Wolfram Eberhard - A history of China., [3d ed. rev. and enl.]

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A
HISTORY OF CHINA

by
WOLFRAM EBERHARD
_of the University of California_

_Illustrated_

UNIVERSITY OF CALIFORNIA PRESS
Berkeley and Los Angeles 1969

First published in U. S. A. by
_University of California Press_
_Berkeley and Los Angeles_
_California_

Second printing 1955
Third printing 1956
Second edition (revised by the author
and reset) 1960
Reprinted 1966
Third edition (revised
and enlarged) 1969

_To My Wife_

CONTENTS

INTRODUCTION 1

_THE EARLIEST TIMES_

Chapter I: PREHISTORY

1 Sources for the earliest history 7
2 The Peking Man 8
3 The Palaeolithic Age 8
4 The Neolithic Age 9
5 The eight principal prehistoric cultures 10
6 The Yang-shao culture 12
7 The Lung-shan culture 15
8 The first petty States in Shansi 16

Chapter II: THE SHANG DYNASTY
(_c._ 1600-1028 B.C.)

1 Period, origin, material culture 19
2 Writing and Religion 22
3 Transition to feudalism 24

_ANTIQUITY_

Chapter III: THE CHOU DYNASTY (_c._ 1028-257 B.C.)

1 Cultural origin of the Chou and end of the Shang dynasty 29
2 Feudalism in the new empire 30
3 Fusion of Chou and Shang 32
4 Limitation of the imperial power 36
5 Changes in the relative strength of the feudal states 38
6 Confucius 40
7 Lao Tzu 45

Chapter IV: THE CONTENDING STATES (481-256 B.C.):

DISSOLUTION OF THE FEUDAL SYSTEM

1 Social and military changes 51
2 Economic changes 53
3 Cultural changes 57

Chapter V: THE CHIN DYNASTY (256-207 B.C.)

1 Towards the unitary State 62
2 Centralization in every field 64
3 Frontier Defence. Internal collapse 67

_THE MIDDLE AGES_

Chapter VI: THE HAN DYNASTY (206 B.C.-A.D. 220)

1 Development of the gentry-state 71
2 Situation of the Hsiung-nu empire; its relation to the
Han empire. Incorporation of South China 75
3 Brief feudal reaction. Consolidation of the gentry 77
4 Turkestan policy. End of the Hsiung-nu empire 86
5 Impoverishment. Cliques. End of the Dynasty 90
6 The pseudo-socialistic dictatorship. Revolt of the "Red
Eyebrows" 93
7 Reaction and Restoration: the Later Han dynasty 96
8 Hsiung-nu policy 97
9 Economic situation. Rebellion of the "Yellow Turbans".
Collapse of the Han dynasty 99
10 Literature and Art 103

Chapter VII: THE EPOCH OF THE FIRST DIVISION
OF CHINA (A.D. 220-580)

(A) _The three kingdoms_ (A.D. 220-265)

1 Social, intellectual, and economic problems during the
period of the first division 107
2 Status of the two southern Kingdoms 109
3 The northern State of Wei 113

(B) _The Western Chin dynasty_ (265-317)

1 Internal situation in the Chin empire 115
2 Effect on the frontier peoples 116
3 Struggles for the throne 119
4 Migration of Chinese 120
5 Victory of the Huns. The Hun Han dynasty (later renamed
the Earlier Chao dynasty) 121

(C) _The alien empires in North China, down to the Toba_
(A.D. 317-385)

1 The Later Chao dynasty in eastern North China (Hun; 329-352) 123
2 Earlier Yen dynasty in the north-east (proto-Mongol;
352-370), and the Earlier Ch'in dynasty in all north
China (Tibetan; 351-394) 126
3 The fragmentation of north China 128
4 Sociological analysis of the two great alien empires 131
5 Sociological analysis of the petty States 132
6 Spread of Buddhism 133

(D) _The Toba empire in North China_ (A.D. 385-550)

