18 CHINA'S UNPREPAREDNESS CHINA'S RESPONSE TO THE WEST 19 the British government over forms of communication in that year appears he had a translator extract in Chinese all references concerning China.It to conclude with an apologetic statement from the British headman at was found on minute examination that this work contained merely refer- Canton.The British tributary ambassador of 1816 is recorded as refusing ences to the geography,flora and productions of China and to the clothing, to follow the usual ceremonies,but the failure of his mission is magnani- food and customs of the population along the coast,although among these mously excused on grounds of ignorance,while the edict to the English data there were many gaps.But the trading ports listed were all in foreign king reminds him that his ambassador of 1793 showed a proper respect countries and the Hsin-chou-fu mentioned was undoubtedly the same as for the ceremonies.To conclude this utterly consistent account of Britain's Singapore (transliterated Isin-ch'i-o),which the British had seized in tributary status,Liang remarks that Britain formerly presented tribute the Ch'ien-lung period (1736-1795)(sic).The Cantonese commonly called through Canton,as is fully on record year by year.27 As Professor Pritchard it Hsin-chou (lit."new island")and also Hsin-fou ("new port")and Hsin- has shown,the idea that Macartney had actually kotowed in 1793 was chtow-fou (new island port"),which no doubt had caused the censor to widely spread throughout nineteenth-century Chinese documents and ac- mistake it for the similar-sounding Hsin-chou-fu which meant "new depart- counts.28 ments and prefectures."81 Much of this barbarian lore,being in the minds of officials,found its way While this incident may seem like confusion confounded by a pun,it into their documents.In June 1844 the Shansi censor Ts'ao Lu-t'ai,for illustrates the actual vagueness of the official mind at the time of the first example,denounced the wiles of the British,their insatiable cunning and treaties.Perhaps if the censor had explicitly acknowledged the Hai-lu as deceit,and their friction with the Cantonese populace.He was particularly his source instead of tacitly copying it (or some source that had previously outraged over an incident in which a foreign woman had rushed into a copied it),he would have avoided the imperial commissioner's imputation government yamen at Chen-hai near Ningpo to pay her respects to the of muddle-headedness.But Ch'i-ying's secretaries also evidently failed to Chinese officials."What kind of propriety is this?A clear proclamation spot the Hai-l as the origin of the quoted passage. should be issued to the barbarian chieftain to make him understand what As a keen contemporary student,the British interpreter,Thomas Taylor is right."2 The censor then without acknowledgment of any source quoted Meadows,testified in 1852:"The Chinese do habitually call and consider the following statements which had originally appeared in the sections on Europeans 'barbarians';meaning by that term 'peoples in a rude,uncivilized England and Singapore in the Hai-l:The British live by their overseas state,morally and intellectually uncultivated'....Those Chinese who trade,and by getting hold of profitable spots overseas like Bengal (Ming- have had direct opportunities of learning something of our customs and ya-la),Madras (Man-ta-la-sa),and Bombay (Meng-mai).They have culture-they may amount,taking all Five Ports,to some five or six more than one hundred thousand troops and the overseas nations all fear thousand out of three hundred and sixty millions-mostly consider us them.In the Chia-ch'ing period (1796-1820)they occupied Chiu-jou-fo beneath their nation in moral and intellectual cultivation.As to those who (Singapore,lit.Johore)which the people of Canton and Fukien call have had no such opportunities,I do not recollect conversing with one,and Bsin-chou-fu.30 The censor then stated that he had recently heard of a I have conversed with many,whose previous notions of us were not anal- book,the Wan-kuo ti-lit'(Illustrated geography of all countries)in which ogous to those we entertain of savages.They are always surprised,not to the British author had marked the Chinese ports newly opened to trade as say astonished,to learn that we have surnames,and understand the family Hsin-chou-fu (lit."new departments and prefectures").This seemed to distinctions of father,brother,wife,sister,etc.:in short,that we live other- claim the ports as new British territory-"a most hateful thing to do."He wise than as a herd of cattle."82 requested that the provincial authorities ascertain whether barbarian pre- In effect,during the 1840's the barbarians were a good deal more incom- sumption had gone so far;and an imperial edict of June 18,1844,ordered prehensible to Chinese observers than the "inscrutable Celestials"were to the imperial commissioner Ch'i-ying to investigate. Western observers.As one modern historian has summarized it:"Ch'i-shan Ch'i-ying reported in September that his assistant,through barbarian learned that the woman ruler of England had chosen a mate,and he merchants,had got hold of this illustrated universal geography,the Wan- memorialized,saying:"This is naturally a country of barbarians,with the kuo ti-li t'u,in three volumes.On examination these volumes were found to nature of dogs and sheep [i.e.,fickle and greedy],fundamentally ignorant contain the barbarian writing,which there was no way to comprehend.As of rites and of modesty;how can they then know the distinction between to the year of its origin and author,and whether the ports where trade is ruler and subject,and upper and lower?'Regarding these people,Lin Tse- now conducted were included,this was all very difficult to determine.So hsui said that their legs and feet stretched out and bent with difficulty;
! i I , , ! I i 18 CHINA'S UNPREPAREDNESS the British government over forms of communication in that year appears to conclude with an apologetic statement from the British headman at "Canton. The British tributary ambassador of 18 I 6 is recorded as refusing to follow the usual ceremonies, but the failure of his mission is magnanimously excused on grounds of ignorance, while the edict to the English king reminds him that his ambassador of 1793 showed a proper respect for the ceremonies. To conclude this utterly consistent account of Britain's tributary status, Liang remarks that 'Britain formerly presented tribute through Canton, as is fully on record year by year.27 As Professor Pritchard has shown, the idea that Macartney had actually kotowed in 1793 was widely spread throughout nineteenth-century Chinese documents and accounts.28 . Much. of this barbarian lore, being in the minds of officials, found its way mto theIr documents. In June 1844 the Shansi censor Ts'ao LU-t'ai for example, denounced the wiles of the British, their insatiable cunning' and deceit, and their friction with the Cantonese populace. He was particularly outraged over an incident in which a foreign woman had rushed into a government yarnen at Chen-hai near Ningpo to pay her respects to the Chinese officials. "What kind of propriety is this? A clear proclamation should be issued to the barbarian chieftain to make him understand what IS . ng. ·ht"29Th e censor t