NOTES AND REFERENCES
The following notes and references are intended to help the interested reader. They draw his attention to some more specialized literature in English, and occasionally in French and German. They also indicate for the more advanced reader the sources for some of the interpretations of historical events. As such sources are most often written in Chinese or Japanese and, therefore, inaccessible to most readers, only brief hints and not full bibliographical data are given. The specialists know the names and can easily find details in the standard bibliographies. The general reader will profit most from the bibliography on Chinese history published each year in the Journal of Asian Studies. These Notes do not mention the original Chinese sources which are the factual basis of this book.
Chapter One
p. 7: Reference is made here to the T'ung-chien kang-mu and its translation by de Mailla (1777-85). Criticism by O. Franke, Ku Chieh-kang and his school, also by G. Haloun.
p. 8: For the chronology, I rely here upon Ijima Tadao and my own research. Excavations at Chou-k'ou-tien still continue and my account should be taken as very preliminary. An earlier analysis is given by E. von Eickstedt (Rassendynamik von Ostasien, Berlin 1944). For the following periods, the best general study is still J.G. Andersson, Researches into the Prehistory of the Chinese, Stockholm 1943. A great number of new findings has been made recently, but no comprehensive analysis in a Western language is available.
p. 9: Comparison with Ainu has been made by Weidenreich. The theory of desiccation of Asia is not the Huntington theory, but I rely here upon arguments by J.G. Andersson and Sven Hedin.
p. 10. The earlier theories of R. Heine-Geldern have been used here.
p. 11: This is a summary of my own theories. Concerning the Tungus tribes, K. Jettmar (Wiener Beitraege zur Kulturgeschichte, vol. 9, 1952, p. 484f and later studies) has proposed a more refined theory; other parts of the theory, as far as it is concerned with conditions in Central Asia, have been modified by F. Kussmaul (in: Tribus, vol. 1952-3, pp. 305-60). Archaeological data from Central Asia have been analysed again by K. Jettmar (in: The Museum of Far Eastern Antiquities, Bulletin No. 23, 1951). The discussion on domestication of large animals relies on the studies by C.O. Sauer, H. von Wissmann, Menghin, Amschler, Flohr and, most recently, F. Han[vc]ar (in: Saeculum, vol. 10, 1959, pp. 21-37 with further literature), and also on my own research.
p. 12: An analysis of the situation in the South according to Western and Chinese studies is found in H.J. Wiens, China's March toward the Tropics, Hamden 1954. Much further work is now published by Ling Shun-sheng, Rui Yi-fu and other anthropologists in Taipei. The best analysis of denshiring in the Far East is still the book by K.J. Pelzer, Population and Land Utilization, New York 1941. The anthropological theories on this page are my own, influenced by ideas of R. Heine-Geldern and Gordon Luce.
p. 14: Sociological theory, as developed by R. Thurnwald and others, has been used as a theoretical tool here, together with observations by A. Credner and H. Bernatzik. Concerning rice in Yang-shao see R. Heine-Geldern in Anthropos, vol. 27, p. 595.
p. 15: Wu Chin-ting defended the local origin of Yang-shao; T.J. Arne, J.G. Andersson and many others suggested Western influences. Most recently R. Heine-Geldern elaborated this theory. The allusion to Indo-Europeans refers to the studies by G. Haloun and others concerning the Ta-Hsia, the later Yueeh-chih, and the Tocharian problem.
p. 16: R. Heine-Geldern proposed a "Pontic migration". Yin Huan-chang discussed most recently Lung-shan culture and the mound-dwellers.
p. 17: The original Chu-shu chi-nien version of the stories about Yao has been accepted here, together with my own research and the studies by B. Karlgren, M. Loehr, G. Haloun, E.H. Minns and others concerning the origin and early distribution of bronze and the animal style. Smith families or tribes are well known from Central Asia, but also from India and Africa (see W. Ruben, Eisenschmiede und Daemonen in Indien, Leiden 1939, for general discussion). - For a discussion of the Hsia see E. Erkes.
Chapter Two
p. 19: The discussion in this chapter relies mainly upon the Anyang excavation reports and the studies by Tung Tso-pin and, most strongly, Ch'en Meng-chia. In English, the best work is still H.G. Creel, The Birth of China, London 1936 and his more specialized Studies in Early Chinese Culture, Baltimore 1937.
p. 20: The possibility of a "megalithic" culture in the Far East has often been discussed, by O. Menghin, R. Heine-Geldern, Cheng Te-k'un, Ling Shun-sheng and others. Megaliths occur mainly in South-East Asia, southern China, Korea and Japan. - Teng Ch'u-min and others believe that silk existed already in the time of Yang-shao.
p. 21: Kuo Mo-jo believes, that the Shang already used a real plough drawn by animals. The main discussion on ploughs in China is by Hsue Chung-shu; for general anthropological discussion see E. Werth and H. Kothe.
p. 22: For the discussion of the T'ao-t'ieh see the research by B. Karlgren and C. Hentze.
p. 23: I follow here mainly Ch'en Meng-chia, but work by B. Schindler, C. Hentze, H. Maspero and also my own research has been considered.
p. 24: I am accepting here a narrow definition of feudalism (see my Conquerors and Rulers, Leiden 1952). - The division of armies into "right" and "left" is interesting in the light of the theories concerning the importance of systems of orientation (Fr. Rock and others).
p. 25: Here, the work by W. Koppers, O. Spengler, F. Han[vc]ar, V.G. Childe and many others, concerning the domestication of the horse and the introduction of the war-chariot in general, and work by Shih Chang-ju, Ch'en Meng-chia, O. Maenchen, Uchida Gimpu and others concerning horses, riding and chariots in China has been used, in addition to my own research.
p. 26: Concerning the wild animals, I have relied upon Ch'en Meng-chia, Hsue Chung-shu and Tung Tso-pin. - The discussion as to whether there was a period of "slave society" (as postulated by Marxist theory) in China, and when it flourished, is still going on under the leadership of Kuo Mo-jo and his group. I prefer to differentiate between slaves and serfs, and relied for factual data upon texts from oracle bones, not upon historical texts. - The problem of Shang chronology is still not solved, in spite of extensive work by Liu Ch'ao-yang, Tung Tso-pin and many Japanese and Western scholars. The old chronology, however, seems to be rejected by most scholars now.
Chapter Three
p. 29: Discussing the early script and language, I refer to the great number of unidentified Shang characters and, especially, to the composite characters which have been mentioned often by C. Hentze in his research; on the other hand, the original language of the Chou may have been different from classical Chinese, if we can judge from the form of the names of the earliest Chou ancestors. Problems of substrata languages enter at this stage. Our first understanding of Chou language and dialects seems to come through the method applied by P. Serruys, rather than through the more generally accepted theories and methods of B. Karlgren and his school.
p. 30: I reject here the statement of classical texts that the last Shang ruler was unworthy, and accept the new interpretation of Ch'en Meng-chia which is based upon oracle bone texts, - The most recent general study on feudalism, and on feudalism in China, is in R. Coulborn, Feudalism in History, Princeton 1956. Stimulating, but in parts antiquated, is M. Granet, La Feodalite Chinoise, Oslo 1952. I rely here on my own research. The instalment procedure has been described by H. Maspero and Ch'i Sz[)u]-ho.
p. 31: The interpretation of land-holding and clans follows my own research which is influenced by Niida Noboru, Kat[=o] Shigeru and other Japanese scholars, as well as by G. Haloun. - Concerning the origin of family names see preliminarily Yang Hsi-mei; much further research is still necessary. The general development of Chinese names is now studied by Wolfgang Bauer. - The spread of cities in this period has been studied by Li Chi, The Formation of the Chinese People, Cambridge 1928. My interpretation relies mainly upon a study of the distribution of non-Chinese tribes and data on early cities coming from excavation reports (see my "Data on the Structure of the Chinese City" in Economic Development and Cultural Change, 1956, pp. 253-68, and "The Formation of Chinese Civilization" in Sociologus 7, 1959, pp. 97-112).
