- •CONTENTS
- •INTRODUCTION
- •PREHISTORY
- •EARLY HUMANS
- •NEOLITHIC PERIOD
- •CLIMATE AND ENVIRONMENT
- •FOOD PRODUCTION
- •MAJOR CULTURES AND SITES
- •INCIPIENT NEOLITHIC
- •THE FIRST HISTORICAL DYNASTY: THE SHANG
- •THE SHANG DYNASTY
- •THE HISTORY OF THE ZHOU (1046–256 BC)
- •THE ZHOU FEUDAL SYSTEM
- •SOCIAL, POLITICAL, AND CULTURAL CHANGES
- •THE DECLINE OF FEUDALISM
- •THE RISE OF MONARCHY
- •ECONOMIC DEVELOPMENT
- •CULTURAL CHANGE
- •THE QIN EMPIRE (221–207 BC)
- •THE QIN STATE
- •STRUGGLE FOR POWER
- •THE EMPIRE
- •DYNASTIC AUTHORITY AND THE SUCCESSION OF EMPERORS
- •XI (WESTERN) HAN
- •DONG (EASTERN) HAN
- •THE ADMINISTRATION OF THE HAN EMPIRE
- •THE ARMED FORCES
- •THE PRACTICE OF GOVERNMENT
- •RELATIONS WITH OTHER PEOPLES
- •CULTURAL DEVELOPMENTS
- •THE DIVISION OF CHINA
- •DAOISM
- •BUDDHISM
- •THE SUI DYNASTY
- •INTEGRATION OF THE SOUTH
- •EARLY TANG (618–626)
- •ADMINISTRATION OF THE STATE
- •FISCAL AND LEGAL SYSTEM
- •THE PERIOD OF TANG POWER (626–755)
- •RISE OF THE EMPRESS WUHOU
- •PROSPERITY AND PROGRESS
- •MILITARY REORGANIZATION
- •LATE TANG (755–907)
- •PROVINCIAL SEPARATISM
- •CULTURAL DEVELOPMENTS
- •THE INFLUENCE OF BUDDHISM
- •TRENDS IN THE ARTS
- •SOCIAL CHANGE
- •DECLINE OF THE ARISTOCRACY
- •POPULATION MOVEMENTS
- •GROWTH OF THE ECONOMY
- •THE WUDAI (FIVE DYNASTIES)
- •THE SHIGUO (TEN KINGDOMS)
- •BARBARIAN DYNASTIES
- •THE TANGUT
- •THE KHITAN
- •THE JUCHEN
- •BEI (NORTHERN) SONG (960–1127)
- •UNIFICATION
- •CONSOLIDATION
- •REFORMS
- •DECLINE AND FALL
- •SURVIVAL AND CONSOLIDATION
- •RELATIONS WITH THE JUCHEN
- •THE COURT’S RELATIONS WITH THE BUREAUCRACY
- •THE CHIEF COUNCILLORS
- •THE BUREAUCRATIC STYLE
- •THE CLERICAL STAFF
- •SONG CULTURE
- •INVASION OF THE JIN STATE
- •INVASION OF THE SONG STATE
- •CHINA UNDER THE MONGOLS
- •YUAN CHINA AND THE WEST
- •THE END OF MONGOL RULE
- •POLITICAL HISTORY
- •THE DYNASTY’S FOUNDER
- •THE DYNASTIC SUCCESSION
- •LOCAL GOVERNMENT
- •CENTRAL GOVERNMENT
- •LATER INNOVATIONS
- •FOREIGN RELATIONS
- •ECONOMIC POLICY AND DEVELOPMENTS
- •POPULATION
- •AGRICULTURE
- •TAXATION
- •COINAGE
- •CULTURE
- •PHILOSOPHY AND RELIGION
- •FINE ARTS
- •LITERATURE AND SCHOLARSHIP
- •THE RISE OF THE MANCHU
- •THE QING EMPIRE
- •POLITICAL INSTITUTIONS
- •FOREIGN RELATIONS
- •ECONOMIC DEVELOPMENT
- •QING SOCIETY
- •SOCIAL ORGANIZATION
- •STATE AND SOCIETY
- •TRENDS IN THE EARLY QING
- •POPULAR UPRISING
- •THE TAIPING REBELLION
- •THE NIAN REBELLION
- •MUSLIM REBELLIONS
- •EFFECTS OF THE REBELLIONS
- •INDUSTRIALIZATION FOR “SELF-STRENGTHENING”
- •CHANGES IN OUTLYING AREAS
- •EAST TURKISTAN
- •TIBET AND NEPAL
- •MYANMAR (BURMA)
- •VIETNAM
- •JAPAN AND THE RYUKYU ISLANDS
- •REFORM AND UPHEAVAL
- •THE BOXER REBELLION
- •REFORMIST AND REVOLUTIONIST MOVEMENTS AT THE END OF THE DYNASTY
- •EARLY POWER STRUGGLES
- •CHINA IN WORLD WAR I
- •INTELLECTUAL MOVEMENTS
- •THE INTERWAR YEARS (1920–37)
- •REACTIONS TO WARLORDS AND FOREIGNERS
- •THE EARLY SINO-JAPANESE WAR
- •PHASE ONE
- •U.S. AID TO CHINA
- •NATIONALIST DETERIORATION
- •COMMUNIST GROWTH
- •EFFORTS TO PREVENT CIVIL WAR
- •CIVIL WAR (1945–49)
- •A RACE FOR TERRITORY
- •THE TIDE BEGINS TO SHIFT
- •COMMUNIST VICTORY
- •RECONSTRUCTION AND CONSOLIDATION, 1949–52
- •THE TRANSITION TO SOCIALISM, 1953–57
- •RURAL COLLECTIVIZATION
- •URBAN SOCIALIST CHANGES
- •POLITICAL DEVELOPMENTS
- •FOREIGN POLICY
- •NEW DIRECTIONS IN NATIONAL POLICY, 1958–61
- •READJUSTMENT AND REACTION, 1961–65
- •THE CULTURAL REVOLUTION, 1966–76
- •ATTACKS ON CULTURAL FIGURES
- •ATTACKS ON PARTY MEMBERS
- •SEIZURE OF POWER
- •SOCIAL CHANGES
- •STRUGGLE FOR THE PREMIERSHIP
- •CHINA AFTER THE DEATH OF MAO
- •DOMESTIC DEVELOPMENTS
- •INTERNATIONAL RELATIONS
- •RELATIONS WITH TAIWAN
- •CONCLUSION
- •GLOSSARY
- •FOR FURTHER READING
- •INDEX
The Ming Dynasty | 197
modified by the intervening dynasties of conquest from the north, especially the Yuan. The distinctive new patterns of social and administrative organization that emerged in Ming times persisted, in their essential features, through the Qing dynasty into the 20th century.
Local Government
