of the southern provinces. This rising was particularly sanguinary, and when it was ultimately crushed by the Manchus the province of Szechwan, formerly so populous, was almost depopulated, so that it had later to be resettled. And in the province of Shantung in the east there came another great rising, also very sanguinary, that of the secret society of the "White Lotus". We have already pointed out that these risings of secret societies were always a sign of intolerable conditions among the peasantry. This was now the case once more. All the elements of danger which we mentioned at the outset of this chapter began during this period, between 1610 and 1640, to develop to the full.
Then there were the conditions in the capital itself. The struggles between cliques came to a climax. On the death of Shen Tsung (or Wan-li; 1573-1619), he was succeeded by his son, who died scarcely a month later, and then by his sixteen-year-old grandson. The grandson had been from his earliest youth under the influence of a eunuch, Wei Chung-hsien, who had castrated himself. With the emperor's wet-nurse and other people, mostly of the middle class, this man formed a powerful group. The moment the new emperor ascended the throne, Wei was all-powerful. He began by murdering every eunuch who did not belong to his clique, and then murdered the rest of his opponents. Meanwhile the gentry had concluded among themselves a defensive alliance that was a sort of party; this party was called the Tung-lin Academy. It was confined to literati among the gentry, and included in particular the literati who had failed to make their way at court, and who lived on their estates in Central China and were trying to gain power themselves. This group was opposed to Wei Chung-hsien, who ruthlessly had every discoverable member murdered. The remainder went into hiding and organized themselves secretly under another name. As the new emperor had no son, the attempt was made to foist a son upon him; at his death in 1627, eight women of the harem were suddenly found to be pregnant! He was succeeded by his brother, who was one of the opponents of Wei Chung-hsien and, with the aid of the opposing clique, was able to bring him to his end. The new emperor tried to restore order at court and in the capital by means of political and economic decrees, but in spite of his good intentions and his unquestionable capacity he was unable to cope with the universal confusion. There was insurrection in every part of the country. The gentry, organized in their "Academies", and secretly at work in the provinces, no longer supported the government; the central power no longer had adequate revenues, so that it was unable to pay the armies that should have marched against all the rebels and also against external enemies. It was clear that the dynasty was approaching its end, and the only uncertainty was as to its successor. The various insurgents negotiated or fought with each other; generals loyal to the government won occasional successes against the rebels; other generals went over to the rebels or to the Manchus. The two most successful leaders of bands were Li Tz[)u]-ch'eng and Chang Hsien-chung. Li came from the province of Shensi; he had come to the fore during a disastrous famine in his country. The years around 1640 brought several widespread droughts in North China, a natural phenomenon that was repeated in the nineteenth century, when unrest again ensued. Chang Hsien-chung returned for a time to the support of the government, but later established himself in western China. It was typical, however, of all these insurgents that none of them had any great objective in view. They wanted to get enough to eat for themselves and their followers; they wanted to enrich themselves by conquest; but they were incapable of building up an ordered and new administration. Li ultimately made himself "king" in the province of Shensi and called his dynasty "Shun", but this made no difference: there was no distribution of land among the peasants serving in Li's army; no plan was set into operation for the collection of taxes; not one of the pressing problems was faced.
Meanwhile the Manchus were gaining support. Almost all the Mongol princes voluntarily joined them and took part in the raids into North China. In 1637 the united Manchus and Mongols conquered Korea. Their power steadily grew. What the insurgents in China failed to achieve, the Manchus achieved with the aid of their Chinese advisers: they created a new military organization, the "Banner Organization". The men fit for service were distributed among eight "banners", and these banners became the basis of the Manchu state administration. By this device the Manchus emerged from the stage of tribal union, just as before them Turks and other northern peoples had several times abandoned the traditional authority of a hierarchy of tribal leaders, a system of ruling families, in favour of the authority, based on efficiency, of military leaders. At the same time the Manchus set up a central government with special ministries on the Chinese model. In 1638 the Manchus appeared before Peking, but they retired once more. Manchu armies even reached the province of Shantung. They were hampered by the death at the critical moment of the Manchu ruler Abahai (1626-1643). His son Fu Lin was not entirely normal and was barely six years old; there was a regency of princes, the most prominent among them being Prince Dorgon.
