The situation of Chiang Kai-shek's Chungking government seemed hopeless. Even the Burma Road was cut, and supplies could only be sent by air; there was shortage of everything. With immense energy small industries were begun all over western China, often organized as co-operatives; roads and railways were built—but with such resources would it ever be possible to throw the Japanese into the sea? Everything depended on holding out until a new page was turned in Europe. Infinitely slow seemed the progress of the first gleams of hope—the steady front in Burma, the reconquest of the first groups of inlands; the first bomb attacks on Japan itself. Even in May, 1945, with the war ended in Europe, there seemed no sign of its ending in the Far East. Then came the atom bomb, bringing the collapse of Japan; the Japanese armies receded from China, and suddenly China was free, mistress once more in her own country as she had not been for decades.



Chapter Twelve

PRESENT-DAY CHINA

1 The growth of communism

In order to understand today's China, we have to go back in time to report events which were cut short or left out of our earlier discussion in order to present them in the context of this chapter.

Although socialism and communism had been known in China long ago, this line of development of Western philosophy had interested Chinese intellectuals much less than liberalistic, democratic Western ideas. It was widely believed that communism had no real prospects for China, as a dictatorship of the proletariat seemed to be relevant only in a highly industrialized and not in an agrarian society. Thus, in its beginning the "Movement of May Fourth" of 1919 had Western ideological traits but was not communistic. This changed with the success of communism in Russia and with the theoretical writings of Lenin. Here it was shown that communist theories could be applied to a country similar to China in its level of development. Already from 1919 on, some of the leaders of the Movement turned towards communism: the National University of Peking became the first centre of this movement, and Ch'en Tu-hsiu, then dean of the College of Letters, from 1920 on became one of its leaders. Hu Shih did not move to the left with this group; he remained a liberal. But another well-known writer, Lu Hsuen (1881-1936), while following Hu Shih in the "Literary Revolution," identified politically with Ch'en. There was still another man, the Director of the University Library, Li Ta-chao, who turned towards communism. With him we find one of his employees in the Library, Mao Tse-tung. In fact, the nucleus of the Communist Party, which was officially created as late as 1921, was a student organization including some professors in Peking. On the other hand, a student group in Paris had also learned about communism and had organized; the leaders of this group were Chou En-lai and Li Li-san. A little later, a third group organized in Germany; Chu Te belonged to this group. The leadership of Communist China since 1949 has been in the hands of men of these three former student groups.

After 1920, Sun Yat-sen, too, became interested in the developments in Soviet Russia. Yet, he never actually became a communist; his belief that the soil should belong to the tiller cannot really be combined with communism, which advocates the abolition of individual landholdings. Yet, Soviet Russia found it useful to help Sun Yat-sen and advised the Chinese Communist Party to collaborate with the KMT (Kuo-min-tang). This collaboration, not always easy, continued until the fall of Shanghai in 1927.

In the meantime, Mao Tse-tung had given up his studies in Peking and had returned to his home in Hunan. Here, he organized his countrymen, the farmers of Hunan. It is said that at the verge of the northern expedition of Chiang Kai-shek, Mao's adherents in Hunan already numbered in the millions; this made the quick and smooth advance of the communist-advised armies of Chiang Kai-shek possible. Mao developed his ideas in written form in 1927; he showed that communism in China could be successful only if it was based upon farmers. Because of this unorthodox attitude, he was for years severely attacked as a deviationist.

When Chiang Kai-shek separated from the KMT in 1927, the main body of the KMT remained in Hankow as the legal government. But now, while Chiang Kai-shek executed all leftists, union leaders, and communists who fell into his hands, tensions in Hankow increased between the Chinese Communist Party and the rest of the KMT. Finally, the KMT turned against the communists and reunited with Chiang Kai-shek. The remaining communists retreated to the Hunan-Kiangsi border area, the centre of Mao's activities; even the orthodox communist wing, which had condemned Mao, now had to come to him for protection from the KMT. A small communist state began to develop in Kiangsi, in spite of pressure and, later, attacks of the KMT against them. By 1934, this pressure became so strong that Kiangsi had to be abandoned, and in the epic "Long March" the rest of the communists and their army fought their way through all of western and northwestern China into the sparsely inhabited, underdeveloped northern part of Shensi, where a new socialistic state was created with Yen-an as its capital.

After the fall of the communist enclave in Kiangsi, the prospects for the Nationalist regime were bright; indeed, the unification of China was almost achieved. At this moment a new Japanese invasion threatened and demanded the full attention of the regime. Thus, in spite of talk about land reform and other reforms which might have led to a liberalization of the government, no attention was given to internal and social problems except to the suppression of communist thought. Although all leftist publications were prohibited, most historians and sociologists succeeded in writing Marxist books without using Marxist terminology, so that they escaped Chiang's censors. These publications contributed greatly to preparing China's intellectuals and youth for communism.

When the Japanese War began, the communists in Yen-an and the Nationalists under Chiang Kai-shek agreed to cooperate against the invaders. Yet, each side remembered its experiences in 1927 and distrusted the other. Chiang's resistance against the invaders became less effective after the Japanese occupied all of China's ports; supplies could reach China only in small quantities by airlift or via the Burma Road. There was also the belief that Japan could be defeated only by an attack on Japan itself and that this would have to be undertaken by the Western powers, not by China. The communists, on their side, set up a guerilla organization behind the Japanese lines, so that, although the Japanese controlled the cities and the lines of communication, they had little control over the countryside. The communists also attempted to infiltrate the area held by the Nationalists, who in turn were interested in preventing the communists from becoming too strong; so, Nationalist troops guarded also the borders of communist territory.

American politicians and military advisers were divided in their opinions. Although they recognized the internal weakness of the Nationalist government, the fighting between cliques within the government, and the ever-increasing corruption, some advocated more help to the Nationalists and a firm attitude against the communists. Others, influenced by impressions gained during visits to Yen-an, and believing in the possibility of honest cooperation between a communist regime and any other, as Roosevelt did, attempted to effect a coalition of the Nationalists with the communists.

At the end of the war, when the Nationalist government took over the administration, it lacked popular support in the areas liberated from the Japanese. Farmers who had been given land by the communists, or who had been promised it, were afraid that their former landlords, whether they had remained to collaborate with the Japanese or had fled to West China, would regain control of the land. Workers hoped for new social legislation and rights. Businessmen and industrialists were faced with destroyed factories, worn-out or antiquated equipment, and an unchecked inflation which induced them to shift their accounts into foreign banks or to favor short-term gains rather than long-term investments. As in all countries which have suffered from a long war and an occupation, the youth believed that the old regime had been to blame, and saw promise and hope on the political left. And, finally, the Nationalist soldiers, most of whom had been separated for years from their homes and families, were not willing to fight other Chinese in the civil war now well under way; they wanted to go home and start a new life. The communists, however, were now well organized militarily and well equiped with arms surrendered by the Japanese to the Soviet armies as well as with arms and ammunition sold to them by KMT soldiers; moreover, they were constantly strengthened by deserters from the KMT. The civil war witnessed a steady retreat by the KMT armies, which resisted only sporadically. By the end of 1948, most of mainland China was in the hands of the communists, who established their new capital in Peking.

2 Nationalist China in Taiwan

The Nationalist government retreated to Taiwan with those soldiers who remained loyal. This island was returned to China after the defeat of Japan, though final disposition of its status had not yet been determined.

Taiwan's original population had been made up of more than a dozen tribes who are probably distant relatives of tribes in the Philippines. These are Taiwan's "aborigines," altogether about 200,000 people in 1948.

At about the time of the Sung dynasty, Chinese began to establish outposts on the island; these developed into regular agricultural settlements toward the end of the Ming dynasty. Immigration increased in the eighteenth and especially the nineteenth centuries. These Chinese immigrants and their descendants are the "Taiwanese," Taiwan's main population of about eight million people as of 1948.

Taiwan was at first a part of the province of Fukien, whence most of its Chinese settlers came; there was also a minority of Hakka, Chinese from Kuangtung province. When Taiwan was ceded to Japan, it was still a colonial area with much lawlessness and disorder, but with a number of flourishing towns and a growing population. The Japanese, who sent administrators but no settlers, established law and order, protected the aborigines from land-hungry Chinese settlers, and attempted to abolish headhunting by the aborigines and to raise the cultural level in general. They built a road and railway system and strongly stressed the production of sugar cane and rice. During the Second World War, the island suffered from air attacks and from the inability of the Japanese to protect its industries.

After Chiang Kai-shek and the remainder of his army and of his government officials arrived in Taiwan, they were followed by others fleeing from the communist regime, mainly from Chekiang, Kiangsu, and the northern provinces of the mainland. Eventually, there were on Taiwan about two million of these "mainlanders," as they have sometimes been called.

When the Chinese Nationalists took over from the Japanese, they assumed all the leading positions in the government. The Taiwanese nationals who had opposed the Japanese were disappointed; for their part, the Nationalists felt threatened because of their minority position. The next years, especially up to 1952, were characterized by terror and bloodshed. Tensions persisted for many years, but have lessened since about 1960.

The new government of Taiwan resembled China's pre-war government under Chiang Kai-shek. First, to maintain his claim to the legitimate rule of all of China, Chiang retained—and controlled through his party, the KMT—his former government organization, complete with cabinet ministers, administrators, and elected parliament, under the name "Central Government of China." Secondly, the actual government of Taiwan, which he considered one of China's provinces, was organized as the "Provincial Government of Taiwan," whose leading positions were at first in the hands of KMT mainlanders. There have since been elections for the provincial assembly, for local government councils and boards, and for various provincial and local positions. Thirdly, the military forces were organized under the leadership and command of mainlanders. And finally, the education system was set up in accordance with former mainland practices by mainland specialists. However, evolutionary changes soon occurred.

