Part 8 out of 9
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.
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
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.
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
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".
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.
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
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
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,
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
p. 104: Wang Ch'ung's importance has recently been mentioned again by J.
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.).
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
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,
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
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
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
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
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.
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).
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_,
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
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
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
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
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
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_,
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.
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
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).
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
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
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
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,
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.
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.
p. 287: On customs read St. F. Wright, _Hart and the Chinese Customs_,
p. 288: For early industry see A. Feuerwerker, _China's Early
Industrialization: Sheng Hsuan-huai (1844-1916_), Cambridge, Mass.,
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_,
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_,
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
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.
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
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.
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.
Absolutism (_see_ Despotism, Dictator, Emperor, Monarchy)
(_see_ Army, Feudalism, Bureaucracy)
Adobe (Mud bricks)
(_see_ Wheat, Millet, Rice, Plough, Irrigation, Manure, Canals,
An Ti, ruler of Han
Ala-shan mountain range
Alchemy (_see_ Elixir)
Alexander the Great
America (_see_ United States)
An Chi-yeh, rebel
An Lu-shan, rebel
Aristocracy (_see_ Nobility, Feudalism)
Army, cost of;
(_see_ War, Militia, tu-tu, pu-ch'ue)
Art, Buddhist (_see_ Animal style, Architecture, Pottery, Painting,
Arthashastra, book, attributed to Kautilya
(_see_ Guilds, Craftsmen)
Assimilation (_see_ Colonization)
Avars, tribe (_see_ Juan-juan)
Bokhara (Bukhara), city
Bondsmen (_see pu-ch'ue_, Serfs, Feudalism)
Brahmans, Indian caste
Bronze (_see_ Metal, Copper)
(_see_ Ch'an, Vinaya, Sects, Amithabha, Maitreya, Hinayana,
Mahayana, Monasteries, Church, Pagoda, Monks, Lamaism)
Budget (_see_ Treasury, Inflation, Deflation)
(_see_ Administration; Army)
Businessmen (_see_ Merchants, Trade)
Canton (Kuang-chou), city
Capital of Empire (_see_ Ch'ang-an, Sian, Loyang, etc.)
Capitalism (_see_ Investments, Banks, Money, Economy, etc.)
Capitulations (privileges of foreign nations)
Caravans (_see_ Silk road, Trade)
Castes, (_see_ Brahmans)
Castiglione, G., painter
Cavalry, (_see_ Horse)
Cave temples (_see_ Lung-men, Yuen-kang, Tunhuang)
Census (_see_ Population)
Central Asia (_see_ Turkestan, Sinkiang, Tarim, City States)
Ch'an (Zen), meditative Buddhism
Chan-kuo Period (Contending States)
Ch'ang-an, capital of China (_see_ Sian)
Chang Ch'ien, ambassador
Chang Chue-chan, teacher
Chang Hsien-chung, rebel
Chang Hsueeh-hang, war lord
Chang Ling, popular leader
Chang Ti, ruler
Chang Tsai, philosopher
Chang Tso-lin, war lord
Chao K'uang-yin (T'ai Tsu), ruler
Chao Meng-fu, painter
Ch'en Pa-hsien, ruler
Ch'en Tu-hsiu, intellectual
Ch'eng Hao, philosopher
Cheng Ho, navy commander
Ch'eng I, philosopher
Ch'eng Ti, ruler of Han;
ruler of Chin
Ch'eng Tsu, ruler of Manchu
Ch'i-tan (_see_ Kitan)
Ch'i Wan-nien, leader
Chia Ss[)u]-tao, politician
Ch'iang, tribes, (_see_ Tanguts)
Chiang Kai-shek, president
Chin, dynasty, (_see_ Juchen);
Eastern Chin dynasty;
Later Chin dynasty,
Earlier Ch'in dynasty;
Later Ch'in dynasty;
Western Ch'in dynasty
Ch'in K'ui, politician
Chinese, origin of
Ching Fang, scholar
Ching-te (-chen), city
Ching Tsung, Manchu ruler
Ch'iu Ying, painter
short Chou dynasty;
Later Chou dynasty;
Northern Chou dynasty
Chou En-lai, politician
Chou-k'ou-tien, archaeological site
Chou-kung (Duke of Chou)
Chou Tun-i, philosopher
Christianity (_see_ Nestorians, Jesuits, Missionaries)
Chu Ch'uean-chung, general and ruler
Chu Hsi, philosopher
Chu-ko Liang, general
Chu Te, general
Chu Tsai-yue, scholar
Chu Yuean-chang (T'ai Tsu), ruler
_chuang_ (_see_ Manors, Estates)
Chuang Tz[)u], philosopher
_chuen-t'ien_ system (land equalization system)
Chung-ch'ang T'ung, philosopher
Chungking (Ch'ung-ch'ing), city
(_see_ Chang Ling)
spread and growth of cities
origin of cities
(_see_ City states, Ch'ang-an, Sian, Loyang, Hankow, etc.)