At local and regional levels, the traditional modes and personnel of government were perpetuated in ad hoc fashion in the earliest Ming years, but, as the new empire became consolidated and stabilized, highly refined control structures were imposed that—in theory and probably also in reality—eventually subjugated all Chinese to the throne to an unprecedented and totalitarian degree. The Ming law code, promulgated in final form in 1397, reinforced the traditional authority and responsibility of the paterfamilias, considered the basis of all social order. Each family was classified according to hereditary status—the chief categories being civilian, military, and artisan—and neighbouring families of the same category were organized into groups for purposes of self-government and mutual help and surveillance. Civilians were grouped into “tithings” of 10 families, and these in turn were grouped into “communities” totaling 100 families, plus 10 additional prosperous households, which in annual rotation provided community chiefs, who were intermediaries between the citizenry at large and the formal agencies
of government. This system of social organization, called lijia (later replaced by or coexistent with a local defense system called baojia), served to stabilize, regulate, and indoctrinate the populace under relatively loose formal state supervision.
Ming provincial governments consisted of three coordinate agencies with specialized responsibilities for general administration, surveillance and judicial affairs, and military affairs. These were the channels for routine administrative contacts between local officials and the central government.
Central Government
In its early form the Ming central government was dominated by a unitary Secretariat. The senior executive official of the Secretariat served the emperor as a chief counselor, or prime minister. Suspected treason on the part of the chief counselor Hu Weiyong in 1380 caused the Hongwu emperor to abolish all executive posts in the Secretariat, thus fragmenting general administration authority among the six functionally differentiated, formerly subordinate Ministries of Personnel, Revenue, Rites, War, Justice, and Works. This effective abolition of the Secretariat left the emperor as the central government’s sole coordinator of any significance, strengthened his control over the officialdom, and, in the view of many later scholars, gravely weakened the Ming state system.
198 | The History of China
Especially prominent among other agencies of the central government was a Censorate, which was charged with the dual functions of maintaining disciplinary surveillance over the whole of officialdom and remonstrating against unwise state policies and improprieties in the conduct of the emperor. Equally prominent were five chief military commissions, each assigned responsibility, jointly with the Ministry of War, for a geographically defined segment of the empire’s military establishment. There was originally a unitary Chief Military Commission paralleling the Secretariat, but in the 1380s its authority was similarly fragmented. The hereditary soldiers, who were under the administrative jurisdiction of the chief military commissions, originated as members of the rebel armies that established the dynasty, as surrendering enemy soldiers, in some instances as conscripts, and as convicted criminals. They were organized and garrisoned principally along the frontiers, near the capital, and in other strategic places but also throughout the interior, in units called guards and battalions. Whenever possible, such units were assigned state-owned agricultural lands so that, by alternating military duties with farm labour, the soldiers could be self-supporting. The military families, in compensation for providing soldiers in perpetuity, enjoyed exemptions from labour services levied by the state on civilian families. Each guard unit reported to its Chief Military Commission at the capital through a provincial-level
Regional Military Commission. Soldiers from local guards were sent in rotation to the capital for special training or to the Great Wall or another area of comparable military importance for active patrol and guard duty. At such times, as on largescale campaigns, soldiers served under tactical commanders who were on ad hoc duty assignments, detached from their hereditary posts in guard garrisons or higher echelons of the military service.
