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Politics in China
Politics in China
An Introduction

THIRD EDITION

Edited By William A. Joseph

1
1
Oxford University Press is a department of the University of Oxford. It furthers
the University’s objective of excellence in research, scholarship, and education
by publishing worldwide. Oxford is a registered trade mark of Oxford University
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Published in the United States of America by Oxford University Press

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© Oxford University Press 2019

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 To my Sino-​Mentors,
John Wilson Lewis (1930–​2017) and Harry Harding
子曰、 學而時習之、不亦說乎
The Master said, “To learn something, and then to put it into practice at
the right time: is this not a joy?”
Confucius, The Analects, Chapter 1, Verse 1
Translated by Simon Leys, Norton, 1997
Contents

List of Illustrations ix
Acknowledgments xi
List of Contributors xiii
List of Abbreviations xix

INT R O D U C T IO N

1 Studying Chinese Politics 3

(William A. Joseph)

PART I PO L IT ICAL H I S T O RY

2 From Empire to People’s Republic 45

(R. Keith Schoppa)

3 Mao Zedong in Power (1949–​1976) 76

(Frederick C. Teiwes)

4 Deng Xiaoping and His Successors (1976 to the Present) 124

(Bruce Gilley)

PART II ID EO L O GY, GO V E R NANCE , AND P O LI TI CAL E CO NO MY

5 Ideology and China’s Political Development 157

(William A. Joseph)

6 China’s Communist Party-​State: The Structure and Dynamics of Power 201

(Cheng Li)
viii Co n t e n t s

7 China’s Legal System 237

(Jacques deLisle)

8 China’s Political Economy 274

(David Zweig)

PA RT III P O L I T I CS AND P O L I CY IN ACTI O N

9 Rural China: Reform and Resistance 317

(John James Kennedy)

10 Urban China: Changes and Challenges 347

(William Hurst and Christian Sorace)

11 Policy Case Study: The Arts 371

(Richard Curt Kraus)

12 Policy Case Study: The Environment 383

(Katherine Morton and Fengshi Wu)

13 Policy Case Study: Public Health 399

(Joan Kaufman)

14 Policy Case Study: Population Policy 418

(Tyrene White)

15 Policy Case Study: Internet Politics 440

(Guobin Yang)

PA RT IV P O L I T I CS O N CH I NA’S P E RI P H E RY

16 Tibet 457
(Robert Barnett)

17 Xinjiang 487
(Gardner Bovingdon)

18 Hong Kong 517

(Sonny Shiu-​Hing Lo)

19 Taiwan 538
(Shelley Rigger)

Timeline of Modern Chinese Political History 555

Glossary 561
Index 597
Illustrations

MAPS

Map 0.1 China xxi

Map 1.1 China’s Major Regions 7
Map 16.1 Tibet Autonomous Region and Tibetan Plateau 459
Map 17.1 Xinjiang Uyghur Autonomous Region 490
Map 18.1 Hong Kong 519
Map 19.1 Taiwan 541

FIGURES AND TABLES

Figure 1.1 China’s Economic Growth 1980–​2017 4

Figure 1.2 Administrative Divisions of the People’s Republic of China 9
Figure 1.3 Major Periods in Chinese History from Imperial Times to
the Present 13
Table 1.1 China’s Economic Development in Comparative Perspective 17
Table 3.1 Top Leaders of China from 1949 to 1976 80
Table 4.1 Top Leaders of China since 1976 127
Figure 6.1 Organization of the Chinese Communist Party 205
Table 6.1 CCP Politburo Standing Committee (elected October 2017) 206
Figure 6.2 Organization of the People’s Republic of China 211
Figure 6.3 CCP Membership (1949–​2017) 215
Figure 6.4 Occupations of CCP Members (2016) 216
Figure 6.5 Politburo Members with Provincial Experience 219
Figure 6.6 Membership Turnover of Top CCP Organizations 19th Party
Congress (October 2017) 230
Figure 8.1 China’s GDP by Sector of the Economy (1976–​2017) 283
x Ill u s t rat i on s

Figure 8.2 China’s Annual Growth Rates of Agriculture and Industry

(1978–​2017) 286
Figure 8.3 China’s Foreign Trade (1980–​2017) 294
Figure 8.4 China’s Imports and Exports as a Percent of GDP (1976–​2017) 294
Figure 8.5 China’s “Going Out” Strategy (2002–​2017) 298
Figure 8.6 China’s Rural-​Urban Income Gap (1978–​2017) 303
Table 8.1 Appendix: Selected Indicators of China’s Global Integration
(1978–​2016) 306
Figure 9.1 Party/​Government Officials and Administrative Divisions Below
the Provincial Level 320
Figure 9.2 Selection of Village Cadres and Town Officials 325
Figure 10.1 Urban Disposable Income per capita and Employment in
State-​Owned Enterprises (1990–​2016) 353
Figure 12.1 Carbon Dioxide Emissions (1980–​2050) 387
Figure 12.2 Carbon Dioxide Emissions per capita (1980–​2016) 387
Table 13.1 China’s Health (ca. 1950–​2016) 401
Figure 13.1 Sources of HIV/​AIDS Transmission in China (1985–​2014) 410
Figure 13.2 New Cases of HIV/​AIDS in China (2005–​2015) 411
Figure 14.1 China’s Population (1960–​2017) 420
Figure 14.2 China Total Fertility Rate in Comparative Perspective 423
Figure 14.3 Age Composition of China’s Population (1982-​2100) 434
Figure 15.1 The Growth of the Internet in China (2002–​2017) 441
Figure 19.1 Taiwan’s Economic Growth by Decade 544
Table 19.1 Survey on “Taiwan Public’s Views on Current Cross-​Strait
Relations” (2017) 547
Acknowledgments

In the most immediate sense, this project began when Oxford University Press invited
me to submit a proposal for an introductory textbook on Chinese politics about ten
years ago. But its true origins go back to the summer of 1966, when I took my first col-
lege course on China in summer school at the University of California, Berkeley. My
academic interest in China had been piqued during my freshman year at Cornell by
events unfolding in Beijing (we called it “Peking” then) as the Red Guards—​university
students like myself—​were challenging professors about their political views and
methods of education during the very early stages of China’s Great Proletarian
Cultural Revolution. It was a tumultuous time on American campuses (Cornell and
Berkeley were epicenters) and also on European college campuses, and the youthful
rebellion against authority in China seemed to many young people to be part of a
global generational movement.
The news from the People’s Republic of China (we called it “Communist China”
or “Red China” then) reaching Western audiences in the mid-​1960s was, at best,
piecemeal and sketchy because of Cold War hostilities and the PRC’s self-​imposed
isolation from much of the world. It would be quite a few years before the terrible
destructiveness of the Cultural Revolution and the atrocities committed by the Red
Guards would become widely known and well-​documented.
By then, I was immersed in Chinese Studies. I had been intellectually captivated
by that summer-​school course, taken at Berkeley, with the incomparable Benjamin
I. Schwartz of Harvard. When I returned to Cornell for my sophomore year in the
fall semester of 1966, I took the plunge into learning Chinese. I also began my study
of Chinese politics with Professor John Wilson Lewis. What an extraordinary time
that was to be learning—​and teaching—​about Chinese politics! I still vividly recall
Professor Lewis’s lecture on why the philosophical debate that had raged a few years
before in China over whether “one divides into two” or “two unites into one” was
crucial to understanding Chairman Mao Zedong’s ideological motives for launching
the Cultural Revolution. John became my undergraduate advisor, and I was very
fortunate to be able to continue my study of Chinese politics with him at Stanford,
where I completed an MA in East Asian Studies and a PhD in political science. I also
xii Ac k n o w l e d g m e n t s

benefited enormously in my training at Stanford as a China Watcher, political scien-

tist, and teacher from the guidance and inspiration provided by Harry Harding. I ded-
icate this book with deepest gratitude to my academic mentors, John Wilson Lewis
(1930-​2017) and Harry Harding.
At Oxford University Press, I am much indebted to David McBride, editor-​in-​chief
for the Social Sciences, and Emily Mackenzie, associate editor, for their support and
encouragement during the many stages of this book from conception to publication.
Jeremy Toynbee, project manager at Newgen, did a terrific job of sheparding this edi-
tion through the production process.
The contributors are what make this book unique. Each is a broadly trained China
scholar and practitioner of her or his discipline (mostly political science); but each is
also a specialist in the study of the particular subject of the chapter of which he or she
is the author or co-​author. It has been a pleasure and an honor to work closely with
them, and I want to thank them for being part of this project. I learned a great deal
from them, as I have from so many other colleagues in the China field.
The contributors and I are very grateful to the following China scholars for their
valuable comments on the chapters in this and earlier editions of this book: Marc
Belcher, Edward Friedman, Thomas B. Gold, Merle Goldman, J. Megan Greene, David
M. Lampton, Kenneth Lieberthal, Barrett McCormick, Kevin J. O’Brien, Margaret
Pearson, Benjamin Read, Michael Sheng, Wenfang Tang, and several anonymous
reviewers.
Wellesley College, my home institution for four decades, sits on the shores of
Lake Waban—​which the beloved Chinese writer and Wellesley alumna (MA, 1923),
Bingxin, affectionately called “Weibing Hu” 慰冰湖 —​“The lake that comforts Bing.”
For me, the college has been a beautiful and supportive academic setting in which to
ponder and teach about the ever fascinating subject of Chinese politics.
As editor, I assume full responsibility for any and all errors. I invite readers to send
comments and corrections directly to me at wjoseph@wellesley.edu.

William A. Joseph
Wellesley, MA
May 2019
Contributors

Robert Barnett is based at Pembroke College, Cambridge, and is an Affiliate

Researcher at King’s College, London. He founded the Modern Tibetan Studies
Program at Columbia University in New York, directed the program from 1999 to 2018,
and has taught at Columbia, Princeton, INALCO (Paris), and IACER (Kathmandu).
He ran an independent research project on contemporary Tibet in London from 1987
to 1998. His books and edited volumes include Conflicting Memories, with Benno
Weiner and Françoise Robin (2019); Tibetan Modernities: Notes from the Field,
with Ronald Schwartz (2008); Lhasa: Streets with Memories (2006). His writing
includes studies of Tibetan politics, cinema, television, religious regulations, social
management, women politicians, and contemporary exorcism rituals. He runs a
number of training programs in Tibet on ecotourism, small business skills, and is a
frequent commentator on Tibet and nationality issues in China for the media.
Gardner Bovingdon is associate professor in the Departments of Central Eurasian
Studies and International Studies, and adjunct associate professor of Political Science
at Indiana University. A specialist on nationalism, identity politics, and historiography
with a geographical focus on Central Asia, he has published a number of journal
articles and book chapters on these topics. His book, The Uyghurs: Strangers in Their
Own Land, was published in 2010.
Jacques deLisle is the Stephen A. Cozen Professor of Law and professor of political
science at the University of Pennsylvania, where he also serves as the director of
the Center for East Asian Studies and deputy director of the Center for the Study of
Contemporary China. He is the director of the Asia Program at the Foreign Policy
Research Institute. His scholarship, which has appeared in many international affairs
journals and law reviews, focuses on domestic legal and legal-​institutional reform, the
relationship of legal development to economic and political change, and the roles of
law in addressing crises in China; the PRC’s engagement with the international legal
order; and Taiwan’s international status and cross-​Strait relations. He is the coeditor
of China's Global Engagement: Cooperation, Competition, and Influence in the 21st
xiv C o n t ri b u to r s

