p. 199: On money policy see Yang Lien-sheng, Katō Shigeru and others.

p. 200: The history of one of the Southern Dynasties has been translated by Ed. H. Schafer, The Empire of Min, Tokyo 1954; Schafer's annotations provide much detail for the cultural and economic conditions of the coastal area.—For tea and its history, I use my own research; for tea trade a study by K. Kawakami and an article in the Frontier Studies, vol. 3, 1943.—Salt consumption according to H. T. Fei, Earthbound China, 1945, p. 163.

p. 201: For salt I used largely my own research. For porcelain production Li Chien-nung and other modern articles.—On paper, the classical study is Th. F. Carter, The Invention of Printing in China, New York 1925 (a revised edition now published by L. C. Goodrich).

p. 202: For paper money in the early period, see Yang Lien-sheng, Money and Credit in China, Cambridge, Mass., 1952. Although the origin of paper money seems to be well established, it is interesting to note that already in the third century A.D. money made of paper was produced and was burned during funeral ceremonies to serve as financial help for the dead. This money was, however, in the form of coins.—On iron money see Yang Lien-sheng; I also used an article in Tung-fang tsa-chih, vol. 35, No. 10.

p. 203: For the Kitan (Chines: Ch'i-tan) and their history see K. A.  Wittfogel and Feng Chia-sheng, History of Chinese Society. Liao, Philadelphia 1949.

p. 204: For these dynasties, I rely upon my own research.—Niida Noboru and Katō Shigeru have studied adoption laws; our specific case has in addition been studied by M. Kurihara. This system of adoptions is non-Chinese and has its parallels among Turkish tribes (A. Kollantz, Abdulkadir Inan, Osman Turan).

p. 207: For the persecution I used K. Tamai and my own research.

p. 211: This is based mainly upon my own research.—The remark on tax income is from Ch'üan Han-sheng.

p. 212: Fan Chung-yen has been studied recently by J. Fischer and D.  Twitchett, but these notes on price policies are based upon my own work.—I regard the statement, that it was the gentry which prevented the growth of an industrial society—a statement which has often been made before—as preliminary, and believe that further research, especially in the growth of cities and urban institutions may lead to quite different explanations.—On estate management I relied on Y.  Sudô's work.

p. 213: Research on place names such as mentioned here, has not yet been systematically done.—On i-chuang I relied upon the work by T. Makino and D. Twitchett.—This process of tax-evasion has been used by K. A.  Wittfogel (1938) to construct a theory of a crisis cycle in China. I do not think that such far-reaching conclusions are warranted.

p. 214: This "law" was developed on the basis of Chinese materials from different periods as well as on materials from other parts of Asia.—In the study of tenancy, cases should be studied in which wealthier farmers rent additional land which gets cultivated by farm labourers. Such cases are well known from recent periods, but have not yet been studied in earlier periods. At the same time, the problem of farm labourers should be investigated. Such people were common in the Sung time. Research along these lines could further clarify the importance of the so-called "guest families" (k'o-hu) which were alluded to in these pages. They constituted often one third of the total population in the Sung period. The problem of migration and mobility might also be clarified by studying the k'o-hu.

p. 215: For Wang An-shih, the most comprehensive work is still H.  Williamson's Wang An-shih, London 1935, 3 vol., but this work in no way exhausts the problems. We have so much personal data on Wang that a psychological study could be attempted; and we have since Williamson's time much deeper insight into the reforms and theories of Wang. I used, in addition to Williamson, O. Franke, and my own research.

p. 216: Based mainly upon Ch'ü T'ung-tsu.—For the social legislation see Hsü I-t'ang; for economic problems I used Ch'üan Han-sheng, Ts'en Chung-mien and Liu Ming-shu.—Most of these relief measures had their precursors in the T'ang period.

p. 217: It is interesting to note that later Buddhism gave up its "social gospel" in China. Buddhist circles in Asian countries at the present time attempt to revive this attitude.

p. 218: For slaughtering I used A. Hulsewé; for greeting R. Michihata; on law Ch'ü T'ung-tsu; on philosophy I adapted ideas from Chan Wing-sit.

p. 219: A comprehensive study of Chu Hsi is a great desideratum. Thus far, we have in English mainly the essays by Feng Yu-lan (transl. and annotated by D. Bodde) in the Harvard Journal of Asiat. Stud., vol. 7, 1942. T. Makino emphasized Chu's influence upon the Far East, J. Needham his interest in science.