h· en wIthout acknowledgment of any source quoted the following statements which had originally appeared in the sections on England and Singapore in the Hai-lu: The British live by their overseas trade, and by getting hold of profitable spots overseas like Bengal (Mingya-la) , Madras (Man-ta-la-sa) , and Bombay (Meng-mai). They have more than one hundred thousand troops and the overseas nations all fear them. In the Chia-ch'ing period (1796-1820) they occupied Chiu-jou-fo (Singapore, lit. Johore) which the people of Canton and Fukien call Hsin-chou-fu.30 The censor then stated that he had recently heard of a book, the Wan-kuo ti-li t'u (Illustrated geography of all countries) in which the British author had marked the Chinese ports newly opened to trade as Hsin-chou-fu (lit. "new departments and prefectures"). This seemed to claim the ports as new British territory - "a most hateful thing to do." He requested that the provincial authorities ascertain whether barbarian presumption had gone so far; and an imperial edict of June 18, 1844, ordered the imperial commissioner Ch'i-ying to investigate. Ch'i-ying reported in September that his assistant, through barbarian merchants, had got hold of this illustrated universal geography the Wankuo ti-li t'u, in three volumes. On examination these volumes we~e found to contain the barbarian writing, which there was no way to comprehend. As to the year of its origin and author, and whether the ports where trade is now conducted were included, this was all very difficult to determine. So CHINA~S RESPONSE TO THE WEST 19 he had a translator extract in Chinese all references concerning China. It was found on minute examination that this work contained merely references to the geography, flora and productions of China and to the clothing, food and customs of the population along the coast, although among these data there were many gaps. But the trading ports listed were all in foreign countries and the Hsin-chou-fu mentioned was undoubtedly the same as Singapore (transliterated Hsin-ch'i-p'o), which the British had seized in the Ch'ien-Iung period (1736-1795) (sic). The Cantonese commonly called it Hsin-chou (lit. "new island") and also Hsin-fou ("new port") and Hsinchou-fou ("new island port"), which no doubt had caused the censor to mistake it for the similar-sounding Hsin-chou-fu which meant "new departments and prefectures." 31 While this incident may seem like confusion confounded by a pun, it illustrates the actual vagueness of the official mind at the time of the first treaties. Perhaps if the censor had explicitly acknowledged the Hai-lu as his source instead of tacitly copying it (or some source that had previously copied it), he would have avoided the imperial commissioner's imputation of muddle-headedness. But Ch'i-ying's secretaries also evidently failed to spot the H ai-lu as the origin of the quoted passage. As a keen contemporary student, the British interpreter, Thomas Taylor Meadowsj testified in 1852: "The Chinese do habitually call and consider EuropeanS 'barbarians'; meaning by that term 'peoples in a rude, uncivilized state, morally and intellectually uncultivated' .... Those Chinese who have had direct opportunities of learning something of our customs and culture - they may amount, taking all Five Ports, to some five or six thousand out of three hundred and sixty millions --,- mostly consider us beneath their nation in moral and intellectual cultivation. As to those who have had no such opportunities, I do not recollect conversing with one, and I have conversed with many, whose previous notions of us were not analogous to those we entertain of savages. They are always surprised, not to say astonished, to learn that we have surnames, and understand the family distinctions of father, brother, wife, sister, etc.; in short, that we live otherwise than as a herd of cattle." 32 In effect, during the 1840'S the barbarians were a good deal more incomprehensible to Chinese observers than the "inscrutable Celestials" were to Western observers. As one modern historian has summarized it: "Ch'i-shan learned that the woman ruler of England had chosen a mate, and he memorialized, saying: 'This is naturally a country of barbarians, with the nature of dogs and sheep [Le., fickle and greedy], fundamentally igno~ant of rites and of modesty; how can they then know the distinction between ruler and subject, and upper and lower?' Regarding these people, Lin TsehsU said that their legs and feet stretched out and bent with difficulty;
20 CHINA'S UNPREPAREDNESS CHINA'S RESPONSE TO THE WEST 21 Ch'i-ying stated that at night their vision was confused.Tao-kuang com- The interaction of dynastic decline and Western invasion.The conclusion mented:'Everyone says the same thing,it must be true.'Lo Ping-chang of the first set of treaties with Britain,France,and the United States in memorialized,saying:The said barbarians'troops and chieftains take ele- 1842-44 coincided with the end of exactly two centuries of Manchu rule phant skin [ksiang-p'i,the modern term for rubber]and copper strips and in China.Judging by evidences of decay in the Ch'ing dynasty,it is not wrap the upper part of their bodies for protection,so that the edge of a surprising that the great Taiping Rebellion began in 1851.Yet in this case sword cannot wound them;the volunteers of Canton province take long the extremely complex processes of dynastic change within the country cudgels and bend down to strike their feet,and immediately they fall had already become further complicated by the Western pressure from down.'...All this unfounded talk,of which the origin is unknown,was without.Britain's defeat of the Manchus in the war of 1840-42 was an im- actually believed by the officials and furthermore was memorialized to the portant,though as yet imponderable,political and psychological factor in court.They had no capacity to discriminate between true and false;hence the origin of the Rebellion.The opium trade which had precipitated the it was difficult to weigh what was important and what was not,find out war of 1840 was only one aspect of the growth of China's foreign com- what was profitable and what was injurious,and make exact decisions."ss merce.Like the rapidly growing exports of tea and silk,it heralded the And hence,it may be added,they were the more readily subject to panic spread of a commercial economy in South China which later had profound in the field and to a suspicious timidity in the council chamber.An edict of repercussions on the old agrarian society.The circumstance that the Taiping June 1842 commented:"The rebellious barbarians'cunning is manifested religion was a bastard offspring of Protestant evangelism was undoubtedly in a hundred ways;their ships separate,and some go north and some south a factor in the rebels'failure to win the Chinese upper class to their cause ..and their number changes constantly.Also,they take troops that have Western influences had already intruded upon the Chinese pattern. been captured on successive occasions [i.e.,prisoners]and successively But the long-term patterns of Western history as they impinged upon send them back.Although they take trade as their excuse,they do not wait China contributed to the destruction more than to the creation of any ob- for an answer but