Name: Fan Xiao Lin  Student ID: B08026

Research paper supervisor:Dr.Sekou Conde

School of Economics    Minzu University of China

2008-2009 Academic Year

Abstract

The economic development in ethnic minority areas must have a suitable model of development that is a result of the scientific concept of development carried out under the guidance of. Ethnic minority areas as a result of historical reasons and practical constraints, the formation of large mixed various ethnic minorities, the geographical pattern of small settlements, ethnic minority areas in the process of regional economic development, it shows awareness of different cultures into different economic concepts and value judgments. The establishment of ethnic minorities in the development mode, not simply the pursuit of economic growth and efficiency of economic development, we must pursue a comprehensive economic and social development, that is, the nation must be under the guidance of scientific development concept, in the pursuit of economic development, accelerate the achievement of national between regional and national economic and social harmonious development.

Keywords

 Ethnic minority   development   model of economic development

Introduction

 The concept of minority economic is based on a particular minority ethnic group as the main body of ethnic minorities, have a common history, common features, common interests relationship [1].The formation and development of ethnic group economy is based, no ethnic group has its own internal economic ties and common economic life, at the same time, between different ethnic groups have taken place in economic exchanges between each other that there is a mutual influence of the economic relations. Internal of Ethnic group and external ties of ethnic group economic, or contacts of such relations is not only the basis of the ethnic group economy, but also all ethnic group survival and development. Ethnic group l economic development is the basis of the rise and fall of the ethnic group; how to promote ethnic group economic development and prosperity of a ethnic group to ensure prosperity.

China is a country with 56 ethnic groups of countries, more than 55 ethnic minorities living in the southwest. China's 22,000 kilometers of border line, there are 19,000 in the ethnic minority areas, where living is more than 30 ethnic groups, the border population of nearly half of the total population, its economic development, diversity and economic development of the various ethnic minorities are an important part of China's economic development.

1. The situation of ethnic group areas economic development

Since Reform and Opening up, especially since the development of the western region, the western region's economic development the ethnic group has maintained a high growth rate, economic and social undertakings have achieved notable success.

 1.1 Significantly enhance the economic strength 

In 2005, the ethnic group GDP of 172.4 billion RMB, accounting for the total national GDP of 8.8%, compared to 2004 increased 0.28 percentage points; per capita GDP reached 9,286 RMB, equivalent to the national average of 60.1% over 2004 years to increase by 2.3 percentage points [2]. "The Tenth Five-Year Plan" period, the ethnic group’s economic growth rate of 11.7%, higher than the " The Ninth Five-Year Plan" period of 3.1 percentage points.

1.2 People's living standards improved steadily

In 2005, ethnic minority areas of urban residents per capita disposable income 8833 RMB, for the national average of 84.2%; rural residents 2277 RMB per capita net income for the national average of 70.0% [3]. In 2005, ethnic minority areas of family Engel coefficient of urban residents was 38.7% (national 36.7%), the per capita living area of 25m² (National for 25m²); Engel coefficient of rural households was 50.0% (National 45.5%), per capita living space to 24.3m² (nationwide for 29.7m²), are relatively close to the national average.

1.3 General improvement of Infrastructure

In 2005, ethnic minority areas for society as a whole 937.43 billion RMB of investment in fixed assets. " The Tenth Five-Year" period, the national society as a whole area of investment in fixed assets reached 3.0204 trillion RMB, with an average annual growth rate of 25.6%, than the "Ninth Five-Year Plan" period 13.7 percent of high points, but also higher than the national average annual growth rate of 4.7 percentage points . Since 2000 since the implementation of western development, the state has the nation in the western region of the Qinghai-Tibet Railway construction, gas, electricity and other 70 key projects, a total investment of more than 980 billion RMB. As of the end of 2005, 39 have been completed, a total investment of 450 billion RMB [4]. In 2006, countries in the western region started 12 new key projects, the total size of 165.4 billion RMB of investment, involving transportation, energy, ecology and other fields. By the end of 2005, national regional state-owned rail business process 17,900 kilometers, accounting for 23.7 percent of the country, than the "Ninth Five-Year Plan" at the end of an increase of 03,700 kilometers [5]; road traffic mileage of 532,000 kilometers, accounting for 27.6% of the whole country, than the "Ninth Five-Year Plan" at the end of an increase of 196.2 thousand kilometers.