City States (of Central Asia)
Classes, social classes
(_see_ Castes, _ch'ien-min, liang-min_, Gentry, etc.)
Coins (_see_ Money)
Colonialism (_see_ Imperialism)
Colonization (_see_ Migration, Assimilation)
Communism (_see_ Marxism, Socialism, Soviets)
false Confucian literature
Conquests (_see_ War, Colonialism)
Copper (_see_ Bronze, Metal)
Corvee (forced labour) (_see_ Labour)
Courtesans (_see_ Brothel)
Craftsmen (_see_ Artisans)
Dalai Lama, religious ruler of Tibet
Deities (_see_ T'ien, Shang Ti, Maitreya, Amithabha, etc.)
Demands, the twenty-one
Despotism (_see_ Absolutism)
Dewey, J., educator
Dialects (_see_ Language)
Dictators (_see_ Despotism)
Diploma, for monks
Discriminatory laws (_see_ Double Standard)
Double standard, legal
Dynastic histories (_see_ History)
(_see_ Agriculture, Nomadism, Industry, Denshiring, Money, Trade, etc.)
Education (_see_ Schools, Universities, Academies, Script,
Examination system, etc.)
Elements, the five
Elite (_see_ Intellectuals, Students, Gentry)
Elixir (_see_ Alchemy)
Emperor, position of
Emperor and church
(_see_ Despotism, King, Absolutism, Monarchy, etc.)
Empress (_see_ Lue, Wu, Wei, Tz[)u] Hsi)
England (_see_ Great Britain)
Equalization Office (_see chuen-t'ien_)
Ethics (_see_ Confucianism)
Examinations for Buddhists
Falsifications (_see_ Confucianism)
Fan Chung-yen, politician
Feng Kuo-chang, politician
Feng Meng-lung, writer
Feng Tao, politician
Feng Yue-hsiang, war lord
end of feudalism
(_see_ Serfs, Aristocracy, Fiefs, Bondsmen, etc.)
Finances (_see_ Budget, Inflation, Money, Coins)
Fire-arms (_see_ Rifles, Cannons)
Foreign relations (_see_ Diplomacy, Treaty, Tribute, War)
Frontier, concept of
Fu Chien, ruler
Fu-lin, Manchu ruler
Geisha (_see_ Courtesans)
Genghiz Khan, ruler
Gentry (Upper class)
definition of gentry
Governors, role of
Grain (_see_ Millet, Rice, Wheat)
Great Britain (_see_ England)
Great Leap Forward
Great Proletarian Cultural Revolution
Hakka, ethnic group
Hami, city state
Later Han dynasty
Han Fei Tz[)u], philosopher
Han T'o-wei, politician
Han Yue, philosopher
Hankow (Han-k'ou), city
Hangchow (Hang-chou), city
Heaven (_see_ Shang Ti, T'ien)
Hermits (_see_ Monks, Sages)
falsification of histories
Hitler, Adolf, dictator
Hittites, ethnic group
Ho Ch'eng-t'ien, scholar
Ho-lien P'o-p'o, ruler
Ho Ti, Han ruler
Hong Kong, colony
Hou Ching, ruler
Houses (_see_ Adobe)
Hunnic Hsia dynasty
Hsia Kui, painter
Hsiao Tao-ch'eng, general
Hsiao Wu Ti, Chin ruler
Hsieh Hsuean, general
Hsien-pi, tribal federation
Hsien Ti, Han ruler
_Hsin Ch'ing-nien_, journal
Hsiung-nu, tribal federation (_see_ Huns)
Hsue Shih-ch'ang, president
Hsuean Tsung, T'ang ruler
Hsuen Tz[)u], philosopher
Hu, name of tribes (_see_ Huns)
Hu Han-min, politician
Hu Shih, scholar and politician
Hu Wei-yung, politician
Huai-nan Tz[)u], philosopher
Huai, Ti, Chin ruler
Huan Hsuean, general
Huan Wen, general
Huang Ch'ao, leader of rebellion
Huang Ti, ruler
Huang Tsung-hsi, philosopher
Hui Ti, Chin ruler
Hui Tsung, Sung ruler
Hui Tz[)u], philosopher
Hung Hsiu-ch'uean, leader of rebellion
Huns (_see_ Hu, Hsiung-nu)
Hutuktu, religious ruler
_i-chuang_, clan manors
Imperialism (_see_ Colonialism)
India (_see_ Brahmans, Bengal, Gandhara, Calcutta, Buddhism)
Indo-China (_see_ Cambodia, Annam, Laos).
