(3) The Hsi-Hsia State in the north (1038-1227)

1 _Continuation of Turkish traditions_

After the end of the Toba state in North China in 550, some tribes of the Toba, including members of the ruling tribe with the tribal name Toba, withdrew to the borderland between Tibet and China, where they ruled over Tibetan and Tangut tribes. At the beginning of the T'ang dynasty this tribe of Toba joined the T'ang. The tribal leader received in return, as a distinction, the family name of the T'ang dynasty, Li.

His dependence on China was, however, only nominal and soon came entirely to an end. In the tenth century the tribe gained in strength.

It is typical of the long continuance of old tribal traditions that a leader of the tribe in the tenth century married a woman belonging to the family to which the khans of the Hsiung-nu and all Turkish ruling houses had belonged since 200 B.C. With the rise of the Kitan in the north and of the Tibetan state in the south, the tribe decided to seek the friendship of China. Its first mission, in 982, was well received.

Presents were sent to the chieftain of the tribe, he was helped against his enemies, and he was given the status of a feudatory of the Sung; in 988 the family name of the Sung, Chao, was conferred on him. Then the Kitan took a hand. They over-trumped the Sung by proclaiming the tribal chieftain king of Hsia (990). Now the small state became interesting. It was pampered by Liao and Sung in the effort to win it over or to keep its friendship. The state grew; in 1031 its ruler resumed the old family name of the Toba, thus proclaiming his intention to continue the Toba empire; in 1034 he definitely parted from the Sung, and in 1038 he proclaimed himself emperor in the Hsia dynasty, or, as the Chinese generally called it, the "Hsi-Hsia", which means the Western Hsia. This name, too, had a.s.sociations with the old Hun tradition; it recalled the state of Ho-lien P'o-p'o in the early fifth century. The state soon covered the present province of Kansu, small parts of the adjoining Tibetan territory, and parts of the Ordos region. It attacked the province of Shensi, but the Chinese and the Liao attached the greatest importance to that territory. Thus that was the scene of most of the fighting.

[Ill.u.s.tration: 12 Ancient tiled paG.o.da at Chengting (Hopei). _Photo H.

Hammer-Morrisson_.]

[Ill.u.s.tration: 13 Horse-training. Painting by Li Lung-mien. Late Sung period. _Manchu Royal House Collection_.] The Hsia state had a ruling group of Toba, but these Toba had become entirely tibetanized. The language of the country was Tibetan; the customs were those of the Tanguts. A script was devised, in imitation of the Chinese script. Only in recent years has it begun to be studied.

In 1125, when the Tungusic Juchen destroyed the Liao, the Hsia also lost large territories in the east of their country, especially the province of Shensi, which they had conquered; but they were still able to hold their own. Their political importance to China, however, vanished, since they were now divided from southern China and as partners were no longer of the same value to it. Not until the Mongols became a power did the Hsia recover some of their importance; but they were among the first victims of the Mongols: in 1209 they had to submit to them, and in 1227, the year of the death of Genghiz Khan, they were annihilated.

(4) The empire of the Southern Sung dynasty (1127-1279)

1 _Foundation_

In the disaster of 1126, when the Juchen captured the Sung capital and destroyed the Sung empire, a brother of the captive emperor escaped. He made himself emperor in Nanking and founded the "Southern Sung" dynasty, whose capital was soon shifted to the present Hangchow. The foundation of the new dynasty was a relatively easy matter, and the new state was much more solid than the southern kingdoms of 800 years earlier, for the south had already been economically supreme, and the great families that had ruled the state were virtually all from the south. The loss of the north, i.e. the area north of the Yellow River and of parts of Kiangsu, was of no importance to this governing group and meant no loss of estates to it. Thus the transition from the Northern to the Southern Sung was not of fundamental importance. Consequently the Juchen had no chance of success when they arranged for Liu Yu, who came of a northern Chinese family of small peasants and had become an official, to be proclaimed emperor in the "Ch'i" dynasty in 1130. They hoped that this puppet might attract the southern Chinese, but seven years later they dropped him.