1.4 It is a great achievement in Health, cultural and educational

Cultural infrastructure in minority areas was gradually improved. In 2005, ethnic minority areas of thousands of people every culture you have the number of units have more than the national average; radio and television coverage reached 85% and 90% [6]. Mass culture of ethnic minorities and its quality improved. According to statistics data show that the minority population in 2000 the average education was 6.75 years, an increase of 2.2 years in 1990, Korean, Manchu, Mongolian, Kazak and other ethnic minorities 14 years of schooling than the national average (7.63 years), the minority population in 1990 the illiteracy rate has dropped to 30.0 percent in 2000 to 14.5% [7]. By the end of 2005, ethnic minority areas have basically achieved the goal "of universal secondary education." Minority areas are also the cause of the rapid development of health, by the end of 2005, national health organizations, there are 46,000, of which number of beds in health institutions 450,000, accounting for 13.4% of the country; health technicians 579,000, accounting for 13.0 percent nationwide.

2. Nationality and regional co-existence of space in economic and social development in the western ethnic minority areas of the salient features

2.1 Nationality and regional time at the following co-existence of space in economic development in the western ethnic minority areas a notable feature [22]. Specific performance in the following: economic activity and economic behavior is for their own specific historical accumulation of cultural heritage and ethnic minority culture to the people, economic activities are subject to specific historical and cultural constraints, it is not only economic and cultural links and with unity and indivisibility. People's economic activities, are specific national Military carried out in a specific geographical, and some of the national territory, which constitute the main component of productivity. Because living environment and the diversity of economic activities, creating a mix of personality characteristics of ethnic minority culture. It has also known as the impact of name of ethnic minority survival and development, because material production activities resulting from the awareness of a specific culture. As a ethnic minority -specific cultural values and activities of the national economy from a huge role, the characteristics of ethnic and cultural values, moral consciousness and behavior preferences, options and etc. as a ethnic minority -specific cultural values and activities of the ethnic minority l economy from a huge role.

2.2 The western ethnic minority economic and social development in ethnic minority areas has their own characteristics, these features provide for the economic development of the national characteristics of the region [8]. As follows: First, ethnic minority economic development in the region in addition to consistency with the characteristics of national economic development, there are also the most distinctive personality traits of ethnic minorities, that is, regional economic development in the main "man" is ethnic minority groups. The existence of ethnic groups as a result of the development of a huge difference, determines the concept of development in ethnic minority areas is different, and the vast numbers of ethnic minority groups in the region's economic development objectives, modes of understanding, constitutes a unique concept of development in ethnic minority areas . Second, the western ethnic minority regions of their own unique traditional culture, social structure and values, on economic development in ethnic minority areas had a major impact. Therefore, the market in resource allocation and regulating role of micro-basis, or median -level to the Housing of the Government's regional development regulation, or the macro level the central government's macro-control, must be adapted to regional development in minority areas of the special needs of can not engage in "one size fits all [9]." Third, due to historical, geographical and cultural differences, economic development in ethnic minority areas have been showing multi-level, differences in characteristics. Fourth, as a result of the development of productive forces and the River Habitat differences in natural conditions, making the ethnic minority economic development in the region's industrial structure, market structure and consumption structure, production methods, such as a huge difference. In short, economic development in ethnic minority areas has shown the level of diversification and development of the situation, so in research, policy-making and planning model of economic development in ethnic minority areas must be fully aware of these characteristics.

3. Minority areas the main problems

 Minority groups basis due to the development of weak market conditions are poor, weak capacity for self-development, economic and social development there are still problems.

3.1 Still relatively low level of economic development

First of all, the economic aggregate small. In 2005, the ethnic regions GDP for 1742.8 billion RMB, national GDP accounted for only 8.8% of the total; per capita GDP for 9286 RMB, only equivalent to the national average of 60.1%[10]. 2005 National hundred counties (cities), the ethnic minority areas account for only 3 months.

