CCS101 StudyGuide

CCS101
THE MAKING OF MODERN

CHINA
STUDY GUIDE (5CU)

Course Development Team
Head of Programme : Dr Yew Chiew Ping
Course Developer : Mr Eugene Lai
Production : Educational Technology & Production Team
2017 SIM University. All rights reserved.
No part of this material may be reproduced in any form or by any means

without permission in writing from the Educational Technology &
Production, SIM University.
Educational Technology & Production

SIM University
461 Clementi Road
Singapore 599491
Release V1.0
CONTENTS
COURSE GUIDE
1. Welcome .............................................................................................................1
2. Course Description and Aims .........................................................................1
3. Learning Outcomes .......................................................................................... 3
4. Learning Material ............................................................................................. 3
5. Assessment Overview ...................................................................................... 4
6. Course Schedule ................................................................................................ 5
7. Learning Mode ..................................................................................................5
STUDY UNIT 1
THE QING DYNASTY IN DISTRESS
Learning Outcomes ......................................................................................... SU1-1
Overview ........................................................................................................... SU1-1
Chapter 1 Introduction to Modern Chinese History .................................. SU1-2
Chapter 2 The Opium Wars and the Unequal Treaties .............................. SU1-9
Chapter 3 Internal Rebellions in the 1850s and 1860s .............................. SU1-24
Chronological Summary ............................................................................... SU1-34
References ....................................................................................................... SU1-36
STUDY UNIT 2
THE QING TRIES TO SAVE ITSELF
Overview ........................................................................................................... SU2-1

Chapter 1 Pacifying the Internal Rebellions ................................................ SU2-2
Chapter 2 The Self-Strengthening Movement ............................................. SU2-9
Chapter 3 Qing Reforms in the 20th Century ............................................. SU2-23
References ....................................................................................................... SU2-34
STUDY UNIT 3
NATIONALISM AND REVOLUTION, 1895 - 1912
Overview ........................................................................................................... SU3-1
Chapter 1 The 100 Days Reforms .................................................................. SU3-2
Chapter 2 The Boxer Rebellion .................................................................... SU3-12
Chapter 3 The Xinhai Revolution of 1911 .................................................. SU3-20
References ....................................................................................................... SU3-36
STUDY UNIT 4
CHAOS AND UNIFICATION, 1912 - 1928
Overview ........................................................................................................... SU4-1
Chapter 1 China under Yuan Shikai and Warlordism .............................. SU4-2
Chapter 2 The May 4th Movement and the New Culture Movement .... SU4-14
Chapter 3 Unifying China: The First United Front and Chiang's Northern
Expedition ....................................................................................................... SU4-24

References ....................................................................................................... SU4-37
STUDY UNIT 5
THE NANJING DECADE, 1927-1937
Overview ........................................................................................................... SU5-1
Chapter 1 KMT Performance during the Nanjing Decade ........................ SU5-2
Chapter 2 The CCP during the Nanjing Decade ....................................... SU5-20
References ....................................................................................................... SU5-35
STUDY UNIT 6
CHINA AT WAR, 1937 - 1949
Overview ........................................................................................................... SU6-1
Chapter 1 The Second Sino-Japanese War, 1937 - 1945 .............................. SU6-2
Chapter 2 The Chinese Civil War ................................................................ SU6-19
Summary ......................................................................................................... SU6-36
References ....................................................................................................... SU6-38

COURSE GUIDE
CCS101 COURSE GUIDE
1. Welcome
(Access video via iStudyGuide)
Welcome to the course CCS101 The Making of Modern China, a 5 credit unit (CU) course.
This Study Guide will be your personal learning resource to take you through the
course learning journey. The guide is divided into two main sections the Course
Guide and Study Units.
The Course Guide describes the structure for the entire course and provides you with
an overview of the Study Units. It serves as a roadmap of the different learning
components within the course. This Course Guide contains important information
regarding the course learning outcomes, learning materials and resources, assessment
breakdown and additional course information.
2. Course Description and Aims

CCS101 The Making of Modern China is an overview of the period from around 1840
when foreign imperialism started to encroach the Qing dynasty, to the formation of a
Communist nation-state under Mao Zedong's leadership in 1949. By looking at this
revolutionary period in Chinese history, students understand the challenging process
dynastic China underwent to modernize and transform from alien Manchu rule
experiencing foreign exploitation and internal rebellion, to nationalistic Communist
republic overcoming foreign invasion and civil war. At the end of the course, students
will have a sound knowledge of consequential developments during this period, and
can use this historical awareness to understand important issues in Chinese politics
and international relations, like its proud national passion, its fixation with
sovereignty over Taiwan and disputed islands, and its non-acceptance of multi-party
rule.
1
CCS101 COURSE GUIDE
Course Structure
This course is a 5-credit unit course presented over 6 weeks.
There are six Study Units in this course. The following provides an overview of each
Study Unit.
Study Unit 1 The Qing Dynasty in Distress
This study unit examines the Qing dynasty in the 1840s to 1860s at a point of decline
due to Western encroachment and domestic rebellions.
Study Unit 2 The Qing Tries to Save Itself
This study unit looks at how the Qing pacified rebellions, attempted to address
Western encroachment through Self-Strengthening with Confucian preservation, and
initiated modernizing reforms in the 20th century.
Study Unit 3 Nationalism and Revolution, 1895 1912
This study unit investigates the manifestation of national consciousness in China, in

the form of reforming elite nationalism, rebellious grassroots nationalism,
revolutionary nationalism and provincial nationalism. It examines how these strands
of nationalism culminated in the end of dynastic China.
Study Unit 4 Chaos and Unification, 1912 1928
This study unit traces the process of Chinese political division and unification from
the beginnings of republican government in 1912 to the completion of Chiangs
Northern Expedition in 1928.
Study Unit 5 The Nanjing Decade, 1927 1937
This study-unit examines developments in China from 1927 to 1937.
Study Unit 6 The Chinese Civil War
This study unit looks at key political developments in China during the years of war
and civil war, leading to the formation of the Communist Peoples Republic of China.
2
CCS101 COURSE GUIDE
3. Learning Outcomes
Knowledge & Understanding (Theory Component)
By the end of this course, you should be able to:

1. Demonstrate knowledge of significant socio-political events and developments
in China from the outbreak of the Opium Wars to the founding of the Peoples
Republic of China in 1949.
2. Describe and explain the process by which foreign exploitation, internal
rebellion, insufficient reform and revolutionary activism led to the fall of the
Qing dynasty.
3. Analyze the development of Chinese nationalism from dynastic rule to
republican government and the conditions which helped shape it.
4. Recognize the political struggles and contestation in forming a stable political
regime after the fall of the Qing dynasty.
5. Identify the political choices the Chinese elites and people made.
Key Skills (Practical Component)
By the end of this course, you should be able to:

1. Explain historical events
2. Examine historical information
4. Learning Material
The following is a list of the required learning materials to complete this course.
Required Textbook(s)
Jonathan D. Spence. 2013. The Search for Modern China. New York: W. W. Norton &
Company, Inc.
Other recommended study material (Optional)
Your study guide also links you to websites, videos and articles to enhance your
learning and assist you in doing your TMAs.
3
CCS101 COURSE GUIDE
5. Assessment Overview
The overall assessment weighting for this course is as follows:
Assessment Description Weight Allocation
Assignment 1 Pre-Class Quiz 10%
Assignment 2 Tutor-Marked Assignment 1 15%
Assignment 3 Tutor-Marked Assignment 2 25%
Examination Written Exam 50%
TOTAL 100%
The following section provides important information regarding Assessments.
Continuous Assessment:
There will be continuous assessment in the form of a pre-class quiz and two tutor-
marked assignments (TMAs). In total, this continuous assessment will constitute 50
percent of overall student assessment for this course. The quiz and TMAs are
compulsory and are non-substitutable. These assignments will test your knowledge
and understanding of the course content. In addition, the TMAs will also test your
ability to examine historical information. It is imperative that you read through your
Assignment questions and submission instructions before embarking on your
Assignment.
Examination:
The final (2-hour) written exam will constitute the other 50 percent of overall student
assessment and will test your knowledge, understanding and application of the course
content. To prepare for the exam, you are advised to review Specimen or Past Year
Exam Papers available on MyUniSIM.
Passing Mark:
To successfully pass the course, you must obtain a minimum passing mark of 40
percent for each of the two TMA components. That is, students must obtain at least a
mark of 40 percent for the combined assessments and also at least a mark of 40 percent
for the final exam. For detailed information on the Course grading policy, please refer
4
CCS101 COURSE GUIDE
to The Student Handbook (Award of Grades section under Assessment and

Examination Regulations). The Student Handbook is available from the Student Portal.
Non-graded Learning Activities:
Activities for the purpose of self-learning are present in each study unit. These
learning activities are meant to enable you to assess your understanding and
achievement of the learning outcomes. The type of activities can be in the form of
Formative Assessments, as well as Activities and Reflections found in your Study
Guide, some of which may be discussed during class.
6. Course Schedule
To help monitor your study progress, you should pay special attention to your Course
Schedule. It contains study unit related activities including Assignments, Self-
assessments, and Examinations. Please refer to the Course Timetable in the Student
Portal for the updated Course Schedule.
Note: You should always make it a point to check the Student Portal for any
announcements and latest updates.
7. Learning Mode
The learning process for this course is structured along the following lines of learning:
(a) Self-study guided by the study guide units. Independent study will require at
least 3 hours per week.
(b) Working on assignments, either individually or in groups.
(c) Classroom Seminar sessions (3 hours each session, 6 sessions in total).
iStudyGuide
You may be viewing the iStudyGuide version, which is the mobile version of the
Study Guide. The iStudyGuide is developed to enhance your learning experience with
interactive learning activities and engaging multimedia. Depending on the reader you
are using to view the iStudyGuide, you will be able to personalise your learning with
digital bookmarks, note-taking and highlight sections of the guide.
For technical resources on the iStudyGuide, please refer to

http://www.unisim.edu.sg/mobile/faq.html#4_4.
5
CCS101 COURSE GUIDE
Interaction with Instructor and Fellow Students
Although flexible learning learning at your own pace, space and time is a hallmark
at UniSIM, you are encouraged to engage your instructor and fellow students in online
discussion forums. Sharing of ideas through meaningful debates will help broaden
your learning and crystallise your thinking.
Academic Integrity
As a student of UniSIM, it is expected that you adhere to the academic standards

stipulated in The Student Handbook, which contains important information
regarding academic policies, academic integrity and course administration. It is
necessary that you read and understand the information stipulated in the Student
Handbook, prior to embarking on the course.
6
STUDY UNIT 1
THE QING DYNASTY IN DISTRESS
CCS101 STUDY UNIT 1
Learning Outcomes
By the end of this unit, you should be able to:
1. State different approaches to analyze the history of China.
2. Explain the preference for the China-centred approach.
3. Explain the outbreak of the Opium Wars and resultant unequal treaties.
4. Describe the origins and nature of the Taiping, Nian, Panthay and Dungan
Rebellions.
Overview
This study unit examines the Qing dynasty in the 1840s to 1860s at a point of decline
due to Western encroachment and domestic rebellions.
Chapter 1 gives a brief overview of China under Qing dynastic rule, tracing the start
of decline from the late 18th century. It introduces the pertinent concept of nationalism.
It briefly compares the Western-centred approach with the more refined China-
centred approach to studying Chinese history. It then offers a sample of articles on
current issues for China from which linkages to the course content can be drawn.
Chapter 2 illustrates the onset of foreign imperialism in China from the 1840s. It
examines key aspects of Qing decline from the 1830s to the 1860s, particularly Western
imperialism through the Opium Wars, and the imposition of exploitative unequal
treaties.
Chapter 3 examines internal rebellions from the 1850s to the 1870s that indicate
popular rejection of Qing rule.
SU1-1
CCS101 STUDY UNIT 1
Chapter 1 Introduction to Modern Chinese History
The Qing Dynasty in China
Since 1644, China had been ruled by Manchu (or Qing ) rulers, who overthrew the
previous Ming () dynasty. Unlike the majority Han (), the Manchus are not
ethnically Chinese. 1 The Qing rulers and Manchu immigrants adopted some Chinese
customs, including Chinese names, but also subordinated the Han and were perceived
by the latter as alien.
The early Qing emperors brought prosperity and peace. They increased trade with the
West, and expanded Chinas territory beyond any previous dynasty (Elleman and
Paine 2010). They continued to give the Chinese who passed the traditional imperial
examinations () bureaucratic positions. 2 The Chinese people accepted their rule.
However, the Qing could not avoid the eventual decline that cyclically ended earlier
dynasties. From the 1770s, intrigue and corruption began to pervade the dynasty.
There were internal revolts against Qing rule.
Spence (2013) provides information about China from the fall of the Ming to the Qing
in 1800 (Chapters 1 to 6). You may focus on Chapters 5 and 6.
In the 18th century, the Western powers modernized and expanded their overseas
colonies and trade, especially in Asia. Britain underwent the Industrial Revolution
and grew to become the worlds biggest empire, with colonies in the Middle East,
Africa and Asia, and a supreme global navy. 3 However, China remained unaware of
the implications of Western maritime expansion. Dynastic China, with 4,000 years of
recorded history, continued to perceive itself as the Middle (central) Kingdom in
the world, hence its literal namesake, . It mediated the cosmos, with all other
1 Han Chinese refer to the largest ethnic group in China, numbering over 90 percent today.
2 The imperial exams refers to dynastic Chinas civil service examinations, which originated during the
Sui dynasty. It was based on detailed knowledge of the Confucian classics, and was the means by which
the Chinese could merit appointments into the imperial administration at all levels. Those who passed
the exams at the highest level formed Chinas elite educated class, and were given key appointments
in the bureaucracy and government.
3 The Industrial Revolution was the period during the 18 th-19th centuries that many European countries,
led by Britain, experienced rapid industrialization to become modern, technologically developed and
urban.
SU1-2
CCS101 STUDY UNIT 1
countries on its borders. There was little need for xenophobic China to care about
developments in the uncivilized world. 4 At least, not until the First Opium War
(Yapianzhanzheng ) around 1840 ushered in a century of foreign imperialism
that also marked the revolutionary transformation of China from alien dynastic rule
to Communist nation-state. 5 The process complexly mixed political, social and
intellectual rebellion, reform, revolution, decentralization, unification, resistance to
foreign aggression and civil war.
China: A Nation-State?
In line with nationalist discourses that strive to perpetuate the idea of a nation as a
continuous narrative of national progress (Bhabha 1994, 306), Chinas White Paper
on regional ethnic autonomy proffers the myth of one-state-one-nation from time
immemorial:
China is a united multi-ethnic state with [sic] long history. As early as

221 BC, the Qin Dynasty (221-206 BC), the first feudal empire in the
history of China, brought about unification to the country for the first
time. The subsequent Han Dynasty (206 BC-220 AD) further
consolidated the countrys unification (Information Office 2005).
The White Paper further claims that this unity of the nation is fortified during the crisis
of the Opium War, when the Chinese people of all ethnic groups united as one, and
put up the most arduous and bitter struggles against foreign invaders in order to
uphold the countrys sovereignty, and win national independence and liberation
(Information Office 2005) (Figure 1.1). Yet to what extent can modern China claim to
be a nation-state, defined as a system of political governance whereby inhabitants
within an area of defined and sovereign boundaries see themselves as a people
belonging to and identifying with the state, given their history, language, and/or
culture. The late China scholar Lucian Pye, for example, maintains that China is
not just another nation-state in the family of nations. China is a civilization pretending
to be a state. He further argues that,
The story of modern China could be described as the effort by both Chinese and
foreigners to squeeze a civilization into the arbitrary, constraining framework of the
4 Xenophobia for China refers to its perception of superiority, from being the central kingdom, coupled
with wariness that this would be disregarded or displaced by foreigners. Dynastic China saw the rest
of the world as barbarians.
5 Imperialism refers to the aggressive and exploitative expansion of territorial or other forms of control
over other countries.
SU1-3
CCS101 STUDY UNIT 1
modern state, an institutional invention that came out of the fragmentation of the
Wests own civilization (Pye 1990, 58).
Figure 1.1 Chinese Poster: Long live the great unity of all the peoples of the whole nation, Yang Junsheng
1957.
(Source: http://chineseposters.net/gallery/e15-355.php. Accessed 8 July 2015.)
This course will indirectly trace the development of Chinese nationalism defined as
the want to uphold the sovereignty and interests of a country or people, based on a
sense of belonging from shared history, language, or/and culture as well as Chinas
struggles as a nation-state. As we shall see, dynastic China did not see itself as merely
a nation in the world but the centre around which the world revolves, and not as a
state but a superior empire and civilization. With increased interactions with the West
and growing integration into the international system, however, modern China has
evolved into a nation-state, albeit one whose political and national unity is still
contested by sub-national groups in Tibet, Xinjiang, and even Hong Kong.
Approaches to Studying Chinas History
History is more than merely facts about the past, it is the selection of the facts and the
meaning historians invest them with (Carr 1990, 15). This deeply influences the
questions asked and the assumptions we operate under.
SU1-4
CCS101 STUDY UNIT 1
In this section, you will learn about two key approaches to the study of Chinas history
and their assumptions. In what is now termed as the Western-centred approach,
historians from the 1950s to 1970s often seek to explain the roots of Chinas
modernization by linking its transformation into a nation-state with Western
encroachment. However, while modernity for China includes development as a
nation-state, it is an incremental process that does not necessarily start with Western
encroachment or limit itself to the scope of this course. Your textbook, for this matter,
times the pursuit of modernity from the beginning, not from the decline of the Qing.
The Western-centred approach, which equates modernization with Westernization,

has thus been criticized by later historians, for being chauvinistic and simplistic in
its overlapping variations (Cohen 2003):
a) Traditional China, modern China. This approach sub-divides Chinas history into
traditional and modern, based on Western precedents and concepts of
modernization. Modeled on the developmental patterns of the Western world,
early theories of modernization hold a straightforward, if nave, belief that
modernization equals a linear movement from an agrarian, repressive, poor,
dependent and violent society to an industrialized, democratic, affluent,
autonomous and orderly one. In this manner, China is viewed subjectively from
the familiar Western standpoint, with Western levels of development as
milestones and Western concepts of modernity. Transformation is limited to
Western modernization which China experiences only when it encounters and
emulates modern Western culture. Since the West was the first to undergo
European Enlightenment and Industrial Revolution, the approach assumes the
superiority and universality of Western values and institutions that China must
discover and follow in order to modernize. 6
The tradition-modernity approach, therefore, posits that China, in modernizing,

would eventually take on the image of advanced nations in Western Europe and
North America. However, the arduous and circuitous path of modernization in
the decolonized Third World has defied this assumed linear progression from a
traditional to a modern, Westernized society.7 Furthermore, the assumption of a
uniform and static version of modernity also ignores variations in time and space
within the Western world. Modern France and modern Germany, for instance,
6 The European Enlightenment was the period during the 17 th-18th century of significant intellectual
transformation, where European thinkers advocated scientific reasoning to establish viable governing,
economic and ethical systems.
7 The Third World refers to independent and developing nations which were formerly subject to
Western colonization or imperial exploitation, and which maintained some level of non-alignment with
both America and the Soviet Union during the Cold War.
SU1-5
CCS101 STUDY UNIT 1
underwent significantly different processes and had different systems and

values in the 19th century but both are lumped under the umbrella of the modern
West versus backward China. 8 The West after World War One also differed from
the West during the Opium War.
In other words, modernity is a dynamic and diverse phenomenon where

countries find their way to keep pace with current times. To a certain extent, we
may even argue that Chinese civilization arrived and prospered much earlier
than Western civilization. While the West developed rapidly in the 17th and 18th
centuries, dynastic China in its golden age arguably achieved unparalleled
standards of political and economic systems and inventions. 9
b) Western-impact, Chinese response. This approach, which overlaps with the

imperialist paradigm, assumes that China modernized as a response to Western
interaction with China, particularly from the 1840s, when Western imperialism
jolted China about its comparative backwardness (Cohen 2010).
This view assumes that without the West, China could not modernize. It argues
for the persistence of Chinese traditional ideas and practices until it had
significant contact with the West. However, although China was influenced by
the West to change and develop, its adoption of Western ways was selective,
adaptive and progressive. If China were simply reactionary, its emulation of the
West would have been short-lived or involved wholesale copying. But the
Tongzhi Restoration () used Western technology to strengthen China
while retaining Chinese essence.10 The leading Chinese revolutionary Sun Yat-
sen () added to his adopted Western model of three-branch government
for republican China two more branches unique to Chinese tradition: the Control
and Examination branches.11 The founder of Communist China, Mao Zedong (
), had embraced Marxism, but he studied China and sinicized it to suit.12
When America tried to establish multi-party democracy in China after World
War II, China rejected it and fought a civil war to establish a single-party system
that it has firmly preserved to this day.13 Thus, it is more accurate to see China as
independently pursuing modernity and transformation, rather than being
dormant till awakened by the West.
8 France became democratic and liberal after the French Revolution in 1789, but Germany only became
an independent nation-state in the 1860s and power was dominated by its king, the Kaiser, and the
conservative elites.
9 The Tang Dynasty from 618 to 907 AD is generally regarded as the golden age of China.
10 See Study Unit 2.
11 See Study Units 3 and 4.
SU1-6
CCS101 STUDY UNIT 1
Critics of these views have favoured the evolution of a China-centred historical

approach from the 1980s. While not dismissing the influence of exogenous forces
on Chinese history, this approach seeks to understand Chinese history in its own
terms and Chinese solutions to their own problems by:
Adopting Chinese instead of Western criteria in identifying significant
developments in Chinas past;
Avoiding over-generalizing on China as a whole and instead examining local
and regional histories;
Surveying the different strata of China society;
Adopting and applying interdisciplinary theories and techniques (Cohen
2010).14
In short, China transformed as a result of Western contact but this represents a

continuity, not just a knee-jerk reaction to Western exploitation and influence. China
adapted, not simply adopted, Western methods, ideas and institutions to chart its own
path. Having a China-centred paradigm will allow you to have a more dynamic and
nuanced understanding of Chinas history, to guide your awareness of Chinas
trajectory of modernization and its ascendance to a great power on the world stage,
alongside the Western powers today. You should bear this in mind when studying the
course, which analyzes Chinas development in the context of close interactions with
the West.
14Note, nevertheless, that the China-centred approach is not particularly suited to historical studies
pertaining to non-Han ethnic groups, the Chinese diaspora, China as a part of a broader system, subject
matters that transcend Chinese history, or those of a comparative nature (Cohen 2003).
SU1-7
CCS101 STUDY UNIT 1
Current Issues Linked to Chinas History
Ponder the hyperlinked articles. They shed light on significant current issues
concerning China. The historical knowledge you gain from this course will deepen
your understanding of these issues and China.
1. Chinas assertion of sovereignty over offshore islands
Apart from their potential benefits notwithstanding, why do you think China is so
assertive about its sovereignty, given its contentious claims and potential
provocation of America?
2. Chinas troubled relations with Japan
China and Japan are geographically proximate and major trading partners sharing
some cultural affinity. Why do you think baggage from 80 years ago is so hard to
resolve?
3. Chinas insistence that Taiwan is part of it
Taiwan has since 1949 been governed independently and differently from China by
the KMT and successive governments. Why does China hold so firmly to its one
China principle?
You can also read more about themes linked to Chinese historical formation from the
hyperlinked website.
SU1-8
CCS101 STUDY UNIT 1
Chapter 2 The Opium Wars and the Unequal Treaties
Introduction
In the 1800s, Britain financed trade with China through lucrative opium smuggling.
Chinas high demand for this prohibited but addictive drug caused a rapid outflow
and devaluation of silver. Thus, in 1839, Qing Emperor Daoguang () (Figure 1.2)
appointed Lin Zexu () (Figure 1.3) to wage an anti-opium campaign. Lins harsh
crackdown on opium and denigratory treatment of British traders in China offended
the British government, who sent an expeditionary force to China and started the First
Opium War.
Figure 1.2 Emperor Daoguang

(Source: Wikimedia Commons. Category: Emperor Daoguang.
https://commons.wikimedia.org/wiki/File:Emperor_Daoguang.jpg. Accessed 13 July 2015.)
SU1-9
CCS101 STUDY UNIT 1
Figure 1.3 Statue of Lin Zexu, at Chinese Garden, Singapore
From 1857 to 1860, China fought the Arrow War, or the Second Opium War, with
Britain and France. The trigger was Chinese troops trespass of the British-registered
ship, Arrow, acting under the haughty Guangdong governor Ye Mingchen ().
China fought both wars regarding itself bullied by the foreign presence, a travesty of
its traditionally presumed superiority over Western barbarians. China lost both
wars and was forced to sign several unequal, exploitative and humiliating treaties:
Nanjing and the Bogue (with Britain in 1842 and 1843, and
Wangxia () and Huangpu () with America and France respectively
in 1844 after the first war. The end of the Arrow War saw China sign the Treaty of
Tianjin () with Britain and France in 1858, and the Treaties of Aigun
and Beijing () with Russia in 1858 and 1860. The treaties required China
to cede territory, open up coastal ports to trade (treaty ports), and pay indemnities.15
They also alerted the Qing court to the need for modernization and reform, using
Western methods.16
15 Indemnity refers to monies paid as compensation for damages incurred from war.
SU1-10
CCS101 STUDY UNIT 1
You should now read Jonathan D. Spence.2013. The Search for Modern China. W. W.
Norton: New York, 147-163, 175-78.
Background to the Opium Wars
Sino-British Relations
In the 18th century, Britain grew to become the worlds biggest empire. It took an
especial liking to Chinese tea, silk and porcelain. The British East India Company (EIC)
dominated overseas trade in Asia.17 But China had a nationwide network of provincial
markets, hence it was self-sufficient in domestic trade. Thus the British economy,
which relied on international trade and imperial expansion, had to cough up much
silver for Chinese products. The worlds biggest empire found itself at the losing end
of its trade with China.
Britain also had to defer to a Sino-centric but unexposed Chinas norms and rules. The
EIC, like other foreigners, could only contact China through designated Cohong (
) merchants who regulated foreign transactions and reported to Qing officials. 18 The
Cohong were demanding and indulgent. Qing officials did not always communicate
British petitions or grievances to the court. After 1760, foreigners were further
restricted to trade only in Guangdong in south coastal China, and prohibited from
residency barring the trading season from October to March.
Such restrictions reflected dynastic Chinas long-standing complacency and high-

handedness. Chinese traditions and values were based on the long-standing thought
of Confucius () (Figure 1.4). A famous Chinese philosopher born in 551 BC, his
teachings, recorded in the Analects (Lunyu ), pervaded and shaped Chinese
perceptions and customs until the end of the 19th century. They stressed morality,
benevolence, propriety, reciprocity and filial piety. They upheld ceremony, respect for
authority and hierarchical relationships as essential for social and national unity and
strength. Since China felt culturally and materially secure, trade and diplomacy were
17 The EIC was a large, influential private trading company. Until the 1830s, the British government
allowed it to control trade in South and East Asia (the East Indies) on its behalf. In Britains largest
colony, India, opium was produced cheaply in bulk. Its abundance led to the EIC engaging intensely
in its illicit trade in China.
18 Also known as the Hong or Hoppo.
SU1-11
CCS101 STUDY UNIT 1
not conducted out of necessity, interdependence or even benefit, but favour to

tributary states (Vohra 2000).19 There was no concept of equal rights in trade.
Figure 1.4 Statue of Confucius, at Chinese Garden, Singapore
The Opium Trade in China
The Qing court knew little about industrialization or dominating the world through
trade. But from the 1820s the EIC reversed its outflow of silver by smuggling opium
to China. Although prescribed as a medicine, opium was highly addictive. Daoguang
continued restricting its sale and usage given the health and moral hazards, but by the
late 1830s British trade in opium in China had grown rapidly from 4,500 chests in 1820
to 30,000 chests per year. 10 percent of British government revenue came from opium
taxes. Smuggling worsened the addictive and harmful opium abuse in China and
drained and devalued Chinese silver, which oppressed the tax-paying Chinese masses.
Previously, the EIC had tolerated the Cohong. However, in 1834 the British
government took over Asian trade. Lord Napier, the British superintendent of trade,
visited China and insisted to bypass the Cohong and work directly with the regional
government. He was crudely rebuffed, but the outraged Napier died unexpectedly of
sickness before he could fully retaliate.
19From the Han dynasty, China had developed a tributary system of relationships with surrounding
countries like Korea, Siam (Thailand today), and Annam (Vietnam today). Annually, these tributaries
would send tribute missions bearing gifts to the emperor, and were given gifts in return that were more
valuable, reflecting the superior power, wealth and goodwill of the Chinese court. The tributary-vassal
relationship reflected the recurrent Confucian emphasis on hierarchy, authority and benevolence.
SU1-12
CCS101 STUDY UNIT 1
The British worldview was that the sun never sets on its empire. Britains keen sense
of superiority was being consistently offended by Chinas strange and troublesome
trading requirements and condescending attitude. The clash of British and Chinese
worldviews was the ultimate cause of the Opium Wars, with opium an emotive and
opportune casus belli (Vohra 2000).
You can read more about the EIC and the China trade here.
Why do you think the EIC tolerated the Cohong? Why did the British government
react differently?
Lin Zexus Anti-Opium Campaign
In 1838 Daoguang commissioned the principled and conscientious Han scholar-

official, Lin Zexu, to curb the opium trade. A strong Confucianist, Lin had previously
served in the Hanlin Academy ( ), the prestigious government centre for
Confucian studies in Beijing. As governor-general of Hunan and Hubei, he had taken
a firm stand against opium-smoking there.
In 1839 Lin Zexu carried out the following activities in Guangdong:

Publicized the hazards of addictive smoking.
Decreed that all opium smokers surrender their opium.
Persecuted recalcitrant smokers and confiscated their opium.
Ordered the Cohong to surrender their opium.
Appealed to the foreigners to surrender their opium on the grounds that
opium harmed health, and sign a guarantee against opium trade on moral
grounds.
When the British traders refused, Lin applied traditional draconian methods against
barbarians. He suspended trade and blockaded foreign factories with over 300
foreigners inside, including the British superintendent of trade, Charles Elliot. The
prisoners were harassed for over a month until they agreed to surrender their opium.
Over 20,000 chests were seized. Lin threw the opium into the sea while praying to its
spirits for forgiveness in front of the foreigners (Figure 1.5).
SU1-13
CCS101 STUDY UNIT 1
Figure 1.5 Destroying Opium

(Source: Wikimedia Commons. Category: First Opium War.
https://commons.wikimedia.org/wiki/Category:First_Opium_War#/media/File:Destroy_opium_2.jpg.
Accessed 13 July 2015.)
Lin then wrote to the court that the foreigners were ashamed, although they had
refused to pledge to stop the opium trade and smuggling soon resumed. He even
wrote a letter to the British Queen Victoria. Addressed to a king, Lins letter labelled
the traders barbarians who hypocritically sold poison to injure the Chinese for
profit while opium was outlawed in Britain (Vohra 2000, 33). Lin appealed to the
British rulers moral sense of responsibility, even asking him to prohibit opium in
England too. He dispatched the letter with a ship bound for England. It never reached
Queen Victoria.
The Issue of Extraterritoriality
The presence of British traders in China gave rise to the issue of legal issues with the
locals. Given British military and economic superiority in a country with strange
customs and laws, no proper processes, and barbaric use of torture, the traders did
not see the need to abide by these. In the 1830s, this became all the more so, since their
trade was supervised by the British government.
In July 1839, a Chinese villager was killed by drunken British sailors. Based on Chinese
legal practice, Lin Zexu demanded that the sailors be handed over for execution, but
Elliot refused. Instead of traditional Chinese torture, he only punished some sailors
leniently.
Thus, the sensitive issue of extraterritoriality, with its implications for foreign relations
and national pride, was something China denied Britain without understanding. 20
20Extraterritoriality refers to the right of exemption of foreign organisations and diplomatic or military
personnel from the jurisdiction, police interference and other measures of governmental constraint by
the country they are in.
SU1-14
CCS101 STUDY UNIT 1
This became a second casus belli for war.
The First Opium War
News of Lins actions reached London. China had confiscated British property and
bullied government representatives. Britain now needed to defend not just its
perceived right to trade in China, but also its honour. Responding to heated trading
lobbies at home by influential private traders like William Jardine, Britain dispatched
a 4000-strong expeditionary force, with 16 warships and 540 guns. It included the
armed Nemesis the first ever iron steam vessel to reach China, which gave Britain
absolute naval superiority (Roberts 2003).
Lin was unaware of this. He thought that by surrendering the opium, Elliot had
conceded defeat (Elleman and Paine 2010). In two early minor naval skirmishes at
Jiulong and Chuanbi, China claimed victory. An ignorant Daoguang was deceived by
Lins misleading reports that the barbarians had been subdued by Chinese
willpower and moral superiority.
The first expedition, led by Captain Elliots cousin Admiral George Elliot, reached
Hong Kong in June 1840 and blockaded Guangzhou, sinking many ships. Qing forces
were uncoordinated, poorly trained and equipped, command of strategy and tactics
was poor, and morale was low (Vohra 2000). China could not stop Britain advancing
towards the Dagu forts that guarded the approaches to Tianjin and Beijing. Hearing
this, a frightened Daoguang promptly dismissed Lin for incompetence. However,
preliminary negotiations, conducted by the diplomatic Qing official Qishan (),
did not satisfy either side. Daoguang thought China conceded too much, while Britain
that it received too little. Both Qishan and Elliot were recalled. More fighting would
ensue.
In 1841, now led by Sir Henry Pottinger, the British attacked again, with 30,000 men,
50 ships and over 300 guns (Figure 1.6). Pottinger routed Chinas southern fleet,
captured Xiamen and Ningbo, and sailed towards Nanjing, poising to cut off Beijing
from its main sources of food and revenue.
SU1-15
CCS101 STUDY UNIT 1
Figure 1.6 British sailors towing warships toward the besieged city of Canton on 24 May 1841
(Source: Wikimedia Commons. Category: First Opium War.
https://commons.wikimedia.org/wiki/File:British_ships_in_Canton.jpg. Accessed 13 July 2015.)
1. What do Lin Zexus actions tell you about him and China at that time?
2. Lin Zexu was patriotic because he was nave. Do you agree?
SU1-16
CCS101 STUDY UNIT 1
The Unequal Treaties
The Treaty of Nanjing
Daoguang had no time to mobilize the Qing army. He had to sign the unequal
Treaty of Nanjing in August 1842. China was forced to do the following:
Pay Mex$21million in indemnities, with a five percent interest charge per
year upon default.
Cede Hong Kong to Britain.
Provide for equal correspondence on the basis of peace and friendship.
Open Guangdong, Xiamen, Fuzhou, Ningbo and Shanghai to British trade
and residence.
Fix foreign tariffs at five percent.
Abolish the Cohong.
Replace derogatory terms of correspondence for Britain like petition by
non-subordinate terms like communicate.
In 1843 the Nanjing Treaty was supplemented by the Treaty of the Bogue, which
granted the British extraterritorial rights. Disputes and crimes involving foreigners
were to be handled by the relevant consuls.
America and France followed to pressure China to sign similar unequal treaties of
Wangxia and Huangpu in 1844, where they also secured extraterritoriality. Both also
attained tolerance for Christian missionary work in the treaty ports. What was granted
to them automatically applied also to Britain, given the most-favoured nation (MFN)
treatment in the Treaty of the Bogue.21
The conflict over opium reflected East-West differences in perspectives about

international relations and trade. Britain believed in diplomacy and respect. But
Chinas understanding was based on tributary relations under its claim to universal
overlordship. Britain believed in free trade. China believed in self-sufficiency (Roberts
2003). In the unequal treaties the West subjected China to their systems and gave
themselves footholds to penetrate Chinas economy and society.
Yet the Qing signed them complacently, out of expediency, ignorance of international
law, and its implications for Chinese sovereignty and status. In the 1830s, the Qing
21MFN treatment refers to the guarantee of trading opportunities and rights to a country similar to
those accorded to the country given the best trading opportunities and rights. As a tenet of international
law, it provides for the sovereign equality of states in terms of trading practices.
SU1-17
CCS101 STUDY UNIT 1
had allowed neighbouring Khokand to station commercial agents in China, in

tributary fashion. The court naively reassured itself that this was a similar
arrangement, and that it had signed voluntarily to control all barbarians equally
(Roberts 2003). After all, the Westerners were confined to the treaty ports. No
diplomatic representation was permitted in the capital (Vohra 2000).
In reality, Chinese prestige was lost, since China was accepting imposed requirements
(Fairbank 2008). Although the West did not directly govern China, in the treaty ports,
European law, superiority and privilege were enforced. The low tariff requirements
hampered China from protecting its native industries, and contributed to peasant
discontent and rebellion.
Spence (2013) states that the Qing implemented a combination of subduing and
conciliating Britain (Spence 2013, 163). What do you think is its meaning and
significance?
The Arrow War
In the Arrow War from 1857 to 1860, British aggression went further, and with French
collaboration. Russia, as France and America had done in the 1840s, also took
advantage and forced China to sign more unequal treaties.
The 1840s treaties were slated for revision, with a view to legalize the opium trade and
open Beijing to foreign embassies. However, China learnt little from the defeat in 1842.
It remained xenophobic and intransigent, annoying Britain. Several disputes ensued,
in part because Chinese officials who translated the treaties watered down the original
versions to deny and conceal their severity. Then in 1856, Chinas assertiveness
reached breaking point.
The Trigger Incident
In October 1856, Chinese soldiers stormed the Arrow, a British-registered ship

anchored at Guangzhou, to investigate alleged piracy. On hindsight, China had a case,
for the registration was supposed to have expired in September (Vohra 2000).
However, the Chinese gave Britain no diplomatic respect. They seized 12 sailors
without warrant and hauled down the British flag. When Britain demanded back the
sailors, the dignified, patriotic and anti-foreign Guangdong governor, Ye Mingchen,
a Chinese, suspended trade and questioned Britains right to interfere (Vohra 2000).
SU1-18
CCS101 STUDY UNIT 1
Ye later released the sailors but refused to apologize. In Chinas face culture, no official
could apologize to a barbarian and retain his position (Elleman and Paine 2010). In
response, Britain besieged Guangzhou. The locals retaliated by burning British
factories and forcing their retreat. Ye wrote to the court that China had won.
Ye did not know that Britain had dispatched another expeditionary force, led by Lord
Elgin. It included French troops. France was aggrieved that China had allegedly
violated extraterritoriality by executing a French missionary who had travelled
beyond the treaty ports into Guangxi.
You can read more about Ye Mingchen here.
Outbreak of War
When the expedition reached Guangzhou in December 1957, Britain demanded that
China indemnify for the Arrow incident. When Ye refused, the expedition arrested Ye,
seized Guangzhou and took the Dagu forts and Tianjin (Figure 1.7). They forced the
Xianfeng () Emperor (Figure 1.8), who had replaced Daoguang in 1851, to sign the
Treaty of Tianjin in 1858.
Figure 1.7 Second Opium War Guangzhou

(Source: Wikimedia Commons. Category: Battles of the Second Opium War.
https://commons.wikimedia.org/wiki/Category:Battles_of_the_Second_Opium_War. Accessed 13 July 2015.)
SU1-19
CCS101 STUDY UNIT 1
Figure 1.8 Emperor Xianfeng

(Source: Wikimedia Commons. Category: Xianfeng Emperor.
https://en.wikipedia.org/wiki/Xianfeng_Emperor#/media/File:%E3%80%8A%E5%92%B8%E4%B8%B0%E7
%9A%87%E5%B8%9D%E6%9C%9D%E6%9C%8D%E5%83%8F%E3%80%8B.jpg.
SU1-20
CCS101 STUDY UNIT 1
The Treaty of Tianjin
The Tianjin Treaty required China to:

Accept a British resident minister in Beijing. This humiliated, since
now the Qing had to allow diplomatic representation in the capital.
Given MFN status, France, Russia and America also got resident
minister rights in Beijing.
Open new ports to foreign trade including Nanjing, Taiwan and
Hankou.
Pay Mex$6million in indemnities.
End the kowtow requirement for the British.22
Free movement for missionaries in China. This was effectively granted
through extraterritoriality.
Legalize the opium trade. The moral concerns were abandoned for a
pragmatic source of revenue to pay the indemnities.
Despite the Tianjin Treaty, local militias led by the brave Qing general from Mongolia,
Senggelinqin (), forced a temporary retreat to Shanghai. The Dagu forts
guarding the path to Beijing fired at British and French envoys travelling to Beijing
and some were captured. Nevertheless, the local populace mostly watched the
fighting indifferently without helping the troops, if not taking the opportunity to loot
abandoned shops and houses.
However, Britain and France fought back and advanced towards Beijing. To
demonstrate their superior might and subdue China, they burnt down the Summer
Palace () and forced Xianfeng to flee.
Xianfengs brother, the Grand Councillor Prince Gong () (Figure 1.9),23 signed
the Convention of Beijing, which ratified the Tianjin Treaty and doubled the
indemnity. Tianjin was also made a treaty port, and in addition to free travel,
missionaries could buy land and build churches.
22 The kowtow () refers to the dynastic Chinese requirement for visitors to the court to show deep
reverence by kneeling and bowing to the point that ones head touches the ground.
23 Also known as Yixin.
SU1-21
CCS101 STUDY UNIT 1
Figure 1.9 Prince Gong

(Source: Wikimedia Commons. Category: Prince Gong.
https://commons.wikimedia.org/wiki/File:Prince_Gong.jpg. Accessed 13 July 2015.)
The Treaty of Aigun and the Treaty of Beijing
Russia, like other European powers, had sought to expand its empire in the Pacific. In
the 1850s, Russia conducted many expeditions down the Amur River.24 Chinese troops
there were few and poorly equipped, and could not stop them.
In 1858, taking advantage of Chinas losing situation, Russia pressured the Chinese
regional government to sign the Treaty of Aigun, ceding all land north of the Amur
River. This was ratified by the Treaty of Beijing in November 1860. It set the border
between Russia and China at Xinjiang. The Qing had ceded 350,000 square miles of
territory, the equivalent of France and Germany at that time combined (Elleman and
Paine 2010).
The Amur River, also known as Heilongjiang, is Chinas third largest river, and it flows from Inner
24
Mongolia today to Heilongjiang province and southeastern Siberia.
SU1-22
CCS101 STUDY UNIT 1
Thus from 1840 to 1860, China opened up to Western trade and influence. The Opium
Wars forced the Qing court to face the reality of Western technology, might and
necessary relations. The unequal terms gave China no reciprocal privileges in Europe.
The arson of the Summer Palace remains an inerasable representation of foreign
brutality (Elleman and Paine 2010). Chinas victimization by the West is still
emphatically taught in schools in China today.
SU1-23
CCS101 STUDY UNIT 1
Chapter 3 Internal Rebellions in the 1850s and 1860s
Introduction
In the 1850s and 1860s, there arose many anti-Qing rebellions. The biggest was the
Taiping Rebellion () from 1851 to 1864, led by the quasi-Christian Hong
Xiuquan, (), who set up a unique egalitarian theocracy, 25 the Taiping Kingdom
().26 There was also the Nian Rebellion () by organized bandits from
1852 to 1868. The Muslims in southwest China initiated the Panthay Rebellion, 27 led
by Du Wenxiu (), 28 who formed an independent Pacified Southern Kingdom
() in Yunnan till 1873.29 Other Turkic-speaking Muslims in northwest China,
known as Hui (), waged the Dungan Rebellion () from 1862 to 1877.
According to Confucian historiography, the rebellions, like the Opium Wars, were
signs of the loss of the Mandate of Heaven ()(Dillon 2012).30 Nevertheless, the
rebellions were less against Qing capitulation to the foreigners than socio-economic
hardships, albeit worsened by foreign imperialism. To the rebels, the Qing were seen
as foreign more than the Western merchants and missionaries, and blamed for the
Western encroachment.
You should now read Jonathan D. Spence. 2013. The Search for Modern China. W. W.
Norton: New York, 168172, 178-79, 182-83.
25 Egalitarianism is the concept that everyone should be given equal treatment and enjoy equal social
status. It can be compatible with Christianity, which teaches that God is just to everyone.
A theocracy refers to a state governed on the basis of Christian doctrine and laws.
26 Literally, Kingdom of Heavenly Peace.
27 Panthay comes from the Burmese word pa-ti, for Muslim. The Panthay Rebellion is known in China
as the Du Wenxiu rebellion ().

