Thus came into existence the early forms of the "Great Wall of China".

This provided for the first time a visible frontier between Chinese and non-Chinese. Along this frontier, just as by the walls of towns, great markets were held at which Chinese peasants bartered their produce to non-Chinese nomads. Both partners in this trade became accustomed to it and drew very substantial profits from it. We even know the names of several great horse-dealers who bought horses from the nomads and sold them within China.

3 _Cultural changes_

Together with the economic and social changes in this period, there came cultural changes. New ideas sprang up in exuberance, as would seem entirely natural, because in times of change and crisis men always come forward to offer solutions for pressing problems. We shall refer here only briefly to the princ.i.p.al philosophers of the period.

Mencius (_c_. 372-289 B.C.) and Hsun Tz[)u] (_c_. 298-238 B.C.) were both followers of Confucianism. Both belonged to the so-called "scholars", and both lived in the present Shantung, that is to say, in eastern China. Both elaborated the ideas of Confucius, but neither of them achieved personal success. Mencius (Meng Tz[)u]) recognized that the removal of the ruling house of the Chou no longer presented any difficulty. The difficult question for him was when a change of ruler would be justified. And how could it be ascertained whom Heaven had destined as successor if the existing dynasty was brought down? Mencius replied that the voice of the "people", that is to say of the upper cla.s.s and its following, would declare the right man, and that this man would then be Heaven's nominee. This theory persisted throughout the history of China. Hsun Tz[)u]'s chief importance lies in the fact that he recognized that the "laws" of nature are unchanging but that man's fate is determined not by nature alone but, in addition, by his own activities. Man's nature is basically bad, but by working on himself within the framework of society, he can change his nature and can develop. Thus, Hsun Tz[)u]'s philosophy contains a dynamic element, fit for a dynamic period of history.

In the strongest contrast to these thinkers was the school of Mo Ti (at some time between 479 and 381 B.C.). The Confucian school held fast to the old feudal order of society, and was only ready to agree to a few superficial changes. The school of Mo Ti proposed to alter the fundamental principles of society. Family ethics must no longer be retained; the principles of family love must be extended to the whole upper cla.s.s, which Mo Ti called the "people". One must love another member of the upper cla.s.s just as much as one's own father. Then the friction between individuals and between states would cease. Instead of families, large groups of people friendly to one another must be created. Further one should live frugally and not expend endless money on effete rites, as the Confucianists demanded. The expenditure on weddings and funerals under the Confucianist ritual consumed so much money that many families fell into debt and, if they were unable to pay off the debt, sank from the upper into the lower cla.s.s. In order to maintain the upper cla.s.s, therefore, there must be more frugality. Mo Ti's teaching won great influence. He and his successors surrounded themselves with a private army of supporters which was rigidly organized and which could be brought into action at any time as its leader wished.

Thus the Mohists came forward everywhere with an approach entirely different from that of the isolated Confucians. When the Mohists offered their a.s.sistance to a ruler, they brought with them a group of technical and military experts who had been trained on the same principles. In consequence of its great influence this teaching was naturally hotly opposed by the Confucianists.

We see clearly in Mo Ti's and his followers' ideas the influence of the changed times. His principle of "universal love" reflects the breakdown of the clans and the general weakening of family bonds which had taken place. His ideal of social organization resembles organizations of merchants and craftsmen which we know only of later periods. His stress upon frugality, too, reflects a line of thought which is typical of businessmen. The rationality which can also be seen in his metaphysical ideas and which has induced modern Chinese scholars to call him an early materialist is fitting to an age in which a developing money economy and expanding trade required a cool, logical approach to the affairs of this world.

A similar mentality can be seen in another school which appeared from the fifth century B.C. on, the "dialecticians". Here are a number of names to mention: the most important are Kung-sun Lung and Hui Tz[)u], who are comparable with the ancient Greek dialecticians and Sophists.