2 _Internal situation_

As the social structure of the Southern Sung empire had not been changed, the country was not affected by the dynastic development. Only the policy of diplomacy could not be pursued at once, as the Juchen were bellicose at first and would not negotiate. There were therefore several battles at the outset (in 1131 and 1134), in which the Chinese were actually the more successful, but not decisively. The Sung military group was faced as early as in 1131 with furious opposition from the greater gentry, led by Ch'in K'ui, one of the largest landowners of all.

His estates were around Nanking, and so in the deployment region and the region from which most of the soldiers had to be drawn for the defensive struggle. Ch'in K'ui secured the a.s.sa.s.sination of the leader of the military party, General Yo Fei, in 1141, and was able to conclude peace with the Juchen. The Sung had to accept the status of va.s.sals and to pay annual tribute to the Juchen. This was the situation that best pleased the greater gentry. They paid hardly any taxes (in many districts the greater gentry directly owned more than 30 per cent of the land, in addition to which they had indirect interests in the soil), and they were now free from the war peril that ate into their revenues. The tribute amounted only to 500,000 strings of cash. Popular literature, however, to this day represents Ch'in K'ui as a traitor and Yo Fei as a national hero.

In 1165 it was agreed between the Sung and the Juchen to regard each other as states with equal rights. It is interesting to note here that in the treaties during the Han time with the Hsiung-nu, the two countries called one another brothers--with the Chinese ruler as the older and thus privileged brother; but the treaties since the T'ang time with northern powers and with Tibetans used the terms father-in-law and son-in-law. The foreign power was the "father-in-law", i.e. the older and, therefore, in a certain way the more privileged; the Chinese were the "son-in-law", the representative of the paternal lineage and, therefore, in another respect also the more privileged! In spite of such agreements with the Juchen, fighting continued, but it was mainly of the character of frontier engagements. Not until 1204 did the military party, led by Han T'o-wei, regain power; it resolved upon an active policy against the north. In preparation for this a military reform was carried out. The campaign proved a disastrous failure, as a result of which large territories in the north were lost. The Sung sued for peace; Han T'o-wei's head was cut off and sent to the Juchen. In this way peace was restored in 1208. The old treaty relationship was now resumed, but the relations between the two states remained tense.

Meanwhile the Sung observed with malicious pleasure how the Mongols were growing steadily stronger, first destroying the Hsia state and then aiming the first heavy blows against the Juchen. In the end the Sung entered into alliance with the Mongols (1233) and joined them in attacking the Juchen, thus hastening the end of the Juchen state.

The Sung now faced the Mongols, and were defenceless against them. All the buffer states had gone. The Sung were quite without adequate military defence. They hoped to stave off the Mongols in the same way as they had met the Kitan and the Juchen. This time, however, they misjudged the situation. In the great operations begun by the Mongols in 1273 the Sung were defeated over and over again. In 1276 their capital was taken by the Mongols and the emperor was made prisoner. For three years longer there was a Sung emperor, in flight from the Mongols, until the last emperor perished near Macao in South China.

3 _Cultural situation; reasons for the collapse_

The Southern Sung period was again one of flourishing culture. The imperial court was entirely in the power of the greater gentry; several times the emperors, who personally do not deserve individual mention, were compelled to abdicate. They then lived on with a court of their own, devoting themselves to pleasure in much the same way as the "reigning" emperor. Round them was a countless swarm of poets and artists. Never was there a time so rich in poets, though hardly one of them was in any way outstanding. The poets, unlike those of earlier times, belonged to the lesser gentry who were suffering from the prevailing inflation. Salaries bore no relation to prices. Food was not dear, but the things which a man of the upper cla.s.s ought to have were far out of reach: a big house cost 2,000 strings of cash, a concubine 800 strings. Thus the lesser gentry and the intelligentsia all lived on their patrons among the greater gentry--with the result that they were entirely shut out of politics. This explains why the literature of the time is so unpolitical, and also why scarcely any philosophical works appeared. The writers took refuge more and more in romanticism and flight from realities.

The greater gentry, on the other hand, led a very elegant life, building themselves magnificent palaces in the capital. They also speculated in every direction. They speculated in land, in money, and above all in the paper money that was coming more and more into use. In 1166 the paper circulation exceeded the value of 10,000,000 strings!