28 Also known by his Muslim name Suleiman.
29 Also known as the Dali Sultanate.
30 The Mandate of Heaven is an ancient Chinese belief that the emperor, and his dynasty, is
commissioned to rule by Heaven. Only if the ruler or dynasty governs benevolently, incorruptibly and
efficiently, will the Mandate continue.
SU1-24
CCS101 STUDY UNIT 1
General Causes of Rebellion
Population Growth
Before the 1850s, two centuries of peace and prosperity had doubled Chinas
population, while arable land only grew by 35 percent (Hsu 1999). Moreover, as over
half this land belonged to the rich, the poor migrated to the less cultivated Yangtze
highlands where administrative control was weaker.31
The Impact of the Opium Wars
The treaties had opened Guangzhou to Western trade. As foreign merchants in

Guangzhou moved closer to the centres of tea and silk production and enjoyed low
tariffs, they competed with locals and threatened their livelihood. Boatmen
transporting tea to Guangzhou lost work. Pirates were driven into the interior. Militias
after the Opium Wars were demobilized. Unemployment and poverty drove many to
join the rebellions.
The treaties also led to an influx of Western missionaries. Their work and publications
converted many, including Hong Xiuquan and other Taiping founders.
Corrupt and incompetent Qing leadership
Qing mismanagement, bureaucratic corruption and incompetent leadership were

further exposed by inadequate and slow responses to many natural disasters
occurring in the late 1840s. In 1846, rain shortages had created a serious drought which
harshly reduced the wheat crop in Henan. In 1849, 1851, 1853 and 1855, the Yellow
River flooded Hubei, Anhui, Jiangsu and Zhejiang.32 In 1849, there was severe famine
in Guangxi. Corrupt officials pocketed relief funds and downplayed the severity of
local problems. Irrigation and flood control were inadequate. The natural disasters
themselves indicated that the Qing had lost the Mandate of Heaven.
31 This refers to the mountainous regions surrounding the Yangtze River, Chinas longest river. It flows
through Sichuan, Yunnan, Chongqing, Hubei, Hunan, Jiangxi, Anhui, Jiangsu and Shanghai towards
the East China Sea.
32 The Yellow River, Chinas second largest river, flows through Sichuan, Gansu, Ningxia, Shaanxi,
Shanxi, Henan and Shandong into the East China Sea. It floods often, and is also known as the River of
Sorrow.
SU1-25
CCS101 STUDY UNIT 1
The Taiping Rebellion
Origins
The Taiping Rebellion originated in neglected, famine-stricken Guangxi, where

unemployment, banditry and piracy were rife. Hong Xiuquan, a Hakka peasant from
Guangdong, failed the imperial exams thrice in the 1830s and fell ill. He claimed to
have visions of ascending to heaven where an old man bestowed him a sword to kill
demons and a seal to overcome spirits. He also witnessed Confucius confessing that
he had not explained truth clearly and another man, whom he called elder brother,
exhorting him to reveal the truth.
In 1843, Hong failed the exams again. Disillusioned, Hong read Christian tracts. He
had an epiphany that he saw God and Jesus in his dream. Yet reflecting influences of
Confucianism and folklore, Hongs dream bizarrely re-worked the orthodox Christian
Trinity where instead of the Holy Spirit, Hong was Gods ordained Chinese son and
Jesuss younger brother incarnate.33 He was called to drive out the Manchu demons,
restore true faith to China, and set up a Heavenly Kingdom. Hong failed the
examinations because he had a higher destiny.
With this revelation, Hong trained under an American missionary, Issachar Roberts,
to become a preacher. However, he maintained that he was Jesuss brother, like
previous leaders of rebellious societies had claimed to be incarnates of Buddha (Vohra
2000). Issachar found it hard to baptize Hong, who tried to teach him instead. Hong
left after a couple of months, but his inspired egalitarianism appealed to the local poor.
Hong set up the 3000-strong Association of God Worshippers (Baishangdijiao
). To relieve the famine, Hong asked them to sell their properties and share the
proceeds.
The Taiping Kingdom
In 1850, the Qing demanded higher taxes from the God-Worshippers. In retaliation,
one of Hongs key followers, Yang Xiuqing (), mobilized seven divisions to
defeat Qing troops. Hong then declared a revolution in 1851, proclaiming a new
Kingdom of Heavenly Peace, with himself its overall king, the Heavenly King ()
(Figure 1.10). He denounced Qing corruption and oppression.
33In orthodox Christianity, the Holy Trinity refers to the three co-existing identities of God: God the
Father, God the Only Begotten Son (Jesus Christ), and God the Holy Spirit.
SU1-26
CCS101 STUDY UNIT 1
Figure 1.10 Site of the Heavenly King Hong Xiuquans Residence Nanjing
(Source: Wikimedia Commons. Category: Site of the Heavenly Kings Residence of the Taiping Heavenly
Kingdom.
https://commons.wikimedia.org/wiki/Category:Site_of_the_Heavenly_King%27s_Residence_of_the_Taiping_H
eavenly_Kingdom#/media/File:HongXiuQuan_TianWangFu_Nanjing.jpg. Accessed 13 July 2015.)
Again, traditional Chinese culture mixed into Hongs creation. Such titles resembled
those in Chinese classics. However, unlike the dynastic monarchy, Hongs kingdom
had multiple kings. Yang Xiuqing, who claimed to be Gods spokesman and often
spoke in trances, became the Eastern king and took charge of the Taiping troops. Other
prominent followers also became kings.
Theocracy34
The Taipings operated based on Old Testament. 35 Drinking, gambling and opium
were prohibited. Every morning, prayers and hymns were sung, in addition to
Christian services once a week and baptism. Following the missionaries, Taiping
bookmakers published and distributed evangelistic tracts. Conversion, although
made unattractive by the relinquishment of private property and prohibition of
ancestral worship that represented filial piety, was made mandatory for all. The
34 A theocracy is a form of government where a deity is recognized as the supreme ruler and its
scriptural principles are used as authoritative law.
35 The Christian Bible is divided into the Old Testament and the New Testament.
SU1-27
CCS101 STUDY UNIT 1
defiant were severely punished. Officials who neglected religious duties were
demoted. Taiping examinations for administrative appointments were based on
biblical themes, rejecting Confucianism.
Civil-military administration
The Taipings were self-contained. Every individual, male and female, was allocated
to a work unit responsible for its own security, food rationing, dispute-settlement,
education, church worship and even marriages. The army was constituted from
regimental units of farming families (Crossley 2010). Such organization familiarly
resembled Chinas traditional organization of people into self-defence units, based on
ancient rites during the Zhou () Dynasty,36 which Confucius had supported, and
which the Qing also practised. The Taipings enforced strict discipline and loyalty.
Egalitarianism
Private ownership was replaced by communal utilization, which strangely diverged

from Confucianism and yet was also based on Zhou rites. Everyone was given land
based on productivity. Excess produce was stored for public sharing. Confiscated land
was classified by productivity and redistributed according to age. Land taxes were
lower than the Qing. This was embraced by the poor, who could cultivate land, earn
income, and improve social status in an equal community (Elleman and Paine 2010).
In this way the Taipings were self-sufficient without trade or industry.
1. What seems ironic about the Taipings rejection of Confucianism?
2. From your response to Qn 1, what can you infer about the impact of history and
culture on modern society and governance?
3. To what extent do you think such a society could be sustainable over the long-
term? Why?
36 The Zhou Dynasty, Chinas longest dynasty, was from 1046 to 256 BC.
SU1-28
CCS101 STUDY UNIT 1
Unique customs
Taiping examinations were open to all, but were conducted using plain language
instead of the traditional classical writing, to increase accessibility and reduce elitism.
This foreran the rise of the vernacular during the May 4th Movement (Wusiyundong
) over 60 years later.37
To display Taiping identity, men had to wear their hair long all over the head, unlike
the Qing requirement of a shaven scalp in front and queue at the back.
Women were not allowed to bind their feet.38 This reflected the accord of equal rights
to women. Women could work in the army and civil service. They could also marry
by choice, and concubinage was abolished for ordinary Taipings. However, women
were segregated from men.
Expansion
In mid-1851, the Taipings charged northwards. In 1852, they broke into Hunan and
Wuhan. Hankou, Wuchang and Anqing fell by February 1853, as the Taipings
plundered food, weapons and money. From Wuhan, they advanced to Nanjing,
massacred 30,000 Manchus, and renamed it the Heavenly Capital. There is some
reason to believe that Hong may have wanted to restore a Chinese dynasty, since
Nanjing had been the Ming capital, and Hong wore Ming-styled robes.
By the time the Taipings reached Nanjing, they had swelled to over a million. Until
1860, they occupied the middle Yangtze. 70,000 troops from the Qing national army,
the Green Standard Army (Lyingbing ), were defeated by the Taipings under
the Loyal King Li Xiucheng (). The Taiping Rebellion ravaged many provinces
and killed 20 million, grossly outnumbering those who died in the Opium Wars.
Besides Christian ritual and millenarianism, the Taipings used brotherhood and
egalitarianism to win military loyalty and courage (Fairbank 2008). 39 Hongs
egalitarianism inspired Sun Yat-sen and Taiping religious rhetoric was cited during
the 1911 Revolution. 40 The Taiping Rebellion also inspired Mao Zedong, who
identified peasant revolt as a symptom of class struggle (Roberts 2003). He referenced
37 See Study Unit 4

38 Since the Tang Dynasty, foot-binding was considered feminine beauty, despite its pain and deformity.
39 Millenarianism refers to the belief in an imminent utopian society or life, especially one inspired by
religious salvation or revolutionary action.

SU1-29
CCS101 STUDY UNIT 1
Taiping land reform and military strategy (Elleman and Paine 2010). His sinification
of Marxism would also resemble Hongs sinification of Christianity (Fairbank 2008). 41
Watch the hyperlinked video clip to find out more about the Taiping Rebellion.
Retrieve this JSTOR Article from the SIM library and read: Eugene P. Boardman (1951),
Christian influence upon the ideology of the Taiping Rebellion. The Far Eastern
Quarterly 10(2), 115124.
The Nian Rebellion
Background
The Nian Rebellion, which originated north of the Huai River, 42 had no distinct
identity or uniform ideology except being anti-Qing. Nian () means torch and
refers to their status as nocturnal torch-bearing impoverished bandits who were
members of local clans that became Nian bases. Some were also rootless bachelors
affected by traditional female infanticide.
The Rise of the Nian
From disparate Nian activity in many parts of north China, a unifying leader emerged
from Anhui, Zhang Lexing (). 43 In 1856 the Nian organized into five expansive
units under the multi-colour banner classification borrowed from the Qing. 44 Zhang
Lexing was hailed as the Great Han King with a mandate to restore the Ming. The
Nian spotted red beards, the colour of the Ming.
The Nian established themselves in Shandong, Henan, Jiangsu and Anhui. Instead of
forming a rival government, they plundered villages and intimidated community
leaders to collaborate. But the Nian were often welcomed by villagers, whom they
41 See Study Units 4, 5 and 6.

42 The Huai River runs between the Yellow and Yangtze Rivers in central and east China.
43 Some versions write or pronounce his name as Zhang Luoxing.
44 The Qing eight-banner system was a structured organisation of militias based on multi-coloured
banners.
SU1-30
CCS101 STUDY UNIT 1
defended against oppressive Qing officials. The villages allowed them to establish
earth-walled defences reinforced with bricks and topped by defensive parapets from
which arrows could be shot in the event of Qing siege.
In their prime Nian militias numbered 50,000. They were skilled, armed horsemen
who used mobile warfare tactics suited to the flat north China plains (Figure 1.11).
They would lead Qing troops into pursuit and when the Qing were tired and stretched,
counterattack with overwhelming force.
Figure 1.11 A Scene of the Nien Rebellion (1851 to 1868)

(Source: Wikimedia Commons.
https://commons.wikimedia.org/wiki/Category:Nien_Rebellion#/media/File:Battle_Nien_Rebellion.jpg.
The Muslim Rebellions
Background
China has a significant Muslim minority, especially in the west. The Qing classified
the Muslim minorities separately from the Han. They imposed heavier taxes on the
Muslims.
Muslim rebellions challenging Qing rule usually began as disputes against the Han
majority. They were more against Qing discrimination and Han bullying than in the
name of Islam. They did not have religious millenarianism like the Taipings, although
Islamic practices were pursued in rebel regimes.
Two major Muslim rebellions during the period were the Panthay Rebellion in
Yunnan and the Dungan Rebellion in Shaanxi and Gansu. Although the common
denominator was Islam, the rebellions involved diverse Islamic sects, the Sunni
SU1-31
CCS101 STUDY UNIT 1
mainstream and the more mystical Sufi variant. The latter had split into rival orders
in northwest China.45 Since the grievance was socio-economic, Muslims were counted
among the intransigent, the defectors, and the mediators, and the Han could be both
ally and enemy. This limited the cohesiveness and strength of the rebellions.
The Panthay Rebellion
Until the 1700s, mountainous and inaccessible Yunnan was governed by autonomous
indigenous Islamic headmen. This was disrupted after the Qing encouraged the
immigration of millions of assertive Chinese. The Qing tightened central control by
appointing Manchu or Han regional governors to replace the headmen. The governors
and migrants dominated land ownership and mine employment, and bullied the
native Muslims, leading to inter-ethnic tensions.
In 1855, the Han demanded the right to work in Muslim mines after Han mines were
over-staffed, and killed the Muslims who resisted. The Muslims retaliated and were
condemned for inciting disorder by the Qing provincial authorities who ordered their
indiscriminate massacre in the capital, Kunming, in 1856. The Muslims then revolted
against the provincial authorities, led by Du Wenxiu, a Han convert. Du invited the
Han and other non-Muslim minorities to join and unite. Taking advantage of, and
courage from, the ongoing Taiping and Nian Rebellions, Du amassed 350,000
heterogeneous forces to declare a revolution against the corrupt Qing (Gemingmanqing
).
Du captured Dali city in west Yunnan. Given the scale of the revolt, the provincial
authorities offered an amnesty, but Du, assisted by emergent leaders like Ma Rulong,
(), sieged Kunming until 1858. The Qing called in other Muslim leaders from
Sichuan to negotiate. Some compromise was reached, leading to a truce. Ma Rulong
was bribed over to the Qing.
But the Qing provincial officials continued to persecute the Muslims. So Du re-took
Dali and established an independent, anti-Qing Dali Sultanate (Dalifucheng )
that extended to almost half of Yunnan.
Du wore Chinese clothing and allowed freedom of religion, but he mandated the use
of Arabic and banned pork. When Taiping forces entered Sichuan, Du combined
forces until the Taipings were expelled in 1863. In 1867, Du besieged Kunming again,
hoping to destroy the remaining Qing forces in Yunnan.
45Historically, the Khufiyya order was more moderate. The more hardline Jahriyya order had many
instances of conflict against the Qing and were regarded as subversive.
SU1-32
CCS101 STUDY UNIT 1
You can read more about the Panthay Rebellion here.
Why do you think Du Wenxiu and his followers opposed the Qing rather than the
Han?
The Dungan Rebellion
In Gansu and Shaanxi, Hui Muslims initially kept harmony with the Han, wearing
similar clothing and promoting trade. However, they were scorned and ill-treated by
the Han. The Han also tried to force Dungan women to marry Han men without the
latter converting to Islam, as required by Islamic law.
In 1862 near Xian, Dungans loyal to the Qing were overcharged by Han traders. When
the Dungans protested, the Han set fire to their village and massacred them. In
retaliation, Dungan bands cut Xian off from essential supplies. They then attacked
neighbouring villages, exploding Shaanxi into unplanned violence. The Dungans
were inspired by their interpretation of Sufi Islam where they believed they could
perform miracles.
In 1863, Muslim rebels from Gansu joined the revolt. At its peak, the Dungan peasant
militias numbered almost 200,000 in 18 battalions. Like the Nian, they divided their
forces similar to the Qing banner system and were swelled by demobilized soldiers
and refugees on the border. They organized campaigns and counterattacks against
Qing forces and the advantage switched from side to side until pacification in the late
1870s. Two main leaders were Ma Hualong , and Ma Zhanao .
Ma Hualong refused to make peace and was killed by the Qing. He is a revered Islamic
hero today. In 1871, Ma Zhanao negotiated a truce with the Qing.
Qing Decline From Outside or Within?

(Access via iStudyGuide)
SU1-33
CCS101 STUDY UNIT 1
Chronological Summary
Date Event
1834 British government takes over China trade from EIC. Abortive Napier
Mission
1839 Lin Zexu starts anti-opium campaign in Guangdong. Confines British
in factories
British sailors kill Chinese villager
1840-2 First Opium War
1842 Treaty of Nanjing
1843 Treaty of the Bogue
Hong Xiuquan fails exams a fourth time, studies Christian tracts
1844 Treaty of Wangxia
Treaty of Huangpu
1846 55 Multiple natural disasters in China
1850 Hong Xiuquan forms Association of God Worshippers
1851 Hong Xiuquan forms Taiping Kingdom of Heavenly Peace
1851 53 Taipings advance towards Nanjing
SU1-34
CCS101 STUDY UNIT 1
1856 Nian organize into banner units. Zhang Lexing conferred title of Great
Han King
Kunming massacre of Muslims
Pacified Southern Kingdom established
Chinese troops storm Arrow. British attack Guangdong
1857 British and French expeditionary force arrive in Hong Kong
Expeditionary force captures Guangdong
1858 Treaty of Tianjin
Treaty of Aigun
1860 Summer Palace burnt. Convention of Beijing
Treaty of Beijing
1862 Dungan Rebellion starts
1863 Pacified Southern Kingdom links up with Taiping forces in Sichuan
SU1-35
CCS101 STUDY UNIT 1
References
Bhabha, Homi. 1994. Narrating the nation. In John Hutchinson and Anthony D.
Smith (eds.) Nationalism. Oxford: Oxford University Press, 306-312.
Carr, E. H. 1990. What is History? Penguin Books: London.
Cohen, Paul A. 2003. China Unbound: Evolving Perspectives on the Chinese Past. London:
Routledge.
Crossley, Pamela K. 2010. The Wobbling Pivot, China since 1800. New Jersey: Wiley-
Blackwell.
Dillon, Michael. 2012. China: A Modern History. New York: IB Tauris.
Elleman, Bruce A. and Paine, S. C. M. 2010. China: Continuity and Change 1644 to the
Present. New Jersey: Prentice Hall.
Fairbank, John King and Goldman, Merle. 2006. China: A New History. Massachusetts:
Harvard University Press.
Hsu, Immanuel C. Y. 1999. The Rise of Modern China. New York: Oxford University
Press.
Information Office of the State Council of the Peoples Republic of China. 2005.
Regional Autonomy for Ethnic Minorities in China, Government
White Papers, February, http://www.china.org.cn/e-white. Accessed 6 October
2008.
Pye, Lucian W. 1990. China: erratic state, frustrated society. Foreign Affairs 69(4),
56-74.
Roberts, J. A. G. 2003. The Complete History of China. Gloucestershire: Sutton

Publishing.
Spence, Jonathan. 2013. The Search for Modern China. New York: W. W. Norton.
Vohra, Ranbir. 2000. Chinas Path to Modernisation. New Jersey: Prentice Hall.
SU1-36
STUDY UNIT 2
THE QING TRIES TO SAVE ITSELF
CCS101 STUDY UNIT 2
Learning Outcomes
1. Explain how the Qing suppressed the Taiping, Nian, Panthay and Dungan
Rebellions.
2. Discuss other reasons why the Taiping Rebellion failed.
3. Explain the concept and practices of Self-Strengthening under the Tongzhi
Restoration.
4. Analyze why Self-Strengthening proved inadequate.
5. Explain briefly why China lost the Sino-French War of 1884-85 and the First
Sino-Japanese War of 1894-95 from a China-centred perspective.
6. Analyze the nature and aspects of the 20th century Qing reforms.
7. Explain how the political aspects reflected the Qing's attempts to preserve
power for the court and Manchus.
Overview
This study unit looks at how the Qing pacified rebellions, attempted to address
Western encroachment through Self-Strengthening with Confucian preservation, and
initiated modernizing reforms in the 20th century.
Chapter 1 examines how the Qing empowered Chinese provincial gentry to raise
armies to defeat the rebellions, showing increasing dependence on regional Chinese
elites.
Chapter 2 assesses the implementation of military, industrial and educational reforms

in the Self-Strengthening Movement.
Chapter 3 provides a critical exposition of Qing reforms in the 20th century by the
Empress Dowager Cixi's court to preserve power, reserving dominance for Manchus,
but also reflecting an ineluctable transition to Western forms of government.
SU2-1
CCS101 STUDY UNIT 2
Chapter 1 Pacifying the Internal Rebellions
Introduction
With many stubborn rebellions in China, the Qing realized that their armies were not
strong or well-equipped. They empowered outstanding Han provincial gentry like
Zeng Guofan (), (Figure 2.1) Li Hongzhang (), (Figure 2.2) Zuo Zongtang
()(Figure 2.3) and Cen Yuying () to defeat the rebellions and gain
credibility and repute. While staying loyal to the Qing, they expanded private regional
armies, militarized provincial societies and buttressed control over their regions.
Figure 2.1 Zeng Guofan

(Source: Wikimedia Commons. Category: Zeng Guofan.
https://upload.wikimedia.org/wikipedia/commons/a/a4/Zeng_Guofan.png. Accessed 13 July 2015.)
SU2-2
CCS101 STUDY UNIT 2
Figure 2.2 Hubert Vos painting of Li HungChang

(Source: Wikimedia Commons. Category: Li Hongzhang.
https://commons.wikimedia.org/wiki/Category:Li_Hongzhang#/media/File:Hubert_Vos%27s_painting_of_Li_H
ongzhang.jpg. Accessed 13 July 2015.)
Figure 2.3 Zuo Zongtang

https://commons.wikimedia.org/wiki/Category:Zuo_Zongtang#/media/File:Zu_Zongtang111.jpg.
SU2-3
CCS101 STUDY UNIT 2
You should now read: Jonathan D. Spence. 2013. The Search for Modern China. W. W.
Norton: New York, 172-75, 180-81, 184-85.
Pacifying the Taiping Rebellion
During the peak of the Taiping Rebellion, Zeng Guofan, a scholar-official and vice-
minister, persuaded the Qing not to rely on its Green Standard Army to fight the
Taipings. This official armys military standards had declined. Many joined out of
poverty, but were poorly paid and of low morale. Corrupt officers often made soldiers
their personal servants (Roberts 2003).
Instead, Zeng requested permission to raise a local peasant army in his hometown,
Hunan. This 120,000-strong, mostly Chinese Xiang Army () was cohesive and
well-disciplined along Confucian-based reciprocal responsibilities according to status.
Zeng infused his Confucian upbringing into his personally selected officers, who
denounced the Taipings for their anti-Confucian practices, and recruited their own
loyal soldiers from his own clan. Thus the army was handled like a Confucian family,
emphasizing moral instruction and guidance, and generously paid and fed out of local
funds (Wright 1962).
To fund the army, the lijin () tax was established. 1 It showed the Qings priority
to suppress the rebellions, as the lijin adversely affected trade until its abolition in the
early 1930s.2 The lijin strengthened regional control, as it was collected and used by
the provincial leaders.
In the 1860s, the Qing made Zeng Guofan Minister of War. Zeng rehabilitated
agriculture following the rebellions and natural disasters by encouraging people to
return to abandoned land, regulating taxes, and repairing public works. He persuaded
the court to promote other provincial officials, including Zuo Zongtang, who became
commander-in-chief of Zhejiang, and Li Hongzhang, who became governor of Jiangsu
and Zhili.
1 The lijin was a levy on goods in transit and sales imposed on traders. Note that when the lijin was first
implemented, commerce was still not highly regarded in China.
2 See Study Unit 5.
SU2-4
CCS101 STUDY UNIT 2
Li Hongzhang recruited another private Huai Army (), which combined troops
from Zhili, Shandong, Anhui and Henan, to reinforce the Xiang Army. He maintained
loyalty by forging strong bonds with his officers who in turn kept the men faithful
and reliable. The Xiang and Huai armies beat off Taiping offensives, staged
counterattacks and cut off their supply sources (Figure 2.4). Finally in 1864, when the
provincial gentry sieged Nanjing, Hong Xiuquan committed suicide and Prime
Minister Hong Rengan was executed.
Figure 2.4 The Suppression of the Taiping Rebellion

(Source: Wikimedia Commons. Category: Taiping Rebellion.
https://commons.wikimedia.org/wiki/File:Suppression_of_the_Taiping_Rebellion.jpg. Accessed 13 July 2015.)
Other Reasons for the Fall of the Taipings
However, the Taipings also fell due to internal weaknesses and foreign aid to the Qing.
If not for these factors, the Qing would have taken longer to pacify the Taipings:
a) Disunited and distracted leadership. From 1856, the Taipings were weakened by
political in fighting. Hong became increasingly insecure about the able but
ambitious Yang Xiuqing, who consolidated his control over the military and
the administration. In 1856, Hong had Yang assassinated. He also accused
another capable king, Shi Dakai ( ), who had headed the Taiping
bureaucracy in Nanjing and taken over Yangs army, of plotting to take full
power. Shi left Nanjing in 1857 and formed an independent kingdom in
Sichuan and Yunnan until he was captured in 1863.
SU2-5
CCS101 STUDY UNIT 2
Having lost talented advisers, Hong sent inadequate forces to Beijing and failed
to capture it. There was no effective governance of the countryside to supply
food and manpower. Instead, Hong indulged in wealth and had many women.
He ingratiated himself with biblical references to his mission, which
apparently could be found throughout the Bible. Ironically, this blackened his
image from nationalistic revolutionary to blasphemous fraud.
b) Loss of Foreign Support. The Western missionaries had initially supported the
Taipings hoping they would Christianize China. However, they soon
condemned the Heavenly Kingdom as heretical, hypocritical and chauvinistic.
In any case the Taipings made little effort to engage the Westerners in their
early years. Many leaders had limited education and prior contact with the
West beyond Hongs missionary training (Fairbank and Goldman 2006). Thus
they did not appreciate the value of diplomatic relations. Hong Rengan (
), Taiping Prime Minister during the later years, who had been to Hong
Kong and spent time with missionaries, tried to increase contacts with the West.
But he could not gain the approval of other leaders to sustain this.
The Taipings anti-opium stance, and disturbance of foreign trade and life in
the treaty ports, led the West to realize they must protect the Qing to preserve
their interests. This was particularly after the Treaty of Tianjin was signed in
1858, which opened more ports to Western trade.3 Thus, British troops engaged
Li Xiucheng, who had earlier routed the national Qing army, and defended
their trading posts in Shanghai. Britain also provided steamships to transport
Li Hongzhangs Huai army down the Yangtze to fight the Taipings.
What conclusions can you draw about the Qing from the above paragraph?
c) To protect the concessions, foreigners in China also formed an international

army of mostly Europeans, known as the Ever-Victorious Army (). This
army used modern artillery to slaughter the Taipings, who had mostly only
spears and swords. The Qing, despite just having had their Summer Palace
burnt down by the Westerners, saw its strength and soon contributed troops to
this army, which helped them recapture many important cities (Vohra 2000).
Qing troops also took the opportunity to receive Western training.
3 See Study Unit 1.
SU2-6
CCS101 STUDY UNIT 2
d) Limited support from the populace. Another reason why the Taipings fell is
because Hong Xiuquan failed to exploit the potentially popular issue of an anti-
Manchu crusade. In Nanjing, instead of maintaining its prosperity and
amassing a popular base, the arrogant Taipings put off the locals with
unorthodox practices like rejecting female foot-binding. Their proselytism and
destruction of iconoclastic Confucian temples also eroded support from secret
societies and peasants, who cherished ancestral worship a key Chinese act of
filial piety and folk superstition (Rowe 2009). Looking as alien and
unbecoming as Manchus and foreigners, the locals were reluctant to feed,
resource and finance the Taipings.
Hongs religious vision was also too weird to win over the Chinese scholar-
elites, who would have been essential to manage and sustain a new
administration. Instead, Zeng Guofan capitalized on popular alienation to
recruit his armies, when he portrayed the Taipings as a rebellion not just
against the Qing, but Confucian Chinese civilization (Platt 1971).
Retrieve this JSTOR Article from the SIM library and read: John S. Gregory. 1959.
British intervention against the Taiping Rebellion. The Journal of Asian Studies 19(1),
11-24.
Pacifying the Nian Rebellion
Despite Zhang Lexing being killed in an ambush, the Qing cavalry was still not strong,
trained or motivated enough to subdue the Nian, which split into west and east bands.
It was only in 1865, after suppressing the Taipings, that imperial troops were
reinforced by Li Hongzhangs Huai Army. Li and Zeng adopted Western muzzle-
loaded rifles and dug trenches to counteract the mobile Nian cavalry. Li also
blockaded villages to deprive the Nian of supplies.
Against the revitalized Qing onslaught, the Nian were finally eliminated by 1868
when Li linked up with Zuo Zongtangs army in Zhejiang and staged a series of battles,
armed with guns and gunboats purchased from the Westerners.
Pacifying the Panthay Rebellion
The Panthay Rebellion ended by 1873 with the rise of the Chinese governor, Cen
Yuying, from neighbouring Guangxi. Cen had formed a militia to quell minor
uprisings there. He used it to help the Qing suppress the Panthay Rebellion when it
SU2-7
CCS101 STUDY UNIT 2
first broke out in 1856, and was commended. He then expanded his militia to several
thousand men, which led to his promotion as governor of Yunnan.
Cen also made efforts to win back the support of the Kunming natives. He appointed
competent and promising officials. He allowed impoverished districts tax grace
periods. He repaired and reopened mines to provide employment. Cens actions
helped secure Ma Rulongs defection after a period of negotiations.
In the late 1860s, Cen also bolstered his army with Western artillery and expertise,
which reinforced Qing imperial forces in their campaigns in the early 1870s following
the defeat of the Taiping and Nian. Du was finally captured and publicly executed.
Cen then massacred Dus soldiers and followers, wiping out the Dali Sultanate and
ending the rebellion.
Pacifying the Dungan Rebellion
In 1869, the Hunan-born Zuo Zongtang, who had studied the history and geography
of west China, was appointed governor-general of Shaanxi and Gansu and tasked to
defeat the Muslim rebels. He expanded his volunteer army raised in the 1850s and
sieged rebellious cities, depriving them of food, forcing some leaders to surrender and
others to negotiate truces.
Zuo realized that the Muslims were not fully united and he could ally with them. So
Zuo promised the more moderate Muslims amnesty if they turned in their weapons.
While the more intransigent Ma Hualong was executed, Zuo offered Ma Zhanao
continued control over his followers, so long as they only stayed in the southern
suburbs. A former agriculturalist, Zuo helped them reside peacefully in their villages
by allocating them land, tools and seed, treating them as loyal subjects. Resettled
families, indicated by a name-bearing plaque on their doors, were integrated into the
baojia()neighbourhood watch system.4 However, to regulate against future revolt,
Zuo controlled their travel and forbade them from hoarding weapons. The rebellion
effectively ended by the late 1870s.
Read this article about government treatment of Muslim minorities in China today,
and compare and contrast it with Qing policies towards Muslims that caused and
ended the Panthay and Dungan Rebellions.
4The baojia refers to the traditional community-based structure of civil control, established in China
since the 11th century, where neighbouring families were organised into watches.
SU2-8
CCS101 STUDY UNIT 2
Chapter 2 The Self-Strengthening Movement
Introduction
After the Opium Wars, the Qing was forced to come to terms with the reality of
Western superior technology and military might, and accepted their prolonged
presence in China and the need to conduct effective diplomatic relations. With the
influx of Westerners into the treaty ports, observant and pragmatic Confucian scholars
asserted that Chinese survival and strength hinged on the need for reform using
Western methods.
In 1861, Xianfeng died of illness and was replaced by his 15-year-old son Tongzhi (
). However, his mother, the ambitious and ruthless Empress Dowager Cixi (
), wielded actual power as regent behind the scenes, following an intriguing
struggle defeating other princes. 5 The Qing then began the Tongzhi Restoration,
although Tongzhi ruled little, and died of illness in 1875. Cixi took advantage of
Tongzhis unborn heir to demand that her child nephew Guangxu () become
Emperor, which in effect allowed her to continue ruling as regent till 1889.The Tongzhi
Restoration essentially involved the gentry-led Self-Strengthening Movement (
). In the 1840s, Lin Zexu, shocked by Western military might, championed learning
from the West. In 1860, the Suzhou scholar Feng Guifen (), who led a volunteer
army against the Taipings, brought up the concept of Self-strengthening. He noted
that a new world had been thrust upon China, and advised it to strengthen itself by
combining traditional Chinese ethical foundations with Western methods. Hence
education should be provided in foreign languages, science and mathematics. As Qing
administration was preoccupied with internal rebellions, the efficient, learned and
patriotic gentry should step in, adopt Western knowledge, make Western weapons,
and establish translation offices with multi-lingual Chinese so that China did not have
to over-rely on foreign translators.
However, Self-Strengthening was to be based on Chinese learning, Western utility

(, ) or tiyong (), as expressed by the scholar-official Zhang
Zhidong ( ), (Figure 2.5) governor of Hunan, Hubei and Shanxi. Western
methods were accepted out of necessity. It was not to replace fundamental values.
China adopted Western diplomacy, military, technology and knowhow, but order
was to be restored through Confucian morality. The Self-Strengthening gentry
remained loyal to the Qing.
5 Also known as Yehonala.
SU2-9
CCS101 STUDY UNIT 2
Figure 2.5 Zhang Zhidong

(Source: Wikimedia Commons. https://commons.wikimedia.org/wiki/File:Zhang_Zhidong.jpg.
1. You should now read Jonathan D. Spence. 2013. The Search for Modern China. W. W.
Norton: New York, 186-191, 208-215.
2. You can also read more about Cixi here.
The Zongli Yamen
The foreign treaties in the 1850s and 1860s made the conduct of diplomatic relations
more important. The Qing court realized that the existing Court of Colonial Affairs
(Lifanyuan ) and Ministry of Rites (Libu ), which managed tributary
relations with Tibet, was insufficient. So Cixi appointed the young but pragmatic
Prince Gong, who had negotiated the Convention of Beijing, 6 as head of the new
Zongli Yamen (), (Figure 2.6) formed in 1861.
6 See Study Unit 1.
SU2-10
CCS101 STUDY UNIT 2
Figure 2.6 Zongli Yamen

https://commons.wikimedia.org/wiki/Category:Zongli_Yamen#/media/File:Audienz-ZongliYamen.jpg.
The Zongli Yamen sought to conduct effective international relations on a more equal
basis. It managed the dispatch of diplomats and supervised foreign trade, customs,
railroads and industry. But its limited departments reflected the importance placed
on countries with increased contact from the unequal treaties. Austrian issues came
under the British department, the largest. Dutch issues came under the French section,
and Japanese under the Russian section till the 1890s.
The Zongli Yamen reflected some shift in relating with the West from a xenophobic to
a more compromising stance. The allocation of an old building to its quarters showed
how it was intended to temporarily deal with marginal Western encroachments, while
the Qing preoccupied with suppressing more serious internal rebellions (Fairbank and
Goldman 2006). The Westerners soon saw that the Zongli Yamen was slow, and merely
rubber-stamped court decisions. Still, they responded to this diplomatic improvement
by assisting the Qing to suppress the rebellions, and participating in Self-
Strengthening ventures. However, Chinas international position never really
improved; instead foreign exploitation increased from the 1880s.
SU2-11
CCS101 STUDY UNIT 2
The Rise of the Gentry
To raise regional armies, the Qing rewarded provinces where locals had raised funds,
by increasing the quotas for gentry admission by examinations. The price of titles was
also reduced. This increased the gentry and swelled a new regional elite who raised
militias and money to bolster their areas against rebel disorder, forming clan and
communal associations that assumed semi-official administrative roles. It was these
gentry, not the Qing court, who initiated the Self-Strengthening Movement that
represented the bulk of the Tongzhi Restoration. Thus, although the Qing survived
the rebellions, power flowed to regional Chinese who buttressed their autonomy by
professing loyalty to the Qing on grounds of Confucian morality and restoring Chinas
strength.
Military Reforms
Military reform dominated the early phase of Self-Strengthening in the 1860s. One
priority was to rebuild a strong and modern navy. To do so, Zeng Guofan, Zuo
Zongtang and Li Hongzhang, having defeated the rebellions with the help of Western
technology, appreciated the superiority of Western weapons, and built arsenals to
construct ships and guns.
An analysis of naval achievements is as follows:

In 1865, Zeng founded the Jiangnan Arsenal () in Shanghai, which
became the biggest shipyard in East Asia then, equipped with American
machinery. The technical adviser was a Brit. The arsenal supplied firearms to
aid Lis army against the Nian. It built Chinas first steamship in 1868. It also
translated over 90 Western works on military, science and technology. In the
1890s, it manufactured Chinas first ever steel. It continued operating in the
20th century, but could not keep up with developments in Western
armaments, and most of its ships were slow, expensive, and not fuel-efficient.
In 1866, Zuo set up the Fuzhou Dockyard (), with a naval school.
It employed European engineers and planners. China provided materials,
labour and funding. It built a total of 40 ships. Many ships, however, proved
costly and were obsolete by the time of completion. In 1884 it was badly
damaged by France.
Regional navies. The new set-ups facilitated the creation of the Nanyang,
Beiyang, Fujian and Guangdong fleets (
). In its prime, the four combined navies, which also included foreign
imports, gave the Qing over 100 ships grossed at over 84,000 tons.
SU2-12
CCS101 STUDY UNIT 2
The Nanyang fleet, initially the largest, was based in Shanghai and
comprised modern cruisers, wooden steam frigates, wooden and iron
gunboats.
The Fujian fleet comprised a wooden corvette, gunboats, and transport

vessels, and was based at the Fuzhou Dockyard.
The Guangdong fleet had mainly smaller war vessels and was based in
Guangzhou.
The Beiyang fleet (Figure 2.7), originally the smallest but later expanded to
be the biggest, was based in Weihaiwei in Shandong to guard the sea
approaches to Beijing.
Figure 2.7: Beiyang Fleet at Anchor in Weihaiwei.