p. 32: The work on slaves by T. Pippon, E. Erkes, M. Wilbur, Wan Kuo-ting, Kuo Mo-jo, Niida Noboru, Kao Nien-chih and others has been consulted; the interpretation by E.G. Pulleyblank, however, was not accepted.
p. 33: This interpretation of the "well-field" system relies in part upon the work done by Hsue Ti-shan, in part upon M. Granet and H. Maspero, and attempts to utilize insight from general anthropological theory and field-work mainly in South-East Asia. Other interpretations have been proposed by Yang Lien-sheng, Wan Kuo-ting, Ch'i Sz[)u]-ho P. Demieville, Hu Shih, Chi Ch'ao-ting, K.A. Wittfogel, and others Some authors, such as Kuo Mo-jo, regard the whole system as an utopia, but believe in an original "village community". - The characterization of the Chou-li relies in part upon the work done by Hsue Chung-shu and Ku Chieh-kang on the titles of nobility, research by Yang K'uan and textual criticism by B. Karlgren, O. Franke, and again Ku Chieh-kang and his school. - The discussion on twin cities is intended to draw attention to its West Asian parallels, the "acropolis" or "ark" city, as well as to the theories on the difference between Western and Asian cities (M. Weber) and the specific type of cities in "dual societies" (H. Boeke).
p. 34: This is a modified form of the Hu Shih theory. - The problem of nomadic agrarian inter-action and conflict has been studied for a later period mainly by O. Lattimore. Here, general anthropological research as well as my own have been applied.
p. 36: The supra-stratification theory as developed by R. Thurnwald has been used as analytic tool here.
p. 38: For this period, a novel interpretation is presented by R.L. Walker, The Multi-State System of China, Hamden 1953. For the concepts of sovereignty, I have used here the Chou-li text and interpretations based upon this text.
p. 40: For the introduction of iron and the importance of Ch'i, see Chu Hsi-tsu, Kuo Mo-jo, Yang K'uan, Sekino, Takeshi. - Some scholars (G. Haloun) tend to interpret attacks such as the one of 660 B.C. as attacks from outside the borders of China.
p. 41: For Confucius see H.G. Creel, Confucius, New York 1949. I do not, however, follow his interpretation, but rather the ideas of Hu Shih, O. Franke and others.
p. 42: For "chuen-tz[)u]" and its counterpart "hsiao-jen" see D. Bodde and Ch'en Meng-chia.
p 43: I rely strongly here upon O. Franke and Ku Chieh-kang and upon my own work on eclipses.
p. 44: I regard the Confucian traditions concerning the model emperors of early time as such a falsification. The whole concept of "abdication" has been analysed by M. Granet. The later ceremony of abdication was developed upon the basis of the interpretations of Confucius and has been studied by Ku Chieh-kang and Miyakawa Hisayuki. Already Confucius' disciple Meng Tz[)u], and later Chuang Tz[)u] and Han Fei Tz[)u] were against this theory. - As a general introduction to the philosophy of this period, Y.L. Feng's History of Chinese Philosophy, London 1937 has still to be recommended, although further research has made many advances. - My analysis of the role of Confucianism in society is influenced by theories in the field of Sociology of religion.
p. 45: The temple in Turkestan was in Khotan and is already mentioned in the Wei-shu chapter 102. The analysis of the famous "Book on the transfiguration of Lao Tz[)u] into a Western Barbarian" by Wang Wei-cheng is penetrating and has been used here. The evaluation of Lao Tz[)u] and his pupils as against Confucius by J. Needham, in his Science and Civilization in China, Cambridge 1954 et seq. (in volume 2) is very stimulating, though necessarily limited to some aspects only.
p. 47: The concept of wu-wei has often been discussed; some, such as Masaaki Matsumoto, interpreted the concept purely in social terms as "refusal of actions carrying worldly estimation".
p. 49 Further literature concerning alchemy and breathing exercises is found in J. Needham's book.
Chapter Four
p. 51: I have used here the general framework of R.L. Walker, but more upon Yang K'uan's studies.
p. 52: The interpretation of the change of myths in this period is based in part upon the work done by H. Maspero, G. Haloun, and Ku Chieh-kang. The analysis of legends made by B. Karlgren from a philological point of view ("Legends and Cults in Ancient China", The Museum of Far Eastern Antiquities, Bulletin No. 18, 1946, pp. 199-365) follows another direction.
p. 53: The discussion on riding involves the theories concerning horse-nomadic tribes and the period of this way of life. It also involves the problem of the invention of stirrup and saddle. The saddle seems to have been used in China already at the beginning of our period; the stirrup seems to be as late as the fifth century A.D. The article by A. Kroeber, The Ancient Oikumene as an Historic Culture Aggregate, Huxley Memorial Lecture for 1945, is very instructive for our problems and also for its theoretical approach. - The custom of attracting settlers from other areas in order to have more production as well as more manpower seems to have been known in India at the same time.
p. 54: The work done by Kat[=o] Shigeru and Niida Noboru on property and family has been used here. For the later period, work done by Makino Tatsumi has also been incorporated. - Literature on the plough and on iron for implements has been mentioned above. Concerning the fallow system, I have incorporated the ideas of Kat[=o] Shigeru, [=O]shima Toshikaza, Hsue Ti-shan and Wan Kuo-ting. Hsue Ti-shan believes that a kind of 3-field system had developed by this time. Traces of such a system have been observed in modern China (H.D. Scholz). For these questions, the translation by N. Lee Swann, Food and Money in Ancient China, 1959 is very important.
p. 55: For all questions of money and credit from this period down to modern times, the best brief introduction is by Lien-sheng Yang, Money and Credit in China, Cambridge 1952. The Introduction to the Economic History of China, London 1954, by E. Stuart Kirby is certainly still the best brief introduction into all problems of Chinese Economic history and contains a bibliography in Western and Chinese-Japanese languages. Articles by Chinese authors on economic problems have been translated in E-tu Zen Sun and J. de Francis, Chinese Social History, Washington 1956. - Data on the size of early cities have been collected by T. Sekino and Kat[=o] Shigeru.
p. 56: T. Sekino studied the forms of cities. C. Hentze believes that the city even in the Shang period normally had a square plan. - T. Sekino has also made the first research on city coins. Such a privilege and such independence of cities disappear later, but occasionally the privilege of minting was given to persons of high rank. - K.A. Wittfogel, Oriental Despotism, New Haven 1957 regards irrigation as a key economic and social factor and has built up his theory around this concept. I do not accept his theory here or later. Evidence seems to point towards the importance of transportation systems rather than of government-sponsored or operated irrigation systems. - Concerning steel, we follow Yang K'uan; a special study by J. Needham is under preparation. Centre of steel production at this time was Wan (later Nanyang in Honan). - For early Chinese law, the study by A.F.P. Hulsewe, Remnants of Han Law, Leiden 1955 is the best work in English. He does not, however, regard Li K'ui as the main creator of Chinese law, though Kuo Mo-jo and others do. It is obvious, however, that Han law was not a creation of the Han Chinese alone and that some type of code must have existed before Han, even if such a code was not written by the man Li K'ui. A special study on Li was made by O. Franke.
p. 57: In the description of border conditions, research by O. Lattimore has been taken into consideration.
p. 59: For Shang Yang and this whole period, the classical work in English is still J.J.L. Duyvendak, The Book of Lord Shang, London 1928; the translation by Ma Perleberg of The Works of Kung-sun Lung-tzu, Hongkong 1952 as well as the translation of the Economic Dialogues in Ancient China: The Kuan-tzu, edited by L. Maverick, New Haven 1954 have not found general approval, but may serve as introductions to the way philosophers of our period worked. Han Fei Tz[)u]; has been translated by W.K. Liao, The Complete Works of Han Fei Tz[)u], London 1939 (only part 1).
p. 60: Needham does not have such a positive attitude towards Tsou Yen, and regards Western influences upon Tsou Yen as not too likely. The discussion on pp. 60-1 follows mainly my own researches.
p. 61: The interpretation of secret societies is influenced by general sociological theory and detailed reports on later secret societies. S. Murayama and most modern Chinese scholars stress almost solely the social element in the so-called "peasant rebellions".