Indo-Europeans, language group (_see_ Yueeh-chih, Tocharians,
Indonesia, (_see_ Java)
Inheritance, laws of
Intellectuals (_see_ Elite, Students)
Islam (_see_ Muslims)
Japan (_see_ Meiji, Tada, Tanaka)
Jen Tsung, Manchu ruler
Juchen (Chin Dynasty, Jurchen)
Juan-juan, tribal federation
Jurchen (_see_ Juchen)
K'ai-feng, city (_see_ Yeh, Pien-liang)
Kalmuk, Mongol tribes (_see_ Oeloet)
K'ang Yo-wei, politician and scholar
Kansu, province (_see_ Tunhuang)
Kao-ch'ang, city state
Kao-li, state (_see_ Korea)
Kao Ming, writer
Kao Tsu, Han ruler
Kao Tsung, T'ang ruler
Kao Yang, ruler
Kapok, textile fibre
Kara Kitai, tribal federation
Kazak, tribal federation
Khalif (_see_ Caliph)
Khan, Central Asian title
King, position of
religious character of kingship
(_see_ Yao, Shun, Hsia dynasty, Emperor, Wang, Prince)
Kitan (Ch'i-tan), tribal federation (_see_ Liao dynasty)
Ko-shu Han, general
Korea (_see_ Kao-li, Pai-chi, Sin-lo)
K'ou Ch'ien-chih, Taoist
Ku Yen-wu, geographer
Kuan Han-ch'ing, writer
Kuang-wu Ti, Han ruler
Kub(i)lai Khan, Mongol ruler
Kung-sun Lung, philosopher
K'ung Tz[)u] (Confucius)
Kuomintang (KMT), party
Kuo Wei, ruler
Kuo Tz[)u]-hsing, rebel leader
Kuo Tz[)u]-i, loyal general
Kyakhta (Kiachta), city
Labour, forced (_see_ Corvee)
Land ownership (_see_ Property)
Land reform (_see chuen-t'ien, ching-t'ien_)
temples as landlords
Lang Shih-ning, painter
La Tz[)u], philosopher
Law codes (_see_ Li K'ui, Property law, Inheritance, Legalists)
League of Nations
Legitimacy of rule (_see_ Abdication)
Li An-shih, economist
Li Chung-yen, governor
Li Hung-chang, politician
Li K'o-yung, ruler
Li Kuang-li, general
Li K'ui, law-maker
Li Li-san, politician
Li Lin-fu, politician
Li Lung-mien, painter
Li Shih-min (_see_ T'ai Tsung), T'ang ruler
Li Ss[)u], politician
Li Ta-chao, librarian
Li T'ai-po, poet
Li Tz[)u]-ch'eng, rebel
Li Yu, writer
Li Yu-chen, writer
Li Yuean, ruler
Li Yuean-hung, politician
Liang dynasty, Earlier
Liang Ch'i-ch'ao, journalist
Liao dynasty (_see_ Kitan)
Western Liao dynasty
_Liao-chai chih-i_, short-story collection
Lin Shu, translator
Lin Tse-hsue, politician
Literati, (_see_ Scholars, Confucianists)
Literature (_see pien-wen, pi-chi_, Poetry, Drama, Novels, Epics,
Theatre, ballads, Folk-tales, Fables, History, Confucians, Writers,
Liu Chi, Han ruler
Liu Chin-yuean, ruler
Liu Chin, eunuch
Liu Hsiu (_see_ Kuang wu Ti), Han ruler
Liu Lao-chih, general
Liu Pang (_see_ Liu Chi)
Liu Pei, general and ruler
Liu Shao-ch'i, political leader
Liu Sung, rebel
Liu Tsung-yuean, writer
Liu Ts'ung, ruler
Liu Yao, ruler
Liu Yue, general
Liu Yuean, sculptor
Lo Kuan-chung, writer
Loans, to farmers
Loess, soil formation
Loyang (Lo-yang), capital of China
Lu Hsiang-shan, philosopher
Lu Hsuen, writer
Lue Kuang, ruler
Lue Pu, general
Lue Pu-wei, politician
Lung-shan, excavation site
Ma Yin, ruler
Ma Yuean, general
Macao, Portuguese colony
Mahayana, Buddhist sect
Maitreya, Buddhist deity (_see_ Messianic movements)
Manchu, tribal federation and dynasty
Manichaeism, Iranian religion
Manors (_chuang, see_ Estates)
Mao Tun, Hsiung-nu ruler
Mao Tse-tung, party leader
Marco Polo, businessman
Marxist theory of history
(_see_ Materialism, Communism, Lenin, Mao Tse-tung)