(Source: Wikimedia Commons. Sino-French War.
https://commons.wikimedia.org/wiki/Category:Beiyang_Fleet#/media/File:Beiyang_fleet.jpg.
Naval Weaknesses
The scale and fanfare of the new navies masked essential weaknesses until the wars
with France and Japan, when they proved costly. The fleets were administered
separately. The decentralized operations perpetuated and reflected the governors
ambitious rivalry. There was no common strategy or standard equipment. During the
wars with France and Japan respectively, the Nanyang and Beiyang fleets refused to
reinforce, leading to defeats.
SU2-13
CCS101 STUDY UNIT 2
After gaining Cixis trust for suppressing the rebellions, Li Hongzhang was appointed
superintendent of trade in Tianjin and governor-general of Zhili. Li went on to
spearhead most of the Self-Strengthening projects. The Beiyang fleet became his prime
ambition. Taking advantage of Cixis favour, he diverted much of Qing naval funds
to expand the Beiyang fleet to over half of Chinas entire fleet by the 1890s. Li fawned
Cixi and channelled away a considerable amount of naval funds to rebuild the
Summer Palace (Yiheyuan ) (Figure 2.8) for her retirement. This affected the
construction of the other fleets and Chinas ability to buy foreign ships. Notably, the
Yoshino, a fast ship offered by Britain to China but bought by Japan, was instrumental
in Japans naval victory over China in 1894.
Figure 2.8 Main Gate of the Summer Palace

(Source: Wikimedia Commons. Yiheyuan.
https://commons.wikimedia.org/wiki/%E9%A2%90%E5%92%8C%E5%9B%AD#/media/File:SV101392.JPG.
SU2-14
CCS101 STUDY UNIT 2
Why do you think the Qing thought that a modern navy was important, and yet built
separately administered regional navies?
Industrial Reforms
From the 1870s, the later stage of Self-Strengthening marked a shift to wealth and
organizational power. It diversified into industry and communications. In 1872, Li
Hongzhang memorialized the Qing court to widen the Self-strengthening Movement
to include profit-oriented ventures in shipping, railways and mining. Since the Qing
lacked money, funds were raised by the provincial officials. The exposure to increased
foreign trade in the treaty ports had elevated the status of merchants, who
collaborated with the officials, facilitating the development of these bureaucrat-
supervised ventures with merchant management or guandu shangban ().
To compete with foreign firms and ensure profitability, the guandu shangban were
given privileges. However, most enterprises failed in the long run due to excessive
government interference, lack of funds, and corruption. The bureaucrats appointed by
the Qing were more concerned about profits than entrepreneurship, while the
rivalling provincial leaders used the projects to consolidate their regional power bases.
For example, Li Hongzhang created a military-industrial empire, based on Shanghai
and Tianjin (Roberts 2003). The use of modern, labour-saving machinery was also
resisted by ground-up concerns about the loss of jobs.
An analysis of the main ventures is as follows:

China Merchants Steam Navigation Company. In 1872, Li Hongzhang set up
this company to reduce foreign domination of shipping, on an authorized
capital of one million taels. 7 Being Chinese-owned, it enjoyed several
benefits. It monopolized the sea transport of tribute rice from the Yangtze
delta to Tianjin, at a charge twice that of Western shipping rates. It also easily
acquired wharfing land and its cargo was exempted from transport dues.
However, it suffered from a lack of funds, and still had to rely on government
loans. In 1885, it came under the control of Sheng Xuanhuai (), a
bureaucrat cum entrepreneur. It eventually lost its edge to British companies,
because it could not deny foreigners privileges accorded by the unequal
treaties.
7 The tael was the Chinese currency until the 1930s.
SU2-15
CCS101 STUDY UNIT 2
Kaiping coal mines. In 1877, Li Hongzhang set up the Kaiping mines at

Tangshan, managed by businessman Tang Tingshu (). It sought to
give China more control over its minerals and reduce dependence on imports
of coal for the expanding navy. It employed British engineers and used
Western mechanical winding, pumps and electric lighting. By 1883, it had
raised one million taels of paid-up capital and production of quality coal
reached 75,000 tons. In the late 1880s, it also expanded into gold mining in
northeast China. However, transporting coal was expensive, and the mines
consistently needed government loans. In the late 1890s, it went into debt and
was eventually taken over by British investors.
Hanyeping Complex. In 1890, Zhang Zhidong built Chinas first coal, iron and
steel complex. However, constantly in financial difficulties, it never
developed into the import-substituting industry envisaged. It failed to
promote railway-construction as corrupt and profiteering management led
to constant payouts of high, fixed dividends leaving little capital for plough-
back. Vested interests also led to it being built far from the sources of iron
and coal, which increased production costs. It was eventually dominated by
the Japanese, who increasingly penetrated China economically in the 20th
century.
Light Industry
From the late 1870s, the Self-Strengthening Movement further expanded to include
light industry. Two examples are below:
In 1877, Zuo Zongtang set up a woollen mill at Lanzhou in Gansu, which
pioneered the application of steam power and used foreign machinery.
German advisers were engaged. However, the mill suffered from many
technical problems and closed down by 1883.
In 1878, Li Hongzhang set up the Shanghai Cotton Cloth Mill to take

advantage of the increase in demand for machine-woven cloth and replace
imports. It monopolized the use of foreign machinery and was tax-exempt.
In 1892, it produced four million yards of cloth. However, in 1893 it was burnt
down. As there was inadequate insurance, this ended the company.
SU2-16
CCS101 STUDY UNIT 2
Transport and Communications
The Westerners, who benefitted economically from the concessions in the treaty ports,
contributed to strengthening transport and communications in China. In 1880, Li also
memorialized the court for permission to invest in railway-building.
However, developments in railway communications were slowed by local opposition.

They threatened the livelihoods of boatmen and carters. There were also concerns
about fengshui ().8 For example, a railway stretch built to connect Shanghai with
Wusong by a British consortium in the 1870s was destroyed after an accidental death
on the railway aggrieved superstitious locals.
Nevertheless, in 1881, Li Hongzhang, aided by Sheng Xuanhuai, inaugurated the

Imperial Telegraph Administration, which connected Shanghai with Tianjin, Nanjing,
Guangdong and Beijing. This reduced Chinas previous dependence on Western
companies to send telegrams. The company proved very profitable, and by 1900, it
oversaw over 30,000 miles of telegraph wires. However, being a monopoly, its service
was not always efficient.
Educational Reforms
The pragmatic Prince Gong deferred to foreign advice and expanded the Zongli Yamen
to include the Tongwenguan (). Originally, it was intended to provide joint
instruction of Chinese with Western languages taught by missionaries to facilitate
diplomatic relations and translation. But it broadened to also teach international law,
medicine, science and mathematics. It had a printing press, managed by an American,
which published many works bringing Western knowledge into China. It later became
part of Peking University ().9 However, since graduates still had to pass the
Confucian classical examinations to join the bureaucracy, many aspiring officials
boycotted it. In 1879, its enrolment was only 163 (Hsu 1999).
In the 1870s, 120 youths were sent to America to study. They lived with American
families, dressed in Western clothes and were exposed to Christianity. However, old-
style Chinese teachers accompanied them to prepare them for classical exams, and to
prevent Western contact from undermining their Confucian morals. Eventually, the
project was terminated when the boys were deemed becoming too Westernized, even
cutting off their queues. Upon returning to China, many sought employment by
foreigners, and only a few served in the Self-Strengthening projects.
8 Fengshui literally means wind and water, and refers to traditional Chinese belief in the dependence of
ones health and good fortune on the spatial environment.
9 See Chapter 3.
SU2-17
CCS101 STUDY UNIT 2
The naval arsenals at Shanghai and Fuzhou were accompanied by the establishment
of vocational institutes and translation centres directed by foreign advisers. In the
early 1880s, Li Hongzhang also built naval and military academies at Tianjin to
nurture technological elites and supplement the imperial examinations. However, the
traditional route to officialdom remained easier and cheaper, and the academies had
limited enrolment. Thus, the technological graduates during Self-Strengthening were
not enough to industrialize China in the 19th century.
Nevertheless, seeds were sown. One graduate, Yan Fu (), became a famous
philosopher in the anti-Confucian New Culture Movement ().10
The Impact of Self-Strengthening
The Opium Wars, unequal treaties and internal rebellions startled China into the need
to modernize. However, Chinas long-standing xenophobia and pride in its
continuous and rich history created a self-consoling denial that post-war relations
could still be managed with limited change. The Opium Wars was a debacle not to be
repeated, but also a historical accident (Hsu 1999, 275). Thus the Qing approved the
gentrys Self-Strengthening using Western methods, but preserved its traditional
culture and values. The latter was still seen as superior to the West. There was no
change in political institutions except where unavoidable like the temporary Zongli
Yamen.
The preservation of Confucianism caused Self-Strengthening to fail. Western

imitations were superficial. New establishments were inferior and unsustainable. Cixi
was intelligent, but not Western-educated. She was capable, but also narrow-minded
(Hsu 1999). The court tolerated rather than directed provincial elite initiative only
because they were Confucian, loyal, and anxious to save China. Bureaucrats, schooled
in the imperial examinations, remained ignorant about the world outside, hence
ignorant about the crises faced.
In deferring to the provincial officials, the Qing did not coordinate the movement, but
instead furthered rivalry. This reduced the industrial projects to a series of isolated
undertakings, hampered by corruption, private gain and inadequate plough-back
(Spence 2013). In any case, the Tongzhi Restoration had not intended to focus on
industrialization, but agricultural rehabilitation (Roberts 2003). This had accompanied
the pacification of the rebellions, especially under Zeng and Zuo. Industrial and
commercial development was a gentry-initiated and concessionary afterthought.
SU2-18
CCS101 STUDY UNIT 2
Thus, Self-Strengthening failed to regenerate China under the Qing sufficiently to

survive renewed foreign war and exploitation. Nevertheless, the treaty ports, with a
modern economy and mass media, saw the rise of prosperous compradors and a new
cultural intelligentsia not oriented towards officialdom, creating an expressive and
opinionated public. 11 The influx of Western methods and the improvements in
education, including overseas study opportunities, exposed the young to Western
institutions and ideologies, facilitating the rise of bright, reform-minded scholars.
The Defeat by France
China had regarded Cochin-China as a tributary vassal even before the Ming.12 But
since the 1860s France, to build an Indo-Chinese empire and increase trade and
Catholic proselytism in Asia, signed treaties with Annam in Cochin-China to
guarantee its independence. China agreed to withdraw its troops.
However, in 1884, France reneged on agreements to jointly recognize Annams

independence with China. Li Hongzhang, despite being aware of Chinas military
inferiority, could not prevent hawkish elements, including Zhang Zhidong, from
championing a firm stand-up to France, using patriotic courage and Confucian virtue
to overcome superior weaponry. France sent an expedition to blockade Annam,
causing clashes that escalated into war (Figure 2.9).
Figure 2.9 Map of the Sino-French War

(Source: Wikimedia Commons. https://commons.wikimedia.org/wiki/Category:Sino-
French_War#/media/File:SinoFrenchWar1884-1885.jpg. Accessed 13 July 2015.)
11 A comprador refers to a Chinese agent employed by foreigners to manage Chinese employees and
act as an intermediary in business transactions.
12 Present-day Cambodia, Laos and Vietnam.
SU2-19
CCS101 STUDY UNIT 2
The war exposed Chinas weakness and disunity. In August 1884 France used
torpedoes to attack the Fuzhou Fleet and counted five dead while China lost all its
ships within one hour and saw the arsenal and docks at Fuzhou badly damaged. One
important reason for the easy defeat was that Li stopped his Beiyang fleet from coming
to help. The Qing court had little courage to continue. They ceded Annam to French
colonial rule. Prince Gong, as head of the Zongli Yamen, was made a scapegoat for the
dispute with France and dismissed from the Grand Council. Barely a year later, Britain
also forced China to cede control of Burma, another long-standing tributary state.
The Defeat by Japan
In the 1860s, Li Hongzhang had warned that the failure to modernize would lead to
Japan eventually imitating the West to exploit China (Hsu 1999). In 1894, China fought
the first Sino-Japanese War with Japan over control of Korea, its vassal since the Han
Dynasty. Chinas utter defeat to Japan in 1895 revealed its shocking inferiority.
Background
Japan had been a tributary state of China during the Ming. After America forcefully
opened Japan up to trade in the 1850s, an awakened Japan embarked on the Meiji
Restoration from 1868, a period of rapid industrialization and military modernization
under imperial direction. In the 1870s, Japan sounded an early warning when it
invaded Formosa (Taiwan) to force China to recognize its right to control over the
Ryukyu Islands.13 In the 1880s, as Japan watched China cede vassals in Asia to the
West, it modernized further, privatizing its industry, ameliorating standards and
efficiency.
After the West forcefully opened Japan and China, the latter had managed to fend off
attempts to encroach Korea, another long-standing tributary. In the 1880s, the Zongli
Yamen transferred powers to Li Hongzhang and his protg Yuan Shikai (), to
protect Korea from influential pro-Japanese factions within its court. In 1894, China
responded to the Korean kings appeal to assist against a domestic rebellion. However,
to pre-empt Russian expansion into Korea, Japan also reacted, unexpectedly faster and
more effectively, installing a puppet regent who denounced Koreas tributary
relations with China. The rivalry to help Korea between China and Japan escalated
into the First Sino-Japanese War in August 1894.
13The Ryukyu islands, or Liuqiu (), had paid regular tributes to China since the Ming Dynasty.
In 1871, Japan took advantage of a killing of Ryukyuan seamen by native Formosans to argue for
Ryukyuan redress, and lay claim to sovereignty over the Ryukyuans. Japan went on to annex Ryukyu
in 1879.
SU2-20
CCS101 STUDY UNIT 2
On paper, China had twice as many ships and troops as Japan. Its flashy navy, which
had 65 large ships and torpedo boats, was ranked higher than Japans (Hsu 1999).
However, besides having slower ships, it found itself short of ammunition. The
Nanyang and Guangzhou Fleets refused to aid the Beiyang Fleet, just as the latter had
abandoned the Fuzhou Fleet to France. At the Battle of Yalu () in September
1894, the Beiyang fleet suffered heavy losses and had to retreat to its Weihaiwei base.
Chinas naval modernization efforts over the past 30 years was undone.
Li Hongzhangs Huai Army boasted Western tactics and scorned the Japanese
ignorantly. However, despite its numerical superiority, it was poorly equipped and
utterly routed at Pyongyang. (Figure 2.10) Japan declared Korea independent,
advanced into Manchuria and occupied Port Arthur, and then took Weihaiwei in
Shandong. It prepared to attack Beijing, forcing China to seek peace. As a result, a
disgraced Li had to sign the unequal, humiliating Treaty of Shimonoseki ()
in April 1895.
Figure 2.10 Sino-Japanese War 1894

(Source: Wikimedia Commons. https://commons.wikimedia.org/wiki/Category:First_Sino-Japanese_War#/
media/File:Sino_Japanese_war_1894.jpg. Accessed 13 July 2015.)
SU2-21
CCS101 STUDY UNIT 2
The Treaty of Shimonoseki
Shimonoseki forced China to do the following:

Cede Taiwan to Japanese control.14
Pay 200 million taels in war indemnities. This caused the government to
spend on deficit.
Recognize Koreas independence and stop tribute missions, effectively
paving the way for Korea to become a Japanese colony by 1910.
Give Japan MFN status.
Open ports to Japanese trade, like Chongqing, Suzhou and Hangzhou.
Allow Japan free travel and entrepreneurial activity in China.
In what ways were the First Sino-Japanese War and the Treaty of Shimonoseki similar
to the Opium Wars and the Nanjing Treaties? In what ways were they different?
Retrieve this JSTOR Article from the SIM Library and read: Benjamin A. Elman (2004).
Naval warfare and the refraction of Chinas Self-Strengthening reforms into scientific
and technological failure. Modern Asian Studies 38(2), 283-85, 287-299, 314-321.
Find out more about Japans Meiji Restoration. In what ways was it different from
Chinas Tongzhi Restoration? Why do you think it succeeded unlike Chinas Tongzhi
Restoration?
14 Taiwan would experience Meiji-styled modernization from then, diverging its history from Chinas.
SU2-22
CCS101 STUDY UNIT 2
Chapter 3 Qing Reforms in the 20th Century
Introduction
From 1901 to 1910, the Qing court, led by Cixi, initiated many military, educational,
social and political reforms. They were continued by the regent Prince Chun ()
following Cixis death in 1908.
These differences distinguish these reforms from the earlier Self-Strengthening:

While Self-Strengthening comprised mainly military and industrial reforms,
the later ones included political reforms. There was intent to modernize the
entire governmental structure, streamline the bureaucracy, and move to a
more representative constitutional monarchy modelled after the West and
Japan.
While Self-Strengthening was largely spearheaded by provincial governors,
the later ones were top-down. The provinces, instead of being allies, agitated
for more power and control.
While Self-Strengthening failed despite provincial elite leadership as it was
not coordinated and far-reaching enough to restore Qing strength, the later
reforms failed as they radically clashed with conservative vested interests,
and as many provinces had ceased to accept Qing leadership.
Norton: New York, 234-38.
SU2-23
CCS101 STUDY UNIT 2
The 20th Century Qing Reforms
Background
The Qing court recognized that its rule was now on the brink. The social climate had
changed:
Western learning and ideas had become interesting and respectable.
Missionary work had spread Western ideas rapidly.
A military career was now prestigious. 15 The military became a new elite,
competing with the scholars. It also became a symbol of patriotism and a
means to restore national dignity. Soldiers were well paid, well-trained and
insured. Officer-graduates from the new military schools came from the
upper classes.
There was a growing demand for popular political participation (Vohra
2000).
Military Reforms
The main military reforms were as follows:

Creating provincial military academies with centralized supervision.
Rebuilding the navy.
Sponsoring military education abroad.
Replacing the Green Standard Army with a new, streamlined national army,
with modern weapons and training.
The national army, known as the New Army ( ), was modelled after Li
Hongzhangs Huai army. It had expanded and modernized in the 1890s using
provincial revenues to become the Beiyang Army () (Figure 2.11). It had about
70,000 troops. It also had its own training schools.
15 In dynastic China, being a scholar was much more respectable than being a soldier.
SU2-24
CCS101 STUDY UNIT 2
Figure 2.11 Military Training of the Beiyang Army

https://commons.wikimedia.org/wiki/File:Military_training_of_the_Beiyang_Army.jpg.
By 1905, the New Army had six divisions in North China, of which four were
constituted from the Beiyang Army. But the New Army did not grow as fast or as
unitedly as the Qing hoped. In 1911, it still numbered less than 200,000, below the
Qings target of 450,000. The aspiration for a unified centralized army was resisted by
the personal ambitions of rising leaders like Yuan Shikai, who fragmented the
command of the regional armies, and by the province-based structure of funding and
recruitment. (Figure 2.12) Yuan had succeeded Li Hongzhang as governor-general of
Zhili after he died in 1901. Given the strength and prestige of the Beiyang Army, in
1903 Yuan was also appointed assistant commissioner of the Army Reorganization
Council.
SU2-25
CCS101 STUDY UNIT 2
Figure 2.12Yuan Shikai

(Source: Wikimedia Commons. Category: Yuan Shikai.
https://commons.wikimedia.org/wiki/Category:Yuan_Shikai#/media/File:Picture_of_Yuan_Shikai.jpg. Accessed
14 July 2015.)
However, like Li, Yuan boosted his power by preserving the Beiyang Armys
autonomy and cultivating the loyalty of its officers to him via patronage, creating the
Beiyang Clique. In 1910, the Qing recalled Yuan to prevent him from
acquiring too much power and to increase their control of the army, on the grounds
that he had hurt his foot.
Educational Reforms
The main educational reforms were as follows:

Replacing the eight-legged essay (Baguwen ) with exams testing
current affairs, national policies and Western learning in 1901.
Abolishing the imperial exams altogether in 1905, and making relevant
expertise a condition for entry into the civil service. The imperial exams,
which focused on the Confucian classics and poetry, centred on static
knowledge and rote learning.
Transforming provincial academies into colleges that integrated
Confucianism and Chinese history with current affairs, foreign governments
and Western learning.
Providing scientific and technical education to facilitate industrialization.
Selecting students for subsidized overseas study.
Requiring all prefectures to establish middle schools, and all districts to
establish primary schools teaching Western subjects.
SU2-26
CCS101 STUDY UNIT 2
The educational reforms were hampered by a lack of trained and experienced teachers,
curriculum materials and funds. Due to this, many students went abroad, especially
to Japan,16 given its geographical proximity and use of kanji.17 Nevertheless, by 1909,
China had over 52,000 schools enrolling over 1.5 million students, especially in the
cities (Roberts 2003).
Unlike Self-Strengthening Movement, these educational reforms dissociated from

Confucianism, thus genuinely availing new intellectual directions to the young gentry
(Vohra 2000). There was no longer a need to justify change on the basis of
reinterpreting Confucianism. This would pave the way for its rejection by an emergent
cosmopolitan yet patriotic educated elite during the New Culture Movement a decade
later.18
Read up about the Eight-legged Essay here. What do you think were the flaws of using
it as a key assessment?
Social Reforms
Key social reforms were:

Prohibiting foot-binding, given the pain and restrictions on Chinese women.
This practice had been condemned by Westerners.
Banning opium manufacture, trade and smoking.
Legalizing Manchu-Han marriages.
Why do you think the Qing legalized Manchu-Han marriages?
16 This included Sun Yat-sen, founder of the Kuomintang (KMT), Li Yuanhong, first military governor
of the revolutionary government, Song Jiaoren, key organiser in the KMT, Chen Duxiu, co-founder of
the CCP, and Chiang Kai-shek, who took over the leadership of the KMT from Sun Yat-sen.
17 The Japanese form of writing, kanji, uses Chinese character script.
SU2-27
CCS101 STUDY UNIT 2
Political Reforms
In 1901, the Qing court renamed the Zongli Yamen the Board of Foreign Affairs, on
paper on the same level as the Six Boards but in protocol superior. It specialized in
foreign affairs and had exclusive staff. Previously, it had to share personnel with the
Six Boards and manage other issues like customs and communications which
involved contact with the West. Such areas which represented foreign affairs in past
thinking were transferred over to the new specialized ministries. The Board of Foreign
Affairs reflected the elevation of international relations in importance.
The most distinctive element was the move to constitutionalism. Since 1890, Japan had
thrived as a constitutional monarchy and in the 1900s, was becoming more powerful
in the world.
The following developments in Japan persuaded the Qing court that

constitutionalism was the path to national strength:
Japan signed the Anglo-Japanese Alliance with Britain in 1902 to support the
independence of China. This was the first alliance by an Asian state with a
European power, and moreover one that had traditionally shied away from
alliances with even other European powers.19
In 1905, Japan became the first Asian power to defeat a European power,
Russia, under absolute monarch Tsar Nicholas II. 20 Much of the war was
fought in and over Manchuria, which was Chinese territory, yet China had
little say in its conduct or the terms of the resultant Treaty of Portsmouth that
gave Japan control of Manchurian railways and mines. This reinforced
Chinas sense of vulnerability to foreign imperialism and exploitation.
Strong pressures from assertive scholar-elites, often through the growing press,
accompanied the new realities to force the ageing Cixi to concede to constitutional
reform. In 1905, Cixi sent Manchu teams to European countries, America and Japan to
investigate their political systems, and endorsed their recommendations in 1906 for a
ministerial government, and from 1908, a Japan-styled constitution that would
convene a parliament by 1916.21
19 Britain was generally reluctant to bind itself to alliances with other powers, given its policy of
splendid isolation to preserve independence and resources to police its colonies all over the world.
20 The Russo-Japanese War began in 1904 when Japans navy attacked Russias naval base in Port
Arthur in China. Japan then defeated Russia in land and sea battles in north China and Manchuria.
21 From 1889, Japan enforced the Meiji Constitution, which provided for a constitutional monarchy
where the emperor had to share power with an elected parliament, known as the Diet.
SU2-28
CCS101 STUDY UNIT 2
A list of political reforms introduced is as follows:
Replacing the broad Six Boards, (liubu ) which had duplicate and
inefficient leaders, with 11 streamlined, central and more focused ministries,
including new ministries in commerce, finance, education and the military
services. 22
Abolishing sinecures. 23 This sought to increase bureaucratic efficiency.
Abolishing the sale of offices. Traditionally, corruption in China was complex
enough for bureaucratic appointments to be purchasable.
Establishing fully elected provincial assemblies to discuss state matters.
Establishing subordinate professional associations (fatuan ) with quasi-
administrative functions like chambers of commerce, education, agricultural
and bankers associations.
Evolution of the Political Reforms
The reforms were more far-reaching than Self-Strengthening because of the political
aspects and constitutional concessions. Young graduates entered the fatuan and
provincial assemblies. Despite limited suffrage, elections for the provincial assemblies
saw high turnouts. 24 In 1909 they met enthusiastically for the first time to make
recommendations on state affairs. They were strengthened by the plethora of
published views and the insights of members who had benefitted from the Qing
reforms, gone overseas, or worked in new industries. Many ambitious and restless
agitators in the assemblies were from the military. They succeeded in getting the Qing
to concede to form a parliament by 1913.
However, the reforms were ultimately still limited. They were shrewd and showy
concessions to an increasingly vocal, enlightened public, without compromising
court powers (Hsu 1999). This can be seen from the following:
a) The continued dominance of power by the court and the Manchus.
Political affairs were controlled by the Manchu Ronglu (), a crony of

Cixi. The Ministry of Foreign Affairs was also controlled by a Manchu. Half
22 The Six Boards were dynastic Chinas main governing organs. They included Civil Appointments,
Revenue, Rites, War, Justice and Works.
23 Sinecures refer to highly-paid Qing court officials who held redundant or non-essential appointments.
24 Suffrage refers to the right to vote.
SU2-29
CCS101 STUDY UNIT 2
the members in the National Consultative Assembly were imperial

nominees.
The new ministries sounded modern but retained essential imperial
procedures and imposed central control (Hsu 1999). Imperial clansmen were
placed in leading positions in the army and navy ministries. Military schools
reserved places for Manchus. This was to tighten Qing control over the
armed forces, since, with the majority of recruits being Han Chinese, the
military could threaten the dynasty.25
The 1908 constitution gave the throne huge powers over the budget, foreign
affairs and law. There was no cabinet. The future parliament could not
petition the emperor. The judiciary could only advise.26
b) The use of the fatuan to control the local elites. The Qing intended them as
sounding boards to check the provincial governments and transmit feedback,
thereby increasing the effectiveness of central government (Gray 2002).
c) The limited powers of the provincial assemblies. Suffrage was heavily

restricted, such that less than 0.5% of the population were eligible to vote,
mostly the educated or mercantile elite. The power of the assemblies was
merely consultative, like the National Consultative Assembly, and even this
could only be exercised with the consent of the provincial governor.
However, though self-preserving, the 20th century Qing reforms could not save it.
Rather, they weakened the Qing courts position and contributed to revolution, for
the following reasons:27
Many who were hoping for genuine constitutional monarchy were
disappointed, and turned to revolution.
The provinces resisted the reforms as a means to strengthen central control.
The reforms threatened the vested interests of many who had a stake in the
imperial status quo and did not see the worth of protecting it, for example,
the Chinese officials and gentry, who gained positions through the imperial
exams.
The government allowed a wider expression of public opinion.
25 This proved true, since the New Army was infiltrated with revolutionaries. In late 1911, multiple
military mutinies in the provinces led to the spread and success of the revolution (see Study Unit 3).
26 China had looked to Japan as a model, but its constitutional apparatus differed from Japan, whose
emperor played a symbolic and legitimizing role while civil and military statesmen set policy and ran
the government.
27 The 1911 revolution will be covered in Study Unit 3.
SU2-30
CCS101 STUDY UNIT 2
Retrieve this JSTOR Article from SIM library and read: Richard S. Horowitz.2003.
Breaking the bonds of precedent. Modern Asian Studies 37(4), 775-780, 788-797.
Reversing Qing Decline Genuine or Self-Destructive?
SU2-31
CCS101 STUDY UNIT 2
Date Event
1856 Yang Xiuqing is assassinated
1857 Shi Dakai breaks away from Hong Xiuquan
1859 Hong Rengan becomes Taiping Prime Minister
1860 Feng Guifen mentions Self-Strengthening concept
1860 Taiping forces under Li Xiucheng suffers defeats by Ever-Victorious and
1862 Huai armies
1861 Cixi holds power as regent following Tongzhis replacement of Xianfeng
as Emperor
Zongli Yamen established
1862 Zongli Yamen expands to form Tongwenguan
1864 Hong Xiuquan commits suicide, Hong Rengan executed
1865 Jiangnan Arsenal founded
1866 Fuzhou Dockyard founded
Li Hongzhang appointed Imperial Commissioner of Xiang and Huai
armies, to subdue Nian
1868 Meiji Restoration in Japan starts
Nian rebellion successfully suppressed
SU2-32
CCS101 STUDY UNIT 2
1869 Zuo pacifies Dungan Rebellions

1877
1872 China Merchants Steam Navigation Company founded
Execution of Du Wenxiu
1873 Massacre and collapse of Pacified Southern Kingdom
1877 Kaiping coal mines opened, Lanzhou woolen mill opened
1878 Li Hongzhang opens Shanghai Cotton Cloth Mill
1879 Japan annexes Ryukyu Islands
1881 Imperial Telegraph Administration inaugurated
1884 Start of Sino-French War. Fuzhou Dockyard damaged
1885 China defeated by France
1890 Hanyeping complex founded
Japan becomes constitutional monarchy
1894 Start of First Sino-Japanese War. Beiyang Fleet destroyed
1895 Treaty of Shimonoseki signed
1901 Zongli Yamen renamed Board of Foreign Affairs
Eight-legged-essay replaced by exams testing current affairs
1905 Japan defeats Russia

Imperial exams abolished
Manchu teams commissioned to study constitutional governments
Qings New Army has six divisions in North China
1908 Japanese-styled constitution promulgated, that recommended a
parliament by 1916
1909 Elected provincial assemblies meet for first time
SU2-33
CCS101 STUDY UNIT 2
References
Elleman, Bruce A and S. C. M. Paine. 2010. China: Continuity and Change 1644 to the
Elman, Benjamin A. 2009. Eight-legged essay. Berkshire Encyclopedia of China.

Berkshire Publishing Group. www.princeton.edu/~elman/documents/Eight-
Legged Essay.pdf. Accessed 12 July 2015.
Fairbank, John King and Merle Goldman. 2006. China: A New History. Massachusetts:
Fenby, Jonathan. 2008. The Penguin History of Modern China: The Fall and Rise of a Great
Power. London: Penguin Books.
Gray, Jack. 2002. Rebellions and Revolutions. New York: Oxford University Press.
Press.
Platt, Stephen R. 2012. Autumn in the Heavenly Kingdom. New York: Alfred A. Knopf.
Roberts, J. A. G. 2003. The Complete History of China. Gloucestershire: Sutton Publishing.
Rowe, William. 2009. Chinas Last Empire: The Great Qing. Massachusetts, Harvard
University Press.
SU2-34
STUDY UNIT 3
NATIONALISM AND REVOLUTION
1895 - 1912
CCS101 STUDY UNIT 3
Learning Outcomes
1. Outline the context behind the attempt to introduce the 100 Days Reforms in
1898.
2. State why the 100 Days Reforms was reversed.
3. Analyze the origins, development and outcomes of the Boxer Rebellion from
1898 to 1901.
4. Explain why and how the 1911 Xinhai Revolution occurred leading to the
formation of a republican government in China and the abdication of the last
Qing emperor Puyi in 1912.
Overview
This study unit investigates the manifestation of national consciousness in China, in
the form of reforming elite nationalism, rebellious grassroots nationalism,
revolutionary nationalism and provincial nationalism. It examines how these strands
of nationalism culminated in the end of dynastic China.
Chapter 1 analyzes the abortive but significant 100 Days Reforms in 1898 amidst the
threat of intensified foreign imperialism.
Chapter 2 looks at the Boxer Rebellion from 1898 to 1901, initially anti-Qing, then
allying with the Qing against foreign imperialism, then betrayed by the Qing.
Chapter 3 analyzes the origins and course of the Xinhai revolution and the formation
of republican China as a result of economic nationalism and province-originated
nationalism. This was linked to the revolutionary vision and atmosphere of Sun Yat-
sen and his Tongmenghui.
SU3-1
CCS101 STUDY UNIT 3
Chapter 1 The 100 Days Reforms
Introduction
In 1895, in response to the humiliation of Shimonoseki, scholars in Beijing, led by Kang

Youwei () (Figure 3.1) who reworked traditional Confucian teachings and
claimed that Confucius was a reformer, signed a 10,000 Word Memorial to the Qing
court to continue fighting Japan and to reform China extensively.
Figure 3.1 Kang Youwei

(Source: Wikimedia Commons. Category: Kang Youwei.
https://commons.wikimedia.org/wiki/Category:Kang_Youwei#/media/File:Kang_Youwei_statue.JPG.
Although the Qing did not revoke Shimonoseki, and conservatives proscribed the
memorial, Shimonoseki sparked the Scramble for Concessions among the Western
powers to expand their spheres of influence in China. This created a climate of fear
that China might be colonized while increasing Chinese exposure to Western presence.
Kangs persistence eventually earned him an audience with the impressed Emperor
Guangxu (Figure 3.2), who worked with Kang to issue over 40 edicts promulgating
modern reforms from June to September 1898, known as the 100 Days Reforms
(Bairiweixin ). Kang represented a case of elite nationalist activism impacting
the Qing court.
SU3-2
CCS101 STUDY UNIT 3
Figure 3.2 Emperor Guangxu

(Source: Wikimedia Commons. Category: Emperor Guangxu.
https://commons.wikimedia.org/wiki/File:Emperor_Guangxu.jpg. Accessed 14 July 2015.)
Kang proposed educational, military, economic and other reforms, like abolishing the
eight-legged essay in the imperial examinations, establishing a national conscript
army, and streamlining the bureaucracy. Many of these reforms were carried out by
the Qing court in the 20th century.1 However, when first issued by Guangxu in 1898,
they threatened the positions and privileges of many Qing bureaucrats, as well as the
statuses of many scholar-gentry. In particular, the Empress Dowager Cixi feared that
they would threaten her power. In September 1898 she forced Guangxu to annul the
reform edicts, incarcerated him and returned to rule as regent. Kang fled to Japan.
Norton: New York, 21518, 220-21.
1 See Study Unit 2.
SU3-3
CCS101 STUDY UNIT 3
The Shimonoseki Catalyst
Shimonoseki was extraordinarily shameful to China, not just considering the loss of
Taiwan and Korea, but because:
Japan was not imperial Europe. It was Chinas Asian neighbour, long
regarded as culturally inferior (Dillon 2012).
In population, area and resources, China was superior (Elleman and Paine
2010). Yet Japans Meiji Restoration, initially dismissed by many Chinese as
well as the West, had leapfrogged Chinas Tongzhi Restoration despite
starting later. The West found themselves contending with a serious Asian
competitor (Vohra 2000).
While in the past tributary missions and even Westerners had come to the
Chinese court, unprecedentedly, a high-ranking Chinese official (Li
Hongzhang) had to go to Japan to sue for peace. The peace terms would have
been harsher had Li not been embarrassingly wounded by a Japanese
assassin.
Kang Youwei and The 10,000 Word Memorial
As Shimonoseki left the Qing in shock and denial, Chinese scholars in Beijing, who
benefitted from the growing press and exposure to Western learning, quickly learnt
about the defeat while gathered for the classical examinations. Aspiring to
bureaucratic positions to steer their prided country in a modern world, their
sensibilities were outraged. They asserted that citizens had the right, if not the duty,
to hold rulers accountable (Fenby 2008).
Led by Kang Youwei, and supported by some Self-Strengtheners like the Wuhan
governor-general Zhang Zhidong, over 1,000 scholars signed the 10,000 Word
Memorial to the Qing court, urging resistance to Japan and extensive military and
industrial reform. This was known as the Public Vehicle Petition (Gongcheshangshu
).
Kang was, like Hong Xiuquan, also from Guangzhou. But his response significantly
differed from Hongs Taiping rebellion after the Nanjing treaty.
Born to a rich family, Kang was an intelligent scholar who read widely. He visited
Hong Kong and Shanghai, where he saw Western technological and urban
development, orderliness and efficiency. He recognized that China was backward and
threatened by imperialism. After a period of solitary meditation and voracious
reading of the Modern Text school of classical learning, Kang, like Hong Xiuquan,
SU3-4
CCS101 STUDY UNIT 3
claimed to have a mystical epiphany.2 He argued in his radical writing, A Study of the
Reforms of Confucius (Kongzigaizhikao ), that Confucius, contrary to
longstanding belief given fabricated Ancient Texts, was a messianic reformer like
Buddha and Christ, not a traditionalist (Roberts 2003). 3 The three ancient great
dynasties Xia (), Shang () and Zhou were distinct, thus change and reform
were inherent in history (Hsu 1999).
The 10,000-Word Memorial was addressed to the young, open-minded Guangxu, who
had studied in the Tongwenguan and ruled on the throne after Cixi retired in 1889.
The aging but domineering Cixi, however, continued to control the strings of power
from behind the scenes through her patronage of loyal, conservative, and self-
preserving bureaucrats who obstructed Kangs widely circulated proposals reaching
Guangxu. Cixi also tried to proscribe the Self-Strengthening Study Society
(Qiangxuehui ) that Kang formed in 1895 with the Beiyang general Yuan Shikai,
although she could not prevent it from becoming a publishing centre. Kang also
formed the Protect the Country Society (Baoguohui ), a patriotic group
professing to uphold Chinas sovereignty and independence through advocating
political and economic reforms.
How and why might the 10,000 Word Memorial differ from the Taiping Rebellion you
learnt in Study Unit 1?
The Scramble for Concessions in China
From 1895 to 1898, as Japan consolidated its possession of Taiwan, it set a precedent
for the Western powers to serially extract larger spheres of influence from China,
hence the Scramble for Concessions from 1897 to 1898. The 1890s were a period of
competition for colonies by many Western powers, including the newly independent
Italy and Germany. The foreign powers were emboldened by Chinas military
weakness and disunity, and political degeneration (Elleman and Paine 2010):
2 The Modern Text refers to the classics of the Qin and Han dynasties from 220 BC to 220 AD, as opposed
to the earlier Ancient Texts. Kang claimed that the Ancient Texts were forgeries.
3 A significant deviation from long-accepted Confucian philosophy, based on ancient text tradition, that
hierarchical relationships in society guarded the continuity of obedience to established authority. This
effectively negated innovation and change.
SU3-5
CCS101 STUDY UNIT 3
Shimonoseki was extraordinarily shameful to China, not just considering the loss of
Taiwan and Korea, but because:
Germany forcefully leased Jiaozhou Bay in Shandong.
Russia leased Port Arthur and Dalian in the Liaodong Peninsula.4
Britain extended its influence in Weihaiwei.
France leased Guangzhou Bay and claimed special rights to Hainan island.
Belgium and the US secured railway concessions in Hankou.
Italy asked for concessions in Zhejiang.
China conceded to all the foreign powers except Italy, at that time the weakest.
Study Figure 3.3 below. What does it tell you about China in the late 1890s? How does
it convey the message?
Figure 3.3 Scramble for Concessions in China

(Source: http://defence.pk/threads/political-empires-cartoon-you-gotta-love-it.85735/. Accessed 14 July 2015.)
4Japan had originally also demanded control of the Liaodong Peninsula in the Treaty of Shimonoseki.
However, Russia, Germany and Britain collaboratively pressured Japan to return it. In exchange, Russia
demanded special economic rights over the Chinese Eastern Railway running through Manchuria.
SU3-6
CCS101 STUDY UNIT 3
The Conducive Climate
The socio-political situation in China the 1890s had striking characteristics that
influenced progressive elements in the bureaucracy to mind Kangs persistence:
Fear that the Scramble for Concessions would carve China like a melon (
).
Inflation and debt as Shimonosekis indemnity bankrupted finances,
increased taxation and devalued silver.
Increased exposure to the West that nurtured a new intellectual elite who
formed many indigenous societies and press organizations, championing
reform and liberalization. Issues were debated quickly and openly, and
global developments were held up as examples for China to consider (Fenby
2008).
Propagation of Western knowledge and culture by missionaries to facilitate
and extend proselytization. They opened schools and libraries, and
published many works (Hsu 1999).
Nevertheless, Kangs access to Guangxu still depended on progressives in the court.