Secondly, Ethnic minority areas have the irrational industrial structure. Ethnic minority areas and the industrial development of the tertiary industry are lagging behind, and a far cry from the national average. In 2005, ethnic minority areas first, second and tertiary industries in GDP of 323.63 billion RMB, respectively, 731.74 billion RMB and 687.44 billion RMB, three times the ratio of industry structure 1:2.3:2.1, and 1:3.8:3.2 nationwide [11]. At the same time, high input, high consumption, high pollution and low output of the extensive mode of development, has not been fundamentally changed. In 2005, the national agricultural gross domestic product accounted for 14.0% of the country's agricultural water consumption accounts for 31.2% of the whole country; industrial GDP accounted for only 8.4 percent nationwide, but the industrial wastewater emissions of 11.0 percent nationwide, industrial emissions accounted for 14.3% of the country, industrial solid waste accounts for 30.1 percent nationwide.

3.2 To break the myth of GDP, to establish all-round development of the concept

The purpose of economic development is to enhance the economic aggregate, material to create more wealth and capital, which is good, but if the "economy first" social force will be "the development of the cliff [12]." Rising GDP does not mean people will increase the well-being. Because of the need to be divided into different categories, the basic survival needs, needs, development needs, from low to high, only after the first, and gradually resolve. Of course economic development is to enhance the well-being of people the main mode. However, GDP can not fully reflect the well-being of people in ethnic minority areas. Ethnic minority areas because there is a network of primitive slash and burn times and both times the situation of economic and social development during the test rate, the GDP not only local considerations, must be from a particular ethnic minorities, as well as consider their living conditions. Only from the local ethnic minorities from taking into account the actual situation, its historical stage is the realization of the fundamental development of ethnic minorities, ethnic minority areas is to achieve sustainable development.

3.3 The lack of high-quality personnel

As a result, it has inadequate investment of education and in a lack of high-quality talent in ethnic minority of west areas. First, there is a long way to go in basic education. By the end of 2005, the country achieve the "two basics"[13] (nine-year compulsory education basically universal and basically eliminate illiteracy among young and middle-aged) population coverage reached 95%, while the remaining 5% minority is concentrated almost entirely in ghettos. In ethnic minority areas in 699 counties, there are 150 "two basics" is not standard. To achieve the "two basics" of the ethnic minority areas, there are many loans and loans through to completion. Second, the stage of development lags behind the high school level. Ethnic minority areas in 2005 increased in junior high school gross enrollment rate was only 39.5%, lower than the nearly 3 percentage points; ethnic minority areas of thousands of people in each stage of the high school level students for 2273 were less than the national average 797 people. Third, the minority people of low educational level [14]. In 2000, the minority average number of years of education was only 6.75 years to 7.6 years on average national number of years of education and the illiteracy rate of 7.8 percent compared to very different.

3.4 Lack of backbone Industry and medium-sized enterprises

Firstly, there is weak lead of the pillar industry. Western minority areas was the central and western regions of China's large-scale "three-line Development strategies" an important region. According to statistics, since the PRC were founded to at the end of "the Sixth five-year plan", the state investment in the western region of up to more than 1000 billion RMB, accounting for the original country of "three line" areas of 11 provinces a total investment of more than 40%. Such a huge investment to build a base of heavy industry, mainly dependent on the production of a higher proportion of natural resources, and deep-processing industrial output to a considerable proportion of the end. Extractive industries and raw materials is the main component of heavy, low value-added industries, and with the local first, the three industries do not have a strong relevance to the ripple effect where it is very weak. There is short-chain of processing industry of various types, a high proportion of intermediate products, final consumer goods, the proportion of small, low value-added, leading to difficult resource advantages into economic advantages. These inputs in the industrial and mining enterprises account for a large proportion of the "embedded" approach into the national territory, their economy is basically running with the local ethnic minority phase separation of economic activities, not only when the lack of participation of the main local ethnic and no play radiation of the role of local industrial development. Secondly, there is the lack of backbone industry and the support of leading enterprises. In 2005, the national medium-sized industrial enterprises in the region play only 1899, accounting for 6.4 percent of GDP; and medium-sized enterprises to 9528.3% of GDP billion RMB, accounting for only 5.7 percent of GDP. In 2006, China's competitive large enterprise groups in the top 500 list of the nation, only 13 companies selected. Thirdly, ethnic minority areas have very weak ability to innovate. In 2005, large and medium-sized industrial enterprises in minority areas R & D (research and experimental development) the proportion of the total staff of only 4.7%, R & D funding for the whole country was only 3.2 percent of GDP; new product output value accounting for only 2.8 percent of GDP, new product sales accounting for only 2.7 percent of GDP [15]; the introduction of foreign technology in the proportion of total expenditure was only 3.2%, digestion and absorption of total expenditure accounted for 1.8%, accounting for the purchase of the right technology expenditures accounted for 7.8% of the country.

