A History of China, Wolfram Eberhard [ebook offline txt] 📗

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 attitude 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. Nobles 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". Assassinations 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 assumed the title 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.]

Emperor Kao Tsu came from eastern China, and his family seems to have been a peasant family; in any case it did not belong to the old nobility. After his destruction of his strongest rival, the removal of the kings who had made themselves independent in the last years of the Ch'in dynasty was a relatively easy task for the new autocrat, although these struggles occupied the greater part of his reign. A much more difficult question, however, faced him: How was the empire to be governed? Kao Tsu's old friends and fellow-countrymen, who had helped him into power, had been rewarded by appointment as generals or high officials. Gradually he got rid of those who had been his best comrades, as so many upstart rulers have done before and after him in every country in the world. An emperor does not like to be reminded of a very humble past, and he is liable also to fear the rivalry of men who formerly were his equals. It is evident that little attention was paid to theories of administration; policy was determined mainly by practical considerations. Kao Tsu allowed many laws and regulations to remain in force, including the prohibition of Confucianist writings. On the other hand, he reverted to the allocation of fiefs, though not to old noble families but to his relatives and some of his closest adherents, generally men of inferior social standing. Thus a mixed administration came into being: part of the empire was governed by new feudal princes, and another part split up into provinces and prefectures and placed directly under the central power through its officials.

But whence came the officials? Kao Tsu and his supporters, as farmers from eastern China, looked down upon the trading population to which farmers always regard themselves as superior. The merchants were ignored as potential officials although they had often enough held official appointments under the former dynasty. The second group from which officials had been drawn under the Ch'in was that of the army officers, but their military functions had now, of course, fallen to Kao Tsu's soldiers. The emperor had little faith, however, in the loyalty of officers, even of his own, and apart from that he would have had first to create a new administrative organization for them. Accordingly he turned to another class which had come into existence, the class later called the gentry, which in practice had the power already in its hands.

The term "gentry" has no direct parallel in Chinese texts; the later terms "shen-shih" and "chin-shen" do not quite cover this concept. The basic unit of the gentry class are families, not individuals. Such families often derive their origin from branches of the Chou nobility. But other gentry families were of different and more recent origin in respect to land ownership. Some late Chou and Ch'in officials of non-noble origin had become wealthy and had acquired land; the same was true for wealthy merchants and finally, some non-noble farmers who were successful in one or another way, bought additional land reaching the size of large holdings. All "gentry" families owned substantial estates in the provinces which they leased to tenants on a kind of contract basis. The tenants, therefore, cannot be called "serfs" although their factual position often was not different from the position of serfs. The rents of these tenants, usually about half the gross produce, are the basis of the livelihood of the gentry. One part of a gentry family normally lives in the country on a small home farm in order to be able to collect the rents. If the family can acquire more land and if this new land is too far away from the home farm to make collection of rents easy, a new home farm is set up under the control of another branch of the family. But the original home remains to be regarded as the real family centre.

In a typical gentry family, another branch of the family is in the capital or in a provincial administrative centre in official positions. These officials at the same time are the most highly educated members of the family and are often called the "literati". There are also always individual family members who are not interested in official careers or who failed in their careers and live as free "literati" either in the big cities or on the home farms. It seems, to judge from much later sources, that the families assisted their most able members to enter the official careers, while those individuals who were less able were used in the administration of the farms. This system in combination with the strong familism of the Chinese, gave a double security to the gentry families. If difficulties arose in the estates either by attacks of bandits or by war or other catastrophes, the family members in official positions could use their influence and power to restore the property in the provinces. If, on the other hand, the family members in official positions lost their positions or even their lives by displeasing the court, the home branch could always find ways to remain untouched and could, in a generation or two, recruit new members and regain power and influence in the government. Thus, as families, the gentry was secure, although failures could occur to individuals. There are many gentry families who remained in the ruling élite for many centuries, some over more than a thousand years, weathering all vicissitudes of life. Some authors believe that Chinese leading families generally pass through a three- or four-generation cycle: a family member by his official position is able to acquire much land, and his family moves upward. He is able to give the best education and other facilities to his sons who lead a good life. But either these sons or the grandsons are spoiled and lazy; they begin to lose their property and status. The family moves downward, until in the fourth or fifth generation a new rise begins. Actual study of families seems to indicate that this is not true. The main branch of the family retains its position over centuries. But some of the branch families, created often by the less able family members, show a tendency towards downward social mobility.

It is clear from the above that a gentry family should be interested in having a fair number of children. The more sons they have, the more positions of power the family can occupy and thus, the more secure it will be; the more daughters they have, the more "political" marriages they can conclude, i.e. marriages with sons of other gentry families in positions of influence. Therefore, gentry families in China tend to be, on the average, larger than ordinary families, while in our Western countries the leading families usually were smaller than the lower class families. This means that gentry families produced more children than was necessary to replenish the available leading positions; thus, some family members had to get into lower positions and had to lose status. In view of this situation it was very difficult for lower class families to achieve access into this gentry group. In European countries the leading élite did not quite replenish their ranks in the next generation, so that there was always some chance for the lower classes to move up into leading ranks. The gentry society was, therefore, a comparably stable society with little upward social mobility but with some downward mobility. As a whole and for reasons of gentry self-interest, the gentry stood for stability and against change.

The gentry members in the bureaucracy collaborated closely with one another because they were tied together by bonds of blood or marriage. It was easy for them to find good tutors for their children, because a pupil owed a debt of gratitude to his teacher and a child from a gentry family could later on nicely repay this debt; often, these teachers themselves were members of other gentry families. It was easy for sons of the gentry to get into official positions, because the people who had to recommend them for office were often related to them or knew the position of their family. In Han time, local officials had the duty to recommend young able men; if these men turned out to be good, the officials were rewarded, if not they were blamed or even punished. An official took less of a chance, if he recommended a son of an influential family, and he obliged such a candidate so that he could later count on his help if he himself should come into difficulties. When, towards the end of the second century B.C., a kind of examination system was introduced, this attitude was not basically changed.

The country branch of the family by the fact that it controlled large tracts of land, supplied also the logical tax collectors: they had the standing and power required for this job. Even if they were appointed in areas other than their home country (a rule which later was usually applied), they knew the gentry families of the other district or were related to them and got their support by appointing their members as their assistants.

Gentry society continued from Kao Tsu's time to 1948, but it went through a number of phases of development and changed considerably in time. We will later outline some of the most important changes. In general the number of politically leading gentry families was around one hundred (texts often speak of "the hundred families" in this time) and they were concentrated in the capital; the