Only high-ranking officials could memorialize the emperor. No youthful reformer had
such rank. However, Kang was supported by the radical anti-Confucianist Tan Sitong
(), Hubei governor-general and a member of the Grand Council from 1898, and
Guangxus imperial tutor, Weng Tonghe ( ). In June 1898, Kang got an
unprecedented five-hour audience with Guangxu (Fenby 2008). Guangxu also read
the 10,000 Word Memorial.
Guangxu favoured Kang. To make it legitimate for Kang to memorialize him, he made
him a secretary in the Zongli Yamen. Mindful of Cixi, Guangxu ignored Kangs
proposals for constitutionalism, but from June to September, he took Kangs advice to
issue over 40 reform edicts over 103 days (the 100 Days Reforms) (Table 3.1).
SU3-7
CCS101 STUDY UNIT 3
Table 3.1 The 100 Days Reforms

Reform Details
Category
Education Abolish the eight-legged essay and stress practical problem-solving in
exams over calligraphy and poetry.
Establish an Imperial University in Beijing, which would also offer

medical training.
Convert old academies to modern schools offering Chinese and

Western learning.
Open vocational institutes to study mining, industry and railways.
Open more primary schools in the provinces. Make temples learning

centres.
Military Assemble 34 modern warships to build a national navy.
Raise a national conscript army to replace the Green Standard army.
Standardize army drill along Western lines.
Improve training and discipline of local militias.
Send Chinese soldiers to study abroad, especially in Japan.
Economic Create a ministry of agriculture to promote cash crops for export, like
tea and silk.
Establish bureaus to promote and coordinate railway construction,

mining, commercial development, and industrialization.
Deploy more officials to economic planning.
Create modern budgetary procedures.
Introduce a national cash currency to replace the tael.
Promote private enterprise.
SU3-8
CCS101 STUDY UNIT 3
Others Streamline the bureaucracy by abolishing sinecures.
Publish an official newspaper.
Encourage ground-up innovations and suggestions.
Create a postal service.
Extend the right to memorialize emperor to all subjects, thus the senior
bureaucrats would no longer enjoy exclusive communications with
the throne.
Create a Bureau of Peoples Affairs to engage the scholar-gentry in

reform.
How do the reforms compare to the 20th century Qing reforms you learnt in Study
Unit 1? What is the significance of this?
Elite Nationalism
The Public Vehicle Petition and the 100 Days Reform concerned elite-initiated
concert with a reform-minded emperor. It can be regarded as elite nationalism:
It was sensitive to foreign encroachment on Chinas sovereignty. Perhaps
strengthened by the loss of tributaries, the paradigm was shifting from
civilizational xenophobia, or even regional primacy, to an understanding
that China was merely one nation among many (Elleman and Paine 2010),
but it deserved to exercise and protect its rights.
It desired to reverse national humiliation, borne out of convictions about the
intrinsic superiority of Chinese culture and Confucian foundations. But the
values which underpinned Chinas national identity and guided its political
approach had to be re-evaluated and refined. Western ideas and models
would be explored, integrated, and sinicized.
It desired to restore national strength, given that imperialism and defeat was
evidence of a decline to be quickly arrested by transformative modernization.
SU3-9
CCS101 STUDY UNIT 3
Cixis Coup and Reversal
Cixi had initially been tacit on the reforms. However, she grew jealous of Guangxus
emboldened prominence and Kangs influence, and feared for her power. Moreover,
the reforms became resisted at every level of the bureaucracy, including Zhang
Zhidong. Zhang felt ashamed that China had fallen behind to Japan, but he saw these
reforms as antithetical to fundamental Confucian values and institutions. Qing nobles,
who might have supported the reforms in principle, were outraged to learn that they
might lose their privileges and jobs. The gentry scholars, while excited about
development, feared that abolishing the imperial exams would threaten their status
and prospects. The Green Standard Army was alarmed by the proposal to abolish it.
In September 1898, Cixi accused Guangxu and the reformers of treason. She was
backed by Ronglu, who controlled the army in north China, and the multi-faced Yuan
Shikai, who had appeared to side the reformers but now mobilized the Beiyang army
against them. Yuan claimed that the reformers had tried to involve him in a coup
against Cixi in the Summer Palace. It is unclear whether Kang and the reformers had
really planned this, but Kang did hint to Guangxu that Cixi was an obstacle. Guangxu
was forced to annul the reforms and placed under house arrest. Tan Sitong was
executed swiftly without trial, but Kang escaped into exile. The government press was
closed, and citizens were forbidden to submit memorials.
This, however, did not quell the intellectual nationalism or mood for reform. While
few outside Beijing knew much about the 100 Days movement, Chinese public
opinion continued to crystallize as the Qing grudgingly accepted the need for reform
(Gray 2002).
The Protect the Emperor Society
In exile, Kang formed the Protect the Emperor Society (Baohuanghui ) in Canada
in 1899, which developed an extensive network in many overseas Chinese
communities. Kang publicized the news about Guangxus arrest, and rallied overseas
Chinese and foreigners to raise funds for the cause of reform and constitutionalism.
In 1900, Kang tried to restore Guangxu as a constitutional monarch in an uprising in

Hubei and Anhui, but it was easily suppressed by Cixi. Yet barely a year later, she
introduced reforms, following the Boxer Protocol (Xinchoutiaoyue ) (next
chapter).
SU3-10
CCS101 STUDY UNIT 3
An Analysis of Kang Youwei and Guangxu
Kang was not against Qing rule, but he was impractical. He had little experience in
government (Hsu 1999). His suggested political reforms did not go into systematic
detail (Horowitz 2003). He had not been exposed to power politics and was effectively
championing revolution from above (although he actually opposed revolution) at the
expense of vested interests.
Guangxu was not the Japanese Emperor Meiji, the central figurehead around which a
unified reform movement controlled by a ruling oligarchy coalesced, even if he
wanted to be. He was hemmed in by a conservative bureaucracy subservient to Cixis
patronage, who still held real power. It was to Cixi whom perceptive but self-
preserving reformers like Yuan Shikai shrewdly swung their loyalty to amidst
intrigue. Moreover, no reformer on Kangs side, except Guangxu, was Manchu.
Retrieve this JSTOR Article from SIM Library and read: Luke S. K. Kwong. 2000.
Chinese politics at the crossroads: reflections on the 100 Days Reform of 1898.
Modern Asian Studies 34(3), 667 678, 687690.
Kang Youwei had a close disciple, Liang Qichao (). Find out more about his
background, thought and contributions to Chinas transformation. There is some
information about him in Spence (2013).
SU3-11
CCS101 STUDY UNIT 3
Chapter 2 The Boxer Rebellion
Introduction
The end of the 100 Days Reform coincided with the Boxer Rebellion (Yihetuanqiyi
), a primarily anti-Christian and also anti-foreign movement. The uprising
originated from resource-poor, densely-populated, flood-prone Shandong, where
Britain had occupied Weihaiwei, and Germany Jiaozhou. The unequal treaties had
also led to an influx of Western missionaries. Foreign presence was also evident in
commerce, communications, media and industry. However, there were relatively
fewer gentry, and less effective Qing control. The Boxers were commoners who
practised martial arts traditional to China. Their boxing, initially for ceremonial
healing and fitness, evolved into an invulnerability ritual that mixed magic and drama
to spiritually guard against alien religion and Western arms.
The Boxers were initially also anti-Qing, since the Qing imposed oppressive taxes and
appeared to defer to the foreigners. But some Qing officials, like the former governor
Yuxian, supported them. The Boxer movement spread to other provinces and
advanced to Beijing. In Beijing, Cixi was persuaded to co-opt them into the Qing
militia and, riding on their anti-imperialism, declare war on the foreign legations.
However, after sieging them for a month, the Boxers and Qing troops were defeated
by the multi-national Eight Nations Alliance, which had many Japanese troops. The
Boxers were not helped by the reluctance of elements in the Qing court, and many
prominent provincial governors, to support them. The foreigners allowed the Qing to
stay in power, but forced them to sign another humiliating treaty, the Boxer Protocol,
in 1901.
Norton: New York, 22225.
Video: Watch this Youtube clip as an introduction to The Boxer Rebellion.
SU3-12
CCS101 STUDY UNIT 3
Grassroots Nationalism
If the 100 Days Reform represented reformist elite nationalism, the Boxer Rebellion
represented violent grassroots nationalism. The former wanted to strengthen China
against further exploitation, the latter aimed to expel the foreigners.
Although the Boxers harnessed their ability and confidence from Chinese popular
belief, and asserted no concept of alternative nation-state, they were arguably more
nationalistic than the theocratic Taipings:
There was a sense of Chinese identity unifying the rebels, above religion.
Boxer folklore was integral to Chinese culture and legend, particularly from
the Ming. Their main deities included the Jade Emperor and Erlang Shen, his
relative,5 from Wu Chengens () famous Ming novel, Pilgrimage to
the West (Xiyouji ) (Purcell 1963). The latter they extolled as Great
Elder Teacher.
The Boxers eventually accepted Qing leadership against the larger enemies
of foreign intrusion and alien Christianity, identifying the Manchus as being
one with the Chinese and ruling partners in the anti-imperialist struggle.
Rather than define itself as a regional movement, the retaliation against foreign
presence crossed provincial boundaries, reflecting a unified groundswell of domestic
resentment (Elleman and Paine 2010). In particular, the CCP extols the Boxers as
peasant patriots fighting imperialism. Nevertheless, the China-centred approach
cautions against reducing the multitude of causes people joined the Boxer movement
to patriotic anti-imperialism although imperialism was a fact of life at that time, it
was still one reason among several, including the idiosyncratic, trivial, self-seeking
and adventuristic (Cohen 1997). Moreover, one need not be an elite to memorize
charms or attain spirit possession.
The Causes of the Boxer Rebellion
Opposition to the Western Missionaries
The seeds of the rebellion lay in local resentment towards Western missionaries, who
exercised treaty privileges to travel, proselytize and build churches since the 1860s.
These assertive and armed foreign subversives, for example the German Steyl Society
of missionaries, not only forced in an alien religion, but also used welfare institutions,
5Erlang Shen, or second son god, is a deity in Chinese mythology said to be a brother or nephew of the
Jade Emperor.
SU3-13
CCS101 STUDY UNIT 3
like orphanages and hospitals, as instruments to lure new converts away from
respected traditions like ancestral worship and kowtow. 6 These appeared to be
disguised perversions of the charitable activities some Boxers themselves engaged in,
to preserve traditional mores and support the community, like free ceremonial healing.
The converts, who received protection, subsidies and favour in Western commerce
and administration, seemed to forsake their own culture. During disputes, local
magistrates, fearing Western reprisal, often unfairly sided the converts (Purcell 1963).
Germanys seizure and staging of garrisons in Jiaozhou in November 1897, using the
killing of two Catholic missionaries (the Juye Incident ) as a pretext, triggered
a retaliation by the Big Sword Society (Dadaohui ), a large anti-Christian secret
society. The Boxers were probably heterogeneous offshoots of this society and other
similar sects like the Eight-Trigram (Baguajiao ). The Boxer movement likely
began around then.
The Socio-Economic Impact of Western Invasion
Shimonoseki had given Japan the right to establish industries in China. This was
automatically extended to the Western powers through MFN. By manufacturing
locally, they could avoid customs duties and transport costs. Given their capital,
technology, skills and scale, foreign enterprises threatened local handicrafts and
industry (Hsu 1999). The latter also faced competition from cheap foreign imports,
given the fixed tariff provisions from the unequal treaties, and the guandu shangban,7
with Westerners frequently engaged conspicuously as engineers and managers.
German investments in the Jiaozhou-Jinan railway rendered many boatmen and
carters out of work. Banditry and homelessness became rampant.
Natural Disasters
The Yellow River flooded severely in 1898, rendering many homeless and causing
much misery. In 1900 there was drought in north China, including Beijing. The
commoners, uneducated and superstitious, easily proclaimed jingles that blamed the
national disasters and socio-economic hardships on the Christian offence of Chinese
folk spirits and fengshui as much as recurrent Qing incompetence. The Confucian
gentry also condemned Christianity as a socially disruptive sect.
6 See Study Unit 1.

7 See Study Unit 1.
SU3-14
CCS101 STUDY UNIT 3
The Boxer Rebellion
The Boxer Rebellion began with attacks on local Christian families, residences and
churches, to protect themselves against Christian depredation (Purcell 1963). In March
1899 Shandong villagers attacked three Germans to protest local subjection by German
troops, and in retaliation German authorities razed two villages. Like the Taipings,
supernatural convictions gave the Boxers calling, hope and morale. Both the Boxers
and the missionaries saw themselves as divine soldiers and each other as evil.
The Boxers carried charms and recited incantations, believing these rituals made them
invincible. Like bandits, they operated mainly at night-time and dispersed during the
day. Unlike the Taipings, they had loose organization and no overall leader, although
a few featured prominently, like Cao Futian () (Figure 3.4), Zhao Sanduo (
) and Zhu Hongdeng (), the last they addressed as Great Teacher Elder
Brother (Purcell, 1963). Some Boxer groups mentioned by Joseph Esherick include the
Plum Flower Boxers in Guan County in western Shandong, the Red Boxers in Jining
in southern Shandong, and the Spirit Boxers in Pingyuan in northwestern Shandong
(Esherick 1988). The heterogeneous and horizontal structure helped the Boxers
resurge even after Qing officials arrested and killed Zhao Sanduo and Zhu Hongdeng
(Cohen 1997).
Figure 3.4 Chao Futian, um dos lderes dos boxers

(Source: Wikimedia Commons. Category: Boxer Rebellion.
https://commons.wikimedia.org/wiki/Category:Righteous_Harmony_Society#/media/File:05_tsao_fu_tien.png.
Accessed 14 August 2015.)
The Boxers wore trademark red or yellow charm-bearing turbans and white wrist-
charms. They identified foreigners by their distinctive non-black hair. Local converts
and users of foreign goods were also targeted as colluders.
SU3-15
CCS101 STUDY UNIT 3
The Boxers moved across many provinces in China, destroying churches and
communications, killing foreigners and converts, spreading their beliefs and skills,
and recruiting to expand. In 1900, they reached Beijing.
Relationship with the Qing
As churches became power centres and Christianity undermined provincial authority,

the Boxers found sympathy among some local Confucian gentry, who also clashed
with the missionaries. For example, their training was sponsored by the Manchu
governor of Shandong, Yuxian (), who took up office in March 1899. He had them
co-opted into village militias to control them. Yuxian was replaced in December 1899
by Yuan Shikai due to foreign complaints about his support for the Boxers, but he still
managed to arrange for them to display their skills to Cixi when they arrived in Beijing.
Cixi, who was superstitious and enjoyed theatre, and had only recently come out from
isolation in the Summer Palace, was won over. She invited them to join the regular
Qing troops.
This was despite some Boxers being anti-Qing at the outset (Purcell 1963). In 1899,
Zhu Hongdeng led Boxer units to defeat Qing troops in Shandong after a poor harvest
had caused food shortages and inflation. This led to Yuxians recall, and Zhu was
captured and executed.
The Short-Lived and Unreliable Qing Alliance with the Boxers
In June 1900, the anti-foreign Prince Duan () persuaded Cixi to tap on popular
anti-imperialism and the Boxers divine appointment to attack the foreign legations
in Beijing, set up after the Nanjing and Tianjin treaties. He alleged that the Boxers were
immune to gun bullets. After an intense debate in the court, Cixi gambled on the
Boxers. She declared war and demanded evacuation of the legations in 24 hours.
As the Boxers were anti-imperialist besides being anti-Christian, it was not difficult
for the Qing to gain their loyalty by championing an anti-foreign stance. The Boxers
were lifted by the prestigious semi-official standing of Qing support (Figure 3.5).
Conferring upon themselves a moral destiny, they renamed themselves Yihetuan (
) (Boxers United in Righteousness and Harmony) and proclaimed: Support Qing,
destroy foreigners (Fuqingmieyang ).
SU3-16
CCS101 STUDY UNIT 3
Figure 3.5 Boxer Soldiers

(Source: Wikimedia Commons. Category: Boxer Rebellion.
https://commons.wikimedia.org/wiki/Category:Righteous_Harmony_Society#/media/File:BoxerSoldiers.jpg.
When the legations ignored Cixis ultimatum, Qing troops opened fire. In concert, the
Boxers burnt churches and foreign residences, ripped up railway tracks, cut telegraph
lines and sieged the Beijing legations. Even Muslims, led by the Muslim general Dong
Fuxiang (), joined in. Unprecedentedly, Muslim and Han commoners teamed
up with Manchu royalty against alien imperialism.
Alarmed, Britain dispatched an international 20,000-strong armed force, the Eight

Nations Alliance, to protect the legations. It relieved Tianjin from the Boxers in July
1900 and arrived in Beijing in August.
Under the threat of coordinated Western military reprisal, Cixi then heeded anti-Boxer
elements in the court and reversed her position. She prohibited Boxer activities upon
penalty of death. She offered the foreigners refuge in the Zongli Yamen. She then fled
Beijing for Xian.
Simultaneously, significant elements in the Qing court had not supported the Boxers.
Ronglu, who commanded the Beiyang Army, attacked half-heartedly. The Confucian
governor-generals, Li Hongzhang and Zhang Zhidong, rejected the courts
declaration of war. Instead of contributing their armies and modern weapons, they
cooperated to defend the foreigners in their regions. They saw the Boxers as unreliable
SU3-17
CCS101 STUDY UNIT 3
rebels no different from those suppressed in the 19th century. 8 The experienced Li
knew better than Cixi about foreign military superiority, while Zhang mainly wanted
to protect provincial interests. Likewise, the scheming Yuan Shikai defied court orders
to move troops to Beijing, keeping units in Shandong to ensure he could retain
command.
Thus the quest for united nationalism in China had failed. The elites who had earlier
pursued Self-Strengthening now betrayed grassroots patriotism. The Eight Nations
Alliance slaughtered the Boxers, sacked the Summer Palace (but it was not burnt down
like in 1860), looted Beijing, and organized a triumphal march through the Forbidden
City.
The Boxer Protocol and its Impact
Li Hongzhang sought settlement with the foreign powers. Li blamed pro-Boxer

officials like Yuxian and Prince Duan for the rebellion. But to save Cixis reign, Li
still had to sign the punitive Boxer Protocol, that summarily required China to:
Pay an indemnity of 450 million taels over 39 years. At almost twice Qing
annual income, it furthermore had to be paid in foreign currencies. It
worsened the courts deficit spending and burdened China to seek more than
50 million pounds in foreign loans.
Send apology missions and build monuments to commemorate the
foreigners who died.
Designate legations as foreign quarters, where Chinese had no right to reside.
Destroy the Dagu forts and allow the permanent stationing of foreign troops
from Beijing to the sea. This restricted Chinas defences.
Forbid the import and manufacture of weapons for two years.
Suspend the imperial examinations for five years.
The sense of international siege was compounded by the inclusion of Japanese and
American troops in the Eight Nations Alliance. The sizeable Japanese contingent,
almost half the troops, emphasized Japans new standing alongside the Western
powers and painfully reminded China of Shimonoseki. Moreover, in July 1900, Russia
took advantage of the fighting to send troops into Manchuria, and tried to pressure
the local governor to concede to its becoming a Russian protectorate. Although
pressured by Japan and other powers to withdraw, Russian troops remained in
several cities.
8 See Study Unit 2.
SU3-18
CCS101 STUDY UNIT 3
The Qing court had betrayed the masses when the prospect of victory faded, colluded
with the foreigners, and fled while the foreigners killed and plundered. To the Chinese,
this was clear evidence that the Qing no longer deserved the Mandate of Heaven. The
humiliation of the Boxer Protocol reinforced the notion that as an aliens, the Manchus
could not rule. The Qing had to be removed for China to be great again before China
dealt with imperialism. This helps explain the rise in revolutionary sympathies in the
1900s and the dissatisfaction with the self-preserving Qing reforms. Foreign systems
of government would have to replace the dynastic system that had marked Chinas
greatness for centuries, until the best adaptation for China was found.
In what ways might the Boxer Protocol be harsher than the unequal treaties you
studied in Study Unit 1?
You can read more about Chinese interpretations of the Boxers here.
SU3-19
CCS101 STUDY UNIT 3
Chapter 3 The Xinhai Revolution of 1911
Introduction
The Xinhai Revolution ( ), so-named after the Chinese lunar calendar

designation for the year 1911 9 , was triggered by the Qings attempt to nationalize
railway construction with foreign loans, which threatened the vested interests of
provincial investments without adequate compensation, particularly in Sichuan.
The provinces protested against yet another instance of Qing betrayal of China to
imperialism. They took advantage of the reformist climate and the constitutional and
democratic concessions from the 20th century Qing reforms. They were joined by anti-
Qing revolutionary societies, from which Sun Yat-sen emerged as the most prominent
leader, through his umbrella revolutionary group, the United Alliance or Tongmenghui
().10 However, the Qing crushed all of Suns uprisings to restore Chinese rule.
In October 1911, while Sun was abroad, a bomb made by revolutionaries accidentally
exploded in Wuchang, triggering forward an uprising planned for a few days later, to
prevent the Qing from arresting the perpetrators and thwarting it. Filled with
revolutionary sympathisers, Qing troops sent to crush this Wuchang Uprising (
) mutinied. The revolution spread promptly. Many provinces declared
independence. A republican government was formed.
Seeing that only Yuan Shikai had the capabilities and support from the Beiying Army,
the Qing court desperately recalled him to lead it to stop the uprising. But Yuan only
took back Hankou and instead secured agreement from the revolutionaries to head
the new regime in exchange for getting the Qing to abdicate.
Meanwhile, Sun returned to China and was elected president of the republican
government in January 1912. In February 1912, Yuan persuaded the regent, Prince
Chun, to get the child emperor Xuantong () (better known by his name Puyi
) (Figure 3.6) to abdicate. China officially became a republic. Sun fulfilled the
revolutionaries promise to Yuan and conferred him the Presidency.
9 In the traditional Chinese system of indicating dates, a cycle of 60 years are designated by 60 pairs of
characters, the 10 heavenly stems used twice, and the 12 earthly branches. The term Xinhai Revolution
came about because at that time China did not use a Western or a universal calendar. (Dillon, 2012).
10 He was also known as Sun Wen, () Sun Zhongshan () and Sun Yixian ().
SU3-20
CCS101 STUDY UNIT 3
Figure 3.6 Emperor Puyi

(Source: Wikimedia Commons. Category: Puyi. https://commons.wikimedia.org/wiki/File:PuYi.jpg.
Norton: New York, 219, 238-245, 248-254.
Watch this Youtube clip as an introduction to your learning about the Xinhai
Revolution.
SU3-21
CCS101 STUDY UNIT 3
Sun Yat-sen
Background
Sun (Figure 3.7) was born to a peasant family in Guangzhou in south China, which
tended to be more reformist and resistant to Qing rule.
Although Sun had read the Confucian classics, he was inspired by the Taiping
Rebellion to be a second Hong Xiuquan (Hsu 1999). In 1879, Sun went to Hawaii,
where he saw how it flourished under US democracy, law and fair taxation. He
graduated from medical school in Hong Kong, where he witnessed how British
control had brought efficiency and order. Suns Western upbringing is evident from
his fluent English and conversion to Christianity.
Revolutionary sentiment and activism grew amid the reforming climate, with
increasing expectations. However, when Sun returned to China, his pleas for radical
revival were rebuffed by Li Hongzhang, who kept within the boundaries of Self-
Strengthening. In the 1900s, Sun attempted uprisings with the help of secret societies.
Figure 3.7 A sculpture of Sun Yat-sen, photographed from outside the National Sun Yat-Sen Memorial Hall in
Taipei, Taiwan
SU3-22
CCS101 STUDY UNIT 3
In 1905 in Japan, where by then there were over 10,000 Chinese students, Sun formed
a 1,000-strong Tongmenghui. By then, Suns stature and ideals were much better
received, following the Treaty of Shimonoseki and Boxer Protocol. Easily
overshadowing Kangs Emperor Protection Society, 11 the Tongmenghui was an
umbrella of diverse anti-Manchu and revolutionary groups. Some prominent
revolutionaries included Huang Xing () who was instrumental in infiltrating the
New Army with revolutionaries, Cai Yuanpei () and Wang Jingwei ()
(Figure 3.8).
Figure 3.8 Wang Jingwei

https://commons.wikimedia.org/wiki/%E6%B1%AA%E7%B2%BE%E8%A1%9B#/media/File:Wang_Jingwei.
png. Accessed 14 July 2015.)
11 See Chapter 1.
SU3-23
CCS101 STUDY UNIT 3
Revolutionary Nationalism
Like Kang and the Boxers, Suns nationalism was anti-imperialist and sought power
for the people. However, unlike Kang and the Boxers, who supported the Qing, Sun
was determined to overthrow the Qing. However, to avoid the continuous cycle of
division, disorder, unification and despotism, he advocated an American-model
republic rather than an inadequate constitutional monarchy (Hsu 1999).12 Hence Suns
nationalism was revolutionary.13He wanted the new China to be united, to preserve
national integrity, and to take priority over individual interests.
Sun simplified his vision into his Three Peoples Principles (Sanminzhuyi ),
expounded in the Tongmenghuis editorial, the Peoples Tribune (Minbao ):
1st Principle: Peoples Nationalism (Minzu ). This referred to the
overthrow of alien, destructive Manchu rule. The national identity posited
was that of the Han, with a subsidiary role for the Muslim, Manchu and other
minorities (Fenby 2008).
2nd Principle: Peoples Democracy (Minquan ). This referred to a
constitutional government that provided for civil and administrative rights.
The government must be recognized by the sovereign people as their
creation, to which they would then willingly honour and obey (Gray 2002).
National unity would prevail over individual liberties, but the executive
would protect the latter.
3rd Principle: Peoples Livelihood (Minsheng ). This referred to the
governments provision of basic needs. It also involved redistributing land
and capital to prevent wealth from being dominated by the minority,
industrial development aided by foreign investment, and protection of native
produce from foreign competition.
Suns Three Peoples Principles, which had overtones of American liberalism,

articulated the concept of nationhood for China. Chinas rulers had to be Chinese, the
Han majority, with a duty to protect and provide for the people. The people had to
see their identity and loyalty beyond family, clan and patron, and be conscious of their
mutual responsibility as fellow citizens of China (Gray 2002). This fitted with Ernest
Gellners theory of nationalism, which proposes that a nation is born when people
who share similar culture, ideas, associations and/or language, and/or occupy a
12 This involved a constitutional democratic government based on liberty and civic duty, with a strong
executive, an elected legislative and an independent judiciary.
13 A political revolution is an event or series of events that results in a fundamental change in the order,
structure or system of government.
SU3-24
CCS101 STUDY UNIT 3
common territory, recognize each other as members of a common nation, and

recognize mutual rights and duties to each other in virtue of this shared membership
(Gellner 1983).
Sun also believed that democracy and nationhood were inseparable. The process of
building democracy intertwined with nation-building, since democracy had to start at
the grassroots with the creation of local government. A democratic government,
supported by the people, was a source of national strength. However, this concept
was not easy for China to understand or accept at that time (Gray 2002). China had
been a dynastic monarchy for millennia. Sun understood this, but still, he had no prior
experience in dynastic government; he was trained overseas as a doctor.
Livelihood was also borne out of nationalism and democracy, in fulfilling national
responsibility to meet the peoples needs. But it was vague, and carried the familiar
developmental dilemmas of foreign investment versus protectionism, and capitalism
versus egalitarianism (Gray 2002).
Sun is regarded as a national hero in both China and Taiwan today.
Revolutionary Activity and the Build-up to the 1911 Revolution
Compared to the reformers, the revolutionaries were a smaller group, mainly from
urban south China. Many were scholars, or from the gentry or military. They had
contacts with anti-Qing overseas Chinese, mainly the educated and the mercantile,
who often funded their activities, but not with the peasant masses. Although the
revolutionaries generally supported a republic, there was little concurrence, or even
understanding, of the entailing details.
The Tongmenghui staged many uprisings, but it had no army and they were small and
futile. But many aspirants became inspirational martyrs, a few famous ones being the
brave student writer Zou Rong () and the spunky female teacher Qiu Jin ().
Others had near deaths; for example, Wang Jingwei escaped execution after a failed
assassination attempt on Prince Chun. The Tongmenghui amassed sponsors and
sympathizers and formed, linked up with or inspired revolutionary cells in many
provinces throughout China.
Find out more about Zou Rong and Qiu Jin. How did they become martyrs? You can
read about them in Jonathan D. Spence.2013. The Search for Modern China. W. W.
Norton: New York, 226-27, 230-31.
SU3-25
CCS101 STUDY UNIT 3
Provincial Nationalism
In the 1900s, the Chinese grabbed opportunities to participate in government and

demand Qing accountability, particularly the provincial assemblies (Vohra 2000).
However, Qing reforms were slow, limited and self-preserving. Electoral laws limited
the vote mainly to degree holders, and rendered ineligible many who initially
supported the reforms. Disillusioned, their aspirations and energy were channelled to
the revolutionary movement.
The Railway Protection Movement
Since the 1890s, foreign powers had started building railways in their spheres of
influence. For example, Russia exercised significant control over the building and
control of the Chinese Eastern Railway in Manchuria. The Chinese resented the
foreign control. Nevertheless, Zhang Zhidong, the Wuhan governor-general, had
purchased the right to invest and profit from the railway development, in particular
the extension of the Hankou railway to Sichuan. Zhangs move was part of a wide
rights-recovery movement, where local Chinese in many provinces pooled funds to
buy back railroad rights ceded to foreign investors. Provinces were independent and
active, and provincial investments represented sovereign control over national assets.
It also reflected the elevated status of commerce. Traditional Confucianism had

esteemed scholarship and disparaged commerce, but now private trade and
investment had become a means of social mobility for many, including the educated
and Westernized elite (Roberts 2003). Moreover, provincial agencies for railways,
factories, and banks proliferated, often commissioned by the provincial gentry, albeit
supervised by Qing bureaucrats (Fairbank and Goldman 2006).
In 1906, Sheng Xuanhuai, the merchant bureaucrat who had managed the Hanyeping
mines and also headed the new Qing Communications Ministry, 14 was appointed to
direct a new railway company in charge of the Beijing-Hankou and Shanghai-Nanjing
railways. To the chagrin of the locals, this company was funded by a banking
consortium of Western countries that had participated in the Scramble for Concessions
(Britain, France and Germany). In 1910, Prince Chun tried to nationalize the railways
into one integrated system. This would profit the cash-strapped Qing court, which
had to pay the hefty Boxer indemnity, and also promote economic development.
However, to buy up the Guangzhou-Hankou and Sichuan-Hankou portion of the
railway, the Qing had taken up the Huguang Loan of GBP16 million from the multi-
SU3-26
CCS101 STUDY UNIT 3
national consortium in May 1911, to be repaid with customs duties and taxes from
Hubei and Hunan.
This conceded railway control to foreigners at the expense of provincial investments.

The Qing offered recompense but the provinces had little goodwill or faith to accept,
particularly the Sichuanese, who were compensated least. The locals already resented
the Qings plethora of new taxes to fund the growing budget deficit. The additional
duties to service the international loan that in turn bolstered Qing control over Chinese
infrastructure was condemned as treachery. 15 The railways became a symbol of
Western exploitation. The alien Qing had travestied democracy by ignoring the
provincial assemblies. Thus the movement was anti-imperialist and mobilized to
wrest Chinese peoples rights back from the Qing. But the anti-Manchu nationalism
was also provincial, a resistance against central control.
Such protests against the Qing and imperialism had become common after the 10,000
Word Memorial. In June 1911 the Sichuanese led an inter-provincial Railway
Protection Movement (Baoluyundong ), a series of protests, mass meetings,
and strikes to demand back the railway rights, as well as boycott of taxes.
The Qing sent Hubei units of the New Army to suppress the protests. However, the
New Army, comprising mainly young, urban and educated Chinese, was deeply
nationalist, sympathized with the provinces, and resented the increasing Manchu
control. The army command was fragmented and ridden with regional loyalties. It
had also become infiltrated by Tongmenghui-linked revolutionaries through the work
and contacts of Huang Xing. Many were ambitious officers who had chosen military
careers after the abolition of the imperial exams in 1905 removed the traditional route
to social advancement.16 They engaged in the agitations of the provincial assemblies
and sympathized with the revolutionary societies. The Beiyang general, Chiang Kai-
shek () was among them.17
15 This was a consistent problem for Chinese governments and a grievance that would recur during the
warlord era and KMT rule (see Study Units 4 and 5).
SU3-27
CCS101 STUDY UNIT 3
The Wuchang Uprising
The 1911 revolution, when it occurred, was ridden with ironies:

It was spontaneous and provincial. It was not started or led by Sun, who was
overseas.
It was borne out of a well-intentioned attempt by the Qing to strengthen
infrastructural development by nationalizing the railways.
It began as a struggle between forces supporting regional autonomy and
originally developed as a rebellion.
Yuan Shikai, who persuaded the Qing to abdicate, coveted dictatorial power
and later tried to restore the monarchy.18
The Outbreak of the Uprising
On 9 October 1911, a bomb planted by revolutionaries in Wuchang prematurely

exploded. The Qing, aided by Russian garrisons, swiftly captured many
revolutionaries. The revolutionaries realized that they must quickly stage an uprising
or risk being crushed, and did so on 10 October.19 They had the help of the mutinying
Wuchang army, who seized ammunition and weapons. The cowardly Manchu
governor-general fled instead of calling Qing reinforcements. Qing naval units sent to
quell the rebellion also mutinied to the revolutionaries side.
The news rapidly spread to many provinces in south and central China, who excitedly
rebelled against the Qing (Figure 3.9). Qing officials in many provinces surrendered
easily. Chiang stormed the Qing headquarters in Hangzhou. 15 provinces, including
Shanghai and Nanjing, militarized and declared independence from Qing rule by
December 1911. Commanders loyal to the Qing were killed, while others defied orders
to quell the revolt and presented the court with demands for a parliament, a non-
Manchu cabinet and amnesty for the rebels.

19 Known in China as the Double Tenth and 10 October is celebrated in Taiwan as National Day.
SU3-28
CCS101 STUDY UNIT 3
Figure 3.9 The March of the Revolutionaries

https://commons.wikimedia.org/wiki/Category:Wuchang_Uprising#/media/File:The_march_of_the_revolutionar
y_army_on_Wuhan._Wellcome_L0040008.jpg. Accessed 14 July 2015.)
All this while, Sun was not directly involved. He was raising funds abroad. When
news of the successful Wuchang Uprising reached him, Sun rushed to Britain and
France to secure their recognition of a republican government. Though the Qing also
beseeched the foreign powers to help, this time they declined. The revolutionaries had
not attacked the foreigners or threatened their interests. Cixis demise and the waning
of court power and prestige may have convinced the foreign powers that there was
no necessity to preserve Qing rule. Besides, the revolutionaries also expounded
Western systems of government and sought foreign sponsors. If the foreign powers
had helped the Qing, the spontaneous uprising might not have succeeded (Elleman
and Paine 2010).
To emphasize how the initial revolution had no real leader or political blueprint, the
revolutionaries spontaneously forced at gunpoint a popular commander, the Tianjin
academy graduate Li Yuanhong ( ) (Figure 3.10), to lead the new regime.
Although a participant in the railway agitations, Li Yuanhong had no links to the
Tongmenghui.
SU3-29
CCS101 STUDY UNIT 3
Figure 3.10 Li Yuanhong

(Source: Wikimedia Commons. Li Yuanhong.
https://commons.wikimedia.org/wiki/%E9%BB%8E%E5%85%83%E6%B4%AA#/media/File:Li_Yuanhong.jpg.
However, this did not mean that the provinces would unanimously accept what
government replaced Qing rule (Dillon 2012). That such a weak and disorganized
revolutionary movement could succeed does not indicate Chinas unity, it only
indicates how ripe China was for revolution (Moise 2008).
The Formation of Republican China
The Role of Yuan Shikai
When the revolution broke out, the Qing court tried to coordinate a counterattack by
the Beiyang Army. But the Beiyang Army was primarily loyal to its regional
commanders, among them Yuan Shikai, who had helped to quash the Boxers.
A few years back, the Qing transferred Yuan to an imperial position to prevent him
obtaining too much power through the military. Now it begged Yuan to return to lead
the Beiyang Army. The opportunistic Yuan agreed to take back Hankou, but only if
he was made imperial commissioner, given full command of the military and military
funds, and given leadership of the new parliament when it was formed. The court also
allowed Yuan to form a cabinet, packed with his partisans.
SU3-30
CCS101 STUDY UNIT 3
With the help of two military aides, Feng Guozhang () and Duan Qirui ()
(Figure 3.11), Yuan then took back Hankou. However, he secretly made a deal with
the revolutionaries to head the new government if he could further persuade the Qing
to step down altogether.
Figure 3.11 Duan Qirui

(Source: Wikimedia Commons: Category. Duan Qirui.
https://commons.wikimedia.org/wiki/Category:Duan_Qirui#/media/File:DuanQirui.jpg.
Presidency and Abdication
By then, a republican government had already been formed. Thus, like the rebellions
of the 1850s and 1860s, there were multiple governments operating in China.
Sun, who rushed back to China in December 1911, was unanimously voted as
President. Although the quiet doctor could not reasonably take credit for the Qings
fall, this was in lieu of his:
Establishing the revolutionary vision for China.
Leadership of the Tongmenghui to rally and coordinate the revolutionary
movement, particularly in Sichuan, Jiangsu and Shandong.
Western education and exposure.
But it was the Qing official Yuan, not the anti-Qing Sun, who had the links and
favour with the court. Yuan intimated to the court the following for Chinas
survival:
Puyi abdicate in favour of the constitutional institutions.
Tongmenghui be recognized as a party.
Revolutionaries be given amnesty.
SU3-31
CCS101 STUDY UNIT 3
So Prince Chun announced the abdication of Emperor Xuantong (, or Puyi )

in February 1912 as the will of Heaven (Dillon 2012). The abdication confirmed the
victory of Suns new government, although it recognized Yuan, not Sun, as the new
leader. Puyi was allowed to retain his title, and continue living in the Forbidden City.
However, remembering the promise, and aware that Yuan also had military backing,
Sun gave Yuan the Presidency in February 1912. Despite not getting any votes, Li
Yuanhong became Vice President. Though Yuan had to accept a cabinet responsible
to a parliament, the transfer of leadership to Yuan and Li reflected the recurrent
importance of military power to authoritative rule in China (Gray 2002).
1. What do you think was the role of the Tongmenghui in the 1911 revolution?
2. The Xinhai Revolution was not genuinely nationwide, since it did not
significantly involve the peasant masses. To what extent do you agree?
You can read more about the 1911 Revolution here.
Suns Three Stages of Revolution
In Suns Revolutionary Strategy (Gemingfangle ), published after republican

China was formed, Sun mapped out the completion of his revolution in three stages:
1. Three years of military rule, to eliminate vices and corruption and prepare
China for democracy.
2. Six years of preparatory political tutelage, with a benign military government
following a provisional constitution, accompanied by local elected self-
government.
3. Finally and permanently, a constitutional democratic government, with a
strong presidency.
SU3-32
CCS101 STUDY UNIT 3
Why do you think Sun mapped out his revolution in these three stages?
Chinese Nationalism and the Revolution

SU3-33
CCS101 STUDY UNIT 3
Date Event
1895 Treaty of Shimonoseki signed
10,000 Word Memorial and Public Vehicle Petition
1897 Germany seizes Jiaozhou
Murder of German missionaries in Shandong coincides with outbreak of
Boxer Rebellion.
1898 China allows Russia to build and control the South Manchurian Railway
France secures lease of Guangzhou Bay
Launch of 100 Days Reforms
Britain secures lease of Weihaiwei
Cixi forces Guangxu to reverse 100 Days Reforms and places him under
house arrest.
1900 Boxers reach Beijing and display powers to Cixi
The Qing court declares war on the foreign powers
The Boxers siege the international legations in Beijing
Arrival of Eight Nations Alliance
1901 Boxer Protocol signed
1905 Formation of Tongmenghui
Signing of Treaty of Portsmouth confirms defeat of Russia by Japan
SU3-34
CCS101 STUDY UNIT 3
1908 Deaths of Cixi and Guangxu

1910 Formation of international consortium to handle loans to China. Qing
government attempts to nationalise the railways
1911 Huguang loan
1911 Railway Protection Movement
Wuchang Uprising
Revolutionaries form alternate republican government. Yuan Shikai
recalled by Qing and elected Premier of National Assembly
Sun returns to China, is elected President of republican government
1912 Emperor Xuantong abdicates.
Sun hands Presidency to Yuan Shikai
SU3-35
CCS101 STUDY UNIT 3
References
Cohen, Paul A. 1997. History in three Keys. New York: Columbia University Press.
Elleman, Bruce A. and S. C. M. Paine. 2010. China: Continuity and Change 1644 to the
Esherick, Joseph W. 1988. The Origins of the Boxer Uprising. Berkeley: University of
California Press.
Power. London: Penguin.
Gellner, Ernest. 1983. Nations and Nationalism. Ithaca. Cornell University Press.
Gray, John. 2002. Rebellions and Revolutions. New York: Oxford University Press.
Horowitz, Richard S. 2003. Breaking the bonds of precedent. Modern Asian Studies
37(4), 775-797.
Press.
Moise, Edwin E. 2008. Modern China: A History. Edinburgh: Pearson PLC.
Purcell, Victor. 1963. The Boxer Uprising. New York: Cambridge University Press.
SU3-36
STUDY UNIT 4
CHAOS AND UNIFICATION,
1912 - 1928
CCS101 STUDY UNIT 4
Learning Outcomes
1. Describe China's politics and foreign relations under Yuan Shikai.
2. Describe Chinas politics and foreign relations during the warlord era.
3. Examine the May 4th Movement and its impact on China.
4. Explain the rise of the New Culture Movement and the ideas of significant
thinkers.
5. Analyze the formation of the CCP and the nature of the first United Front.
6. Describe the rise of Chiang Kai-Shek and his Northern Expedition from 1926.
Overview
This study unit traces the process of Chinese political division and unification from
the beginnings of republican government in 1912 to the completion of Chiangs
Northern Expedition in 1928.
Chapter 1 looks at China's rule under Yuan Shikai followed by the conflicting
warlords, in the process revealing the difficulty faced moving from recurrent
traditions of authoritarian rule, provincial autonomy and multiple governments.
Chapter 2 examines the May 4th Movement and its impact, as another nationalist
protest against foreign unfairness to China, as well as part of the wider New Culture
Movement. It introduces the thinking of prominent New Culture thinkers.
Chapter 3 traces the formation of the CCP and its initial action to mobilize labour and
anti-imperialist sentiment. It analyzes attempts to reunify China, through the
reorganization of the KMT and the formation of the First United Front. It describes
how Chiang Kai-Shek gained control of the KMT following Suns death and achieved
his Northern Expedition against the warlords to establish a nominally unified
government in Nanjing.
SU4-1
CCS101 STUDY UNIT 4
Chapter 1 China under Yuan Shikai and Warlordism

Introduction
Although Sun Yat-sens track for post-revolutionary China was military unification,
six-year tutelage, then full-fledged constitutional government, the 1911 revolution had
overthrown the Qing without clear details of how to govern China. Democracy was
new to China, which had for centuries understood rule as emperors dictatorship
executed by a docile bureaucracy. Until 1927, China experienced chaos under
constantly changing governments, fragmented rule, and political infighting.
The high-minded Sun did not foresee that Yuan Shikai would subordinate his ideals
to personal ambitions when he gave Yuan the Presidency. But Yuan sought to
maximize his power. He made the cabinet a rubber stamp. He dominated the National
Assembly when it was formed. In protest, Sun formed an alternate government in
Guangzhou and staged an unsuccessful Second Revolution in 1913. In 1914, Yuan
replaced the National Assembly with a puppet Political Council, legitimized by the
new constitution it drafted that concentrated power under Yuan.
Yuan introduced several policies to improve China, and was tolerated as a strongman
ruler by the West. However, he was criticized in China for accepting most of Japans
21 Demands (Ershiyitiaoyaoqiu ) in 1915, which required China to subject
its government and security forces to Japanese advice and supervision, and give Japan
considerable rights and control over Manchuria. Yuan then tried to restore dynastic
rule, proclaiming himself emperor and conducting ceremonial rites. However, this
was rejected by the provinces which declared independence, and even his loyal
generals. Yuan was forced to abdicate in March 1916, three months before he died.
After his death, warlord infighting led to a constantly changing central government.
The warlords ruled as de facto autocrats in their respective areas of influence. The
main factions included the Fengtian clique under Zhang Zuolin (), the Zhili
clique under Feng Guozhang, and the Anhui clique under Duan Qirui. Duan and Li
Yuanhong competitively alternated to control the central government, but they could
not finance the regional militaries, and so could not control the provinces.
Meanwhile, Sun also set up another rival government in Guangzhou. In 1922 he

attempted a Northern Expedition (Beifa ) to unify China from the fighting
warlords, but it lacked funds and troops and failed.
SU4-2
CCS101 STUDY UNIT 4
The Domination of Power under Yuan Shikai
Under the provisional constitution, as President, Yuan took charge of political affairs,
commanded the military, and had the authority to appoint ministers, declare war and
negotiate treaties. Though he needed the Prime Ministers approval, power
boundaries were unclear. The constitution was based on Suns American-style
presidential government. It had been hastily written; the revolutionaries did not
expect Sun to give up the Presidency to someone of dubious political credentials and
credibility (Vohra 2000).
Yuan had been a reformer during the final years of the Qing, but he had also preferred
the West and the Qing to Boxer nationalism. As President, Yuan also carried a rich
experience of Qing conservative officialdom, including top-down manipulation,
tackling factionalism and political pluralism, and maintaining authority (Fairbank and
Goldman 2006). The cabinet system, a security against the prospect of Yuan
dominating power, had no roots in Chinese social consciousness or polity (Vohra
2000). Yuan initially appointed his friend Tang Shaoyi () Prime Minister, but
drove him to a quick resignation after Tang declined to be a rubber-stamping crony
and replaced him with inexperienced but pliable members.
As a military officer accustomed to command and loyalty, Yuan easily consolidated

control over the military. He disbanded the New Army, given its potential for
opposition, 1 and set the stage for warlord rule by hand-picking loyal military
governors to control the provinces, according to Suns first stage of military unification.
Thus China still had no national army. The most powerful army, the Beiyang Army in
Beijing, was Yuans power base. This suited Yuan to manipulate the government to
vote for Beijing, the seat of the hated Qing throne, to remain the capital.
In protest over Yuans domination of the cabinet, Sun left for his native Guangzhou.
With the help of the warlord there, Chen Jiongming (), Sun formed another
government. Thus in 1912, there were already multiple governments in the new
republic.
Meanwhile, to prepare for parliamentary elections slated for end 1912, the
Tongmenghui had restructured itself into an open nationalist party, the Nationalist
Peoples Party or Kuomintang () (KMT), 2 under the honest organizer, Song
Jiaoren (). Song travelled around China, building support among the gentry
by reassuring industrialists and landowners that it would respect private property
and refrain from Suns original vision to redistribute land the start of its leaning
1 See Study Unit 2.