Chapter Five
p. 63: The analysis of the emergence of Ch'in bureaucracy has profited from general sociological theory, especially M. Weber (see the new analysis by R. Bendix, Max Weber, an Intellectual Portrait, Garden City 1960, p. 117-157). Early administration systems of this type in China have been studied in several articles in the journal Yue-kung (vol. 6 and 7).
p. 65: In the discussion of language, I use arguments which have been brought forth by P. Serruys against the previously generally accepted theories of B. Karlgren. - For weights and measures I have referred to T. Sekino, Liu Fu and Wu Ch'eng-lo.
p. 66: For this period, D. Bodde's China's First Unifier, Leiden 1938 and his Statesman, Patriot, and General in Ancient China, New Haven 1940 remain valuable studies.
Chapter Six
p. 71: The basic historical text for this whole period, the Dynastic History of the Han Dynasty, is now in part available in English translation (H.H. Dubs, The History of the Former Han Dynasty, Baltimore 1938, 3 volumes).
p. 72: The description of the gentry is based upon my own research. Other scholars define the word "gentry", if applied to China, differently (some of the relevant studies are discussed in my note in the Bull. School of Orient. &African Studies, 1955, p. 373 f.).
p. 73: The theory of the cycle of mobility has been brought forth by Fr. L.K. Hsu and others. I have based my criticism upon a forthcoming study of Social Mobility in Traditional Chinese Society. The basic point is not the momentary economic or political power of such a family, but the social status of the family (Li-shih yen-chiu, Peking 1955, No. 4, p. 122). The social status was, increasingly, defined and fixed by law (Ch'ue T'ung-tsu). - The difference in the size of gentry and other families has been pointed out by a number of scholars such as Fr. L.K. Hsu, H.T. Fei, O. Lang. My own research seems to indicate that gentry families, on the average, married earlier than other families.
p. 74: The Han system of examinations or rather of selection has been studied by Yang Lien-sheng; and analysis of the social origin of candidates has been made in the Bull. Chinese Studies, vol. 2, 1941, and 3, 1942. - The meaning of the term "Hundred Families" has been discussed by W. Eichhorn, Kuo Mo-jo, Ch'en Meng-chia and especially by Hsue T'ung-hsin. It was later also a fiscal term.
p. 75: The analysis of Hsiung-nu society is based mainly upon my own research. There is no satisfactory history of these northern federations available in English. The compilation of W.M. MacGovern, The Early Empires of Central Asia, Chapel Hill 1939, is now quite antiquated. - An attempt to construct a model of Central Asian nomadic social structure has been made by E.E. Bacon, Obok, a Study of Social Structure in Eurasia, New York 1958, but the model constructed by B. Vladimirtsov and modified by O. Lattimore remains valuable. - For origin and early-development of Hsiung-nu society see O. Maenchen, K. Jettmar, B. Bernstam, Uchida Gimpu and many others.
p. 79: Material on the "classes" (sz[)u] min) will be found in a forthcoming book. Studies by Ch'ue T'ung-tsu and Tamai Korehiro are important here. An up-to-date history of Chinese education is still a desideratum.
p. 80: For Tung Chung-shu, I rely mainly upon O. Franke. - Some scholars do not accept this "double standard", although we have clear texts which show that cases were evaluated on the basis of Confucian texts and not on the basis of laws. In fact, local judges probably only in exceptional cases knew the text of the law or had the code. They judged on the basis of "customary law".
p. 81: Based mainly upon my own research. K.A. Wittfogel, Oriental Despotism, New Haven 1957, has a different interpretation.
p. 82: Cases in which the Han emperors disregarded the law code were studied by Y. Hisamura. - I have used here studies published in the Bull, of Chinese Studies, vol. 2 and 3 and in Toyo gakuho, vol. 8 and 9, in addition to my own research.
p. 85: On local administration see Kat[=o] Shigeru and Yen Keng-wang's studies.
p. 86: The problem of the Chinese gold, which will be touched upon later again, has gained theoretical interest, because it could be used as a test of M. Lombard's theories concerning the importance of gold in the West (Annales, Economies, Societes, Civilisations, vol. 12, Paris 1957, No. 1, p. 7-28). It was used in China from c. 600 B.C. on in form of coins or bars, but disappeared almost completely from A.D. 200 on, i.e. the period of economic decline (see L.S. Yang, Kat[=o] Shigeru). - The payment to border tribes occurs many times again in Chinese history down to recent times; it has its parallel in British payments to tribes in the North-West Frontier Province in India which continued even after the Independence.
p. 88: According to later sources, one third of the tributary gifts was used in the Imperial ancestor temples, one third in the Imperial mausolea, but one third was used as gifts to guests of the Emperor. - The trade aspect of the tributes was first pointed but by E. Parker, later by O. Lattimore, recently by J.K. Fairbank. - The importance of Chang Ch'ien for East-West contacts was systematically studied by B. Laufer; his Sino-Iranica, Chicago 1919 is still a classic.
p. 89: The most important trait which points to foreign trade, is the occurrence of glass in Chinese tombs in Indo-China and of glass in China proper from the fifth century B.C. on; it is assumed that this glass was imported from the Near East, possibly from Egypt (O. Janse, N. Egami, Seligman).
p. 91: Large parts of the "Discussions" have been translated by Esson M. Gale, Discourses on Salt and Iron, Leiden 1931; the continuation of this translation is in Jour. Royal As. Society, North-China Branch 1934. - The history of eunuchs in China remains to be written. They were known since at least the seventh century B.C. The hypothesis has been made that this custom had its origin in Asia Minor and spread from there (R.F. Spencer in Ciba Symposia, vol. 8, No. 7, 1946 with references).
p. 92: The main source on Wang Mang is translated by C.B. Sargent, Wang Mang, a translation, Shanghai 1950 and H.H. Dubs, History of the Former Han Dynasty, vol, 3, Baltimore 1955.
p. 93: This evaluation of the "Old character school" is not generally accepted. A quite different view is represented by Tjan Tjoe Som and R.P. Kramers and others who regard the differences between the schools as of a philological and not a political kind. I follow here most strongly the Chinese school as represented by Ku Chieh-kang and his friends, and my own studies.
p. 93: Falsification of texts refers to changes in the Tso-chuan. My interpretation relies again upon Ku Chieh-kang, and Japanese astronomical studies (Ijima Tadao), but others, too, admit falsifications (H.H. Dubs); B. Karlgren and others regard the book as in its main body genuine. The other text mentioned here is the Chou-li which is certainly not written by Wang Mang (Jung-chai Hsue-pi 16), but heavily mis-used by him (in general see S. Uno).
p. 94: I am influenced here by some of H.H. Dubs's studies. For this and the following period, the work by H. Bielenstein, The Restoration of the Han Dynasty, Stockholm 1953 and 1959 is the best monograph. - The "equalization offices" and their influence upon modern United States has been studied by B. Bodde in the Far Eastern Quarterly, vol. 5, 1946.