Century (2017), The Internet, Social Media, and a Changing China (2017), and China’s
Challenges: The Road Ahead (2014).
Bruce Gilley is professor of political science in the Mark O. Hatfield School of
Government at Portland State University. His research centers on the comparative
and international politics of China and Asia as well as the comparative politics
of democracy and political legitimacy. He is the author of China’s Democratic
Future (2004) and The Right to Rule: How States Win and Lose Legitimacy (2009).
William Hurst is associate professor of political science at Northwestern
University. He is the author of The Chinese Worker after Socialism (2009) and Ruling
Before the Law: The Politics of Legal Regimes in China and Indonesia (2018), as well
as coeditor of Laid-​off Workers in a Workers’ State: Unemployment with Chinese
Characteristics (2009) and Local Governance Innovation in China: Experimentation,
Diffusion, and Defiance (2015). His ongoing research focuses on the political economy
of land and development in Mainland China, Indonesia, Malaysia, and Taiwan.
William A. Joseph is professor of political science at Wellesley College and
an associate in research of the John King Fairbank Center for Chinese Studies at
Harvard University. He is the author of The Critique of Ultra-​Leftism in China (1984)
and editor or coeditor of New Perspectives on the Cultural Revolution (1991), China
Briefing (1991, 1992, 1994, 1997), The Oxford Companion to Politics of the World (2nd
ed., 2001), Introduction to Comparative Politics: Political Challenges and Changing
Agendas (8th ed., 2018).
Joan Kaufman is the senior director for academic programs at the Schwarzman
Scholars Program, Lecturer on Global Health and Social Medicine at Harvard Medical
School, and a member of the Council on Foreign Relations. She was previously the
director of Columbia University’s Global Center for East Asia, based in Beijing, and
associate professor at Columbia University’s Mailman School of Public Health,
distinguished scientist at the Heller School for Social Policy and Management, Brandeis
University, founder and director of the AIDS Public Policy Program at Harvard’s
Kennedy School of Government, and China team leader for the International AIDS
Vaccine Initiative. She has lived and worked in China for more than fifteen years
for the Ford Foundation and the UN, was a Radcliffe Fellow at Harvard, and a Soros
Reproductive Health and Rights fellow. Dr. Kaufman teaches, works, and writes on
AIDS, gender, international health, infectious diseases, reproductive health, health
sector reform, and health governance issues with a focus on China
John James Kennedy is professor of political science and director of the Center
for East Asian Studies at the University of Kansas. His research focuses on rural,
social, and political development including village elections, tax reform, family
planning, and rural education. He frequently returns to China to conduct fieldwork
and collaborate with Chinese colleagues in Northwest China. Prof. Kennedy is the
co-​author (with Yaojiang Shi) of Lost and Found: the 'Missing Girls" in Rural China
(2019). He has also published a number of book chapters as well as articles in journals
such as Asian Survey, China Quarterly, Journal of Peasant Studies, Journal of Chinese
 Contributors xv

Political Science, Journal of Contemporary China, Asian Politics and Policy, and
Political Studies.
Richard Curt Kraus is professor emeritus of political science, University of
Oregon. He is the author of Class Conflict in Chinese Socialism (1981), Pianos and
Politics in China (1989), Brushes with Power: Modern Politics and the Chinese Art of
Calligraphy (1991), The Party and the Arty (2004), The Cultural Revolution: A Very
Short Introduction (2012), and coeditor of Urban Spaces: Autonomy and Community
in Contemporary China (1995).
Cheng Li is director and senior fellow at the Brookings Institution’s John L. Thornton
China Center. Dr. Li is the author/​editor of numerous books, including Rediscovering
China: Dynamics and Dilemmas of Reform (1997), China’s Leaders: The New
Generation (2001), Bridging Minds Across the Pacific: The Sino-​ US Educational
Exchange (2005), China’s Changing Political Landscape: Prospects for Democracy
(2008), China’s Emerging Middle Class: Beyond Economic Transformation (2010),
China’s Political Development: Chinese and American Perspectives (2014), Chinese
Politics in the Xi Jinping Era: Reassessing Collective Leadership (2016), and The Power
of Ideas: The Rising Influence of Thinkers and Think Tanks in China (2017). He is the
principal editor of the Thornton Center Chinese Thinkers Series published by the
Brookings Institution Press.
Sonny Shiu-​Hing Lo is professor and deputy director (Arts and Sciences) in the
School of Professional and Continuing Education at the University of Hong Kong.
His new books include China’s New United Front Work in Hong Kong (forthcoming,
with Steven Hung and Jeff Loo), Interest Groups and the New Democracy Movement
in Hong Kong (2018), and The Politics of Controlling Organized Crime in Greater
China (2016).
Katherine Morton is the chair and professor of China’s International Relations
at the University of Sheffield. Her research addresses the domestic and international
motivations behind China’s changing role in the world and the implications for foreign
policy and the study of International Relations. Prior to her appointment at the
University of Sheffield she was the associate dean for research at the College of Asia
and the Pacific, Australian National University, and a Senior Fellow in the Department
of International Relations. She has published widely on the environment and climate
change, global governance, transnational security, food security, maritime security,
and the South China Sea. Her current book project examines the likely impacts of
China’s rising international status upon the evolving system of global governance.
Shelley Rigger is Brown Professor of East Asian Politics at Davidson College.
She has been a visiting researcher at National Chengchi University in Taiwan and a
visiting professor at Fudan University in Shanghai. She is the author of three books
on Taiwan: Politics in Taiwan: Voting for Democracy (1999),From Opposition to
Power: Taiwan’s Democratic Progressive Party (2001); and Why Taiwan Matters: Small
Island, Global Powerhouse (2011) as well as articles on Taiwan’s domestic politics, the
national identity issue in Taiwan-​China relations and related topics.
xvi C o n t ri b u to r s

R. Keith Schoppa is Doehler Chair in Asian History emeritus at Loyola University,

Maryland. He has authored many books and articles, including, most recently, In a Sea
of Bitterness: Refugees during the Sino-​Japanese War (2011). His book Blood Road: The
Mystery of Shen Dingyi in Revolutionary China (1996) won the 1997 Association for
Asian Studies’ Levenson Prize for the best book on twentieth-​century China, and
he is also the author of textbooks on modern China and East Asia. He has received
fellowships from the National Endowment for the Humanities, the American Council
of Learned Societies, and the John Simon Guggenheim Memorial Foundation.
Christian Sorace is assistant professor of political science at Colorado College. He
is the author of Shaken Authority: China’s Communist Party and the 2008 Sichuan
Earthquake (2018) and coeditor of Afterlives of Chinese Communism: Political
Concepts from Mao to Xi (forthcoming). His new research focuses on comparative
urbanization, crisis, and temporality in Ulaanbaatar, Mongolia, and Inner Mongolia,
China.
Frederick C. Teiwes is emeritus professor of Chinese Politics at the University of
Sydney. He is the author of numerous works on Chinese Communist elite politics
during the Maoist era, including Politics and Purges in China (1979), 2nd ed.,
1993), Politics at Mao’s Court (1990), The Tragedy of Lin Biao (1996), China’s Road
to Disaster (1999), and The End of the Maoist Era (2007) (the latter three studies
coauthored with Warren Sun). During the past decade he and Dr. Sun have published
revisionist studies of the early post-​Mao period, notably Paradoxes of Post-​Mao Rural
Reform (2016). He thanks the Australian Research Council for generous research
support over many years.
Tyrene White is professor of political science at Swarthmore College. She is
the author of China’s Longest Campaign: Birth Planning in the People’s Republic,
1949–​2005 (Cornell University Press, 2006), and many articles on rural politics
and population policy in China. She is the editor of China Briefing: The Continuing
Transformation (2000) and coeditor of Engendering China: Women, Culture, and the
State (1994). Her current research examines China’s regulatory politics in comparative
perspective and the causes of China’s fertility decline in the 1970s.
Fengshi Wu is senior lecturer in the Asia Institute, the University of Melbourne.
She specializes in environmental politics, state-​ society relations, and global
governance with the empirical focus on China and Asia. She was a visiting fellow at
the Harvard-​Yenching Institute (2008-​2009) and a graduate fellow of the American
Academy of Political and Social Sciences (2004). Her recent academic works have
appeared in China Journal, VOLUNTAS, China Quarterly, Journal of Environmental
Policy and Planning, and Journal of Contemporary China. She recently edited the
book China’s Global Conquest for Resources (2017) on China’s overseas investment in
and acquisition of natural resources.
Guobin Yang is the Grace Lee Boggs Professor of Communication and Sociology
at the Annenberg School for Communication and Department of Sociology at the
University of Pennsylvania. He is the author of The Red Guard Generation and Political
Activism in China (2016) and The Power of the Internet in China: Citizen Activism
 Contributors xvii

Online (2009). His Dragon-​Carving and the Literary Mind (2003) is an annotated
English translation of Wenxin Diaolong, the Chinese classic of rhetoric and literary
theory. He has edited or coedited four books, including China’s Contested Internet
(2015), The Internet, Social Media, and a Changing China (with Jacques deLisle and
Avery Goldstein, 2016), and Re-​Envisioning the Chinese Revolution: The Politics and
Poetics of Collective Memories in Reform China (with Ching-​Kwan Lee, 2007).
David Zweig is professor emeritus, Division of Social Science, at The Hong
Kong University of Science and Technology HKUST, and director, Transnational
China Consulting Limited (HK). He is vice president of the Center on China and
Globalization (Beijing). He is the author of four books, including Freeing China’s
Farmers (1997), Internationalizing China: Domestic Interests and Global Linkages
(2002), and China’s Brain Drain to the United States (1995), and coeditor of Sino-​
China Energy Triangles: Resource Diplomacy under Hegemony (2015). His current
book project focuses on the reverse migration of Chinese talent.
Abbreviations

ACWF All-​China Women’s Federation

BRI Belt and Road Initiative
CAC Cyberspace Administration of China
CC Central Committee
CCP Chinese Communist Party
CCRG Central Cultural Revolution Group
CCTV China Central Television
CCYL Chinese Communist Youth League
CMC Central Military Commission
CMS Cooperative Medical Scheme
CNNIC China Internet Network Information Center
CPSU Communist Party of the Soviet Union
DPP Democratic Progressive Party
ELG Export-​Led Growth
GAPP General Administration of Press and Publication
HIV/​AIDS Human Immunodeficiency Virus/​Acquired Immune Deficiency
Syndrome
HKSAR Hong Kong Special Administrative Region
HLLAPCs Higher-​Level Agricultural Producer Cooperatives (Collectives)
IMF International Monetary Fund
KMT Kuomintang
LegCo Legislative Council
LLPAPCs Lower-​Level Agricultural Producer Cooperatives (Cooperatives)
LSG Leading Small Group
NCNA New China News Agency (Xinhua)
NPC National People’s Congress
PAP People’s Armed Police
PBSC Politburo Standing Committee
PLA People’s Liberation Army
PRC People’s Republic of China
xx A b b r e v i a t i o n s

ROC Republic of China

SAR Special Administrative Region
SARS Severe Acute Respiratory Syndrome
SASAC State-​owned Assets Supervision and Administration Commission
SCNPC Standing Committee of the National People’s Congress
SEZ Special Economic Zone
SMEs Small-​ and-​Medium Enterprises
SOE State-​Owned Enterprise
SAPPRFT State Administration of Press, Publication, Radio, Film, and
Television
TAR Tibet Autonomous Region
TVE Township and Village Enterprise
USSR Union of Soviet Socialist Republics
VRA Villager Representative Assembly
WTO World Trade Organization
XPCC Xinjiang Production and Construction Corps (bingtuan)
XUAR Xinjiang Uyghur Autonomous Region
 RUSSI A

KAZAKHSTAN
N HEILONGJIANG

M ON G OL I A

JILIN
KYRGYZSTAN

LIAONING
XINJIANG SE A OF
O LIA NORTH JA PA N
TAJIKISTAN INNER MONG KOREA
AFGHANISTAN Beijing
GANSU Tianjin
PAKISTAN HEBEI SOUTH
SHANXI KOREA
Yan’ an
NINGXIA Yan’an SHANDONG Y E L LOW
QINGHAI SE A
e r
Yellow Riv JIANGSU
SHAANXI HENAN
JAPAN
TIBET ANHUI
Shanghai
HUBEI E A ST
SICHUAN ngtze River CHINA

Ya
ZHEJIANG SE A
NEPAL Chongqing
JIANGXI
BHUTAN HUNAN

GUIZHOU FUJIAN
INDIA
BANGLADESH
YUNNAN TAIWAN
GUANGXI GUANGDONG
PAC I F I C
Pea
rl River Shenzhen
OCE AN
BURMA
Hong Kong
VIETNAM Macao
(MYANMAR)
0 300 mi SO U T H
LAOS HAINAN C HIN A
Disputed Border 0 500 km THAILAND SE A