4. To choose a models of wide range for development, and promote sustainable economic and social development in the western areas ethnic groups

The first reasons, economic development, human development is only reflected in the development of people is the real development of the scientific concept of development which is the basic content [16]. Other reasons, the development of the national economy is the main ethnic groups of all-round development of people, only people of all ethnic groups reflected in the development of real development, which is the scientific concept of development of the nation's basic content. Therefore, the economic development of ethnic regions, we must focus on national development and regional economic development of the organic integration.

4.1 Establish a ethnic minorities scientific development concept

 The development of the region is actually the government, the market and regional mutual support and coordination of the main process, the Government's decision-making measures, as well as the functioning of the market system must take into account the development objectives of the regional public recognition and understanding, otherwise it will be difficult to achieve high-quality Development Goals [17]. Similarly, economic and social development in ethnic minority areas must be the Government and the ethnic groups in the mutual efforts to achieve genuine development. The development of minority areas must be the development of the nation itself, not in terms of watching the development of the nation's economic development in minority areas. But in reality, "regional" factors and "ethnic" factor is not always entirely consistent, and very few have a specific region only one or several complete and pure mode and ethnic minority economy may be cross-regional and, therefore, is a close link between the two together, and a certain distinction. However, the "national" perspective, and not just limited to "national regional" in scope, but to explore all in line with the national situation, with national characteristics of the regional economic development.

 Economic development in ethnic minority areas must be the fundamental interests of minority groups, must be for long-term goal to get the support of the general public to obtain good results [18]. Therefore, ethnic minority areas in the development of regional economic development planning and the establishment of national economic development mode, we must follow two basic principles: First, that the rich people and grow the local economy, it is the basis and prerequisite conditions. Secondly, the ethnic value orientations guiding principle of economic development model. The mode of economic development and the nation to a combination of value orientation, and only received the support of the main ethnic groups can be a healthy economic development.

4.2 Actively promote the industrialization process, to take a new road to industrialization

Economic and social development in ethnic minority areas will inevitably be to go the road of industrialization, but in the process of industrialization in the path of choice to reflect the characteristics [19]. For a more than 300 million population, the country's total land area of 2 / 3 of the national region, the development of industrialization and the manufacturing sector will be an insurmountable stage of development. Ethnic Areas in Western China should make full use of its resources to occupy the strengths and advantages of the western development policy, to heavy industry as a leader, to update equipment to accelerate technological innovation, and vigorously expand the industrial chain, the development of deep-processing industry. It should be to play a ripple effect to Heavy industry the formation of regional industrial chain and enhance the overall competitiveness of the region. Western minority areas of the region is not isolated, only relying on the basis of the reality of the conditions given in order to follow their own development and the road of independent innovation, industrial development and associated areas of the industry chain is the nation's overall selection. Of course, the western industrialized nation to choose the region must take a new road to industrialization, that is, in accordance with the requirements of the scientific concept of development, out of a low consumption, low emission, high efficiency, can recycling, and sustainable road to industrialization, the construction of a resource-saving and innovative community.

4.3 Actively build excellent and strong regional enterprises, the development of growth poles

 In the current domestic and international competition, the internationalization of domestic competition, international competition and domestic competition has become increasingly blending the new situation, the western minority areas to accelerate the industrialization process, it is necessary to demand from the market, the playing resources to vigorously promote the advantages of industrial development characteristics , to build up a pool of excellent competitive companies, to promote regional industrial structure adjustment and upgrade. Ethnic minority areas in the western part of the Center is also the capital city a stronger economic base, a more complete industrial system, relatively reasonable personnel structure, and resources, can this part of the city as a regional growth pole development, the implementation of development and management of multi-polarization [20]. It should be to take full advantage of the relationship with its neighboring cities, to t use of the city’s "the spread of effect" and take the path of economic development of the industrial chain.