p. 95: H. Bielenstein regards a great flood as one of the main reasons for the breakdown of Wang Mang's rule.
p. 98: For the understanding of Chinese military colonies in Central Asia as well as for the understanding of military organization, civil administration and business, the studies of Lao Kan on texts excavated in Central Asia and Kansu are of greatest importance.
p. 101: Mazdaistic elements in this rebellion have been mentioned mainly by H.H. Dubs. Zoroastrism (Zoroaster born 569 B.C.) and Mazdaism were eminently "political" religions from their very beginning on. Most scholars admit the presence of Mazdaism in China only from 519 on (Ishida Mikinosuke, O. Franke). Dubs's theory can be strengthened by astronomical material. - The basic religious text of this group, the "Book of the Great Peace" has been studied by W. Eichhorn Maspero and Ho Ch'ang-ch'uen.
p. 102: For the "church" I rely mainly upon H. Maspero and W. Eichhorn.
p. 103: I use here concepts developed by Cheng Chen-to and especially by Jung Chao-tsu.
p. 104: Wang Ch'ung's importance has recently been mentioned again by J. Needham.
p. 105: These "court poets" have their direct parallel in Western Asia. This trend, however, did not become typical in China. - On the general history of paper read A. Kroeber, Anthropology, New York 1948, p. 490f., and Dard Hunter, Paper Making, New York 1947 (2nd ed.).
Chapter Seven
p. 109: The main historical sources for this period have been translated by Achilles Fang, The Chronicle of the Three Kingdoms, Cambridge, Mass. 1952; the epic which describes this time is C.H. Brewitt-Taylor, San Kuo, or Romance of the Three Kingdoms, Shanghai 1925.
p. 112: For problems of migration and settlement in the South, we relied in part upon research by Ch'en Yuean and Wang Yi-t'ung.
p. 114: For the history of the Hsiung-nu I am relying mainly upon my own studies.
p. 117: This analysis of tribal structure is based mainly upon my own research; it differs in detail from the studies by E. Bacon, Obok, a Study of Social Structure in Eurasia, New York 1958, B. Vladimirtsov, O. Lattimore's Inner Asian Frontiers of China, New York 1951 (2nd edit.) and the studies by L.M.J. Schram, The Monguors of the Kansu-Tibetan Frontier, Philadelphia 1954 and 1957.
p. 118: The use of the word "Huns" does not imply that we identify the early or the late Hsiung-nu with the European Huns. This question is still very much under discussion (O. Maenchen, W. Haussig, W. Henning, and others).
p. 119: For the history of the early Hsien-pi states see the monograph by G. Schreiber, "The History of the Former Yen Dynasty", in Monomenta Serica, vol. 14 and 15 (1949-56). For all translations from Chinese Dynastic Histories of the period between 220 and 960 the Catalogue of Translations from the Chinese Dynastic Histories for the Period 220-960, by Hans H. Frankel, Berkeley 1957, is a reliable guide.
p. 125: For the description of conditions in Turkestan, especially in Tunhuang, I rely upon my own studies, but studies by A. von Gabein, L. Ligeti, J.R. Ware, O. Franke and Tsukamoto Zenryu have been used, too.
p. 133: These songs have first been studied by Hu Shih, later by Chinese folklorists.
p. 134: For problems of Chinese Buddhism see Arthur F. Wright, Buddhism in Chinese History, Stanford 1959, with further bibliography. I have used for this and later periods, in addition to my own sociological studies, R. Michihata, J. Gernet, and Tamai Korehiro. - It is interesting that the rise of landowning temples in India occurred at exactly the same time (R.S. Sharma in Journ. Econ. and Soc. Hist. Orient, vol. 1, 1958, p. 316). Perhaps even more interesting, but still unstudied, is the existence of Buddhist temples in India which owned land and villages which were donated by contributions from China. - For the use of foreign monks in Chinese bureaucracies, I have used M. Weber's theory as an interpretative tool.
p. 135: The important deities of Khotan Buddhism are Vai['s]ramana and Kubera, (research by P. Demieville, R. Stein and others). - Where, how, and why Hinayana and Mahayana developed as separate sects, is not yet studied. Also, a sociological analysis of the different Buddhist sects in China has not even been attempted yet.
p. 136: Such public religious disputations were known also in India.
p. 137: Analysis of the tribal names has been made by L. Bazin.
pp. 138-9: The personality type which was the ideal of the Toba corresponded closely to the type described by G. Geesemann, Heroische Lebensform, Berlin 1943.
p. 142: The Toba occur in contemporary Western sources as Tabar, Tabgac, Tafkac and similar names. The ethnic name also occurs as a title (O. Pritsak, P. Pelliot, W. Haussig and others). - On the chuen-t'ien system cf. the article by Wan Kuo-ting in E-tu Zen Sun, Chinese Social History, Washington 1956, p. 157-184. I also used Yoshimi Matsumoto and T'ang Ch'ang-ju. - Census fragments from Tunhuang have been published by L. Giles, Niida Noboru and other Japanese scholars.
p. 143: On slaves for the earlier time see M. Wilbur, Slavery in China during the Former Han Dynasty, Chicago 1943. For our period Wang Yi-t'ung and especially Niida Noboru and Ch'ue T'ung-tsu. I used for this discussion Niida, Ch'ue and Tamai Korehiro. - For the pu-ch'ue I used in addition Yang Chung-i, H. Maspero, E. Balazs, W. Eichhorn. Yang's article is translated in E-tu Zen Sun's book, Chinese Social History, pp. 142-56. - The question of slaves and their importance in Chinese society has always been given much attention by Chinese Communist authors. I believe that a clear distinction between slaves and serfs is very important.
p. 145: The political use of Buddhism has been asserted for Japan as well as for Korea and Tibet (H. Hoffmann, Quellen zur Geschichte der tibetischen Bon-Religion, Mainz 1950, p. 220 f.). A case could be made for Burma. In China, Buddhism was later again used as a tool by rulers (see below).
p. 146: The first text in which such problems of state versus church are mentioned is Mou Tz[)u] (P. Pelliot transl.). More recently, some of the problems have been studied by R. Michihata and E. Zuercher. Michihata also studied the temple slaves. Temple families were slightly different. They have been studied mainly by R. Michihata, J. Gernet and Wang Yi-t'ung. The information on T'an-yao is mainly in Wei-shu 114 (transl. J. Ware). - The best work on Yuen-kang is now Seiichi Mizuno and Toshio Nagahiro, Yuen-kang. The Buddhist Cave-Temples of the Fifth Century A.D. in North China, Kyoto 1951-6, thus far 16 volumes. For Chinese Buddhist art, the work by Tokiwa Daijo and Sekino Tadashi, Chinese Buddhist Monuments, Tokyo 1926-38, 5 volumes, is most profusely illustrated. - As a general reader for the whole of Chinese art, Alexander Soper and L. Sickman's The Art and Architecture of China, Baltimore 1956 may be consulted.
p, 147: Zenryu Tsukamoto has analysed one such popular, revolutionary Buddhist text from the fifth century A.D. I rely here for the whole chapter mainly upon my own research.
p. 150: On the Ephtalites (or Hephtalites) see R. Ghirshman and Enoki. - The carpet ceremony has been studied by P. Boodberg, and in a comparative way by L. Olschki, The Myth of Felt, Berkeley 1949.
p. 151: For Yang Chien and his time see now A.F. Wright, "The Formation of Sui Ideology" in John K. Fairbank, Chinese Thought and Institutions, Chicago 1957, pp. 71-104.
p. 153: The processes described here, have not yet been thoroughly analysed. A preliminary review of literature is given by H. Wiens, China's March towards the Tropics, Hamden 1954. I used Ch'en Yuean, Wang Yi-t'ung and my own research.