They saw their main task in the development of logic. Since, as we have mentioned, many "scholars" journeyed from one princely court to another, and other people came forward, each recommending his own method to the prince for the increase of his power, it was of great importance to be able to talk convincingly, so as to defeat a rival in a duel of words on logical grounds.

Unquestionably, however, the most important school of this period was that of the so-called Legalists, whose most famous representative was Shang Yang (or Shang Tz[)u], died 338 B.C.). The supporters of this school came princ.i.p.ally from old princely families that had lost their feudal possessions, and not from among the so-called scholars. They were people belonging to the upper cla.s.s who possessed political experience and now offered their knowledge to other princes who still reigned.

These men had entirely given up the old conservative traditions of Confucianism; they were the first to make their peace with the new social order. They recognized that little or nothing remained of the old upper cla.s.s of feudal lords and their following. The last of the feudal lords collected around the heads of the last remaining princely courts, or lived quietly on the estates that still remained to them. Such a cla.s.s, with its moral and economic strength broken, could no longer lead. The Legalists recognized, therefore, only the ruler and next to him, as the really active and responsible man, the chancellor; under these there were to be only the common people, consisting of the richer and poorer peasants; the people's duty was to live and work for the ruler, and to carry out without question whatever orders they received.

They were not to discuss or think, but to obey. The chancellor was to draft laws which came automatically into operation. The ruler himself was to have nothing to do with the government or with the application of the laws. He was only a symbol, a representative of the equally inactive Heaven. Clearly these theories were much the best suited to the conditions of the break-up of feudalism about 300 B.C. Thus they were first adopted by the state in which the old idea of the feudal state had been least developed, the state of Ch'in, in which alien peoples were most strongly represented. Shang Yang became the actual organizer of the state of Ch'in. His ideas were further developed by Han Fei Tz[)u] (died 233 B.C.). The mentality which speaks out of his writings has closest similarity to the famous Indian Arthashastra which originated slightly earlier; both books exhibit a "Machiavellian" spirit. It must be observed that these theories had little or nothing to do with the ideas of the old cult of Heaven or with family allegiance; on the other hand, the soldierly element, with the notion of obedience, was well suited to the militarized peoples of the west. The population of Ch'in, organized throughout on these principles, was then in a position to remove one opponent after another. In the middle of the third century B.C. the greater part of the China of that time was already in the hands of Ch'in, and in 256 B.C. the last emperor of the Chou dynasty was compelled, in his complete impotence, to abdicate in favour of the ruler of Ch'in.

Apart from these more or less political speculations, there came into existence in this period, by no mere chance, a school of thought which never succeeded in fully developing in China, concerned with natural science and comparable with the Greek natural philosophy. We have already several times pointed to parallels between Chinese and Indian thoughts. Such similarities may be the result of mere coincidence. But recent findings in Central Asia indicate that direct connections between India, Persia, and China may have started at a time much earlier than we had formerly thought. Sogdian merchants who later played a great role in commercial contacts might have been active already from 350 or 400 B.C.