It seems that after 1127 a good number of farmers had left Honan and the Yellow River plains when the Juchen conquered these places and showed little interest in fostering agriculture; more left the border areas of Southern Sung because of permanent war threat. Many of these lived miserably as tenants on the farms of the gentry between Nanking and Hangchow. Others migrated farther to the south, across Kiangsi into southern f.u.kien. These migrants seem to have been the ancestors of the Hakka which in the following centuries continued their migration towards the south and who from the nineteenth century on were most strongly concentrated in Kw.a.n.gtung and Kw.a.n.gsi provinces as free farmers on hill slopes or as tenants of local landowners in the plains.

The influx of migrants and the increase of tenants and their poverty seriously threatened the state and cut down its defensive strength more and more.

At this stage, Chia Ssu-tao drafted a reform law. Chia had come to the court through his sister becoming the emperor's concubine, but he himself belonged to the lesser gentry. His proposal was that state funds should be applied to the purchase of land in the possession of the greater gentry over and above a fixed maximum. Peasants were to be settled on this land, and its yield was to belong to the state, which would be able to use it to meet military expenditure. In this way the country's military strength was to be restored. Chia's influence lasted just ten years, until 1275. He began putting the law into effect in the region south of Nanking, where the princ.i.p.al estates of the greater gentry were then situated. He brought upon himself, of course, the mortal hatred of the greater gentry, and paid for his action with his life. The emperor, in entering upon this policy, no doubt had hoped to recover some of his power, but the greater gentry brought him down. The gentry now openly played into the hands of the approaching Mongols, so hastening the final collapse of the Sung. The peasants and the lesser gentry would have fought the Mongols if it had been possible; but the greater gentry enthusiastically went over to the Mongols, hoping to save their property and so their influence by quickly joining the enemy. On a long view they had not judged badly. The Mongols removed the members of the gentry from all political posts, but left them their estates; and before long the greater gentry reappeared in political life. And when, later, the Mongol empire in China was brought down by a popular rising, the greater gentry showed themselves to be the most faithful allies of the Mongols!

(5) The empire of the Juchen in the north (1115-1234)

1 _Rapid expansion from northern Korea to the Yangtze_

The Juchen in the past had been only a small league of Tungus tribes, whose name is preserved in that of the present Tungus tribe of the Jurchen, which came under the domination of the Kitan after the collapse of the state of Po-hai in northern Korea. We have already briefly mentioned the reasons for their rise. After their first successes against the Kitan (1114), their chieftain at once proclaimed himself emperor (1115), giving his dynasty the name "Chin" (The Golden). The Chin quickly continued their victorious progress. In 1125 the Kitan empire was destroyed. It will be remembered that the Sung were at once attacked, although they had recently been allied with the Chin against the Kitan. In 1126 the Sung capital was taken. The Chin invasions were pushed farther south, and in 1130 the Yangtze was crossed. But the Chin did not hold the whole of these conquests. Their empire was not yet consolidated. Their partial withdrawal closed the first phase of the Chin empire.

2 _United front of all Chinese_

But a few years after this maximum expansion, a withdrawal began which went on much more quickly than usual in such cases. The reasons were to be found both in external and in internal politics. The Juchen had gained great agrarian regions in a rapid march of conquest. Once more great cities with a huge urban population and immense wealth had fallen to alien conquerors. Now the Juchen wanted to enjoy this wealth as the Kitan had done before them. All the Juchen people counted as citizens of the highest cla.s.s; they were free from taxation and only liable to military service. They were ent.i.tled to take possession of as much cultivable land as they wanted; this they did, and they took not only the "state domains" actually granted to them but also peasant properties, so that Chinese free peasants had nothing left but the worst fields, unless they became tenants on Juchen estates. A united front was therefore formed between all Chinese, both peasants and landowning gentry, against the Chin, such as it had not been possible to form against the Kitan. This made an important contribution later to the rapid collapse of the Chin empire.

The Chin who had thus come into possession of the cultivable land and at the same time of the wealth of the towns, began a sort of compet.i.tion with each other for the best winnings, especially after the government had returned to the old Sung capital, Pien-liang (now K'ai-feng, in eastern Honan). Serious crises developed in their own ranks. In 1149 the ruler was a.s.sa.s.sinated by his chancellor (a member of the imperial family), who in turn was murdered in 1161. The Chin thus failed to attain what had been secured by all earlier conquerors, a reconciliation of the various elements of the population and the collaboration of at least one group of the defeated Chinese.