1 The rise of the Toba State 136
2 The Hun kingdom of the Hsia (407-431) 139
3 Rise of the Toba to a great power 139
4 Economic and social conditions 142
5 Victory and retreat of Buddhism 145

(E) _Succession States of the Toba_ (A.D. 550-580):
_Northern Ch'i dynasty, Northern Chou dynasty_

1 Reasons for the splitting of the Toba empire 148
2 Appearance of the (Goek) Turks 149
3 The Northern Ch'i dynasty; the Northern Chou dynasty 150

(F) _The southern empires_

1 Economic and social situation in the south 152
2 Struggles between cliques under the Eastern Chin
dynasty (A.D. 317-419) 155
3 The Liu-Sung dynasty (A.D. 420-478) and the Southern
Ch'i dynasty (A.D. 479-501) 159
4 The Liang dynasty (A.D. 502-556) 161
5 The Ch'en dynasty (A.D. 557-588) and its ending by the
Sui 162
6 Cultural achievements of the south 163

Chapter VIII: THE EMPIRES OF THE SUI AND
THE T'ANG

(A) _The Sui dynasty_ (A.D. 580-618)

1 Internal situation in the newly unified empire 166
2 Relations with Turks and with Korea 169
3 Reasons for collapse 170

(B) _The Tang dynasty_ (A.D. 618-906)

1 Reforms and decentralization 172
2 Turkish policy 176
3 Conquest of Turkestan and Korea. Summit of power 177
4 The reign of the empress Wu: Buddhism and capitalism 179
5 Second blossoming of T'ang culture 182
6 Revolt of a military governor 184
7 The role of the Uighurs. Confiscation of the capital of the
monasteries 186
8 First successful peasant revolt. Collapse of the empire 189

_MODERN TIMES_

Chapter IX: THE EPOCH OF THE SECOND
DIVISION OF CHINA

(A) _The period of the Five Dynasties_ (906-960)

1 Beginning of a new epoch 195
2 Political situation in the tenth century 199
3 Monopolistic trade in South China. Printing and paper
money in the north 200
4 Political history of the Five Dynasties 202

(B) _Period of Moderate Absolutism_

(1) _The Northern Sung dynasty_

1 Southward expansion 208
2 Administration and army. Inflation 210
3 Reforms and Welfare schemes 215
4 Cultural situation (philosophy, religion, literature, painting) 217
5 Military collapse 221

(2) _The Liao (Kitan) dynasty in the north_ (937-1125)

1 Sociological structure. Claim to the Chinese imperial
throne 222
2 The State of the Kara-Kitai 223

(3) _The Hsi-Hsia State in the north_ (1038-1227)

1 Continuation of Turkish traditions 224

(4) _The empire of the Southern Sung dynasty_ (1127-1279)

1 Foundation 225
2 Internal situation 226
3 Cultural situation; reasons for the collapse 227

(5) _The empire of the Juchen in the north_ (1115-1234)

1 Rapid expansion from northern Korea to the Yangtze 229
2 United front of all Chinese 229
3 Start of the Mongol empire 230

Chapter X: THE PERIOD OF ABSOLUTISM

(A) _The Mongol Epoch_ (1280-1368)

1 Beginning of new foreign rules 232
2 "Nationality legislation" 233
3 Military position 234
4 Social situation 235
5 Popular risings: National rising 238
6 Cultural 241

(B) _The Ming Epoch_ (1368-1644)

1 Start. National feeling 243
2 Wars against Mongols and Japanese 244
3 Social legislation within the existing order 246
4 Colonization and agricultural developments 248
5 Commercial and industrial developments 250
6 Growth of the small gentry 252
7 Literature, art, crafts 253
8 Politics at court 256
9 Navy. Southward expansion 258
10 Struggles between cliques 259
11 Risings 262
12 Machiavellism 263
13 Foreign relations in the sixteenth century 264
14 External and internal perils 266

(C) _The Manchu Dynasty_ (1644-1911)