Meanwhile Li Tz[)u]-ch'eng broke through to Peking. The city had a strong garrison, but owing to the disorganization of the government the different commanders were working against each other; and the soldiers had no fighting spirit because they had no pay for a long time. Thus the city fell, on April 24th, 1644, and the last Ming emperor killed himself. A prince was proclaimed emperor; he fled through western and southern China, continually trying to make a stand, but it was too late; without the support of the gentry he had no resource, and ultimately, in 1659, he was compelled to flee into Burma.
Thus Li Tz[)u]-ch'eng was now emperor. It should have been his task rapidly to build up a government, and to take up arms against the other rebels and against the Manchus. Instead of this he behaved in such a way that he was unable to gain any support from the existing officials in the capital; and as there was no one among his former supporters who had any positive, constructive ideas, just nothing was done.
This, however, improved the chances of all the other aspirants to the imperial throne. The first to realize this clearly, and also to possess enough political sagacity to avoid alienating the gentry, was General Wu San-kui, who was commanding on the Manchu front. He saw that in the existing conditions in the capital he could easily secure the imperial throne for himself if only he had enough soldiers. Accordingly he negotiated with the Manchu Prince Dorgon, formed an alliance with the Manchus, and with them entered Peking on June 6th, 1644. Li Tz[)u]-ch'eng quickly looted the city, burned down whatever he could, and fled into the west, continually pursued by Wu San-kui. In the end he was abandoned by all his supporters and killed by peasants. The Manchus, however, had no intention of leaving Wu San-kui in power: they established themselves in Peking, and Wu became their general.
(C) The Manchu Dynasty (1644-1911)
1 Installation of Manchus
The Manchus had gained the mastery over China owing rather to China's internal situation than to their military superiority. How was it that the dynasty could endure for so long, although the Manchus were not numerous, although the first Manchu ruler (Fu Lin, known under the rule name Shun-chih; 1644-1662) was a psychopathic youth, although there were princes of the Ming dynasty ruling in South China, and although there were strong groups of rebels all over the country? The Manchus were aliens; at that time the national feeling of the Chinese had already been awakened; aliens were despised. In addition to this, the Manchus demanded that as a sign of their subjection the Chinese should wear pigtails and assume Manchurian clothing (law of 1645). Such laws could not but offend national pride. Moreover, marriages between Manchus and Chinese were prohibited, and a dual government was set up, with Manchus always alongside Chinese in every office, the Manchus being of course in the superior position. The Manchu soldiers were distributed in military garrisons among the great cities, and were paid state pensions, which had to be provided by taxation. They were the master race, and had no need to work. Manchus did not have to attend the difficult state examinations which the Chinese had to pass in order to gain an appointment. How was it that in spite of all this the Manchus were able to establish themselves?
The conquering Manchu generals first went south from eastern China, and in 1645 captured Nanking, where a Ming prince had ruled. The region round Nanking was the economic centre of China. Soon the Manchus were in the adjoining southern provinces, and thus they conquered the whole of the territory of the landowning gentry, who after the events of the beginning of the seventeenth century had no longer trusted the Ming rulers. The Ming prince in Nanking was just as incapable, and surrounded by just as evil a clique, as the Ming emperors of the past. The gentry were not inclined to defend him. A considerable section of the gentry were reduced to utter despair; they had no desire to support the Ming any longer; in their own interest they could not support the rebel leaders; and they regarded the Manchus as just a particular sort of "rebels". Interpreting the refusal of some Sung ministers to serve the foreign Mongols as an act of loyalty, it was now regarded as shameful to desert a dynasty when it came to an end and to serve the new ruler, even if the new regime promised to be better. Many thousands of officials, scholars, and great landowners committed suicide. Many books, often really moving and tragic, are filled with the story of their lives. Some of them tried to form insurgent bands with their peasants and went into the mountains, but they were unable to maintain themselves there. The great bulk of the elite soon brought themselves to collaborate with the conquerors when they were offered tolerable conditions. In the end the Manchus did not interfere in the ownership of land in central China.
