The Oxford History of Modern China

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 THE OXFORD HISTORY OF MODERN CHINA

JEFFREY N. WASSERSTROM is the Chancellor’s Professor of History

at the University of California, Irvine, where he also holds courtesy
appointments in Law and in Literary Journalism. He has written, co-
written, edited, or co-edited a dozen books on topics ranging from
human rights and revolutions to gender in Chinese history. His most
recent books are, as author, Vigil: Hong Kong on the Brink (2020),
and, as coauthor, the third edition of China in the 21st Century:
What Everyone Needs to Know (2018). He is a past editor of the
Journal of Asian Studies (2008–2018) and a past Associate Editor of
the American Historical Review. He is a member of the editorial
board of Dissent Magazine and is the advising editor for China for
the Los Angeles Review of Books. In addition to writing for scholarly
periodicals, he often contributes to newspapers (including the New
York Times, the Wall Street Journal, the Guardian, and the Hindu)
and magazines (such as the TLS, the Atlantic, Internazionale, and
the American Scholar). He has spoken at literary festivals in Europe,
Asia, and the United States and served as a consultant on “The Gate
of Heavenly Peace,” a prize-winning documentary film about the
Tiananmen protests and June 4th Massacre.
The fifteen specialists who contributed to the Oxford
History of Modern China are all distinguished
authorities in their field. They are:
robert bickers, University of Bristol
william a. callahan, London School of Economics and Political Science
james carter, Saint Joseph’s University
timothy cheek, University of British Columbia

emile dirks, University of Toronto

diana fu, University of Toronto
anne gerritsen, University of Warwick
ian johnson, Council on Foreign Relations

richard curt kraus, University of Oregon

kate merkel-hess, Penn State University
rana mitter, University of Oxford

stephen r. platt, University of Massachusetts, Amherst

s. a. smith, University of Oxford

jeffrey n. wasserstrom, University of California, Irvine

peter zarrow, University of Connecticut
THE OXFORD HISTORY OF
MODERN CHINA

EDITED BY
J E F F R E Y N . WASS E R S T R O M
 Great Clarendon Street, Oxford, ox2 6dp,United Kingdom
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Oxford disclaims any responsibility for the materials contained in any third party website
referenced in this work.
 PREFACE TO THE 2018 REPUBLICATION OF THE
ILLUSTRATED EDITION