p. 154: It is interesting to compare such hunting parks with the " paradeisos" (Paradise) of the Near East and with the "Garden of Eden". - Most of the data on gardens and manors have been brought together and studied by Japanese scholars, especially by Kat[=o] Shigeru, some also by Ho Tzu-ch'uean. - The disappearance of "village commons" in China should be compared with the same process in Europe; both processes, however, developed quite differently. The origin of manors and their importance for the social structure of the Far East (China as well as Japan) is the subject of many studies in Japan and in modern China. This problem is connected with the general problem of feudalism East and West. The manor (chuang: Japanese sho) in later periods has been studied by Y. Sudo. H. Maspero also devotes attention to this problem. Much more research remains to be done.
p. 158: This popular rebellion by Sun En has been studied by W. Eichhorn.
p. 163: On foreign music in China see L.C. Goodrich and Ch'ue T'ung-tsu, H.G. Farmer, S. Kishibe and others. - Niida Noboru pointed out that musicians belonged to one of the lower social classes, but had special privileges because of their close relations to the rulers.
p. 164: Meditative or Ch'an (Japanese: Zen) Buddhism in this period has been studied by Hu Shih, but further analysis is necessary. - The philosophical trends of this period have been analysed by E. Balazs. - Mention should also be made of the aesthetic-philosophical conversation which was fashionable in the third century, but in other form still occurred in our period, the so-called "pure talk" (ch'ing-t'an) (E. Balazs, H. Wilhelm and others).
Chapter Eight
p. 167: For genealogies and rules of giving names, I use my own research and the study by W. Bauer.
p. 168: For Emperor Wen Ti, I rely mainly upon A.F. Wright's above-mentioned article, but also upon O. Franke.
p. 169: The relevant texts concerning the T'u-chueeh are available in French (E. Chavannes) and recently also in German translation (Liu Mau-tsai, Die chinesischen Nachrichten zur Geschichte der Ost-T[vu]rken, Wiesbaden 1958, 2 vol.). - The Toeloes are called T'e-lo in Chinese sources; the T'u-yue-hun are called Aza in Central Asian sources (P. Pelliot, A. Minorsky, F.W. Thomas, L. Hambis, et al.). The most important text concerning the T'u-yue-hun had been translated by Th. D. Caroll, Account of the T'u-yue-hun in the History of the Chin Dynasty, Berkeley 1953.
p. 171: The transcription of names on this and on the other maps could not be adjusted to the transcription of the text for technical reasons.
p. 172: It is possible that I have underestimated the role of Li Yuean. I relied here mainly upon O. Franke and upon W. Bingham's The Founding of the T'ang Dynasty, Baltimore 1941.
p. 173: The best comprehensive study of T'ang economy in a Western language is still E. Balazs's work. I relied, however, strongly upon Wan Kuo-ting, Yang Chung-i, Kat[=o] Shigeru, J. Gernet, T. Naba, Niida Noboru, Yoshimi Matsumoto.
pp. 173-4: For the description of the administration I used my own studies and the work of R. des Rotours; for the military organization I used Kikuchi Hideo. A real study of Chinese army organization and strategy does not yet exist. The best detailed study, but for the Han period, is written by H. Maspero.
p. 174: For the first occurrence of the title tu-tu we used W. Eichhorn; in the form tutuq the title occurs since 646 in Central Asia (J. Hamilton).
p. 177: The name T'u-fan seems to be a transcription of Tuepoet which, in turn, became our Tibet. (J. Hamilton). - The Uighurs are the Hui-ho or Hui-hu of Chinese sources.
p. 179: On relations with Central Asia and the West see Ho Chien-min and Hsiang Ta, whose classical studies on Ch'ang-an city life have recently been strongly criticized by Chinese scholars. - Some authors (J.K. Rideout) point to the growing influence of eunuchs in this period. - The sources paint the pictures of the Empress Wu in very dark colours. A more detailed study of this period seems to be necessary.
p. 180: The best study of "family privileges" (yin) in general is by E.A. Kracke, Civil Service in Early Sung China, Cambridge, Mass. 1953.
p. 180-1: The economic importance of organized Buddhism has been studied by many authors, especially J. Gernet, Yang Lien-sheng, Ch'uean Han-sheng, K. Tamai and R. Michihata.
p. 182: The best comprehensive study on T'ang prose in English is still E.D. Edwards, Chinese Prose Literature of the T'ang Period, London 1937-8, 2 vol. On Li T'ai-po and Po Chue-i we have well-written books by A. Waley, The Poetry and Career of Li Po, London 1951 and The Life and Times of Po Chue-i, London 1950. - On the "free poem" (tz[)u]), which technically is not a free poem, see A. Hoffmann and Hu Shih. For the early Chinese theatre, the classical study is still Wang Kuo-wei's analysis, but there is an almost unbelievable number of studies constantly written in China and Japan, especially on the later theatre and drama.
p. 184: Conditions at the court of Hsuean Tsung and the life of Yang Kui-fei have been studied by Howard Levy and others, An Lu-shan's importance mainly by E.G. Pulleyblank, The Background of the Rebellion of An Lu-shan, London 1955.
p. 187: The tax reform of Yang Yen has been studied by K. Hino; the most important figures in T'ang economic history are Liu Yen (studied by Chue Ch'ing-yuean) and Lu Chih (754-805; studied by E. Balazs and others).
pp. 187-8: The conditions at the time of this persecution are well described by E.O. Reischauer, Ennin's Travels in T'ang China, New York 1955, on the basis of his Ennin's Diary. The Record of a Pilgrimage to China, New York 1955. The persecution of Buddhism has been analysed in its economic character by Niida Noboru and other Japanese scholars. - Metal statues had to be delivered to the Salt and Iron Office in order to be converted into cash; iron statues were collected by local offices for the production of agricultural implements; figures in gold, silver or other rare materials were to be handed over to the Finance Office. Figures made of stone, clay or wood were not affected (Michihata).
p. 189: It seems important to note that popular movements are often not led by simple farmers of members of the lower classes. There are other salt merchants and persons of similar status known as leaders.
p. 190: For the Sha-t'o, I am relying upon my own research. Tatars are the Ta-tan of the Chinese sources. The term is here used in a narrow sense.
Chapter Nine
p. 195: Many Chinese and Japanese authors have a new period begin with the early (Ch'ien Mu) or the late tenth century (T'ao Hsi-sheng, Li Chien-nung), while others prefer a cut already in the Middle of the T'ang Dynasty (Teng Ch'u-min, Naito Torajiro). For many Marxists, the period which we called "Modern Times" is at best a sub-period within a larger period which really started with what we called "Medieval China".
p. 196: For the change in the composition of the gentry, I am using my own research. - For clan rules, clan foundations, etc., I used D.C. Twitchett, J. Fischer, Hu Hsien-chin, Ch'ue T'ung-tsu, Niida Noboru and T. Makino. The best analysis of the clan rules is by Wang Hui-chen in D.S. Nivison, Confucianism in Action, Stanford 1959, p. 63-96. - I do not regard such marriage systems as "survivals" of ancient systems which have been studied by M. Granet and systematically analysed by C. Levy-Strauss in his Les structures elementaires de la parente, Paris 1949, pp. 381-443. In some cases, the reasons for the establishment of such rules can still be recognized. - A detailed study of despotism in China still has to be written. K.A. Wittfogel's Oriental Despotism, New Haven 1957 does not go into the necessary detailed work.