2 Also known as the Guomindang (GMD).
SU4-3
CCS101 STUDY UNIT 4
towards the upper classes. The KMT won the elections by a landslide, though suffrage
was restricted to about 10% of the population.
When the 800-member American-styled parliament (the long-awaited National

Assembly) was convened in February 1913, Yuan manipulated its members into
electing him President. He faced criticism from the Japan-educated Song, who called
for a more genuine constitutional government with an empowered cabinet, along
Japans model. Song, who was expected to become Prime Minister, also led parliament
members to oppose Yuan obtaining Chinas largest ever foreign loan till then, the $125
million Reorganization Loan from a multi-national banking consortium (the same
powers involved in the Huguang Loan). 3 Like the Qing a few years back, Yuans
treasury was depleted; the autonomous provinces withheld taxes from Beijing while
customs revenues flowed to foreign banks to pay off huge debts like the Boxer
indemnity. Like the Qing, Yuan was criticized for fawning the Western powers, and
using the loan to suppress opposition. The loan was secured in exchange for
recognition of Russian special rights in Outer Mongolia,4 and was to be repaid using
Chinas salt tax. Yuans government was running on a huge deficit.
The loan did not have parliamentary approval, but the parliament could not check
Yuan. The problem of Song Jiaoren was solved through his assassination in March
1913. Songs followers were then replaced with more yes-men dependent on Yuans
patronage. Yuan outlawed the KMT and dismissed provincial governors who
protested.
In June 1913, from Guangzhou, Sun unified the revolutionary groups from the
disbanded KMT into a Military Affairs Commission. He rallied the provinces of Anhui,
Jiangsu, Funan, Sichuan, Hunan and Guangzhou to declare independence. However,
this Second Revolution was disorganized, lacked funds and had no deep and chronic
anti-Manchu sentiment to sustain (Vohra 2000). It was crushed by Yuan, using funds
from the Reorganization Loan, and with the help of the navy. Yuan then dismissed
the rebellious governors, declared martial law and executed over 20,000 dissidents. 5
Sun fled to Japan.
3 See Study Unit 3.

4 Under the Qing, Outer Mongolia was given more autonomy than Inner Mongolia, but was still
considered part of China. However, Russia manipulated Yuan into officially declaring it autonomous
so that it could come under Russian exploitation.
5 Martial law refers to the exercise of government by military or security powers, usually imposed
during periods of war, civil unrest or emergency.
SU4-4
CCS101 STUDY UNIT 4
Yuan then replaced the National Assembly with an unconstitutional puppet Political
Council in 1914. To legitimize this, he also replaced the original constitution,
promulgated when the republic was formed, with a Constitutional Compact, drafted
by the Political Council. He justified this as for national unity, calling the National
Assembly disunited, inefficient and interfering. The constitution extended the
presidential term to ten years, renewable by re-election, with the right to nominate a
successor. The cabinet was replaced by a secretary of state appointed by and
answerable to Yuan. The provincial assemblies were dissolved. The provincial elites,
fearing chronic disorder and peasant violence (perhaps recalling the Boxers),
conceded to Yuans dominance of power for stability and the consolation of
succeeding the pre-revolutionary gentry upper class.
Yuans Policies and Actions during his Rule
Yuan tried to develop China. He listened to foreign advisers and adapted the
Japanese model of economic development, relying on centralized control to impose
reforms from the top, albeit naturally hampered by the lack of funds. These
included:
Developing an independent judiciary in the hope of ending the hated
extraterritoriality established during the Nanjing Treaties.
Building new prisons with improved facilities and sanitation.
Expanding compulsory and free primary education for boys, which taught
new skills alongside Confucius, to provide manpower for economic
development. This was to be followed by a second track of higher education
garnered for the elite.
Increasing agricultural productivity through irrigation and flood control.
Centralizing the national currency.
Cracking down on opium smoking and production.
Promoting rights for married women.
Thus, although corrupt and power-seeking, which had become typical of Chinese
government to the West, Yuan was viewed as a strongman ruler by foreign observers.
The 21 Demands
Japan had been competing with Russia for control over Chinas infrastructural and
industrial assets, particularly in Manchuria. In 1914, Japan took advantage of the
outbreak of World War I in Europe to seize the German base of Jiaozhou in Shandong,
SU4-5
CCS101 STUDY UNIT 4
ignoring Chinas protests.6 Riding on this expansionist success, Japan then attempted
to satellite China.7
The Western powers had abandoned exploitative expansion in China, but Japan
came up with the 21 Demands in January 2015, requiring China:
To allow Japan economic control over Manchuria (of which Japan had
already gained significant economic influence after winning the Russo-
Japanese war in 1905) and Fujian province, as well as the Hanyeping
metalworks.
Not to lease further ports to any other foreign powers.
To allow Japan to station advisers in the Chinese government.
To allow Japan to jointly operate Chinese security forces and dominate
armaments trade with China.
To consult Japan first for Chinas foreign capital needs.
To allow Japanese missionaries to propagate Buddhism in China.
These demands were presented not to the Ministry of Foreign Affairs, as was protocol,
but secretly to Yuan personally, on a paper watermarked with armaments (Dillon 2012;
Vohra 2000).
Japan sweetened the demands by hinting support for Yuans rule if he complied. Yuan
was familiar with Japans expansionist ambitions, given his past experience in Korea.
Already facing opposition at home, Yuan tried to avoid foreign policy crises to focus
on domestic programmes. However, the generals declared their readiness to fight for
China (Fenby 2008). This made Yuans acceptance of most of the demands, despite his
rejection of Japanese advisers, treacherous. 8 There were widespread protests and an
extensive boycott of Japanese goods. Sun accused Yuan of colluding with Japan to
further his own power.
1. In what ways was Yuans government similar and different from Qing dynastic
rule?
2. Do you agree with Yuans decision to accept Japans 21 Demands, minus Japanese
advisers?
6 See Study Unit 3.

7 A satellite state refers to a country that, though nominally independent, is effectively under the control
of another country.
8 Note that Japan was later pressured by the Western powers to withdraw the demands.
SU4-6
CCS101 STUDY UNIT 4
Yuan Attempts to Restore the Dynasty
Yuan claimed this was what the masses ultimately preferred, given Chinas history
and tradition. He obtained the sanction of American constitutional adviser, Frank
Goodnow, who viewed that China lacked the social sophistication for a republic. Yuan
named his new dynasty Glorious Constitution (Hongxian ), wore ceremonial robes,
and revived rites to Confucius (Dillon 2012) (Figure 4.1). However, he also convened
a special Representative Assembly that voted unanimously for his emperorship.
Yuan stressed that his emperorship was not meant to revive dynastic rule, since the
traditional dynastic name, use of kowtow and service of eunuchs were rejected
(Roberts 2003). However, he faced mounting opposition, not only from Sun, but also
his former supporter Duan Qirui, former cabinet members who had earlier supported
constitutional monarchy, and even his generals. Many in the military and bureaucracy
had hoped, schemed, toiled and risked for a republic. They could settle for renewed
authoritarianism (which Sun had prescribed in his first stage), but not revived
monarchy. In December 1915 many provinces again declared independence. This
became known as the Third Revolution. The Western powers, whose support for
republicanism Sun had sought during the Wuchang Uprising, also rejected Yuans
emperorship, and ironically, even monarchical Japan concurred.
Figure 4.1 Emperor Yuan Shihkai

https://commons.wikimedia.org/wiki/Category:Yuan_Shikai#/media/File:Picture_of_Emperor_Yuan_Shih-
kai.jpg. Accessed 14 July 2015.)
SU4-7
CCS101 STUDY UNIT 4
Yuan abdicated in March 1916. China became a republic again, with Li Yuanhong as
President. Li revived the 1912 constitution and National Assembly, with Duan Qirui
as Prime Minister. Yuan died in June 1916.
Watch this Youtube clip which summarizes the rule of Yuan Shikai. Based on what
you have learnt about him from Study Unit 3 onwards, how would you characterize
Yuan Shikai?
The Warlord Era, 1916 to 1926
Neither Li nor Duan had Yuans prestige, ability or force of personality to keep China
unified. Yuans generals rivalled to carve up China and expand their regions of control.
Thus China experienced a period of multiple feudal governments and cliques
constantly in conflict, known as warlordism. Provincial warlords ruled as charismatic
autocrats in their regions and chaotically fought one another. The weakening of
central control led to power being based on Chinas tradition of informal but extensive
guanxi9 () or connections (Elleman and Paine 2010).
Unlike democracy or republicanism, warlordism, like regionalism, was not new. It

had characterized China during the Warring States period ().10 Warlordism
continued the devolution of central power since the internal rebellions in the 1800s,
when the Qing tolerated semi-autonomous provincial armies which now made up the
nuclei of the warlord armies (Elleman and Paine 2010).
Many warlords had poor peasant origins and rose in stature through the military. In
the northeast, the Fengtian clique was formed under the Manchurian warlord, Zhang
Zuolin (Figure 4.2), a former bandit. The Beiyang clique, that had formed the core of
Yuans connections, split into the Zhili clique under the peasant-turned commander
Feng Guozhang, and the Anhui clique under Prime Minister Duan Qirui, an elite
graduate of the Beiyang Academy. The cliques were named after their leaders
provinces of origin, though membership was based on policy stances and power sides.
9 Guanxi, which is literally translated as connections, refers to the basic dynamic in personalized
networks of influence, and is integral to Chinese political and social life.
10 The Warring States period, from 475 to 221 BC, was a period where the Zhou Dynasty was divided
into eight states, which were frequently at war with each other. This was until the Qin state defeated
the others and set up a central unified government, starting the short-lived Qin Dynasty.
SU4-8
CCS101 STUDY UNIT 4
Figure 4.2 Zhang Zuolin

https://commons.wikimedia.org/wiki/Category:Zhang_Zuolin#/media/File:Zhang_Zuo-lin.png.
Watch this Youtube clip as an introduction to the Warlord period in China.
The Government under Duan Qirui
The Nishihara Loans
China sorely lacked finances, so Duan committed the familiar sin of secretly securing
145 million yen in Nishihara Loans from Japan, aided by the Japan-educated
Communications Minister, Cao Rulin (). While the loans appeared to be private,
they were underwritten by the Japanese government in exchange for Japanese control
of valuable railway and military rights in Shandong. Although the loans were to
finance Chinas development, they were mainly channelled to resource Duans army
to fight the Zhili clique. China continued to operate on a deficit.
Entering World War One
Given the past experience of European exploitation and the recurrent threat of
Japanese aggression, Duan recognized the importance of American support. Since
1900, America, out of interest to trade with China, had championed the Open Door to
SU4-9
CCS101 STUDY UNIT 4
restrain the Scramble for Concessions.11 The Open Door principle guarded equal rights
to trade with China for all countries, and upheld Chinas sovereignty and
independence. When America joined the Entente in 1917, Duan wanted to declare war
on Germany. 12 Joining the war allowed China to cancel extraterritorial rights and
Boxer indemnities due to Germany and Austria (Roberts 2003). It could also provide
a pretext to seek concessions from the Western allies.13
However, just as Yuan did not consult the parliament, now Duan kept the loan from
President Li Yuanhong and parliament, creating a serious uproar when this was found
out. Li promptly dismissed Duan and restored the last Qing Emperor, Puyi, to power.
Suns Guangzhou Government
Meanwhile, in 1917 Sun set up another rival government in Guangzhou, the

Constitution Protection Movement. As it was propped up by Chen Jiongmings army,
and given the Beijing governments disunity, the latter could not eliminate it. Sun also
rejuvenated the KMT. However, he competed with Chen Jiongming to control the
government.
Warlord Fighting and Shifting Alliances
Puyis reign lasted barely two weeks. From 1917 to 1925, the central government
kept changing; China had over 20 Prime Ministers and ten Presidents who
themselves represented powerful warlord factions. There was prolonged fighting
and intrigue, where they repeatedly played each other out:
Duan rallied the support of Beiyang militarists and the provinces of Shanxi,
Zhejiang, Shandong, and Fujian, who declared independence and marched
on Beijing, forcing Li to renounce Puyis monarchy and reappoint Duan.
Duan then legitimized this by convening a new National Assembly packed
with his supporters, and declared war on Germany. Li resigned as President
and was replaced by the Vice President, Duans Zhili rival Feng Guozhang.
In late 1917 Feng forced Duan to resign. However, Duan allied with Zhang
Zuolins Fengtian clique, and forced Feng to reinstate him and resign himself
in 1918. Feng died in 1919.
Fengs Zhili clique, which included the northern warlord Wu Peifu (),
(Figure 4.3) teamed up with Zhang Zuolin and defeated Duans Anhui clique
in 1920. Wu secured control of Hunan and Hubei. The Zhili clique dominated

12 China joined Britain, France and America against Germany, Austria and Turkey.
SU4-10
CCS101 STUDY UNIT 4
the Beijing government and shared power with Zhang in the northeast. Li
Yuanhong became Wus puppet president.
However, Wu Peifu soon fell out with Zhang Zuolin over who should
dominate north China. Zhang then moved closer to Suns government in
Guangzhou, expressing his wish for a reunified China. This led to the first
Zhili-Fengtian War () in 1922, between Wu Peifus Zhili clique and
Zhang Zuolins Fengtian Clique. Meanwhile, another Zhili warlord, Cao Kun
(), ousted Li Yuanhong and bribed his way into being elected President.
Wu cultivated Chen Jiongming to expel Suns Guangzhou government. They
defeated Zhang and controlled most of north China, confining Zhangs
sphere of rule to Manchuria, which he declared independent.
In September 1924, Wu Peifu tried to expand his control to Fujian,
Guangdong and Sichuan in south China. In response, Zhang Zuolins
Fengtian clique again allied with Duan Qiruis Anhui clique against Wus
Zhili clique. This led to the larger-scale, bloodier Second Zhili-Fengtian War
(Figure 4.4).
During the war, a Zhili commander, Feng Yuxiang (), mutinied to join
Zhang Zuolin. Zhang arrested Cao Kun and defeated the Zhili clique with
help from Japan and consolidated his control in Manchuria with Japanese
loans. In exchange, he allowed the Japanese government and merchants to
invest there, especially in the Japan-controlled South Manchurian Railway.
In 1925, Zhangs armies moved south, leading to the Fengtian-Zhejiang war
over Shanghai. The Zhejiang warlord, Sun Chuanfang (), a member of
the Zhili clique, expelled the Fengtian forces and wielded control of
Shanghai.
In November 1925, Feng Yuxiang fell out with Zhang Zuolin, who then allied
with Wu Peifu to exile Feng.
SU4-11
CCS101 STUDY UNIT 4
Figure 4.3 Chinese warlord Wu Peifu in Parade Uniform

https://commons.wikimedia.org/wiki/Category:Wu_Peifu#/media/File:Wu_pei_fu_430.jpg.
Figure 4.4 Second Zhili-Fengtian War

https://commons.wikimedia.org/wiki/File:Second_Zhili%E2%80%93Fengtian_War2.jpg.
The constant warfare took its toll on the economy and life. It bankrupted the Beijing
government. Natural disasters received limited relief. Transportation was often
disrupted. Warlord armies were paid by printing money, which led to high inflation,
as well as supplementary taxes that oppressed the people. The wars also conscripted
and killed millions of peasants and produced refugees. Famines in the late 1920s can
be traced to the loss of agricultural labour and the devastation and neglect of arable
land from warlord fighting (Gray 2002).
SU4-12
CCS101 STUDY UNIT 4
Find out more about the background, lives and rule of the various warlords: Zhang
Zuolin, Wu Peifu, Feng Guozhang and Sun Chuanfang.
Compare China during the warlord era and during the 1850s to 1870s that you studied
in Study Units 1 and 2.
Suns Abortive Northern Expedition
In 1922, from Guangzhou, Sun organized a Northern Expedition to unify China from
the fighting warlords. But Sun did not yet have the funds, modern weapons or foreign
advice to create a well-organized army. Europe did not recognize his government. The
Soviet Union asked Sun to cooperate in its ongoing negotiations with the Beijing
government to control the Chinese Eastern Railway. Sun refused.
Thus Sun failed to defeat the warlords and had to flee to Shanghai with the help of his
friend Chiang Kai-Shek. But Sun did not abandon his dream for a unified China, and
became more realistic about trading concessions with the Soviet Union for aid.
Retrieve this JSTOR Article from the SIM Library and read: Mary B. Rankin. 1999.
State and society in early Republican politics.The China Quarterly 150 Special Issue,
26069.
SU4-13
CCS101 STUDY UNIT 4
Chapter 2 The May 4th Movement and the New

Culture Movement
Introduction
Amidst intense warlord infighting, the May 4th Movement occurred. May 4th was a
series of widespread student protests against the 1919 Treaty of Versailles that settled
World War I. Contrary to foreign promises, Shandong was given to Japanese control
rather than returned to China. The protests pressured the Chinese delegates at
Versailles not to sign the treaty. A nationwide boycott of Japanese goods followed.
May 4th reflected a pervasive yearning for an enlightened, reformed China, a requisite
for renewed greatness. It marked the high point of the larger New Culture Movement
(Xinwenhuayundong ) that covers the entire period of cultural reappraisal
in urban China in the mid-1910s and 1920s. Nationalism, which had begun as an elite
movement in the 1890s and developed into revolutionary activism in the 1900s, now
evolved into a self-reflective search for national ideals and values.
The New Culture Movement can be traced to the protests over Japans 21 Demands in
1915 and Yuan Shikais accommodation. Like Self-Strengthening, it adapted Western
learning and science to address Chinas problems. 14 However, while Self-
Strengthening preserved Chinese fundamentals, New Culture sought new intellectual
and cultural foundations for Chinese society and politics. Some leading thinkers
included the American-educated Hu Shi () and Yan Fu (), a graduate of the
Tianjin Military Academy.
However, in lieu of persistent imperialism and Versailles hypocrisy, liberal

democracy and Japanese models were also re-evaluated. A rising Western alternative,
Marxism, was embraced by thinkers like Chen Duxiu () and Li Dazhao (
), for its egalitarianism and progressiveness, and its stance against foreign
imperialism and exploitation by corrupt, collusive governments. 15 Marxism was
antithetical to Confucianism, but it appeared to allow China to catch up with the West,
without unwanted cultural or institutional baggage (Elleman and Paine 2010).
14See Study Unit 2.

15Marxism refers to the orthodox Communist theory as expounded by its founder, Karl Marx, in his
book The Communist Manifesto, written in 1848.
SU4-14
CCS101 STUDY UNIT 4
The May 4th Movement
Origins
Amidst warlord conflict, the treaty ports provided contrasting stability and modernity.
World War I had distracted Europe and affected European industries and commerce
in China, thus native industries developed, expanding the merchant class, which
became increasingly enlightened and politically interested.
Due to the Qings educational reforms, the 1910s saw new schools teaching Western
technology and philosophy, and exposing students to international affairs. Peking
University, founded 1898, had been liberalized under its chancellor, the German-
educated former revolutionary and Education Minister Cai Yuanpei. Overseas
students returned, keen to spread and apply Western ideals to Chinese politics,
economy and life.
In the 1910s, China counted over four million graduates exposed to some form of
Western education. Patriotic study groups debated the adaptability of various
Western philosophies and systems. They enthusiastically attended talks by prominent
foreign visitors. The merchants often supported and sponsored them.
The Betrayal at Versailles
When China entered World War I, thousands of Chinese poor went to Britain and
France as substitute labourers in tough and unhygienic conditions, replacing the
conscripts. After the war they returned exposed to Western life, hoping for a better
life.
However, despite the Entente victory, the Treaty of Versailles in June 1919 shockingly
unveiled Western hypocrisy to China. America, despite its open call to respect
sovereignty and self-determination,16 bowed to British and French pressure to allow
Japan to retain Shandong, as per Duan Qiruis secret agreements with Japan during
the war. The Nishihara loans also came to light.
16Self-determination refers to the belief that every people should have the right to decide independently
who should govern them. It was proclaimed by US President Woodrow Wilson as one of his Fourteen
Points in 1918. It carries an expectation that nationalities would want to be united and governed with
others of the same. Thus Shandong, being populated mainly by Chinese, would choose to be governed
as part of China and should have such a right of decision.
SU4-15
CCS101 STUDY UNIT 4
Outbreak
Outraged by the news of Western betrayal, university students gathered in the

thousands and marched on Tiananmen Square in Beijing on 4 May 1919, crying,
China belongs to the Chinese (Dillon 2012) (Figure 4.5). This became known as the
May 4th Movement. The students felt connected to revolutionary and nationalistic
currents around the world that they had read about, especially Russia and Korea
(Elleman and Paine 2010). 17 They set fire to the house of Cao Rulin, and forced him to
resign. They also hailed the Boxers for their Qing-betrayed courage and patriotic anti-
imperialism.18
Figure 4.5 Protesters Dissatisfied with Article 156 of the Treaty of Versailles for China
https://commons.wikimedia.org/wiki/Category:May_Fourth_Movement#/media/File:Chinese_protestors_march
_against_the_Treaty_of_Versailles_%28May_4,_1919%29.jpg. Accessed 14 July 2015.)
Compare and contrast the May 4th Movement with the 10,000 Word Memorial you
learnt about in Chapter 1. How might the similarities and differences be significant?
17 On 1 May 1919, Korean revolutionaries proclaimed Independence Day and rallied against Japanese
colonial rule.
In October 1917, Vladimir Lenin led some workers to overthrow the Provisional Government. He
proclaimed it as a mass uprising. The Soviet Union was presently fighting a civil war to preserve the
nascent Communist state.
SU4-16
CCS101 STUDY UNIT 4
Impact
The protests quickly spread to over 200 cities and provinces. Although many students
were arrested, the unrest pressured the government to release them. Partly pressured,
partly emboldened by the domestic show of defiance, the Chinese delegates at
Versailles refused to sign the treaty, although the Beijing government had intended to
concede.
Three years later, Chinese nationalism seemed to have improved Western treatment
of China. At the Washington Conference in 1922, America pressured Japan to return
Jiaozhou and respect the Open Door. 19 Britain returned Weihaiwei to China. The
countries also agreed in principle to revoke the hated extraterritorial privileges,
although they delayed carrying this out.20
May 4th, like revolutionary movements in the 1900s, marked the opening of the
political arena to the young. The rest of the century would see nationally
consequential student activism, such as the May 30th Movement of 1925, the December
9th Movement of 1935,21 the Cultural Revolution in the late 1960s,22 and the Tiananmen
Square Demonstrations in 1989.23
Still, contrary to later CCP claims, Chinas 80 percent peasant majority had limited
knowledge or links with the movement (Fenby 2008). Nationalism would only
develop into nationwide grassroots resistance in the 1930s, against Japan.24
Watch this Youtube clip on the May 4th Movement.
19 The Washington Conference was primarily a naval disarmament conference. However, America got
Britain, France and Japan to sign the Four Powers Treaty, where they recognized the Open Door and
promised to respect one anothers equal rights to trade in China. Another treaty, the Nine Powers
Treaty, guaranteed the territorial integrity of China. Nevertheless, these treaties had no enforcement
provisions.
20 You can read more about the end of extraterritoriality in Study Unit 5.
22 During the Cultural Revolution, thousands of youths formed the Red Guards to carry out Maos
crackdown on intellectuals and professionals.

23 From April to June 1989, students staged demonstrations, sleepovers and hunger strikes at
Tiananmen Square, to protest rising inflation and unemployment, corruption, and lack of democracy
in the Chinese government.
SU4-17
CCS101 STUDY UNIT 4
The New Culture Movement
The New Culture Movement was a period of cultural reappraisal and intellectual-led
nationalism in urban China from 1915 till the 1920s. Since the 1890s, many intellectuals
probed and promoted Western socio-political ideals and values. This became more
pronounced in the 1910s in response to Yuans corrupt dictatorship and warlord
disorder, in tandem with increasing student activism. The New Culture Movement
revolutionarily rejected Confucianisms intellectual dominance for its opposites:
individualism, youth activism, and even to some extent feminism. 25 Many participants
joined the new CCP and the reorganized KMT.26
After Versailles caused Western democracy and liberalism to lose appeal, Russias
new Marxist-Leninist model became attractive.27 Russia had come under Communist
rule soon after the Bolshevik Revolution of October 1917. 28 Russias new leader,
Vladimir Lenin, believed that an anti-imperialist nationalist revolt in semi-colonial
countries could expedite socialist egalitarianism. 29 This sounded good to China,
having experienced decades of imperialist exploitation and given the universal basis
of its political thought (Fairbank and Goldman 2006). Moreover, Marxism, like
Confucianism, presented a single universal truth and propagated the importance of
the group. Yet Leninism, in emphasizing elite party primacy, had also sanctioned a
leadership role for Chinese intellectuals (Vohra, 2000).30 Thus, Marxism-Leninism was
propagated by many thinkers, although they were not as doctrinaire Marxists as much
as embracing its socialism and anti-imperialism.
You can find out more about Marxist thought here.
25 This is unique, for feminism had not become a prominent movement even in the West at this time.
Women at work still tended to receive lower pay and less opportunities for career development than
men, thus female liberation was still limited.
26 See Chapter 3.
27 Vladimir Lenin was the first leader of the Soviet Union after he achieved the Bolshevik Revolution
and won the Russian Civil War which cemented the Communists in power. Lenin, like Karl Marx,
believed that the revolution would primarily be an urban movement, although like China, Russia was
predominantly agricultural at the time of the Russian Revolution.
28 The Bolshevik Revolution refers to the overthrow of the Provisional Government in Russia by the
Bolsheviks, and the creation of an authoritarian Soviet Union based on the doctrines of Marx and Lenin,
with the Communist Party as the single party in power.
29 China could be regarded as a semi-colony, given the many unequal treaties imposed on it and the
Scramble for Concessions.

30 Lenin adapted original Marxism to emphasize the role of the party vanguard, which comprised
mainly intellectual elites like himself, to rally and lead the working masses in a communist revolution.
SU4-18
CCS101 STUDY UNIT 4
Chen Duxiu
One thinker who abandoned democracy for Marxism was the French and Japanese-
educated Chen Duxiu (Figure 4.6). The son of a wealthy Qing official, Chen had
studied naval science and was a faculty at Peking University. In 1915, Chen wrote in
the New Youth (Xinqingnian ) magazine that youths and intellectuals, including
women, should become socially and politically active to recreate a new great Chinese
society.
Figure 4.6 Chen Duxiu (1879 1942)

https://commons.wikimedia.org/wiki/Category:Chen_Duxiu#/media/File:Chen_Duxiu.jpg.
Chen had supported Chinas entry into World War I to enhance its international
standing, but he was disillusioned by the Treaty of Versailles and hailed Russias
Communist revolution as a solution. Chen criticized his Confucian upbringing as
backward and servile. He supported independent initiative, believing that reason
would dissolve hierarchy, superstition and parochialism, and set free individual
energy to transform China in a cosmopolitan world (Gray 2002, Hsu 1999). He used
two personas, Mr Science and Mr Democracy, to represent his views. Mr Science stood
for positive, rational, and utilitarian thought in place of traditions, rituals and myths.
Mr Democracy offered a new morality and political freedom (Fenby 2008).
In 1919, Chen was imprisoned for three months for distributing inflammatory
pamphlets during the May 4th Movement. This made him famous.
SU4-19
CCS101 STUDY UNIT 4
Li Dazhao
Another intellectual who embraced Marxism was the Japan-educated peasants son Li
Dazhao (Figure 4.7). He was head of the Peking University library and also a professor.
He had also been a member of the Tongmenghui. Li initially favoured Western
constitutionalism but turned to Marxism after being put off by warlord fighting and
Versailles betrayal. He wrote pro-Marxist articles in New Youth and founded a Marxist
Research study group as patriotic responses to Chinas enfeeblement by the West
(Gray 2002).
Figure 4.7 Li Dazhao Chinese Comintern

https://commons.wikimedia.org/wiki/Category:Li_Dazhao#/media/File:1930_Li_Dazhao_Chinese_comintern.jpg.
Li integrated the Buddhist idea of eternal flux and the Confucian idea of the mutual
influence of yin and yang ( ) 31 , with the modern Western idea of progress.
Although China was now in the shadow of yin, it would soon rebound into the glory
of yang, since, like other countries and cultures, this was part of the underlying
dynamic unity of inevitable progress. China had led the world in the past. It would
soon lead again (Gray 2002).
31According to Buddhism, there are fleeting states: arising, developing and ceasing. Immediately after
the ceasing stage, there occurs a subsequent arising stage. This ever-changing life-process, on passing
away, transmits its whole energy and potential to its successor. There is thus a continuous cycle of birth
and death, arising and ceasing.
The concepts of yin and yang are integral to Chinese thought. They represent the primal interplay of
opposites in life and the world: high and low, man and woman, joy and sadness, peace and war, toil
and rest, and life and death.
SU4-20
CCS101 STUDY UNIT 4
Li believed urban life was corrupt, and perceived that Chinas peasants would provide
the revolutionary base for China. The masses, not the individual, represented the great
motive force of historical change, which had to foremost solve economic problems.
And in China, agriculture formed the basis of the economy. However, education was
needed to awaken and mobilize them. Li encouraged intellectuals to undergo rural
labour to increase their understanding, something Mao would later implement during
his rule. It aligned with Lis view of democracy as mass consciousness, since the
constituent proletariat in China were peasants. Lis peasant stance diverged from
Chen Duxiu, who supported the orthodox Marxist-Leninist view that the urban
workers (the original definition of proletariat) would dominate the revolution. 32 Lis
adaptation of Marx to Chinas situation was more perceptive than Lenin, as like Russia,
China had not undergone enough urbanization.
Mao Zedong
The son of a middle-class peasant in Hunan, Mao Zedong had spent his youth
earnestly studying Western political theorists, having read the Confucian classics with
scepticism. In determining to educate himself, he had defied his self-made father, who
wanted him to work on the farm (Gray 2002). Mao became assistant librarian to Li
Dazhao and a member of his Marxist study group. He was considerably influenced
by Lis thought.
In the 1910s, Mao published several writings committing to grand imperatives. In 1919,
his essay, To the Glory of the Han People urged the Chinese to unite the masses and
join the great tide of world change to survive. Thus Mao was foremost a nationalist
who only became drawn to Marxism later. During May 4th, Mao was a leading
demonstrator in his native Hunan. Two decades later, Mao declared the May 4 th
Movement the starting point of modern Chinese history (Roberts 2003, 362).
In 1920, Mao founded the Russian Affairs Study Group. Like Lenin, he believed that
China, like Russias Bolsheviks, should not fear capitalists or imperialists. But like Li
Dazhao, he also believed in the importance of the peasantry. A peasant himself, he
exalted the dignity of tough labour and theorized that the peasants, if united and
dedicated, had the energy and will to achieve revolution.
Hu Shi and Vernacular Chinese Writing
Other thinkers, like the American-educated Peking University professor Hu Shi

(Figure 4.8), called for pragmatism. Rather than focus on Marxism or any particular
32 The proletariat refers to the Marxist term for urban worker.
SU4-21
CCS101 STUDY UNIT 4
ism, Hu argued, it was up to China to adapt the most suitable path to renaissance.
Arguably, the Marxist intellectuals were also pragmatic. Hu Shis pragmatism
influenced Mao.
Figure 4.8 Hu Shi

(Source: Wikimedia Commons. https://commons.wikimedia.org/wiki/File:Hu_Shi.jpg. Accessed 14 July 2015.)
Hu Shi also led the call to popularize a simpler, vernacular form of writing (baihua
or plain speech), based on Western forms and accessible to the Chinese masses, to
replace the complicated classical Chinese language of Confucian high culture (wenyan
). From 1919, publications written in modern Mandarin, a widely spoken and
relatively simple north Chinese dialect that became accepted as the vernacular,
sprouted throughout China. Besides critiquing Chinese traditions, articles trended
Western thought and accessed the Chinese public to know anti-colonial and
nationalist movements around the world. Schools also started to teach in Mandarin,
making education easier and reducing intellectual distance between elite and
commoner (Moise 2008). Unlike the 10,000 Word Memorial in 1895, during the May
4th Movement the students wrote their petitions in vernacular Chinese.
Hu Shis lecture on the Literary Revolution in 1933, where he describes the adoption
of vernacular language during the New Culture Movement.
SU4-22
CCS101 STUDY UNIT 4
Yan Fu
A prominent interpreter of 18th and 19th century Western writers and thinkers, Yan Fu
translated many Western works, including Adam Smith, John Stuart Mill, and
Theodore Huxley.33 Despite Yans technical training, he became a philosopher. 34 Yan
believed that Western success and prosperity was inextricable to its underlying ideas
and institutions. Nevertheless, Yan acknowledged that Chinese culture should be
preserved to guard against Western ills, like capitalist greed.
Find out more about the life and beliefs of the New Culture Movement thinkers and
writers above, as well as others like the Japan-educated writer Lu Xun () and the
romantic nationalist poet Guo Moruo (), who are also mentioned in Spence
(2013).
Retrieve this JSTOR Article from the SIM Library and read: Mary B. Rankin. 1999.
State and society in early Republican politics. The China Quarterly 150 Special Issue,
274281.
Watch this Youtube clip. Do you think it accurately evaluates the May 4th Movement
and its impact on China today? Why or why not?
33 Adam Smith wrote The Wealth of Nations, advocating free market principles for economic prosperity.
John Stuart Mill wrote On Liberty, advocating individual freedom and amelioration for accomplishment,
as well as utilitarianism, the belief that what is morally right is what achieves happiness for the majority.
Theodore Huxley was a leading advocate of Charles Darwins theory of evolution by natural selection,
the belief that survival necessitates the adoption, retention and generational transfer of survival abilities.
SU4-23
CCS101 STUDY UNIT 4
Chapter 3 Unifying China: The First United Front and

Chiangs Northern Expedition
Introduction
The New Culture Movement provided a radical milieu for the CCPs founding in 1921.
While scholars like Yan Fu and Hu Shi concentrated on reappraising Chinese culture,
others like Chen Duxiu and Li Dazhao further quested politically for a new
government that could bring China unity, social order and power (Fairbank and
Goldman 2006). In 1921, they mutually engaged the Soviet Union to form the CCP in
China.
After Suns Northern Expedition in 1922 failed, he sought aid and advice from the
Soviet Union to reorganize the KMT, in exchange for incorporating the CCP. The
CCPs partnership with the KMT aligned with Soviet strategy and instructions. With
Soviet aid, the KMT also formed the Huangpu Military Academy (), to train
a National Revolutionary Army (NRA) (Guomingemingjun ) to reunify
China.
After Sun died in 1925, Chiang Kai-Shek quickly took over the leadership of the
Huangpu Academy, and used the NRA base and his hometown Zhejiang connections
to neutralize his rivals and become the de facto leader of the KMT.
In 1926, Chiang proclaimed the continuation of Suns Northern Expedition against the
warlords. He managed to neutralize several warlords, take control of south China,
and form a government in Nanjing. China became nominally unified.
The Formation of the CCP
After the Bolsheviks gained power in Russia, they set up the Communist International
(Comintern) in 1919 to spread Communism to the world. In China, many socialist
groups in various provinces as well as overseas had already been formed from
students, intellectuals and even KMT offshoots. In 1921, Comintern agent Henk
SU4-24
CCS101 STUDY UNIT 4
Maring discreetly set up the CCP in China from core members of these groups, 35
honouring Chen Duxiu and Li Dazhao as founders. Another young Jiangxi
Communist, Zhang Guotao (), from Li Dazhaos study group, headed the
Organisational Department.
The first leadership of the CCP came from the intellectual elite. But under Soviet
influence, the nascent CCP soon pragmatically left the intellectual idealism of the New
Culture Movement to assert Lenins primacy of class struggle. 36 It rejected gradual
education to groom popular government for immediate, necessary political action
(Gray 2002). It became secret, exclusive, hierarchical and power-seeking, like the
Soviet Communist Party (Fairbank and Goldman 2006). It formed unions like the
Shanghai Mechanics Union, instigated strikes, published propaganda, and infiltrated
schools through the Socialist Youth League.
You can read more about the origins of the CCP here.
The Reorganization of the KMT and the First United Front
In 1923, Sun welcomed Soviet offers of financial aid and advice to reorganize the
KMT, given that:
Its anti-imperialism aligned with his Three Principles.
Effective Bolshevik organization and mobilization had successfully taken
over Russia and survived a civil war in which Britain, France and Japan had
aided the counter-revolutionaries.
The Soviet Union had not attended the Versailles Conference, which gave
China an unacceptable settlement. Instead, it signed the Karakhan Manifesto
in July 1919, where in contrast, it renounced all unequal treaties with China
and pledged to return to China the rights over the Chinese Eastern Railway
in Manchuria. Although it reneged this in 1920, the good impression
lingered.
Despite all Suns campaigning at the time of the 1911 revolution, the other
Western powers were reluctant to help Sun.
In any case, his trust in them had also declined after Versailles.
35Also known as Hans Sneevliet.