Later Innovations
In the 15th century, new institutions were gradually devised to provide needed coordination both in the central government and in regional administration. Later emperors found the Hongwu emperor’s system of highly centralized power and fragmented government structure inefficient and inconvenient. Litterateurs of the traditional and prestigious Hanlin Academy came to be assigned to the palace as secretarial assistants, and they quickly evolved into a stable Grand Secretariat (Neige) through which emperors guided and responded to the ministries and other central government agencies. Similarly, the need for coordinating provincial-level affairs led to delegating high-ranking central government dignitaries to serve as regional commanders (zongbing guan) and governor-like grand coordinators (xunfu) in the provinces. Finally, clusters of neighbouring provinces came under the supervisory control of still-more- prestigious central government officials,
The Ming Dynasty | 199
known as supreme commanders (zongdu), whose principal function was to coordinate military affairs in extended, multi-province areas. As the dynasty grew older, as the population expanded, and as administration became increasingly complex, coordinators proliferated even at sub-provincial levels in the form of circuit intendants (daotai), who were delegated from provincial agencies as functionally specialized intermediaries with prefectural administrations.
To an extent unprecedented except possibly in Song times, Ming government was dominated by nonhereditary civil service officials recruited on the basis of competitive written examinations. Hereditary military officers, although granted ranks and stipends higher than their civil service counterparts and eligible for noble titles rarely granted to civil officials, always found themselves subordinate to policy-making civil servants, except in the first years of the dynasty. Members of the imperial clan, except in the earliest and latest years of the dynasty, were forbidden to take active part in administration, and the Ming practice of finding imperial consorts in military families effectively denied imperial in-laws access to positions of significant authority. High-ranking civil officials usually could place one son each in the civil service by hereditary right, and, beginning in 1450, wealthy civilians often were able to purchase nominal civil service status in government fund-raising drives. But those entering the service in such
irregular ways rarely had notable, or even active, careers in government. In the early decades of the dynasty, before competitive examinations could provide sufficient numbers of trustworthy men for service, large numbers of officials were recruited directly from government schools or through recommendations by existing officials, and such recruits often rose to eminence. But after about 1400, persons entering the civil service by avenues other than examinations had little hope for successful careers.
In a departure from traditional practices but in accordance with the Yuan precedent, there was only one type of examination given in Ming times. It required a general knowledge of the Classics and history and the ability to relate Classical precepts and historical precedents to general philosophical or specific political issues. As in Yuan times, interpretations of the Classics by the Zhu Xi school of Neo-Confucianism were prescribed. By the end of the Ming dynasty, the writing of examination responses had become highly stylized and formalized in a pattern called “the eight-legged essay” (baguwen), which in subsequent centuries became notoriously repressive of creative thought and writing.
Beginning in the Hongwu emperor’s reign, the government sponsored districtlevel schools, in which state-subsidized students prepared for the civil service examinations. Especially talented students could be promoted from such local schools into programs of advanced learning and probationary service at a national
200 | The History of China
university in the capital. Especially after 1500, there was a proliferation of private academies in which scholars gathered to discuss philosophy and students were also prepared for the examinations. Education intendants from provincial headquarters annually toured all localities, examining candidates who presented themselves and certifying those of “promising talent” (xiucai) as being qualified to undertake weeklong examination ordeals that were conducted every third year at the provincial capitals. Those who passed the provincial examinations (juren) could be appointed directly to posts in the lower echelons of the civil service. They were also eligible to compete in triennial metropolitan examinations conducted at the national capital. Those who passed were given degrees often called doctorates (jinshi) and promptly took an additional palace examination, nominally presided over by the emperor, on the basis of which they were ranked in order of excellence. They were registered as qualified officials by the Ministry of Personnel, which assigned them to active-duty posts as vacancies occurred. While on duty they were evaluated regularly by their administrative superiors and irregularly by touring inspectors from the Censorate. It was normally only after long experience and excellent records in lowand middle-grade posts, both in the provinces and in the capital, that an official might be nominated for high office and appointed by personal choice of the emperor.
Although acceptance into, and success in, the civil service were the most highly esteemed goals for all and were nominally determined solely by demonstrated scholastic and administrative abilities, other factors inevitably intruded to prevent the civil service system from being wholly “open.” Differences in the economic status of families made for inequalities of educational opportunity and, consequently, inequalities of access to civil service careers. The sons of well- to-do families clearly had advantages, and men of the affluent and cultured southeastern region so threatened to monopolize scholastic competitions that regional quotas for those passing the metropolitan examinations were imposed by the government, beginning in 1397. Once in the service, one’s advancement or even survival often depended on shifting patterns of favouritism and factionalism. Present-day scholarship strongly suggests nevertheless that “new blood” was constantly entering the Ming civil service, that influential families did not monopolize or dominate the service, and that men regularly rose from obscurity to posts of great esteem and power on the basis of merit. Social mobility, as reflected in the Ming civil service, was very possibly greater than in Song times and was clearly greater than in the succeeding Qing era.
The Ming pattern of government has generally been esteemed for its stability under civil service dominance, its creativity in devising new institutions to