p. 197: The problem of social mobility is now under study, after preliminary research by K.A. Wittfogel, E. Kracke, myself and others. E. Kracke, Ho Ping-ti, R.M. Marsh and I are now working on this topic. - For the craftsmen and artisans, much material has recently been collected by Chinese scholars. I have used mainly Li Chien-nung and articles in Li-shih yen-chiu 1955, No. 3 and in Mem. Inst. Orient. Cult. 1956. - On the origin of guilds see Kat[=o] Shigeru; a general study of guilds and their function has not yet been made (preliminary work by P. Maybon, H.B. Morse, J. St. Burgess, K.A. Wittfogel and others). Comparisons with Near-Eastern guilds on the one hand and with Japanese guilds on the other, are quite interesting but parallels should not be over-estimated. The tong of U.S. Chinatowns (tang in Mandarin) are late and organizations of businessmen only (S. Yokoyama and Laai Yi-faai). They are not the same as the hui-kuan.
p. 198: For the merchants I used Ch'ue T'ung-tsu, Sung Hsi and Wada Kiyoshi. - For trade, I used extensively Ch'uean Han-sheng and J. Kuwabara. - On labour legislation in early modern times I used Ko Ch'ang-chi and especially Li Chien-nung, also my own studies. - On strikes I used Kat[=o] Shigeru and modern Chinese authors. - The problem of "vagrants" has been taken up by Li Chien-nung who always refers to the original sources and to modern Chinese research. - The growth of cities, perhaps the most striking event in this period, has been studied for the earlier part of our period by Kat[=o] Shigeru. Li Chien-nung also deals extensively with investments in industry and agriculture. The problem as to whether China would have developed into an industrial society without outside stimulus is much discussed by Marxist authors in China.
p. 199: On money policy see Yang Lien-sheng, Kat[=o] Shigeru and others.
p. 200: The history of one of the Southern Dynasties has been translated by Ed. H. Schafer, The Empire of Min, Tokyo 1954; Schafer's annotations provide much detail for the cultural and economic conditions of the coastal area. - For tea and its history, I use my own research; for tea trade a study by K. Kawakami and an article in the Frontier Studies, vol. 3, 1943. - Salt consumption according to H.T. Fei, Earthbound China, 1945, p. 163.
p. 201: For salt I used largely my own research. For porcelain production Li Chien-nung and other modern articles. - On paper, the classical study is Th. F. Carter, The Invention of Printing in China, New York 1925 (a revised edition now published by L.C. Goodrich).
p. 202: For paper money in the early period, see Yang Lien-sheng, Money and Credit in China, Cambridge, Mass., 1952. Although the origin of paper money seems to be well established, it is interesting to note that already in the third century A.D. money made of paper was produced and was burned during funeral ceremonies to serve as financial help for the dead. This money was, however, in the form of coins. - On iron money see Yang Lien-sheng; I also used an article in Tung-fang tsa-chih, vol. 35, No. 10.
p. 203: For the Kitan (Chines: Ch'i-tan) and their history see K.A. Wittfogel and Feng Chia-sheng, History of Chinese Society. Liao, Philadelphia 1949.
p. 204: For these dynasties, I rely upon my own research. - Niida Noboru and Kat[=o] Shigeru have studied adoption laws; our specific case has in addition been studied by M. Kurihara. This system of adoptions is non-Chinese and has its parallels among Turkish tribes (A. Kollantz, Abdulkadir Inan, Osman Turan).
p. 207: For the persecution I used K. Tamai and my own research.
p. 211: This is based mainly upon my own research. - The remark on tax income is from Ch'uean Han-sheng.
p. 212: Fan Chung-yen has been studied recently by J. Fischer and D. Twitchett, but these notes on price policies are based upon my own work. - I regard the statement, that it was the gentry which prevented the growth of an industrial society - a statement which has often been made before - as preliminary, and believe that further research, especially in the growth of cities and urban institutions may lead to quite different explanations. - On estate management I relied on Y. Sudo's work.
p. 213: Research on place names such as mentioned here, has not yet been systematically done. - On i-chuang I relied upon the work by T. Makino and D. Twitchett. - This process of tax-evasion has been used by K.A. Wittfogel (1938) to construct a theory of a crisis cycle in China. I do not think that such far-reaching conclusions are warranted.
p. 214: This "law" was developed on the basis of Chinese materials from different periods as well as on materials from other parts of Asia. - In the study of tenancy, cases should be studied in which wealthier farmers rent additional land which gets cultivated by farm labourers. Such cases are well known from recent periods, but have not yet been studied in earlier periods. At the same time, the problem of farm labourers should be investigated. Such people were common in the Sung time. Research along these lines could further clarify the importance of the so-called "guest families" (k'o-hu) which were alluded to in these pages. They constituted often one third of the total population in the Sung period. The problem of migration and mobility might also be clarified by studying the k'o-hu.
p. 215: For Wang An-shih, the most comprehensive work is still H. Williamson's Wang An-shih, London 1935, 3 vol., but this work in no way exhausts the problems. We have so much personal data on Wang that a psychological study could be attempted; and we have since Williamson's time much deeper insight into the reforms and theories of Wang. I used, in addition to Williamson, O. Franke, and my own research.
p. 216: Based mainly upon Ch'ue T'ung-tsu. - For the social legislation see Hsue I-t'ang; for economic problems I used Ch'uean Han-sheng, Ts'en Chung-mien and Liu Ming-shu. - Most of these relief measures had their precursors in the T'ang period.
p. 217: It is interesting to note that later Buddhism gave up its "social gospel" in China. Buddhist circles in Asian countries at the present time attempt to revive this attitude.
p. 218: For slaughtering I used A. Hulsewe; for greeting R. Michihata; on law Ch'ue T'ung-tsu; on philosophy I adapted ideas from Chan Wing-sit.
p. 219: A comprehensive study of Chu Hsi is a great desideratum. Thus far, we have in English mainly the essays by Feng Yu-lan (transl. and annotated by D. Bodde) in the Harvard Journal of Asiat. Stud., vol. 7, 1942. T. Makino emphasized Chu's influence upon the Far East, J. Needham his interest in science.
p. 220: For Su Tung-p'o as general introduction see Lin Yutang, The Gay Genius. The Life and Times of Su Tung-p'o, New York 1947. - For painting, I am using concepts of A. Soper here.
p. 222: For this period the standard work is K.A. Wittfogel and Feng Chia-sheng, History of Chinese Society, Liao, Philadelphia 1949. - Po-hai had been in tributary relations with the dynasties of North China before its defeat, and resumed these from 932 on; there were even relations with one of the South Chinese states; in the same way, Kao-li continuously played one state against the other (M. Rogers et al.).
p. 223: On the Kara-Kitai see Appendix to Wittfogel-Feng.
p. 228: For the Hakka, I relied mainly upon Lo Hsiang-lin; for Chia Ssu-tao upon H. Franke.
p. 229: The Juchen (Jurchen) are also called Nue-chih and Nue-chen, but Juchen seems to be correct (Studia Serica, vol. 3, No. 2).