4.4 It should be implementing strategies to improve the overall quality of the nation

The backwardness of the economy was mainly due to "people" behind the economic development is the main "human" a combination of development, the economy is the economic mainstay, is the main economic activities. Western Ethnic reason behind economic development in the region, an important constraint is the personnel structure is irrational, a serious shortage of high-quality talent [21]. The development of the nation is reflected not only in the development of the entire ethnic groups, but also reflected in the development of a single tribe. The operation of a large number of modern capital and technology needs of high-quality personnel to operate, the western minority areas to develop first on the needs of economy and development personnel. Therefore, development should first solve the education problem, it is necessary to the implementation of human resources development strategies, promoting the development of national high-quality personnel. Way to ensure sustainable economic development of the talent pool and improve the overall quality of the nation, and promote equality between ethnic minorities.

In conclusion

To speed up the development of national economy should be diversified choice of mode of development, the implementation of sustainable development strategies [22]. Western of China ethnic group for the diversification of regional economic development status quo and big drama, the situation of small populated areas, the establishment of an appropriate model of development is economic and social development in ethnic minority areas important aspect of the group. This is not only related to the development of the complexity of their own ethnic groups and the richness of the humanities, but also to judge the value of culture itself. Therefore, in the selection of national regional development mode, not "one size fits all" approach to achieve the harmonious development of the situation, and to sub-level, diversified development, it is necessary to grasp the original areas of advantage, resources, and want to introduce innovative new industries, and enhance the localization of regional competitiveness, but also the development of characteristics of the economy, the formation of complementary resources, the industrial chain of convergence, the good situation of sustainable development.

At present, the western region can be said is in a very good opportunity for strategic development. First of all, it has already a good basis for rapid development from the western ethnic minority areas to see their own development. Western ethnic minority areas of energy, minerals, water-rich region, which is agriculture, animal husbandry, forestry products in main producing areas, the focus of tourism development zone, ecological demonstration areas, open areas along the border, multi-ethnic ghettos. These advantages have a comprehensive, scarcity and post-onset is the rapid development of the western minority areas of the solid foundation and an effective carrier, as long as the design of scientific planning and rational development and construction of the advantages of these resources can be quickly transformed into economic advantage. Secondly, it will face a opportunity for economic development of ethnic minority areas, the western region is faced with a very good opportunity for integrated development. In-depth development of the western region to implement, and its focus shifted to the industrial development, urban-intensive, and focus resources to development zones and border economic cooperation zones will be more inclined. This tilt will benefit ethnic minority areas to the west of the energy and heavy chemical industry, agriculture, animal husbandry, forestry, tourism, economy and water border crossings, transportation, electricity, geological survey, ecological construction and environmental protection in many areas.

References

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Name: Jia Haijian  Student ID: B08120

Research paper supervisor:Dr.Sekou Conde

Minzu University of China

2008-2009 Academic Year

Abstract: In past research,scholars paid much attention to the spirit of breaking Confucian ethics in A Dream of the Red Mansions. But born in Chinese traditional cultures whose core is Confucianism, Cao Xueqin could not be completely separated from its cultural soil, and was surely restricted by Confucian ethics and the related customs, though he went beyond the traditional thoughts in some aspects. As one of Cao's masterpieces, A Dream of the Red Mansions also reflect Confucian ethics at that times.So ,in A Dream of the Red Mansions,most of women are affected by the Confucian ethics especially the more cultivated young ladies .This reflects Cao Xueqin’s contradictory attitude to woman's virtues of Confucian ethics.This paper plans to discuss the following two aspects: one is the woman's virtues of Confucian ethics which is reflected by female characters in A Dream of the Red Mansions, the other is the girl's and Cao Xueqin's attitude to woman's virtues of Confucian ethics.