suddenly raise anchor and sail away-all sorts of craft servable rhythm in the Chinese social process.The seemingly irreversible and secrecy.One cannot get any clue to it."a trends of Western history,manifest in the growth of science and technology, This intellectual unpreparedness for Western contact,so evident in the trade and industry,nationalism and the modern state,destroyed the old folklore and thought of China in 1840,was made the more grievous by the China and created one of mankind's greatest problems-how to integrate dry sterility which had overtaken the Chinese scholarly tradition.The into a world community one-fifth of the human race whose social heritage wide-ranging intellectual vigor of seventeenth century scholars like Ku is essentially at variance with that of the West.The fact that this effort is Yen-wu had become stultified,their search for new evidence had given way currently being made under the banner of communism makes our study of to empty combing of classical texts-the "textual research"('ao-chrii) its early history all the more urgent. of literati divorced from the world around them.This fault was well demon- Unfortunately,an analysis of the old Chinese government must be a tour strated at Canton by the famous compiler Juan Yuan.He was governor- de force for the historian.Western political scientists,with very few ex- general of Kwangtung and Kwangsi for a decade (1817-26),during which ceptions,have so far succeeded in avoiding the study of the Chinese lan- he put together 366 volumes of classical commentary,compiled the pro- guage and of the Confucian state.Apparently without loss of self-respect, vincial gazetteer,and printed 4o chiian of his collected writings,5 chian they have neglected this greatest human achievement in the art of govern- of bibliographical notes,and an anthology of Kiangsu poets.Although the ment,leaving its secrets unexplored,its amazing stability and persistence highest authority in contact with the barbarian problem,he had little time unexplained in professional terms.Until "comparative government"be- to spare for it.s5 comes less parochial,the historian must clutch at what straws he can. These examples of Chinese folklore,ignorance,and confusion about the The weakness of the Chinese state in contact with the West after 1842 Western barbarians do not strike one as representing a distinct set of ideas sprang partly from its own essential nature and partly from its condition and evaluation.On the contrary,the conception of the West in early nine- at the moment.These two types of weakness,inherent and circumstantial, teenth century China seems to have had that fuzzy-minded fairy-story may be usefully distinguished.The atrophy of dynastic leadership,the quality which has characterized the Western approach to China in more demoralization of the bureaucracy,evils of landlordism,over-population, recent times-quaintness taking the place of reality.Like us a century and financial bankruptcy-these were mainly recurrent cyclical factors later,the Chinese of the 1840's were unprepared for what was to come. which by ill chance became acute as the nineteenth century wore on.They
20 CHINA'S UNPREPAREDNESS Ch'i-ying stated that at night their vision was confused. Tao-kuang commented: 'Everyone says the same thing, it must be true.' Lo Ping-chang memorialized, saying: 'The said barbarians' troops and chieftains take elephant skin [hsiang-p'i, the modern term for rubber] and copper strips and wrap the upper part of their bodies for protection, so that the edge of a sword cannot wound them; the volunteers of Canton province take long cudgels and bend down to strike their feet, and immediately they fall down.' ... All this unfounded talk, of which the origin is unknown, was actually believed by the officials and furthermore was memorialized to the court. They had no capacity to discriminate between true and false; hence it was difficult to weigh what was important and what was not, find out what was profitable and what was injurious, and make exact decisions." 33 And hence, it may be added, they were the more readily subject to panic in the field and to a suspicious timidity in the council chamber. An edict of June 1842 commented: "The rebellious barbarians' cunning is manifested in a hundred ways; their ships separate, and some go north and some south . . . and their number changes constantly. Also, they take troops that have been captured on successive occasions [Le., prisoners] and successively send them back. Although they take trade as their excuse, they do not wait for an answer but suddenly raise anchor and sail away - all sorts of craft and secrecy. One cannot get any clue to it." 34 This intellectual unpreparedness for Western contact, so evident in the folklore and thought of China in 1840, was made the more grievous by the dry sterility which had overtaken the Chinese scholarly tradition. The wide-ranging intellectual vigor of seventeenth century scholars like Ku Yen-wu had become stultified, their search for new evidence had given way to empty combing of classical texts - the "textual research" (k'ao-chu) of literati divorced from the world around them. This fault was well demonstrated at Canton by the famous compiler Juan Yuan. He was governorgeneral of K wangtung and Kwangsi for a decade (18 17-26), during which he put together 366 volumes of classical commentary, compiled the provincial gazetteer, and printed 40 chuan of his collected writings,S chuan of bibliographical notes, and an anthology of Kiangsu poets. Although the highest authority in contact with the barbarian problem, he had little time to spare for it.35 These examples of Chinese folklore, ignorance, and confusion about the Western barbarians do not strike one as representing a distinct set of ideas and evaluation. On the contrary, the conception of the West in early nineteenth century China seems to have had that fuzzy-minded fairy-story quality which has characterized the Western approach to China in more recent times - quaintness taking the place of reality. Like us a century later, the Chinese of the I840'S were unprepared for what was to come. CHINA'S RESPONSE TO THE WEST 21 The interaction of dynastic decline and Western invasion. The conclusion of the first set of treaties with Britain, France, and the United States in 1842-44 coincided with the end of exactly two centuries of Manchu rule in China. Judging by evidences of decay in the Ch'ing dynasty, it is not surprising that the great Taiping Rebellion began in 1851. Yet in this case the extremely complex processes of dynastic change within the country had already become further complicated by the Western pressure from without. Britain's defeat of the Manchus in the war of 1840-42 was an important, though as yet imponderable, political and psychological factor in the origin of the Rebellion. The opium trade which had precipitated the war of 1840 was only one aspect of the growth of China's foreign commerce. Like the rapidly growing exports of tea and silk, it heralded the spread of a, commercial economy in South China which later had profound repercussions on the old agrarian society. The circumstance that the Taiping religion was a bastard offspring of Protestant evangelism was undoubtedly a factor in the rebels' failure to win the Chinese