MAP 0.1 China

Politics in China
Introduction
 1
Studying Chinese Politics
WILLIAM A. JOSEPH

In 1978, the People’s Republic of China (PRC) was

one of the world’s poorest countries, and the standard
of living for the vast majority of the population had
improved only slightly in the nearly two decades since
the PRC was founded. China was also diplomatically iso-
lated, barely engaged in the international economy, and
little more than a regional military power.
Today, China is the world’s second largest and most
dynamic major economy. Over the last forty years it has
experienced “the fastest sustained expansion by a major economy in history”1 that is
widely hailed as a “miracle”2 (see Figure 1.1). During that time, more than 800 million
people have been lifted out of poverty that even in the early 1990s was recognized
as “one of the biggest improvements in human welfare anywhere at any time.”3 The
PRC is now the world’s largest trading nation, and its export and import policies have
an enormous impact in literally every corner of the globe. It is a rising power that is
challenging the United States for global influence and a key member of all important
international organizations. The Chinese military is world class, with a formidable ar-
senal of nuclear weapons, a rapidly modernizing oceangoing navy, and on the cutting
edge of cyberwarfare.
But prior to the beginning of its remarkable rise to relative economic prosperity
and international prominence, the PRC experienced a series of national traumas. In
the late 1950s and early 1960s, China went through the deadliest famine in human
history, caused largely by the actions and inactions of its political leaders during the
Great Leap Forward. Not long after that catastrophe, over the decade from 1966 to
1976 when China went through the Great Proletarian Cultural Revolution, there
was first a collapse of central government authority, which pushed the country to
4 P o l i t ic s i n C h in a

16% $10,000

$9,000
14%

$8,000
12%
$7,000
% Annual GDP Growth

10%

GDP per capita, US$

$6,000

8% $5,000

$4,000
6%

$3,000
4%
$2,000

2%
$1,000

0% $0
1980 1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 2010 2012 2014 2016

GDP per capita (Foreign Exchange US$) GDP growth (annual %)

FIGURE 1.1 China’s Economic Growth 1980–​2017

Note: GDP per capita is given in its foreign exchange value since purchasing power parity data were not available before
1993. In PPP, China’s GDP per capita in 2017 was about $16,800.
Source: World Bank Development Indicators

the brink of (and in some places actually into) civil war and anarchy, a reign of terror
that tore at the very fabric of Chinese society, and a vicious and destructive assault
against traditional culture, followed by destabilizing power struggles among the top
leadership.
The famine and political chaos occurred during the period when Mao Zedong was
chairman of the Chinese Communist Party (CCP) and the undisputed and largely
indisputable leader of the People’s Republic from its founding in 1949 to his death in
1976. The Maoist era was not without its accomplishments (which are discussed in
this book), but overwhelming scholarly opinion is that it was, as a whole, a disaster
for China, economically, politically, culturally, environmentally, and in other ways.
The emergence of China as a global power that we are witnessing today did not begin
until the early 1980s, with the onset of the post-​Mao economic reform era under
the leadership of Deng Xiaoping who, along with Mao Zedong, ranks as the most in-
fluential Chinese political leader of modern times. Deng and the other leaders who
have followed Mao in power have taken the country in a very un-​Maoist direction,
with spectacular economic results and many other profound changes. The political
story of China’s incredible journey from Mao to now is one of the central themes of
this book.
But one thing about China has not changed since the founding of the People’s
Republic on October 1,1949: the CCP has never been seriously challenged as China’s
 Studying Chine se P o l i t ic s 5

ruling party. There have been sporadic protests by students and peasants, labor un-
rest, ethnic uprisings, and deep pockets of dissent and discontent, but all have been
quelled before they could become threatening to the CCP’s hold on power. The party
itself has been through internal purges and almost inexplicable ideological and policy
turnabouts.
Communist rule has not only survived in China; by many measures, it has
thrived. The CCP appears to maintain a firm grip on power while most other com-
munist regimes have long perished from this earth. The hows and whys of this
fundamental political continuity is another main theme of this volume. One part
of the answer to this question is that it is the Chinese Communist Party itself that
has presided over China’s recent economic success, which has won the party a
great deal of popular support, reflecting a strong desire among many sectors of the
population for political stability and continuity. Nevertheless, the prospects for
continued CCP rule is a hotly debated topic among political scientists who study
contemporary China.
There is much greater freedom in many parts of Chinese society today than
there was during the Mao era, which is another source of the party’s staying power.
Nevertheless, the PRC is still regarded by most outside observers as having one of
the world’s most repressive political regimes. For example, the Economist, a highly
respected British weekly magazine, ranked China at 130 out of 167 countries on its
2018 “Index of Democracy,” which is based on measures of “electoral processes and
pluralism,” “functioning of government” (which includes corruption), “political par-
ticipation,” “political culture,” and “civil liberties.”4
The contradiction between China’s increasingly open society and globalized
economy, along with its still-​closed authoritarian political system, raises other fasci-
nating questions for students of Chinese politics and comparative politics in general:

• What does the Chinese experience say about the kind of government best able to
promote rapid economic development? Is a strong, authoritarian regime required
for such a task?
• How has the CCP been able to resist the pressures for democratization that usually
accompany the social, economic, and cultural changes that modernization brings?
Will it be able to continue to do so in the future?

These questions, too, are addressed, directly and indirectly, in many chapters in
this book.
The next part of this introduction provides a brief overview of the land and people
of China (see Box 1.1) in order to set the geographic and demographic contexts of
Chinese politics. Then comes a discussion of what I call the four faces of contempo-
rary China—​China as China; China as a communist party-​state; China as a devel-
oping country; and China as a rising power—​that are offered as ways to frame the
analysis of contemporary Chinese politics. This is followed by a review of the major
approaches that have been used by political scientists to study politics in China.
Finally, the chapter concludes with a summary of the organization of the book and
the content of its chapters.
6 P o l i t ic s i n C h in a

BOX 1.1 WHERE DID “CHINA” COME FROM?

The first use of the name “China” in English in reference to the country has been traced
to 1555 CE. The term is believed to have come via Persian and Sanskrit in reference to
the ancient Qin (pronounced “chin”) kingdom in what is now northwest China and whose
capital lay at the eastern end of the Silk Road that connected East Asia, Central Asia, the
Middle East, and ultimately Europe. The king of Qin became the founder of China’s first
imperial dynasty in 221 BCE by bringing neighboring kingdoms under his control and is
therefore known as China’s first emperor.
The Chinese term for China is Zhongguo, which literally means “Middle Kingdom.”
This name dates from the sixth century BCE, several centuries prior to the unification of
the Chinese empire, and even then was meant to convey the idea of being the center of
civilization, culture, and political authority. The Qin emperor was the first political leader
to be able to claim the title of ruler of the entire Middle Kingdom.
The term “Sino” is also often used to refer to China, as in “Sino-​American relations.”
Scholars who specialize in the study of China are called “sinologists.” Sino comes from
the Latin for China (Sinae).

CHINA: A GEOGRAPHIC AND DEMOGRAPHIC OVERVIEW

Geography is the multifaceted study of physical space on the surface of the earth,
and demography is the study of the size, composition, distribution, and other aspects
of human population. In all countries, there is a close relationship between geog-
raphy and demography, and both have important implications for politics and policy
making. In China, as one of the world’s largest countries in terms of physical space
and the largest in terms of population, this is especially the case.
China is located in the far eastern part of the Asian continent usually referred to as
East Asia, which also includes Japan and the two Koreas: the communist Democratic
People’s Republic of Korea (North Korea) and the capitalist democracy, the Republic
of Korea (South Korea). China shares land borders with fourteen countries, the
longest being with Russia and Mongolia in the north, India in the west, and Myanmar
(Burma) and Vietnam in the south. China’s eastern border is made up almost entirely
of an 11,200-​mile-​long (18,000 km) coastline along the western edge of the Pacific
Ocean. The country stretches for about 3,200 miles (5,200 km) from east to west, and
3,400 miles (5,500 km) from north to south.
In terms of total area, China (5.6 million sq mi/​9.6 million sq km) is a bit smaller
than the United States, making it the fourth largest country in the world, with
Russia first and Canada second. China’s population is about 1.39 billion; India is
second with 1.30 billion people and is expected to surpass China in population
in 2022.
Although China and the United States are quite similar in geographic size, China’s
population is about four and half times that of the United States. Therefore, China,
with 374 people per square mile, is much more densely populated than the United
States, which has 86 people per square mile. Both countries have large areas that
are sparsely populated or uninhabitable. By comparison, India, which is only about a
third the geographic size of China, has more than 1,000 people per square mile and
 Studying Chine se P o l i t ic s 7

has very few areas with low population density. China has about 18 percent of the
world’s population but only 7 percent of its arable land—​that is, land used for planting
edible crops.5 Feeding its people is—​and long has been—​a central challenge for the
Chinese government.
Like the United States, China is a land of great geographic and climatic contrasts,
but China tends to have greater extremes. One of the world’s largest deserts (the
Gobi) and the highest mountains (the Himalayas, which include Mount Everest—​or
as it is called in Chinese, Chomolungma) are located in the far western part of the
country. Climate varies from semitropical in the southeast to subarctic in the north-
east, which borders on Russian Siberia. Most of the country is much more temperate.
Beijing (China’s capital city) is located at about the same latitude in the Northern
Hemisphere as New York.
One way to think about China’s geography is to imagine a 2,000-​mile line cutting
diagonally across the country from just north of Beijing to the PRC’s border with
Burma in the far southwest (see Map 1.1). The area to the east of this line early on be-
came part of the Chinese empire and is referred to as China Proper. China Proper
accounts for about one-​third of China’s total territory and is largely populated by the
ethnic group to which the vast majority of Chinese people belong, the Han, a term
taken from the name of Imperial China’s second dynasty, which lasted for more than
four centuries (206 bce–​220 ce) and is considered the early golden age of Chinese
civilization.

RUSSIA

KAZAKHSTAN
N HEILONGJIANG
Northeast
MONGOLIA China
JILIN
KYRGYZSTAN

LIAONING
LIAONIN
XINJIANG A S EA OF
INN LI NORTH JAP AN
TAJIKISTAN ER MONGO KOREA
Beijing
Beij
Be jing
AFGHANISTAN GANSU
GA
ANSU Beijing
Beijin TTianjin
iianj
anji
j
PAKISTAN HEBEI
HE
EBEI SOUTH
SHANX
AN
NXXI
SHANXI KOREA
NINGXIA
N AY
INGXIA Yan’an North SHANDONG
SHAN
AND
Outer
er Yan’an
Yan’aaan China
na
a
YELLOW
S EA
a
China Yellow R
iv e r JIANGSU
JI
QINGHAII SHAAN
A NXI
SHAANXI HENAN
HEN
NAN N

TIBET
China
Chin ANHUI
ANHU
N UI
Shanghai
S h
JAPAN

SICHUAN
SICHUAN
AN
P
Prop
R
r per
Proper
tze iver
er EAST
NEPAL ng HUBEI
HU
H UBE
UB
BEI C HI N A
Chongqi
Chongqing
C gq
qin
qing
in ZHEJIANG
Ya

JIANGXI
JI
IANGXI SEA
Chongqing
Chongqin
ngqing
ngqin
g iing
ngg HUNAN
N
BHUTAN So
ou
outh
South
GUIZ
G
GUUIZ
ZHOU
OU
GUIZHOU
INDIA ou
outhw
outhwest
Southwest C
China FUJIAN

BANGLADESH China
a
China TAIWAN
YUNNAN
N GUANGXI
GU
GUANGXI
NGXI
NG XII GUANGDONG
G
Pear Shenzhen P AC I FIC
l R iv e r
OC EAN
BURMA
Hong Kong
VIETNAM Macao
(MYANMAR)
0 300 mi SOUTH
LAOS C HI N A
Disputed Border 0 500 km THAILAND
HAINAN
SEA