The government's aim was to make Mandarin Chinese the language of all Chinese in Taiwan, as it had been in mainland China long before the War, and to weaken the Taiwanese dialects. Soon almost every child had a minimum of six years of education (increased in 1968 to nine years), with Mandarin Chinese as the medium of instruction. In the beginning few Taiwanese qualified as teachers because, under Japanese rule, Japanese had been the medium of instruction. As the children of Taiwanese and mainland families went to school together, the Taiwanese children quickly learned Mandarin, while most mainland children became familiar with the Taiwan dialect. For the generation in school today, the difference between mainlander and Taiwanese has lost its importance. At the same time, more teachers of Taiwanese origin, but with modern training, have begun to fill first the ranks of elementary, later of high-school, and now even of university instructors, so that the end of mainland predominance in the educational system is foreseeable.

The country is still ruled by the KMT, but although at first hardly any Taiwanese belonged to the Party, many of the elective jobs and almost all positions in the provincial government are at present (1969) in the hands of Taiwanese independents, or KMT members, more of whom are entering the central government as well. Because military service is compulsory, the majority of common soldiers are Taiwanese: as career officers grow older and their sons show little interest in an army career, more Taiwan-Chinese are occupying higher army positions. Foreign policy and major political decisions still lie in the hands of mainland Chinese, but economic power, once monopolized by them, is now held by Taiwan-Chinese.

This shift gained impetus with the end of American economic aid, which had tied local businessmen to American industry and thus worked to the advantage of mainland Chinese, for these had contacts in the United States, whereas the Taiwan-Chinese had contacts only in Japan. After the termination of American economic aid, Taiwanese trade with Japan, the Philippines, and Korea grew in importance and with it the economic strength of Taiwan-Chinese businessmen. After 1964, Taiwan became a strong competitor of Hong Kong and Japan in some export industries, such as electronics and textiles. We can regard Taiwan from 1964 on as occupying the "take-off" stage, to use Rostow's terminology—a stage of rapid development of new, principally light and consumer, industries. There has been a rapid rise of industrial towns around the major cities, and there are already many factories in the countryside, even in some villages. Electrification is essentially completed, and heavy industries, such as fertilizer and assembly plants and oil refineries, now exist.

This rapid industrialization was accompanied by an unusually fast development of agriculture. A land-reform program limited land ownership, reduced rents, and redistributed formerly Japanese-owned land. This was the program that the Nationalist government had attempted unsuccessfully to enforce in liberated China after the Pacific War. It is well known that the abolition of landlordism and the distribution of land to small farmers do not in themselves improve or enlarge production. The Joint Council on Rural Reconstruction, on which American advisers worked with Chinese specialists to devise a system comparable to American agricultural extension services but possessing added elements of community development, introduced better seeds, more and better fertilizers, and numerous other innovations which the farmers quickly adopted, with the result that the island became self-supporting, in spite of a steadily growing population (thirteen million in 1968).

At the same time, the government succeeded in stabilizing the currency and in eliminating corruption, thus re-establishing public confidence and security. Good incomes from farming as well as from industries were invested on the island instead of flowing into foreign banks. In addition, the population had enough surplus money to buy the products of the new domestic industries as these appeared. Thus, the industrialization of Taiwan may be called "industrialization without tears," without the suffering, that is, of proletarian masses who produce objects which they cannot afford for themselves. Today, even lower middle-class families have television consoles which cost the equivalent of US $200; they own electric fans and radios; they are buying Taiwan-produced refrigerators and air conditioners; and more and more think of buying Taiwan-assembled cars. They encourage their children to finish high school and to attend college if at all possible; competition for admission is very strong in spite of the continuous building of new schools and universities. Education to the level of the B. A. is of good quality, but for most graduate study students are still sent abroad. Taiwan complains about the "brain drain," as about 93 per cent of its students who go overseas do not return, but in many fields it has sufficient trained manpower to continue its development, and in any case there would not be enough jobs available if all the students returned. Most of these expatriates would be available to develop mainland China, if conditions there were to change in a way that would make them compatible with the values with which these expatriates grew up on Taiwan, or with the Western democratic values which they absorbed abroad.

Chiang Kai-shek's government still hopes that one day its people will return to the mainland. This hope has changed from hope of victory in a civil war to hope of revolutionary developments within Communist China which might lead to the creation of a more liberal government in which men with KMT loyalties could find a place. Because they are Chinese, the present government and, it is believed, the majority of the people, consider themselves a part of China from which they are temporarily separated. Therefore they reject the idea, proposed by some American politicians, that Taiwan should become an independent state. There are, mainly in the United States and Japan, groups of Taiwan-Chinese who favor an independent Taiwan, which naturally would be close to Japan politically and economically. One may agree with their belief that Taiwan, now larger than many European countries, could exist and flourish as an independent country; yet few Chinese will wish to divorce themselves from the world's largest society.

3 Communist China

Both Taiwan and mainland China have developed extremely quickly. The reasons do not seem to lie solely in the form of government, for the pre-conditions for a "take-off" existed in China as early as the 1920's, if not earlier. That is, the quick development of China could have started forty years ago but was prevented, primarily for political reasons. One of the main pre-conditions for quick development is that a large part of the population is inured to hard and repetitive work. The Chinese farmer was accustomed to such work; he put more time and energy into his land than any other farmer. He and his fellows were the industrial workers of the future: reliable, hard-working, tractable, intelligent. To train them was easy, and absenteeism was never a serious problem, as it is in other developing nations. Another pre-condition is the existence of sufficient trained people to manage industry. Forty years ago China had enough such men to start modernization; foreign assistance would have been necessary in some fields, but only briefly.

Another requirement (at least in the period before radio and television) is general literacy. Meaningful statistical data on literacy in China before 1937 are lacking. Some authors remark that before 1800 probably all upper-class sons and most daughters were educated, and that men in the middle and even in the lower classes often had some degree of literacy. In this context "educated" means that these persons could read classical poetry and essays written in literary Chinese, which was not the language of daily conversation. "Literacy," however, might mean only that a person could read and write some 600 characters, enough to conduct a business and to read simple stories. Although newspapers today have a stock of about 6,000 characters, only some 600 characters are commonly used, and a farmer or worker can manage well with a knowledge of about 100 characters. Statements to the effect that in 1935 some 70 per cent of all men and 95 per cent of all women were illiterate must include the last category in these figures. In any case, the literacy program of the Nationalist government had penetrated the countryside and had reached even outlying villages before the Pacific War.

The transportation system in China before the war was not highly developed, but numerous railroads connecting the main industrial centers did exist, and bus and truck services connected small towns with the larger centers. What were missing in the pre-war years were laws to protect the investor, efficient credit facilities, an insurance system supported by law, and a modern tax structure. In addition, the monetary system was inflation-prone. Although sufficient capital probably could have been mobilized within the country, the available resources either went into foreign banks or were invested in enterprises providing a quick return.

The failure to capitalize on existing means of development before the War resulted from the chronic unrest caused by warlordism, revolutionaries and foreign invaders, which occupied the energies of the Nationalist government from its establishment to its fall. Once a stable government free from internal troubles arose, national development, whether private or socialist, could proceed at a rapid pace.

Thus, the development of Communist China is not a miracle, possible only because of its form of government. What is unusual about Communist China is the fact that it is the only nation possessing a highly developed culture of its own to have jettisoned it in favor of a foreign one. What missionaries had dreamed of for centuries and knew they would never accomplish, Mao Tse-tung achieved; he imposed an ideology created by Europeans and understandable only in the context of Central Europe in the nineteenth century. How long his success will last is uncertain. One school of analysts believes that the friction between Soviet Russia and Communist China indicates that China's communism has become Chinese. These men point out that Communist Chinese practices are often direct continuations of earlier Chinese practices, customs, and attitudes. And they predict that this trend will continue, resulting in a form of socialism or communism distinctly different from that found in any other country. Another school, however, believes that communism precedes "Sinism," and that the regime will slowly eliminate traits which once were typical of China and replace them with institutions developed out of Marxist thinking. In any case, for the present, although the Communist government's aim is to impose communist thought and institutions in the country, typically Chinese traits are still omnipresent.

Soon after the establishment of the Peking regime, a pact of friendship and alliance with the Soviet Union was concluded (February 1950), and Soviet specialists and civil and military products poured into China to speed its development. China had to pay for this assistance as well as for the loans it received from Russia, but the application of Russian experience, often involving the duplication of whole factories, was successful. In a few years, China developed its heavy industry, just as Russia had done. It should not be forgotten that Manchuria, as well as other parts of China, had had modern heavy industries long before 1949. The Manchurian factories ceased production because, when the Russians invaded Manchuria at the end of the war, they removed the machinery to Russia.

Russian aid to Communist China continued to 1960. Its termination slowed development briefly but was not disastrous. Russian assistance was a "shot in the arm," as stimulating and about as lasting as American aid to Taiwan or to European countries. The stress laid upon heavy industry, in imitation of Russia, increased China's military strength quickly, but the consumer had to wait for goods which would make his life more enjoyable. One cause of friction in China today concerns the relative desirability of heavy industry versus consumer industry, a problem which arose in Russia after the death of Stalin.

China's military strength was first demonstrated in the Korean War when Chinese armies entered Korea (October 1950). Their successes contributed to the prestige of the Peking regime at home and abroad, but they also foreshadowed a conflict with Soviet Russia, which regarded North Korea as lying within its own sphere of influence.

In the same year, China invaded and conquered Tibet. Tibet, under Manchu rule until 1911, had achieved a certain degree of independence thereafter: no republican Chinese regime ever ruled Lhasa. The military conquest of Tibet is regarded by many as an act of Chinese imperialism, or colonialism, as the Tibetans certainly did not want to belong to China or be forced to change their traditional form of government. Having regarded themselves as subjects of the Manchu but not of the Chinese, they rose against the communist rulers in March 1959, but without success.

Chinese control of Tibet, involving the construction of numerous roads, airstrips, and military installations, as well as differences concerning the international border, led in 1959 to conflicts with India, a country which had previously sided with the new China in international affairs. Indeed, the borders were uncertain and looked different depending on whether one used Manchu or Indian maps. China's other border problem was with Burma. Early in 1960 the two countries concluded a border agreement which ended disputes dating from British colonial times.