on and might have been the transmitters of new ideas. The most important philosopher of this school was Tsou Yen (flourished between 320 and 295 B.C.); he, as so many other Chinese philosophers of this time, was a native of Shantung, and the ports of the Shantung coast may well have been ports of entrance of new ideas from Western Asia as were the roads through the Turkestan basin into Western China. Tsou Yen's basic ideas had their root in earlier Chinese speculations: the doctrine that all that exists is to be explained by the positive, creative, or the negative, pa.s.sive action (Yang and Yin) of the five elements, wood, fire, earth, metal, and water (Wu hsing). But Tsou Yen also considered the form of the world, and was the first to put forward the theory that the world consists not of a single continent with China in the middle of it, but of nine continents. The names of these continents sound like Indian names, and his idea of a central world-mountain may well have come from India. The "scholars" of his time were quite unable to appreciate this beginning of science, which actually led to the contention of this school, in the first century B.C., that the earth was of spherical shape. Tsou Yen himself was ridiculed as a dreamer; but very soon, when the idea of the reciprocal destruction of the elements was applied, perhaps by Tsou Yen himself, to politics, namely when, in connection with the astronomical calculations much cultivated by this school and through the identification of dynasties with the five elements, the attempt was made to explain and to calculate the duration and the supersession of dynasties, strong pressure began to be brought to bear against this school. For hundreds of years its books were distributed and read only in secret, and many of its members were executed as revolutionaries. Thus, this school, instead of becoming the nucleus of a school of natural science, was driven underground. The secret societies which started to arise clearly from the first century B.C. on, but which may have been in existence earlier, adopted the politico-scientific ideas of Tsou Yen's school. Such secret societies have existed in China down to the present time. They all contained a strong religious, but heterodox element which can often be traced back to influences from a foreign religion. In times of peace they were centres of a true, emotional religiosity. In times of stress, a "messianic" element tended to become prominent: the world is bad and degenerating; morality and a just social order have decayed, but the coming of a savior is close; the saviour will bring a new, fair order and destroy those who are wicked. Tsou Yen's philosophy seemed to allow them to calculate when this new order would start; later secret societies contained ideas from Iranian Mazdaism, Manichaeism and Buddhism, mixed with traits from the popular religions and often couched in terms taken from the Taoists. The members of such societies were, typically, ordinary farmers who here found an emotional outlet for their frustrations in daily life. In times of stress, members of the leading _elite_ often but not always established contacts with these societies, took over their leadership and led them to open rebellion. The fate of Tsou Yen's school did not mean that the Chinese did not develop in the field of sciences. At about Tsou Yen's lifetime, the first mathematical handbook was written. From these books it is obvious that the interest of the government in calculating the exact size of fields, the content of measures for grain, and other fiscal problems stimulated work in this field, just as astronomy developed from the interest of the government in the fixation of the calendar. Science kept on developing in other fields, too, but mainly as a hobby of scholars and in the shops of craftsmen, if it did not have importance for the administration and especially taxation and budget calculations.

Chapter Five

THE CH'IN DYNASTY (256-207 B.C.)

1 _Towards the unitary State_

In 256 B.C. the last ruler of the Chou dynasty abdicated in favour of the feudal lord of the state of Ch'in. Some people place the beginning of the Ch'in dynasty in that year, 256 B.C.; others prefer the date 221 B.C., because it was only in that year that the remaining feudal states came to their end and Ch'in really ruled all China.

The territories of the state of Ch'in, the present Shensi and eastern Kansu, were from a geographical point of view transit regions, closed off in the north by steppes and deserts and in the south by almost impa.s.sable mountains. Only between these barriers, along the rivers Wei (in Shensi) and T'ao (in Kansu), is there a rich cultivable zone which is also the only means of transit from east to west. All traffic from and to Turkestan had to take this route. It is believed that strong relations with eastern Turkestan began in this period, and the state of Ch'in must have drawn big profits from its "foreign trade". The merchant cla.s.s quickly gained more and more importance. The population was growing through immigration from the east which the government encouraged. This growing population with its increasing means of production, especially the great new irrigation systems, provided a welcome field for trade which was also furthered by the roads, though these were actually built for military purposes.

The state of Ch'in had never been so closely a.s.sociated with the feudal communities of the rest of China as the other feudal states. A great part of its population, including the ruling cla.s.s, was not purely Chinese but contained an admixture of Turks and Tibetans. The other Chinese even called Ch'in a "barbarian state", and the foreign influence was, indeed, unceasing. This was a favourable soil for the overcoming of feudalism, and the process was furthered by the factors mentioned in the preceding chapter, which were leading to a change in the social structure of China. Especially the recruitment of the whole population, including the peasantry, for war was entirely in the interest of the influential nomad fighting peoples within the state. About 250 B.C., Ch'in was not only one of the economically strongest among the feudal states, but had already made an end of its own feudal system.