Mazdaism, Iranian religion
May Fourth Movement
Meditation (_see_ Ch'an)
Meiji, Japanese ruler
Mencius (Meng Tz[)u]), philosopher
(_see_ Trade, Salt, Caravans, Businessmen)
Metal (_see_ Bronze, Copper, Iron)
Mi Fei, painter
Middle Class (_see_ Burgher, Merchant, Craftsmen, Artisans)
Middle East (_see_ Near East)
(_see_ Colonization, Assimilation, Settlement)
Min, state in Fukien
Ming Jui, general
Min Ti, Chin ruler
Ming Ti, Han ruler
Later T'ang ruler
Missionaries, Christian (_see_ Jesuits)
Mo Ti, philosopher
Mohammedan rebellions (_see_ Muslim)
Monarchy (_see_ King, Emperor, Absolutism, Despotism)
Origin of money
(_see_ Coins, Paper, Silver)
Mongols, tribes, tribal federation, dynasty (_see_ Yuean dynasty,
Kalmuk, Tuemet, Oirat, Oeloet, Naiman, Turgut, Timur, Genghiz, Kublai)
Mu Ti, East Chin ruler
Mu Tsung, Manchu ruler
Music (_see_ Theatre, Dance, Geisha)
(_see_ Islam, Mohammedans)
Naiman, Mongol tribe
Nanking (Nan-ching), capital of China
Nationalism (_see_ Kuomintang)
Near East (_see_ Arabs, Iran, etc.)
Ni Tsan, painter
Nien Fei, rebels
Niu Seng-yu, politician
Economy of nomads
Nomadic society structure
Oirat, Mongol tribes
Okinawa (_see_ Ryukyu)
Oeloet, Mongol tribes
Organizations (_see hui-kuan_ Guilds, _hong_, Secret Societies)
Ottoman (Turkish) Empire
Ou-yang Hsiu, writer
Pai-chi (Paikche), state in Korea
Pai-lien-hui (_see_ White Lotus)
Pan Ch'ao, general
_pao-chia_, security system
Party (_see_ Kuomintang, Communists)
Peasant rebellions (_see_ Rebellions)
Philosophy, (_see_ Confucius, Lao Tz[)u], Chuang Tz[)u],
Huai-nan Tz[)u], Hsuen Tz[)u], Mencius, Hui Tz[)u], Mo Ti,
Kung-sun Lung, Shang Tz[)u], Han Fei Tz[)u], Tsou Yen, Legalists,
Chung-ch'ang, T'ung, Yuean Chi, Liu Ling, Chu Hsi, Ch'eng Hao,
Lu Hsiang-shan, Wang Yang-ming, etc.)
_pi-chi_, literary form
_pieh-yeh_ (_see_ Manor)
Pien-liang, city (_see_ K'ai-feng)
_pien-wen_, literary form
Po Chue-i, poet
Poets (_see_ T'ao Ch'ien, Po Chue-i, Li T'ai-po, Tu Fu, etc.)
(_see_ Census, Fertility)
Port Arthur, city
Portuguese (_see_ Fu-lan-chi, Macao)
Priests (_see_ Shamans, Ju, Monks)
Printing (_see_ Colour, Book)
Privileges of gentry
Proletariat (_see_ Labour)
Property relations (_see_ Laws, Inheritance, Primogeniture)
P'u-ku Huai-en, general
P'u Sung-lin, writer
P'u Yi, Manchu ruler
Rebellions (_see_ Peasants, Secret Societies, Revolutions)
Red Eyebrows, peasant movement
Reforms; Reform of language (_see_ Land reform)
(_see_ Bon, Shintoism, Persecution, Sacrifice, Ancestor cult,
Fertility cults, Deities, Temples, Monasteries, Christianity, Islam,
Buddhism, Mazdaism, Manichaeism, Messianic religions, Secret
societies, Soul, Shamanism, State religion)
Revolutions; legitimization of revolution (_see_ Rebellions)
Ricci, Matteo, missionary
Roosevelt, F.D., president
Russia (_see_ Soviet Republics)
Ryukyu (Liu-ch'iu), islands
Sakhalin (Karafuto), island
Salar, ethnic group
_San-min chu-i_, book
Sang Hung-yang, economist
Sassanids, Iranian dynasty
Scholars (_Ju_) (_see_ Literati, Scribes, Intellectuals,
Schools, (_see_ Education)
Science, (_see_ Mathematics, Astronomy, Nature)
_se-mu_ (auxiliary troops)
Secret societies (_see_ Red Eyebrows; Yellow Turbans; White Lotus;
Serfs (_see_ Slaves, Servants, Bondsmen)