Key words:  A Dream of the Red Mansions, woman's virtues, Confucian ethics

A Dream of the Red Mansions（The Red Chamber Dream or The story of the stone）is one of China's most famous novels. Everyone who is familiar with it knows Cao Xueqin conceives Prospect Garden which is "an island of purity in the sea of squalor and dirt that is the outside world ".[１]Although this is a more pure world than the outside society, it can not avoid the domination and manipulation of the male world. In this female world, every of them are affected by the Confucian ethics,especially the more cultivated young ladies. CaoXueqin sympathizes with their fortunes,compliments their purity,approves and admires their woman's virtues of Confucian ethics reflected by their daily behaviours and even the spirit of breaking Confucian ethics. These reflect Cao Xueqin’s inconsistent attitude to woman's virtues of Confucian ethics.In this article, I plan to discuss the following two aspects: one is the woman's virtues of Confucian ethics which is reflected by female characters in A Dream of the Red Mansions, the other is the girl's and Cao Xueqin's attitude to woman's virtues of Confucian ethics.

1.How to contact with men

China has a long history of five thousands and the civilization means different positions of men and women. Confucius set up the Confucianism that looked down upon women for two thousand years. Chinese women had a history of being subjective to men. In the period before Han and Tang Empire, women’s position was not so humble. Noble and normal women have the right to find new husbands and new life after being a widow. But after Song Empire, under the philosophy of Confucian school, women’s position was so low and women’s right was ignored by the society. Woman was forced to be faithful to their husband; even the man had died before marriage. During Ming and Qing period, virginity of women was so highly praised and there were so many honorific archways for praising women’s virginity.

One of the most important principles of the Confucian ethics is “males and females should be distinguished” and “it is improper for man and woman to hold each other's hands,pass objects from hand to hand”[２] Unmarried girls are not permit to go outside the gate. There is seldom chance for them to meet men, if there is any, are their relatives. There is big problem when communications have been taken place between man and women especially related to sex. “Compare a maid maintains her chastity to a general defends a city, she must be cautious. There is no chance to live if she had made a mistake. Thus ‘there is nothing to worship but your virginity’.”[３]A maid cann't contact with a young man unless her parents permit or a matchmaker introduces.And this man will be her backing and authority of entire life. So, under the Confucian ethics order, especially after the Song and Ming Empire, if a maid combined with a young man without her parents’ or a matchmaker’s permit, she will be viewed as a lady of easy virtue and this will be viewed as a stain accompanying her entire life. This conduct was not only a scandal of herself but also a scandal of her entire family. So,women have to check erroneous ideas at the outset.Even a slight tendency of such kind of thoughts in her mind will be viewed as a transgression of ethics. This is the reason why woman’s moral education is attached great importance in communication with men. The social standards by which women are graded into good and bad center on the issues of chastity and fidelity. An aristocratic family like Jias, use this standard to embody their nobility.

Jia Baoyu, as an exception, with Grandmother Jia’s--the head of the Jias-- favor, lived with his sisters in the Prospect Garden. These sisters including not only the sisters share the same surname with him, but also cousin,for example, Daiyu, Baochai, Baoqin and Xiangxun and so on. So the family provided a relatively free circumstance for them to communicate and contact with each other. Though the objects are limited and the scopes are narrow, this constructs a circumstance to test their woman's virtues of Confucian ethics. Then the fact confirmed: no matter what different backgrounds of them, all the girls abide by the rules of woman's virtues of Confucian ethics, otherwise it would be hard for them to have a foothold somewhere. Cao Xueqinapproves the ones whose words and deeds abide by the traditional ethics and he sympathizes with who are tightly bound by the traditional rules, but lack of the critical spirit towards the circumstances that causes bondage.So,"Cao Xueqin reflects the idologies of its times rather than challenging them"[４].

Cao Xueqin apprises Daiyu for his noble-minded and incorrupt characteristics, especially when dealing with the relationship with Baoyu, she abides by the courtesy and is full of self-discipline.(On one aspect, the traditional formality constrained them; on the other aspect, Cao Xueqin would like to explore and purchase the ideal model for love; that’s why Baoyu and Daiyu enjoy an unsophisticated relationship between each other.) More than one time in the novel says that Daiyu was annoyed with the flirting words of Baoyu and always avoids to "pull and drag this way or that"(chapter23,26,30,32,etc);she relies heavily on the “parents’ order” about marital problems; the long and miserable progress of sounding out between them and so on. The readers can see the heavy chains of Confucian formality on them through such actions and can feel such kind of atmosphere from it. The dense fog of traditional moral penetrates the whole society and the girls in the Prospect Garden included, just as Lu Xun，who was a famous writer of Republic of China, said: “the miserable fog fills the novel”.[５]Cao Xueqin’s sympathy and love towards her mainly on her life experience but did not doubt about the Confucian formality obviously. So,I deem that Cao Xueqin’s attitude is antinomy. He realizes young women oppressed by traditional formality and he also praises the person who abides by the traditional formality.