MAP 1.1 China’s Major Regions

8 P o l i t ic s i n C h in a

China Proper can itself be divided into several geographic regions. The three prov-
inces (Heilongjiang, Jilin, and Liaoning) of the Northeast, historically referred to as
Manchuria, have vast tracts of forestland, but this region was also once the PRC’s
industrial heartland; now much of it is considered China’s rust belt because of the
closing of aged, inefficient factories and high unemployment. The area that stretches
from just north of Beijing to the Yangtze River, which flows into the East China Sea
near Shanghai, is referred to as North China. Agriculturally, this is a one-​crop-​a-​year
growing area with some similarities to the American Plains states. South China is
the region that lies below the Yangtze and is warmer and wetter than the north, and
these conditions allow for rice farming and, in some areas, year-​round cultivation.
Almost the entire coastal area of China Proper, from north to south, has become
industrialized during the country’s recent economic development spurt. China’s pop-
ulation is also heavily concentrated along the eastern coastline and the adjacent prov-
inces of China Proper. Around 90 percent of the Chinese people live in this area,
which is only about 40 percent of the country’s total land area.
To the west of the imaginary diagonal line lies Outer China. Outer China ge-
ographically comprises about two-​ thirds of the country, but it is very sparsely
populated. Most of the region was incorporated into the Chinese empire during its
later periods, particularly in the seventeenth and eighteenth centuries, and is home
to most of China’s non-​Han ethnic minorities, including Tibetans, Uyghurs, and
Mongols. The Great Wall of China was begun by China’s first emperor more than two
thousand years ago and expanded through many other dynasties largely as a fortifi-
cation to keep non-​Han peoples out of China—​a strategy that failed twice in Chinese
history, once when the country was conquered by the Mongols in 1279 ce and again
when it was overtaken by the Manchus in 1644 ce. Today, Han make up 91.5 percent
of the PRC’s population, with the other 8.5 percent divided among fifty-​five ethnic
minority groups that range in size from about sixteen million (the Zhuang) to under
four thousand (the Lhoba).
The other major geographic and demographic divide in China is that between the
urban and rural areas. China developed large and, for the times, very advanced cities
early in its imperial history. When Marco Polo visited the country in the thirteenth
century, he marveled at the splendor of its cities and the system of canals that linked
them for commercial and other purposes. From his experience, there was nothing
comparable in Europe.6 But until very recently, China had always been a largely rural
society. At the time of the founding of the PRC in 1949, only about 10 percent of the
total population lived in urban areas. At the end of the Maoist era in 1976, the country
was just 20 percent urbanized. Economic development since then has led to a major
population shift, and in 2011, for the first time in its history, more than half of the
people in China were living in cities.
China has about 160 cities with a population of more than one million (the United
States has nine). By 2025, that number will grow to about 220, and, by 2030, more than
a billion people in China will live in urban areas. The PRC’s largest cities are Shanghai,
China’s financial center (24.2 million), and Beijing, its political capital (21.7 million).
In both of these megacities, as in most urban areas in China since the 1980s, there
has been a massive influx of people—​more than 260 million—​from the countryside
in search of jobs and a better life. In Beijing and Shanghai such migrants—​referred to
 Studying Chine se P o l i t ic s 9

as the floating population—​make up more than 40 percent of the population. This

is just one way in which urban-​rural boundaries are shifting in the People’s Republic,
which, in turn, reflects geographic and demographic transitions with enormous po-
litical implications.
Administratively, the PRC is a unitary state, which means that the national gov-
ernment has ultimate authority over all lower levels of government (see Figure 1.2).
The United Kingdom and France also have this form of government, in contrast to
federal systems, such as the United States and Canada, in which there is significant
sharing of power between the national and subnational levels of government.

People’s Republic of China

nation guójiā

Autonomous Regions (5) Provinces Directly Special

zīzhìqù (22) Administered Administrative
Tibet/Xinjiang sheng Municipalities (4) Regions (2)
Inner Mongolia zhíxiáshì
Guangxi/Ningxia Beijing/Chongqing tèbiéxíngzhèngqū
Shanghai/Tianjin Hong Kong/
Macao

Prefectures (334) Prefectural-level

dìqū Municipalities (293)
dìjíshì
Autonomous (includes provincial and
Prefectures (30) autonomous region capitals)
zīzhìzhōu

Counties (1366) Urban Districts (954) County-level Cities (360)

xiàn shìxiáqū xiànjíshì
Autonomous Counties (120)
zìzhìxiàn

Towns (20,883) Street Offices (8105)

zhèn (Subdistricts)
Townships (10,872) jiēdàobànshìchù
xiāng

Grassroots Units (Technically Self-Governing)

Administrative Villages Neighborhood Committees

(559,186) (103,292)
xíngzhèngcūn
Natural VIllages
jūmínwěiyuánhùi
zìráncūn

FIGURE 1.2 Administrative Divisions of the People’s Republic of China

10 P o l i t ic s i n C hin a

The PRC has twenty-​two provinces (similar to states in the United States), four
cities that are considered the equivalent of provinces and are directly administered by
the central government (Beijing, Shanghai, Tianjin, and Chongqing), and five auton-
omous regions (Guangxi, Inner Mongolia, Ningxia, Tibet, and Xinjiang—​all located
in Outer China) with large concentrations of ethnic minority groups. Autonomous
regions do have limited autonomy when it comes to some cultural and social policies,
but they are completely under the political and military control of the government in
Beijing.
There are also two special administrative regions (SAR) of the PRC: the former
British colony of Hong Kong, which reverted to Chinese sovereignty in 1997, and
Macao, a former Portuguese possession that became an SAR of the PRC in 1999. The
SARs do have considerable political and economic autonomy, although ultimate con-
trol over their affairs lies in Beijing.
The island of Taiwan, located a little more than one hundred miles off the coast
of southeastern China, is a politically contested area. It became part of China in
the mid-​seventeenth century but fell under Japanese control from 1895 until 1945.
When the CCP won the Chinese Civil War in 1949, its rivals, the Nationalist Party
(Kuomintang or Guomindang) fled to Taiwan, where, with U.S. support, they were
able to establish a stronghold. Despite many political changes on both the mainland
and the island and closer economic ties between the two in the intervening years,
Taiwan still remains a separate political entity, although Beijing claims that it is right-
fully a province of the PRC.

FOUR FACES OF CONTEMPORARY CHINA

Hopefully, readers have already gotten the sense that Chinese politics is extremely im-
portant in today’s world, and perhaps they will also find it immensely fascinating. But
Chinese politics is quite complex and can be more than a bit confusing to someone
new to the subject—​and often to experts, as well! Not only are the stages of polit-
ical change that China has gone through in modern times full of twists and turns—​a
very involved and convoluted (and somewhat unbelievable) plot line, one might say,
if we were talking about a novel; and for those unfamiliar with the Chinese language,
the cast of characters that have played or now plays influential roles in Chinese pol-
itics can also be somewhat bewildering. Furthermore, the PRC has a type of polit-
ical system—​a communist party-​state—​about which most readers know very little,
in terms of its structure of power and policy-​making process. As readers progress
through the chapters in this book, it might be helpful, in order to understand China’s
unique political development and current politics, to keep in mind what can be called
the “four faces” of contemporary China.

China as China

By China as China, I mean taking note of the influence of the Chinese past and culture
on politics in the PRC. In the broadest and boldest strokes, Chinese political history
 Studying Chine se P o l i t ic s 11

can be broken down into three periods: the imperial period of dynastic monarchy
(221 bce–​1912 ce); the republican period (1912–​1949), characterized by weak central
government, powerful regional warlords, several stages of civil war, and the brutal
invasion and occupation by Japan that started World War II in the Pacific; and the
communist period (1949 to the present) that began with the victory of the CCP in
the civil war and continues through the present day.
But Chinese cultural history dates back to well before the beginning of the impe-
rial period in 221 bce. Human beings have lived in the area that is now called China
for more than a million years. The first dynasties—​systems of hereditary rule over
specific geographic areas—​appeared as small, independent kingdoms more than four
thousand years ago. The earliest artifacts of Chinese material culture, such as ex-
quisite bronze and jade vessels, are from this period. Chinese as a written language
took shape in the Shang dynasty (1600–​1046 bce) as inscriptions etched on “oracle
bones” made from turtle shells and animal scapula for the purpose of divination and
record-​keeping (see Box 1.2.)
The imperial period in Chinese history began in 221 bce when a number of sepa-
rate kingdoms were brought under the authority of the king of Qin, who is known as
the first emperor of a unified China. The Qin dynasty lasted less than twenty years,
giving way to the much-​longer-​lived Han, as noted earlier. But the Chinese empire
founded by Qin endured for more than two thousand years, through the rise and fall
of more than a dozen different dynasties, until it was overthrown by a revolution and
replaced by the Republic of China in 1912 ce.
The philosopher-​scholar Confucius, whose ethical, social, and political teachings
are the foundation of Chinese culture, lived in 557–​479 bce, centuries before the
founding of the Qin dynasty. In fact, the emperor Qin was profoundly suspicious of
Confucian scholars and ordered many of them executed and their books burned. He
favored a school of philosophy called Legalism, which advocated harsh laws rather
than Confucian education and morality as the basis for maintaining the ruler’s au-
thority and commanding the obedience of his subjects. Later dynasties restored the
prominence of Confucianism and imbedded it in the very structure of imperial
Chinese society and government. Over the millennia, Legalism and other schools of
thought combined with and influenced the evolution of Confucianism. Today, not

BOX 1.2 A VERY BRIEF CHINESE LESSON

Chinese is spoken by more people than any other language in the world. Yet “Chinese”
really comprises many dialects, some of which are so different from one another that they
are mutually incomprehensible and are considered by linguists to be separate languages,
as different, for example, as French is from Italian. About 70 percent of China’s popula-
tion speaks Mandarin, which is the dialect of Chinese spoken mainly in the northern, cen-
tral, and southwestern parts of the country, as their native tongue. Other major dialects
include Wu (a subdialect of which is spoken in the area that includes China’s largest city,
Shanghai) and Cantonese, which is the dialect native to the southern coastal region ad-
jacent to Hong Kong.
(Continued)
12 P o l i t ic s i n C hin a

BOX 1.2 (Continued)

But people who speak different Chinese dialects share the same written language. For
example, Mandarin and Cantonese speakers cannot understand each other in face-​to-​
face conversations or on their cell phones, but they can communicate by email and read
the same newspapers or books because written Chinese is made up of characters rather
than phonetic letters. These characters, which have evolved over time from symbolic
pictures, depict meaning more than sound, so that speakers of various Chinese dialects
often pronounce the same written character very differently. There are about 50,000 dif-
ferent Chinese characters, although basic literacy requires knowledge of only about 4,000
because the vast majority of characters are archaic and have fallen out of common usage.
Chinese does not have an alphabet; both the meaning and the pronunciation of
Chinese characters can only be learned by memorization. Like many of the world’s other
languages—​including Arabic, Greek, Hebrew, Japanese, and Russian—​that do not use
the Roman alphabet on which English is based, Chinese characters must be “Romanized”
(or “transliterated”) if English speakers are to have any idea how to pronounce them. The
most common way of Romanizing Chinese is the pinyin (literally, “spell sounds”) system
used in the PRC. But because linguists have differed about how best to approximate dis-
tinctive Chinese sounds using Roman letters, there are still several alternative methods
of Romanizing Chinese.
This book and most other English-​language publications use the pinyin Romanization
for Chinese names, places, and phrases, with a few exceptions for important historical
names where an alternative Romanization is commonly given. In most cases, a word in
pinyin is pronounced as it looks. However, there are a few pinyin letters that appear in
Chinese terms in this book for which a pronunciation guide may be helpful:
“x” is pronounced “sh” (e.g., Deng Xiaoping; Xi Jinping)
“z” is pronounced “dz” (e.g., Mao Zedong)
“q” is pronounced “ch” (e.g., Emperor Qin; Qing dynasty)
“zh” is pronounced “j” (e.g., Zhongguo, the Chinese word for “China”)
“c” is pronounced “ts” (e.g., Empress Dowager Cixi)
A couple of important points about Chinese names: In China (as in Japan and Korea),
the family name (for instance, Mao) comes before the personal, or given, name (for instance,
Zedong). Some people interpret this as a reflection of the priority given to the family or the
group over the individual in East Asian culture. Chinese people who have immigrated to the
United States or other countries often adapt their names to the “Western” order of personal
names before family names. For example, “Li” is the family name of one of the contributors
to this volume, Dr. Cheng Li of the Brookings Institution; in China, he is known as Li Cheng.
Chinese has relatively few family names: There are just about only 3100 surnames in
common use in China today among the Han majority; in the United States, 63 million dif-
ferent surnames were reported in the 2010 census, of which about 275,000 were used by
more than 50 people.
The most common family name in the PRC is Wang; there are more than 93 million Wangs
in China, followed by 92 million with the family name Li, and 88 million Zhangs. On the other
hand, there is an almost infinite variety of given names in Chinese, which often have descrip-
tive meanings such as “beautiful bell” (Meiling) or “bright and cultivated” (Bingwen).