36According to Marx and Lenin, the poor proletariat, being exploited and alienated by their rich bosses,
the bourgeoisie, would organise and rising up to overthrow them. The proletariat would then establish
their own government, and unite with workers in other countries to spread communism worldwide.
SU4-25
CCS101 STUDY UNIT 4
Thus, guided by Soviet agent Adolf Joffe, Sun allowed CCP members to join the KMT,
forming the first United Front. The Sun-Joffe manifesto (SunwenYuefeixuanyan
) in 1923 declared that backward China was not ready for a proletarian
revolution. Instead the United Front aligned with Soviet strategy to ally with
bourgeois nationalists to establish a unified government and overthrow imperialism
as a step to social revolution (Roberts 2003; Elleman and Paine 2010). The KMT had a
bourgeois base. Thus Sun used the Soviet system to strengthen his revolutionary ideas.
His first two stages of revolution emphasized the need for the KMT to monopolize
power, like the Soviet Communist Party had done in Russia. His principle of
Democracy, though bestowing sovereign power in the hands of the masses, also
required the powerful government to be run by the elite (Vohra 2000).37
The Soviet Union provided financial and technical aid to transform the KMT into a
centralized, disciplined organization. Administrative institutions were formed down
to county levels. Mass organizations among workers, youth and women, like those of
the Soviet Communist Party, were formed. In return, Sun followed the Qing and Yuan
to trade concessions, letting the Soviet Union maintain garrisons in Outer Mongolia
and jointly manage the Chinese Eastern Railway across Manchuria.38
The Nature of the Early United Front
The Soviet Union saw support for the KMT and leadership of the CCP as a means to
influence China. It wanted to consolidate its strategic interests in Manchuria and
hoped that its assistance to the KMT could pressure the Beijing government (Roberts
2003). The KMT noted the CCPs growing support among the working class and
hoped that partnering the CCP would widen its bourgeois base. The CCP, with just
300 members in 1923, wanted to use the KMTs base and Suns prestige to expand. So
all parties treated the United Front as a marriage of convenience (Hsu 1999, 523).
Sun suspected that class struggle could undermine his revolution, and refused to
substitute Communism for his Three Peoples Principles as the official ideology. He
insisted that Moscow recognize that its system did not completely suit China (Vohra
2000). But he wanted all Chinese to participate in the revolution. He also recognized
the wisdom of assimilating the CCP, which had quickly influenced many youth and
liberal organizations. At the first National Congress in 1924, Sun stressed unity and
common resistance against imperialism and warlordism.
Although Chen Duxiu worried about the CCPs freedom of action, Li Dazhao
pragmatically noted that although the KMT had not converted to class struggle, it

38 China had considered Mongolia to be under its jurisdiction since the Qing Dynasty.
SU4-26
CCS101 STUDY UNIT 4
pursued national unification like the CCP. Moreover, Suns principle of Livelihood
aligned with the pursuit of socialism.39 Li and Mao Zedong were elected to the new
Central Executive Committee.
Chinas post-Mao reformist leader Deng Xiaoping is famous for his statement: It
doesnt matter whether a cat is black or white, as long as it catches mice. Read this
article about him. His pragmatism is similar to that of Hu Shis and the Chinese leaders
of the new CCP.
Growth of the United Front
The United Front grew amidst nationalistic outcries against unfair foreign treatment
of the low-paid workers who toiled long hours in Chinas new industries (Gray 2002).
As many industries were owned or managed by foreign profiteers, the socio-economic
discontent had a strong flavour of both class struggle and anti-imperialism, which the
CCP quickly mobilized into political action. The KMT did not oppose this, although
the CCP potentially subverted its leadership by demanding that CCP members only
take instructions from itself.
Although much of the action in the 1920s was unsuccessful, like the Beijing-Hankou
railway strike in 1924 that was suppressed by Wu Peifu, agitation persisted and
peaked during the May 30th Movement (Wusayundong ) in May 1925. Striking
Chinese workers who were locked out of their Japanese textile mill in Shanghai
stormed it and destroyed much equipment. The Japanese responded by shooting at
them. One died. The Chinese retaliated with a week of strikes and student protests.
British security forces in Shanghai then shot dead 11 protesters. This led to nationwide
strikes for over a year in Guangdong and Hong Kong. Membership of the KMT and
CCP rose rapidly. Britain bowed to the pressure and sacked the shooters and
compensated those killed and injured.
Retrieve this JSTOR Article from SIM library and read: Bruce A. Elleman. 1995. Soviet
diplomacy and the First United Front in China. Modern China 21(4), 45051, 455466,
471-73.
39Socialism refers to a government stance that prioritizes the needs of the poor and seeks a more
egalitarian society.
SU4-27
CCS101 STUDY UNIT 4
The Huangpu Academy
Sun sent his friend Chiang Kai-Shek, who had studied in military school in Japan, to
the Soviet Union to study its military system. Although Chiang was impressed, he
also developed a perceptive antipathy to Communism. Upon returning to China,
Chiang helped Sun open the Huangpu Military Academy (Figure 4.9), to train a tough,
quality army, the NRA, to unify China. In line with Leninist principles, this army was
to serve the KMT (Vohra, 2000).
Figure 4.9 Huangpu Academy Gate

(Source: Wikimedia Commons. Category: 21 Demands. https://commons.wikimedia.org/wiki/File:
Huangpu_academy_gate_2011_12.jpg. Accessed 14 July 2015.)
The Huangpu Academy received Soviet funding and instruction to become the
premier Chinese military school in the 1920s. It formed a power base for Chiang
(Figure 4.10), the Huangpu Clique. The Soviet Union instructed that CCP members be
allowed to enroll. Training included political indoctrination, led by the disciplined,
committed, refined, French-educated Communist Zhou Enlai () (Figure 4.11),
who had led student protests in Tianjin during the May 4th Movement.
SU4-28
CCS101 STUDY UNIT 4
Figure 4.10
(Source: Wikimedia Commons. Category: Chiang Kai-Shek.
https://commons.wikimedia.org/wiki/%E8%94%A3%E4%B8%AD%E6%AD%A3#/media/File:Chiang_1.jpg.
Figure 4.11 Zhou Enlai as Political Commissar of Whampoa Military Academy, 1924.
https://commons.wikimedia.org/wiki/%E5%91%A8%E6%81%A9%E6%9D%A5#/media/File:1924_Zhou_Enl
ai_in_National_Revolutionary_Army_uniform2.jpg. Accessed 14 July 2015.)
The Huangpu graduates were disciplined and well paid. A notable graduate was Lin
Biao (), a key CCP general during the Chinese Civil War. 40 Nevertheless, just as
the 19th century regional armies developed strong allegiances to their leaders, most
early graduates became loyal to Chiang, and did not support Communism.
SU4-29
CCS101 STUDY UNIT 4
Why do you think Chiang was cynical about Communism? In what ways was he
different from Chen Duxiu and Li Dazhao?
The Rise of Chiang Kai-Shek
The United Front after Suns Death
In 1925, Sun died untimely of cancer. After his death, the KMT became divided over
the CCP. By the Second National Congress in 1926, the CCP had grown to win
significant representation on the KMT Central Executive Committee. The CCP had
also organized and infiltrated many peasant associations. Tensions surfaced over the
allocation of most of Soviet funds to the KMT and the CCPs disproportionate
influence. The KMT also found that as it worked with the CCP to organize labour
movements, it started to lose its middle-class support base.
Chiang Established Power
Sun had likelier civilian successors in the former Tongmenghui revolutionaries, the
liberal Wang Jingwei, who became Chairman of the new Nationalist Government; the
more conservative, anti-CCP Hu Hanmin (), (Figure 4.12) who handled foreign
affairs; and the KMTs pro-CCP finance minister, Suns confidant Liao Zhongkai (
).
Figure 4.12 Hu Hanmin (1880 1936)

https://commons.wikimedia.org/wiki/Category:Hu_Hanmin#/media/File:Hu_Hanmin2.jpg. Accessed 14 July 2015.)
SU4-30
CCS101 STUDY UNIT 4
However, the Zhejiang-born Chiang used hometown connections in the

Tongmenghui, like the veteran Zhang Renjie (), as well as the NRA, to gain
effective power within the KMT:
In August 1925, Liao Zhongkai died mysteriously. Chiang had Hu Hanmin
exiled to Moscow for alleged involvement in his murder.
In February 1926, Chiang used his anti-imperialist stance, Soviet education
and connections to Sun to pretend to be a trustworthy leftist, and get elected
to the KMTs Central Executive Committee on the Comintern agent
Borodins advice.
In March 1926, Chiang seized control of the Huangpu Academy, which had
expanded rapidly by absorbing other regional armies like the Guangxi Army.
In March 1926, Chiang took advantage of the Zhongshan Warship Incident
(), an apparent kidnapping plot that he quickly blamed on the
CCP and the KMT left wing led by Wang Jingwei despite the lack of clear
evidence. This legitimized the arrest of many Communists, including Zhou
Enlai, and led to Wangs exile. 41 Zhang Renjie was elected KMT Chairman
and Chiang reinstated Hu Hanmin. In 1927 Wang Jingwei supported an
alternate KMT government formed in Wuhan, which expelled Chiang.
In April 1926, Chiang decreed that KMT members could not join the CCP,
while CCP members could not take up government appointments.
In June 1926, Chiang appointed himself as commander-in-chief of the NRA.
The Northern Expedition
With his patronage of KMT leaders, and as NRA commander, Chiang declared the
continuation of Suns aborted Northern Expedition (Figure 4.13), to unify China under
KMT control. The CCP was not keen, but its loyalty had been questioned during the
Zhongshan Warship Incident and it was pressured to comply. Chiang legitimized the
elimination of the warlords as the way to realize Suns principle of Livelihood and
complete the national revolution. He assumed charge of the KMT by leading it in an
oath of loyalty to Suns Three Peoples Principles.
Chiang advanced 100,000 troops against the following warlords:

Wu Peifu in Hunan, Hubei, Hanyang and Hankou. Wus military capacity
had been weakened by constant warlord fightings.
Sun Chuanfang in Nanjing, Jiangsu, Zhejiang, Fujian, Jiangxi and Anhui.
Zhang Zongchang (), in Shandong, Shanghai and the lower Yangtze.
41 This foreshadowed the White Terror in 1927 when Chiang turned against the CCP (see Study Unit 5).
SU4-31
CCS101 STUDY UNIT 4
Figure 4.13 A Collage of the Northern Expedition

https://commons.wikimedia.org/wiki/Category:Northern_Expedition#/media/File:Northern_Expedition_collage.
jpg. Accessed 17 July 2015.)
Although grossly outnumbered, Chiang managed to conquer much of south China,

including Nanjing, by March 1927, and build power in the east and southeast. This
was because:
The NRA troops were well-organized, being led by capable Huangpu
officers. They behaved better than the notoriously corrupt warlord armies,
and were not resisted in many villages they passed. They were also inspired
and motivated by the prospect of a united nation-state.
The NRA received Soviet weapons and advice. 42 The rich provided ample
funds to build beneficial connections with the KMT once it had unified
China. The KMT also imposed taxes and floated bonds to raise funds.
The warlords were uncoordinated. Chiang played Wu Peifu and Sun
Chuanfang against each other. Others, like the reformist Model Governor
Yan Xishan () in Shanxi, the Christian general Feng Yuxiang (Figure
4.14), who had no permanent base, and Li Zongren ( ) from the
Guangxi clique expediently supported unification. In return, these warlords
retained their private armies and some took up government positions, for
42The Soviet Union supported unifying China, as the warlords had resisted Soviet influence in their
respective areas. Moreover, given the Zhongshan Warship Incident, the Soviet Union wanted to
preserve the United Front.
SU4-32
CCS101 STUDY UNIT 4
example Feng Yuxiang became vice-president of the Executive Yuan and War
Minister. This did not necessarily strengthen the KMTs central authority,
since they coveted autonomy and shifted alliances as was the nature of
warlordism, and later did, renewing war.43
Figure 4.14 Feng Yuxiang, Chiang Kai-shek and Yan Xishan during a Kuomintang conference.
(Source: Wikimedia Commons. Category: Yan Xishan.
https://commons.wikimedia.org/wiki/Category:Yan_Xishan#/media/File:Fengchiangyan-1-.jpg.
This left the Manchurian warlord, Zhang Zuolin, who had built his base in Beijing.
Zhang resisted, and, aided by Japanese garrisons in Manchuria, forced Chiang to
retreat across the Yellow River.
Watch the Youtube clip to find out more about the First United Front and the Northern
Expedition.
SU4-33
CCS101 STUDY UNIT 4
The Search for Order in Post-Dynastic China

However, in 1928, Zhang Zuolin was then assassinated by other radical Japanese
officers in Manchuria, acting unilaterally of the government, to tighten Japanese
control over the South Manchurian Railway. His son and successor, Zhang Xueliang
() (Figure 4.15), fretted about Japanese imperial ambitions in Manchuria and
tightened ties with Chiang. Like the provincial nationalists in the 1900s, Zhang
attempted to recover the South Manchurian Railway rights and even built an alternate
railway with KMT support.
The success of the Northern Expedition elevated Chiang, who was installed as
chairman of the National Government. The main warlords had been neutralized or
co-opted. Thus the KMT claimed to have unified China.
Figure 4.15 Zhang Xueliang

(Source: Wikimedia Commons. Category: Zhang Xueliang.
https://commons.wikimedia.org/wiki/%E5%BC%B5%E5%AD%B8%E8%89%AF#/media/File:Zhang_Xuelia
ng.jpg. Accessed 12 July 2015.)
SU4-34
CCS101 STUDY UNIT 4
Date Event
1912 Yuan Shikai becomes President, establishes government in Beijing
KMT wins elections for National Assembly
1913 National Assembly convened
Song Jiaoren assassinated
Yuan obtains Great Loan from international consortium without
parliamentary approval
Abortive Second Revolution
National Assembly is replaced by puppet Political Council
1914 Japan occupies German base of Jiaozhou in Shandong
1915 Yuan accepts modified 21 Demands presented by Japan to him
1915 Yuan restores monarchy and assumes throne
191516 Third Revolution
1916 Yuan abdicates and dies.
Li Yuanhong becomes President, Feng Guozhang Vice-President, and
Duan Qirui Prime Minister
National Assembly, previously dissolved by Yuan, reconvenes
SU4-35
CCS101 STUDY UNIT 4
1917 Hu Shi calls to use vernacular baihua in New Youth

China declares war on Germany
Sun sets up Constitution Protection Movement in Guangdong
191718 Bolsheviks take power in Russia after staging October Revolution
1919 Soviet Union forms Comintern
May 4th Movement. Chinese delegates refuse to sign Treaty of
Versailles
Soviet Union issues Karakhan Manifesto
1920 Chinas government adopts baihua as language of textbooks
Anhui-Zhili War
1921 Comintern forms CCP
1922 Nine Powers Treaty to uphold Open Door signed at Washington
Conference
Sun launches abortive Northern Expedition
First Fengtian-Zhili War
Sun reorganizes the KMT
1923 Sun-Joffe Manifesto and formation of First United Front
1924 Formation of Huangpu Military Academy
Second Fengtian-Zhili War
1925 Sun dies
May 30th Incident
Liao Zhongkai assassinated
1926 Zhongshan Warship Incident
Chiang becomes Commander-in-chief of NRA
1926 28 Chiang launches successful Northern Expedition
1927 Wang Jingwei forms alternate KMT government in Wuhan
1928 Zhang Zuolin assassinated. Zhang Xueliang tightens ties with KMT
SU4-36
CCS101 STUDY UNIT 4
References
Elleman, Bruce A. and S. C. M. Paine. 2010. China: Continuity and Change 1644 to the
Power. London: Penguin Books.
Gray, John. 2002. Rebellions and Revolutions. New York: Oxford University Press.
Press.
Lawrance, Alan. 2004. China since 1919 Revolution and Reform: A Sourcebook. London,
Routledge.
https://books.google.com.sg/books?id=JWc9Ia7TcaMC&printsec=frontcover&
dq=China+since+1919&hl=en&sa=X&ved=0CBsQ6AEwAGoVChMI9aDBt5nm
yAIVBJOUCh18gg18#v=onepage&q=China%20since%201919&f=false.
Accessed 12 July 2015.
Moise, Edwin E. 2008. Modern China: A History. Edinburgh: Pearson PLC.
SU4-37
STUDY UNIT 5
THE NANJING DECADE, 1927 1937
CCS101 STUDY UNIT 5
Learning Outcomes
1. Assess the nature and policies of the KMT during the Nanjing Decade from
1927 to 1937.
2. Analyze developments in the CCP and its relations with the KMT during
the Nanjing Decade, including understanding the nature and significance of
the Long March and accounting for the birth of the Second United Front.
Overview
This study-unit examines developments in China from 1927 to 1937.
Chapter 1 analyzes the KMT's various policies from 1927 to 1937, commenting on the
nature of KMT rule and the extent to which it developed China and built support. It
also describes Japanese aggression in China during this period, and the KMT's signing
of truces that led to Japan extending its control over China.
Chapter 2 looks at CCP developments during the Nanjing Decade, including the
breakdown of the First United Front and Chiang's campaigns against the CCP. It lists
the CCP's abortive uprisings, followed by Mao Zedong's establishment of the Jiangxi
Soviet. It describes the CCP's escape from KMT encirclement through the Long March,
and the lead-up to the formation of the Second United Front in 1937.
SU5-1
CCS101 STUDY UNIT 5
Chapter 1 KMT Performance during the Nanjing

Decade
Introduction
During the comparatively stable years from 1927 to 1937, the KMT sought to develop
Chinas finance, military, industry, agriculture, education, transport and
communications. These years are known as the Nanjing Decade (). Chiang
also launched the New Life Movement (Xinshenghuoyundong in 1934, to
try to discipline and inspire the population by reinstating Confucian virtues.
However, warlords still staged revolts and Chiangs KMT rivals formed alternate
governments. Chiangs reforms were hindered by KMT corruption and inefficiency.
There was industrial development but little improvement to life for the peasant
majority. Chiangs priorities were to strengthen the military, consolidate his power
and fight the CCP. Chiang implemented repressive authoritarian rule and colluded
with the underworld.
Even so, Chiang achieved some economic growth with good harvests in the mid-1930s,
which stood out given that the West and Japan were undergoing the Great
Depression.1 He also paved the way for the abolishment of extraterritorial privileges.
However, these took place amidst Japanese occupation. In September 1931, Japan
invaded Manchuria. Yet Chiang relied mainly on the League of Nations to tackle the
Japanese. But the League was too weak to prevent Japan from setting up a puppet
state, Manchukuo (), in 1932. 2 Chiang then signed truces with Japan, which
allowed it to strengthen its foothold in China.
Norton: New York, 327-335, 341-44, 350-55.
1 The global Great Depression was sparked off by Americas Wall Street Crash in October 1929, when
property prices tumbled due to over-speculation and glut. This led to a drastic reduction in prices of
goods, production and trade worldwide, high unemployment, collapse of banks, and widespread
poverty.
2 The League of Nations was an international collective security organization, set up after World War I,
to implement collective security and free trade. It was authorised to use sanctions and force to restrain
an aggressor if moral suasion did not work. Britain and France were its most powerful members as
America never joined and the Soviet Union was not allowed to join till 1934.
SU5-2
CCS101 STUDY UNIT 5
The KMT Government in Nanjing
The KMT based its government in Nanjing, the original capital of the first Ming
emperor. It was chosen over Beijing, which was renamed Beiping (), or Northern
Peace.
Why do you think the KMT chose Nanjing? Why was Beijing renamed Northern Peace?
Government Structure
The KMT adopted a provisional constitution, the Outline of Political Tutelage,

referring to Suns second stage of the revolution. 3 The highest KMT organ, the
National Party Congress, delegated to the Central Executive Committee that Chiang
chaired when not in session. Government was headed by the 16-member State Council,
also chaired by Chiang. Thus Chiang had much power.
Under the KMT, China adopted Western-style government, based on Suns

promulgation. There was a powerful and prestigious ten-ministry Executive Yuan, a
weaker Legislative Yuan, and a Judiciary with western codes. But to this three-branch
government was added two more arms: an Examination Yuan to manage civil service
exams, and a Control Yuan to regulate the bureaucracy and judiciary. These two extra
functions resembled the old imperial system. Nevertheless, the Examination Yuan
supplied less than one percent of the bureaucracy, and the Control Yuan sanctioned
only junior officials. The Legislative Yuan was in reality a rubber-stamp for decisions
made by the Executive Yuan that Chiang dominated. The bureaucracy was heavily
built on patronage, and corruption remained rampant (Roberts 2003).
3 See Study Unit 3.
SU5-3
CCS101 STUDY UNIT 5
Challenges to Chiangs Rule
In reality, the KMT only organized party branches in less than 20 percent of the
counties. It remained primarily a party for the middle class.
KMT rule barely covered 30 percent of China, given:

The continually rebelling warlords. It was hard for Chiang to unify the military.
Li Zongren (Figure 5.1), Yan Xishan and Feng Yuxiang soon attempted to
create a rival government in Beiping, supported by Wang Jingwei. Thus
Chiang had to fight them in the Central Plains War () (Figure 5.2)
from 1930, until the Japanese invasion in 1931. Yan returned to Shanxi and
Feng Yuxiang surrendered, allowing Chiang to unify command over the
military.
The establishment of rival governments by Chiangs top rivals in the KMT. Hu
initially headed the Legislative Yuan, but in the 1930s he formed his own
power base in south China, where he tried to form a clean, exemplary party
government in contrast to Chiangs dictatorship.
The Japanese occupation of Manchuria and parts of China (see later).
Continued uprisings from the urban CCP as well as the Chinese Soviet Republic
(CSR) ().4
Revolts by disgruntled factions. An example was an uprising by some soldiers
and KMT elements in Fujian in 1933, which demanded democracy and
established a Peoples Revolutionary Government.
Figure 5.1 Li Zongren

(Source: Wikimedia Commons. Category: Li Zongren.
https://commons.wikimedia.org/wiki/Category:Li_Zongren#/media/File:Li_Zongren.jpg.
4 See Chapter 2.
SU5-4
CCS101 STUDY UNIT 5
Figure 5.2 Map of Territories during Central Plains War

(Source: Wikimedia Commons. Category: Central Plains War.
https://es.wikipedia.org/wiki/Guerra_de_las_Planicies_Centrales#/media/File:GuerraDeLasPlaniciesCentrales19
30.svg. Accessed 30 August 2015.)
Family Connections
Together with Chiangs control over the army, connections helped Chiang to control
power. In August 1927, Chiang, who spoke little English, bolstered his power by
bigamously marrying the ambitious Song Meiling (), to become brother-in-law
of the rich Finance Minister Song Ziwen () and his sister Song Ailing, ().
All of them were American-educated. For the sake of the marriage, Chiang converted
to Christianity, a prerequisite of the Protestant Song family. The marriage increased
Chiangs prestige within the KMT, since Meilings other sister Song Qingling ()
was Sun Yat-sens widow (Figure 5.3). It also enhanced Chiangs liaisons with the
financially powerful and those with connections in America. In addition, Chiang used
his Christian claims to procure missionary aid for reconstruction (Fairbank and
Goldman 2006).
SU5-5
CCS101 STUDY UNIT 5
Figure 5.3 Soong sisters

(Source: Wikimedia Commons. Category: Soong sisters.
https://commons.wikimedia.org/wiki/Category:Soong_sisters#/media/File:Soong_family_1917.jpg.
Crony Connections
Chiang also strengthened secret connections with his Zhejiang-born fellows, Chen
Lifu () and Chen Guofu (). They headed the Control Yuan and controlled
the KMTs confidential records. They formed the hard-core, anti-liberal CC Clique,
which controlled the intelligence network, party organization and the media.
Evaluation of KMT Policies during the Nanjing Decade
To a nation plagued by warlord conflict and foreign imperialism, KMT rule brought
hope for a new era of peace, unity and prosperity. However, this eluded China during
the Nanjing Decade.
SU5-6
CCS101 STUDY UNIT 5
Financial
The KMT pursued the following reforms:
The silver dollar replaced the tael. This unified the different and subjectively
pegged local currencies developed by the warlords. However, the global
devaluation of silver increased its outflow from China. It worsened Chinas
trade deficit threefold from 1927 to 1937. Chinas real estate market collapsed
in 1934.
In 1935, Britain helped Chiang replace silver with the fabi (). The fabi was
fully exchangeable and stably pegged to British, American and Japanese
currencies. This boosted domestic confidence and trade, and strengthened
the KMTs control over Chinas balance of trade.
Many national banks were created: the Central Bank of China to pursue
monetary reform and maintain currency stability; the Bank of China to direct
foreign exchange; the Farmers Bank for agricultural credit and the Bank of
Communications to finance transportation. The banks broke the monopoly
previously held by foreign banks, who now became disadvantaged by
nationalistic unpopularity and language barriers. They gave China a
foundational framework of modern financial institutions for economic
development.
The China Development Finance Corporation was established to promote
industry and commerce by developing the local market and encouraging
foreign investment.
Tax and revenue collection were streamlined through standardizing
provincial taxes, weights and measures. Financial administration was
established down to the provinces.
The lijin tax was abolished to promote domestic trade. 5
These developments impressively took place amidst a global Great Depression. They
were implemented by Western-educated patriots, competent at the functions of a
modern nation-state (Fairbank and Goldman, 2006). Still, their upbringing was
cosmopolitan, not provincial, and their vision was Western-style modernization, not
revolution or class struggle.
5 See Study Unit 2.
SU5-7
CCS101 STUDY UNIT 5
There were many limitations to the financial reforms, as follows:

The KMT failed to implement a national tax. Many provinces were still not
fully under government control. Regional taxes were often siphoned off by
warlords.
Most remaining funds were used to service debts from profligate internal
borrowing during the years of Yuan Shikai and the warlords (Gray 2002).
Thus, civil expenditure did not exceed 25 percent of the national budget.
There was limited increase in consumer goods to improve living standards.
The American-educated Kong Xiangxi(Figure 5.4), husband of
Song Ailing, solved the lack of funds by liberally printing fabi, which
devalued it and increased foreign investments. However, this led to perilous
deficit spending which contributed to future hyperinflation.6
Figure 5.4 Kong Xiangxi

(Source: Wikimedia Commons. Category: Photograph of Kong Xiangxi.
https://commons.wikimedia.org/wiki/Category:Kong_Xiangxi#/media/File:HHKung.jpg. Accessed 12 July 2015.)
6 See Study Unit 6.
SU5-8
CCS101 STUDY UNIT 5
Security and Military
In terms of security and military, the followings are the key points:
A quasi-police force, the Peace Preservation Corps, was set up to take
control of local forces run by provincial gentry who often bullied the
populace. This force was to integrate and train militias to counter crime
and banditry.
But Chiang collaborated with the underworld against the CCP, and in
exchange, he allowed them to continue their vice operations.7
Chiang was inspired by the use of party paramilitaries in fascist regimes

to maintain popular order and allegiance, like the Gestapo in Nazi
Germany.8 A tight, disciplined and hierarchical security police, the feared
Blue Shirts (), was formed, mainly from the Huangpu Clique.9 Led
by Dai Li ( ), they used torture, arbitrary imprisonment and
executions to weed out communists and sympathizers, and to crackdown
on subversion and dissent.
Chiang, a military man, tended to use force to solve problems. By 1932, he had
centralized and firmly controlled the Military Affairs Commission to take charge of
defence and fight the CCP. 10 This allowed him to maintain his political power as
effective head of the KMT even after he resigned after the Japanese invaded
Manchuria in 1931. The military, over a million-strong and under Chiangs patronage,
had autonomy to act outside the civil government and was arrogant, undisciplined
and bullying. Most funds were channelled to it. Considerable foreign investment was
directed to military-related industries. Even the Farmers Bank became a front to
channel opium revenues to the military.
Industrial Development
The Nanjing Decade witnessed apparently impressive annual industrial expansion at

six percent, electricity generation by nine percent, and coal by seven percent. Domestic
coal production effectively replaced coal imports (Roberts 2003). This was helped by
the silver devaluation, which encouraged foreign investment. It is remarkable,
7 See Chapter 2.
8 Fascism refers to far-right anti-democratic parties which are ultra-nationalist, aggressive and tend to
glorify war. In Nazi Germany, Hitler established the Gestapo as his highly trained and fanatically loyal
secret police. They weeded out political opponents and asocials and reinforced obedience through fear.
9 See Study Unit 4.
10 See Chapter 2.
SU5-9
CCS101 STUDY UNIT 5
considering that this occurred during the Great Depression, when America, Europe
and Japan all struggled with unemployment and reneged on earlier free trade hypes
to practise protectionism.11
However, China did not go through rapid industrialization in the 1930s. Chinese
factories were small, light and involved low-skilled labour and primitive organization,
like cotton-weaving and chemicals. Major industrial production, like coal and textiles,
were dominated by foreign capital and control. Exports fell in the first half of the 1930s,
due to the Great Depression, causing shops and factories to close. Chinas economy
remained overwhelmingly agricultural (Roberts 2003), with industry, concentrated in
the treaty ports, only constituting four percent of total output (Rawski 1989).
Agriculture
80 percent of Chinas population were peasants. Agricultural produce made up 63

percent of total output (Rawski 1989). The KMT tried to control the countryside
through the County Organization Law. Officials governed county units that instituted
a household responsibility system resembling dynastic baojia.12 The Nanjing Decade
saw annual total agricultural output grow at over one percent per capita, pacing
population growth (Rawski 1989). In Hubei and Shandong, efficient farming methods
increased productivity. The harvests were especially good in the mid-1930s.
Yet there was little improvement in the countryside. The KMT government was never
close to peasant or soil (Hsu 1999). The county units, while administered by local
headmen, were supervised by corrupt bureaucrats who formed connections with
landed interests but lacked roots or empathy with local problems. Peasant incomes
were hard hit by the Great Depression, as foreign protectionism plummeted global
demand for Chinas cash crops like tea, rice and cotton.
Agricultural reforms proved ineffectual:

Land reform laws were passed to pursue Suns Third Peoples Principle of
Livelihood, but land surveys were carried out with little actual
redistribution.
A law was passed to restrict rents to 37.5 percent of the main crop, but in
south China, over 40 percent of crops continued to be paid as rental and taxes
even during severe Yellow River flooding in 1931. This was because land tax
11 Protectionism is the act of taxing imports and subsidizing local produce to encourage trade in local
produce, thus protecting the livelihood of local producers.
SU5-10
CCS101 STUDY UNIT 5
collection was left to the provincial authorities, allowing for collusion. KMT
officials themselves became landowners.
Agricultural credit was made available, but landlords snapped up most of
the loans, yet invested little in the land.
Agricultural cooperatives were established without crop diversification or
technological improvements. Crops were still sown and harvested manually
while officials looted funds.
Transport and Communications
Modernization, effective control over all China, and military efficiency required a
strong transport and communications network.
The KMT achieved the following in transport and communications:

The railway network was increased from 8,000 to 13,000 km. The
Guangdong-Hankou Railway was completed in 1936.13
Highway construction grew from just 1,000 km in 1932 to 115,000km in 1936.
Faster trains were introduced.
A ferry system was developed to link the Shanghai-Nanjing railways.
Automobile production increased.
In 1929, the China National Aviation Corporation was established with local
and foreign capital, with lines linking Shanghai to Chengdu, Beiping and
Kunming. However, it was accident-prone, and its operations came under
American companies. In 1931, the Eurasia Aviation Corporation, a Sino-
German venture, linked Beiping with Guangdong and Lanzhou.
The post office network was expanded to over 12,000 bureaus by the 1930s.
Nevertheless, the extension of communications meant little to the peasants, apart from
facilitating rural-urban migration. The roads and railways were used mainly by
Chiang to transport troops to harass the CCP areas. Imports could still compete with
domestically transported produce.
Why do you think so much more was done to improve the urban areas and
communications than the countryside?
13This railway was a provincial project venture started during the late Qing when they tried to
nationalize the railways, leading to widespread protests and eventually the 1911 revolution (see Study
Unit 3).
SU5-11
CCS101 STUDY UNIT 5
Educational Reforms
Chiang recognized the importance of education in promoting nationalism, morality

and tradition, and spearheaded many reforms funded by specially allocated taxes.
They built upon those implemented by the Qing in the 1900s.14
Educational reforms built upon those implemented by the Qing in the 1900s:15
A central curriculum including technical skills, military education,
Confucian ethics, physical education and national education was established.
Primary education was provided for everyone.
Laboratories were built in schools.
Provincial universities and private schools were established to increase
literacy and productivity.
Yet, although secondary education saw fourfold growth, the numbers did not exceed
500,000 during the Nanjing Decade. In the cities and treaty ports students became
more exposed and active, but standards and availability of education remained poor
in the loosely controlled countryside, perpetuating urban elitism. In the countryside,
children worked the land; so 50 percent of boys and 75 percent of girls did not attend
primary school. Financing of secondary schools was left to cash-strapped provincial
governments. As for tertiary education, less than 0.1 percent of the population were
enrolled in universities in 1934, while mandatory political education precluded
academic freedom.
The New Life Movement
In 1934 Chiang organized the New Life Movement, an assertive social campaign
stressing discipline and trustworthiness through rules elevating traditional values of
propriety, uprightness, integrity and self-respect (liyilianchi ). This sought to
counter anti-Chiang propaganda spread by the CCP and his KMT rivals and
revolutionize society from above. Chiang blamed May 4th for weakening China by
extolling the West but condemning enduring Chinese culture. He also blamed the
West for contaminating China with vice and censored the press. Suns Three Peoples
Principles were celebrated, but Confucianism was also reinstated the emphasis was
on subordinating individual freedoms to state authoritarianism. Chiang promoted
Zeng Guofans writings on devotion to public service and suppressing rebellion. 16

SU5-12
CCS101 STUDY UNIT 5
But as a military man, Chiang used regimental discipline to mobilize the people. He
used the Blue Shirts to impose KMT morality over daily routines. Policemen inspected
homes for cleanliness and exhorted people in the streets.
The Impact of the KMTs Rule
Chiang was disciplined, Spartan and hardworking. But he was also arrogant and
harsh. He sincerely believed that his nationalism and loyalty to Sun Yat-sen destined
him alone to unify and transform China, with an iron fist (Vohra 2000). Thus he used
the CC Clique to control the government, the Huangpu Clique to control the military,
and the Blue Shirts to control society. But his movements did not inspire, since his
regime became infamously hypocritical for corruption, double standards,
bureaucratic inefficiency, and vice, particularly in modern, cosmopolitan Shanghai
which was the Green Gangs stronghold. KMT officials were loyal but incompetent
careerists who became conspicuously rich. The bureaucracy used connections with
businesses to bolster its authority. Chiangs family members were notorious profiteers.
As the people resented the campaigns interference in their lives and pretention, the
KMTs unpopularity increased Chiangs resort to force. Chiangs Blue Shirts became
associated with reactionary violence and thuggery (Gray 2002).
In the cities, there was qualified improvement in the quality of life:

Medical care became more sophisticated with the building of new hospitals.
But there were still limited beds and doctors for the growing population.
Infant mortality rates remained high.
Sport was encouraged to foster a healthy lifestyle integrating competition
and teamwork. A stadium was built in Nanjing, but its swimming pool did
not have enough water.
The working day was set at eight hours and child labour was banned. But
many still had to hold multiple jobs to subsist, and child labour laws were
not applied in the countryside.
In summary, there were some financial reforms and improvements in transport and
communications, and industrial growth in the treaty ports. But only lip service was
paid to the Three Peoples Principles. Democracy was travestied, Livelihood proved
elusive and there was no unifying ideology.
The progressiveness of the original KMT during the United Front was replaced by a
return to Confucian conservatism. But the idealism of Sun and New Culture was also
expunged by opportunistic and corrupt ambitions from the old bureaucracy and
warlord regimes. The KMT had replaced the revolutionary mission with nation-
building. But this proved harder. Maximizing power became a priority. Chiang
SU5-13
CCS101 STUDY UNIT 5
declared that the revolution had failed in 1932 (Fairbank and Goldman 2006). He did
not see how it could be furthered through mass mobilization, like Mao Zedong and
the CCP.17 Perhaps this later influenced Mao to prioritize maintaining revolutionary
correctness.18
What similarities do you see between Chiang and Yuan Shikai?
Foreign Policy
The Issue of Concessions and Extraterritoriality
From 1927 to 1931, the KMT negotiated with Britain to transfer many concessions back
to Chinese jurisdiction, including Hankou, Jiujiang, Xiamen and Weihaiwei. Now,
British subjects came under Chinese law, were subject to taxation and no longer had
landowning privileges.
Under its capable American-educated Foreign Minister Wellington Koo (Gu Weijun
) (Figure 5.6), who had rejected the Treaty of Versailles in 1919, the KMT also
successfully pressured weaker powers like Belgium, Italy and Portugal to renounce
extraterritorial rights.
17 See Chapter 2.
SU5-14
CCS101 STUDY UNIT 5
Figure 5.6 Gu Weijun

(Source: Wikimedia Commons. Category: Wellington Koo.
https://commons.wikimedia.org/wiki/File:Gu_Weijun.JPG. Accessed 9 November 2015.)
However, despite starting negotiations with Britain, France, and America, China had
to wait till World War II in 1943 before they abolished extraterritoriality.19 In part, this
was due to the Western powers needing to ascertain the acceptability of Chinese law
as it modernized.
The Restoration of Tariff Autonomy
The unequal treaties in the 1840s had required China to fix foreign tariffs at five
percent. However, in 1917 Russia renounced this requirement. In 1928 America also
recognized Chinese tariff autonomy. This was quickly followed by Germany, Belgium,
Italy, and even Britain, France and Japan. As a concession, the KMT abolished internal
transit taxes. Tariff autonomy provided much of the KMTs monies.
Retrieve this JSTOR Article from the SIM Library and read: Julia C. Strauss. 1997. The
evolution of Republican government. The China Quarterly 150, 329335, 341-44.
SU5-15
CCS101 STUDY UNIT 5
1. What does the KMTs foreign policy tell you about Chinas relations with the West
during the Nanjing Decade? What might be the reasons for this?
2. Robert Bedeski says the KMTs major achievement was the establishment of the
modern sovereign Chinese state. During the Nanjing Decade, the KMT found a
new political sovereignty to replace the collapsed imperial state system and
warlord chaos. It expanded Chinas sovereignty, created national institutions, and
raised its international stature. These were inherited by the CCP when it took
power in 1949 (Bedeski 1992).20 Do you agree that the CCP owed this to the KMT?
Japanese Invasion and Occupation
Chiangs progressive relations with the West, and his efforts to control and develop
China, were ironically carried out amidst Japanese invasion and increasing
dominance. In 1933, the KMT even negotiated peaceful co-existence with the Japanese
in China.
The assassination of Zhang Zuolin in 1928 by defiant military officers in Manchuria,

acting independently of Tokyo, highlighted the ominousness of growing militarism
in Japan. When the Great Depression hit Japan, the governments faith in economic
interdependence and international collaboration was betrayed by the Wests turn to
self-preserving protectionism, which compounded the oppressive impact of the heavy
losses in trade, production and incomes on the population. Desiring to be great like
the West, the militarist backlash took the form of renewed imperialism, by asserting
its rights to stronger and more exclusive control over railway and industrial
concessions in Manchuria, just as Chiang was consolidating his rule. Manchuria was
rich in coal and iron. It had much arable land. It was a major soybean exporter.
The Invasion of Manchuria
In 1922, America had pressured Japan to sign the Nine Powers Treaty at the
Washington Conference 1922, where Japan promised to observe the Open Door.21
However, in September 1931, radical Japanese army officers in Manchuria unilaterally

rigged a bomb explosion which they blamed on China as a pretext to invade. In 1932,

SU5-16
CCS101 STUDY UNIT 5
they set up a semi-colonial state, Manchukuo, inviting the former Qing Emperor Puyi
to rule as a puppet (Figure 5.7).
Figure 5.7 Puyi-Manchukuo

(Source: Wikimedia Commons. Category: Puyi-Manchukuo. https://commons.wikimedia.org/wiki/File:Puyi-
Manchukuo.jpg. Accessed 12 July 2015.)
Although the CCP and Zhang Xueliang signaled their determination to resist the
Japanese, the initial invasion provoked only limited response from Chiang, who was
busy attacking the CCP.22 Chiang chose to rely primarily on the League of Nations to
deal with Japan and told Zhang not to mobilize his troops. Like Duans decision for
China to enter World War I on the side of the Entente,23 Chiangs response signaled
his intent for China to take its place in the international community and exercise its
right to collective security.24 Zhang, whose troops outnumbered the Japanese army as
they initially had no backing from Tokyo, was likely confused and aggrieved.25 Chiang
then resigned from the KMT government.
22 See Chapter 2.
24 Collective security refers to the concept that aggression against any member of the League (including
China), would be regarded as aggression against all the members, and the other members would
collectively defend China from the aggressor.
25 This would influence his decision to kidnap Chiang, five years later (Chapter 2).
SU5-17
CCS101 STUDY UNIT 5
However, the League had no military force. Its members were unwilling to contribute
troops. It was also reluctant to impose sanctions, which might provoke unwanted
aggression from Japan during Great Depression and war-weariness. Thus, the League
and the major powers, including America, limited their response to non-recognition
of Manchukuo and ineffective protests. In 1934, Japan declared the Amau Doctrine
that East Asia exclusively belonged to its sphere of influence and repudiated the Nine
Powers Treaty.26
Watch the Youtube clip, Japan and the Manchurian Crisis to find out more about
Japans invasion of Manchuria.
Fighting and Truce
In January 1932, Chinese in Shanghai attacked Japanese residents in the International

Settlement, leading to reprisals (Shanghai Incident).27 Although KMT officials tried to
appease the Japanese, Chinese garrisons there nationalistically and heroically resisted
and a fierce boycott of Japanese commodities ensued. The situation escalated with
Japanese ships and troops sacking Shanghai, until the KMT, with the League,
negotiated the Shanghai Ceasefire Agreement () in May 1932.
In January 1933, fighting resumed as Japan took the province of Rehe, north of
Manchuria. Japan then occupied the passes in the Great Wall and threatened Beiping.
In May 1933, the KMT negotiated the Tanggu Truce (), which humiliatingly
required China to create a demilitarized autonomous zone between the Great Wall
and Beijing, where Japan, through the Boxer Protocol, could maintain garrisons.28 In
1935, the KMT also signed the Ho-Umezu Agreement (-), allowing
Japan to control an autonomous, collaborationist anti-communist government in
the north provinces of Hebei and Chahar the Hebei-Chahar Political Council.
Although Wang Jingwei officially handled foreign policy following Chiangs

resignation as Chairman of the National Government in December 1931 following his
poor response to the Japanese invasion, Chiang still held de facto power.
26 The Amau Doctrine was expressed as a mocking parallel to Americas Monroe Doctrine, that, despite
American high ideals, reserved Latin America under its sphere of influence.
27 Sometimes called the January 28 th Incident.
SU5-18
CCS101 STUDY UNIT 5
It is ironic that this militarist who professed Suns First Principle of anti-imperialism
would conciliate a foreign aggressor and one that caused such a patriotic furor
after Shimonoseki.29 However, this is likely because:
Chiang wanted to focus on eradicating the CCP.
Since Japan was anti-Communist, it shared a common enemy with the KMT.
Chiang tolerated Japan for its similar Confucian traditions and experience
(Zarrow 2005).
The KMTs appeasement of Japan alienated many in the cities, culminating in

widespread demonstrations in 1935-6. The achievements of the Nanjing Decade must
be considered in this light. The Blue Shirts and the New Life Movement were
institutionalized in part to tackle opposition to the KMT amidst Japanese occupation.
Chiang insisted that the Japanese are a disease of the skin, the Communists are a
disease of the heart. What do you think Chiang meant? Why do you think he thought
this way?
SU5-19
CCS101 STUDY UNIT 5
Chapter 2 The CCP during the Nanjing Decade
Introduction
After the KMT entered Shanghai, it launched the White Terror (Baisekongbu )
against the CCP.30 The CCP responded by organizing unsuccessful urban and rural
uprisings, which led to Maos flight to remote Jiangxi. There, Mao formed the Jiangxi
Soviet.31 He introduced moderate land reform and formed a peasant-based guerrilla
army, supported and supplied by grateful peasants.
Maos Jiangxi Soviet survived four encirclement campaigns by the KMT. The fifth
campaign, with foreign weapons and advice, forced the CCP to embark on the Long
March (Changzheng ) in October 1934, fleeing Jiangxi. Though the CCP was greatly
depleted by the extremely harsh route and KMT assaults along the way, the survivors
arrived at Shaanxi in October 1935 hardened, with an enlarged peasant base of
support, and Mao emergent as leader. The CCP continued to call for a United Front.
Fierce demonstrations in the cities in 1935-6 supporting a renewed United Front

against Japan culminated in Chiangs kidnap at Xian in December 1936 by Zhang
Xueliang, to coerce him. Chiang conceded to announce the formation of the Second
United Front in 1937. The CCP then integrated its army under KMT command.
Norton: New York, 316-326, 365-387.
The End of the First United Front
The CCP had supported the KMTs Northern Expedition by mobilizing peasants and
workers associations to resist the warlords, as part of the First United Front. But
tensions began to rise. CCP-organized strikes in late 1926 which achieved wage
increases drove employers to seek KMT reassurance. In Shanghai, the CCP had led
unions in a 100,000-strong strike. However, when Chiang entered in March 1927, Zhou
Enlai directed the unions not to resist his entry.
30 Also known as the Shanghai Massacre, the Shanghai Purge and the April 12 th Incident.
31 A soviet, for China, refers to a self-contained governing body that administered its locality.
SU5-20
CCS101 STUDY UNIT 5
The White Terror
However, Chiang suddenly launched the White Terror and martial law. In the cities,
almost 40,000 Communists were killed, including Li Dazhao. This marked the end of
the First United Front.
Chiangs volte-face was probably due to two reasons:

Chiang neither trusted the CCP nor wanted to share power. CCP strikers
outnumbered KMT troops. Chiang perceived, quite correctly, that the CCP
ultimately wanted to take over China.
In April 1927, evidence was discovered in the Soviet embassy in Beijing that
the Soviet Union was plotting Communist subversion. This led Wang
Jingwei to reconcile with Chiang and stop his alliance with the CCP.
The Green Gang
To persecute the CCP, Chiang drew on contacts with financial interests, the Western
powers, and the Green Gang (Qingbang ), a large criminal syndicate notorious for
vice and labour-racketeering in Shanghai led by Du Yuesheng (). For helping
to kill Communists and labour leaders and expel Soviet agents, they were allowed to
continue their illegal operations.
Watch this Youtube clip to understand more about the White Terror.
The CCPs Response
The CCP had received confusing directions from the Soviet Union to step up
revolutionary activity, yet collaborate with the KMT.32 This made it unprepared for
Chiangs betrayal. Till then, the CCP had assumed the revolution was urban-centred.33
It had staged abortive urban uprisings in Hunan and Hubei. Then in June 1927, in
32 The contradictions reflected differing viewpoints in the Soviet succession struggle following Lenins
death. Trotsky wanted to spread the Communist Revolution worldwide, and urged Communist
agitation in China. Stalin, who wanted to build up the Soviet Union, insisted that the CCP bide its time
collaborating with the KMT.
33 According to original Marxist ideology, also adopted by Lenin, the Communist Revolution would be
led by the proletariat, or urban workers, though they only constituted 20 % of the Soviet population.
The CCP initially also assumed this, though Chinas rural majority in the 1920s was similar.
SU5-21
CCS101 STUDY UNIT 5
response to the White Terror, Stalin asked the CCP to seize land and communize
Wuhan, where Wang Jingwei had formed an alternate government.34
The Turn to the Countryside
Thus the CCP started to pursue revolution in the countryside. This took advantage of
independent peasant agitation, which had already begun against the landlords in the
early 1920s, led by Peng Pai () in south China, an ex-landlord who became a
Communist organizer. Peng Pai developed social services such as medical care,
schools, and agricultural advisories. The CCP had tried to control the peasant
movement, but remoteness and poor accessibility prolonged the time taken for
instructions to reach the rural areas from the cities.
Mao had been influenced by Li Dazhaos pro-peasant stance. In 1926, he was

appointed director of the KMTs Peasant Movement Training Institute, and returned
to his native Hunan to observe the peasants. Mao was impressed by their energy, and
declared in his Report on the Peasant Movement in Hunan, that they would drive the
revolution. Mao also upheld the need for violent and constant revolution.
Read Maos Report on the Peasant Movement in Hunan, especially the following
sections:
-The Importance of the Peasant Problem