At the time when in Europe Louis XIV was reigning, the Thirty Years War was coming to an end, and Cromwell was carrying out his reforms in England, the Manchus conquered the whole of China. Chang Hsien-chung and Li Tz[)u]-ch'eng were the first to fall; the pirate Coxinga lasted a little longer and was even able to plunder Nanking in 1659, but in 1661 he had to retire to Formosa. Wu San-kui, who meanwhile had conquered western China, saw that the situation was becoming difficult for him. His task was to drive out the last Ming pretenders for the Manchus. As he had already been opposed to the Ming in 1644, and as the Ming no longer had any following among the gentry, he could not suddenly work with them against the Manchus. He therefore handed over to the Manchus the last Ming prince, whom the Burmese had delivered up to him in 1661. Wu San-kui's only possible allies against the Manchus were the gentry. But in the west, where he was in power, the gentry counted for nothing; they had in any case been weaker in the west, and they had been decimated by the insurrection of Chang Hsien-chung. Thus Wu San-kui was compelled to try to push eastwards, in order to unite with the gentry of the Yangtze region against the Manchus. The Manchus guessed Wu San-kui's plan, and in 1673, after every effort at accommodation had failed, open war came. Wu San-kui made himself emperor, and the Manchus marched against him. Meanwhile, the Chinese gentry of the Yangtze region had come to terms with the Manchus, and they gave Wu San-kui no help. He vegetated in the south-west, a region too poor to maintain an army that could conquer all China, and too small to enable him to last indefinitely as an independent power. He was able to hold his own until his death, although, with the loss of the support of the gentry, he had no prospect of final success. Not until 1681 was his successor, his grandson Wu Shih-fan, defeated. The end of the rule of Wu San-kui and his successor marked the end of the national governments of China; the whole country was now under alien domination, for the simple reason that all the opponents of the Manchus had failed. Only the Manchus were accredited with the ability to bring order out of the universal confusion, so that there was clearly no alternative but to put up with the many insults and humiliations they inflicted - with the result that the national feeling that had just been aroused died away, except where it was kept alive in a few secret societies. There will be more to say about this, once the works which were suppressed by the Manchus are published.
In the first phase of the Manchu conquest the gentry had refused to support either the Ming princes or Wu San-kui, or any of the rebels, or the Manchus themselves. A second phase began about twenty years after the capture of Peking, when the Manchus won over the gentry by desisting from any interference with the ownership of land, and by the use of Manchu troops to clear away the "rebels" who were hostile to the gentry. A reputable government was then set up in Peking, free from eunuchs and from all the old cliques; in their place the government looked for Chinese scholars for its administrative posts. Literati and scholars streamed into Peking, especially members of the "Academies" that still existed in secret, men who had been the chief sufferers from the conditions at the end of the Ming epoch. The young emperor Sheng Tsu (1663-1722; K'ang-hsi is the name by which his rule was known, not his name) was keenly interested in Chinese culture and gave privileged treatment to the scholars of the gentry who came forward. A rapid recovery quite clearly took place. The disturbances of the years that had passed had got rid of the worst enemies of the people, the formidable rival cliques and the individuals lusting for power; the gentry had become more cautious in their behaviour to the peasants; and bribery had been largely stamped out. Finally, the empire had been greatly expanded. All these things helped to stabilize the regime of the Manchus.
2 Decline in the eighteenth century
The improvement continued until the middle of the eighteenth century. About the time of the French Revolution there began a continuous decline, slow at first and then gathering speed. The European works on China offer various reasons for this: the many foreign wars (to which we shall refer later) of the emperor, known by the name of his ruling period, Ch'ien-lung, his craze for building, and the irruption of the Europeans into Chinese trade. In the eighteenth century the court surrounded itself with great splendour, and countless palaces and other luxurious buildings were erected, but it must be borne in mind that so great an empire as the China of that day possessed very considerable financial strength, and could support this luxury. The wars were certainly not inexpensive, as they took place along the Russian frontier and entailed expenditure on the transport of reinforcements and supplies; the wars against Turkestan and Tibet were carried on with relatively small forces. This expenditure should not have been beyond the resources of an ordered budget. Interestingly enough, the period between 1640 and 1840 belongs to those periods for which almost no significant work in the field of internal social and economic developments has been made; Western scholars have been too much interested in the impact of Western economy and culture or in the military events. Chinese scholars thus far have shown a prejudice against the Manchu dynasty and were mainly interested in the study of anti-Manchu movements and the downfall of the dynasty. On the other hand, the documentary material for this period is extremely extensive, and many years of work are necessary to reach any general conclusions even in one single field. The following remarks should, therefore, be taken as very tentative and preliminary, and they are, naturally, fragmentary.