only are the areas encompassed by Greater China (the PRC, Taiwan Hong Kong, and
Macao) considered to be part of the Confucian cultural region but so, too, are Japan,
Korea, Singapore, and Vietnam, all of which were deeply influenced by the spread of
many aspects of Chinese civilization.
 Studying Chine se P o l i t ic s 13

This book focuses on Chinese politics during the communist era (with one chapter
on the earlier periods) and mostly on very recent decades. From that perspective, we
are concentrating our attention on but a tiny slice (see Figure 1.3) of the grand span
of China’s political history. It should come as no surprise that such a long and rich
history should be considered when trying to understand almost any aspect of China
today, including its politics.
But it is not just the imperial past or Confucian culture that should be taken into
account when studying contemporary China. The revolution that brought the CCP
to power and the radicalism of the Maoist era may seem far removed from the rap-
idly modernizing and rising power that China is today. But as one leading scholar of
Chinese politics, Elizabeth J. Perry, has observed, “China’s stunning economic strides in
the reform era can only be understood against the backdrop of a revolutionary history
that remains highly salient in many respects.”7 In fact, she goes further and argues that
legacies of the CCP’s revolutionary past—​notably its practice of the politics of divide-​
and-​rule when dealing with those who may oppose it—​are a significant part of the an-
swer to the question set out earlier about the durability of communist power in China.
The government of the PRC places great emphasis on nationalism in its messages
aimed to audiences both at home and abroad. It expresses pride in the antiquity, great-
ness, and uniqueness of Chinese culture and civilization, as well as in as its growing
stature in world affairs. Chinese nationalism, with its roots in the past, is an important
issue not only in the PRC’s foreign policy but also in Chinese domestic politics.8
The CCP also bases its claim to continue ruling China in part on having rescued
the country from a century of humiliation at the hands of foreign imperialism that

Republication Period
1912–1949 Major Dynasties of the Imperial Period
Qin 221–206 BCE

Han 206 BCE–220 CE

Six Dyansties 220–589 CE

Sui 581–618 CE

Imperial Period Tang 618–906 CE

221 BCE–1912 CE
Five Dynasties 907–960 CE
Sung 960–1279 CE

Yuan (Mongol) 1279–1368 CE

Ming 1368–1644

Qing (Manchu) 1644–1912 CE

Communist Period
1949–

FIGURE 1.3 Major Periods in Chinese History from Imperial Times to the Present
14 P o l i t ic s i n C hin a

lasted from the middle of the nineteenth century to the mid-​twentieth century.9
Beginning in the 1830s, China suffered a series of devastating military defeats and
other humiliations by Western powers intent on expanding “free trade” to East Asia.
Prior to this momentous encounter with Europe and America, China considered it-
self to be the cultural (and by extension, the political) center of its known world, able
to repel or absorb any challenge to the superiority of its civilization.
The shattering of this worldview was one of the most important ingredients in the
decline and collapse of China’s two-​thousand-​year-​old imperial system in the early
twentieth century and the country’s turn toward the revolutionary process that led to
the rise of the CCP and the establishment of the People’s Republic in 1949. The CCP’s
claim to have been the protector of China’s national sovereignty from the 1950s to the
present is one of the most powerful sources of its political legitimacy.
Scholars disagree on the extent to and ways in which China today is shaped by
its imperial history, traditional culture, experience of imperialism, and revolutionary
heritage. But none would deny that the past and the knowledge, memory, and imagi-
nation of China’s long history play a prominent role in contemporary Chinese politics.

China as a Communist Party-​S tate

In the early 1980s, about two dozen countries in Africa, Asia, Europe, and Latin
America, with more than one-​third of the world’s population, were ruled by com-
munist parties. Today, there are only five countries with an unelected ruling commu-
nist party: China, Cuba, Laos, North Korea, and Vietnam.10 Despite many important
differences, past and present communist party-​states have several things in common
as a unique type of political system.
First, as the term “party-​state” implies, the communist party controls the state, that
is, the formal institutions of government at the national level and below. The party
and state are organizationally separate—​for example, there may be a prime minister
who heads the government and a general secretary who heads the communist party.
But it is the party that is ultimately in charge of the state, and the leader of the com-
munist party is the most powerful individual in the country. In a sense, it is the party
that makes policy and the state that implements the party’s policies, and there is a web
of ways in which the communist party makes sure that it controls the state. For ex-
ample, key state leaders, such as the prime minister and the president, are also always
top communist party officials, and the party has the final say in the appointment of
important state leaders at all levels of the government.
Second, the party-​state proclaims, at least formally, adherence to some variant
of an ideology based on Marxism-​Leninism and declares that it is committed to
leading the country in building socialism and ultimately creating a truly egalitarian
communist society. This is taken to be the party-​state’s official and exclusive ideology
in guiding policy and framing political life. Competing ideologies are considered ille-
gitimate and even subversive, and are, therefore vigorously suppressed.
Third, the communist party sees itself as a vanguard party and asserts the right
to exercise the leading role over society, the economy, the military, culture, and most
other aspects of life because only the party, which is made up of a relatively small
 Studying Chine se P o l i t ic s 15

ideologically advanced minority of the population, is said to be able to lead the country
toward socialism and communism. The CCP has around 90 million members, which
is a little over 6 percent of the total population, or about 8 percent of the age-​eligible
(over age eighteen) population.
Fourth, as an extension of its exclusive ideology and leading role in society, the
communist party claims to govern in the interests of all the people, and therefore
holds a monopoly on political power that precludes any meaningful opposition or
contestation from other political parties or organizations. The party’s definition of
which groups fit into the category of the “people” may shift over time—​as it often has
during the history of the CCP and the PRC. This is important because the people are
those who support socialism and the party, while those who oppose them are labeled
as “enemies of the people.” One of the roles of the ruling communist party is to exer-
cise control over these enemies through the dictatorship of the proletariat or, as it
is called in China today, the people’s democratic dictatorship.
Fifth, communist party-​states are particularly concerned with their authority over
the economy because economic growth is so critical to advancing the cause of so-
cialism and building a strong nation. There are times when communist party politics
and ideology may have a negative influence on economic growth (as during much
of the Maoist era in China). And some communist party-​states may greatly reduce
the role of the party-​state in the economy, and even introduce extensive elements of
free-​market capitalism (as in China today). But the party’s claim to a leading role in
determining the country’s economic destiny remains a defining feature of a commu-
nist party-​state.
Communist party-​states have diminished greatly in number since the height of the
Cold War, and those few that remain, other than North Korea, are markedly different
from the kind that Stalin and Mao built. And China’s political system is certainly in
a time of transition (another theme of this volume), with great scholarly debate (in-
cluding among scholars in China) about where it may be headed. But Chinese politics
must still be described and analyzed within the communist party-​state framework,
as it reflects the essential structure of and distribution of power in the PRC’s political
system.

China as a Developing Country

Despite its astounding economic growth over the last few decades, China is still a
developing country. It may have the second largest economy in the world as meas-
ured by total Gross Domestic Product (GDP),* but, by many other measures, it is
much poorer and less modern than the United States, Japan, and the countries of
the European Union. In 2011, China was reclassified by the World Bank from being

* In this book, GDP is usually given as calculated according to purchasing power parity (PPP), which provides a better
sense of the standard of living in a particular country by comparing what goods and services actually cost locally. The other
way of calculating GDP is by foreign exchange currency rates based on the U.S. dollar, and is often referred to as nominal
GDP. The difference between the two can be quite dramatic, especially when presented in per capita terms. For example,
China’s exchange-​rate-​based GDP per capita in 2017 was about US$8800; calculated by PPP it was a little over US$16,800.
When PPP figures are not available, GDP is given (and noted) as based on exchange rates.
16 P o l i t ic s i n C hin a

a lower-​middle-​income country to an upper-​middle-​income one, a category that

includes Brazil, Mexico, Russia, and South Africa, among others.11 This was an impor-
tant economic milestone, but the PRC faces many challenges in adjusting its model
of growth if it is to make the more difficult transition to becoming a high-​income
country.12 Table 1.1 provides an idea of China’s level of development in comparison
with some of the world’s other large countries.
China faces many of the same challenges that other developing countries do: raising
living standards and bringing better health care, education, and other social services
to its citizens. It has done a quite remarkable job of lifting hundreds of millions of its
citizens out of absolute poverty in recent decades, but the average standard of living
is quite low and tens of millions—​hundreds of millions by some measures –​still are
very poor. It is also facing other dilemmas of development such as glaring inequalities
between the more prosperous and the poorer regions of the country, particularly be-
tween the urban and rural areas and the coastal and inland regions and also balancing
economic growth and environmental concerns. The PRC very much sees itself as part
of the developing world and as speaking and acting on behalf of the shared interests
of the less developed countries in various international forums, such as the United
Nations. Indeed, as noted later, it thinks its model of development has much to offer
other countries that are struggling to overcome poverty.
But China also has some important advantages when it comes to economic devel-
opment. It has had for more than forty years a variation of what political scientists
refer to as a developmental state, that is, a government that sets its highest priority
on—​and effectively uses its power to promote—​economic growth.13 This is in sharp
contrast with many developing countries that are classified as predatory states,
where political power is used to further private, rather than national interests.
China certainly has a very big problem with corruption (as several chapters note).
Still, the government of the PRC and the CCP have, overall, a remarkable record
in promoting or at least presiding over economic growth and modernization since
the early 1980s. China’s other development advantages include a generally well-​
educated and healthy labor force and abundant natural resources, although its rap-
idly growing economy has generated a demand that exceeds domestic supplies of
oil, coal, lumber, and other commodities, all of which are now imported in very
large quantities.
There is considerable irony in the fact that the PRC has been considered as a model
for Third World development at two very different times and in two very different
ways since 1949. The Maoist model was much praised from the mid-​1960s through
the early 1970s. At that time, China was seen as a trailblazer in such areas as providing
preventive health care and at least basic education to almost all its people, paying
attention to rural development and limiting the “urban bias” endemic to most other
developing countries, promoting gender equality, creating structures for worker par-
ticipation in management, basing policy choices on a national commitment to the
common good, and breaking dependency on the international economy through
promoting self-​reliance. This model was embraced by many—​including some China
scholars in the United States and elsewhere14—​before the huge and tragic human cost
and the less than stellar economic performance of the Maoist experiment became
widely known beginning in late 1970s.
TABLE 1.1 China’s Economic Development in Comparative Perspective

China United States Russia Brazil India Nigeria

World Bank Classification Upper Middle Income Upper Income Upper Middle Income Upper Middle Income Lower Middle Income Low Income

Total GDP $12.24 trillion $19.39 trillion $1.58 trillion $2.06 trillion $2.60 trillion $375.8 billion
(Exchange Rate)

Total GDP $23.24 trillion $19.40 trillion $3.65 trillion $317 trillion $9.45 trillion $1.08 trillion
(PPP)

GDP per capita (PPP) $16,800 $59,500 $25,500 $15,500 $7,100 $5,900

Average Annual GDP Growth 8.3% 1.4% 1.2% 1.6% 7.0% 4.4%
(2008–​2017)

Gross Domestic Product by agriculture: 8.3% agriculture: 0.9% agriculture: 4.7% agriculture: 6.2% agriculture: 15.4% agriculture: 21.6%
composition industry: 39.5% industry: 18.9% industry: 32.4% industry: 21.0% industry: 23.0% industry: 18.3%
services: 52.2% services: 77.0% services: 62.3% services: 72.8% services: 61.5% services: 60.1%

Life expectancy at birth in years male: 72.96 years male: 76.19 years male: 64.04 years male: 66.38 years male: 49.35 years
female: 77.27 years female: 81.17 years female: 76.02 years male: 69.48 years female: 68.7 years female: 55.77 years
female: 76.74 years