Very early in its existence Communist China assumed control of Sinkiang, Chinese Central Asia, a large area originally inhabited by Turkish and Mongolian tribes and states, later conquered by the Manchu, and then integrated into China in the early nineteenth century. The communist action was to be expected, although after the Revolution of 1911 Chinese rule over this area had been spotty, and during the Pacific War some Soviet-inspired hope had existed that Sinkiang might gain independence, following the example of Outer Mongolia, another country which had been attached to the Manchu until 1911 and which, with Russian assistance, had gained its independence from China. Sinkiang is of great importance to Communist China as the site of large sources of oil and of atomic industries and testing grounds. The government has stimulated and often forced Chinese immigration into Sinkiang, so that the erstwhile Turkish and Mongolian majorities have become minorities, envious of their ethnic brothers in Soviet Central Asia who enjoy a much higher standard of living and more freedom.

Inner Mongolia had a brief dream of independence under Japanese protection during the war. But the majority of the population were Chinese, and already before the Pacific War, the country had been divided into three Chinese provinces, of which the Chinese Communists gained control without delay.

In general, when the Chinese Communists discuss territorial claims, they appear to seek the restoration of borders that China claimed in the eighteenth century. Thus, they make occasional remarks about the Ili area and parts of Eastern Siberia, which the Manchu either lost to the Russians or claimed as their territory. North Vietnam is probably aware that Imperial China exercised political rights over Tongking and Annam (the present-day North and part of South Vietnam). And, treaty or no, the Sino-Burmese question may be reopened one day, for Burma was semi-dependent on China under the Manchu.

The build-up of heavy industry enabled China to conduct an aggressive policy towards the countries surrounding her, but industrialization had to be paid for, and, as in other countries, it was basically agriculture that had to create the necessary capital. Therefore, in June 1950 a land-reform law was promulgated. By October 1952 it had been implemented at an estimated cost of two million human lives: the landlords. The next step, socialization of the land, began in 1953.

The cooperative farms were supposed to achieve higher production than small individual farms. It may be that any farmer, but particularly the Chinese, is emotionally involved in his crop, in contrast to the industrial worker, who often is alienated from the product he makes. Thus the farmer is unwilling to put unlimited energy and time into working on a farm that does not belong to him. But it may also be that the application of principles of industrial operation to agriculture fails because emergencies often occur in farming and are followed by periods of leisure, whereas in industry steady work is possible.

In any case, in 1956 strains began to appear in China's economy. In early 1958 the "Great Leap Forward" was promoted in an attempt to speed production in all sectors. Soon after, the first communes were created, against the advise of Russian specialists. The objective of the communes seems to have been not only the creation of a new organizational form which would allow the government to exercise more pressure upon farmers to increase production, but also the correlation of labor and other needs of industry with agriculture. The communes may have represented an attempt to set up an organization which could function independently, even in the event of a governmental breakdown in wartime. At the same time, the decentralization of industries began and a people's militia was created. The "back-yard furnaces," which produced high-cost iron of low quality, seem to have had a similar purpose: to teach citizens how to produce iron for armaments in case of war and enemy occupation, when only guerrilla resistance would be possible. In the same year, aggressive actions against offshore, Nationalist-held islands increased. China may have believed that war with the United States was imminent. Perhaps as a result of Russian talks with China, a detente followed in 1959, but so too did increased tension between Russia and China, while the results of the Great Leap and its policies proved catastrophic. The years 1961-64 provided a needed respite from the failures of the Great Leap. Farmers regained limited rights to income from private efforts, and improved farm techniques such as better seed and the use of fertilizer began to produce results. China can now feed her population in normal years.

Chinese leaders realize that an improved level of living is difficult to attain while the birth rate remains high. They have hesitated to adopt a family-planning policy, which would fly in the face of Marxist doctrine, although for a short period family planning was openly recommended. Their most efficient method of limiting the birth rate has been to recommend postponement of marriage.

First the limitation of private enterprise and business and then the nationalization of all important businesses following the completion of land reform deprived many employers as well as small shopkeepers of an occupation. But the new industries could not absorb all of the labor that suddenly became available. When rural youth inundated the cities in search of employment, the government returned the excess urban population to the countryside and recruited students and other urban youth to work on farms. Re-education camps in outlying areas also provided cheap farm labor.

The problem facing China or any nation that modernizes and industrializes in the twentieth century can be simply stated. Nineteenth-century industry needed large masses of workers which only the rural areas could supply; and, with the development of farming methods, the countryside could afford to send its youth to the cities. Twentieth-century industry, on the other hand, needs technicians and highly qualified personnel, often with college degrees, but few unskilled workers. China has traditionally employed human labor where machines would have been cheaper and more efficient, simply because labor was available and capital was not. But since, with the growth of modern industry and modern farming, the problem will arise again, the policy of employing urban youth on farms is shortsighted.

The labor force also increased as a result of the "liberation" of women, in which the marriage law of April 1950 was the first step. Nationalist China had earlier created a modern and liberal marriage law; moreover, women were never the slaves that they have sometimes been painted. In many parts of China, long before the Pacific War, women worked in the fields with their husbands. Elsewhere they worked in secondary agricultural industries (weaving, preparation of food conserves, home industries, and even textile factories) and provided supplementary income for their families. All that "liberation" in 1950 really meant was that women had to work a full day as their husbands did, and had, in addition, to do house work and care for their children much as before. The new marriage law did, indeed, make both partners equal; it also made it easier for men to divorce their wives, political incompatibility becoming a ground for divorce.

The ideological justification for a new marriage law was the desirability of destroying the traditional Chinese family and its economic basis because a close family, and all the more an extended family or a clan, could obviously serve as a center of resistance. Land collectivization and the nationalization of business destroyed the economic basis of families. The "liberation" of women brought them out of the house and made it possible for the government to exploit dissention between husband and wife, thereby increasing its control over the family. Finally, the new education system, which indoctrinated all children from nursery to the end of college, separated children from parents, thus undermining parental control and enabling the state to intimidate parents by encouraging their children to denounce their "deviations." Sporadic efforts to dissolve the family completely by separating women from men in communes—recalling an attempt made almost a century earlier by the T'ai-p'ing—were unsuccessful.

The best formula for a revolution seems to involve turning youth against its elders, rather than turning one class against another. Not all societies have a class system so clear-cut that class antagonism is effective. On the other hand, Chinese youth, in its opposition to the "establishment," to conservatism, to traditional religion, to blind emulation of Western customs and institutions, to the traditional family structure and the position of women, had hopes that communism would eradicate the specific "evil" which each individual wanted abolished. Mao and his followers had once been such rebellious youths, but by the 1960's they were mostly old men and a new youth had appeared, a generation of revolutionaries for whom the "old regime" was dim history, not reality. In the struggle between Mao and Liu Shao-ch'i, which became increasingly apparent in 1966, Mao tried to retain his power by mobilizing young people as "Red Guards" and by inciting them to make the "Great Proletarian Revolution." The motives behind the struggle are diverse. It is on the one hand a conflict of persons contending for power, but there are also disagreements over theory: for example, should China's present generation toil to make possible a better life only for the next generation, or should it enjoy the fruits of its labor, after its many years of suffering? Mao opposes such "weakening" and favors a new generation willing to endure hardships, as he did in his youth. There is also a question whether the Chinese Communist Party under the banner of Maoism should replace the Russian party, establish Mao as the fourth founder after Marx, Lenin, and Stalin, and become the leader of world communism, or whether it should collaborate with the Russian party, at least temporarily, and thus ensure China Russian support. When, however, Chinese youth was summoned to take up the fight for Mao and his group, forces were loosed which could not be controlled. Following independent action by youth groups similar in nature to youth revolts in Western countries, the power and prestige of older leaders suffered. Even now (1969) it is impossible to re-establish unity and order; the Mao and Liu groups still oppose each other, and local factions have arisen. Violent confrontations, often resulting in hundreds of deaths, occur in many provinces. The regime is no longer so strong and unified as it was before 1966, although its end is not in sight. Quite possibly far-reaching changes may occur in the future.

Three factors will probably influence the future of China. First, the emergence of neo-communism, as in Czechoslovakia in 1968, in an attempt to soften traditional communist practice. Second, the outcome of the war in Vietnam. Will China be able to continue its eighteenth-century dream of direct or indirect domination of Southeast Asia? Will North Vietnam detach itself from China and attach itself more closely to Russia? Will Russia and China continue to create separate spheres of influence in Asia, Africa, and South America? The first factor depends on developments inside China, the second on events outside, and at least in part on decisions in the United States, Japan, and Europe.

The third factor has to do with human nature. One may justifiably ask whether the change in human personality which Chinese communism has attempted to achieve is possible, let alone desirable. Studies of animals and of human beings have demonstrated a tendency to identify with a territory, with property, and with kin. Can the Chinese eradicate this tendency? The Chinese have been family-centered and accustomed to subordinating their individual inclinations to the requirements of family and neighborhood. But beyond these established frameworks they have been individualistic and highly idiosyncratic at all times. Under the communist regime, however, the government is omnipresent, and people must toe the official line. One senses the tragedy that affects well-known scholars, writers and poets, who must degrade themselves, their work, their past and their families in order to survive. They may hope for comprehension of their actions, but nonetheless they must suffer shame. Will the present government change the minds of these men and eradicate their feelings?

Communist China has made great progress, no doubt. Soon it may equal other developed nations. But its progress has been achieved at an unnecessary cost in human lives and happiness.

That the regime is no longer so strong and unified as it was before 1966 does not mean that its end is in sight. Far-reaching changes may occur in the near future. Public opinion is impressed with mainland China's progress, as the world usually is with strong nations. And public opinion is still unimpressed by the achievements of Taiwan and has hardly begun to change its attitude toward the government of the "Republic of China." To the historian and the sociologist, the experience of Taiwan indicates that China, if left alone and freed from ideological pressures, could industrialize more quickly than any other presently underdeveloped nation. Taiwan offers a model with which to compare mainland China.