upper class to their cause . Western influences had already intruded upon the Chinese pattern. But the long-term patterns of Western history as they impinged upon China contributed to the destruction more than to the creation of any observable rhythm in the Chinese social process. The seemingly irreversible trends of Western history, manifest in the growth of science and technology, trade and industry, nationalism and the modern state, destroyed the old China and created one of mankind's greatest problems - how to integrate into a world community one-fifth of the human race whose social heritage is essentially at variance with that of the West. The fact that this effort is currently being made under the banner of communism makes our study of its early history all the more urgent. Unfortunately, an analysis of the old Chinese government must be a tour de force for the historian. Western political scientists, with very few exceptions, have so far succeeded in avoiding the study of the Chinese language and of the Confucian state. Apparently without loss of self-respect, they have neglected this greatest human achievement in the art of government, leaving its secrets unexplored, its amazing stability and persistence unexplained in professional terms. Until "comparative government" becomes less parochial, the historian must clutch at what straws he can. The weakness of the Chinese state in contact with the West after 1842 sprang partly from its own essential nature and partly from its condition at the moment. These two types of weakness, inherent and circumstantial, may be usefully distinguished. The atrophy of dynastic leadership, the demoralization of the bureaucracy, evils of landlordism, over-population, and financial bankruptcy - these were mainly recurrent cyclical factors which by ill chance became acute as the nineteenth century wore on. They
22 CHINA'S UNPREPAREDNESS would not have been as pronounced a century earlier,for China was caught by the West at a moment of weakness,in the trough of the so-called dynastic cycle.But at the same time the old China suffered from inherent weaknesses CHAPTER II in thought and in institutions which would have made her at any time a prey to the modern West. Among these latter factors we may discern,first,a degree of intellectual TRIBUTE AND THE GROWTH OF TRADE blindness or inability to face the crisis presented by the West.This intellec- tual failure was due in part to China's ancient ethnocentricity,institu- As INDICATED ABOVE,the Manchu-Chinese response to the West in the tionalized in the tribute system for the conduct of foreign relations and nineteenth century was predetermined by an ideological structure of as- evident also in the traditional idea of the barbarians.Second,there was a sumptions,expectations,and evaluations inherited from China's long his- persistent lack of effective political leadership.This may be attributed tory and institutionalized in the tribute system.Tribute was a Chinese- partly to an administrative system which stultified initiative and was barbarian institution.It had been jointly created on the Sino-barbarian dominated by alien rulers,who sometimes may have put the defense of frontiers of China and jointly operated as the medium for Sino-foreign their dynasty before that of China.It came also from a social and eco- intercourse over the centuries.The ideology of tributary relations occupied nomic system in which gentry and officials were traditionally in league a place in Chinese-Manchu thinking not unlike that which nationalism and and sometimes on the defensive against the peasantry.Finally,beneath international law had come to occupy in the Western mind.The idea of these institutional weaknesses,lay the broad fact that the Confucian society tribute was closely connected with that amazing characteristic of the Con- was agrarian and bureaucratic,of a type not able to adapt itself to the fucian monarchy-the fact that barbarian invaders could so often take it commercial,industrial,and nationalist revolutions brought about by free- over and become the rulers of China.There is more to this problem than trade and free contact under the Western treaties. the myopia of Western political scientists has yet permitted them to see. The following chapters of Part I concern this theme of China's unpre- The Confucian monarchy was a peculiarly non-national institution.It paredness for Western contact-as seen in the tribute system and its rested on a Confucian-Chinese social and cultural base but could be seized application to the West before 1842.Later sections deal with the Sino- and manipulated by barbarian invaders quite as well as by Chinese rebels, British contact which led to the working out of the first treaty system,its sometimes indeed even more easily.It is hardly too much to say that by attempted application at the treaty ports,its gradual breakdown,and the modern times the Confucian monarchy in China had itself become a joint beginning of its resuscitation through the creation of the Foreign In- Sino-barbarian institution. spectorate of Customs at Shanghai in 1854. The role of the barbarians in the Chinese state.The barbarian role had grown out of a great,continuing geographical fact,which limited the Chinese empire as a political body-namely,that the intensive agricul- ture which could be widely practiced in Eastern Asia,south of the soil-and- rainfall boundary marked by the Great Wall,could not be extended far beyond it to the north.The expansion of the most ancient Chinese state, which appears first in archeology as a culture-island around the Shang dynasty capital at Anyang north of the Yellow River in Honan,led to the gradual absorption and acculturation of areas and peoples to the south and east,all the way to the borders of Burma,Siam,and southern Indo- china.In the course of three thousand years the Chinese way of life has incorporated a great variety of native tribes and Chinese colonists in central and south China,where an intensive rice culture permits a dense agrarian population.Yet in all these millennia the Chinese way has not expanded far onto the Mongol steppe,where cultivation must give way to an extensive pastoral economy and the tribal social institutions which accompany it