Chapter Ten
p. 233: I use here mainly Meng Ssu-liang, but also others, such as Chue Ch'ing-yuean and Li Chien-nung. - The early political developments are described by H.D. Martin, The Rise of Chingis Khan and his Conquest of North China, Baltimore 1950.
p. 236: I am alluding here to such Taoist sects as the Cheng-i-chiao (Sun K'o-k'uan and especially the study in Kita Aziya gakuh[=o], vol. 2).
pp. 236-7: For taxation and all other economic questions I have relied upon Wan Kuo-ting and especially upon H. Franke. The first part of the main economic text is translated and annotated by H.F. Schurmann, Economic Structure of the Yuean Dynasty, Cambridge, Mass., 1956.
p. 237: On migrations see T. Makino and others. - For the system of communications during the Mongol time and the privileges of merchants, I used P. Olbricht.
p. 238: For the popular rebellions of this time, I used a study in the Bull. Acad. Sinica, vol. 10, 1948, but also Meng Ssu-liang and others.
p. 239: On the White Lotus Society (Pai-lien-hui) see note to previous page and an article by Hagiwara Jumpei.
p. 240: H. Serruys, The Mongols in China during the Hung-wu Period, Bruges 1959, has studied in this book and in an article the fate of isolated Mongol groups in China after the breakdown of the dynasty.
pp. 241-2: The travel report of Ch'ang-ch'un has been translated by A. Waley, The Travels of an Alchemist, London 1931.
p. 242: Hsi-hsiang-chi has been translated by S.I. Hsiung. The Romance of the Western Chamber, London 1935. All important analytic literature on drama and theatre is written by Chinese and Japanese authors, especially by Yoshikawa Kojiro. - For Bon and early Lamaism, I used H. Hoffmann.
p. 243: Lamaism in Mongolia disappeared later, however, and was reintroduced in the reformed form (Tsong-kha-pa, 1358-1419) in the sixteenth century. See R.J. Miller, Monasteries and Culture Change in Inner Mongolia, Wiesbaden 1959.
p. 245: Much more research is necessary to clarify Japanese-Chinese relations in this period, especially to determine the size of trade. Good material is in the article by S. Iwao. Important is also S. Sakuma and an article in Li-shih yen-chiu 1955, No. 3. For the loss of coins, I relied upon D. Brown.
p. 246: The necessity of transports of grain and salt was one of the reasons for the emergence of the Hsin-an and Hui-chou merchants. The importance of these developments is only partially known (studies mainly by H. Fujii and in Li-shih-yen-chiu 1955, No. 3). Data are also in an unpublished thesis by Ch. Mac Sherry, The Impairment of the Ming Tributary System, and in an article by Wang Ch'ung-wu.
p. 247: The tax system of the Ming has been studied among others by Liang Fang-chung. Yoshiyuki Suto analysed the methods of tax evasion in the periods before the reform. For the land grants, I used Wan Kuo-ting's data.
p. 248: Based mainly upon my own research. On the progress of agriculture wrote Li Chien-nung and also Kat[=o] Shigeru and others.
p. 250: I believe that further research would discover that the "agrarian revolution" was a key factor in the economic and social development of China. It probably led to another change in dietary habits; it certainly led to a greater labour input per person, i.e. a higher number of full working days per year than before. It may be - but only further research can try to show this - that the "agrarian revolution" turned China away from technology and industry. - On cotton and its importance see the studies by M. Amano, and some preliminary remarks by P. Pelliot.
pp. 250-1: Detailed study of Central Chinese urban centres in this time is a great desideratum. My remarks here have to be taken as very preliminary. Notice the special character of the industries mentioned! - The porcelain centre of Ching-te-chen was inhabited by workers and merchants (70-80 per cent of population); there were more than 200 private kilns. - On indented labour see Li Chien-nung, H. Iwami and Y. Yamane.
p. 253: On pien-wen I used R. Michihata, and for this general discussion R. Irvin, The Evolution of a Chinese Novel, Cambridge, Mass., 1953, and studies by J. Jaworski and J. Pru[vs]ek. Many texts of pien-wen and related styles have been found in Tunhuang and have been recently republished by Chinese scholars.
p. 254: Shui-hu-chuan has been translated by Pearl Buck, All Men are Brothers. Parts of Hsi-yu-chi have been translated by A. Waley, Monkey, London 1946. San-kuo yen-i is translated by C.H. Brewitt-Taylor, San Kuo, or Romance of the Three Kingdoms, Shanghai 1925 (a new edition just published). A purged translation of Chin-p'ing-mei is published by Fr. Kuhn Chin P'ing Mei, New York 1940.
p. 255: Even the "murder story" was already known in Ming time. An example is R.H. van Gulik, Dee Gong An. Three Murder Cases solved by Judge Dee, Tokyo 1949.
p. 256: For a special group of block-prints see R.H. van Gulik, Erotic Colour Prints of the Ming Dynasty, Tokyo 1951. This book is also an excellent introduction into Chinese psychology.
p. 257: Here I use work done by David Chan.
p. 258: I use here the research of J.J.L. Duyvendak; the reasons for the end of such enterprises, as given here, may not exhaust the problem. It may not be without relevance that Cheng came from a Muslim family. His father was a pilgrim (Bull. Chin. Studies, vol. 3, pp. 131-70). Further research is desirable. - Concerning folk-tales, I use my own research. The main Buddhist tales are the Jataka stories. They are still used by Burmese Buddhists in the same context.
p. 260: The Oirat (Uyrat, Ojrot, Oeloet) were a confederation of four tribal groups: Khosud, Dzungar, Doerbet and Turgut.
p. 261: I regard this analysis of Ming political history as unsatisfactory, but to my knowledge no large-scale analysis has been made. - For Wang Yang-ming I use mainly my own research.
p. 262: For the coastal salt-merchants I used Lo Hsiang-lin's work.
p. 263: On the rifles I used P. Pelliot. There is a large literature on the use of explosives and the invention of cannons, especially L.C. Goodrich and Feng Chia-sheng in Isis, vol. 36, 1946 and 39, 1948; also G. Sarton, Li Ch'iao-p'ing, J. Pru[vs]ek, J. Needham, and M. Ishida; a comparative, general study is by K. Huuri, Studia Orientalia vol. 9, 1941. - For the earliest contacts of Wang with Portuguese, I used Chang Wei-hua's monograph. - While there is no satisfactory, comprehensive study in English on Wang, for Lu Hsiang-shan the book by Huang Siu-ch'i, Lu Hsiang-shan, a Twelfth-century Chinese Idealist Philosopher, New Haven 1944, can be used.
p. 264: For Tao-yen, I used work done by David Chan. - Large parts of the Yung-lo ta-tien are now lost (Kuo Po-kung, Yuean T'ung-li studied this problem).
p. 265: Yen-ta's Mongol name is Altan Qan (died 1582), leader of the Tuemet. He is also responsible for the re-introduction of Lamaism into Mongolia (1574). - For the border trade I used Hou Jen-chih; for the Shansi bankers Ch'en Ch'i-t'ien and P. Maybon. For the beginnings of the Manchu see Fr. Michael, The Origins of Manchu Rule in China, Baltimore 1942.
p. 266: M. Ricci's diary (Matthew Ricci, China in the Sixteenth Century. The Journals of M. Ricci, transl. by L.J. Gallagher, New York 1953) gives much insight into the life of Chinese officials in this period. Recently, J. Needham has tried to show that Ricci and his followers did not bring much which was not already known in China, but that they actually attempted to prevent the Chinese from learning about the Copernican theory.
p. 267: For Coxinga I used M. Eder's study. - The Szechwan rebellion was led by Chang Hsien-chung (1606-1647); I used work done by James B. Parsons. Cheng T'ien-t'ing, Sun Yueh and others have recently published the important documents concerning all late Ming peasant rebellions. - For the Tung-lin academy see Ch. O. Hucker in J.K. Fairbank, Chinese Thought and Institutions, Chicago 1957. A different interpretation is indicated by Shang Yueeh in Li-shih yen-chiu 1955, No. 3.
p. 268: Work on the "academies" (shu-yuean) in the earlier time is done by Ho Yu-shen.
pp. 273-4: Based upon my own, as yet unfinished research.
p. 274: The population of 1953 as given here, includes Chinese outside of mainland China. The population of mainland China was 582.6 millions. If the rate of increase of about 2 per cent per year has remained the same, the population of mainland China in 1960 may be close to 680 million. In general see P.T. Ho. Studies on the Population of China, 1368-1953, Cambridge, Mass., 1960.