NOTES AND REFERENCES

The following notes and references are intended to help the interested reader. They draw his attention to some more specialized literature in English, and occasionally in French and German. They also indicate for the more advanced reader the sources for some of the interpretations of historical events. As such sources are most often written in Chinese or Japanese and, therefore, inaccessible to most readers, only brief hints and not full bibliographical data are given. The specialists know the names and can easily find details in the standard bibliographies. The general reader will profit most from the bibliography on Chinese history published each year in the Journal of Asian Studies. These Notes do not mention the original Chinese sources which are the factual basis of this book.

Chapter One

p. 7: Reference is made here to the T'ung-chien kang-mu and its translation by de Mailla (1777-85). Criticism by O. Franke, Ku Chieh-kang and his school, also by G. Haloun.

p. 8: For the chronology, I rely here upon Ijima Tadao and my own research. Excavations at Chou-k'ou-tien still continue and my account should be taken as very preliminary. An earlier analysis is given by E. von Eickstedt (Rassendynamik von Ostasien, Berlin 1944). For the following periods, the best general study is still J. G. Andersson, Researches into the Prehistory of the Chinese, Stockholm 1943. A great number of new findings has been made recently, but no comprehensive analysis in a Western language is available.

p. 9: Comparison with Ainu has been made by Weidenreich. The theory of desiccation of Asia is not the Huntington theory, but I rely here upon arguments by J. G. Andersoon and Sven Hedin.

p. 10: The earlier theories of R. Heine-Geldern have been used here.

p. 11: This is a summary of my own theories. Concerning the Tungus tribes, K. Jettmar (Wiener Beitraege zur Kulturgeschichte, vol. 9, 1952, p. 484f and later studies) has proposed a more refined theory; other parts of the theory, as far as it is concerned with conditions in Central Asia, have been modified by F. Kussmaul (in: Tribus, vol. 1952-3, pp. 305-60). Archaeological data from Central Asia have been analysed again by K. Jettmar (in: The Museum of Far Eastern Antiquities, Bulletin No. 23, 1951). The discussion on domestication of large animals relies on the studies by C. O. Sauer, H. von Wissmann, Menghin, Amschler, Flohr and, most recently, F. Hancar (in: Saeculum, vol. 10, 1959, pp. 21-37 with further literature), and also on my own research.

p. 12: An analysis of the situation in the South according to Western and Chinese studies is found in H. J. Wiens, China's March toward the Tropics, Hamden 1954. Much further work is now published by Ling Shun-sheng, Rui Yi-fu and other anthropologists in Taipei. The best analysis of denshiring in the Far East is still the book by K. J. Pelzer, Population and Land Utilization, New York 1941. The anthropological theories on this page are my own, influenced by ideas of R. Heine-Geldern and Gordon Luce.

p. 14: Sociological theory, as developed by R. Thurnwald and others, has been used as a theoretical tool here, together with observations by A. Credner and H. Bernatzik. Concerning rice in Yang-shao see R. Heine-Geldern in Anthropos, vol. 27, p. 595.

p. 15: Wu Chin-ting defended the local origin of Yang-shao; T. J. Arne, J. G. Andersson and many others suggested Western influences. Most recently R. Heine-Geldern elaborated this theory. The allusion to Indo-Europeans refers to the studies by G. Haloun and others concerning the Ta-Hsia, the later Yueeh-chih, and the Tocharian problem.

p. 16: R. Heine-Geldern proposed a "Pontic migration". Yin Huan-chang discussed most recently Lung-shan culture and the mound-dwellers.

p. 17: The original Chu-shu chi-nien version of the stories about Yao has been accepted here, together with my own research and the studies by B. Karlgren, M. Loehr, G. Haloun, E. H. Minns and others concerning the origin and early distribution of bronze and the animal style. Smith families or tribes are well known from Central Asia, but also from India and Africa (see W. Ruben, Eisenschmiede und Daemonen in Indien, Leiden 1939, for general discussion).—For a discussion of the Hsia see E. Erkes.

Chapter Two

p. 19: The discussion in this chapter relies mainly upon the An-yang excavation reports and the studies by Tung Tso-pin and, most strongly, Ch'en Meng-chia. In English, the best work is still H. G. Creel, The Birth of China, London 1936 and his more specialized Studies in Early Chinese Culture, Baltimore 1937.

p. 20: The possibility of a "megalithic" culture in the Far East has often been discussed, by O. Menghin, R. Heine-Geldern, Cheng Te-k'un, Ling Shun-sheng and others. Megaliths occur mainly in South-East Asia, southern China, Korea and Japan.—Teng Ch'u-min and others believe that silk existed already in the time of Yang-shao.

p. 21: Kuo Mo-jo believes, that the Shang already used a real plough drawn by animals. The main discussion on ploughs in China is by Hsue Chung-shu; for general anthropological discussion see E. Werth and H. Kothe.

p. 22: For the discussion of the T'ao-t'ieh see the research by B. Karlgren and C. Hentze.

p. 23: I follow here mainly Ch'en Meng-chia, but work by B. Schindler, C. Hentze, H. Maspero and also my own research has been considered.

p. 24: I am accepting here a narrow definition of feudalism (see my Conquerors and Rulers, Leiden 1952).—The division of armies into "right" and "left" is interesting in the light of the theories concerning the importance of systems of orientation (Fr. Roeck and others).

p. 25: Here, the work by W. Koppers, O. Spengler, F. Hancar, V. G. Childe and many others, concerning the domestication of the horse and the introduction of the war-chariot in general, and work by Shih Chang-ju, Ch'en Meng-chia, O. Maenchen, Uchida Gimpu and others concerning horses, riding and chariots in China has been used, in addition to my own research.

p. 26: Concerning the wild animals, I have relied upon Ch'en Meng-chia, Hsue Chung-shu and Tung Tso-pin.—The discussion as to whether there was a period of "slave society" (as postulated by Marxist theory) in China, and when it florished, is still going on under the leadership of Kuo Mo-jo and his group. I prefer to differentiate between slaves and serfs, and relied for factual data upon texts from oracle bones, not upon historical texts.—The problem of Shang chronology is still not solved, in spite of extensive work by Liu Ch'ao-yang, Tung Tso-pin and many Japanese and Western scholars. The old chronology, however, seems to be rejected by most scholars now.

Chapter Three

p. 29: Discussing the early script and language, I refer to the great number of unidentified Shang characters and, especially, to the composite characters which have been mentioned often by C. Hentze in his research; on the other hand, the original language of the Chou may have been different from classical Chinese, if we can judge from the form of the names of the earliest Chou ancestors. Problems of substrata languages enter at this stage. Our first understanding of Chou language and dialects seems to come through the method applied by P. Serruys, rather than through the more generally accepted theories and methods of B. Karlgren and his school.

p. 30: I reject here the statement of classical texts that the last Shang ruler was unworthy, and accept the new interpretation of Ch'en Meng-chia which is based upon oracle bone texts.—The most recent general study on feudalism, and on feudalism in China, is in R. Coulborn, Feudalism in History, Princeton 1956. Stimulating, but in parts antiquated, is M. Granet, La Feodalite Chinoise, Oslo 1952. I rely here on my own research. The instalment procedure has been described by H. Maspero and Ch'i Szu-ho.

p. 31: The interpretation of land-holding and clans follows my own research which is influenced by Niida Noboru, Kato Shigeru and other Japanese scholars, as well as by G. Haloun.—Concerning the origin of family names see preliminarily Yang Hsi-mei; much further research is still necessary. The general development of Chinese names is now studied by Wolfgang Bauer.—The spread of cities in this period has been studied by Li Chi, The Formation of the Chinese People, Cambridge 1928. My interpretation relies mainly upon a study of the distribution of non-Chinese tribes and data on early cities coming from excavation reports (see my "Data on the Structure of the Chinese City" in Economic Development and Cultural Change, 1956, pp. 253-68, and "The Formation of Chinese Civilization" in Sociologus 7, 1959, pp. 97-112).

p. 32: The work on slaves by T. Pippon, E. Erkes, M. Wilbur, Wan Kuo-ting, Kuo Mo-jo, Niida Noboru, Kao Nien-chih and others has been consulted; the interpretation by E. G. Pulleyblank, however, was not accepted.

p. 33: This interpretation of the "well-field" system relies in part upon the work done by Hsue Ti-shan, in part upon M. Granet and H. Maspero, and attempts to utilize insight from general anthropological theory and field-work mainly in South-East Asia. Other interpretations have been proposed by Yang Lien-sheng, Wan Kuo-ting, Ch'i Szu-ho P. Demieville, Hu Shih, Chi Ch'ao-ting, K. A. Wittfogel, and others. Some authors, such as Kuo Mo-jo, regard the whole system as an utopia, but believe in an original "village community".—The characterization of the Chou-li relies in part upon the work done by Hsue Chung-shu and Ku Chieh-kang on the titles of nobility, research by Yang K'uan and textual criticism by B. Karlgren, O. Franke, and again Ku Chieh-kang and his school.—The discussion on twin cities is intended to draw attention to its West Asian parallels, the "acropolis" or "ark" city, as well as to the theories on the difference between Western and Asian cities (M. Weber) and the specific type of cities in "dual societies" (H. Boeke).

p. 34: This is a modified form of the Hu Shih theory.—The problem of nomadic agrarian inter-action and conflict has been studied for a later period mainly by O. Lattimore. Here, general anthropological research as well as my own have been applied.

p. 36: The supra-stratification theory as developed by R. Thurnwald has been used as analytic tool here.

p. 38: For this period, a novel interpretation is presented by R. L. Walker, The Multi-State System of China, Hamden 1953. For the concepts of sovereignty, I have used here the Chou-li text and interpretations based upon this text.