The decline of the Manchu dynasty began at a time when the European trade was still insignificant, and not as late as after 1842, when China had to submit to the foreign Capitulations. These cannot have been the true cause of the decline. Above all, the decline was not so noticeable in the state of the Exchequer as in a general impoverishment of China. The number of really wealthy persons among the gentry diminished, but the middle class, that is to say the people who had education but little or no money and property, grew steadily in number.
One of the deeper reasons for the decline of the Manchu dynasty seems to lie in the enormous increase in the population. Here are a few Chinese statistics:
Year Population
1578(before the Manchus) 10,621,463 families or 60,692,856
individuals
1662 19,203,233 " 100,000,000 " [*]
1710 23,311,236 " 116,000,000 " [*]
1729 25,480,498 " 127,000,000 " [*]
1741 " 143,411,559 "
1754 184,504,493 "
1778 242,965,618 "
1796 275,662,414 "
1814 374,601,132 "
1850 414,493,899 "
(1953) (601,938,035 ")
[*] Approximately
It may be objected that these figures are incorrect and exaggerated. Undoubtedly they contain errors. But the first figure (for 1578) of some sixty millions is in close agreement with all other figures of early times; the figure for 1850 seems high, but cannot be far wrong, for even after the great T'ai P'ing Rebellion of 1851, which, together with its after-effects, costs the lives of countless millions, all statisticians of today estimate the population of China at more than four hundred millions. If we enter these data together with the census of 1953 into a chart (see p. 273), a fairly smooth curve emerges; the special features are that already under the Ming the population was increasing and, secondly, that the high rate of increase in the population began with the long period of internal peace since about 1700. From that time onwards, all China's wars were fought at so great a distance from China proper that the population was not directly affected. Moreover, in the seventeenth and eighteenth centuries the Manchus saw to the maintenance of the river dykes, so that the worst inundations were prevented. Thus there were not so many of the floods which had often cost the lives of many million people in China; and there were no internal wars, with their heavy cost in lives.
But while the population increased, the tillage failed to increase in the needed proportion. I have, unfortunately, no statistics for all periods; but the general tendency is shown by the following table:
Date Cultivated area mou per person
in mou
1578 701,397,600 11.6
1662 531,135,800
1719 663,113,200
1729 878,176,000 6.1
(1953) (1,627,930,000) (2.7)
Six mou are about one acre. In 1578, there were 66 mou land per family of the total population. This was close to the figures regarded as ideal by Chinese early economists for the producing family (100 mou) considering the fact that about 80 per cent of all families at that time were producers. By 1729 it was only 35 mou per family, i.e. the land had to produce almost twice as much as before. We have shown that the agricultural developments in the Ming time greatly increased the productivity of the land. This then, obviously resulted in an increase of population. But by the middle of the eighteenth century, assuming that production doubled since the sixteenth century, population pressure was again as heavy as it had been then. And after c. 1750, population pressure continued to build up to the present time.
Internal colonization continued during the Manchu time; there was a continuous, but slow flow of people into Kwangsi, Kweichow, Yuennan. In spite of laws which prohibited emigration, Chinese also moved into South-East Asia. Chinese settlement in Manchuria was allowed only in the last years of the Manchus. But such internal colonization or emigration could alleviated the pressure only in some areas, while it continued to build up in others.
In Europe as well as in Japan, we find a strong population increase; in Europe at almost the same time as in China. But before population pressure became too serious in Europe or Japan, industry developed and absorbed the excess population. Thus, farms did not decrease too much in size. Too small farms are always and in many ways uneconomical. With the development of industries, the percentage of farm population decreased. In China, however, the farm population was still as high as 73.3 per cent of the total population in 1932 and the percentage rose to 81 per cent in 1950.