22 CHINA'S UNPREPAREDNESS would not have been as pronounced a century earlier, for China was caught by the West at a moment of weakness, in the trough of the so-called dynastic cycle. But at the same time the old China suffered from inherent weaknesses in thought and in institutions which would have made her at any time a prey to the modern West. Among these latter factors we may discern, first, a degree of intellectual blindness or inability to fact;) the crisis presented by the West. This intellectual failure was due in part to China's ancient ethnocentricity, institutionalized in the tribute system for the conduct of foreign relations and evident also in the traditional idea of the barbarians. Second, there was a persistent lack of effective political leadership. This may be attributed partly to an administrative system which stultified initiative and was dominated by alien rulers, who sometimes may have put the defense of their dynasty before that of China. It came also from a social and economic system in which gentry and officials were traditionally in league and sometimes on the defensive against the peasantry. Finally, beneath these institutional weaknesses, lay the broad fact that the Confucian society was agrarian and bureaucratic, of a type not able to adapt itself to the commercial, industrial, and nationalist revolutions brought about by freetrade and free contact under the Western treaties. The following chapters of Part I concern this theme of China's unpreparedness for Western contact - as seen in the tribute system and its application to the West before 1842. Later sections deal with the SinoBritish contact which led to the working out of the first treaty system, its attempted application at the treaty ports, its gradual breakdown, and the beginning of its resuscitation through the creation of the Foreign Inspectorate of Customs at Shanghai in 1854. CHAPTER II TRIBUTE AND THE GROWTH OF TRADE As INDICATED ABOVE, the Manchu-Chinese response to the West in the nineteenth century was predetermined by an ideological structure of assumptions, expectations, and evaluations inherited from China's long history and institutionalized in the tribute system. Tribute was a Chinesebarbarian institution. It had been jointly created on the Sino-barbarian frontiers of China and jointly operated as the medium for Sino-foreign intercourse over the centuries. The ideology of tributary relations occupied a place in Chinese-Manchu thinking not unlike that which nationalism and international law had come to occupy in the Western mind. The idea of tribute was closely connected with that amazing characteristic of the Confucian monarchy - the fact that barbarian invaders could so often take it over and become the rulers of China. There is more to this problem than the myopia of Western political scientists has yet permitted them to see. The Confucian monarchy was a peculiarly non-national institution. It rested on a Confucian-Chinese social and cultural base but could be seized and manipulated by barbarian invaders quite as well as by Chinese rebels, sometimes indeed even more easily. It is hardly too much to say that by modern times the Confucian monarchy in China had itself become a joint Sino-barbarian institution. The role of the barbarians in the Chinese state. The barbarian role had grown out of a great, continuing geographical fact, which limited the Chinese empire as a political body - namely, that the intensive agriculture which could be widely practiced in Eastern Asia, south of the soil-andrainfall boundary marked by the Great Wall, could not be extended far beyond it to the north. The expansion of the most ancient Chinese state, which appears first in archeology as a culture-island around the Shang dynasty capital at Anyang north of the Yellow River in Honan, led to the gradual absorption and acculturation of areas and peoples to the south and east, all the way to the borders of Burma, Siam, and southern Indochina. In the course of three thousand years the Chinese way of life has incorporated a great variety of native tribes and Chinese colonists in central and south China, where an intensive rice culture permits a dense agrarian population. Yet in all these millennia the Chinese way has not expanded far onto the Mongol steppe, where cultivation must give way to an extensive pastoral economy and the tribal social institutions which accompany it
24 CHINA'S UNPREPAREDNESS TRIBUTE AND TRADE 25 Thus the descendants of the Anyang kings spread their civilization fifteen conquered it,and so had to rely upon Chinese assistance or partnership in hundred miles across the hills and rice-fields to the south,to the seacoast government. of Annam,but have been unable to extend it more than a few hundred In short,the slowness of China's response to the Western impact in miles to the north. modern times,which forms the chief enigma of her modern history,can be This is merely another way of saying that the nomadic peoples of the understood only within the framework of China's traditional relations with Mongolian steppe have been a constant factor in the Chinese state.They the barbarians.The tragedy of the Chinese state has been that her adjust- have provided a permanent frontier beyond which the Chinese way of life ment to the barbarians of Inner Asia was such poor preparation for contact could not extend.The Chinese state from its earliest inception had to with the modern West.On the contrary,it was the most misleading pos- adjust itself to this barbarian contact.China and the barbarians have co- sible precedent,for it left China to deal with the industrial West through existed throughout their history.From ancient times the civilization of institutions and preconceptions developed over three thousand years of China received stimuli and cultural ingredients through the medium of the contact with pastoral nomads.The tribute system could not be successfully barbarians of Central Asia.The use of iron and of the horse,methods of applied to the modern West,yet it was China's only defense,for it was the warfare,and cultural elements of the Near East all came by this route. established mode through which the Confucian monarchy dealt with foreign Thus the Chinese state and monarchy were from the earliest days up powers. against this fact that the barbarians existed and could never be made If we look for the ancient sources of this institution,we find first of all Chinese.China's geographic isolation from Europe prevented her direct that the early Chinese states of the period before and after Confucius (up contact across the wastes of Central Asia with any settled power of equal to 22I B.C.),in their relations with one another,had developed conceptions size,and this,no doubt,conduced to the ethnocentricity which has roughly and procedures which may be compared in some ways with those of modern corresponded in China to the nationalism that grew up in Europe.Yet this international law.The classics recorded relations among ancient rulers on isolation from the nationalistic competition of equal powers did not pre- an egalitarian basis-the tribute institution was not the only precedent in clude the long struggle between China and the barbarians.The Chinese China's experience. society seldom had equals within its sphere in eastern Asia,but it always In this ancient legal system of the Warring States period,before China's had enemies.It was by no means left alone in solitary grandeur and to unification as an empire,the concept of the state required that there be this degree it was by no means unprepared for contact with the West. territory,people,sovereignty and organization or institutions.Because the The nature of China's relationship to the barbarians was far different barbarians moved about with a pastoral economy and no fixed territory, from any it could expect to work out with Western powers in modern times. they were regarded as not being states at all.Among the Chinese states In brief,this ancient relationship was based on supernationalist sanctions each had its capital as well as the above four attributes.There were derived from the Confucian social order. sovereign states and subordinate states.New states received a form of recog- The superiority of the Chinese way of life was exhibited in China's cul- nition by a certain procedure,sometimes at a conference of