p. 40: For the introduction of iron and the importance of Ch'i, see Chu Hsi-tsu, Kuo Mo-jo, Yang K'uan, Sekino, Takeshi.—Some scholars (G. Haloun) tend to interpret attacks such as the one of 660 B. C. as attacks from outside the borders of China.

p. 41: For Confucius see H. G. Creel, Confucius, New York 1949. I do not, however, follow his interpretation, but rather the ideas of Hu Shih, O. Franke and others.

p. 42: For "chuen-tzu" and its counterpart "hsiao-jen" see D. Bodde and Ch'en Meng-chia.

p. 43: I rely strongly here upon O. Franke and Ku Chieh-kang and upon my own work on eclipses.

p. 44: I regard the Confucian traditions concerning the model emperors of early time as such a falsification. The whole concept of "abdication" has been analysed by M. Granet. The later ceremony of abdication was developed upon the basis of the interpretations of Confucius and has been studied by Ku Chieh-kang and Miyakawa Hisayuki. Already Confucius' disciple Meng Tzu, and later Chuang Tzu and Han Fei Tzu were against this theory.—As a general introduction to the philosophy of this period, Y. L. Feng's History of Chinese Philosophy, London 1937 has still to be recommended, although further research has made many advances.—My analysis of the role of Confucianism in society is influenced by theories in the field of Sociology of religion.

p. 45: The temple in Turkestan was in Khotan and is already mentioned in the Wei-shu chapter 102. The analysis of the famous "Book on the transfiguration of Lao Tzu into a Western Barbarian" by Wang Wei-cheng is penetrating and has been used here. The evaluation of Lao Tzu and his pupils as against Confucius by J. Needham, in his Science and Civilization in China, Cambridge 1954 et sqq. (in volume 2) is very stimulating, though necessarily limited to some aspects only.

p. 47: The concept of wu-wei has often been discussed; some, such as Masaaki Matsumoto, interpreted the concept purely in social terms as "refusal of actions carrying wordly estimation".

p. 49: Further literature concerning alchemy and breathing exercises is found in J. Needham's book.

Chapter Four

p. 51: I have used here the general frame-work of R. L. Walker, but more upon Yang K'uan's studies.

p. 52: The interpretation of the change of myths in this period is based in part upon the work done by H. Maspero, G. Haloun, and Ku Chieh-kang. The analysis of legends made by B. Karlgren from a philological point of view ("Legends and Cults in Ancient China", The Museum of Far Eastern Antiquities, Bulletin No. 18, 1946, pp. 199-365) follows another direction.

p. 53: The discussion on riding involves the theories concerning horse-nomadic tribes and the period of this way of life. It also involves the problem of the invention of stirrup and saddle. The saddle seems to have been used in China already at the beginning of our period; the stirrup seems to be as late as the fifth century A.D. The article by A. Kroeber, The Ancient Oikumene as an Historic Culture Aggregate, Huxley Memorial Lecture for 1945, is very instructive for our problems and also for its theoretical approach.—The custom of attracting settlers from other areas in order to have more production as well as more man-power seems to have been known in India at the same time.

p. 54: The work done by Kato Shigeru and Niida Noboru on property and family has been used here. For the later period, work done by Makino Tatsumi has also been incorporated.—Literature on the plough and on iron for implements has been mentioned above. Concerning the fallow system, I have incorporated the ideas of Kato Shigeru, Oshima Toshikaza, Hsue Ti-shan and Wan Kuo-ting. Hsue Ti-shan believes that a kind of 3-field system had developed by this time. Traces of such a system have been observed in modern China (H. D. Scholz). For these questions, the translation by N. Lee Swann, Food and Money in Ancient China, 1959 is very important.

p. 55: For all questions of money and credit from this period down to modern times, the best brief introduction is by Lien-sheng Yang, Money and Credit in China, Cambridge 1952. The Introduction to the Economic History of China, London 1954, by E. Stuart Kirby is certainly still the best brief introduction into all problems of Chinese Economic history and contains a bibliography in Western and Chinese-Japanese languages. Articles by Chinese authors on economic problems have been translated in E-tu Zen Sun and J. de Francis, Chinese Social History; Washington 1956.—Data on the size of early cities have been collected by T. Sekino and Kato Shigeru.

p. 56: T. Sekino studied the forms of cities. G. Hentze believes that the city even in the Shang period normally had a square plan.—T. Sekino has also made the first research on city coins. Such a privilege and such independence of cities disappear later, but occasionally the privilege of minting was given to persons of high rank.—K. A. Wittfogel, Oriental Despotism, New Haven 1957 regards irrigation as a key economic and social factor and has built up his theory around this concept. I do not accept his theory here or later. Evidence seems to point towards the importance of transportation systems rather than of government-sponsored or operated irrigation systems.—Concerning steel, we follow Yang K'uan; a special study by J. Needham is under preparation. Centre of steel production at this time was Wan (later Nan-yang in Honan).—For early Chinese law, the study by A. F. P. Hulsewe, Remnants of Han Law, Leiden 1955 is the best work in English. He does not, however, regard Li K'ui as the main creator of Chinese law, though Kuo Mo-jo and others do. It is obvious, however, that Han law was not a creation of the Han Chinese alone and that some type of code must have existed before Han, even if such a code was not written by the man Li K'ui. A special study on Li was made by O. Franke.

p. 57: In the description of border conditions, research by O. Lattimore has been taken into consideration.

p. 59: For Shang Yang and this whole period, the classical work in English is still J. J. L. Duyvendak, The Book of Lord Shang, London 1928; the translation by Ma Perleberg of The Works of Kung-sun Lung-tzu, Hongkong 1952 as well as the translation of the Economic Dialogues in Ancient China: The Kuan-tzu, edited by L. Maverick, New Haven 1954 have not found general approval, but may serve as introductions to the way philosophers of our period worked. Han Fei Tzu has been translated by W. K. Liao, The Complete Works of Han Fei Tzu, London 1939 (only part 1).

p. 60: Needham does not have such a positive attitude towards Tsou Yen, and regards Western influences upon Tsou Yen as not too likely. The discussion on pp. 60-1 follows mainly my own researches.

p. 61: The interpretation of secret societies is influenced by general sociological theory and detailed reports on later secret societies. S. Murayama and most modern Chinese scholars stress almost solely the social element in the so-called "peasant rebellions".

Chapter Five

p. 63: The analysis of the emergence of Ch'in bureaucracy has profitted from general sociological theory, especially M. Weber (see the new analysis by R. Bendix, Max Weber, an Intellectual Portrait, Garden City 1960, p. 117-157). Early administration systems of this type in China have been studied in several articles in the journal Yue-kung (vol. 6 and 7).

p. 65: In the discussion of language, I use arguments which have been brought forth by P. Serruys against the previously generally accepted theories of B. Karlgren.—For weights and measures I have referred to T. Sekino, Liu Fu and Wu Ch'eng-lo.

p. 66: For this period, D. Bodde's China's First Unifier, Leiden 1938 and his Statesman, Patriot, and General in Ancient China, New Haven 1940 remain valuable studies.

Chapter Six

p. 71: The basic historical text for this whole period, the Dynastic History of the Han Dynasty, is now in part available in English translation (H. H. Dubs, The History of the Former Han Dynasty, Baltimore 1938, 3 volumes).

p. 72: The description of the gentry is based upon my own research. Other scholars define the word "gentry", if applied to China, differently (some of the relevant studies are discussed in my note in the Bull. School of Orient. & African Studies, 1955, p. 373 f.).

p. 73: The theory of the cycle of mobility has been brought forth by Fr. L. K. Hsu and others. I have based my criticism upon a forthcoming study of Social Mobility in Traditional Chinese Society. The basic point is not the momentary economic or political power of such a family, but the social status of the family (Li-shih yen-chiu, Peking 1955, No. 4, p. 122). The social status was, increasingly, defined and fixed by law (Ch'ue T'ung-tsu).—The difference in the size of gentry and other families has been pointed out by a number of scholars such as Fr. L. K. Hsu, H. T. Fei, O. Lang. My own research seems to indicate that gentry families, on the average, married earlier than other families.

p. 74: The Han system of examinations or rather of selection has been studied by Yang Lien-sheng; and analysis of the social origin of candidates has been made in the Bull. Chinese Studies, vol. 2, 1941, and 3, 1942.—The meaning of the term "Hundred Families" has been discussed by W. Eichhorn, Kuo Mo-jo, Ch'en Meng-chia and especially by Hsue T'ung-hsin. It was later also a fiscal term.

p. 75: The analysis of Hsiung-nu society is based mainly upon my own research. There is no satisfactory history of these northern federations available in English. The compilation of W. M. MacGovern, The Early Empires of Central Asia, Chapel Hill 1939, is now quite antiquated.—An attempt to construct a model of Central Asian nomadic social structure has been made by E. E. Bacon, Obok, a Study of Social Structure in Eurasia, New York 1958, but the model constructed by B. Vladimirtsov and modified by O. Lattimore remains valuable.—For origin and early-development of Hsiung-nu society see O. Maenchen, K. Jettmar, B. Bernstam, Uchida Gimpu and many others.

p. 79: Material on the "classes" (szu min) will be found in a forthcoming book. Studies by Ch'ue T'ung-tsu and Tamai Korehiro are important here. An up-to-date history of Chinese education is still a desideratum.

p. 80: For Tung Chung-shu, I rely mainly upon O. Franke.—Some scholars do not accept this "double standard", although we have clear texts which show that cases were evaluated on the basis of Confucian texts and not on the basis of laws. In fact, local judges probably only in exceptional cases knew the text of the law or had the code. They judged on the basis of "customary law".

p. 81: Based mainly upon my own research. K. A. Wittfogel, Oriental Despotism, New Haven 1957, has a different interpretation.

p. 82: Cases in which the Han emperors disregarded the law code were studied by Y. Hisamura.—I have used here studies published in the Bull. of Chinese Studies, vol. 2 and 3 and in Toyo gakuho, vol. 8 and 9, in addition to my own research.

p. 85: On local administration see Kato Shigeru and Yen Keng-wang's studies.