p. 220: For Su Tung-p'o as general introduction see Lin Yutang, The Gay Genius. The Life and Times of Su Tungpo, New York 1947.—For painting, I am using concepts of A. Soper here.

p. 222: For this period the standard work is K. A. Wittfogel and Feng Chia-sheng, History of Chinese Society, Liao, Philadelphia 1949.—Po-hai had been in tributary relations with the dynasties of North China before its defeat, and resumed these from 932 on; there were even relations with one of the South Chinese states; in the same way, Kao-li continuously played one state against the other (M. Rogers et al.).

p. 223: On the Kara-Kitai see Appendix to Wittfogel-Feng.

p. 228: For the Hakka, I relied mainly upon Lo Hsiang-lin; for Chia Ssu-tao upon H. Franke.

p. 229: The Ju-chên (Jurchen) are also called Nü-chih and Nü-chen, but Ju-chen seems to be correct (Studia Serica, vol. 3, No. 2).

Chapter Ten

p. 233: I use here mainly Meng Ssu-liang, but also others, such as Chü Ch'ing-yüan and Li Chien-nung.—The early political developments are described by H. D. Martin, The Rise of Chingis Khan and his Conquest of North China, Baltimore 1950.

p. 236: I am alluding here to such Taoist sects as the Cheng-i-chiao (Sun K'o-k'uan and especially the study in Kita Aziya gakuhō, vol. 2).

pp. 236-7: For taxation and all other economic questions I have relied upon Wan Kuo-ting and especially upon H. Franke. The first part of the main economic text is translated and annotated by H. F. Schurmann, Economic Structure of the Yüan Dynasty, Cambridge, Mass., 1956.

p. 237: On migrations see T. Makino and others.—For the system of communications during the Mongol time and the privileges of merchants, I used P. Olbricht.

p. 238: For the popular rebellions of this time, I used a study in the Bull. Acad. Sinica, vol. 10, 1948, but also Meng Ssu-liang and others.

p. 239: On the White Lotos Society (Pai-lien-hui) see note to previous page and an article by Hagiwara Jumpei.

p. 240: H. Serruys, The Mongols in China during the Hung-wu Period, Bruges 1959, has studied in this book and in an article the fate of isolated Mongol groups in China after the breakdown of the dynasty.

pp. 241-2: The travel report of Ch'ang-ch'un has been translated by A.  Waley, The Travels of an Alchemist, London 1931.

pp. 242: Hsi-hsiang-chi has been translated by S. I. Hsiung. The Romance of the Western Chamber, London 1935. All important analytic literature on drama and theatre is written by Chinese and Japanese authors, especially by Yoshikawa Kôjirô.—For Bon and early Lamaism, I used H. Hoffmann.

p. 243: Lamaism in Mongolia disappeared later, however, and was re-introduced in the reformed form (Tsong-kha-pa, 1358-1419) in the sixteenth century. See R. J. Miller, Monasteries and Culture Change in Inner Mongolia, Wiesbaden 1959.

p. 245: Much more research is necessary to clarify Japanese-Chinese relations in this period, especially to determine the size of trade. Good material is in the article by S. Iwao. Important is also S. Sakuma and an article in Li-shih yen-chiu 1955, No. 3. For the loss of coins, I relied upon D. Brown.

p. 246: The necessity of transports of grain and salt was one of the reasons for the emergence of the Hsin-an and Hui-chou merchants. The importance of these developments is only partially known (studies mainly by H. Fujii and in Li-shih-yen-chiu 1955, No. 3). Data are also in an unpublished thesis by Ch. Mac Sherry, The Impairment of the Ming Tributary System, and in an article by Wang Ch'ung-wu.

p. 247: The tax system of the Ming has been studied among others by Liang Fang-chung. Yoshiyuki Suto analysed the methods of tax evasion in the periods before the reform. For the land grants, I used Wan Kuo-ting's data.

p. 248: Based mainly upon my own research. On the progress of agriculture wrote Li Chien-nung and also Katō Shigeru and others.

p. 250: I believe that further research would discover that the "agrarian revolution" was a key factor in the economic and social development of China. It probably led to another change in dietary habits; it certainly led to a greater labour input per person, i.e. a higher number of full working days per year than before. It may be—but only further research can try to show this—that the "agrarian revolution" turned China away from technology and industry.—On cotton and its importance see the studies by M. Amano, and some preliminary remarks by P. Pelliot.