The origins of this book lie in late 2012 and early 2013. This was a
notable moment in China’s history, as it was just then that Xi Jinping,
the current leader of the People’s Republic of China (PRC), was
being chosen first to become head of the Chinese Communist Party
(CCP) and then serve as President as well, posts that he was
expected to hold for ten years before relinquishing them to his
successor toward the end of 2022 and the beginning of 2023,
respectively. While a changing of the guard was taking place in
Beijing, I was inviting a variety of experts in modern Chinese history,
each of whom had demonstrated mastery of a particular period and
shown a flair for communicating with general readers as well as
fellow specialists, to join me in carrying out a kind of literary relay
race across more than four centuries of China’s past. More
specifically, I asked these scholars, most of them trained as
historians but with some political scientists mixed in as well, to help
me tell the tale of China’s modern period, which I was choosing to
define as beginning in the final years of the Ming Dynasty (1368–
1644), for reasons explained below in my “Introduction” to this
volume.
The finish line in this relay would be the aftermath of the 2008
Beijing Olympics, an event that continues to stand out as a major
turning point in the PRC’s rise to global prominence. After all these
main chapters, though, the baton would be handed off one more
time, for a victory lap of sorts, carried this time by historically
minded journalist Ian Johnson. My brief to him was to write a “Coda”
devoted to the “Presence of the Past” in an era that finds the CCP
presenting itself as an organization that draws on the wisdom of
Confucius while staying true to the traditions of Marx, Lenin, and
Mao Zedong (1893–1976)—a tricky balancing act when we
remember that the last of these considered the first a “feudal”
thinker whose beliefs had long hindered China’s pursuit of modernity.
The hardback edition of the book was published midway through
2016, just a year-and-a-half ago. Given that so little time has passed
since then, the text has not been updated except for the correction
of a few errors. In ordinary times, it might seem unnecessary to
comment in a Preface such as this about what has transpired since
the original version of the book appeared. Sometimes, though,
things that occur in an eighteen-month period can do enough to
alter the domestic situation within a country, the way it is viewed by
people living in other places, its standing in the international order,
or all of these things to justify at least a brief discussion of recent
events. As later chapters will show, for example, in the case of
China, a book initially published in the middle of 1910 and then
reissued in 1912 would certainly have benefitted from prefatory
remarks on the intervening end of dynastic rule, and even though
China’s political system was not altered by the protests and
massacre of 1989, it would have been important to preface a 1990
paperback edition of a 1988 work with comments on the tragedy of
the previous June.
Nothing as monumental as the 1911 Revolution has taken place
since the middle of 2016. It is also too soon to tell if the events of
the last year-and-a-half will come to stand out as a counterpart to
other decidedly lesser but still significant turning point moments,
which left the political system in place while altering other things.
There is a good case to be made, though, that the brief period since
the hardback edition appeared has been so extraordinary when it
comes to Chinese domestic politics and, even more so, China’s place
in the world, that an effort to take stock briefly of the current
context is in order.
Let’s begin with what recent months have revealed or
underscored about Xi. When the original edition was published, he
was already being described as the most powerful figure China had
seen since Mao, who ruled the PRC from its founding in 1949 until
his death in 1976, and Deng Xiaoping, his most influential successor.
There were not yet, though, academic centers devoted to the study
of “Xi Jinping Thought,” as there now are. Nor had Xi, his
eponymous set of ideas, and even the main international policy
associated with him, the “Belt and Road Initiative,” been formally
proposed for inclusion in China’s Constitution. Only Mao, who held
power from 1949 until his death twenty-seven years later, had seen
his name and creed invested with this sort of sacred status while he
was still alive, as even Deng, who was the most powerful person in
China from the late 1970s until his death in 1997, only received it
posthumously.
More generally, in 2016, it was still the norm to break the history
of the PRC into two main chunks of time, with the brief rule by Mao’s
immediate successor, Hua Guofeng, treated as a transitory
interregnum. There were the Mao Years, which ended in 1976, and a
Reform Era, which had begun at the end of 1978 or start of 1979
and was assumed to still be underway. At the 19th Party Congress in
October 2017, however, Xi pronounced that a “New Era,” a third PRC
epoch, had begun. Another important thing happened—or, rather,
did not happen—during that Party Congress. While the CCP
conformed to recent tradition by formally announcing the foregone
conclusion that Xi would be appointed for a second five-year term as
the organization’s head, they did not make it clear who would
succeed him when the next Congress was held. This has fueled
speculation that Xi may diverge from the pattern set by Jiang Zemin
and Hu Jintao, his immediate predecessors, and stay in control of
the country for more than ten years. He might well, some say, as
only a few were suggesting as recently as mid-2016, take a page
from Vladimir Putin’s playbook and find a way to stay in power.
Will the idea of 2017 marking the start of a “New Era” gain
traction in the coming years or fade away? Only time will tell. Some
future historians may argue for continuity stretching from Deng’s
time to the end of Xi’s days in power, whenever that comes. Others
may insist that a third epoch has started, but claim it began at the
moment Xi took power or earlier still. After all, the ratcheting up of
controls on civil society that are among the hallmarks of the Xi era
can be traced back as far as the midpoint in Hu’s decade in power,
and while China’s current leader has shown greater proclivity for
quoting the classics than any previous one, the wave of renewed
reverence for Confucius began around the turn of the millennium
and made its mark on the Opening Ceremonies of the 2008 Beijing
Games. Still, regardless of just how large they end up looming in
future works of history, the recent domestic developments
associated with Xi noted above deserve mention here.
If these were the only significant political events that had taken
place since the middle of 2016, however, writing this Preface would
have been merely optional, not essential. What makes it feel crucial
to include it is something that occurred across the Pacific from the
PRC, which may have profound implications for the trajectory of
Chinese history. At this writing, the unexpected election of Donald J.
Trump to the presidency of the United States seems to have
provided Xi with new opportunities in the international arena, and
distracted global scrutiny of the ongoing moves to silence opposition
within the PRC, that in another period would have gotten more
attention from foreign commentators and observers. The broader
slide of America’s global reputation, and, in Asia at least, doubts
about its full commitment to treaty obligations, has been a political
gift for Xi. This has led to seismic shifts in the world order that make
the centuries-long trajectory of China’s decline from, and return to,
international prominence feel differently than it did in mid-2016.
Then, the PRC was a country that had surged ahead economically in
extraordinary ways, but which still seemed more of a regional than a
truly global power, a secondary rather than primary player in some
key international spheres. Now, this is no longer the case.
One way to put this issue into perspective is to ponder the
question of which world leaders at different periods of time have
been credible candidates for the title of most powerful individual on
earth. China’s emperor might have been a good candidate for this
position at various points in the distant past, but thanks to the
military and diplomatic defeats that the country experienced during
the final decades of rule by the Qing Dynasty (1644–1912), no one
would have thought of asserting that any Chinese leader of the
1830s through the early twentieth century was the most powerful
person on the planet. During much of the late Qing era and the
entire Republican period (1912–1949), in fact, thanks to Japan’s
surge, China’s top leader was not even the most influential individual
in Asia.
Even in mid-2016, it was still assumed that when China’s top
leader met the President of the United States, the most that could
be said of the former was that this person might be a fairly close
second in influence and clout to the latter. By the fall of 2017, by
contrast, The Economist was describing the Xi-Trump summit in
Beijing as one in which the more “powerful” individual was the one
playing host. The magazine was not alone in this assessment.
Eighteen months is a very short period when it comes to the
centuries-long view of China’s past provided in the chapters that
follow, let alone within the much longer sweep of Chinese history as
a whole. In addition, if history is any guide, one thing we can be
sure of is that Xi and Trump, a pair of strongman leaders who share
important traits even while the restrained speaking style of the
former and bombastic one of the latter are a study in contrasts, will
be viewed differently than they are today, both within their own
countries and globally. Still, there is no question that, thanks in part
to these two men, the international order is not the same now as it
was a year-and-a-half ago. And the changes that have taken place
have implications for not just the present and the future but also, in
less obvious ways, for how the past is viewed and understood.
Coincidentally or not, Xi and Trump both like to tell simplistic stories
about history to present themselves as leading grand missions to
revive past glories. This book strives to show the value of taking a
longer and more nuanced view, which emphasizes, along with other
things, how politically charged stories about the past are themselves
one of the results—but not the only result—of complex historical
processes.

