INTERNATIONAL LIBRARY OF SOCIOLOGY UNDER AND SOCIAL RECONSTRUCTION THE ANCESTORS SHADOW Editor:Dr.Karl Mannheim Chinese Culture and Personality 的 FRANCIS L.K.HSU LONDON HAROLD ROUTLEDGE KEGAN PAUL LIMITED BROADWAY HOUSE,68-74 CARTER LANE,E.C.4 024472
FIRST PUBLISHED IN ENGLAND 1949 at the of A.L owever,the nd is ot to be 6, of its grant, any of the or views To Ralbb Linton PRINTED IN GREAT BRITAIN BY LUND耳UMPH具IBS LOND0N·BRADFORD
PREFACE IN I have attempted to do three things.In the first place,I have given a description of a small semi-rural community in southwest China,and have analyzed its culture with particular reference to its patterns of family and religious life.I have explored the role played by this culture in the personality formation of the individuals who make up the community.Finally,after describing the several per- sonality configurations that are found here,I have indicated their applicability to Chinese soceyaswhole,both past and present. Pending further studies of the unity of Chinese culture, which I am convinced that work in the future will reveal,I can only record my conviction that the essential social structure of the community I have studied is typical of China as a whole. This is not entirely hypothetical,however,since there is evi- dence,with which I will not burden the reader,to indicate that this unity is at least as valid a supposition as is the conception that Chinese culture is marked by diversity.1 The field materials which form the basis of this book were collected between July,1941,and June,1942,and again be- tween July and September,1943,while I was serving on the faculty of the National Yunnan University,Kunming.Field work in those days was exceedingly difficult.The inflation neces- sitated a constant stretching of means to meet constantly in- creasing expenses.When I arrived at West Town,prices were roughly fifteen times their 1937 level.At the end of my sec- ond trip they were more than two hundred times as high.Again
viⅲ PREFACE PREFACE ix the area,though never overrun by the enemy,was nonetheless checking the statements of one informant against those of an- affected by the war.Conscription,which most families,ignorant other.But I was,nevertheless,though regarded sympathetically, of its purpose,attempted to escape,was enforced during the always the outsider,despite the fact that as far as physical ap- entire period of my stay.Under these circumstances,it is under- pearance is concerned I seemed no different from those who standable how any outsider,especially one who constantly went made up the community. about asking questions,was an object of suspicion.My second I am indebted to numerous persons without whose aid this visit,furthermore,was made after the fall of Burma,which book would not have been completed,and to others who helped brought the war closer to West Town than before and caused me make of it a better book than it otherwise would have been. tensions to rise correspondingly higher. To Dr.Hsiao-tung Fei,a colleague of mine at the National Yun- The financial problem posed by the inflation was largely met nan University,I owe its title.I had many stimulating discus- by the generous aid of the Economic Council of Yunnan Prov- sions of its materials with Mr.Kuo-heng Shih and Professor ince under the direction of Mr.Yun-t'ai Miao and the late Tung-tsu Chu,also colleagues of mine in the same institution Dr.Pei-chi Yuan.The difficulty of obtaining rapport and con- Mr.Shih was born and brought up in a rural section of Hupei, fidence was partially met by the circumstance that I held a and the comparisons we were able to make between my findings temporary position as a teacher in the missionary college which and the customs of his home community were most illuminat- took refuge in this area.This made it evident to most West ing.I am grateful to Dr.Ralph Linton for friendly interest and Towners that even if I was not free from prejudice against local for his valuable criticism of the manuscript,while his recom- religious practices I was at least not a secret agent of the gov- mendation had much to do with bringing the work to publica- ernment attempting to extract information which would lead tion.Dr.Talcot Parsons,Dr.Clyde Cluckhohn,and Dr.Robert to the discovery of more conscripts. Redfield read the manuscript in its first draft form,and I have Inflation actually was not entirely an evil from the point of benefited greatly from their carefully drawn suggestions and view of my research,since it lowered the standard of living of criticisms.To the Viking Fund I am indebted for a fellowship scholars to the level of the laborer and the small trader,if not under which much of the manuscript was completed and for below their level.Therefore much of the attitude of awe with agrant which made its publication possible.To Dr.Paul Fejos, which the scholar was regarded disappeared,and with it the Director of Research of the Viking Fund,I am indebted for his feeling of inferiority traditionally felt toward the intellectual. personal encouragement and his understanding of the difficul- In fact,it was often the scholar who became,deservedly enough, ties inherent in the situation of a newcomer in this country.To an object of sympathy.I thus enjoyed during my field trips Dr.K.A.Wittfogel I am indebted for our many discussions on many opportunities to enter into intimate relationships with the structure and functioning of Chinese society.Major Paul T. persons who probably would not have otherwise given me their Hensen,of Syracuse,N.Y.,and my brother,Mr.K.K.Hsu,of confidence. Tientsin,were most kind in extending financial aid while I was Despite this,I make no claim that I was always treated as one in the field and while I was working on the manuscript,and of the group by West Towners.I employed the usual anthropo- Dean G.Watts Cunningham,of the Graduate School of Cornell logical techniques of observing,listening,participating in feasts, University,made available a research grant which financed the ceremonies,rituals,and family gatherings wherever I could and analysis of the "District Histories."Messrs.Jowitt Chao and Chi-