Infant mortality—​number of male: 15.16 male: 6.55 male: 8.04 male: 23.16 male: 43.28 male: 77.98
deaths per 1000 live births female: 15.25 female: 5.22 female: 6.29 female: 16.34 female: 46.08 female: 67.66

Internet use per 100 people 38.3 77.9 49.0 45.0 10.1 28.8

Human Development Index* .754/​86 .924/​13 .816/​49 .759/​79 .627/​130 .532/​157

(closest to 1.0 is higher)
and world ranking out of 189

Note: Figures are for 2016–​18 or most recent year available. Sources: CIA World Factbook; World Bank World Development Indicators; United Nations Human Development Program
18 P o l i t ic s i n C hin a

And now, in the early decades of the twenty-​first century, China’s unprecedented
economic success since the 1980s has led to a lot of talk about a new Chinese model
that has much to offer other Third World countries. As the PRC’s current leader, Xi
Jinping put it in a major speech in October 2017, China is “blazing a new trail for
other developing countries to achieve modernization. It offers a new option for other
countries and nations who want to speed up their development while preserving
their independence; and it offers Chinese wisdom and a Chinese approach to solving
the problems facing mankind.”15 That model involves a combination of a vibrant
market economy with a prominent role for the government in economic policy
making, investment, and control of major industries, integration into the global
economy, including attracting large-​scale foreign investment, and maintaining the
political and social stability conducive to making this all possible. Critics point out
that the PRC also has a very repressive authoritarian government and that its eco-
nomic miracle has come at the cost of severe environmental degradation and a sharp
rise in inequality.16

China as a Rising Power

There is broad scholarly, political, and public opinion consensus that the rise of
China to great power status is one of the most important developments in global
politics over the last two decades. China’s rise is certainly well underway, as
measured by its mounting global economic clout, military might, and diplomatic
influence.
China’s growing power is changing the terrain of international relations in both
theory and practice. A new acronym, BRICS, which stands for Brazil, Russia, India,
China, and South Africa, emerged in the early 2000s and made its way into the vocab-
ulary of international relations to reflect the growing influence of the world’s largest
emerging economies. Among the BRICS countries, China is widely regarded as the
showcase.17 There is also little doubt that the PRC is now the dominant power in East
Asia, having surpassed America’s ally, Japan, in influence, even if Japan is a far richer
country than China.
But the impact of China’s rise goes far beyond the emerging economies and a
shifting regional power hierarchy in East Asia. We are talking here of the very rare
historical event of the ascendancy of a new superpower. The rise of the PRC is often
compared to that of Britain in the nineteenth century and the United States in the
twentieth, and it is not uncommon to hear or read that the twenty-​first century will
be the Chinese century.18
Many scholars and diplomats have noted the shift from a post–​Cold War unipolar
world, in which American power was unrivaled, to an emerging bipolar world in
which the United States is learning to share center stage with China. Sino-​American
relations are considered by many knowledgeable observers to be the most important
bilateral relationship in world politics today. Indeed, when leaders from the world’s
twenty largest economies—​the Group of 20 (G-​20)—​met in London in early 2009 to
discuss the international financial crisis, particular attention was paid to the words
and actions of the “Group of Two,” or “G-​2”—​the United States and China—​as the
 Studying Chine se P o l i t ic s 19

countries most crucial to dealing with the situation. Since then, the term G-​219 and
the idea behind it that the world’s most important status quo power and foremost
rising power should work together to address the major issues facing the interna-
tional economic system has caught on in some circles and been hotly contested by
others who think that in an era of globalization, it overemphasizes the influence of
any singular bilateral relationship and exaggerates the extent of cooperation possible
between China and the United States because of their vastly different economic (and
political) systems and levels of economic development.20
If there is little debate about the fact of China’s rise as a world power, there
is a lot of controversy among scholars, politicians, journalists, and others about
what this means to the United States, East Asia, and the world. One side in this
debate argues that the rise of China is threatening to American interests and a
destabilizing factor in regional and international affairs. Those who are part of the
“China Threat” school urge the United States and other countries to be wary of
China’s intentions and prepare for the worst, even war.21 They express alarm, for
example, at the PRC’s vigorous development of a “blue water” navy with battleships
and aircraft carriers that can sail for long periods of time far from the country’s
coastal waters.
The other side in this debate sees China’s global ascendency as another chapter in
the rise (and fall) of great powers, which has occurred throughout much of history.
They understand that China’s rise will create challenges for other countries, partic-
ularly the United States, but they see these as an incentive for healthy competition,
rather than a source of potentially disastrous military or economic conflict. They
see many areas of mutual interest between the United States and the PRC and many
opportunities for cooperation that could be of potential benefit to the whole world;
they also emphasize China’s use of soft power, or noncoercive influence through
means such as diplomacy and foreign aid, more than its reliance on or development
of the mostly military instruments of hard power.22

APPROACHES TO THE STUDY OF CHINESE POLITICS

Like China itself, the study of Chinese politics has gone through dramatic changes
since the founding of the People’s Republic in 1949.23 Indeed, as one might expect,
political changes in China have often led to changing approaches to studying Chinese
politics.
The first generation of American scholars to focus on politics in the PRC were not
permitted to travel to China and had little access to materials of academic interest
due to Cold War hostilities. Many of these scholars spent time in Hong Kong, which
was then still a British colony, conducting interviews with refugees from the China
mainland and scouring valuable, yet relatively meager, collections of local Chinese
newspapers and a hodgepodge of official documents held by research centers devoted
to the study of contemporary China. Although most of this pioneer generation had
fairly strong Chinese language skills (often honed in Taiwan), they still had to rely
heavily on translations of PRC radio broadcasts provided by organizations like the
Central Intelligence Agency (CIA) and the British Broadcasting Corporation (BBC)
20 P o l i t ic s i n C hin a

for news about what was happening in China, since very few Western reporters were
permitted on the mainland.
Given the limits on research, these first-​generation scholars tended to study large
issues in Chinese politics. They produced numerous works that remain classics in
the field, such as Leadership in Communist China (John Wilson Lewis, 1963), Cadres,
Bureaucracy, and Political Power in Communist China (A. Doak Barnett, 1967), and
The Spirit of Chinese Politics (Lucian W. Pye, 1968).
Once détente and normalization in Sino-​American relations set in during the
1970s, scholarly access to China gradually opened up. Subsequent generations of
specialists in Chinese politics have been able to carry out field research, work in
archives, conduct surveys, interview people in all walks of life, including government
and communist party officials, and engage in collaborative projects with colleagues
in the PRC. There is now a literal flood of research material available from the PRC,
such as books by Chinese academics, memoirs by important political figures, un-
countable newspapers and journals, as well as massive amounts of data and statis-
tics. There are still restrictions on scholarly activity (both for Chinese as well as for
foreign researchers), and some subjects remain taboo because of their political sen-
sitivity. Occasionally, a foreign scholar is accused of crossing the line between ac-
ademic work and “spying” and may be detained for a while before being expelled
from the country. The PRC has also banned American scholars whose work has been
judged to be politically objectionable from traveling to China. In any case, the study
of Chinese politics is a rich and dynamic field of scholarship that continues to attract
superb graduate students, which bodes well for the future of this very important
subject.
Not only have the methods and materials for studying politics in China evolved
greatly over the last seven decades, but so, too, have the approaches, models, and
topics that scholars employ and emphasize in their analysis. These can be broadly
grouped into the following categories:

• elite politics
• factional politics
• informal politics
• bureaucratic politics
• center-​local relations
• political institutions and processes
• political development
• political economy
• political culture
• ideology
• state-​society relations
• policy-​and event-​centered studies
• comparative studies

While each of these approaches has been especially popular among scholars at cer-
tain times, all of them are still in the mix when it comes to studying Chinese politics,
and most are reflected in the chapters in this book.
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 CHAPTER III.

The Relation of Vapor and Air.

Sect. 1.—The Boylean Law of the Air’s Elasticity.

I N the Sixth Book (Chap. iv. Sect. 1.) we have already seen how
the conception on the laws of fluid equilibrium was, by Pascal and
others, extended to air, as well as water. But though air presses and
is pressed as water presses and is pressed, pressure produces upon
air an effect which it does not, in any obvious degree, produce upon
water. Air which is pressed is also compressed, or made to occupy a
smaller space; and is consequently also made more dense, or
condensed; and on the other hand, when the pressure upon a
portion of air is diminished, the air expands or is rarefied. These
broad facts are evident. They are expressed in a general way by
saying that air is an elastic fluid, yielding in a certain degree to
pressure, and recovering its previous dimensions when the pressure
is removed.

But when men had reached this point, the questions obviously
offered themselves, in what degree and according to what law air
yields to pressure; when it is compressed, what relation does the
density bear to the pressure? The use which had been made of
tubes containing columns of mercury, by which the pressure of
portions of air was varied and measured, suggested obvious modes
of devising experiments by which this question might be answered.
Such experiments accordingly were made by Boyle about 1650; and
the result at which he arrived was, that when air is thus compressed,
the density is as the pressure. Thus if the pressure of the
atmosphere in its common state be equivalent to 30 inches of
mercury, as shown by the barometer; if air included in a tube be
pressed by 30 additional inches of 164 mercury, its density will be
doubled, the air being compressed into one half the space. If the
pressure be increased threefold, the density is also trebled; and so
on. The same law was soon afterwards (in 1676) proved
experimentally by Mariotte. And this law of the air’s elasticity, that the
density is as the pressure, is sometimes called the Boylean Law, and
sometimes the Law of Boyle and Mariotte.

Air retains its aerial character permanently; but there are other
aerial substances which appear as such, and then disappear or
change into some other condition. Such are termed vapors. And the
discovery of their true relation to air was the result of a long course
of researches and speculations.

[2nd Ed.] [It was found by M. Cagniard de la Tour (in 1823), that at
a certain temperature, a liquid, under sufficient pressure, becomes
clear transparent vapor or gas, having the same bulk as the liquid.
This condition Dr. Faraday calls the Cagniard de la Tour state, (the
Tourian state?) It was also discovered by Dr. Faraday that carbonic-
acid gas, and many other gases, which were long conceived to be
permanently elastic, are really reducible to a liquid state by
pressure. 39 And in 1835, M. Thilorier found the means of reducing
liquid carbonic acid to a solid form, by means of the cold produced in
evaporation. More recently Dr. Faraday has added several
substances usually gaseous to the list of those which could
previously be shown in the liquid state, and has reduced others,
including ammonia, nitrous oxide, and sulphuretted hydrogen, to a
solid consistency. 40 After these discoveries, we may, I think,
reasonably doubt whether all bodies are not capable of existing in
the three consistencies of solid, liquid, and air.
39 Phil. Trans. 1823.

40 Ib. Pt. 1. 1845.

We may note that the law of Boyle and Mariotte is not exactly true
near the limit at which the air passes to the liquid state in such cases
as that just spoken of. The diminution of bulk is then more rapid than
the increase of pressure.

The transition of fluids from a liquid to an airy consistence appears

to be accompanied by other curious phenomena. See Prof. Forbes’s
papers on the Color of Steam under certain circumstances, and on
the Colors of the Atmosphere, in the Edin. Trans. vol. xiv.] 165

Sect. 2.—Prelude to Dalton’s Doctrine of Evaporation.

Visible clouds, smoke, distillation, gave the notion of Vapor; vapor

was at first conceived to be identical with air, as by Bacon. 41 It was
easily collected, that by heat, water might be converted into vapor. It
was thought that air was thus produced, in the instrument called the
æolipile, in which a powerful blast is caused by a boiling fluid; but
Wolfe showed that the fluid was not converted into air, by using
camphorated spirit of wine, and condensing the vapor after it had
been formed. We need not enumerate the doctrines (if very vague
hypotheses may be so termed) of Descartes, Dechales, Borelli. 42
The latter accounted for the rising of vapor by supposing it a mixture
of fire and water; and thus, fire being much lighter than air, the
mixture also was light. Boyle endeavored to show that vapors do not
permanently float in vacuo. He compared the mixture of vapor with
air to that of salt with water. He found that the pressure of the
atmosphere affected the heat of boiling water; a very important fact.
Boyle proved this by means of the air-pump; and he and his friends
were much surprised to find that when air was removed, water only
just warm boiled violently. Huyghens mentions an experiment of the
same kind made by Papin about 1673.
41 Bacon’s Hist. Nat. Cent. i. p. 27.