Every feudal system harbours some seeds of a bureaucratic system of administration: feudal lords have their personal servants who are not recruited from the n.o.bility, but who by their easy access to the lord can easily gain importance. They may, for instance, be put in charge of estates, workshops, and other properties of the lord and thus acquire experience in administration and an efficiency which are obviously of advantage to the lord. When Chinese lords of the preceding period, with the help of their sub-lords of the n.o.bility, made wars, they tended to put the newly-conquered areas not into the hands of newly-enfeoffed n.o.blemen, but to keep them as their property and to put their administration into the hands of efficient servants; these were the first bureaucratic officials. Thus, in the course of the later Chou period, a bureaucratic system of administration had begun to develop, and terms like "district" or "prefecture" began to appear, indicating that areas under a bureaucratic administration existed beside and inside areas under feudal rule. This process had gone furthest in Ch'in and was sponsored by the representatives of the Legalist School, which was best adapted to the new economic and social situation.

A son of one of the concubines of the penultimate feudal ruler of Ch'in was living as a hostage in the neighbouring state of Chao, in what is now northern Shansi. There he made the acquaintance of an unusual man, the merchant Lu Pu-wei, a man of education and of great political influence. Lu Pu-wei persuaded the feudal ruler of Ch'in to declare this son his successor. He also sold a girl to the prince to be his wife, and the son of this marriage was to be the famous and notorious Shih Huang-ti. Lu Pu-wei came with his protege to Ch'in, where he became his Prime Minister, and after the prince's death in 247 B.C. Lu Pu-wei became the regent for his young son Shih Huang-ti (then called Cheng).

For the first time in Chinese history a merchant, a commoner, had reached one of the highest positions in the state. It is not known what sort of trade Lu Pu-wei had carried on, but probably he dealt in horses, the princ.i.p.al export of the state of Chao. As horses were an absolute necessity for the armies of that time, it is easy to imagine that a horse-dealer might gain great political influence.

Soon after Shih Huang-ti's accession Lu Pu-wei was dismissed, and a new group of advisers, strong supporters of the Legalist school, came into power. These new men began an active policy of conquest instead of the peaceful course which Lu Pu-wei had pursued. One campaign followed another in the years from 230 to 222, until all the feudal states had been conquered, annexed, and brought under Shih Huang-ti's rule.

2 _Centralization in every field_

The main task of the now gigantic realm was the organization of administration. One of the first acts after the conquest of the other feudal states was to deport all the ruling families and other important n.o.bles to the capital of Ch'in; they were thus deprived of the basis of their power, and their land could be sold. These upper-cla.s.s families supplied to the capital a cla.s.s of consumers of luxury goods which attracted craftsmen and businessmen and changed the character of the capital from that of a provincial town to a centre of arts and crafts.

It was decided to set up the uniform system of administration throughout the realm, which had already been successfully introduced in Ch'in: the realm was split up into provinces and the provinces into prefectures; and an official was placed in charge of each province or prefecture.

Originally the prefectures in Ch'in had been placed directly under the central administration, with an official, often a merchant, being responsible for the collection of taxes; the provinces, on the other hand, formed a sort of military command area, especially in the newly-conquered frontier territories. With the growing militarization of Ch'in, greater importance was a.s.signed to the provinces, and the prefectures were made subordinate to them. Thus the officials of the provinces were originally army officers but now, in the reorganization of the whole realm, the distinction between civil and military administration was abolished. At the head of the province were a civil and also a military governor, and both were supervised by a controller directly responsible to the emperor. Since there was naturally a continual struggle for power between these three officials, none of them was supreme and none could develop into a sort of feudal lord. In this system we can see the essence of the later Chinese administration.

[Ill.u.s.tration: 3 Bronze plaque representing two horses fighting each other. Ordos region, animal style. _From V. Griessmaier: Sammlung Baron Eduard von der Heydt, Vienna_ 1936, _ill.u.s.tration No_. 6.]

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

[Ill.u.s.tration: 5 Part of the 'Great Wall'. _Photo Eberhard_.]