p. 250-1: Detailed study of Central Chinese urban centres in this time is a great desideratum. My remarks here have to be taken as very preliminary. Notice the special character of the industries mentioned!—The porcelain centre of Ching-tê-chen was inhabited by workers and merchants (70-80 per cent of population); there were more than 200 private kilns.—On indented labour see Li Chien-nung, H. Iwami and Y. Yamane.

p. 253: On pien-wen I used R. Michihata, and for this general discussion R. Irvin, The Evolution of a Chinese Novel, Cambridge, Mass., 1953, and studies by J. Jaworski and J. Prušek. Many texts of pien-wen and related styles have been found in Tunhuang and have been recently republished by Chinese scholars.

p. 254: Shui-hu-chuan has been translated by Pearl Buck, All Men are Brothers. Parts of Hsi-yu-chi have been translated by A. Waley, Monkey, London 1946. San-kuo yen-i is translated by C. H.  Brewitt-Taylor, San Kuo, or Romance of the Three Kingdoms, Shanghai 1925 (a new edition just published). A purged translation of Chin-p'ing-mei is published by Fr. Kuhn Chin P'ing Mei, New York 1940.

p. 255: Even the "murder story" was already known in Ming time. An example is R. H. van Gulik, Dee Gong An. Three Murder Cases solved by Judge Dee, Tokyo 1949.

p. 256: For a special group of block-prints see R. H. van Gulik, Erotic Colour Prints of the Ming Dynasty, Tokyo 1951. This book is also an excellent introduction into Chinese psychology.

p. 257: Here I use work done by David Chan.

p. 258: I use here the research of J. J. L. Duyvendak; the reasons for the end of such enterprises, as given here, may not exhaust the problem. It may not be without relevance that Cheng came from a Muslim family. His father was a pilgrim (Bull. Chin. Studies, vol. 3, pp. 131-70). Further research is desirable.—Concerning folk-tales, I use my own research. The main Buddhist tales are the Jataka stories. They are still used by Burmese Buddhists in the same context.

p. 260: The Oirat (Uyrat, Ojrot, Ölöt) were a confederation of four tribal groups: Khosud, Dzungar, Dörbet and Turgut.

p. 261: I regard this analysis of Ming political history as unsatisfactory, but to my knowledge no large-scale analysis has been made.—For Wang Yang-ming I use mainly my own research.

p. 262: For the coastal salt-merchants I used Lo Hsiang-lin's work.

p. 263: On the rifles I used P. Pelliot. There is a large literature on the use of explosives and the invention of cannons, especially L. C.  Goodrich and Feng Chia-sheng in Isis, vol. 36, 1946 and 39, 1948; also G. Sarton, Li Ch'iao-p'ing, J. Prušek, J. Needham, and M. Ishida; a comparative, general study is by K. Huuri, Studia Orientalia vol. 9, 1941.—For the earliest contacts of Wang with Portuguese, I used Chang Wei-hua's monograph.—While there is no satisfactory, comprehensive study in English on Wang, for Lu Hsiang-shan the book by Huang Siu-ch'i, Lu Hsiang-shan, a Twelfth-century Chinese Idealist Philosopher, New Haven 1944, can be used.

p. 264: For Tao-yen, I used work done by David Chan.—Large parts of the Yung-lo ta-tien are now lost (Kuo Po-kung, Yüan T'ung-li studied this problem).

p. 265: Yen-ta's Mongol name is Altan Qan (died 1582), leader of the Tümet. He is also responsible for the re-introduction of Lamaism into Mongolia (1574).—For the border trade I used Hou Jen-chih; for the Shansi bankers Ch'en Ch'i-t'ien and P. Maybon. For the beginnings of the Manchu see Fr. Michael, The Origins of Manchu Rule in China, Baltimore 1942.

p. 266: M. Ricci's diary (Matthew Ricci, China in the Sixteenth Century, The Journals of M. Ricci, transl. by L. J. Gallagher, New York 1953) gives much insight into the life of Chinese officials in this period. Recently, J. Needham has tried to show that Ricci and his followers did not bring much which was not already known in China, but that they actually attempted to prevent the Chinese from learning about the Copernican theory.