Jeffrey N. Wasserstrom,
January 2018
 CONTENTS

List of Maps
A Guide to Pronouncing Romanized Chinese
INTRODUCTION
Jeffrey N. Wasserstrom
1. FROM LATE MING TO HIGH QING, 1550–1792
Anne Gerritsen
2. NEW DOMESTIC AND GLOBAL CHALLENGES, 1792–1860
Stephen R. Platt
3. RESTORATION AND REFORM, 1860–1900
Robert Bickers
4. FELLING A DYNASTY, FOUNDING A REPUBLIC
Peter Zarrow
5. THE RISE OF NATIONALISM AND REVOLUTIONARY PARTIES,
1919–1937
James Carter
6. THE WAR YEARS, 1937–1949
Rana Mitter
7. THE EARLY YEARS OF THE PEOPLE’S REPUBLIC, 1950–1964
S. A. Smith
8. THE CULTURAL REVOLUTION ERA, 1964–1976
Richard Curt Kraus
9. REFORM AND REBUILDING, 1976–1988
 Timothy Cheek
10. TIANANMEN AND ITS AFTERMATH, 1989–1999
Jeffrey N. Wasserstrom and Kate Merkel-Hess
11. CHINA RISING, 2000–2010
William A. Callahan
12. THE PEOPLE’S LEADER: THE XI JINPING ERA OF CHINESE
POLITICS
Diana Fu and Emile Dirks
THE PRESENCE OF THE PAST—A CODA
Ian Johnson