p. 86: The problem of the Chinese gold, which will be touched upon later again, has gained theoretical interest, because it could be used as a test of M. Lombard's theories concerning the importance of gold in the West (Annales, Economies, Societes, Civilisations, vol. 12, Paris 1957, No. 1, p. 7-28). It was used in China from c. 600 B.C. on in form of coins or bars, but disappeared almost completely from A.D. 200 on, i.e. the period of economic decline (see L. S. Yang, Kato Shigeru).—The payment to border tribes occurs many times again in Chinese history down to recent times; it has its parallel in British payments to tribes in the North-West Frontier Province in India which continued even after the Independence.

p. 88: According to later sources, one third of the tributary gifts was used in the Imperial ancestor temples, one third in the Imperial mausolea, but one third was used as gifts to guests of the Emperor.—The trade aspect of the tributes was first pointed but by E. Parker, later by O. Lattimore, recently by J. K. Fairbank.—The importance of Chang Ch'ien for East-West contacts was systematically studied by B. Laufer; his Sino-Iranica, Chicago 1919 is still a classic.

p. 89: The most important trait which points to foreign trade, is the occurrence of glass in Chinese tombs in Indo-China and of glass in China proper from the fifth century B.C. on; it is assumed that this glass was imported from the Near East, possibly from Egypt (O. Janse, N. Egami, Seligman).

p. 91: Large parts of the "Discussions" have been translated by Esson M. Gale, Discourses on Salt and Iron, Leiden 1931; the continuation of this translation is in Jour. Royal As. Society, North-China Branch 1934.—The history of eunuchs in China remains to be written. They were known since at least the seventh century B.C. The hypothesis has been made that this custom had its origin in Asia Minor and spread from there (R. F. Spencer in Ciba Symposia, vol. 8, No. 7, 1946 with references).

p. 92: The main source on Wang Mang is translated by C. B. Sargent, Wang Mang, a translation, Shanghai 1950 and H. H. Dubs, History of the Former Han Dynasty, vol, 3, Baltimore 1955.

p. 93: This evaluation of the "Old character school" is not generally accepted. A quite different view is represented by Tjan Tjoe Som and R. P. Kramers and others who regard the differences between the schools as of a philological and not a political kind. I follow here most strongly the Chinese school as represented by Ku Chieh-kang and his friends, and my own studies.

p. 93: Falsification of texts refers to changes in the Tso-chuan. My interpretation relies again upon Ku Chieh-kang, and Japanese astronomical studies (Ijima Tadao), but others, too, admit falsifications (H. H. Dubs); B. Karlgren and others regard the book as in its main body genuine. The other text mentioned here is the Chou-li which is certainly not written by Wang Mang (Jung-chai Hsue-pi 16), but heavily mis-used by him (in general see S. Uno).

p. 94: I am influenced here by some of H. H. Dubs's studies. For this and the following period, the work by H. Bielenstein, The Restoration of the Han Dynasty, Stockholm 1953 and 1959 is the best monograph.—The "equalization offices" and their influence upon modern United States has been studied by B. Bodde in the Far Eastern Quarterly, vol. 5, 1946.

p. 95: H. Bielenstein regards a great flood as one of the main reasons for the breakdown of Wang Mang's rule.

p. 98: For the understanding of Chinese military colonies in Central Asia as well as for the understanding of military organization, civil administration and business, the studies of Lao Kan on texts excavated in Central Asia and Kansu are of greatest importance.

p. 101: Mazdaistic elements in this rebellion have been mentioned mainly by H. H. Dubs. Zoroastrism (Zoroaster born 569 B.C.) and Mazdaism were eminently "political" religions from their very beginning on. Most scholars admit the presence of Mazdaism in China only from 519 on (Ishida Mikinosuke, O. Franke). Dubs's theory can be strengthened by astronomical material.—The basic religious text of this group, the "Book of the Great Peace" has been studied by W. Eichhron, H. Maspero and Ho Ch'ang-ch'uen.

p. 102: For the "church" I rely mainly upon H. Maspero and W. Eichhorn.

p. 103: I use here concepts developed by Cheng Chen-to and especially by Jung Chao-tsu.

p. 104: Wang Ch'ung's importance has recently been mentioned again by J. Needham.

p. 105: These "court poets" have their direct parallel in Western Asia. This trend, however, did not become typical in China.—On the general history of paper read A. Kroeber, Anthropology, New York 1948, p. 490f., and Dard Hunter, Paper Making, New York 1947 (2nd ed.).

Chapter Seven

p. 109: The main historical sources for this period have been translated by Achilles Fang, The Chronicle of the Three Kingdoms, Cambridge, Mass. 1952; the epic which describes this time is C. H. Brewitt-Taylor, San Kuo, or Romance of the Three Kingdoms, Shanghai 1925.

p. 112: For problems of migration and settlement in the South, we relied in part upon research by Ch'en Yuean and Wang Yi-t'ung.

p. 114: For the history of the Hsiung-nu I am relying mainly upon my own studies.

p. 117: This analysis of tribal structure is based mainly upon my own research; it differs in detail from the studies by E. Bacon, Obok, a Study of Social Structure in Eurasia, New York 1958, B. Vladimirtsov, O. Lattimore's Inner Asian Frontiers of China, New York 1951 (2nd edit.) and the studies by L. M. J. Schram, The Monguors of the Kansu-Tibetan Frontier, Philadelphia 1954 and 1957.

p. 118: The use of the word "Huns" does not imply that we identify the early or the late Hsiung-nu with the European Huns. This question is still very much under discussion (O. Maenchen, W. Haussig, W. Henning, and others).

p. 119: For the history of the early Hsien-pi states see the monograph by G. Schreiber, "The History of the Former Yen Dynasty", in Monomenta Serica, vol. 14 and 15 (1949-56). For all translations from Chinese Dynastic Histories of the period between 220 and 960 the Catalogue of Translations from the Chinese Dynastic Histories for the Period 220-960, by Hans H. Frankel, Berkeley 1957, is a reliable guide.

p. 125: For the description of conditions in Turkestan, especially in Tunhuang, I rely upon my own studies, but studies by A. von Gabein, L. Ligeti, J. R. Ware, O. Franke and Tsukamoto Zenryu have been used, too.

p. 133: These songs have first been studied by Hu Shih, later by Chinese folklorists.

p. 134: For problems of Chinese Buddhism see Arthur F. Wright, Buddhism in Chinese History, Stanford 1959, with further bibliography. I have used for this and later periods, in addition to my own sociological studies, R. Michihata, J. Gernet, and Tamai Korehiro.—It is interesting that the rise of land-owning temples in India occurred at exactly the same time (R. S. Sharma in Journ. Econ. and Soc. Hist. Orient, vol. 1, 1958, p. 316). Perhaps even more interesting, but still unstudied, is the existence of Buddhist temples in India which owned land and villages which were donated by contributions from China.—For the use of foreign monks in Chinese bureaucracies, I have used M. Weber's theory as an interpretative tool.

p. 135: The important deities of Khotan Buddhism are Vaisramana and Kubera, (research by P. Demieville, R. Stein and others).—Where, how, and why Hinayana and Mahayana developed as separate sects, is not yet studied. Also, a sociological analysis of the different Buddhist sects in China has not even been attempted yet.

p. 136: Such public religious disputations were known also in India.

p. 137: Analysis of the tribal names has been made by L. Bazin.

p. 138-9: The personality type which was the ideal of the Toba corresponded closely to the type described by G. Geesemann, Heroische Lebensform, Berlin 1943.

p. 142: The Toba occur in contemporary Western sources as Tabar, Tabgac, Tafkac and similar names. The ethnic name also occurs as a title (O. Pritsak, P. Pelliot, W. Haussig and others).—On the chuen-t'ien system cf. the article by Wan Kuo-ting in E-tu Zen Sun, Chinese Social History, Washington 1956, p. 157-184. I also used Yoshimi Matsumoto and T'ang Ch'ang-ju.—Census fragments from Tunhuang have been published by L. Giles, Niida Noboru and other Japanese scholars.

p. 143: On slaves for the earlier time see M. Wilbur, Slavery in China during the Former Han Dynasty, Chicago 1943. For our period Wang Yi-t'ung and especially Niida Noboru and Ch'ue T'ung-tsu. I used for this discussion Niida, Ch'ue and Tamai Korehiro.—For the pu-ch'ue I used in addition Yang Chung-i, H. Maspero, E. Balazs, W. Eichhorn. Yang's article is translated in E-tu Zen Sun's book, Chinese Social History, pp. 142-56.—The question of slaves and their importance in Chinese society has always been given much attention by Chinese Communist authors. I believe that a clear distinction between slaves and serfs is very important.

p. 145: The political use of Buddhism has been asserted for Japan as well as for Korea and Tibet (H. Hoffmann, Quellen zur Geschichte der tibetischen Bon-Religion, Mainz 1950, p. 220 f.). A case could be made for Burma. In China, Buddhism was later again used as a tool by rulers (see below).

p. 146: The first text in which such problems of state versus church are mentioned is Mou Tzu (P. Pelliot transl.). More recently, some of the problems have been studied by R. Michihata and E. Zuercher. Michihata also studied the temple slaves. Temple families were slightly different. They have been studied mainly by R. Michihata, J. Gernet and Wang Yi-t'ung. The information on T'an-yao is mainly in Wei-shu 114 (transl. J. Ware).—The best work on Yuen-kang is now Seiichi Mizuno and Toshio Nagahiro, Yuen-kang. The Buddhist Cave-Temples of the Fifth Century A.D. in North China, Kyoto 1951-6, thus far 16 volumes. For Chinese Buddhist art, the work by Tokiwa Daijo and Sekino Tadashi, Chinese Buddhist Monuments, Tokyo 1926-38, 5 volumes, is most profusely illustrated.—As a general reader for the whole of Chinese art, Alexander Soper and L. Sickman's The Art and Architecture of China, Baltimore 1956 may be consulted.