-Get Organized!
-Down with the Local Tyrants and Evil Gentry! All Power to the Peasant
Associations!
-Fourteen Great Achievements
Organizing the Peasants into Peasant Associations

Hitting the Landlords Politically
Hitting the Landlords Economically
Spreading Political Propaganda
Answer these questions:

-Why does Mao emphasize the importance of peasant associations?
-What does he say the peasants role in the revolution is?
SU5-22
CCS101 STUDY UNIT 5
In July 1927, all Communists were expelled from the KMT. Several peasant
uprisings ensued:
A 20,000-strong peasant uprising in Nanchang () in Guangzhou in
August 1927 by Zhou Enlai and Zhu De () (Figure 5.8), a former warlord
who had joined the CCP. The CCP regards regarded this to be the founding
moment of its Red Army (Hongjun ) (Roberts 2003). A rival government
was formed, but it quickly collapsed due to lack of mass support.
Maos Autumn Harvest Uprising (Qiushouqiyi ) in Hubei and Hunan
in September 1927 with an army of about 2,000 peasant recruits. It involved
destruction of the Guangdong-Hankou Railway, and limited land seizures.
The Canton Commune, a poorly planned and executed urban uprising in
Guangzhou (Guangzhouqiyi ), in December 1927.
Figure 5.8 Chinese Communist Red Army Leader Zhu De

(Source: Wikimedia Commons. Category: Zhu De.
https://commons.wikimedia.org/wiki/%E6%9C%B1%E5%BE%B7#/media/File:Chu_De2.jpg.
However, the uprisings were easily crushed by the KMT, with hundreds of thousands
dying. The CCP did not yet have a military or mass support. Mao fled to the Jinggang
mountains after the Autumn Harvest uprising failed. But he still kept faith in peasant
revolutionary potential. The CCP also learnt about the importance of military might
for political victory. Mao famously said in August 1927, political power grows out of
the barrel of a gun. Yet Mao also realized that regular militias and conventional
SU5-23
CCS101 STUDY UNIT 5
warfare did not always win. The lessons of Autumn Harvest also paved the way for
his innovation of guerrilla strategy (Roberts 2003).
In November 1927, Mao was dismissed from the CCP Central Committee for the
failures, and the Comintern cut off funding to him. CCP urban revolutionary activity
continued to follow a pattern of SU-directed agitation to occupy cities like Changsha
and Nanjing, KMT crackdown, and the replacement of the scapegoated CCP leader.
Chen Duxiu had since been dismissed. Maos replacement, Qu Qiubai, () who
had organized the Canton Commune, was replaced by the French-educated and pro-
urban Li Lisan (), who was in turn soon replaced by the pro-SU 28 Bolsheviks.
These purges were due to the emphasis given to self-preservation bred by the ruthless
repression of the KMT. The CCP uprisings also contributed to Wang Jingweis about-
turn against the CCP to reconcile with Chiang.
The Jiangxi Soviet
Although Maos strategy of forming revolutionary soviets was initially rejected by

other CCP leaders, he independently started this in remote and mountainous but
densely populated Jiangxi. As other urban uprisings failed, Maos work among the
poor peasants became appreciated again. Mao formed the self-sufficient Jiangxi Soviet,
covering about 10,000 square miles. This occurred independently of Soviet aid and
instructions, although by the 1930s the Soviet Union had accepted the necessary
primacy of rural movement.
Land Reform
In Jiangxi, Mao observed peasant life and production. He recognized that land should
be distributed on the basis of ability. Many landless peasants worked as tenants for
absentee landlords. However, middle-class peasants also worked land on their own.
They were self-confident, literate, respectable and could lead other peasants. Mao
himself was from a middle-class peasant background. Moreover, clan and family
relationships made tenants loyal to their landlord patrons. Peasant action was mainly
against domineering and extortionist KMT officials. Thus the Chinese peasants were
not sufficiently polarized for social revolution. Instead, Mao earned the trust and
support of the peasants through positioning party cadres as caring guides. He
implemented a moderate, flexible and popular land reform that allowed productive
landowners with an interest in tenant productivity to keep some land and reorganized
large holdings as collectives.35 He reduced the landless peasants oppressively high
35Collectives are farms which are owned by the state in which farmers produce cooperatively, primarily
for the state. Collectives sync with the communist conceptualization of the ideal system of production.
The Soviet Union since 1928 also forcefully reorganized its peasants into collectives.
SU5-24
CCS101 STUDY UNIT 5
rents and taxes and cancelled debts to free peasants from financial burden. He
provided literacy courses to train the peasants in productive land techniques.
The Development of the CCP Army and Guerrilla Warfare
Moderate land reform worked. The grateful peasants willingly paid taxes to the
Jiangxi Soviet. They funded, supplied and joined the Red Army, re-formed and led by
Zhu De who had joined Mao in Ruijin. A Red Army had first been mobilized and
deployed during the 1927 Nanchang Uprising. By the 1930s, the Red Army had grown
to exceed 100,000.
Mao put political commissars in charge to maintain its allegiance. 25 percent of the
troops were CCP members. Supervisory cells were formed in every unit from platoon
level. Mao wanted the army to do more than fight, it was also to be a propaganda and
mobilizing instrument (Vohra, 2000).
Mao made the army earn peasants respect through his three rules of discipline and
eight points of attention:
1. Obey orders.
2. Do not take anything from the masses.
3. Surrender everything captured.
4. Speak politely.
5. Pay a fair price for purchases.
6. Return everything borrowed.
7. Pay for anything damaged.
8. Do not swear.
9. Do not destroy crops.
10. Do not molest women.
11. Do not bully captives.
Mao also innovated guerrilla warfare, later expounded in his On Guerrilla

Warfare (Lunyoujizhan ).36 This was not new in China, for the Nian rebels
in the 1850s had also adopted some form of guerrilla warfare, 37 and the tactics
showed knowledge of Sun Zis Art of War (), but the West had little regard
for such strategies at this time.38
36 Guerrilla warfare refers to mobile combat tactics, often used by civilian militias, to harass and
frustrate larger armies before quickly retreating or hiding. It often involves ambushes, raids and
sabotage.
38 Sun Zis Art of War is a compilation of Chinese theories and teachings on military strategy, probably
mainly written by Sun Zi, a military general and theorist during the Warring States period.
SU5-25
CCS101 STUDY UNIT 5
The basic principles were:

Enemy advances, we retreat.
Enemy camps, we harass.
Enemy tires, we attack.
Enemy retreats, we pursue.
In the 1930s, Mao also developed the concept of Peoples War (Renminzhanzheng
), or popular war, since guerrilla warfare significantly engaged the population.
Through the capable leadership of Zhou, Mao and Zhu, the Jiangxi Soviet grew. Other
urban Communists joined them, including the 28 Bolsheviks following KMT
offensives. Yet without Soviet aid, it was Peoples War (something Chiangs military
education had not taught him) that helped the CCP thwart four KMT encirclement
campaigns involving planes and quantitatively superior troops.
Maos stature grew, and in 1931, he was elected Chairman of the CCPs Central
Executive Committee. Mao won support for his egalitarian land distribution, guerrilla
warfare, and call for a united front against Japan. The Jiangxi Soviet expanded into
Fujian to its east, and became officiated as the CSR (Figure 5.9). Even as the CSR fought
off KMT harassment, in 1932 it declared war on Japan despite the lack of contact,
further popularizing it. Other soviets were also formed within Zhejiang, Sichuan,
Henan and Anhui, the major ones led by Zhang Guotao.
Figure 5.9 1931 Military Parade of Formation of the Chinese Soviet Republic
(Source: Wikimedia Commons. Category: Chinese Soviet Republic.
https://commons.wikimedia.org/wiki/%E4%B8%AD%E8%8F%AF%E8%98%87%E7%B6%AD%E5%9F%8
3%E5%85%B1%E5%92%8C%E5%9C%8B#/media/File:1931_military_parade_of_formation_of_Chinese_Sov
iet_Republic.jpg. Accessed 12 November 2015.)
SU5-26
CCS101 STUDY UNIT 5
Japan invaded Manchuria while Chiang was conducting his third encirclement
campaign. Although Chiang had resigned from the National Government in favour
of Wang Jingwei, he continued to fight the CCP through the Military Affairs
Commission he chaired, helped by the Tanggu Truce and financed by the banks
dominated by his relatives.39
Chiangs fifth encirclement campaign, commencing October 1933, sought the advice
of veteran German generals like Hans von Seeckt, again showing his influence by
Hitler.40 Chiang established a system of fortified blockhouses on hilly terrain along
invasion routes positioned to deny the communists essential supplies and be
mutually defended by gunfire. In addition, Chiang brought the weight of over 700,000
men, with scouting planes and bombers, to bear on the CCP. In response, the 28
Bolsheviks, led by Wang Ming () (Figure 5.10) and Bo Gu (), fatally resorted
to positional warfare instead of splitting into guerrilla units, as instructed by Otto
Braun, a Comintern agent who joined Ruijin in 1933. The KMT successfully encircled
the CSR.
Figure 5.10 Portrait of Wang Ming early 1930s

(Source: Wikimedia Commons. Category: Wang Ming.
https://commons.wikimedia.org/wiki/Category:Wang_Ming#/media/File:CCP-WangMing.jpg.
39 See Chapter 1.
40 The staunchly anti-Communist Hitler had by then become Chancellor in Germany.
SU5-27
CCS101 STUDY UNIT 5
What similarities and differences are there between Maos Jiangxi Soviet and the
Taiping Kingdom you learnt in Study Unit 1?
Read Maos On Guerrilla Warfare. , especially the following sections:

-What Is Guerrilla Warfare?
-The Relation of Guerrilla Hostilities to Regular Operations
Answer these questions:

-What are the advantages of guerrilla warfare?
-Why was it suitable for the Chinese peasants?
-Why do you think it worked against KMT encirclement?
The Long March
In October 1934, 100,000 CCP leaders and troops decided to flee Jiangxi. Using
intelligence to help fend off KMT attacks, they travelled over 6,000 miles of extremely
harsh terrain and inclement weather, including rivers, mountains, swamps and
valleys, with only a few horses for transport. Many lives were lost to KMT raids,
blockades, battles and ambushes along the way. Much equipment was destroyed and
abandoned. Less than ten percent reached Shaanxi in October 1935. This became
remembered as the Long March.
Nevertheless, relentless Japanese pressure on China prevented the KMT from

annihilating the CCP (Gray 2002). CCP intelligence also played a part. The incredible
survival of the remaining Communists boosted their morale and gave them a sense of
ordained purpose and confidence to regroup as its hardened core. Mao
propagandized CCP dedication, comradeship and self-sacrifice to rally and unite the
survivors. He also proclaimed to over two million peasants whose villages they
passed en-route that they were marching north to fight Japan. Mao contrasted
communist courage and resilience with Confucian fatalism and KMT impotence and
conciliation to Japan. Stories of quick thinking, courage, heroism and miracles turned
the Long March into a legend. Some military leaders distinguished themselves and
SU5-28
CCS101 STUDY UNIT 5
would later be key in the Chinese Civil War, among them Lin Biao and Peng Dehuai
().41
Watch this Youtube clip to find out more about the Long March.
Although Mao tried to restore contact with the Soviet Union as soon as possible, it had
provided minimal support to the CCP during the journey. Braun, who marched with
them, alienated them with his arrogance and high-handedness. Thus, the Long March
transformed the CCP into a primarily nationalist organization discarding Soviet
influence (Moise 2008).
The Re-emergence of Mao as Leader
Mao was not among the initial planners of the Long March. Since 1933, he had been
marginalized by the 28 Bolsheviks, who denounced his moderate land reform and
guerrilla tactics. However, the Long March helped Mao re-emerge as the
unchallenged leader, as he made many important decisions en-route despite being
sick. Mao had even challenged Comintern instructions in deciding to head to Shaanxi42,
out of the KMTs reach, after the latter had blocked and attacked them near Guangxi.
Throughout the march, Mao elicited support from peasants all over China, including
minorities, through his call for united resistance against Japan. In August 1935, en-
route, Mao issued an Open Letter to all Fellow Countrymen on Resisting Japan and
Saving the Nation (Vohra 2000). Maos tactics and leadership through the hardships
and obstacles won the trust of the Communists.
At the Zunyi Conference () in January 1935 in Guizhou mid-route, Braun and

the 28 Bolsheviks were criticized for their use of conventional forward offensives
leading to the fatal encirclement in 1933 and a costly ambush by the KMT en-route a
month before. Their marginalization paralleled the distancing of the CCP from the
Soviet Union. Zhou Enlai, formerly Maos superior, who had supported the 28
Bolsheviks before the March, now influentially deferred to Mao. Mao became a
member of the Politburo Standing Committee and the Military Affairs Commission.
In June 1935, when the depleted Long Marchers linked up with Zhang Guotaos
quantitatively superior forces, Maos former friend also tried to challenge his
41See Study Unit 6.

42Note that Shaanxi and Shanxi are distinct provinces in China. Shaanxi, also known as Shensi, is
located west of Shanxi.
SU5-29
CCS101 STUDY UNIT 5
leadership. Zhang pointed out that the conference was unconstitutional. However, his
denunciation of the march only won him hostility. Zhang also tried to re-direct the
march to his power base in Sichuan. But Mao was adamant to stick to Shaanxi. Zhang
Guotao then separated and went to Xigang.43 Thus, although the CCP portrayed the
march as united, there was conflict.
You can read this impression of Mao in 1936, by a prominent American journalist,
Edgar Snow, here.
The Formation of the Second United Front
Background
In November 1935, Chiang became Premier again after Wang Jingwei left for Europe
on medical leave. By this time, Japan was smuggling goods into the autonomous zones,
which reduced the KMTs customs revenues considerably.
In December 1935, massive student demonstrations were held all over China to protest
against the Hebei-Chahar Political Council. They chanted a well-known CCP slogan,
Chinese do not fight Chinese, (), demanding that the KMT fight
Japan. A nationwide National Salvation Association was formed to campaign for
united resistance to Japan.
The demonstrations were naturally supported by the CCP, weakened by the Long
March. It was also supported by Zhang Xueliang, now deputy commander of the KMT
military. Zhang was ordered by Chiang to coordinate renewed attacks on the CCP in
Shaanxi, which was within his base. But this did not make sense to Zhang, who was
being increasingly won over by CCP propaganda. He preferred to avenge his father
Zhang Zuolin and regain Manchuria. 44 However, Chiang would only insist on
unreasonable conditions for collaboration, which the CCP forthrightly rejected.
The Xian Incident
In December 1936, the demonstrations from the previous year were repeated after
Japan renewed its aggression by invading another province in the north, Suiyuan.
43 Zhang Guotao eventually rejoined Mao in Shaanxi. During the Second Sino-Japanese War he defected
to the KMT.
44 Zhang Zuolin had been assassinated by the Japanese (see Study Unit 4).
SU5-30
CCS101 STUDY UNIT 5
Chinese workers went on strike in Japanese factories. Zhangs warlord instincts led
him to place Chiang, who had travelled to Xian to pressure him, under house arrest.
Zhang demanded that Chiang collaborate with the CCP, invoking Sun Yat-sens will.
Zhangs move was encouraged by Stalin, who wanted the KMT and the CCP to bog
Japan down in China to pre-empt aggression against the Soviet Union. Upon hearing
this, the CCP quickly took advantage and won the praises of the masses by
magnanimously calling for Chiangs release, alongside America. Zhou Enlai also
travelled to Xian and agreed that the CCP would accept KMT leadership. The Soviet
Union endorsed this, although Mao was likely to have taken this course of action with
or without it.
Chiang at first refused, but he changed his mind after he saw the possibility to first
use the CCP to defeat the Japanese before fighting them. This also represented an
opportunity to reverse his unpopular anti-Communism. Temporarily, the KMTs
popularity surged. This marked the start of the Second United Front.
The Second United Front
In August 1937, the CCP asked the KMT to create a coalition government and convene
a National Assembly. It also asked the KMT to mobilize and arm the people. The KMT
allowed the CCP to set up associations and publication centres in its areas. It appeared
to actualize the peoples hopes of united nationalism against imperialism, Suns First
Principle. Ironically, this was just after the Second Sino-Japanese war broke out in July
1937.45
In September 1937, the CCP issued a manifesto, where it agreed to cooperate with the
KMT to pursue Suns Three Peoples Principles and stop rebellion, sabotage and land
redistribution. The CCP officially put its base areas under KMT jurisdiction, but the
KMT promised to allow continued local autonomy. The CCP also conceded to declare
its Eighth Route Army (Balujun ) to be under KMT command in a newly re-
formed National Revolutionary Army.46
Besides the Japanese priority, why else might the CCP make so many concessions,
sacrificing its independence?
45See Study Unit 6.

46This full-time army was formed from Long March survivors, based in Yanan in Shaanxi, and swelled
by part-time peasant militias.
SU5-31
CCS101 STUDY UNIT 5
Retrieve this JSTOR article from the SIM Library and read: Michael M. Sheng. 1992.
Mao, Stalin, and the formation of the anti-Japanese United Front. The China
Quarterly 129, 158-169.
The Decade of Ironies

SU5-32
CCS101 STUDY UNIT 5
1927 Mao publishes Report on the Peasant Movement in Hunan

White Terror
Abortive Nanchang, Autumn Harvest and Canton Commune uprisings
1928 China regains tariff autonomy
Zhang Zuolin is assassinated by Japanese troops
Chiang elected Chairman of the Nationalist Government
1929 Mao establishes Jiangxi Soviet
Wall Street Crash in America marks start of global Great Depression
1930 Central Plains War
Britain transfer Weihaiwei to Chinese jurisdiction
1930-31 Chiang launches encirclement campaigns against Jiangxi Soviet
1931 Japan invades Manchuria
Chiang resigns as Chairman of National Government
CSR formed
SU5-33
CCS101 STUDY UNIT 5
1932 League of Nations begins investigating Japans invasion of Manchuria

US declares non-recognition of Manchukuo
Shanghai Incident
Jiangxi Soviet declares war on Japan
Shanghai Ceasefire Agreement
Manchukuo established under last Manchu emperor Puyi
League Lytton Commission Report published
1933 Silver dollar replaces tael
Tanggu truce signed
Fifth encirclement campaign against Jiangxi Soviet
1934 Chiang launches New Life Movement
Japan declares Amau Doctrine
1934-35 Long March from Jiangxi to Shaanxi
1935 Zunyi Conference
Fabi replaces silver
Ho-Umezu Agreement
Dec 9th Movement against Japanese imperialism
1936 Chiang detained by Zhang Xueliang in Xian Incident
1937 Start of Second United Front
Outbreak of Second Sino-Japanese War
CCP integrates Eight Route Army into KMTs National Revolutionary
Army
SU5-34
CCS101 STUDY UNIT 5
References
Bedeski, Robert E. 1992. Chinas Wartime State. In Hsiung, James C. and Steven I.
Levine (eds). Chinas Bitter Victory: The War with Japan. New York: M. E. Sharpe.
Fairbank, John King & Merle Goldman. 2006. China: A New History. Massachusetts:
Press.
Lawrance, Alan. 2004. China since 1919 Revolution and Reform: A Sourcebook. London,
Routledge.
https://books.google.com.sg/books/about/China_Since_1919.html?id=JWc9Ia7
TcaMC&hl=en. Accessed 12 July 2015.
Moise, Edwin E. 2008. Modern China. Edinburgh: Pearson Education.
Rawski, Thomas G. 1989. Economic Growth in Prewar China. Oxford: Oxford

University Press.

Publishing.
Vohra, Ranbir. 2000. Chinas Path to Modernization. New Jersey: Prentice Hall.
Zarrow, Peter. 2005. China in War and Revolution. London: Routledge.
SU5-35
STUDY UNIT 6
CHINA AT WAR, 1937 1949
CCS101 STUDY UNIT 6
Learning Outcomes
1. Examine developments in and for China during the Second Sino-Japanese
War from 1937-1945.
2. Analyze why civil war between the KMT and the CCP broke out in 1946 despite
American mediation.
3. Explain how and why the CCP defeated the KMT to establish the People's
Republic of China (PRC).
Overview
This study unit looks at key political developments in China during the years of war
and civil war, leading to the formation of the Communist Peoples Republic of China
(PRC).
Chapter 1 examines developments during the Second Sino-Japanese War from 1937 to
1945, pertaining to the CCP, KMT, and Chinas international relations in the wider
war.
Chapter 2 looks at how and why civil war between the CCP and the KMT resumed
after the war. It examines reasons for the CCPs defeat of the KMT.
SU6-1
CCS101 STUDY UNIT 6
Chapter 1 The Second Sino-Japanese War, 1937 1945
Introduction
The new Second United Front provoked Japan to launch a full-scale invasion of China
in July 1937, sparking the Second Sino-Japanese War that lasted till 1945. Although
Japan took over much of China, set up puppet regimes, and bombed and terrorized
Chinese civilians, it could not totally defeat the KMT or the CCP. Still, Japan took
advantage of Europes preoccupied fighting against Germany to:
Debilitate and humiliate the European powers in China.
Weaken Chinese resistance by pressuring European colonies in Southeast Asia.
The international community was slow to help China. Before 1939, only the Soviet
Union provided significant aid. However, America incrementally imposed economic
embargoes on Japan before finally being provoked into war when Japan bombed Pearl
Harbour.
The CCP established rural bases in north China with its headquarters at Yanan in
Shaanxi. It built up its armies and used guerrilla tactics effectively against the Japanese.
It implemented rent reduction which won the support of the poor peasants without
antagonizing the rich, and liberated many areas. Mao developed his Mao Zedong
Thought (), and implemented a Rectification Campaign (Zhengfengyundong
) at Yanan from 1942.
The KMT adopted a policy of space for time. Many areas were conceded to the
Japanese while biding to rebuild. The main strategy was to seek more American aid.
This came in the form of Lend-Lease, loans, and planes with pilots led by American
commander Claire Chennault, as well as a military adviser, General Joseph Stilwell.1
However, Chiang rejected Stilwells demands to train his army because he wanted to
keep it loyal and conserve his resources to fight the CCP.
Still, America, led by President Franklin Roosevelt, had high hopes for China to police
Asia after the war. At the Cairo Conference in November 1943, Roosevelt declared
that China was a great power and promised that Taiwan and Manchuria would be
returned to China. Since Chiang and Stilwell could not get along, Roosevelt replaced
him with General Albert Wedemeyer.
1Lend-lease refers to the provision of war supplies to China, Britain, the Soviet Union and other nations
involved in war, on deferred payments based only on the ability to repay.
SU6-2
CCS101 STUDY UNIT 6
Nevertheless, the reality was that the KMT, though undeniably nationalistic, lacked
the will to fight, was financially weak, remained indifferent to mass welfare, and
depended heavily on American aid. The Japanese defeat only came when America
dropped atomic bombs on Japan to force its unconditional surrender.
Norton: New York, 397 427.
Background to the War
When Chiang declared the Second United Front, Japan became anxious that it would
lose its footholds in China. It took a big step towards its goal to dominate East Asia by
full-scale invasion.
Expecting a response like that of the weak Qing court in 1895 and the faction-ridden
KMT in 1931, Japan instead faced a newly (albeit nominally) united and hardened
Chinese nationalism. 2 Termed neutrally as the Second Sino-Japanese War, it is for
China the War of Resistance against Japan (Kangrizhanzheng ), the imperialist
aggressor.
Watch the following Youtube clip, to find out about the Second Sino-Japanese War.
The Start of the War
The trigger happened in July 1937 at the strategic Lugou Bridge () (Figure 6.1).3
There the Boxer Protocol had entitled Japanese troops to conduct manoeuvres. 4
Chinese troops fired shots without injuring anyone, but a Japanese soldier went
missing and although he soon returned, suspicious Japanese troops unilaterally
ordered an attack against which the Chinese retaliated. By end July, the radical
Japanese army in China had consolidated its control of Beiping and Tianjin.
2 See Study Unit 3.

3 Also known as the Marco Polo Bridge.
4 See Study Unit 3.
SU6-3
CCS101 STUDY UNIT 6
Figure 6.1 Lugou Qiao, Brckendecke

(Source: Wikimedia Commons. Category: Lugou Bridge.
https://commons.wikimedia.org/wiki/Lugou_Bridge#/media/File:Lugouqiao.jpg. Accessed 12 July 2015.)
But this time Chiang was determined to resist. Despite there being no official
declaration of war, Chiang bombed Japanese warships at Shanghai, though many
missed and killed local Chinese. The Japanese military command and government in
Tokyo swiftly jumped on it as a pretext for war. Chiang concentrated his best German-
trained troops to fight in Shanghai, but by December 1937, he was defeated by the
Japanese tactic of outflanking the defender, losing over 250,000 troops.
Why do you think Chiangs response in Shanghai in 1937 was different from that in
1932? What do you think was the significance of Shanghai?
The Nanjing Massacre
Chiang retreated to his poorly-fortified capital, Nanjing. But the Japanese army easily
took it, gaining control of all access to and traffic along the Yangtze. The KMT
government fled to Wuhan. The Japanese then brutally tortured, raped and killed over
200,000 civilians (the Nanjing Massacre) ().
SU6-4
CCS101 STUDY UNIT 6
Read the following excerpt adapted from the late Chinese-American journalist Iris
Changs famous book, The Rape of Nanking (pp 83-7). Reflect on the significance of
the bolded statement, Tang also noticed that they looked very much like Chinese?
Tang, a 25-year-old shoemaker's apprentice, wanted to see a Japanese soldier with

his own eyes.
As Tang stepped outside, he saw the bodies of men, women, small children and the
elderly crumpled before him in the streets. Most had been stabbed or bayoneted to
death. "Blood was splattered everywhere, as if the heavens were raining blood,"
Tang recalled.
Tang then saw a group of Japanese soldiers herding hundreds of Chinese down the
street. Tang was ordered to join them. As he marched next to the other prisoners, he
saw corpses sprawled on both sides of the streets.
Before long Tang found himself standing near a freshly dug pit filled with some 60
Chinese corpses. Tang recalled, "As soon as I saw the newly dug pit, I thought they
might either bury us alive or kill us on the spot. I was too frightened to move so I
stood there motionless."
The Japanese ordered Tang and the other prisoners to line up in rows on each side
of the mass grave. Nine Japanese soldiers waited nearby, soldiers who presented an
imposing sight to Tang with their yellow uniforms, star-studded caps, and shiny
bayonets and rifles. Tang also noticed that they looked very much like Chinese.
Then, to Tang's horror, a competition began among the soldiers to determine who
could kill the fastest. As one soldier stood sentinel with a machine gun, ready to
mow down anyone who tried to bolt, eight other soldiers split up into pairs to form
four separate teams. In each team, one soldier beheaded prisoners with a sword
while the other picked up heads and tossed them aside in a pile. The prisoners stood
frozen in silence and terror as their countrymen dropped, one by one. "Kill and
count! Tang overheard them saying, and remembered the speed of the slaughter.
The Japanese were laughing, one even took photographs. "There was no sign of
remorse at all."
A pregnant woman began to fight for her life, clawing desperately at a soldier who
tried to drag her away from the group to rape her. Nobody helped her, and in the
end the soldier killed her, ripping open her belly with his bayonet and jerking out
SU6-5
CCS101 STUDY UNIT 6
her intestines and a squirming fetus. Even though the Chinese prisoners greatly
outnumbered their Japanese tormentors, no one moved. Tang remembers only the
pregnant woman showing the slightest bit of courage.
Soon a sword-wielding Japanese soldier worked his way closer to Tang. Then Tang
had a miracle. When the soldier decapitated the man in front of Tang, the victim's
body fell against Tang's soldier. In keeping with the corpse's momentum, Tang also
toppled backwards and dropped, together with the body, into the pit. No one
noticed.
Tang ducked his head under the corpse's clothing. His ploy would have never
worked had the Japanese stuck with their original game of decapitation. In the
beginning the soldiers used the heads of their victims to keep score. But later, to
save time, they killed prisoners not by lopping off heads but by slashing throats.
This saved Tang - the fact that dozens of bodies were piling up in the pit with their
heads intact.
The killing spree lasted about an hour. While Tang lay still, feigning death, the
Japanese pushed the rest of the bodies on top of him. Then, as Tang recalls, one
Japanese soldier thrust his bayonet into the mass grave repeatedly to make sure
everyone was dead. Tang suffered five bayonet wounds without a scream, and then
fainted. Later that day, he was found by fellow apprentices who pulled him out
immediately.
Out of the hundreds killed that day, Tang was the only survivor.
You can see indiscriminate and inexplicable brutality in what you just read. Possible
explanations for such brutality include frustration at unexpected Chinese resistance,
loathing of an inferior race, and to destroy civilian morale (Zarrow 2005). Following
the massacre, Japan also subjected other villages to complete and cruel destruction,
including pumping poison gas to kill Chinese civilians hiding underground. However,
this only strengthened nationwide will (although not necessarily ability) to fight Japan.
The Japanese Advance into China
In May 1938, Japan won the Battle of Xuzhou () against former warlord and
capable KMT general Li Zongren, who had created an alternate army from regional
forces. Although the Chinese had inferior equipment and were poorly trained, they
lost heroically. Among nine generals dead, only one was from the area. This showed
that Chinese forces were fighting for country, not just region (Elleman and Paine 2010).
SU6-6
CCS101 STUDY UNIT 6
In October 1938, Wuhan fell to the Japanese. By 1939, the Japanese had controlled
much of north and central China, as far south as Guangzhou. Their policy of three
alls kill all, burn all, and destroy all, ravaged Chinas infrastructure and resources.
But this also obstructed Japans ability to properly take Chinas resources over
(Zarrow 2005). Japan had expected to subdue China easily. But it could not totally
conquer China. Whenever the Chinese were defeated, they simply retreated and
regrouped. Japan lacked raw materials and faced Western embargoes. Its three alls
policy also deprived it of resources. 250,000 Japanese troops in China started to be
overextended.
So Japan set up puppet regimes and garrisons in Beiping, Nanjing, Shandong and
Mongolia, modelled after Manchukuo, and led by pliant collaborationists like Wang
Kemin (). The Green Gang also collaborated. By 1940, former KMT Prime
Minister Wang Jingwei made terms with Japan to lead a five-yuan puppet National
Government of China in Nanjing. While Chiang refused to cow, his rival and former
co-revolutionary, and a former CCP-sympathizer, helped Japan attack both KMT and
CCP.
Wangs reverse, whether cowardly, pragmatic or unscrupulous, could be because

he:
Wanted to salvage some autonomy for China, given the likelihood that China
would not win.
Wanted to minimize casualties in Nanjing, given Japans brutality during the
1937 massacre.
Wanted to take the opportunity to outshine Chiang, as he regarded himself
as Sun Yat-sens rightful successor, and had resented Chiangs appointment
as Director-General in 1938, giving Chiang huge powers whereas Wang, as
deputy Director-General, had virtually none.
Regarded staunchly anti-Communist Japan as a lesser evil than Chiangs
corrupt, oppressive regime. Japan claimed that it would not demand territory
or indemnity but return China all concessions, abolish extraterritoriality, and
pursue cooperation without monopolizing Chinas economy (Hsu 1999).
Find out more about Wang Jingweis journey from revolutionary to collaborationist.
How did his widow try to justify his decision following his death?
SU6-7
CCS101 STUDY UNIT 6
The CCP during the War
As the Japanese established themselves in the cities, the CCP formed guerrilla bases
in rural areas in parts of Shaanxi, Gansu, Ningxia, Shanxi and Hebei. CCP guerrillas
liberated many areas, introducing local party committees and a government structure
that paralleled its headquarters in Yan'an. By 1943, the CCP controlled almost half of
occupied China, twice that of the Japanese and four times that of the KMT (Elleman
and Paine 2010).
Resisting Japan gave Mao the chance to establish a new autocratic power in the
countryside, beyond urban KMT developments during the Nanjing Decade. 5 Wartime
conditions facilitated the CCPs resurgence to build a new Chinese state, geared for
class warfare (Fairbank and Goldman 2006).
That is not to say that the CCP had it all their way. In September 1940, the Eighth
Route Army was battered by the Japanese in the odd conventional 100 Regiments
Offensive (Baituandazhan ), where over 100,000 troops attacked Japanese
strongholds in north China. The Japanese followed up with intense reprisals on CCP
areas, which the CCP, with no planes and little Soviet aid, could not overcome.
Effective Guerrilla Tactics and Peasant Mobilization
Nevertheless, the CCP usually used guerrilla tactics effectively. One example was the
use of the segmented worm to evade the Japanese. The guerrillas marched as a group,
but each time, a few troops would leave and hide, creating a trail that inexplicably
faded as the Japanese tracked. When the Japanese gave up and retreated, CCP
guerrillas would then ambush them.
Another important factor that helped the CCP rebound fast was Maos popular socio-
economic programmes. In forming the Second United Front, the CCP had agreed not
to expropriate land. To prevent polarization of rich and poor peasants and keep a
broad base of support, ideological correctness was subordinated to nationalist unity.
However, to maintain majority peasant support, the CCP reduced rents to as low as
23%. Landowners were exhorted to downsize their landholdings, pay more taxes and
refrain from overcharging, to be seen as united and not treacherous. Mutual-aid
cooperative principles enhanced mass participation for productive wartime autarky.
Inflation was controlled.
5 See Study Unit 5.
SU6-8
CCS101 STUDY UNIT 6
While constantly playing up the KMT and local officials for corruption, CCP cadres
exemplified simple, self-disciplined lives. They helped the peasants reap the harvest
and treat the sick. The peasants reciprocated by swelling the armies and providing
food, supplies, intelligence, and spontaneous hiding places. By 1945, despite war
losses, CCP membership had grown to 1.2 million from just 40,000 in 1937, with a 20-
fold increase from 1937 to 1940. The combined forces of the New Fourth and Eighth
Route Armies numbered 500,000.
In any case, the KMT bore the brunt of the Japanese offensives since CCP bases were
remote and they were the legitimate government. KMT collaborators served as CCP
propaganda material.
The Development of Maoism
Drawing from his experiences in the 1930s and the war, Mao modified Marxism to
suit China. In contrast with Marxs emphasis on the urban proletariat, Mao stressed
that peasant energy would succeed with effective leadership. Peasant masses were
important for the CCP as water is for fish. Like the Soviet Communist Party, the CCP
was also key to convict, mobilize and arm the peasants.
In his On New Democracy (Lunxinminzhuzhuyi ), published 1940, Mao

identified the May 4th Movement as the point in which the revolution became
collaboratively led by the bourgeoisie. Such democracy, as Mao defined it, marked the
bourgeois-democratic stage, where bourgeois leaders, led by the CCP, overthrew
feudal governments and established a viable, independent Chinese nation-state. In the
next socialist stage, the bourgeoisie, including the KMT, must be subjected to peasant
domination and egalitarian land redistribution under CCP leadership. The
bourgeoisies inability to save China from Japanese imperialism or achieve economic
development proved this.
Read Maos On New Democracy, especially the following chapters

-Chinas Historical Characteristics
-The Politics of New Democracy
-The Economics of New Democracy
Then read this article to find out more about democracy as it is understood in China
today. How does it differ from our conventional understanding of democracy? Why
do you think China defines democracy the way it does?
SU6-9
CCS101 STUDY UNIT 6
Note that the combination of Western ideas with the Chinese essence, either through
retention of the latter or modification of the former, recurs in China, both within and
beyond the content of this course:
During Self-Strengthening, the slogan was Western utility, Chinese essence.
Suns government structure emulated the Western three-branch government
but added two more traditional branches: Examinations and Control.
Mao sinicizied Marxism.
In the 1980s, Deng Xiaoping would articulate a brand of Socialism with
Chinese Characteristics for China.
The Rectification Campaign in Yanan
This naturally meant that communists must not fall prey to bourgeois allure but
maintain revolutionary correctness. There was a need to discipline the revolution
against sectarianism, or internal subversion by ignorance, hypocrisy and perversion
of doctrine. Mao also wanted to guard against the evil of creeping bureaucratization
through being bogged down in routine administration.
In 1942, Mao introduced his first Rectification Campaign, which bolstered his
leadership of the CCP:
Communist cadres were made to attend CCP indoctrination courses.
Art and literature were re-moulded along the lines of Maoism and made
accessible and comprehensible to the masses. Fine classical culture was
converted to reflect proletarian consciousness (Zarrow 2005).
Literacy campaigns became platforms for indoctrination, through rote
learning.
Intellectuals were criticized for complacent, pedantic learning. They were
forced to go to the villages (xiaxiang ) to learn from the peasants and, in
a mode of traditional Confucian self-cultivation, to study Maos works
conscientiously, reform thought and make self-criticisms to align with the
masses.
40,000 critical or stubborn CCP members were expelled, imprisoned or
killed.
By 1945, Mao emerged unchallenged in his new post of Chairman of the Central
Committee. The CCP declared that he was always right. Mao Zedong Thought was
acknowledged as the CCPs authoritative guide in the new constitution to be dutifully
complied, and the source of revolutionary will.
SU6-10
CCS101 STUDY UNIT 6
1. What aspects are ironic about Maos development of Maoism and his Rectification
Campaign?
2. What similarities and differences do you see between Maos sinification of Marxism
and Hong Xiuquans rendition of Christianity (Study Unit 1)?
The KMT during the War
After the retreat from Nanjing and Wuhan, the KMT established a military
government at remote mountainous Chongqing in Sichuan. Chiang formed and
headed both a Supreme National Defense Council and a Military Affairs Commission.
However, a 200-member consultative Peoples Political Council, in which the CCP also
held seats, embodied the United Front and limited Chiangs powers.
Japan constantly bombed Chongqing to demoralize the people, for which the KMT,
with no anti-aircraft cover, could only rely on hastily built shelters. Japan cut the
Zhejiang-Hunan railway to starve the KMT of supplies. The KMT was isolated as
other railways did not connect there. So Chiang allied with Long Yun (), the Lolo-
minority warlord controlling neighbouring Yunnan in southwest China. Kunming, its
capital, was designated as the terminus for a 715-mile road which connected to Lashio
in British Burma ( ) (Figure 6.2), Chiangs key link to essential military
supplies. Chinese labourers worked under harsh and fatal conditions to complete the
road, which opened in December 1938. The road helped Chiang retain some control
over Guangxi, Guangdong, and parts of Hunan, Jiangxi, Hubei and Henan.
SU6-11
CCS101 STUDY UNIT 6
Figure 6.2 Workers with Hand Tools building Burma Road

(Source: Wikimedia Commons. Category: Burma Road.
https://commons.wikimedia.org/wiki/Burma_Road#/media/File:Workers_with_hand_tools_building_Burma_Ro
ad2.jpg. Accessed 12 July 2015.)
However, in these areas, the KMT was soon plagued by a lack of coordination, rising
military expenses, falling incomes, corruption, inefficiency and unpopularity. Chiang
did not build a mass base of support during the war, although he had received
nationwide cheers for the Second United Front. He continued authoritarian rule. In
1942, the Peoples Political Council was reorganized to reduce non-KMT participation
after it criticized Chiang, making it an empty showcase of democracy. In 1943, Chiang
published Chinas Destiny, exhorting the people to keep firm resistance to Japan
and finish the revolution, and declaring the KMTs commitment to public welfare, but
it neither inspired nor convinced.
The KMT attempted to control the economy from Chongqing. It took over mines and
factories for war production. It took back the land tax from provincial governments
but it had to resort to collection in grain. However, this led to food shortages. Rice
prices increased fivefold from May to November 1940. The KMTs liberal printing of
money and excessive borrowing to finance the war worsened inflation to over 200
percent annually from 1942 to 1945. Landlords used the pretext of taxes and inflation
to raise rents. KMT tax collectors, their wages reduced due to the war, arbitrarily
raised quotas and added illegal charges. There was inadequate production of
consumer goods and black markets.
As the war dragged, there were instances of provincial anti-KMT revolts. In 1942,
60,000 peasants rioted in Gansu against the grain tax, which could amount to as much
as 50% of the harvest (Roberts 2003). Chiang sent quality troops, led by General Hu
SU6-12
CCS101 STUDY UNIT 6
Zongnan () (Figure 6.3), to crush them. From 1942 to 1943 severe drought, poor
harvests and conscription of agricultural labour led to serious decline in productivity,
causing famine in areas like Henan. Yet the KMT continued to tax the population.
Figure 6.3 Hu Zongnan

(Source: Wikimedia Commons. Category: Hu Zongnan.
https://commons.wikimedia.org/wiki/File:Hu_Zongnan.jpg. Accessed 12 July 2015.)
You can read more about the Henan famine here.
Still, the KMT never gained firm control over its territory, people or resources.
Although industries were moved over, Chongqing was not built-up and cosmopolitan
like Shanghai, or even Nanjing. In 1944, the KMT could only marshal three percent of
Chinas GNP to support its government. The Shanxi warlord Yan Xishan, now Vice-
Chairman of the Military Affairs Commission, never visited Chongqing or met with
Chiang. He continued to rule Shanxi independently (Eastman 1984).
The KMTs main prop was its army. Yet Chiang doubted the allegiance of his best
generals. Instead he entrusted command and the best weapons to loyal but not
necessarily able commanders. He denied arms to the provincial armies, whose loyalty
was conditional. KMT officers, poorly trained, bullied their men and confiscated their
food. The men lacked water and medical supplies, many died due to malnutrition and
disease or deserted. Chiang derided his army for being self-preserving, negligent and
indulgent, but did little to reform it (Eastman 1984).
SU6-13
CCS101 STUDY UNIT 6
Today, Japans constant refusal to fully acknowledge and restitute its wartime
atrocities constantly stumbles its relations with China.
1. Watch the Youtube clip, War of Resistance against Japan to find out more about
the Anti-Japanese Resistance War museum in Wanping, Beijing, that
commemorates the Second Sino-Japanese War.
2. Find out more about Chinas and Japans stand today on the war and atrocities
from these articles:
a. Japan-China: PM Abe offers Remorse but no WW2 Apology
b. Japan PM Sends Ritual Offering to Yasukuni Shrine
c. Japans Refusal to Acknowledge its War Guilt and Atrocities
d. What Japanese History Lessons Leave out
The International Response to the War
Up to this point, the Western powers did not stop Japan:

When the war first broke out, there were prevailing isolationist sentiments in
America.6 In the early years, America only offered petty loans to the KMT for
non-military purchases.
Germany soon stopped providing military aid and advice, as Japan had
strengthened ties in the Anti-Comintern Pact of 1936.
Britain had just recovered from the Great Depression and was preoccupied
with appeasing and rearming against Hitler in Germany. Although Japan
illegally blockaded the entire China coast in September 1937 and attacked
British ships on the Yangtze, Britain simply cancelled existing supply
agreements with China, appeasing Japan (Vohra 2000).
Thus initially, it was the Soviet Union that helped China most. It had a long-standing
rivalry with Japan for economic influence in Manchuria, and it aspired to turn China
communist. The Soviet Union loaned China US$50 million, and provided planes and
temporary pilots, albeit inferior ones. Soviet aid was inadequate to save Wuhan in
1938.
6Isolationism refers to Americas then policy of not getting unnecessarily embroiled in international
disputes, which would result in unwanted economic or military commitments.
SU6-14
CCS101 STUDY UNIT 6
In 1939 the Soviet Union agreed with Japan not to interfere in its advance and in April
1941 signed a neutrality treaty with Japan that recognized Manchukuo. It withdrew
its aid from the KMT and did not stop Japan from proclaiming a New Order in East
Asia, although the CCP still received some help. Japan expressed its destiny to liberate,
modernize and prosper China under its leadership. Whether by conviction or pretext,
the New Order saw Japan aggressively pursue its newly self-conferred right to
dominate trade and exploit Chinas economy and infrastructure in the areas it
controlled. In the foreign-concession areas in Tianjin, Japan pressured the Westerners
to abandon the fabi for Japanese currency, curtailing foreign trade and customs
revenues. Japan closed the Yangtze to foreign shipping, depriving Britain of revenue.
The Widening War
In September 1939, World War II broke out when Germany invaded Poland, and
Britain and France declared war on Germany. Japan, despite being frustrated at not
being able to conquer all of China, saw an opportunity to displace the Western
countries from their positions in the Pacific. In July 1940, the Burma Road was closed
by Britain under Japanese pressure. This denied military supplies to China till
September 1940 and again from April 1942. In September 1940, Japan forced France to
close the railway connections to its Indochina colony, to deny aid. International
supplies could only reach China through the Hump, a hazardous, costly aerial route
through the Himalayas.
American Aid
Relentless Japanese aggression in the Pacific eventually provoked America to respond.