Timeline
Further Reading
Index
 LIST OF MAPS

1. China during the Song dynasty (960–1279)

2. The People’s Republic of China
3. Expansion of imperial control during Ming and Qing times
4. How opium was brought into China in the nineteenth century
5. Uprisings and invasions during the late Qing
6. Foreign spheres of influence during the late Qing
7. How the country was divided (before the Northern Expedition)
8. Communist base areas and marching routes, 1932–1935
9. China circa the late 1930s
10. China at the end of World War II
 A GUIDE TO PRONOUNCING ROMANIZED CHINESE
(WADE-GILES AND PINYIN)

Since Chinese uses characters rather than an alphabet, many

different systems of romanization have been developed over the
years to help Americans and Europeans learn to pronounce the
Chinese characters. Until the establishment of the People’s Republic
of China in 1949, the Wade-Giles system had been the
predominant system, and it is still used as the official romanization
system in Taiwan. In their attempts to simplify the Chinese language
and to increase literacy among the Chinese people, the People’s
Republic of China (PRC) developed a new system, known as the
pinyin system. This system is now used by US newspapers and
many book publishers.
The following are a few tricks to pronouncing Chinese words
which are romanized using pinyin:
 Introduction

J E F F R E Y N . WASS E R S T R O M

When asked to free associate about China as a country, many people

will begin by referring to it as a large place with a giant population.
They may also describe it as a nation that in recent years has been
transformed by an economic boom, seen its status in the global
order rise dramatically, and now is home to some of the world’s most
massive and polluted cities. Some will mention the irony of it still
being governed by a Communist Party, but by one that curiously
accepts capitalists into its ranks. They may also bring up the fact
that parts of it now look strikingly modern yet it remains a country
strongly shaped by its past. One thing that many will stress is that
China has an incredibly long history, meaning that to make sense of
its present, it is crucial to keep in mind enduring cultural traditions
that began in the era of the country’s great axial age sage Confucius
(551–479 bce). It is common to assume that the contemporary
country needs to be seen as the product of ideas, beliefs,
institutions, and practices that go back to Confucius or even further.
A phrase that has recently assumed mantra-like qualities via its
appearance in everything from textbooks and newspaper editorials
to speeches by leaders is that “5,000 years of Chinese civilization” lie
behind and inform what goes on in the People’s Republic of China
(PRC). For those who teach and write about modern Chinese history
for a living, such as the stellar array of specialists in different recent
periods responsible for the chapters that follow, the set of widely
believed ideas about China just described, especially the notion of
China’s massive size and the longevity of its “civilization,” are both a
blessing and a curse.
They are a blessing because the assumption that the country is
important and shaped by history means that we do not have to work
as hard to justify our interest in and passion for our subject as some
of our colleagues working on other places. They are a curse
because, when taken together, the constellation of notions just
outlined distorts important things about both the kind of country
China was in previous centuries and the kind of place the PRC is
now.
Consider, for example, the way that a fascination with China’s
great size, when combined with a belief in the shaping power of
something called “Chinese civilization” stretching back in supposedly
continuous form for many millennia, can warp the geographical
imagination. Many people inside and outside of the country find it
natural to assume that when they see a map of the PRC, which was
founded in 1949, it portrays a country that may have grown a bit
over time but nevertheless always looked something like it does
now. In terms of the location of its borders, this kind of thinking
goes, surely they are not so different from what they were back
when the ruler of the Han Dynasty (206 bce–220 ace) held power—
while the Roman emperor Hadrian was building a wall at the other
end of Eurasia. Or further back still, when the first emperor of the
short-lived Qin Dynasty (221–206 bce), the celebrated and infamous
unifier (as closely associated with the Great Wall as Hadrian is with
his eponymous one), brought together smaller warring states to
form a single great country. Perhaps, many will acknowledge, the
specific locations of some borders were once not quite the same, but
surely the differences were minor rather than fundamental or just a
matter of a specific territory, such as Taiwan in recent times, being
politically part of or separate from China proper.
At least, this powerful though inaccurate logic goes, there are
basic things about China’s territorial spread that have been constant.
Is it not true, for example, that the country has long been and is still
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