p. 147: Zenryu Tsukamoto has analysed one such popular, revolutionary Buddhist text from the fifth century A.D. I rely here for the whole chapter mainly upon my own research.

p. 150: On the Ephtalites (or Hephtalites) see R. Ghirshman and Enoki.—The carpet ceremony has been studied by P. Boodberg, and in a comparative way by L. Olschki, The Myth of Felt, Berkeley 1949.

p. 151: For Yang Chien and his time see now A. F. Wright, "The Formation of Sui Ideology" in John K. Fairbank, Chinese Thought and Institutions, Chicago 1957, pp. 71-104.

p. 153: The processes described here, have not yet been thoroughly analysed. A preliminary review of literature is given by H. Wiens, China's March towards the Tropics, Hamden 1954. I used Ch'en Yuean, Wang Yi-t'ung and my own research.

p. 154: It is interesting to compare such hunting parks with the "paradeisos" (Paradise) of the Near East and with the "Garden of Eden".—Most of the data on gardens and manors have been brought together and studied by Japanese scholars, especially by Kato Shigeru, some also by Ho Tzu-ch'uean.—The disappearance of "village commons" in China should be compared with the same process in Europe; both processes, however, developed quite differently. The origin of manors and their importance for the social structure of the Far East (China as well as Japan) is the subject of many studies in Japan and in modern China. This problem is connected with the general problem of feudalism East and West. The manor (chuang: Japanese sho) in later periods has been studied by Y. Sudo. H. Maspero also devotes attention to this problem. Much more research remains to be done.

p. 158: This popular rebellion by Sun En has been studied by W. Eichhorn.

p. 163: On foreign music in China see L. C. Goodrich and Ch'ue T'ung-tsu, H. G. Farmer, S. Kishibe and others.—Niida Noboru pointed out that musicians belonged to one of the lower social classes, but had special privileges because of their close relations to the rulers.

p. 164: Meditative or Ch'an (Japanese: Zen) Buddhism in this period has been studied by Hu Shih, but further analysis is necessary.—The philosophical trends of this period have been analysed by E. Balazs.—Mention should also be made of the aesthetic-philosophical conversation which was fashionable in the third century, but in other form still occurred in our period, the so-called "pure talk" (ch'ing-t'an) (E. Balazs, H. Wilhelm and others).

Chapter Eight

p. 167: For genealogies and rules of giving names, I use my own research and the study by W. Bauer.

p. 168: For Emperor Wen Ti, I rely mainly upon A. F. Wright's above-mentioned article, but also upon O. Franke.

p. 169: The relevant texts concerning the T'u-chueeh are available in French (E. Chavannes) and recently also in German translation (Liu Mau-tsai, Die chinesischen Nachrichten zur Geschichte der Ost-Turken, Wiesbaden 1958, 2 vol.).—The Toeloes are called T'e-lo in Chinese sources; the T'u-yue-hun are called Aza in Central Asian sources (P. Pelliot, A. Minorsky, F. W. Thomas, L. Hambis, et al.). The most important text concerning the T'u-yue-hun had been translated by Th. D. Caroll, Account of the T'u-yue-hun in the History of the Chin Dynasty, Berkeley 1953.

p. 171: The transcription of names on this and on the other maps could not be adjusted to the transcription of the text for technical reasons.

p. 172: It is possible that I have underestimated the role of Li Yuean. I relied here mainly upon O. Franke and upon W. Bingham's The Founding of the T'ang Dynasty, Baltimore 1941.

p. 173: The best comprehensive study of T'ang economy in a Western language is still E. Balazs's work. I relied, however, strongly upon Wan Kuo-ting, Yang Chung-i, Kato Shigeru, J. Gernet, T. Naba, Niida Noboru, Yoshimi Matsumoto.

p. 173-4: For the description of the administration I used my own studies and the work of R. des Rotours; for the military organization I used Kikuehi Hideo. A real study of Chinese army organization and strategy does not yet exist. The best detailed study, but for the Han period, is written by H. Maspero.

p. 174: For the first occurrence of the title tu-tu we used W. Eichhorn; in the form tutuq the title occurs since 646 in Central Asia (J. Hamilton).

p. 177: The name T'u-fan seems to be a transcription of Tuepoet which, in turn, became our Tibet. (J. Hamilton).—The Uigurs are the Hui-ho or Hui-hu of Chinese sources.

p. 179: On relations with Central Asia and the West see Ho Chien-min and Hsiang Ta, whose classical studies on Ch'ang-an city life have recently been strongly criticized by Chinese scholars.—Some authors (J. K. Rideout) point to the growing influence of eunuchs in this period.—The sources paint the pictures of the Empress Wu in very dark colours. A more detailed study of this period seems to be necessary.

p. 180: The best study of "family privileges" (yin) in general is by E. A. Kracke, Civil Service in Early Sung China, Cambridge, Mass. 1953.

p. 180-1: The economic importance of organized Buddhism has been studied by many authors, especially J. Gernet, Yang Lien-sheng, Ch'uean Han-sheng, K. Tamai and R. Michihata.

p. 182: The best comprehensive study on T'ang prose in English is still E. D. Edwards, Chinese Prose Literature of the T'ang Period, London 1937-8, 2 vol. On Li T'ai-po and Po Chue-i we have well-written books by A. Waley, The Poetry and Career of Li Po, London 1951 and The Life and Times of Po Chue-i, London 1950.—On the "free poem" (tz'u), which technically is not a free poem, see A. Hoffmann and Hu Shih. For the early Chinese theatre, the classical study is still Wang Kuo-wei's analysis, but there is an almost unbelievable number of studies constantly written in China and Japan, especially on the later theatre and drama.

p. 184: Conditions at the court of Hsuean Tsung and the life of Yang Kui-fei have been studied by Howard Levy and others, An Lu-shan's importance mainly by E. G. Pulleyblank, The Background of the Rebellion of An Lu-shan, London 1955.

p. 187: The tax reform of Yang Yen has been studied by K. Hino; the most important figures in T'ang economic history are Liu Yen (studied by Chue Ch'ing-yuean) and Lu Chih (754-805; studied by E. Balazs and others).

p. 187-8: The conditions at the time of this persecution are well described by E. O. Reischauer, Ennin's Travels in T'ang China, New York 1955, on the basis of his Ennin's Diary. The Record of a Pilgrimage to China, New York 1955. The persecution of Buddhism has been analysed in its economic character by Niida Noboru and other Japanese scholars.—Metal statues had to be delivered to the Salt and Iron Office in order to be converted into cash; iron statues were collected by local offices for the production of agricultural implements; figures in gold, silver or other rare materials were to be handed over to the Finance Office. Figures made of stone, clay or wood were not affected (Michihata).

p. 189: It seems important to note that popular movements are often not led by simple farmers or members of the lower classes. There are other salt merchants and persons of similar status known as leaders.

p. 190: For the Sha-t'o, I am relying upon my own research. Tatars are the Ta-tan of the Chinese sources. The term is here used in a narrow sense.

p. 195: Many Chinese and Japanese authors have a new period begin with the early (Ch'ien Mu) or the late tenth century (T'ao Hsi-sheng, Li Chien-nung), while others prefer a cut already in the Middle of the T'ang Dynasty (Teng Ch'u-min, Naito Torajiro). For many Marxists, the period which we called "Modern Times" is at best a sub-period within a larger period which really started with what we called "Medieval China".

p. 196: For the change in the composition of the gentry, I am using my own research.—For clan rules, clan foundations, etc., I used D. C. Twitchett, J. Fischer, Hu Hsien-chin, Ch'ue T'ung-tsu, Niida Noboru and T. Makino. The best analysis of the clan rules is by Wang Hui-chen in D. S. Nivison, Confucianism in Action, Stanford 1959, p. 63-96.—I do not regard such marriage systems as "survivals" of ancient systems which have been studied by M. Granet and systematically analysed by C. Levy-Strauss in his Les structures elementaires de la parente, Paris 1949, pp. 381-443. In some cases, the reasons for the establishment of such rules can still be recognized.—A detailed study of despotism in China still has to be written. K. A. Wittfogel's Oriental Despotism, New Haven 1957 does not go into the necessary detailed work.

p. 197: The problem of social mobility is now under study, after preliminary research by K. A. Wittfogel, E. Kracke, myself and others. E. Kracke, Ho Ping-ti, R. M. Marsh and I are now working on this topic.—For the craftsmen and artisans, much material has recently been collected by Chinese scholars. I have used mainly Li Chien-nung and articles in Li-shih yen-chiu 1955, No. 3 and in Mem. Inst. Orient. Cult. 1956.—On the origin of guilds see Kato Shigeru; a general study of guilds and their function has not yet been made (preliminary work by P. Maybon, H. B. Morse, J. St. Burgess, K. A. Wittfogel and others). Comparisons with Near-Eastern guilds on the one hand and with Japanese guilds on the other, are quite interesting but parallels should not be over-estimated. The tong of U. S. Chinatowns (tang in Mandarin) are late and organizations of businessmen only (S. Yokoyama and Laai Yi-faai). They are not the same as the hui-kuan.

p. 198: For the merchants I used Ch'ue T'ung-tsu, Sung Hsi and Wada Kiyoshi.—For trade, I used extensively Ch'uean Han-sheng and J. Kuwabara.—On labour legislation in early modern times I used Ko Ch'ang-chi and especially Li Chien-nung, also my own studies.—On strikes I used Kato Shigeru and modern Chinese authors.—The problem of "vagrants" has been taken up by Li Chien-nung who always refers to the original sources and to modern Chinese research.—The growth of cities, perhaps the most striking event in this period, has been studied for the earlier part of our period by Kato Shigeru. Li Chien-nung also deals extensively with investments in industry and agriculture. The problem as to whether China would have developed into an industrial society without outside stimulus is much discussed by Marxist authors in China.

p. 199: On money policy see Yang Lien-sheng, Kato Shigeru and others.