Owing to the centuries of division into independent feudal states, the various parts of the country had developed differently. Each province spoke a different dialect which also contained many words borrowed from the language of the indigenous population; and as these earlier populations sometimes belonged to different races with different languages, in each state different words had found their way into the Chinese dialects. This caused divergences not only in the spoken but in the written language, and even in the characters in use for writing.

There exist to this day dictionaries in which the borrowed words of that time are indicated, and keys to the various old forms of writing also exist. Thus difficulties arose if, for instance, a man from the old territory of Ch'in was to be transferred as an official to the east: he could not properly understand the language and could not read the borrowed words, if he could read at all! For a large number of the officials of that time, especially the officers who became military governors, were certainly unable to read. The government therefore ordered that the language of the whole country should be unified, and that a definite style of writing should be generally adopted. The words to be used were set out in lists, so that the first lexicography came into existence simply through the needs of practical administration, as had happened much earlier in Babylon. Thus, the few recently found ma.n.u.scripts from pre-Ch'in times still contain a high percentage of Chinese characters which we cannot read because they were local characters; but all words in texts after the Ch'in time can be read because they belong to the standardized script. We know now that all cla.s.sical texts of pre-Ch'in time as we have them today, have been re-written in this standardized script in the second century B.C.: we do not know which words they actually contained at the time when they were composed, nor how these words were actually p.r.o.nounced, a fact which makes the reconstruction of Chinese language before Ch'in very difficult.

The next requirement for the carrying on of the administration was the unification of weights and measures and, a surprising thing to us, of the gauge of the tracks for wagons. In the various feudal states there had been different weights and measures in use, and this had led to great difficulties in the centralization of the collection of taxes. The centre of administration, that is to say the new capital of Ch'in, had grown through the transfer of n.o.bles and through the enormous size of the administrative staff into a thickly populated city with very large requirements of food. The fields of the former state of Ch'in alone could not feed the city; and the grain supplied in payment of taxation had to be brought in from far around, partly by cart. The only roads then existing consisted of deep cart-tracks. If the axles were not of the same length for all carts, the roads were simply unusable for many of them. Accordingly a fixed length was laid down for axles. The advocates of all these reforms were also their beneficiaries, the merchants.

The first principle of the Legalist school, a principle which had been applied in Ch'in and which was to be extended to the whole realm, was that of the training of the population in discipline and obedience, so that it should become a convenient tool in the hands of the officials.

This requirement was best met by a people composed as far as possible only of industrious, uneducated, and tax-paying peasants. Scholars and philosophers were not wanted, in so far as they were not directly engaged in work commissioned by the state. The Confucianist writings came under special attack because they kept alive the memory of the old feudal conditions, preaching the ethic of the old feudal cla.s.s which had just been destroyed and must not be allowed to rise again if the state was not to suffer fresh dissolution or if the central administration was not to be weakened. In 213 B.C. there took place the great holocaust of books which destroyed the Confucianist writings with the exception of one copy of each work for the State Library. Books on practical subjects were not affected. In the fighting at the end of the Ch'in dynasty the State Library was burnt down, so that many of the old works have only come down to us in an imperfect state and with doubtful accuracy. The real loss arose, however, from the fact that the new generation was little interested in the Confucianist literature, so that when, fifty years later, the effort was made to restore some texts from the oral tradition, there no longer existed any scholars who really knew them by heart, as had been customary in the past.

In 221 B.C. Shih Huang-ti had become emperor of all China. The judgments pa.s.sed on him vary greatly: the official Chinese historiography rejects him entirely--naturally, for he tried to exterminate Confucianism, while every later historian was himself a Confucian. Western scholars often treat him as one of the greatest men in world history. Closer research has shown that Shih Huang-ti was evidently an average man without any great gifts, that he was superst.i.tious, and shared the tendency of his time to mystical and shamanistic notions. His own opinion was that he was the first of a series of ten thousand emperors of his dynasty (Shih Huang-ti means "First Emperor"), and this merely suggests megalomania.