other states. ture as well as in her economic wealth.Yet this superiority in material goods Recognition could also be implicit,as by concluding a treaty,permitting as well as in intellectual and artistic life,and this greater complexity of a state to attend a conference,sending representatives to it,or extraditing social and political institutions,were both inadequate to save China from criminals.Whether explicit or implicit,recognition was permanent.States periodic barbarian domination.The key to the constant barbarian influ- could also be destroyed or divided.They had their rights and duties,includ- ence on China lay in the fact that the military force which could be based ing rights of equal treatment and trade,and rights of reciprocity.Their on the horsemen of the steppe,once it was concentrated,usually had duties included documentary and legal functions,while their moral duties superior striking power against any force which could be mobilized from were to preserve orthodoxy and save each other from danger.Procedures the sedentary farming population of the North China plain.Farm boys concerning the dispatch of envoys and other forms of inter-state relations were no match for trained hunters and horsemen.This simple fact re- were fully developed at this early time.a There was plainly no lack of mained a constant factor in favor of the nomad invaders.The barbarians' diplomatic machinery in the Chinese heritage. power in China was limited,however,by another constant factor-that they lacked the clerical personnel and local roots necessary to conduct the Four types of personnel were recognized in these inter-state relations:sovereigns,envoys,military representatives,and officials in charge of foreign relations.Envoys were sen t abroad to other countries bureaucratic administration of populous Chinese territory once they had toeetheirruers Unlike modern diplotic agents,however.they did not reside in the other country,but were sent back and forth on missions,usually concerning a single subject at a time.As
24 CHINA'S UNPREPAREDNESS Thus the descendants of the Anyang kings spread their civilization fifteen hundred miles across the hills and rice-fields to the south, to the seacoast of Annam, but have been unable to extend it more than a few hundred miles to the north. This is merely another way of saying that the nomadic peoples of the Mongolian steppe have been a constant factor in the Chinese state. They have provided a permanent frontier beyond which the Chinese way of life could not extend. The Chinese state from its earliest inception had to adjust itself to this barbarian contact. China and the barbarians have coexisted throughout their history. From ancient times the civilization of China received stimuli and cultural ingredients through the medium of the barbarians of Central Asia. The use of iron and of the horse, methods of warfare, and cultural elements of the Near East all came by this route. Thus the Chinese state and monarchy were from the earliest days up against this fact that the barbarians existed and could never be made Chinese. China's geographic isolation from Europe prevented her direct contact across the wastes of Central Asia with any settled power of equal size, and this, no doubt, conduced to the ethnocentricity which has roughly corresponded in China to the nationalism that grew up in Europe. Yet this isolation from the nationalistic competition of equal powers did not preclude the long struggle between China and the barbarians. The Chinese society seldom had equals within its sphere in eastern Asia, but it always had enemies. It was by no means left alone in solitary grandeur and to this degree it was by no means unprepared for contact with the West. The nature of China's relationship to the barbarians was far different from any it could expect to work out with Western powers in modern times. In brief, this ancient relationship was based on supernationalist sanctions derived from the Confucian social order. The superiority of the Chinese way of life was exhibited in China's culture as well as in her economic wealth. Yet this superiority in material goods as well as in intellectual and artistic life, and this greater complexity of social and political institutions, were both inadequate to save China from periodic barbarian domination. The key to the constant barbarian influence on China lay in the fact that the military force which could be based on the horsemen of the steppe, once it was concentrated, usually had superior striking power against any force which could be mobilized from the sedentary farming population of the North China plain. Farm boys were no match for trained hunters and horsemen. This simple fact remained a constant factor in favor of the nomad invaders. The barbarians' power in China was limited, however, by another constant factor - that they lacked the clerical personnel and local roots necessary to conduct the bureaucratic administration of populous Chinese territory once they had TRIBUTE AND TRADE 25 conquered it, and so had to rely upon Chinese assistance or partnership in government. In short, the slowness of China's response to the Western impact in modern times, which forms the chief enigma of her modern history, can be understood only within the framework of China's traditional relations with the barbarians. The tragedy of the Chinese state has been that her adjustment to the barbarians of Inner Asia was such poor preparation for contact with the modern West. On the contrary, it was the most misleading possible precedent, for it left China to deal with the industrial West through institutions and preconceptions developed over three thousand years of contact with pastoral nomads. The tribute system could not be successfully applied to the modern West, yet it was China's only defense, for it was the established mode through which the Confucian monarchy dealt with foreign powers. If we look for the ancient sources of this institution, we find first of all that the early Chinese states of the period before and after Confucius (up to 221 B.C.), in their relations with one another, had developed conceptions and procedures which may be compared in some ways with those of modern international law. The classics recorded relations among ancient rulers on an egalitarian basis - the tribute institution was not the only precedent in China's experience. In this ancient legal system of the Warring States period, before China's unification as an empire, the concept of the state required that there be territory, people, sovereignty and organization or institutions. Because the barbarians moved about with a pastoral economy and no fixed territory, they were regarded as not being states at all. Among the Chinese states each had its capital as well as the above four attributes. There were sovereign states and subordinate states. New states received a form of recognition by a certain procedure, sometimes at a conference of other states. Recognition could also be implicit, as by concluding a treaty, permitting a state to attend a conference, sending representatives to it, or extraditing criminals. Whether explicit or implicit, recognition was permanent. States could also be destroyed or divided. They had their rights and duties, including rights of equal treatment and trade, and rights of reciprocity. Their duties included documentary and legal functions, while their moral duties were to preserve orthodoxy and save each other from danger. Procedures concerning the dispatch of envoys and other forms of inter-state relations were fully developed at this early time.a There was plainly no lack of diplomatic machinery in the Chinese heritage. a Four types of personnel were recognized in these inter-state relations: sovereigns, envoys, military representatives, and officials in charge of foreign relations. Envoys were sent abroad to other countries to represent their rulers. Unlike modern diplomatic agents, however, they did not reside in the other country, but were sent back and forth on missions, usually concerning a single subject at a time. As