In November 1939, America lapsed a 28-year commercial treaty with Japan, hindering
the war. Riding on the influence of Chiangs popular wife Song Meiling, the KMT
stepped up pressure. In mid-1940, Song Ziwen travelled to Washington to secure 100
P-40 fighter planes, the Flying Tigers (Figure 6.4). From 1940 to 1941, America
incrementally embargoed the export of key war materials to Japan, like aviation fuel,
metals and oil.
SU6-15
CCS101 STUDY UNIT 6
Figure 6.4 P-40s at Kunming

(Source: Wikimedia Commons. Category: Flying Tigers.
https://commons.wikimedia.org/wiki/Flying_Tigers#/media/File:Flying_Tiger_P-40_Kunming.jpg.
Still, America did not get directly involved in the war until Japan bombed Pearl
Harbour in December 1941. Then it granted China an accumulated total of US$1
billion in Lend-Lease supplies, and a loan of US$500 million. General Joseph Stilwell,
commander-in-chief of American forces in the China-India-Burma theatre, was tasked
to train the KMT army.7
However, Chiang, whose troops on paper looked powerful but who preferred to
depend on American aerial superiority, consistently dodged the following demands
from Stilwell:
Cooperate to expel Japan from Burma and rebuild an overland supply route
from India, as Chiang only wanted to fight in China.
American training of KMT troops, as this might compromise his officers
loyalty.
Lift the blockade on CCP areas and allow CCP troops to fight jointly with the
KMT, under Stilwells command.
7The China-India-Burma theatre is the Allied term for the combined war front of China, India and
Southeast Asia.
SU6-16
CCS101 STUDY UNIT 6
The impatient and arrogant Stilwell scorned Chiang and the KMT. In 1944 American
President Franklin Roosevelt appeased Chiang, and replaced Stilwell by the more
diplomatic Albert Wedemeyer, who commanded American forces in China, but not
KMT troops.
The Flying Tiger squadrons, under Claire Chennault, helped to stall a Japanese assault
on Changsha in 1942. So Chiang consented to build airfields along Chongqings
eastern border. In June 1944, the same month that the Allies staged the strategic and
consequential D-Day Landing at Normandy in France against Hitler, these new
airfields became bases from which bombers raided Japanese targets in Bangkok and
Kyushu. It looked like while the Soviet Union had declared neutrality in the Pacific
War, China, which continued to hold down Japan, was a valuable partner for the
Allies.
China: A Great Power?
In 1943, Chinas wartime partnership Chiang had become supreme commander in

the China theatre and relentless resistance the KMT bogged down half of Japans
troops in the Pacific and prevented Japan from conquering 1/3 of China moved
Roosevelt to declare it a great power at the Cairo Conference (Vohra 2000).
Although the CCP controlled almost four times the territory Chiang had, Chiang
reserved 400,000 of his best troops to blockade the CCP and his government was
corrupt and authoritarian, Roosevelt announced his vision for China to join America,
Britain and the Soviet Union as the Big Four to police the postwar world. In the Cairo
Declaration, the Allies also proclaimed that Taiwan and Manchuria (they never
recognized Manchukuo) would be returned to China. The humiliations of
Shimonoseki and Mukden appeared to be reversed.8
Japanese aggression, cruelty and exploitation also moved Britain to abolish the
resented extraterritorial privileges, established in the unequal treaties a century ago. 9
Manchuria would be recognized as Chinas. Chiang had demanded this in exchange
for Chinas participation. In 1943, Chiangs Chinas Destiny had blamed all of Chinas
problems on the unequal treaties and advocated the revival of Confucianism. When
the war ended, Chiangs prestige peaked, having won against the odds (Hsu 1999).
Yet China ultimately needed the Allies to defeat Japan. Americas decision to attack
Japan by amphibious island-hopping, rather than from the Chinese mainland,
reduced Chinas importance (Vohra 2000). In 1944, Japan struck back with Operation
Ichigo, which conquered Henan, Changsha and Guangxi, and destroyed elite units
8 See Study Units 2 and 5.

9 See Study Unit 1.
SU6-17
CCS101 STUDY UNIT 6
and the new airfields. American bombing of Japan had to be done from newly
recaptured Pacific islands.
Chinas greatness was privately ridiculed by British Prime Minister Winston

Churchill as a farce. The proclamation was itself part of Roosevelts long-term
calculations to develop a friendly China, penetrable to American exports and
investment (Hsu 1999). But at the Yalta Conference in February 1945, 10 Churchill,
Roosevelt and Stalin, without consulting Chiang, agreed that the Soviet Union would
regain influence in territories lost to Japan in China, including the Kuril Islands, Port
Arthur, and control of the Chinese Eastern and South Manchurian railways in
Manchuria.
Although over half of Japanese troops were tied down in China, Japans defeat only
came with Americas dropping of the atomic bombs on Japan in August 1945 and the
Soviet Unions poise to invade Japan. These intents, like the Yalta agreements, were
not made known to China beforehand.
Thus, although over five million Chinese died and 95 million were displaced from
their homes, China waited for Japans unconditional surrender. It did not achieve it.
Do you agree with Chinas view of its role in World War II in this newspaper article?
Why or why not?
10The Yalta Conference was held in Crimea, Russia. US President Roosevelt, British Prime Minister
Churchill and Stalin made important decisions about the war, in particular Soviet entry into the war
against Japan.
SU6-18
CCS101 STUDY UNIT 6
Chapter 2 The Chinese Civil War
Introduction
After Japan surrendered, the Soviet Union, despite the dissolution of the Comintern
in 1943, continued aiding the CCP, but also signed a treaty of friendship with the KMT
in August 1945. The Soviet Union wanted to tighten its influence in China and prevent
it from being unified and strong.
America, with its traditional goodwill towards China, its Open Door policy and grand
visions during the war, also wanted to influence China to become democratic, pro-
American and open to American trade. It tried to get the KMT and the CCP to form a
democratic multi-party National Assembly. The involvement of the two post-war
superpowers reflected their growing rivalry for proxies in the world as the Cold War
began.11 China became an important proxy in Asia.
However, neither party wanted to share power. The civil war resumed as the KMT
and the CCP competed to take over Manchuria from withdrawing Soviet troops while
American mediation led by General George Marshall was ongoing. The National
Assembly gave the KMT disproportionate powers. The CCP boycotted it.
Initially, with American ships and planes, the KMT gained the upper hand as it
controlled key cities. It advanced into Manchuria as far as Changchun, stretching its
troops and communications. In contrast, the Soviet Union limited the aid and weapons
it gave the CCP.
However, the KMT was eventually outplayed by the CCPs guerrilla tactics in the
Manchurian forests. The tide turned in the CCPs favour. From Manchuria, the CCP,
which procured many weapons left behind by the Japanese, advanced into China. The
Red Army, now expanded and renamed the Peoples Liberation Army (PLA)
(Renminjiefangjun ), defeated the KMT in conventional counteroffensives
and recovered much of north China, including the urban areas.
The KMT military was weak, disunited, incompetent and infiltrated with CCP agents.
In 1949, the navy defected to the CCP and enabled it to cross the Yangtze into south
11The Cold War was a state of tensions and hostility between the two superpowers, America and the
Soviet Union. It began in 1945 after the defeat of Germany and the start of Soviet dominance over
neighbouring Eastern European states broke down their wartime alliance. Instead of direct conflict
between the superpowers, the Cold War involved the competition for allies and mutual intervention in
conflicts in other countries as proxies.
SU6-19
CCS101 STUDY UNIT 6
China. Mao established the PRC in the newly restored capital of Beijing, while the
KMT fled to Taiwan. Foreign intervention had limited impact on the outcome of the
civil war.
Besides CCP military superiority, it was primarily domestic reasons that led to the
KMTs defeat. The KMTs financial mismanagement and corruption led to
hyperinflation and this alienated its support from the urban middle class who, as their
savings were wiped out, turned to communism. The CCP had superior political
leadership. It moderated land reform to widen its rural support. It used propaganda
and infiltration to erode KMT support in the urban areas and the KMT military.
Background to the Civil War
Watch this Youtube clip as an introduction to the Chinese Civil War.
The Breakdown of the Second United Front
Unlike the First United Front, in the Second United Front the CCP retained a territorial
base and political autonomy (Vohra 2000). During the war, its sham was exposed.
Early in the war, Mao instructed CCP cadres to fully use the United Front to expand.
Temporary cooperation with the KMT was to heal battle fatigue, attain parity,
preserve revolutionary strength and infiltrate China (Hsu 1999).
The CCP was deliberately slow to comply with KMT demands to withdraw from
Jiangxi. So the KMT ambushed the CCPs New Fourth Army (Xinsijun ) in the
mountains in January 1941, killing 3,000. This initially 10,000-strong New Fourth
Army had been constituted from the rearguard of the Red Army that had stayed in
Jiangxi to provide cover for the Long Marchers in 1934.
This New Fourth Army Incident (Xinsijunshijian ) became CCP anti-KMT

propaganda fodder. CCP members sang songs condemning Chiang as a murderer.
Following the incident, Chiang imposed an economic blockade on Yanan, and ended
subsidies to the Eighth Route Army, leading to serious shortages.
SU6-20
CCS101 STUDY UNIT 6
After America declared war on Japan, both the KMT and CCP conserved their
resources in anticipation of a renewed post-war civil war. Mao famously told the
cadres that the CCPs policy should be 70 percent expansion, 20 percent dealing with
the KMT, and 10 percent resisting Japan (Hsu 1999).
The CCPs Relations with the US near the End of the War
America repeatedly received corrupt and decadent reports of the KMT but reports of
successful resistance and viable governance from CCP-controlled areas. The journalist
Edgar Snow described CCP cadres not as Communists, but as rural reformers. Then
in April 1944, even as the tide of war looked to turn in Chinas favour, Japan launched
Operation Ichigo. The disastrous effect on the KMTs military allowed the
Communists to operate and mobilize in the KMT areas.
America wanted to use KMT fighting to bog down the Japanese and distract them
from the American advance in the Pacific, to avoid a costly land war against Japan as
far as possible. Thus America explored tapping Communist patriotism and military
effectiveness, to arm and enlist the CCP against Japan. From July to November 1944,
Vice President Henry Wallace, Commander Colonel David Barrett and presidential
envoy General Patrick Hurley visited Yanan the Dixie Mission (Figure 6.5). They
were warmly welcomed by Mao, who fully used the opportunity to impress and to
call for a united coalition government.
The Americans were won by the following aspects of the Communists, which
starkly contrasted with the KMT:
High morale
United
Simple yet disciplined lifestyle
Efficient organization
Humanitarian
The KMT claimed to be democratic but was increasingly authoritarian. However, the
CCP showed the Americans their Three Thirds system, which gave the masses a
semblance of participation in public matters. Local elections for regional councils were
held on the basis of universal franchise, with non-CCP candidates, often elites,
encouraged to run for up to two thirds of the seats. In reality, such councils had little
power, and such elites were purged or rehabilitated during the Rectification
Campaign, but this was not disclosed to the Americans (Kataoka 1974).
SU6-21
CCS101 STUDY UNIT 6
Figure 6.5 Dixie Mission

(Source: Wikimedia Commons. Category: Hu Zongnan.
https://commons.wikimedia.org/wiki/File:Hu_Zongnan.jpg. Accessed 12 July 2015.)
Why do you think Mao welcomed the American visitors?
The KMT Rejects the Five-Point Proposals
America hoped that the Communists could eventually be co-opted into a

democratic government. In November 1944, Hurley, who had no prior
experience in China, worked out the Communist Five-Point Proposals with
Mao, which stipulated:
Unification of all military forces in China
Establishment of a coalition government embracing all anti-Japanese
parties
Equitable distribution of foreign aid (Rice 1972)
However, the KMT ironically rejected the proposals. America had to concede that only
the KMT remained pro-capitalist. In 1945, America upheld the KMT as the legitimate
government, and required that Japan surrender only to the KMT. This reverse became
more propaganda fodder for the CCP.
SU6-22
CCS101 STUDY UNIT 6
The Role of the Soviet Union
The failure to engage the CCP led to Americas appeal for Soviet entry against Japan
at Yalta. In August 1945, the Soviet Union poised to invade Japan. But America
dropped the atom bombs on Japan, removing this need. So the Soviet Union instead
invaded Manchuria to drive out the Japanese and protect its economic interests
promised at Yalta. This benefitted the CCP, since the Soviet Union restricted the KMT
there by manipulatively allowing CCP troops to replace its withdrawing army.
However, the Soviet Union also signed a Treaty of Friendship and Alliance with the
KMT, agreeing to delay withdrawal as the KMT established in Manchuria to prevent
a total CCP takeover, because it:
Preferred a weak and subservient China to a revived, nationalistic one (Fenby

2008). The Soviet Union shared a long border with China and was concerned
about its security.
Disapproved of deviationist Maoism. Mao had gained prestige from the
Long March and the Japanese resistance, which were both achieved with
minimal Soviet help. The Soviet Union wanted to rein in the increasingly
independent Mao, and pre-empt his rise as a rival.
Saw that the KMT was internationally viewed as the legitimate government.
To ensure the Yalta promises materialized, it had to reassure America that it
also supported the KMT.
Still, the Soviet Union recognized that its traditional and ideological ally, the CCP that
it had founded, remained its key means to maintain influence in China. It had to build
up, control, contain and use the CCP. Thus, the Soviet Union allowed the CCP to
confiscate aircraft, tanks and artillery left behind by Japan while helping itself to
Manchurias food and industrial material during the delayed withdrawal. It trained
the CCP army in conventional warfare while encouraging Mao to reconcile with the
KMT. It tried to play both parties against each other. Its duplicity strengthened
conditions for conflict in Manchuria.
What patterns do you see in Russian policy and treatment of China in 1858, and from
1897 to 1947 (See Study Units 1, 3 and 4 too)?
SU6-23
CCS101 STUDY UNIT 6
The Failure of American Mediation
After Japan surrendered, Americas good impression of the CCP and hope for
coexistence lingered. Having shifted from isolationism to global intervention, been
dragged into war, and consistently pressured by China to provide aid, America
believed in its right and wisdom to politically enable China to stabilize postwar East
Asia. Again, Americas stance towards the CCP must also be seen in the context of
renewed suspicion towards the Soviet Union as World War II ended. If America could
strengthen ties with the CCP, it could wean it away from Soviet influence and get it to
peacefully co-exist with the KMT in a democratic, reformed government. Hurley
approached Mao again, this time to attend a conference in Chongqing, on
collaborative governance. The war-weary people were eager for an amicable outcome,
to avert civil war (Hsu 1999). But Mao was discerningly sceptical.
Yet Mao realized that Chiang's army still outnumbered the CCP. He also resented
the Soviet-KMT alliance and wanted to balance it, and preserve some measure of
independence and leverage for the CCP, by working with America. Peace would give
the CCP time to prepare for war. So Mao travelled to Chongqing with Zhou Enlai,
where they called for a National Assembly with KMT and CCP participation, and a
constitution. Mao would adopt flexibility and conciliation, only remaining firm on
important issues (Hsu 1999).
Chiang demonstrated superficial warmth, mindful of American presence and aid, but
he insisted on his exclusive right to disarm both armies although Mao offered to
disarm his army to less than 20% of the KMTs army strength. He also rejected Mao's
proposal to maintain control of local affairs in CCP areas in north China pending
popular local elections. Three months of talks only produced an agreement for a
Political Consultative Council. Hurley also resigned unexpectedly, denouncing
communism for threatening the KMT and American democratic ideals in China.
The Marshall Mission
Given media portrayals of Chiang as a strong anti-Japanese and anti-Communist ruler,

the American public remained unaware of realities in China and a strong pro-KMT
lobby kept up hopeful expectations. America was anxious to confirm this potential
great power as its democratic ally in Asia to contain Soviet expansion and the spread
of communism to East Asia. The importance weighted to China is evident from
Americas dispatch of none other than its chief military adviser and Army Chief of
Staff, the straightforward General George Marshall, to mediate.
SU6-24
CCS101 STUDY UNIT 6
Marshall's prestige, sincerity and the weight of American might he carried meant
that both sides paid lip service to his exhortations for peace (Hsu 1999). However it
was untenable, as:
Chiang wanted the KMT to dominate power. Mao wanted to lead the
coalition.
Chiang wanted the CCP to surrender its troops before establishing a
constitutional government, the CCP vice versa.
Chiang advocated a presidential system that would give him considerable
powers, the CCP wanted a cabinet system with provincial autonomy (given
its bases in the liberated areas) and a strong legislature to check the executive
and President.
Thus, both sides used the negotiations as a cover to prepare for civil war, which began
in the midst of American mediation.
Failure
In January 1946 the Political Consultative Council was formed. Out of 38 members,
eight were from the KMT, and seven from the CCP. The supreme organ of state was
the multi-party 40-member State Council, with both legislative and executive powers.
Also, Marshall arranged for the KMT and CCP armies to merge into a national army
at a ratio of 5:1.
However, in March 1946 the KMT reserved powers for the central government,
perpetuating presidential rule and insisting on veto power in the National Assembly.
Half of the members of the State Council were nominated by the KMT and veto
powers for the CCP and other parties in it were restricted. The CCP boycotted the
council and renamed its combined armies the PLA, effectively declaring an end to the
United Front. The PLA had quietly expanded to nearly three million by then.
In November 1946, the new National Assembly was convened. The CCP boycotted it.
The new constitution gave Chiang powers to appoint the head of the Executive Yuan.
The CCP condemned it as illegal.
Marshall saw that he could not force Chiang to submit. Chiang had rejected American
advice to downsize his army and had advanced into Manchuria. Before withdrawing
with American troops, Marshall imposed an arms embargo on the KMT and blamed
KMT intransigence for his failure. In 1949, America declared that it had done all it
could for China and would do no more. By then, it was investing in the economic
SU6-25
CCS101 STUDY UNIT 6
recovery and political alliance of post-war Japan, who had replaced China as its Asian
ally.12 US$4 billion worth of aid did not achieve a unified, sustainable or friendly China.
In what ways was this situation similar to post-dynastic China under Yuan Shikai?
What does this suggest about multi-party rule in China?
You can read more about American mediation and its failure here.
The Civil War, 1946 1949
The Initial KMT Advantage
At the start, the KMT was in a strong position. KMT troops advanced to retake major
cities and industrial areas as the Japanese departed. In addition to weapons and
supplies, America provided planes and ships to transport 500,000 KMT troops because
it saw the KMT as the legitimate government. The CCP was forced to retreat to the
countryside, where it portrayed the KMT as collaborating with biased American
imperialists. In April 1946, the CCP occupied Changchun in Manchuria. At this time
the KMT army was still double the CCP's, and it had an air force and navy.
But Chiang was not content to consolidate his control over north of the Yangtze and
south of the Great Wall. Chiang wanted to expedite the war while in a superior
position. As the PLA moved into Manchuria, KMT troops also advanced into
Manchuria, which had never been its power base, challenging the CCP at Changchun.
CCP troops, primarily trained in guerrilla warfare, were initially no match for the
KMT in set-piece battles, aided by American planes. This derailed Americas ongoing
mediation further. Marshall forced a ceasefire, but both sides saw him as an obstacle,
not a peacemaker.
12By 1948 the Cold War had begun in Asia, with the division of Korea. To strengthen anti-Communist
leverage in Asia, America heavily intervened in post-war occupied Japan to democratize and
economically revive it as a valuable ally. However, America could not, and would not, take over
administration and economy in China as was the case in Japan.
SU6-26
CCS101 STUDY UNIT 6
In 1931 Chiang had relied futilely on international collective security when Japan
invaded Manchuria. Why do you think he placed so much emphasis on Manchuria in
1946?
The Tide Turns in Favour of the CCP in Manchuria
However, the advance into Manchuria stretched KMTs military and communications.
Stalin also obstructed the KMT from taking over all of Manchuria on the premise of
its agreements with the CCP and to prevent it from becoming too strong in Manchuria.
In 1947 the CCP combined guerrilla tactics suited to Manchurian forests with modern
warfare methods learnt from the Soviet Union to cross the Yellow River, cut off Xian,
and isolate KMT troops. The encircled KMT surrendered Changchun. The PLA
swelled with KMT prisoners and deserters and seized much KMT tanks and weapons.
The KMT lost over 400,000 of its best troops in Manchuria.
Retrieve this JSTOR Article from the SIM Library and read: Harold M. Tanner. 2003.
Guerrilla, mobile and base warfare in Communist military operations in Manchuria.
Journal of Military History 67(4), 117891, 120822.
The CCPs Advance
From 1948, even as the National Assembly expectedly elected Chiang as President, the
CCP, under the capable Lin Biao (Figure 6.6), captured more cities in Manchuria and
launched heavy conventional counteroffensives into China. The CCP took Tianjin,
Shandong, Anhui, Henan and Jiangsu, and advanced towards Beiping. By this time,
PLA troops numbered 800,000.
SU6-27
CCS101 STUDY UNIT 6
Figure 6.6 Lin Biao

(Source: Wikimedia Commons. Category: Lin Biao.
https://commons.wikimedia.org/wiki/%E6%9E%97%E5%BD%AA#/media/File:Lin_Biao_in_NRA_uniform.jpg.
The Surrender of Beiping
In Beiping, the KMT commander Fu Zuoyi () had 500,000 troops. The PLA
conducted heavy artillery shelling and issued an ultimatum to Fu. In January 1949, Fu
surrendered. Chiang resigned and handed over the Presidency to Li Zongren, though
he continued to head the KMT. As CCP troops victoriously entered Beiping (Figure
6.7), the KMT transferred its capital to Guangzhou.
SU6-28
CCS101 STUDY UNIT 6
Figure 6.7 The Liberation of Beiping and the entry of the PLA
(Source: Wikimedia Commons. Category: Beiping-Tianjin campaign.
https://commons.wikimedia.org/wiki/Category:BeipingTianjin_Campaign#/media/File:%E5%8C%97%E5%B9
%B3%E5%92%8C%E5%B9%B3%E8%A7%A3%E6%94%BE%E4%B9%8B%E8%A5%BF%E5%9B%9B
%E7%89%8C%E6%A5%BC.jpg. Accessed 12 July 2015.)
The Defection of the KMT Navy
This left the KMT in possession of south China. The CCP had no navy or air force to
cross the Yangtze. They ignored Soviet advice to stop.
However, in April 1949, the navy defected to the CCP and allowed them to cross the
Yangtze and overrun Nanjing. Shanghai and Wuhan fell in May, and Guangzhou in
October, as Li Zongren failed to enlist American help.
The CCP Wins the War
In September 1949, a newly formed Political Consultative Conference drafted the

constitution for a new China. It elected Mao as chairman of the central government.
The old imperial name, Beijing, was restored and it became the capital again.
On 1 October 1949, Mao ascended the summit of the Forbidden City and proclaimed
the birth of the PRC (Figure 6.8 shows the flag). He signaled the end of the period since
the Opium Wars that China calls the era of humiliation (Elleman and Paine 2010).
SU6-29
CCS101 STUDY UNIT 6
Figure 6.8 Flag of the PRC

(Source: Wikimedia Commons. Category: Peoples Republic of China.
https://commons.wikimedia.org/wiki/File:Flag_of_the_People%27s_Republic_of_China.svg.
You can read Maos Opening address at the First Plenary Session of the Chinese
People's Political Consultative Conference here.
In December 1949, Chiang flew to Taiwan with as many KMT troops as he could
manage, as well as much of Chinas assets and historical treasures. Taiwans coast was
easy to defend given the KMTs naval and air superiority. The CCP was not
established there. The KMT formed a government there, with Chiang as its first
president.
Reasons for the Communist Victory
Table 6.1 below compares various overlapping aspects of the KMT and the CCP that
contributed to the CCPs ability to defeat the KMT by 1949:
SU6-30
CCS101 STUDY UNIT 6
Table 6.1 Comparative Analysis of Reasons for the CCPs Victory over the KMT
in the Chinese Civil War from 1946 to 1949
KMT CCP
Leadership Chiang dominated power, but he While Mao focused on ideological
& spent almost all his time on military vision and inspirational leadership,
Governance issues. His government found it his able deputy Zhou Enlai took care
difficult to consult him. of civil administration and
negotiations. Strong cohesion at the
Yet Chiang made consequential top was a product of charismatic
tactical errors (Eastman 1984). Over- leadership, identification with Mao as
confident and arrogant, the KMT overall leader, and united purpose.
sent many troops to Manchuria This prevented defections and
though it was mountainous, forested betrayals, and maintained good
and strategically unimportant. communication and consensus.
After the war, KMT officials During the war, the CCP maintained
monopolized enemy properties. social respect as leaders and cadres
Japanese collaborators escaped did not flaunt wealth but lived
punishment by financing the KMT. frugally. They practised what they
Chiangs associates and family were preached, a major Confucian motif
implicated in major scandals. (Fairbank and Goldman 2006). The
CCP strictly prohibited opium
As they had done during the war, consumption and trade in their bases.
the KMT operated on a soaring Inflation was controlled through the
deficit and liberally printed notes to new peoples currency (renminbi
fund the civil war. Prices increased ).
30 percent per month from 1945 to
1948, wiping out savings, impeding Propaganda leaflets emphasized the
trade, increasing unemployment, harsh life under the KMT. But the
and undermining social order. To CCP portrayed itself as the defender
worsen matters, the KMT forced of China. It infiltrated many unions
people to convert Japanese currency and helped organize strikes.
Businesses and schools were allowed
back to the fabi at an exorbitant 200:1.
to continue running normally.
An attempt to impose price controls Refugees were fed.
failed through non-compliance,
hoarding and a thriving black
market. Urban workers protested
and exacerbated the economic
debacle by redoing what they learnt
in the 1920s: strikes and boycotts.
They were joined by throngs of
disillusioned students.
SU6-31
CCS101 STUDY UNIT 6
Popular During the war, respect for KMT In areas impoverished by natural
Support leadership was undermined by disasters and Japans three alls
Wang Jingweis collaborationist campaign, the CCPs land reform was
government. enthusiastically welcomed,
something which the KMT tried to
In 1938, Chiang had breached the evade and minimize. The CCP
Yellow River dykes to stop the infiltrated communities where the old
Japanese advance. This altered the social order, once bonded by lineage
rivers course, led to constant and clanship, was eroding.
flooding in the 1940s, and killed
800,000 and rendered millions In north China however, the CCP
homeless. In 1948, while retreating, soon moderated its land reform,
the KMT incredibly built dykes to recalling how this had maintained the
return the Yellow River to its support of the richer peasants in the
original course to stop the CCP 1930s. This minimized fodder for the
advance. This naturally led to KMT.
flooding again, causing widespread
suffering and hatred. In the cities, the CCP tried to stem
inflation. It stockpiled food to
When the war ended, many Chinese stabilize prices. Commodity units
expected the economy to improve, were formed to encourage saving, tied
and turned against the KMT in the to prevailing food prices.
face of financial mismanagement
and continued hardship. This The CCP detached urban support
overrode the prestige the KMT got from the KMT by forming an
from enlisting foreign support and underground party ( to
respect, removing extraterritoriality develop and tap on networks and
and winning the war. fraternities, and to infiltrate KMT
organizations. Students, who became
In the rural areas, the KMTs elite increasingly critical of the KMT, were
power base resisted land reform a key group exploited to gain
promulgated during the Nanjing intelligence and new recruits, of
Decade. The KMT gained very little which one was Xiong Xianghui (
support there. ), a trusted secretary of KMT
general Hu Zongnan, gave the CCP
In Manchuria, the KMT put many intelligence of plans to capture Yanan
non-Manchurians in official in 1947. Although Hu succeeded,
positions. Their alien accent put off Xiongs information gifted Mao two
the locals. Worse, they abused their weeks to evacuate Yanan with
powers and subjugated the locals. valuable equipment (Westad 2003).
Zhang Xueliang, the Manchurian
warlord who had sacrificed his
SU6-32
CCS101 STUDY UNIT 6
freedom and risked his life to create

the Second United Front, remained
under house arrest. Chiangs troops
in Manchuria, his best, also came
from other parts of China. Thus, the
KMT failed to establish legitimacy
there.
Foreign The KMT tried to entangle China in Japan left behind tanks and artillery to
Involvement the Cold War framework by allying fight conventional battles against the
with America against the CCP and KMT that could not be conjured from
portraying the civil war as an anti- rural China. The Soviet Union did not
Communist struggle. Originally, the stop the CCP from procuring them.
KMT had access to the bulk of
American loans and weapons. The Soviet Union provided vital
American planes and ships training in conventional warfare and
transported KMT troops to take over the use of these weapons like tanks,
key cities. However, American aid although it limited the actual amount
was withdrawn after the Marshall of aid given to the CCP.
mediation failed and Chiang refused
to reform. However, Mao was shrewd enough
not to be beholden to the Soviet
The Chinese masses blamed the Union. In 1949, Stalin discouraged
KMT for its dependence on America, him from crossing the Yangtze to
whose aid against the Japanese was prevent the CCP from taking over all
soon forgotten. The presence of of China. However, Mao boldly
foreign soldiers on Chinese soil ignored this instruction.
reminded them of the past foreign
encroachment and oppression,
especially when American soldiers
raped a tertiary student in Beijing in
1946 leading to widespread protests
and the withdrawal of American
forces.
Chiang forfeited Soviet aid. Stalin,

despite his official support for the
CCP, had signed an alliance with the
KMT. But Chiangs nationalist pride
caused him to refuse talks on
economic and political cooperation.
SU6-33
CCS101 STUDY UNIT 6
Military On paper, the KMT army Military affairs were handled by

outnumbered the PLA. It received experienced generals like Lin Biao,
the bulk of KMT funds and initially Zhu De and Chen Yi.
enjoyed American military aid. The
KMT also had a navy and air force. The PLA core was toughened by the
Long March and the Second Sino-
In reality, the KMT military was Japanese War. The war had allowed
tired, poorly paid, corrupt and the PLA to expand to three million,
inefficient. It was superficially held refine guerrilla tactics which
together by nationalism and foreign effectively countered KMT
support. Once the Japanese and superiority, and develop experience
America left, inherent divisions and in conventional offensives.
problems resurfaced. The KMT
army was swelled by regional The CCP was fired up to avenge KMT
armies loyal to their warlords. The betrayal, relentless assaults, and
warlords shared KMT aspirations Japanese collaboration, plus the
for liberation, but not Chiangs conviction that the civil war was part
centralization of power. They had of class struggle and national
varying and shifting degrees of reunification.
loyalty to Chiang. When Marshall
was in China, Chiang missed the In battle, the CCP used surprise
opportunity to leverage on strikes before launching large-scale
American pressure to unify the assaults, which were more effective
military as it necessitated than the KMTs predictable frontal
downsizing it. In 1947, when Chiang attacks. The CCP allowed its field
belatedly tried to eliminate warlord commanders to adapt to battle
remnants and personal armies, circumstances.
many de-commissioned officers
defected to the CCP. CCP troops were promoted on the
basis of fighting merit, while
KMT commanders were retained for indoctrination and party credibility
allegiance to Chiang although they took care of allegiances.
often lacked training and were
jealous rivals. The men mostly came The CCP were mobile in warfare.
from the illiterate lower-class, were They used sleds, horses and
coerced into joining so that sons of camouflage effectively. They had
the local elites could avoid civilian support for intelligence and
conscription, and were ill- reconnaissance. If troops ran out of
disciplined and cowardly. They food, they had a good relationship
lacked mobility, yet often had to with the peasants and could eat with
fight to the death, since the military them. Wounded soldiers were
command lacked the authority to act transported back by peasants to base
for treatment.
SU6-34
CCS101 STUDY UNIT 6
independently or adapt plans, and The CCP incorporated defectors into

lacked knowledge of precise battle its military with higher pay and
conditions (Eastman 1984). Not promotions. In 1948, before the
surprisingly, many deserted. In any Huaihai Campaign, two entire KMT
case, Chiangs obstinate refusal to divisions defected to the CCP. In 1949
accept surrender or order relief or the navy followed.
retreat when defeat was inevitable
only caused scores of troops to
defect to the CCP. Chiang blamed
the militarys plight on spiritual
shortcomings rather than flawed
policies or corruption (Eastman
1984).
The KMT was also infiltrated with

CCP spies and sympathizers like
Xiong Xianghui. CCP agents also
stole Fu Zuoyis defence blueprints,
and his daughter Fu Dongju (
), a CCP sympathizer, coaxed him
to surrender.
You can read this account by an American frontline war correspondent, on how KMT
forces were persuaded to join the CCP: How Guomindang forces were persuaded to
join the Communists here.
Chinese Fight Chinese

SU6-35
CCS101 STUDY UNIT 6
Date Event
1937 Lugou Bridge Incident and start of second Sino-Japanese War
KMT flees Nanjing
Nanjing Massacre
1938 KMT breaches Yellow River dikes to impede Japans advance, leading to
severe flooding
KMT sets up government in Chongqing
Japan proclaims New Order in East Asia
1939 Chiang appointed Chairman of Supreme National Defence Council
WWII begins
1940 Mao Zedong publishes On New Democracy
Britain closes Burma Road
100 Regiments offensive
France closes Indo-china supply route
1941 New Fourth Army Incident
Soviet-Japanese neutrality pact signed
Japan bombs Pearl Harbour
SU6-36
CCS101 STUDY UNIT 6
1942 Mao launches Rectification Campaign in Yanan

Stilwell becomes Chief-of-Staff of the China-India-Burma theatre
1943 US and Britain abolish their extraterritorial privileges in China
Cairo Conference and Declaration
1944 Japan stages Operation Ichigo
Dixie Mission, culminating in Hurleys Five-Point Proposals
Stilwell replaced by Wedemeyer
1945 Yalta Conference
US drops atomic bombs on Japan.
SU declares war on Japan.
Emperor Hirohito announces Japans unconditional surrender
SU signs Treaty of Friendship and Alliance with KMT
Soviet troops advance into Manchuria
Mao flies to Chongqing to negotiate with the KMT
Hurley resigns
1945 Marshall Mission
46
1946 Political Consultative Council formed
CCP forces renamed Peoples Liberation Army
KMT starts civil war by launching attacks in Jiangsu and Anhui, enters
Manchuria
National Assembly convened
Large-scale student protests over Beijing student raped by American
troops
1947 America places temporary arms embargo on the KMT
CCP launches offensives in Manchuria, Shanxi and Shandong
1947 CCP advances and wins battles in China
1948
1949 Chiang retires, Beijing surrenders to the CCP
CCP conquers Nanjing, Wuhan and Shanghai
Mao proclaims the formation of the PRC
Chiang flees to Taiwan
SU6-37
CCS101 STUDY UNIT 6
References
Chang, Iris. 1997. The Rape of Nanking. New York: Penguin Books.
Dillon, Michael. 2012. China: A Modern History. New York: I. B. Tauris.
Eastman, Lloyd. 1984. Seeds of Destruction. California: Stanford University Press.
Elleman, Bruce A. & S. C. M. Paine. 2010. China: Continuity and Change 1644 to the
Fairbank, John King & Merle Goldman. 2006. China: A New History. Massachusetts:
Fenby, Jonathan. 2008. The Penguin History of Modern China: The Fall and Rise of a
Great Power. London: Penguin Books.
Kataoka, Tetsuya. 1974. Resistance and Revolution in China: The Communists and the
Second United Front. California: University of California Press.
Lawrance, Alan. 2004. China since 1919 Revolution and Reform: A Sourcebook.
London, Routledge.
https://books.google.com.sg/books/about/China_Since_1919.html?id=JWc9Ia7
TcaMC&hl=en. Accessed 12 July 2015.
Moise, Edwin E. 2008. Modern China. Edinburgh: Pearson Education.
Rice, Edward E. 1972. Maos Way. California: University of California Press.

Publishing.
Westad, Odd Arne. 2003. Decisive Encounters: The Chinese Civil War. California:
Stanford University Press.
Zarrow, Peter. 2005. China in War and Revolution. London: Routledge.
SU6-38

CCS101 StudyGuide

Загружено:

Сведения о документе

Оригинальное название

Авторское право

Доступные форматы

Поделиться этим документом

Поделиться или встроить документ

Параметры публикации

Этот документ был вам полезен?

Это неприемлемый материал?

Авторское право:

Доступные форматы

CCS101 StudyGuide

Загружено:

Авторское право:

Доступные форматы

CCS101

THE MAKING OF MODERN

STUDY GUIDE (5CU)

Head of Programme : Dr Yew Chiew Ping

Course Developer : Mr Eugene Lai

Production : Educational Technology & Production Team

2017 SIM University. All rights reserved.

No part of this material may be reproduced in any form or by any means

Educational Technology & Production

2. Course Description and Aims .........................................................................1

3. Learning Outcomes .......................................................................................... 3

4. Learning Material ............................................................................................. 3

5. Assessment Overview ...................................................................................... 4

6. Course Schedule ................................................................................................ 5

7. Learning Mode ..................................................................................................5

THE QING DYNASTY IN DISTRESS

Learning Outcomes ......................................................................................... SU1-1

Overview ........................................................................................................... SU1-1

Chapter 1 Introduction to Modern Chinese History .................................. SU1-2

Chapter 3 Internal Rebellions in the 1850s and 1860s .............................. SU1-24

Chronological Summary ............................................................................... SU1-34

References ....................................................................................................... SU1-36

THE QING TRIES TO SAVE ITSELF

Learning Outcomes ......................................................................................... SU2-1

Overview ........................................................................................................... SU2-1

Chapter 2 The Self-Strengthening Movement ............................................. SU2-9

Chapter 3 Qing Reforms in the 20th Century ............................................. SU2-23

Chronological Summary ............................................................................... SU2-32

References ....................................................................................................... SU2-34

NATIONALISM AND REVOLUTION, 1895 - 1912

Learning Outcomes ......................................................................................... SU3-1

Overview ........................................................................................................... SU3-1

Chapter 1 The 100 Days Reforms .................................................................. SU3-2

Chapter 2 The Boxer Rebellion .................................................................... SU3-12

Chapter 3 The Xinhai Revolution of 1911 .................................................. SU3-20

Chronological Summary ............................................................................... SU3-34

References ....................................................................................................... SU3-36

CHAOS AND UNIFICATION, 1912 - 1928

Learning Outcomes ......................................................................................... SU4-1

Overview ........................................................................................................... SU4-1

Chapter 1 China under Yuan Shikai and Warlordism .............................. SU4-2

Chronological Summary ............................................................................... SU4-35

THE NANJING DECADE, 1927-1937

Learning Outcomes ......................................................................................... SU5-1

Overview ........................................................................................................... SU5-1

Chapter 1 KMT Performance during the Nanjing Decade ........................ SU5-2

Chapter 2 The CCP during the Nanjing Decade ....................................... SU5-20

Chronological Summary ............................................................................... SU5-33

References ....................................................................................................... SU5-35

CHINA AT WAR, 1937 - 1949

Learning Outcomes ......................................................................................... SU6-1

Overview ........................................................................................................... SU6-1

Chapter 1 The Second Sino-Japanese War, 1937 - 1945 .............................. SU6-2

Chapter 2 The Chinese Civil War ................................................................ SU6-19

Summary ......................................................................................................... SU6-36

References ....................................................................................................... SU6-38

(Access video via iStudyGuide)

2. Course Description and Aims

This course is a 5-credit unit course presented over 6 weeks.

Study Unit 1 The Qing Dynasty in Distress

Study Unit 2 The Qing Tries to Save Itself

Study Unit 3 Nationalism and Revolution, 1895 1912

This study unit investigates the manifestation of national consciousness in China, in