The basic principles of his administration had been laid down long before his time by the philosophers of the Legalist school, and were given effect by his Chancellor Li Ss[)u]. Li Ss[)u] was the really great personality of that period. The Legalists taught that the ruler must do as little as possible himself. His Ministers were there to act for him.

He himself was to be regarded as a symbol of Heaven. In that capacity Shih Huang-ti undertook periodical journeys into the various parts of the empire, less for any practical purpose of inspection than for purposes of public worship. They corresponded to the course of the sun, and this indicates that Shih Huang-ti had adopted a notion derived from the older northern culture of the nomad peoples.

He planned the capital in an ambitious style but, although there was real need for extension of the city, his plans can scarcely be regarded as of great service. His enormous palace, and also his mausoleum which was built for him before his death, were constructed in accordance with astral notions. Within the palace the emperor continually changed his residential quarters, probably not only from fear of a.s.sa.s.sination but also for astral reasons. His mausoleum formed a hemispherical dome, and all the stars of the sky were painted on its interior.

3 _Frontier defence. Internal collapse_

When the empire had been unified by the destruction of the feudal states, the central government became responsible for the protection of the frontiers from attack from without. In the south there were only peoples in a very low state of civilization, who could offer no serious menace to the Chinese. The trading colonies that gradually extended to Canton and still farther south served as Chinese administrative centres for provinces and prefectures, with small but adequate armies of their own, so that in case of need they could defend themselves. In the north the position was much more difficult. In addition to their conquest within China, the rulers of Ch'in had pushed their frontier far to the north. The nomad tribes had been pressed back and deprived of their best pasturage, namely the Ordos region. When the livelihood of nomad peoples is affected, when they are threatened with starvation, their tribes often collect round a tribal leader who promises new pasturage and better conditions of life for all who take part in the common campaigns.

In this way the first great union of tribes in the north of China came into existence in this period, forming the realm of the Hsiung-nu under their first leader, T'ou-man. This first realm of the Hsiung-nu was not yet extensive, but its ambitious and warlike att.i.tude made it a danger to Ch'in. It was therefore decided to maintain a large permanent army in the north. In addition to this, the frontier walls already existing in the mountains were rebuilt and made into a single great system. Thus came into existence in 214 B.C., out of the blood and sweat of countless pressed labourers, the famous Great Wall.

On one of his periodical journeys the emperor fell ill and died. His death was the signal for the rising of many rebellious elements. n.o.bles rose in order to regain power and influence; generals rose because they objected to the permanent pressure from the central administration and their supervision by controllers; men of the people rose as popular leaders because the people were more tormented than ever by forced labour, generally at a distance from their homes. Within a few months there were six different rebellions and six different "rulers".

a.s.sa.s.sinations became the order of the day; the young heir to the throne was removed in this way and replaced by another young prince. But as early as 206 B.C. one of the rebels, Liu Chi (also called Liu Pang), entered the capital and dethroned the nominal emperor. Liu Chi at first had to retreat and was involved in hard fighting with a rival, but gradually he succeeded in gaining the upper hand and defeated not only his rival but also the other eighteen states that had been set up anew in China in those years.

THE MIDDLE AGES

Chapter Six

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

I _Development of the gentry-state_

In 206 B.C. Liu Chi a.s.sumed the t.i.tle of Emperor and gave his dynasty the name of the Han Dynasty. After his death he was given as emperor the name of Kao Tsu.[4] The period of the Han dynasty may be described as the beginning of the Chinese Middle Ages, while that of the Ch'in dynasty represents the transition from antiquity to the Middle Ages; for under the Han dynasty we meet in China with a new form of state, the "gentry state". The feudalism of ancient times has come definitely to its end.

[Footnote 4: From then on, every emperor was given after his death an official name as emperor, under which he appears in the Chinese sources.

We have adopted the original or the official name according to which of the two has come into the more general use in Western books.]