p. 267: For Coxinga I used M. Eder's study.—The Szechwan rebellion was led by Chang Hsien-chung (1606-1647); I used work done by James B.  Parsons. Cheng T'ien-t'ing, Sun Yueh and others have recently published the important documents concerning all late Ming peasant rebellions.—For the Tung-lin academy see Ch. O. Hucker in J. K.  Fairbank, Chinese Thought and Institutions, Chicago 1957. A different interpretation is indicated by Shang Yüeh in Li-shih yen-chiu 1955, No. 3.

p. 268: Work on the "academies" (shu-yüan) in the earlier time is done by Ho Yu-shen.

p. 273-4: Based upon my own, as yet unfinished research.

p. 274: The population of 1953 as given here, includes Chinese outside of mainland China. The population of mainland China was 582.6 millions. If the rate of increase of about 2 per cent per year has remained the same, the population of mainland China in 1960 may be close to 680 million. In general see P. T. Ho. Studies on the Population of China, 1368-1953, Cambridge, Mass., 1960.

p. 276: Based upon my own research.—A different view of the development of Chinese industry is found in Norman Jacobs, Modern Capitalism and Eastern Asia, Hong Kong 1958. Jacobs attempted a comparison of China with Japan and with Europe. Different again is Marion Levy and Shih Kuo-heng, The Rise of the Modern Chinese Business Class, New York 1949. Both books are influenced by the sociological theories of T.  Parsons.

p. 277: The Dzungars (Dsunghar; Chun-ko-erh) are one of the four Ölöt (Oirat) groups. I am here using studies by E. Haenisch and W. Fuchs.

p. 278: Tibetan-Chinese relations have been studied by L. Petech, China and Tibet in the Early 18th Century, Leiden 1950. A collection of data is found in M. W. Fisher and L. E. Rose, England, India, Nepal, Tibet, China, 1765-1958, Berkeley 1959. For diplomatic relations and tributary systems of this period, I referred to J. K. Fairbank and Teng Ssu-yü.

p. 279: For Ku Yen-wu, I used the work by H. Wilhelm.—A man who deserves special mention in this period is the scholar Huang Tsung-hsi (1610-1695) as the first Chinese who discussed the possibility of a non-monarchic form of government in his treatise of 1662. For him see Lin Mou-sheng, Men and Ideas, New York 1942, and especially W. T. de Bary in J. K. Fairbank, Chinese Thought and Institutions, Chicago 1957.

p. 280-1: On Liang see now J. R. Levenson, Liang Ch'i-ch'ao and the Mind of Modern China, London 1959.

p. 282: It should also be pointed out that the Yung-cheng emperor was personally more inclined towards Lamaism.—The Kalmuks are largely identical with the above-mentioned Ölöt.

p. 286: The existence of hong is known since 1686, see P'eng Tse-i and Wang Chu-an's recent studies. For details on foreign trade see H. B.  Morse, The Chronicles of the East India Company Trading to China 1635-1834, Oxford 1926, 4 vols., and J. K. Fairbank, Trade and Diplomacy on the China Coast. The Opening of the Treaty Ports, 1842-1854, Cambridge, Mass., 1953, 2 vols.—For Lin I used G. W.  Overdijkink's study.

p. 287: On customs read St. F. Wright, Hart and the Chinese Customs, Belfast 1950.

p. 288: For early industry see A. Feuerwerker, China's Early Industrialization: Sheng Hsuan-huai (1844-1916), Cambridge, Mass., 1958.

p. 289: The Chinese source materials for the Mohammedan revolts have recently been published, but an analysis of the importance of the revolts still remains to be done.—On T'ai-p'ing much has been published, especially in the last years in China, so that all documents are now available. I used among other studies, details brought out by Lo Hsiang-lin and Jen Yu-wen.

p. 291: For Tsêng Kuo-fan see W. J. Hail, Tsêng Kuo-fan and the T'ai-p'ing Rebellion, Hew Haven 1927, but new research on him is about to be published.—The Nien-fei had some connection with the White Lotos, and were known since 1814, see Chiang Siang-tseh, The Nien Rebellion, Seattle 1954.

p. 292: Little is known about Salars, Dungans and Yakub Beg's rebellion, mainly because relevant Turkish sources have not yet been studied. On Salars see L. Schram, The Monguors of Kansu, Philadelphia 1954, p. 23 and P. Pelliot; on Dungans see I. Grebe.