p. 200: The history of one of the Southern Dynasties has been translated by Ed. H. Schafer, The Empire of Min, Tokyo 1954; Schafer's annotations provide much detail for the cultural and economic conditions of the coastal area.—For tea and its history, I use my own research; for tea trade a study by K. Kawakami and an article in the Frontier Studies, vol. 3, 1943.—Salt consumption according to H. T. Fei, Earthbound China, 1945, p. 163.

p. 201: For salt I used largely my own research. For porcelain production Li Chien-nung and other modern articles.—On paper, the classical study is Th. F. Carter, The Invention of Printing in China, New York 1925 (a revised edition now published by L. C. Goodrich).

p. 202: For paper money in the early period, see Yang Lien-sheng, Money and Credit in China, Cambridge, Mass., 1952. Although the origin of paper money seems to be well established, it is interesting to note that already in the third century A.D. money made of paper was produced and was burned during funeral ceremonies to serve as financial help for the dead. This money was, however, in the form of coins.—On iron money see Yang Lien-sheng; I also used an article in Tung-fang tsa-chih, vol. 35, No. 10.

p. 203: For the Kitan (Chines: Ch'i-tan) and their history see K. A. Wittfogel and Feng Chia-sheng, History of Chinese Society. Liao, Philadelphia 1949.

p. 204: For these dynasties, I rely upon my own research.—Niida Noboru and Kato Shigeru have studied adoption laws; our specific case has in addition been studied by M. Kurihara. This system of adoptions is non-Chinese and has its parallels among Turkish tribes (A. Kollantz, Abdulkadir Inan, Osman Turan).

p. 207: For the persecution I used K. Tamai and my own research.

p. 211: This is based mainly upon my own research.—The remark on tax income is from Ch'uean Han-sheng.

p. 212: Fan Chung-yen has been studied recently by J. Fischer and D. Twitchett, but these notes on price policies are based upon my own work.—I regard the statement, that it was the gentry which prevented the growth of an industrial society—a statement which has often been made before—as preliminary, and believe that further research, especially in the growth of cities and urban institutions may lead to quite different explanations.—On estate management I relied on Y. Sudo's work.

p. 213: Research on place names such as mentioned here, has not yet been systematically done.—On i-chuang I relied upon the work by T. Makino and D. Twitchett.—This process of tax-evasion has been used by K. A. Wittfogel (1938) to construct a theory of a crisis cycle in China. I do not think that such far-reaching conclusions are warranted.

p. 214: This "law" was developed on the basis of Chinese materials from different periods as well as on materials from other parts of Asia.—In the study of tenancy, cases should be studied in which wealthier farmers rent additional land which gets cultivated by farm labourers. Such cases are well known from recent periods, but have not yet been studied in earlier periods. At the same time, the problem of farm labourers should be investigated. Such people were common in the Sung time. Research along these lines could further clarify the importance of the so-called "guest families" (k'o-hu) which were alluded to in these pages. They constituted often one third of the total population in the Sung period. The problem of migration and mobility might also be clarified by studying the k'o-hu.

p. 215: For Wang An-shih, the most comprehensive work is still H. Williamson's Wang An-shih, London 1935, 3 vol., but this work in no way exhausts the problems. We have so much personal data on Wang that a psychological study could be attempted; and we have since Williamson's time much deeper insight into the reforms and theories of Wang. I used, in addition to Williamson, O. Franke, and my own research.

p. 216: Based mainly upon Ch'ue T'ung-tsu.—For the social legislation see Hsue I-t'ang; for economic problems I used Ch'uean Han-sheng, Ts'en Chung-mien and Liu Ming-shu.—Most of these relief measures had their precursors in the T'ang period.

p. 217: It is interesting to note that later Buddhism gave up its "social gospel" in China. Buddhist circles in Asian countries at the present time attempt to revive this attitude.

p. 218: For slaughtering I used A. Hulsewe; for greeting R. Michihata; on law Ch'ue T'ung-tsu; on philosophy I adapted ideas from Chan Wing-sit.

p. 219: A comprehensive study of Chu Hsi is a great desideratum. Thus far, we have in English mainly the essays by Feng Yu-lan (transl. and annotated by D. Bodde) in the Harvard Journal of Asiat. Stud., vol. 7, 1942. T. Makino emphasized Chu's influence upon the Far East, J. Needham his interest in science.

p. 220: For Su Tung-p'o as general introduction see Lin Yutang, The Gay Genius. The Life and Times of Su Tungpo, New York 1947.—For painting, I am using concepts of A. Soper here.

p. 222: For this period the standard work is K. A. Wittfogel and Feng Chia-sheng, History of Chinese Society, Liao, Philadelphia 1949.—Po-hai had been in tributary relations with the dynasties of North China before its defeat, and resumed these from 932 on; there were even relations with one of the South Chinese states; in the same way, Kao-li continuously played one state against the other (M. Rogers et al.).

p. 223: On the Kara-Kitai see Appendix to Wittfogel-Feng.

p. 228: For the Hakka, I relied mainly upon Lo Hsiang-lin; for Chia Ssu-tao upon H. Franke.

p. 229: The Ju-chen (Jurchen) are also called Nue-chih and Nue-chen, but Ju-chen seems to be correct (Studia Serica, vol. 3, No. 2).

Chapter Ten

p. 233: I use here mainly Meng Ssu-liang, but also others, such as Chue Ch'ing-yuean and Li Chien-nung.—The early political developments are described by H. D. Martin, The Rise of Chingis Khan and his Conquest of North China, Baltimore 1950.

p. 236: I am alluding here to such Taoist sects as the Cheng-i-chiao (Sun K'o-k'uan and especially the study in Kita Aziya gakuho, vol. 2).

pp. 236-7: For taxation and all other economic questions I have relied upon Wan Kuo-ting and especially upon H. Franke. The first part of the main economic text is translated and annotated by H. F. Schurmann, Economic Structure of the Yuean Dynasty, Cambridge, Mass., 1956.

p. 237: On migrations see T. Makino and others.—For the system of communications during the Mongol time and the privileges of merchants, I used P. Olbricht.

p. 238: For the popular rebellions of this time, I used a study in the Bull. Acad. Sinica, vol. 10, 1948, but also Meng Ssu-liang and others.

p. 239: On the White Lotos Society (Pai-lien-hui) see note to previous page and an article by Hagiwara Jumpei.

p. 240: H. Serruys, The Mongols in China during the Hung-wu Period, Bruges 1959, has studied in this book and in an article the fate of isolated Mongol groups in China after the breakdown of the dynasty.

pp. 241-2: The travel report of Ch'ang-ch'un has been translated by A. Waley, The Travels of an Alchemist, London 1931.

p. 242: Hsi-hsiang-chi has been translated by S. I. Hsiung. The Romance of the Western Chamber, London 1935. All important analytic literature on drama and theatre is written by Chinese and Japanese authors, especially by Yoshikawa Kojiro.—For Bon and early Lamaism, I used H. Hoffmann.

p. 243: Lamaism in Mongolia disappeared later, however, and was re-introduced in the reformed form (Tsong-kha-pa, 1358-1419) in the sixteenth century. See R. J. Miller, Monasteries and Culture Change in Inner Mongolia, Wiesbaden 1959.

p. 245: Much more research is necessary to clarify Japanese-Chinese relations in this period, especially to determine the size of trade. Good material is in the article by S. Iwao. Important is also S. Sakuma and an article in Li-shih yen-chiu 1955, No. 3. For the loss of coins, I relied upon D. Brown.

p. 246: The necessity of transports of grain and salt was one of the reasons for the emergence of the Hsin-an and Hui-chou merchants. The importance of these developments is only partially known (studies mainly by H. Fujii and in Li-shih-yen-chiu 1955, No. 3). Data are also in an unpublished thesis by Ch. Mac Sherry, The Impairment of the Ming Tributary System, and in an article by Wang Ch'ung-wu.

p. 247: The tax system of the Ming has been studied among others by Liang Fang-chung. Yoshiyuki Suto analysed the methods of tax evasion in the periods before the reform. For the land grants, I used Wan Kuo-ting's data.

p. 248: Based mainly upon my own research. On the progress of agriculture wrote Li Chien-nung and also Kato Shigeru and others.

p. 250: I believe that further research would discover that the "agrarian revolution" was a key factor in the economic and social development of China. It probably led to another change in dietary habits; it certainly led to a greater labour input per person, i.e. a higher number of full working days per year than before. It may be—but only further research can try to show this—that the "agrarian revolution" turned China away from technology and industry.—On cotton and its importance see the studies by M. Amano, and some preliminary remarks by P. Pelliot.

p. 250-1: Detailed study of Central Chinese urban centres in this time is a great desideratum. My remarks here have to be taken as very preliminary. Notice the special character of the industries mentioned!—The porcelain centre of Ching-te-chen was inhabited by workers and merchants (70-80 per cent of population); there were more than 200 private kilns.—On indented labour see Li Chien-nung, H. Iwami and Y. Yamane.

p. 253: On pien-wen I used R. Michihata, and for this general discussion R. Irvin, The Evolution of a Chinese Novel, Cambridge, Mass., 1953, and studies by J. Jaworski and J. Prusek. Many texts of pien-wen and related styles have been found in Tunhuang and have been recently republished by Chinese scholars.

p. 254: Shui-hu-chuan has been translated by Pearl Buck, All Men are Brothers. Parts of Hsi-yu-chi have been translated by A. Waley, Monkey, London 1946. San-kuo yen-i is translated by C. H. Brewitt-Taylor, San Kuo, or Romance of the Three Kingdoms, Shanghai 1925 (a new edition just published). A purged translation of Chin-p'ing-mei is published by Fr. Kuhn Chin P'ing Mei, New York 1940.

p. 255: Even the "murder story" was already known in Ming time. An example is R. H. van Gulik, Dee Gong An. Three Murder Cases solved by Judge Dee, Tokyo 1949.

p. 256: For a special group of block-prints see R. H. van Gulik, Erotic Colour Prints of the Ming Dynasty, Tokyo 1951. This book is also an excellent introduction into Chinese psychology.