42They may be seen in Fischer, Geschichte der Physik, vol. ii. p.

175.

The ascent of vapor was explained in various ways in succession,

according to the changes which physical science underwent. It was a
problem distinctly treated of, at a period when hydrostatics had
accounted for many phenomena; and attempts were naturally made
to reduce this fact to hydrostatical principles. An obvious hypothesis,
which brought it under the dominion of these principles, was, to
suppose that the water, when converted into vapor, was divided into
small hollow globules;—thin pellicles including air or heat. Halley
gave such an explanation of evaporation; Leibnitz calculated the
dimensions of these little bubbles; Derham managed (as he
supposed) to examine them with a magnifying glass: Wolfe also
examined and calculated on the same subject. It is curious to see so
much confidence in so lame a theory; for if water became hollow
globules in order to rise as vapor, we require, in order to explain the
formation of these globules, new laws of nature, which are not even
hinted at by 166 the supporters of the doctrine, though they must be
far more complex than the hydrostatical law by which a hollow
sphere floats.
 Newton’s opinion was hardly more satisfactory; he 43 explained
evaporation by the repulsive power of heat; the parts of vapors,
according to him, being small, are easily affected by this force, and
thus become lighter than the atmosphere.
43 Opticks, Qu. 31.

Muschenbroek still adhered to the theory of globules, as the

explanation of evaporation; but he was manifestly discontented with
it; and reasonably apprehended that the pressure of the air would
destroy the frail texture of these bubbles. He called to his aid a
rotation of the globules (which Descartes also had assumed); and,
not satisfied with this, threw himself on electrical action as a reserve.
Electricity, indeed, was now in favor, as hydrostatics had been
before; and was naturally called in, in all cases of difficulty.
Desaguliers, also, uses this agent to account for the ascent of vapor,
introducing it into a kind of sexual system of clouds; according to
him, the male fire (heat) does a part, and the female fire (electricity)
performs the rest. These are speculations of small merit and no
value.

In the mean time, Chemistry made great progress in the

estimation of philosophers, and had its turn in the explanation of the
important facts of evaporation. Bouillet, who, in 1742, placed the
particles of water in the interstices of those of air, may be considered
as approaching to the chemical theory. In 1748, the Academy of
Sciences of Bourdeaux proposed the ascent of vapors as the subject
of a prize; which was adjudged in a manner very impartial as to the
choice of a theory; for it was divided between Kratzenstein, who
advocated the bubbles, (the coat of which he determined to be
50,000th of an inch thick,) and Hamberger, who maintained the truth
1⁄
to be the adhesion of particles of water to those of air and fire. The
latter doctrine had become much more distinct in the author’s mind
when seven years afterwards (1750) he published his Elementa
Physices. He then gave the explanation of evaporation in a phrase
which has since been adopted,—the solution of water in air; which
he conceived to be of the same kind as other chemical solutions.

This theory of solution was further advocated and developed by Le

Roi; 44 and in his hands assumed a form which has been extensively
adopted up to our times, and has, in many instances, tinged the
language commonly used. He conceived that air, like other solvents,
167 might be saturated; and that when the water was beyond the
amount required for saturation, it appeared in a visible form. The
saturating quantity was held to depend mainly on warmth and wind.
44 Ac. R. Sc. Paris, 1750.

This theory was by no means devoid of merit; for it brought

together many of the phenomena, and explained a number of the
experiments which Le Roi made. It explained the facts of the
transparency of vapor, (for perfect solutions are transparent,) the
precipitation of water by cooling, the disappearance of the visible
moisture by warming it again, the increased evaporation by rain and
wind; and other observed phenomena. So far, therefore, the
introduction of the notion of the chemical solution of water in air was
apparently very successful. But its defects are of a very fatal kind; for
it does not at all apply to the facts which take place when air is
excluded.

In Sweden, in the mean time, 45 the subject had been pursued in a

different, and in a more correct manner. Wallerius Ericsen had, by
various experiments, established the important fact, that water
evaporates in a vacuum. His experiments are clear and satisfactory;
and he inferred from them the falsity of the common explanation of
evaporation by the solution of water in air. His conclusions are drawn
in a very intelligent manner. He considers the question whether
water can be changed into air, and whether the atmosphere is, in
consequence, a mere collection of vapors; and on good reasons,
decides in the negative, and concludes the existence of
permanently-elastic air different from vapor. He judges, also, that
there are two causes concerned, one acting to produce the first
ascent of vapors, the other to support them afterwards. The first,
which acts in a vacuum, he conceives to be the mutual repulsion of
the particles; and since this force is independent of the presence of
other substances, this seems to be a sound induction. When the
vapors have once ascended into the air, it may readily be granted
that they are carried higher, and driven from side to side by the
currents of the atmosphere. Wallerius conceives that the vapor will
rise till it gets into air of the same density as itself, and being then in
equilibrium, will drift to and fro.
45 Fischer, Gesch. Phys. vol. v. p. 63.

The two rival theories of evaporation, that of chemical solution and

that of independent vapor, were, in various forms, advocated by the
next generation of philosophers. De Saussure may be considered as
the leader on one side, and De Luc on the other. The former
maintained the solution theory, with some modifications of his own.
De 168 Luc denied all solution, and held vapor to be a combination of
the particles of water with fire, by which they became lighter than air.
According to him, there is always fire enough present to produce this
combination, so that evaporation goes on at all temperatures.
 This mode of considering independent vapor as a combination of
fire with water, led the attention of those who adopted that opinion to
the thermometrical changes which take place when vapor is formed
and condensed. These changes are important, and their laws
curious. The laws belong to the induction of latent heat, of which we
have just spoken; but a knowledge of them is not absolutely
necessary in order to enable us to understand the manner in which
steam exists in air.

De Luc’s views led him 46 also to the consideration of the effect of

pressure on vapor. He explains the fact that pressure will condense
vapor, by supposing that it brings the particles within the distance at
which the repulsion arising from fire ceases. In this way, he also
explains the fact, that though external pressure does thus condense
steam, the mixture of a body of air, by which the pressure is equally
increased, will not produce the same effect; and therefore, vapors
can exist in the atmosphere. They make no fixed proportion of it; but
at the same temperature we have the same pressure arising from
them, whether they are in air or not. As the heat increases, vapor
becomes capable of supporting a greater and greater pressure, and
at the boiling heat, it can support the pressure of the atmosphere.
46 Fischer, vol. vii. p. 453. Nouvelles Idées sur la Météorologie,
1787.

De Luc also marked very precisely (as Wallerius had done) the
difference between vapor and air; the former being capable of
change of consistence by cold or pressure, the latter not so. Pictet,
in 1786, made a hygrometrical experiment, which appeared to him to
confirm De Luc’s views; and De Luc, in 1792, published a concluding
essay on the subject in the Philosophical Transactions. Pictet’s
Essay on Fire, in 1791, also demonstrated that “all the train of
hygrometrical phenomena takes place just as well, indeed rather
quicker, in a vacuum than in air, provided the same quantity of
moisture is present.” This essay, and De Luc’s paper, gave the
death-blow to the theory of the solution of water in air.

Yet this theory did not fall without an obstinate struggle. It was
taken up by the new school of French chemists, and connected with
their views of heat. Indeed, it long appears as the prevalent opinion.
169 Girtanner, 47 in his Grounds of the Antiphlogistic Theory, may be
considered as one of the principal expounders of this view of the
matter. Hube, of Warsaw, was, however, the strongest of the
defenders of the theory of solution, and published upon it repeatedly
about 1790. Yet he appears to have been somewhat embarrassed
with the increase of the air’s elasticity by vapor. Parrot, in 1801,
proposed another theory, maintaining that De Luc had by no means
successfully attacked that of solution, but only De Saussure’s
superfluous additions to it.
47 Fischer, vol. vii. 473.

It is difficult to see what prevented the general reception of the

doctrine of independent vapor; since it explained all the facts very
simply, and the agency of air was shown over and over again to be
unnecessary. Yet, even now, the solution of water in air is hardly
exploded. M. Gay Lussac, 48 in 1800, talks of the quantity of water
“held in solution” by the air; which, he says, varies according to its
temperature and density by a law which has not yet been
discovered. And Professor Robison, in the article “Steam,” in the
Encyclopædia Britannica (published about 1800), says, 49 “Many
philosophers imagine that spontaneous evaporation, at low
temperatures, is produced in this way (by elasticity alone). But we
cannot be of this opinion; and must still think that this kind of
evaporation is produced by the dissolving power of the air.” He then
gives some reasons for his opinion. “When moist air is suddenly
rarefied, there is always a precipitation of water. But by this new
doctrine the very contrary should happen, because the tendency of
water to appear in the elastic form is promoted by removing the
external pressure.” Another main difficulty in the way of the doctrine
of the mere mixture of vapor and air was supposed to be this; that if
they were so mixed, the heavier fluid would take the lower part, and
the lighter the higher part, of the space which they occupied.
48 Ann. Chim. tom. xliii.

49 Robison’s Works, ii. 37.

The former of these arguments was repelled by the consideration

that in the rarefaction of air, its specific heat is changed, and thus its
temperature reduced below the constituent temperature of the vapor
which it contains. The latter argument is answered by a reference to
Dalton’s law of the mixture of gases. We must consider the
establishment of this doctrine in a new section, as the most material
step to the true notion of evaporation. 170

Sect. 3.—Dalton’s Doctrine of Evaporation.

A portion of that which appears to be the true notion of evaporation

was known, with greater or less distinctness, to several of the
physical philosophers of whom we have spoken. They were aware
that the vapor which exists in air, in an invisible state, may be
condensed into water by cold: and they had noticed that, in any state
of the atmosphere, there is a certain temperature lower than that of
the atmosphere, to which, if we depress bodies, water forms upon
them in fine drops like dew; this temperature is thence called the
dew-point. The vapor of water which exists anywhere may be
reduced below the degree of heat which is necessary to constitute it
vapor, and thus it ceases to be vapor. Hence this temperature is also
called the constituent temperature. This was generally known to the
meteorological speculators of the last century, although, in England,
attention was principally called to it by Dr. Wells’s Essay on Dew, in
1814. This doctrine readily explains how the cold produced by
rarefaction of air, descending below the constituent temperature of
the contained vapor, may precipitate a dew; and thus, as we have
said, refutes one obvious objection to the theory of independent
vapor.

The other difficulty was first fully removed by Mr. Dalton. When his
attention was drawn to the subject of vapor, he saw insurmountable
objections to the doctrine of a chemical union of water and air. In
fact, this doctrine was a mere nominal explanation; for, on closer
examination, no chemical analogies supported it. After some
reflection, and in the sequel of other generalizations concerning
gases, he was led to the persuasion, that when air and steam are
mixed together, each follows its separate laws of equilibrium, the
particles of each being elastic with regard to those of their own kind
only: so that steam may be conceived as flowing among the particles
of air 50 “like a stream of water among pebbles;” and the resistance
which air offers to evaporation arises, not from its weight, but from
the inertia of its particles.
50 Manchester Memoirs, vol. v. p. 581.

It will be found that the theory of independent vapor, understood

with these conditions, will include all the facts of the case;—gradual
evaporation in air; sudden evaporation in a vacuum; the increase of
171 the air’s elasticity by vapor; condensation by its various causes;
and other phenomena.

But Mr. Dalton also made experiments to prove his fundamental

principle, that if two different gases communicate, they will diffuse
themselves through each other; 51 —slowly, if the opening of
communication be small. He observes also, that all the gases had
equal solvent powers for vapor, which could hardly have happened,
had chemical affinity been concerned. Nor does the density of the air
make any difference.
51 New System of Chemical Philosophy, vol. i. p. 151.

Taking all these circumstances into the account, Mr. Dalton

abandoned the idea of solution. “In the autumn of 1801,” he says, “I
hit upon an idea which seemed to be exactly calculated to explain
the phenomena of vapor: it gave rise to a great variety of
experiments,” which ended in fixing it in his mind as a true idea.
“But,” he adds, “the theory was almost universally misunderstood,
and consequently reprobated.”