TRIBUTE AND TRADE 26 CHINA'S UNPREPAREDNESS 27 Theoretical basis of tribute.This early Chinese development of ritual it was the duty of the minister to be loyal,of the son to be filial,and of each procedure in inter-state relations formed part of the classical tradition person in society to preserve the social order by acting as demanded by after the imperial unification of 2 B.C.But it could not be fully applied etiquette,so it was particularly the duty of the ruler,as the one man who outside the Chinese world,and hence arose the early distinction between represented his people before Heaven,to set the model for the rest of man- kind.There was felt to be a certain virtue or power (te)in right conduct Chinese and barbarian. From their age-long contact with the barbarians roundabout,including such that it could move others.The virtuous ruler gained prestige and in- both the nomads of the northern steppe and the aborigines of the south, fluence over his people merely by exhibiting his virtue.In this way Con- the Chinese developed one major belief:that their superiority was not one fucius and his followers had defined an ethical basis for the exercise of of mere material power but of culture.Such things as the Chinese written political authority over all mankind,including the barbarians.2 language and the Confucian code of conduct were visible signs of this cul- By a logical expansion of this theory the emperor's virtuous action was ture.So great was their virtue,so overwhelming the achievements of the believed to attract irresistibly the barbarians who were outside the pale Middle Kingdom in handicrafts and letters and the art of living,that no of Chinese civilization proper."The kings of former times cultivated their barbarian could long resist them.Gradually but invariably the barbarian own refinement and virtue in order to subdue persons at a distance,where- in settled contact with China tended to become Chinese.By this most upon the barbarians (of the east and north)came to Court to have audi- flattering act he reinforced the Chinese conviction of superiority.On their ence"-so reads an official statement of the Ming period about 1530.3 A side the inhabitants of the Middle Kingdom,themselves in large part century and a half later the first Manchu edition of the Collected Statutes descendants of barbarians,stood always ready to judge a man by a cul- records that "When our Dynasty first arose,its awe-inspiring virtue (te) tural rather than by a racial or national standard.After centuries as the gradually spread and became established.Wherever its name and influence center of eastern Asia,the Chinese developed what may be called,by anal- reached,there were none who did not come to Court." ogy to nationalism,a spirit of "culturalism."Those who did not follow Thus the relationship between the emperor and the barbarians came to the Chinese way were considered inferior and therefore dangerous when symbolize the actual historical relationship between China as the center of strong.This view was supported by (and emanated from)the entire Con- culture and the rude tribes roundabout.This relationship was clearly recog- nized and formed the theoretical basis for the tributary system.The first fucian cosmology. Another ancient idea which supported this culturalism was the concept tenet of this theory was that the uncultivated alien,however crass and of the power of example.Confucianism held that right conduct for all per- stupid,could not but appreciate the superiority of Chinese culture.Natu- sons consisted in the performance of the proper rites and ceremonies and the rally he would seek to "come and be transformed"(lai-/a),so as to parti- preservation of the proper social relationships according to status.Just as cipate in its benefits.To do this it was chiefly essential that he should recognize the unique position of the Son of Heaven,the One Man who to types,they ineluded )envoysto conferences,)envoys sent to maintain alliances,3)envoy se to tra nit inguirics-as on customary occasions,or when a ruler ascended the throne,or to main- constituted the apex of the Chinese scheme of things.This conformed with tain friendly relations or the like.)envoys sent to pay respects,bya ceremony either to return the fundamental dogma that China was the center of the human scene and homage or to render thanks,5)envoys sent to make ouncements,including the announcement of disorde,disaster,mournin atural calamity or defest,6)envoys sent toofercondefo mour that the emperor exercised the mandate of Heaven to rule all mankind, ing,burial,natural calamity or defeat,and finally,7)envoys to marriages.There were also customary Chinese and barbarian alike.It also accorded with the basic assumption of procedures concering guesis or attaches and the followers of envoys such as bodyguards,interpreters, and servants. Confucian ethics that the organization of society is naturally hierarchic The ceremonies for the reception af envoys were carefully detailed in the I-i and other works. rather than egalitarian,that all superiors should be models for their in- while the actual practice was recorded in the CA'su-cA'is and Tso-ckman,in which refe aces correspond to the regulntions in the.The ceremonial for the dispatch of envoys included the following pro. feriors,and that the family of nations is just what the name implies-an cedures:1)When the envoy arrived at the frontier of the other country,he announced his arrival and was then welcomed at the frontier and exch ed gifts and extensive civilities with the officials appointed organized group dominated by the Chinese ruler as its patriarch.5 In this to reccive him.both there and at the capital.2)The envoy went to his lodgings.3)On the next day family,barbarians were uncouth country cousins. he had audience,being treated as the guest of honor.4)He presented the aluable obfects and gifts.5)He might present an official letter.6)He was entertained at a big ofcial banquet,and there The relationship which thus inhered between the outer barbarian and the were various other ceremonies which might be used.Other rules governed the refusal of envoys.and their privileges,among which were immunity from attack,a sort of extra-territoriality freeing them emperor was by no means unilateral and indeed could hardly exist except from iocal law,and exemption from the customs duties.According to the ancient records there were on a reciprocal basis.It was the function of the emperor to be compassionate ltyrepresentatives of various kinds,and officials in charge of the several asects of foreimn relations.Nume ment ot depules dalombe oune and generous.His "tender cherishing of men from afar"(huai-jou yuan- jen)is one of the cliches in all documents on foreign relations.The humble form or another