PREFACE hwei Wu,now pursuing graduate studies at Cornell University, helped greatly in the difficult task of extracting the necessary information from the "District Histories."I am also indebted to Mr.Jim Lee for the decorative drawings at the beginning of CONTENTS each chapter,to Mr.Chen Wu for the ideas which formed the basis of several of the drawings,to Mrs.Tung-tsu Chu for the Chinese characters in the various diagrams,to Miss Laurel Wagner for the diagrams themselves,and to Miss Ida Lynn and I.INTRODUCTION Miss Eugenia Porter for their skilled work in editing the manu- A Point of Methodology 2 script and producing the book.Finally,I acknowledge my in- The Field debtedness tomy wife,Vera Hsu,for the great help she has been YIN CHAI AND YANG CHAI:WORLDLY AND OTHER- to me at all times. WORLDLY RESIDENCES F.L.K.H. Graveyards Family Shrines and Clan Temples Nortbwestern University 52 Evanston,Illinois III.LIFE AND WORK UNDER THE ANCESTRAL ROOF 56 Relationship in the Family Home Livelihood Activities IV. CONTINUING THE INCENSE SMOKE 7 Preferred and Disfavored Types of Mating 9 Betrothals and Weddings 85 Matrilocal Marriage Remarriage and Concubinage v. PROPAGATION OF THE ANCESTRAL LINE The Big-Family Ideal 88 Division under the Same Roof The Clan and Its Solidarity I22 VI.HOW ANCESTORS LIVE 3 The World of Spirits Man's Relation with Spiritual Worlds 44 Death and Funerals I Death Away from Home 63
啦 CONTENTS COMMUNION WITH ANCESTORS I66 Pilgrimage to Graveyards 178 Ancestor Festivals 182 Communal Worship 19I PLANS AND DIAGRAMS VIII.INTRODUCTION TO THE ANCESTRAL WAYS 198 Birth and Care of Infants 199 Educational Objectives 205 WEST TOWN 7 Methods of Education 213 A WEST TOWN GATEWAY 31 School and Scholarship 233 PLAQUE SHOWING LAUDATORY INSCRIPTION IX.THE ANCESTORS'SHADOW 236 C HOUSE 3 Safety Valves 243 Y HOUSE 35 In the Penumbra 249 CH HOUSE 心 X.CULTURE AND PERSONALITY 256 THE HOUSE OF A POOR FAMILY 42 Authority and Competition 257 Y FAMILY GRAVEYARD The Basic Personality Configuration 260 44 A MORE RECENT GRAVEYARD OF Y FAMILY Status Personality Configuration 267 5 Summary 276 TOMBSTONE OF W.F.CH'S GRANDFATHER A CLAN TEMPLE XI.WIDER CHINA 279 TERMS OF ADDRESS ON FATHER'S SIDE 6 APPENDICES TERMS OF ADDRESS ON MOTHER'S SIDE I.The Distribution of Living Quarters in Three TERMS OF REFERENCE ON FATHER'S SIDE 62 Households 292 Cases of Concubinage 298 TERMS OF REFERENCE ON MOTHER'S SIDE 63 I.Size and Distribution of Households 300 MATRIMONIAL RELATIONSHIPS OF C FAMILY 82 Iv.A Study of Family Prominence 30r MA'TRIMONIAL RELATIONSHIPS OF THREE FAMILIES 84 ORTHODOX MARRIAGE INDEX I0I MATRILOCAL MARRIAGE I02 ZOU MEI MARRIAGE 1o3 C FAMILY 292 C HOUSE,SHOWING DISTRIBUTION OF LIVING QUARTERS 293
xiv PLANS AND DIAGRAMS Y FAMILY 294 Y HOUSE,SHOWING DISTRIBUTION OF LIVING QUARTERS 295 CH FAMILY 296 CH HOUSE,SHOWING DISTRIBUTION OF LIVING QUARTERS 297 UNDER THE ANCESTORS'SHADOW
Chabter I INTRODUCTION WHEN I was about fourteen years old,I overheard a con- versation between my father and my oldest brother,who was twenty years my senio.They were talking about the rise and fall of some families with whom they were acquainted and about the cir- cumstances involved.My oldest brother concluded with the following observa- tion:"Wealth is treasure of the nation. Every family can keep it only for a pe- riod of time.It must be kept circu lating."I do not recall my father's reac- tion,but since then I have been aware of the rise and fall of families,not only within my limited world of acquaint- ances but also in other communities about which I knew anything at all. It is interesting that Dr.Martin Yang,writing about the North China village in which he was brought up,of which he has in- timate knowledge,made the following observation:
INTRODUCTION INTRODUCTION 5 No family in our village has been able to hold the same amount of land for nent Chinese of the Ch'ing Period (A.D.1644-1912).Through as long as th or fou enerations.Usually a family works hard and lives the first of these works,which includes more than twelve thou- sandnsIhave compared the"native placesof all who pos- family holdings and it becomes well-to-do.Those of the third generation sess the same clan names.If two individuals of the same clan name merely enjoy themselves,spending much but earning little.No new land shared the same "native place"and were born from fifteen to is bought a gradually it becomes necessary to begin to sell.In the fourth sixty years apart,I assume that they were related in kinship generation more land is sold until ultim tely the family sinks into poverty.This cycle takes even less than hundred yearsto and might be father and son or grandfather and grandson.The a5a” result of the survey was to find a surprisingly small number of individuals who came within the specifications.5 want,they realize the necessity of