3 _Start of the Mongol empire_

The cessation of fighting against the Sung brought no real advantage in external affairs, though the tribute payments appealed to the greed of the rulers and were therefore welcomed. There could be no question of further campaigns against the south, for the Hsia empire in the west had not been destroyed, though some of its territory had been annexed; and a new peril soon made its appearance in the rear of the Chin. When in the tenth century the Sha-t'o Turks had to withdraw from their dominating position in China, because of their great loss of numbers and consequently of strength, they went back into Mongolia and there united with the Ta-tan (Tatars), among whom a new small league of tribes had formed towards the end of the eleventh century, consisting mainly of Mongols and Turks. In 1139 one of the chieftains of the Juchen rebelled and entered into negotiations with the South Chinese. He was killed, but his sons and his whole tribe then rebelled and went into Mongolia, where they made common cause with the Mongols. The Chin pursued them, and fought against them and against the Mongols, but without success.

Accordingly negotiations were begun, and a promise was given to deliver meat and grain every year and to cede twenty-seven military strongholds.

A high t.i.tle was conferred on the tribal leader of the Mongols, in the hope of gaining his favour. He declined it, however, and in 1147 a.s.sumed the t.i.tle of emperor of the "greater Mongol empire". This was the beginning of the power of the Mongols, who remained thereafter a dangerous enemy of the Chin in the north, until in 1189 Genghiz Khan became their leader and made the Mongols the greatest power of central Asia. In any case, the Chin had reason to fear the Mongols from 1147 onward, and therefore were the more inclined to leave the Sung in peace.

In 1210 the Mongols began the first great a.s.sault against the Chin, the moment they had conquered the Hsia. In the years 1215-17 the Mongols took the military key-positions from the Chin. After that there could be no serious defence of the Chin empire. There came a respite only because the Mongols had turned against the West. But in 1234 the empire finally fell to the Mongols.

Many of the Chin entered the service of the Mongols, and with their permission returned to Manchuria; there they fell back to the cultural level of a warlike nomad people. Not until the sixteenth century did these Tunguses recover, reorganize, and appear again in history this time under the name of Manchus.

The North Chinese under Chin rule did not regard the Mongols as enemies of their country, but were ready at once to collaborate with them. The Mongols were even more friendly to them than to the South Chinese, and treated them rather better.

Chapter Ten

THE PERIOD OF ABSOLUTISM

(A) The Mongol Epoch (1280-1368)

1 _Beginning of new foreign rules_

During more than half of the third period of "Modern Times" which now began, China was under alien rule. Of the 631 years from 1280 to 1911, China was under national rulers for 276 years and under alien rule for 355. The alien rulers were first the Mongols, and later the Tungus Manchus. It is interesting to note that the alien rulers in the earlier period came mainly from the north-west, and only in modern times did peoples from the north-east rule over China. This was due in part to the fact that only peoples who had attained a certain level of civilization were capable of dominance. In antiquity and the Middle Ages, eastern Mongolia and Manchuria were at a relatively low level of civilization, from which they emerged only gradually through permanent contact with other nomad peoples, especially Turks. We are dealing here, of course, only with the Mongol epoch in China and not with the great Mongol empire, so that we need not enter further into these questions.

Yet another point is characteristic: the Mongols were the first alien people to rule the whole of China; the Manchus, who appeared in the seventeenth century, were the second and last. All alien peoples before these two ruled only parts of China. Why was it that the Mongols were able to be so much more successful than their predecessors? In the first place the Mongol political league was numerically stronger than those of the earlier alien peoples; secondly, the military organization and technical equipment of the Mongols were exceptionally advanced for their day. It must be borne in mind, for instance, that during their many years of war against the Sung dynasty in South China the Mongols already made use of small cannon in laying siege to towns. We have no exact knowledge of the number of Mongols who invaded and occupied China, but it is estimated that there were more than a million Mongols living in China. Not all of them, of course, were really Mongols! The name covered Turks, Tunguses, and others; among the auxiliaries of the Mongols were Uighurs, men from Central Asia and the Middle East, and even Europeans.