26 CHINA'S UNPREPAREDNESS Theoretical basis of tribute. This early Chinese development of ritual procedure in inter-state relations formed part of the classical tradition after the imperial unification of 22I B.C. But it could not be fully applied outside the Chinese world, and hence arose the early distinction between Chinese and barbarian. From their age-long contact with the barbarians roundabout, including both the nomads of the northern steppe and the aborigines of the south, the Chinese developed one major belief: that their superiority was not one of mere material power but of culture. Such things as the Chinese written language and the Confucian code of conduct were visible signs of this culture. So great was their virtue, so overwhelming the achievements of the Middle Kingdom in handicrafts and letters and the art of living, that no barbarian could long resist them. Gradually but invariably the barbarian in settled contact with China tended to become Chinese. By this most flattering act he reinforced the Chinese conviction of superiority. On their side the inhabitants of the Middle Kingdom, themselves in large part descendants of barbarians, stood always ready to judge a man by a cultural rather than by a racial or national standard. After centuries as the center of eastern Asia, the Chinese developed what may be called, by analogy to nationalism, a spirit of "culturalism."· Those who did not follow the Chinese way were considered inferior and therefore dangerous when strong. This view was supported by (and emanated from) the entire Confucian cosmology. Another ancient idea which supported this culturalism was the concept of the power of example. Confucianism held that right conduct for all persons consisted in the performance of the proper rites and ceremonies and the preservation of the proper social relationships according to status. Just as to types, they included I) envoys to conferences, 2) envoys sent to maintain alliances, 3) envoys sent to transmit inquiries - as on customary occasions, or when a ruler ascended the throne, or to maintain friendly relations or the like, 4) envoys sent to pay respects, by a ceremony either to return homage or to render thanks, 5) envoys sent to make announcements, including the announcement of disorder, disaster, mourning, natural calamity or defeat, 6) envoys sent to offer condolence for mourning, burial, natural calamity or defeat, and finally, 7) envoys to marriages. There were also customary procedures concerning guests or attaches and the followers of envoys such as bodyguards, interpreters, and servants. The ceremonies for the reception of envoys were carefully detailed in the I-Ii and other works, While the actual practice was recorded in the Ch'unwch'iu and Tso-chuan, in which references correspond to the regulations in the I-Ii. The ceremonial for the dispatch of envoys included the following procedures: I) When the envoy arrived at the frontier of the other country, he announced his arrival and was then welcomed at the frontier and exchanged gifts and extensive civilities with the officials appointed to receive him, both there and at the capital. 2) The envoy went to his lodgings. 3) On the next day he had audience, being treated as the guest of honor. 4) He presented the valuable objects and gifts. 5) He might present an official letter. 6) He was entertained at a big official banquet, and there were various other ceremonies which might be used. Other rules governed the refusal of envoys, and their privileges, among which were immunity from attack, a sort of extra-territoriality freeing them from local law, and exemption from the customs duties. According to the ancient records there were also military representatives of various kinds, and officials in charge of the several aspects of foreign relations. Numerous regulations governed leagues and alliances; and customs duties, passports, settlement of disputes, and international law concerning war and neutrality, were all to be found in one form or another.' TRIBUTE AND TRADE 27 it was the duty of the minister to be loyal, of the son to be filial, and of each person in society to preserve the social order by acting as demanded by etiquette, so it was particularly the duty of the ruler, as the one man who represented his people before Heaven, to set the model for the rest of mankind. There was felt to be a certain virtue or power (te) in right conduct such that it could move others. The virtuous ruler gained prestige and influence over his people merely by exhibiting his virtue. In this way Confucius and his followers had defined an ethical basis for the exercise of political authority over all mankind, including the barbarians.2 By a logical expansion of this theory the emperor's virtuous action was believed to attract irresistibly the barbarians who were outside the pale of Chinese civilization proper. "The kings of former times cultivated their own refinement and virtue in order to subdue persons at a distance whereupon the barbarians (of the east and north) came to Court to ha~e audience" - so reads an official statement of the Ming period about 1530.3 A century and a half later the first Manchu edition of the Collected Statutes records that "When our Dynasty first arose, its awe-inspiring virtue (te) gradually spread and became established. Wherever its name and influence reached, there were none who did not come to Court." 4 Thus the relationship between the emperor and the barbarians came to symbolize the actual historical relationship between China as the center of c~lture and the rude tribes roundabout. This relationship was clearly recogmzed and formed the theoretical basis for the tributary system. The first tenet of this theory was that the uncultivated alien, however crass and stupid, could not but appreciate the superiority of Chinese culture. Natur~lly h~ w~uld seek to "come and be transformed" (lai-hua) , so as to partiCIpate III Its benefits. To do this it was chiefly essential that he should recog?ize the unique position of the Son of Heaven, the One Man who constItuted the apex of the Chinese scheme of things. This conformed with the fundamental dogma that China was the center of the human scene and that the emperor exercised the mandate of Heaven to rule all mankind Chinese and barbarian alike. It also accorded with the basic assumption of Confucian ethics that the organization of society is naturally hierarchic rather than egalitarian, that all superiors should be models for their inferiors, and that the family of nations is just what the name implies - an organized group dominated by the Chinese ruler as its patriarch.5 In this family, barbarians were uncouth country cousins. The relationship which thus inhered between the outer barbarian and the emperor was by no means unilateral and indeed could hardly exist except on a reciprocal basis. It was the function of the emperor to be compassionate ~nd generous. His "tender cherishing of men from afar" (huai-jou yuanJen) is one of the cliches in all documents on foreign relations. The humble