1 Installation of the Manchus 270
2 Decline in the eighteenth century 272
3 Expansion in Central Asia; the first State treaty 277
4 Culture 279
5 Relations with the outer world 282
6 Decline; revolts 284
7 European Imperialism in the Far East 285
8 Risings in Turkestan and within China: the T'ai P'ing Rebellion 288
9 Collision with Japan; further Capitulations 294
10 Russia in Manchuria 296
11 Reform and reaction: The Boxer Rising 296
12 End of the dynasty 299

Chapter XI: THE REPUBLIC (1912-1948)

1 Social and intellectual position 303
2 First period of the Republic: The warlords 309
3 Second period of the Republic: Nationalist China 314
4 The Sino-Japanese war (1937-1945) 317

Chapter XII: PRESENT-DAY CHINA

1 The growth of communism 320
2 Nationalist China in Taiwan 323
3 Communist China 327

Notes and References 335

Index 355

ILLUSTRATIONS

1 Painted pottery from Kansu: Neolithic. _Facing page_ 48
_In the collection of the Museum fuer Voelkerkunde, Berlin_.

2 Ancient bronze tripod found at Anyang. 49
_From G. Ecke: Fruehe chinesische Bronzen aus der Sammlung
Oskar Trautmann, Peking 1939 plate 3._

3 Bronze plaque representing two horses fighting each
other. Ordos region, animal style. 64
_From V. Griessmaier: Sammlung Baron Eduard von der
Heydt, Vienna 1936, illustration No. 6._

4 Hunting scene: detail from the reliefs in the tombs at
Wu-liang-tz'u. 64
_From a print in the author's possession_.

5 Part of the "Great Wall". 65
_Photo Eberhard._

6 Sun Ch'uean, ruler of Wu. 144
_From a painting by Yen Li-pen (c. 640-680)._

7 General view of the Buddhist cave-temples of Yuen-kang.
In the foreground, the present village; in the background
the rampart. 145
_Photo H. Hammer-Morrisson._

8 Detail from the Buddhist cave-reliefs of Lungmen. 160
_From a print in the author's possession._

9 Statue of Mi-lo (Maitreya, the next future Buddha), in
the "Great Buddha Temple" at Chengting (Hopei). 161
_Photo H. Hammer-Morrisson._

10 Ladies of the Court: Clay models which accompanied
the dead person to the grave. T'ang period. 208
_In the collection of the Museum fuer Voelkerkunde, Berlin._

11 Distinguished founder: a temple banner found at
Khotcho, Turkestan. 209
_Museum fuer Voelkerkunde, Berlin. No. 1B 4524, illustration
B 408._

12 Ancient tiled pagoda at Chengting (Hopei). 224
_Photo H. Hammer-Morrisson._

13 Horse-training. Painting by Li Lung-mien. Late Sung
period. 225
_Manchu Royal House Collection._

14 Aborigines of South China, of the "Black Miao" tribe,
at a festival. China-ink drawing of the eighteenth
century. 272
_Collection of the Museum fuer Voelkerkunde, Berlin. No. 1D
8756, 68._

15 Pavilion on the "Coal Hill" at Peking, in which the last
Ming emperor committed suicide. 273
_Photo Eberhard._

16 The imperial summer palace of the Manchu rulers, at
Jehol. 288
_Photo H. Hammer-Morrisson._

17 Tower on the city wall of Peking. 289
_Photo H. Hammer-Morrisson._

MAPS

1 Regions of the principal local cultures in prehistoric
times 13

2 The principal feudal States in the feudal epoch (roughly
722-481 B.C.) 39

3 China in the struggle with the Huns or Hsiung-nu
(roughly 128-100 B.C.) 87

4 The Toba empire (about A.D. 500) 141

5 The T'ang realm (about A.D. 750) 171

6 The State of the Later T'ang dynasty (923-935) 205

INTRODUCTION

There are indeed enough Histories of China already: why yet another one?
Because the time has come for new departures; because we need to clear
away the false notions with which the general public is constantly being
fed by one author after another; because from time to time syntheses
become necessary for the presentation of the stage reached by research.