When the Mongols attacked China they had the advantage of all the arts and crafts and all the new technical advances of western and central Asia and of Europe. Thus they had attained a high degree of technical progress, and at the same time their number was very great.

2 "_Nationality legislation_"

It was only after the Hsia empire in North China, and then the empire of the Juchen, had been destroyed by the Mongols, and only after long and remarkably modern tactical preparation, that the Mongols conquered South China, the empire of the Sung dynasty. They were now faced with the problem of ruling their great new empire. The conqueror of that empire, Kublai, himself recognized that China could not be treated in quite the same way as the Mongols' previous conquests; he therefore separated the empire in China from the rest of the Mongol empire. Mongol China became an independent realm within the Mongol empire, a sort of Dominion. The Mongol rulers were well aware that in spite of their numerical strength they were still only a minority in China, and this implied certain dangers. They therefore elaborated a "nationality legislation", the first of its kind in the Far East. The purpose of this legislation was, of course, to be the protection of the Mongols. The population of conquered China was divided into four groups--(1) Mongols, themselves falling into four sub-groups (the oldest Mongol tribes, the White Tatars, the Black Tatars, the Wild Tatars); (2) Central Asian auxiliaries (Naimans, Uighurs, and various other Turkish people, Tanguts, and so on); (3) North Chinese; (4) South Chinese. The Mongols formed the privileged ruling cla.s.s. They remained militarily organized, and were distributed in garrisons over all the big towns of China as soldiers, maintained by the state. All the higher government posts were reserved for them, so that they also formed the heads of the official staffs. The auxiliary peoples were also admitted into the government service; they, too, had privileges, but were not all soldiers but in many cases merchants, who used their privileged position to promote business. Not a few of these merchants were Uighurs and Mohammedans; many Uighurs were also employed as clerks, as the Mongols were very often unable to read and write Chinese, and the government offices were bilingual, working in Mongolian and Chinese. The clever Uighurs quickly learned enough of both languages for official purposes, and made themselves indispensable a.s.sistants to the Mongols. Persian, the main language of administration in the western parts of the Mongol empire besides Uighuric, also was a _lingua franca_ among the new rulers of China.

In the Mongol legislation the South Chinese had the lowest status, and virtually no rights. Intermarriage with them was prohibited. The Chinese were not allowed to carry arms. For a time they were forbidden even to learn the Mongol or other foreign languages. In this way they were to be prevented from gaining official positions and playing any political part. Their ignorance of the languages of northern, central, and western Asia also prevented them from engaging in commerce like the foreign merchants, and every possible difficulty was put in the way of their travelling for commercial purposes. On the other hand, foreigners were, of course, able to learn Chinese, and so to gain a footing in Chinese internal trade.

Through legislation of this type the Mongols tried to build up and to safeguard their domination over China. Yet their success did not last a hundred years.

3 _Military position_

In foreign affairs the Mongol epoch was for China something of a breathing s.p.a.ce, for the great wars of the Mongols took place at a remote distance from China and without any Chinese partic.i.p.ation. Only a few concluding wars were fought under Kublai in the Far East. The first was his war against j.a.pan (1281): it ended in complete failure, the fleet being destroyed by a storm. In this campaign the Chinese furnished ships and also soldiers. The subjection of j.a.pan would have been in the interest of the Chinese, as it would have opened a market which had been almost closed against them in the Sung period. Mongol wars followed in the south. In 1282 began the war against Burma; in 1284 Annam and Cambodia were conquered; in 1292 a campaign was started against Java. It proved impossible to hold Java, but almost the whole of Indo-China came under Mongol rule, to the satisfaction of the Chinese, for Indo-China had already been one of the princ.i.p.al export markets in the Sung period.

After that, however, there was virtually no more warfare, apart from small campaigns against rebellious tribes. The Mongol soldiers now lived on their pay in their garrisons, with nothing to do. The old campaigners died and were followed by their sons, brought up also as soldiers; but these young Mongols were born in China, had seen nothing of war, and learned of the soldiers' trade either nothing or very little; so that after about 1320 serious things happened. An army nominally 1,000 strong was sent against a group of barely fifty bandits and failed to defeat them. Most of the 1,000 soldiers no longer knew how to use their weapons, and many did not even join the force. Such incidents occurred again and again.

4 _Social situation_