p. 276: Based upon my own research. - A different view of the development of Chinese industry is found in Norman Jacobs, Modern Capitalism and Eastern Asia, Hong Kong 1958. Jacobs attempted a comparison of China with Japan and with Europe. Different again is Marion Levy and Shih Kuo-heng, The Rise of the Modern Chinese Business Class, New York 1949. Both books are influenced by the sociological theories of T. Parsons.
p. 277: The Dzungars (Dsunghar; Chun-ko-erh) are one of the four Oeloet (Oirat) groups. I am here using studies by E. Haenisch and W. Fuchs.
p. 278: Tibetan-Chinese relations have been studied by L. Petech, China and Tibet in the Early 18th Century, Leiden 1950. A collection of data is found in M.W. Fisher and L.E. Rose, England, India, Nepal, Tibet, China, 1765-1958, Berkeley 1959. For diplomatic relations and tributary systems of this period, I referred to J.K. Fairbank and Teng Ssu-yue.
p. 279: For Ku Yen-wu, I used the work by H. Wilhelm. - A man who deserves special mention in this period is the scholar Huang Tsung-hsi (1610-1695) as the first Chinese who discussed the possibility of a non-monarchic form of government in his treatise of 1662. For him see Lin Mou-sheng, Men and Ideas, New York 1942, and especially W.T. de Bary in J.K. Fairbank, Chinese Thought and Institutions, Chicago 1957.
pp. 280-1: On Liang see now J.R. Levenson, Liang Ch'i-ch'ao and the Mind of Modern China, London 1959.
p. 282: It should also be pointed out that the Yung-cheng emperor was personally more inclined towards Lamaism. - The Kalmuks are largely identical with the above-mentioned Oeloet.
p. 286: The existence of hong is known since 1686, see P'eng Tse-i and Wang Chu-an's recent studies. For details on foreign trade see H.B. Morse, The Chronicles of the East India Company Trading to China 1635-1834, Oxford 1926, 4 vols., and J.K. Fairbank, Trade and Diplomacy on the China Coast. The Opening of the Treaty Ports, 1842-1854, Cambridge, Mass., 1953, 2 vols. - For Lin I used G.W. Overdijkink's study.
p. 287: On customs read St. F. Wright, Hart and the Chinese Customs, Belfast 1950.
p. 288: For early industry see A. Feuerwerker, China's Early Industrialization: Sheng Hsuan-huai (1844-1916), Cambridge, Mass., 1958.
p. 289: The Chinese source materials for the Mohammedan revolts have recently been published, but an analysis of the importance of the revolts still remains to be done. - On T'ai-p'ing much has been published, especially in the last years in China, so that all documents are now available. I used among other studies, details brought out by Lo Hsiang-lin and Jen Yu-wen.
p. 291: For Tseng Kuo-fan see W.J. Hail, Tseng Kuo-fan and the T'ai-p'ing Rebellion, New Haven 1927, but new research on him is about to be published. - The Nien-fei had some connection with the White Lotus, and were known since 1814, see Chiang Siang-tseh, The Nien Rebellion, Seattle 1954.
p. 292: Little is known about Salars, Dungans and Yakub Beg's rebellion, mainly because relevant Turkish sources have not yet been studied. On Salars see L. Schram, The Monguors of Kansu, Philadelphia 1954, p. 23 and P. Pelliot; on Dungans see I. Grebe.
p. 293: On Tso Tsung-t'ang see G. Ch'en, Tso Tung T'ang, Pioneer Promotor of the Modern Dockyard and Woollen Mill in China, Peking 1938, and Yenching Journal of Soc. Studies, vol. I.
p. 294: For the T'ung-chih period, see now Mary C. Wright, The Last Stand of Chinese Conservativism. The T'ung-chih Restoration, 1862-1874, Stanford 1957.
p. 295: Ryukyu is Chinese: Liu-ch'iu; Okinawa is one of the islands of this group. - Formosa is Chinese: T'ai-wan (Taiwan). Korea is Chinese: Chao-hsien, Japanese: Chosen.
p. 297: M.C. Wright has shown the advisers around the ruler before the Empress Dowager realized the severity of the situation. - Much research is under way to study the beginning of industrialization of Japan, and my opinions have changed greatly, due to the research done by Japanese scholars and such Western scholars as H. Rosovsky and Th. Smith. The eminent role of the lower aristocracy has been established. Similar research for China has not even seriously started. My remarks are entirely preliminary.
p. 298: For K'ang Yo-wei, I use work done by O. Franke and others. See M.E. Cameron, The Reform Movement in China, 1898-1921, Stanford 1921. The best bibliography for this period is J.K. Fairbank and Liu Kwang-ching, Modern China: A Bibliographical Guide to Chinese Works, 1898-1937, Cambridge, Mass., 1950. The political history of the time, as seen by a Chinese scholar, is found in Li Chien-nung, The Political History of China 1840-1928, Princeton 1956. - For the social history of this period see Chang Chung-li, The Chinese Gentry, Seattle 1955. - For the history of Tz[)u] Hsi Bland-Backhouse, China under the Empress Dowager, Peking 1939 (Third ed.) is antiquated, but still used. For some of K'ang Yo-wei's ideas, see now K'ang Yo-wei: Ta T'ung Shu. The One World Philosophy of K'ang Yu Wei, London 1957.
Chapter Eleven
p. 305: I rely here partly upon W. Franke's recent studies. For Sun Yat-sen (Sun I-hsien; also called Sun Chung-shan) see P. Linebarger, Sun Yat-sen and the Chinese Republic, Cambridge, Mass., 1925 and his later The Political Doctrines of Sun Yat-sen, Baltimore 1937. - Independently, Atatuerk in Turkey developed a similar theory of the growth of democracy.
p. 306: On student activities see Kiang Wen-han, The Ideological Background of the Chinese Student Movement, New York 1948.
p. 307: On Hu Shih see his own The Chinese Renaissance, Chicago 1934 and J. de Francis, Nationalism and Language Reform in China, Princeton 1950.
p. 310: The declaration of Independence of Mongolia had its basis in the early treaty of the Mongols with the Manchus (1636): "In case the Tai Ch'ing Dynasty falls, you will exist according to previous basic laws" (R.J. Miller, Monasteries and Culture Change in Inner Mongolia, Wiesbaden 1959, p. 4).
p. 315: For the military activities see F.F. Liu, A Military History of Modern China, 1924-1949, Princeton 1956. A Marxist analysis of the 1927 events is Manabendra Nath Roy, Revolution and Counter-Revolution in China, Calcutta 1946; the relevant documents are translated in C. Brandt, B. Schwartz, J.K. Fairbank, A Documentary History of Chinese Communism, Cambridge, Mass., 1952.
Chapter Twelve
For Mao Tse-tung, see B. Schwartz, Chinese Communism and the Rise of Mao, second ed., Cambridge, Mass., 1958. For Mao's early years; see J.E. Rue, Mao Tse-tung in Opposition, 1927-1935, Stanford 1966. For the civil war, see L.M. Chassin, The Communist Conquest of China: A History of the Civil War, 1945-1949, Cambridge, Mass., 1965. For brief information on communist society, see Franz Schurmann and Orville Schell, The China Reader, vol. 3, Communist China, New York 1967. For problems of organization, see Franz Schurmann, Ideology and Organization in Communist China, Berkeley 1966. For cultural and political problems, see Ho Ping-ti, China in Crisis, vol. 1, China's Heritage and the Communist Political System, Chicago 1968. For a sympathetic view of rural life in communist China, see J. Myrdal, Report from a Chinese Village, New York 1966; for Taiwanese village life, see Bernard Gallin, Hsin Hsing, Taiwan: A Chinese Village in Change, Berkeley 1966.