Histories of China fall, with few exceptions, into one or the other of
two groups, pro-Chinese and anti-Chinese: the latter used to
predominate, but today the former type is much more frequently found. We
have no desire to show that China's history is the most glorious or her
civilization the oldest in the world. A claim to the longest history
does not establish the greatness of a civilization; the importance of a
civilization becomes apparent in its achievements. A thousand years ago
China's civilization towered over those of the peoples of Europe. Today
the West is leading; tomorrow China may lead again. We need to realize
how China became what she is, and to note the paths pursued by the
Chinese in human thought and action. The lives of emperors, the great
battles, this or the other famous deed, matter less to us than the
discovery of the great forces that underlie these features and govern
the human element. Only when we have knowledge of those forces and
counter-forces can we realize the significance of the great
personalities who have emerged in China; and only then will the history
of China become intelligible even to those who have little knowledge of
the Far East and can make nothing of a mere enumeration of dynasties and
campaigns.

Views on China's history have radically changed in recent years. Until
about thirty years ago our knowledge of the earliest times in China
depended entirely on Chinese documents of much later date; now we are
able to rely on many excavations which enable us to check the written
sources. Ethnological, anthropological, and sociological research has
begun for China and her neighbours; thus we are in a position to write
with some confidence about the making of China, and about her ethnical
development, where formerly we could only grope in the dark. The claim
that "the Chinese race" produced the high Chinese civilization entirely
by its own efforts, thanks to its special gifts, has become just as
untenable as the other theory that immigrants from the West, some
conceivably from Europe, carried civilization to the Far East. We know
now that in early times there was no "Chinese race", there were not even
"Chinese", just as there were no "French" and no "Swiss" two thousand
years ago. The "Chinese" resulted from the amalgamation of many separate
peoples of different races in an enormously complicated and
long-drawn-out process, as with all the other high civilizations of the
world.

The picture of ancient and medieval China has also been entirely changed
since it has been realized that the sources on which reliance has always
been placed were not objective, but deliberately and emphatically
represented a particular philosophy. The reports on the emperors and
ministers of the earliest period are not historical at all, but served
as examples of ideas of social policy or as glorifications of particular
noble families. Myths such as we find to this day among China's
neighbours were made into history; gods were made men and linked
together by long family trees. We have been able to touch on all these
things only briefly, and have had to dispense with any account of the
complicated processes that have taken place here.

The official dynastic histories apply to the course of Chinese history
the criterion of Confucian ethics; for them history is a textbook of
ethics, designed to show by means of examples how the man of high
character should behave or not behave. We have to go deeper, and try to
extract the historic truth from these records. Many specialized studies
by Chinese, Japanese, and Western scholars on problems of Chinese
history are now available and of assistance in this task. However, some
Chinese writers still imagine that they are serving their country by yet
again dishing up the old fables for the foreigner as history; and some
Europeans, knowing no better or aiming at setting alongside the
unedifying history of Europe the shining example of the conventional
story of China, continue in the old groove. To this day, of course, we
are far from having really worked through every period of Chinese
history; there are long periods on which scarcely any work has yet been
done. Thus the picture we are able to give today has no finality about
it and will need many modifications. But the time has come for a new
synthesis, so that criticism may proceed along the broadest possible
front and push our knowledge further forward.

The present work is intended for the general reader and not for the
specialist, who will devote his attention to particular studies and to
the original texts. In view of the wide scope of the work, I have had to
confine myself to placing certain lines of thought in the foreground and
paying less attention to others. I have devoted myself mainly to showing
the main lines of China's social and cultural development down to the
present day. But I have also been concerned not to leave out of account
China's relations with her neighbours. Now that we have a better
knowledge of China's neighbours, the Turks, Mongols, Tibetans, Tunguses,
Tai, not confined to the narratives of Chinese, who always speak only of
"barbarians", we are better able to realize how closely China has been
associated with her neighbours from the first day of her history to the
present time; how greatly she is indebted to them, and how much she has
given them. We no longer see China as a great civilization surrounded by
barbarians, but we study the Chinese coming to terms with their
neighbours, who had civilizations of quite different types but
nevertheless developed ones.