hard work and self-denial to repair the The second work gives the biographies of about seven hundred family fortune.By this time the original big family is gone and in its individuals within a single dynasty and much detailed data about several small,poor fa nilies.Some of these begin to buy and.Thus theme their immediate origin,life,and work.My examination of these data shows that intellectual and especially political prominence As far as the ratio between resources and population is con- rarely endured continnously for more than two generations in cerned,under given conditions of technology,such an observa- any given family,particularly along the direct lineal line.There tion falls short of plausibility and even verges on naivete.For are even few cases in which father and son were both eminent overpopulation is an obvious fact in China.Even where all cul- enough to be included as two separate entries. tivated land is equally distributed among the farmers,the holding Arthur W.Hummel,ed.,vols,Washington,D.C.4 mdoe families to pros- heennetionan,inrctstigationco d ctodbyK.LWyictfoscl,alhedinagauthoe per.Yet when one considers all families as being under the same d and the bro conclu unfavorable conditions,he will have less difficulty in confirming 、thef6女oCeo the above observation concerning family vicissitudes. c)we might be der the guidanc our riend and temporary Furthermore,fluctuations in family fortunes do not pertain only to the peasants.They are also evident among illustrious of households of the Empire.Some of these households rose to promi- and Ch (-906) nence in a few generations.Most of them degenerated very rap- idly and fell to commonplace levels in a few generations.Many of them rose and fell within two generations may ftom th In search of some documentary support,I examined the con- tents ofsome books,among them Native Places and Dates of of China's socio-ecor Birth and Death of Noted Men in Various Dynasties 3 and Emi- Taken superficially,Dr.Witt- that familie vealed two things If we represent an individu Chn Lau Nic Li Pei hghai, or even A-A-A-A
6 INTRODUCTION INTRODUCTION 7 It may,of course,be objected that these two works only lies closely.I found that the behavior exhibited by members of recorded the individuals who reached considerable heights and fail the rising families and those of the falling families were sharply to touch upon others who were in humbler stations.This objec- contrasted.The climbers tended to be careful,rational,frugal tion is met by a study of the biographies in district histories,the industrious,and sincere.Those who were declining tended to be details of which are given in Appendix IV. vain,impulsive,extravagant,carefree,and arrogant.Then I con- Bearing the limitations of such records in mind,one cannot sidered the rise and fall of dynasties and examined some literature but be struck by the facts which they do reveal,particularly in a which attempted to explain this so-called cycle of Chinese his- culture in which,up to very recent times,the only important goal tory.The author of the famous historical novel Tbe Romance of of life for the majority of those who were gifted and motivated Tbree Kingdoms began his great work with this fatalistic ob- toward success was to attain a high place in the bureaucracy. servation:"The conditions under heaven are such that,after a When we realize that political prominence did not depend upon long disunity,there will be unity;after a long unity,there will be the man-land ratio,but very strongly upon influence,especially disunity.”8 family influence,the facts revealed by these records become even Historians who employ the methods of the social sciences ad- more striking.As a proverb has it,"If one man has found the vance,in general,two schools of thought on the subject.One is path of savation,even his chickens and dogs enter heaven with led by Dr.K.A.Wittfegel,who sees the Chinese society as con- him."7 sisting of three sections:(a)the state,or the ruling aristocracy, Thus,we have a contradictory situation.On the one hand,the (b)bureaucracy,and those who maintain a symbiotic life with inherent tendency of the mechanism of social and political climb- it,and (c)the masses,or the peasants.The explanation is that,as ing should cause prominent families to continue their prominence time goes on,the second section of society tends to fatten at the indefinitely,particularly along the lineal line.On the other hand, expense of the others,thus leading to a general crisis and the fall these prominent families tend actually to decline within compar- of the dynasty.In Dr.Wittfogel's own words: atively short periods of time. Why do families rise and fall?I looked at some of these fami- type and accumulation of private possession of land in the hands of officials,"gentry,"and great merchants,reduction of land or (II)A-O-A,or A-O-O-A or even A-0-O-O and O-O-O-A.Sometimes the indi- enfeebling of the state,agrarian crisis,internal crisis,external crisis -invasions-state crisis.Although this vicious ineprntedere noof the e period n A-A ically smoothed over by the fall and rise of"dynasties,"it could never be really overcome. was about as frequ The other school of thought,based upon the comparatively con q￥ of the degree or more obvious fact of overpopulation,is older and therefore more 8This passage has been translated differ necicalho7maykeinhat,5oaewiadhddboRged砂oo mpires wa ars without Shanghai,9,.The difference in meaning between thi may may prove Econ