p. 293: On Tso Tsung-t'ang see G. Ch'en, Tso Tung T'ang, Pioneer Promotor of the Modern Dockyard and Woollen Mill in China, Peking 1938, and Yenching Journal of Soc. Studies, vol. 1.

p. 294: For the T'ung-chih period, see now Mary C. Wright, The Last Stand of Chinese Conservativism. The T'ung-chih Restoration, 1862-1874, Stanford 1957.

p. 295: Ryukyu is Chinese: Liu-ch'iu; Okinawa is one of the islands of this group.—Formosa is Chinese: T'ai-wan (Taiwan). Korea is Chinese: Chao-hsien, Japanese: Chôsen.

p. 297: M. C. Wright has shown the advisers around the ruler before the Empress Dowager realized the severity of the situation.—Much research is under way to study the beginning of industrialization of Japan, and my opinions have changed greatly, due to the research done by Japanese scholars and such Western scholars as H. Rosovsky and Th. Smith. The eminent role of the lower aristocracy has been established. Similar research for China has not even seriously started. My remarks are entirely preliminary.

p. 298: For K'ang Yo-wei, I use work done by O. Franke and others. See M. E. Cameron, The Reform Movement in China, 1898-1921, Stanford 1921. The best bibliography for this period is J. K. Fairbank and Liu Kwang-ching, Modern China: A Bibliographical Guide to Chinese Works, 1898-1937, Cambridge, Mass., 1950. The political history of the time, as seen by a Chinese scholar, is found in Li Chien-nung, The Political History of China 1840-1928, Princeton 1956.—For the social history of this period see Chang Chung-li, The Chinese Gentry, Seattle 1955.—For the history of Tzŭ Hsi Bland-Backhouse, China under the Empress Dowager, Peking 1939 (Third ed.) is antiquated, but still used For some of K'ang Yo-wei's ideas, see now K'ang Yo-wei: Ta T'ung Shu. The One World Philosophy of K'ang Yu Wei, London 1957.

Chapter Eleven

p. 305: I rely here partly upon W. Franke's recent studies. For Sun Yat-sen (Sun I-hsien; also called Sun Chung-shan) see P. Linebarger, Sun Yat-sen and the Chinese Republic, Cambridge, Mass., 1925 and his later The Political Doctrines of Sun Yat-sen, Baltimore 1937.—Independently, Atatürk in Turkey developed a similar theory of the growth of democracy.

p. 306: On student activities see Kiang Wen-han, The Ideological Background of the Chinese Student Movement, New York 1948.

p. 307: On Hu Shih see his own The Chinese Renaissance, Chicago 1934 and J. de Francis, Nationalism and Language Reform in China, Princeton 1950.

p. 310: The declaration of Independence of Mongolia had its basis in the early treaty of the Mongols with the Manchus (1636): "In case the Tai Ch'ing Dynasty falls, you will exist according to previous basic laws" (R. J. Miller, Monasteries and Culture Change in Inner Mongolia, Wiesbaden 1959, p. 4).

p. 315: For the military activities see F. F. Liu, A Military History of Modern China, 1924-1949, Princeton 1956. A marxist analysis of the 1927 events is Manabendra Nath Roy, Revolution and Counter-Revolution in China, Calcutta 1946; the relevant documents are translated in C.  Brandt, B. Schwartz, J. K. Fairbank, A Documentary History of Chinese Communism, Cambridge, Mass., 1952.

Chapter Twelve

For Mao Tse-tung, see B. Schwartz, Chinese Communism and the Rise of Mao, second ed., Cambridge, Mass., 1958. For Mao's early years; see J. E. Rue, Mao Tse-tung in Opposition, 1927-1935, Stanford 1966. For the civil war, see L. M. Chassin, The Communist Conquest of China: A History of the Civil War, 1945-1949, Cambridge, Mass., 1965. For brief information on communist society, see Franz Schurmann and Orville Schell, The China Reader, vol. 3, Communist China, New York 1967. For problems of organization, see Franz Schurmann, Ideology and Organization in Communist China, Berkeley 1966. For cultural and political problems, see Ho Ping-ti, China in Crisis, vol. 1, China's Heritage and the Communist Political System, Chicago 1968. For a sympathetic view of rural life in communist China, see J. Myrdal, Report from a Chinese Village, New York 1965; for Taiwanese village life, see Bernard Gallin, Hsin Hsing, Taiwan: A Chinese Village in Change, Berkeley 1966.

INDEX