From the middle of the seventeenth century on, commercial activities, especially along the coast, continued to increase and we find gentry families who equip sons who were unwilling or not capable to study and to enter the ranks of the officials, but who were too unruly to sit in villages and collect the rent from the tenants of the family, with money to enter business. The newly settled areas of Kwangtung and Kwangsi were ideal places for them: here they could sell Chinese products to the native tribes or to the new settlers at high prices. Some of these men introduced new techniques from the old provinces of China into the "colonial" areas and set up dye factories, textile factories, etc., in the new towns of the south. But the greatest stimulus for these commercial activities was foreign, European trade. American silver which had flooded Europe in the sixteenth century, began to flow into China from the beginning of the seventeenth century on. The influx was stopped not until between 1661 and 1684 when the government again prohibited coastal shipping and removed coastal settlements into the interior in order to stop piracy along the coasts of Fukien and independence movements on Formosa. But even during these twenty-three years, the price of silver was so low that home production was given up because it did not pay off. In the eighteenth century, silver again continued to enter China, while silk and tea were exported. This demand led to a strong rise in the prices of silk and tea, and benefited the merchants. When, from the late eighteenth century on, opium began to be imported, the silver left China again. The merchants profited this time from the opium trade, but farmers had to suffer: the price of silver went up, and taxes had to be paid in silver, while farm products were sold for copper. By 1835, the ounce of silver had a value of 2,000 copper coins instead of one thousand before 1800. High gains in commerce prevented investment in industries, because they would give lower and later profits than commerce. From the nineteenth century on, more and more industrial goods were offered by importers which also prevented industrialization. Finally, the gentry basically remained anti-industrial and anti-business. They tried to operate necessary enterprises such as mining, melting, porcelain production as far as possible as government establishments; but as the operators were officials, they were not too business-minded and these enterprises did not develop well. The businessmen certainly had enough capital, but they invested it in land instead of investing it in industries which could at any moment be taken away by the government, controlled by the officials or forced to sell at set prices, and which were always subject to exploitation by dishonest officials. A businessman felt secure only when he had invested in land, when he had received an official title upon the payment of large sums of money, or when he succeeded to push at least one of his sons into the government bureaucracy. No doubt, in spite of all this, Chinese business and industry kept on developing in the Manchu time, but they did not develop at such a speed as to transform the country from an agrarian into a modern industrial nation.
3 Expansion in Central Asia; the first State treaty
The rise of the Manchu dynasty actually began under the K'ang-hsi rule (1663-1722). The emperor had three tasks. The first was the removal of the last supporters of the Ming dynasty and of the generals, such as Wu San-kui, who had tried to make themselves independent. This necessitated a long series of campaigns, most of them in the south-west or south of China; these scarcely affected the population of China proper. In 1683 Formosa was occupied and the last of the insurgent army commanders was defeated. It was shown above that the situation of all these leaders became hopeless as soon as the Manchus had occupied the rich Yangtze region and the intelligentsia and the gentry of that region had gone over to them.
A quite different type of insurgent commander was the Mongol prince Galdan. He, too, planned to make himself independent of Manchu overlordship. At first the Mongols had readily supported the Manchus, when the latter were making raids into China and there was plenty of booty. Now, however, the Manchus, under the influence of the Chinese gentry whom they brought, and could not but bring, to their court, were rapidly becoming Chinese in respect to culture. Even in the time of K'ang-hsi the Manchus began to forget Manchurian; they brought tutors to court to teach the young Manchus Chinese. Later even the emperors did not understand Manchurian! As a result of this process, the Mongols became alienated from the Manchurians, and the situation began once more to be the same as at the time of the Ming rulers. Thus Galdan tried to found an independent Mongol realm, free from Chinese influence.
The Manchus could not permit this, as such a realm would have threatened the flank of their homeland, Manchuria, and would have attracted those Manchus who objected to sinification. Between 1690 and 1696 there were battles, in which the emperor actually took part in person. Galdan was defeated. In 1715, however, there were new disturbances, this time in western Mongolia. Tsewang Rabdan, whom the Chinese had made khan of the Oeloet, rose against the Chinese. The wars that followed, extending far into Turkestan and also involving its Turkish population together with the Dzungars, ended with the Chinese conquest of the whole of Mongolia and of parts of eastern Turkestan. As Tsewang Rabdan had tried to extend his power as far as Tibet, a campaign was undertaken also into Tibet, Lhasa was occupied, a new Dalai Lama was installed there as supreme ruler, and Tibet was made into a protectorate. Since then Tibet has remained to this day under some form of Chinese colonial rule.
This penetration of the Chinese into Turkestan took place just at the time when the Russians were enormously expanding their empire in Asia, and this formed the third problem for the Manchus. In 1650 the Russians had established a fort by the river Amur. The Manchus regarded the Amur (which they called the "River of the Black Dragon")