It is usual to split up Chinese history under the various dynasties that
have ruled China or parts thereof. The beginning or end of a dynasty
does not always indicate the beginning or the end of a definite period
of China's social or cultural development. We have tried to break
China's history down into the three large periods--"Antiquity", "The
Middle Ages", and "Modern Times". This does not mean that we compare
these periods with periods of the same name in Western history although,
naturally, we find some similarities with the development of society and
culture in the West. Every attempt towards periodization is to some
degree arbitrary: the beginning and end of the Middle Ages, for
instance, cannot be fixed to a year, because development is a continuous
process. To some degree any periodization is a matter of convenience,
and it should be accepted as such.

The account of Chinese history here given is based on a study of the
original documents and excavations, and on a study of recent research
done by Chinese, Japanese and Western scholars, including my own
research. In many cases, these recent studies produced new data or
arranged new data in a new way without an attempt to draw general
conclusions. By putting such studies together, by fitting them into the
pattern that already existed, new insights into social and cultural
processes have been gained. The specialist in the field will, I hope,
easily recognize the sources, primary or secondary, on which such new
insights represented in this book are based. Brief notes are appended
for each chapter; they indicate the most important works in English and
provide the general reader with an opportunity of finding further
information on the problems touched on. For the specialist brief hints
to international research are given, mainly in cases in which different
interpretations have been proposed.

Chinese words are transcribed according to the Wade-Giles system with
the exception of names for which already a popular way of transcription
exists (such as Peking). Place names are written without hyphen, if they
remain readable.

THE EARLIEST TIMES

Chapter One

PREHISTORY

1 _Sources for the earliest history_

Until recently we were dependent for the beginnings of Chinese history
on the written Chinese tradition. According to these sources China's
history began either about 4000 B.C. or about 2700 B.C. with a
succession of wise emperors who "invented" the elements of a
civilization, such as clothing, the preparation of food, marriage, and a
state system; they instructed their people in these things, and so
brought China, as early as in the third millennium B.C., to an
astonishingly high cultural level. However, all we know of the origin of
civilizations makes this of itself entirely improbable; no other
civilization in the world originated in any such way. As time went on,
Chinese historians found more and more to say about primeval times. All
these narratives were collected in the great imperial history that
appeared at the beginning of the Manchu epoch. That book was translated
into French, and all the works written in Western languages until recent
years on Chinese history and civilization have been based in the last
resort on that translation.

Modern research has not only demonstrated that all these accounts are
inventions of a much later period, but has also shown _why_ such
narratives were composed. The older historical sources make no mention
of any rulers before 2200 B.C., no mention even of their names. The
names of earlier rulers first appear in documents of about 400 B.C.; the
deeds attributed to them and the dates assigned to them often do not
appear until much later. Secondly, it was shown that the traditional
chronology is wrong and another must be adopted, reducing all the dates
for the more ancient history, before 900 B.C. Finally, all narratives
and reports from China's earliest period have been dealt a mortal blow
by modern archaeology, with the excavations of recent years. There was
no trace of any high civilization in the third millennium B.C., and,
indeed, we can only speak of a real "Chinese civilization" from 1300
B.C. onward. The peoples of the China of that time had come from the
most varied sources; from 1300 B.C. they underwent a common process of
development that welded them into a new unity. In this sense and
emphasizing the cultural aspects, we are justified in using from then on
a new name, "Chinese", for the peoples of China. Those sections,
however, of their ancestral populations who played no part in the
subsequent cultural and racial fusion, we may fairly call "non-Chinese".
This distinction answers the question that continually crops up, whether
the Chinese are "autochthonons". They are autochthonons in the sense
that they formed a unit in the Far East, in the geographical region of
the present China, and were not immigrants from the Middle East.

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