Mr. Dalton answers various objections. Berthollet had urged that

we can hardly conceive the particles of an elastic substance added
to those of another, without increasing its elasticity. To this Mr. Dalton
replies by adducing the instance of magnets, which repel each other,
but do not repel other bodies. One of the most curious and ingenious
objections is that of M. Gough, who argues, that if each gas is elastic
with regard to itself alone, we should hear, produced by one stroke,
four sounds; namely, first, the sound through aqueous vapor;
second, the sound through azotic gas; third, the sound through
oxygen gas; fourth, the sound through carbonic acid. Mr. Dalton’s
answer is, that the difference of time at which these sounds would
come is very small; and that, in fact, we do hear, sounds double and
treble.

In his New System of Chemical Philosophy, Mr. Dalton considers

the objections of his opponents with singular candor and impartiality.
He there appears disposed to abandon that part of the theory which
negatives the mutual repulsion of the particles of the two gases, and
to attribute their diffusion through one another to the different size of
the particles, which would, he thinks, 52 produce the same effect.
52 New System, vol. i. p. 188.

In selecting, as of permanent importance, the really valuable part

of this theory, we must endeavor to leave out all that is doubtful or
unproved. I believe it will be found that in all theories hitherto 172
promulgated, all assertions respecting the properties of the particles
of bodies, their sizes, distances, attractions, and the like, are
insecure and superfluous. Passing over, then, such hypotheses, the
inductions which remain are these;—that two gases which are in
communication will, by the elasticity of each, diffuse themselves in
one another, quickly or slowly; and—that the quantity of steam
contained in a certain space of air is the same, whatever be the air,
whatever be its density, and even if there be a vacuum. These
propositions may be included together by saying, that one gas is
mechanically mixed with another; and we cannot but assent to what
Mr. Dalton says of the latter fact,—“this is certainly the touchstone of
the mechanical and chemical theories.” This doctrine of the
mechanical mixture of gases appears to supply answers to all the
difficulties opposed to it by Berthollet and others, as Mr. Dalton has
shown; 53 and we may, therefore, accept it as well established.
 53 New System, vol. i. p. 160, &c.

This doctrine, along with the principle of the constituent

temperature of steam, is applicable to a large series of
meteorological and other consequences. But before considering the
applications of theory to natural phenomena, which have been
made, it will be proper to speak of researches which were carried on,
in a great measure, in consequence of the use of steam in the arts: I
mean the laws which connect its elastic force with its constituent
temperature.

Sect. 4.—Determination of the Laws of the Elastic Force of Steam.

The expansion of aqueous vapor at different temperatures is

governed, like that of all other vapors, by the law of Dalton and Gay-
Lussac, already mentioned; and from this, its elasticity, when its
expansion is resisted, will be known by the law of Boyle and
Mariotte; namely, by the rule that the pressure of airy fluids is as the
condensation. But it is to be observed, that this process of
calculation goes on the supposition that the steam is cut off from
contact with water, so that no more steam can be generated; a case
quite different from the common one, in which the steam is more
abundant as the heat is greater. The examination of the force of
vapor, when it is in contact with water, must be briefly noticed.

During the period of which we have been speaking, the progress

of the investigation of the laws of aqueous vapor was much
accelerated 173 by the growing importance of the steam-engine, in
which those laws operated in a practical form. James Watts, the
main improver of that machine, was thus a great contributor to
speculative knowledge, as well as to practical power. Many of his
improvements depended on the laws which regulate the quantity of
heat which goes to the formation or condensation of steam; and the
observations which led to these improvements enter into the
induction of latent heat. Measurements of the force of steam, at all
temperatures, were made with the same view. Watts’s attention had
been drawn to the steam-engine in 1759, by Robison, the former
being then an instrument-maker, and the latter a student at the
University of Glasgow. 54 In 1761 or 1762, he tried some experiments
on the force of steam in a Papin’s Digester; 55 and formed a sort of
working model of a steam-engine, feeling already his vocation to
develope the powers of that invention. His knowledge was at that
time principally derived from Desaguliers and Belidor, but his own
experiments added to it rapidly. In 1764 and 1765, he made a more
systematical course of experiments, directed to ascertain the force of
steam. He tried this force, however, only at temperatures above the
boiling-point; and inferred it at lower degrees from the supposed
continuity of the law thus obtained. His friend Robison, also, was
soon after led, by reading the account of some experiments of Lord
Charles Cavendish, and some others of Mr. Nairne, to examine the
same subject. He made out a table of the correspondence of the
elasticity and the temperature of vapor, from thirty-two to two
hundred and eighty degrees of Fahrenheit’s thermometer. 56 The
thing here to be remarked, is the establishment of a law of the
pressure of steam, down to the freezing-point of water. Ziegler of
Basle, in 1769, and Achard of Berlin, in 1782, made similar
experiments. The latter examined also the elasticity of the vapor of
alcohol. Betancourt, in 1792, published his Memoir on the expansive
force of vapors; and his tables were for some time considered the
most exact. 174 Prony, in his Architecture Hydraulique (1796),
established a mathematical formula, 57 on the experiments of
Betancourt, who began his researches in the belief that he was first
in the field, although he afterwards found that he had been
anticipated by Ziegler. Gren compared the experiments of
Betancourt and De Luc with his own. He ascertained an important
fact, that when water boils, the elasticity of the steam is equal to that
of the atmosphere. Schmidt at Giessen endeavored to improve the
apparatus used by Betancourt; and Biker, of Rotterdam, in 1800,
made new trials for the same purpose.
54 Robison’s Works, vol. ii. p. 113.

55 Denis Papin, who made many of Boyle’s experiments for him,

had discovered that if the vapor be prevented from rising, the
water becomes hotter than the usual boiling-point; and had hence
invented the instrument called Papin’s Digester. It is described in
his book, La manière d’amolir les os et de faire cuire toutes sorts
de viandes en fort peu de temps et à peu de frais. Paris, 1682.

56 These were afterwards published in the Encyclopædia

Britannica; in the article “Steam,” written by Robison.

57 Architecture Hydraulique, Seconde Partie, p. 163.

In 1801, Mr. Dalton communicated to the Philosophical Society of

Manchester his investigations on this subject; observing truly, that
though the forces at high temperatures are most important when
steam is considered as a mechanical agent, the progress of
philosophy is more immediately interested in accurate observations
on the force at low temperatures. He also found that his elasticities
for equidistant temperatures resembled a geometrical progression,
but with a ratio constantly diminishing. Dr. Ure, in 1818, published in
the Philosophical Transactions of London, experiments of the same
kind, valuable from the high temperatures at which they were made,
and for the simplicity of his apparatus. The law which he thus
obtained approached, like Dalton’s, to a geometrical progression. Dr.
Ure says, that a formula proposed by M. Biot gives an error of near
nine inches out of seventy-five, at a temperature of 266 degrees.
This is very conceivable, for if the formula be wrong at all, the
geometrical progress rapidly inflames the error in the higher portions
of the scale. The elasticity of steam, at high temperatures, has also
been experimentally examined by Mr. Southern, of Soho, and Mr.
Sharpe, of Manchester. Mr. Dalton has attempted to deduce certain
general laws from Mr. Sharpe’s experiments; and other persons
have offered other rules, as those which govern the force of steam
with reference to the temperature: but no rule appears yet to have
assumed the character of an established scientific truth. Yet the law
of the expansive force of steam is not only required in order that the
steam-engine may be employed with safety and to the best
advantage; but must also be an important point in every consistent
thermotical theory.

[2nd Ed.] [To the experiments on steam made by private

physicists, are to be added the experiments made on a grand scale
by order of the governments of France and of America, with a view
to 175 legislation on the subject of steam-engines. The French
experiments were made in 1823, under the direction of a
commission consisting of some of the most distinguished members
of the Academy of Sciences; namely, MM. de Prony, Arago, Girard,
and Dulong. The American experiments were placed in the hands of
a committee of the Franklin Institute of the State of Pennsylvania,
consisting of Prof. Bache and others, in 1830. The French
experiments went as high as 435° of Fahrenheit’s thermometer,
corresponding to a pressure of 60 feet of mercury, or 24
atmospheres. The American experiments were made up to a
temperature of 346°, which corresponded to 274 inches of mercury,
more than 9 atmospheres. The extensive range of these
experiments affords great advantages for determining the law of the
expansive force. The French Academy found that their experiments
indicated an increase of the elastic force according to the fifth power
of a binominal 1 + mt, where t is the temperature. The American
Institute were led to a sixth power of a like binominal. Other
experimenters have expressed their results, not by powers of the
temperature, but by geometrical ratios. Dr. Dalton had supposed that
the expansion of mercury being as the square of the true
temperature above its freezing-point, the expansive force of steam
increases in geometrical ratio for equal increments of temperature.
And the author of the article Steam in the Seventh Edition of the
Encyclopædia Britannica (Mr. J. S. Russell), has found that the
experiments are best satisfied by supposing mercury, as well as
steam, to expand in a geometrical ratio for equal increments of the
true temperature.

It appears by such calculation, that while dry gas increases in the

ratio of 8 to 11, by an increase of temperature from freezing to
boiling water; steam in contact with water, by the same increase of
temperature above boiling water, has its expansive force increased
in the proportion of 1 to 12. By an equal increase of temperature,
mercury expands in about the ratio of 8 to 9.

Recently, MM. Magnus of Berlin, Holzmann and Regnault, have

made series of observations on the relation between temperature
and elasticity of steam. 58
58 See Taylor’s Scientific Memoirs, Aug. 1845, vol. iv. part xiv.,
and Ann. de Chimie.
 Prof. Magnus measured his temperatures by an air-thermometer;
a process which, I stated in the first edition, seemed to afford the
best promise of simplifying the law of expansion. His result is, that
the 176 elasticity proceeds in a geometric series when the
temperature proceeds in an arithmetical series nearly; the
differences of temperature for equal augmentations of the ratio of
elasticity being somewhat greater for the higher temperatures.

The forces of the vapors of other liquids in contact with their

liquids, determined by Dr. Faraday, as mentioned in Chap. ii. Sect. 1,
are analogous to the elasticity of steam here spoken of.]

~Additional material in the 3rd edition.~

Sect. 5.—Consequences of the Doctrine of Evaporation.—

Explanation of Rain, Dew, and Clouds.

The discoveries concerning the relations of heat and moisture which

were made during the last century, were principally suggested by
meteorological inquiries, and were applied to meteorology as fast as
they rose. Still there remains, on many points of this subject, so
much doubt and obscurity, that we cannot suppose the doctrines to
have assumed their final form; and therefore we are not here called
upon to trace their progress and connexion. The principles of
atmology are pretty well understood; but the difficulty of observing
the conditions under which they produce their effects in the
atmosphere is so great, that the precise theory of most
meteorological phenomena is still to be determined.

We have already considered the answers given to the question:

According to what rules does transparent aqueous vapor resume its
form of visible water? This question includes, not only the problems
of Rain and Dew, but also of Clouds; for clouds are not vapor, but
water, vapor being always invisible. An opinion which attracted much
notice in its time, was that of Hutton, who, in 1784, endeavored to
prove that if two masses of air saturated with transparent vapor at
different temperatures are mixed together, the precipitation of water
in the form either of cloud or of drops will take place. The reason he
assigned for the opinion was this: that the temperature of the mixture
is a mean between the two temperatures, but that the force of the
vapor in the mixture, which is the mean of the forces of the two
component vapors, will be greater than that which corresponds to
the mean temperature, since the force increases faster than the
temperature; 59 and hence some part of the vapor will be
precipitated. This doctrine, it will be seen, speaks of vapor as
“saturating” air, and is 177 therefore, in this form, inconsistent with
Dalton’s principle; but it is not difficult to modify the expression so as
to retain the essential part of the explanation.
59 Edin. Trans. vol. 1. p. 42.

Dew.—The principle of a “constituent temperature” of steam, and

the explanation of the “dew-point,” were known, as we have said
(chap. iii. sect. 3,) to the meteorologists of the last century; but we
perceive how incomplete their knowledge was, by the very gradual
manner in which the consequences of this principle were traced out.
We have already noticed, as one of the books which most drew
attention to the true doctrine, in this country at least, Dr. Wells’s
Essay on Dew, published in 1814. In this work the author gives an
account of the progress of his opinions; 60 “I was led,” he says, “in
the autumn of 1784, by the event of a rude experiment, to think it
probable that the formation of dew is attended with the production of