Certainly, human's inner world is extremely complex.Lin Daiyu's contradiction, the pain and melancholy,besides the oppression of traditional Confucianism and pursuit for ideal love,looked from the psychologic angle,Lin Daiyu and other girls’ miserable struggle has also related with their ages.Their age are mainly between 13 to 17 and being in the “wandering” period of life. “Wandering about desire and hatred, hope and fear, denied what she wanted”, “Pacing back and forth between childhood's independence stage and woman's subdued stage”.[６]The young women grown in the narrow space, some of them are sensitive and miserable such as Daiyu, so they have much pain.Others are open-minded ,informed,and the ability of accepting outside things or self-adjustment may be better.  Such as Baochai and Xiangyun,they can get out of miserable life. They make the"external" traditional ideas become the rules of conducting themselves in society and form a part of individuality. They fulfill the rules on their own initiative.So,they have few conflict and pain in spirit.

Cao Xueqin also admires the latter kind of female characters. Shi Xiangyun is a girl with manliness : "Happily she is born too courageous and open-hearted","Never to take a love affair to heart"[７]. Her behaviours like cut the raw venison to toast, sleeping in the peonies because of drunk as well as other daily words and deeds are free and easy.Cao Xueqin cannot conceal sentiment of the appreciation for this temperament .Cao Xueqin points out "never to take a love affair to heart" which has some profound meanings. The formation of one kind of individuality often can boil down to innateness and posteriority.For formation of XiangYun's individuality,Cao Xueqin is inclined to the innateness.However, if there is no guiding of ingrained woman's virtues of Confucian, she would have been more free and have less restrictions. She also "dummy up" when the male genearch present and feels shameful for falling asleep in the peonies. Therefore, in this sense, Cao Xueqin's appreciation for XiangYun's individuality implies Cao Xueqin's approval to the traditional woman's virtues.She is also affected by the woman's  virtue of Confucian,but it is less obvious.

Compares with Xiangyun, Baochai is less forthright and more restrained, less naive and more socialized. As a young girl she likes Baoyu as well, although she is not dumb as a wooden chicken when she associates with the opposite sex,compares with Xiangyun or DaiYu,she behaves and thinks according to the woman's moral criterion. Baochai hides her emotions, never expresses her feelings and rejoices like the intimate relationship between Baoyu and Daiyu. So that she could avoid to frequent contact with Baoyu. She respects Xiren for her words and deeds which accord with proprieties;dislikes Xiaohong and Zhuier who talk about love and so on. This proved that she constrain herself according to the woman's virtue and measure others at this standard. She abides by woman's virtues of Confucian ethics consciously and internalize it as important content of self-personality .

As a whole, Cao Xueqin approves Baochai for her well-cultured behaviours and steady-going characteristics.Although she is criticized for her censure to Xiaohong,carping at the poems written by Baoqin,ignorance to the death of You Sanjie, these don't affect Cao Xueqin's admiration for her steady-going characteristics. And her self-respect on dealing with the relationship between man and woman is one of the organic parts of this character. Its prominent characteristic is intimity but not vagueness. This reflects Cao Xueqin' s approval of moral conception of woman's virtue.

The communication with opposite sex is a sensitive problem and it usually can reflect someone's life taste and cultivation. If it isn't processed well, it will not only affect one’s fame and future but also bring unnecessary trouble and pain to oneself and others. Xifeng was approached by JiaRui,a distant relation to the Jias,who ogled her and insinuated that the two of them might meet private later.Xifeng decided to teach him a lesson through humiliation.She found Jia Rong-her brother-in-law’s son-to trap and blackmail him. That made Jia Rui sick. Then she refused to give him ginseng to save his life.[８]Although Xifeng is not responsible for Rui's immoderate lust("the toad on the ground wanting to eat the goose in the sky"),her flirtation is not the behaviour of moderate,pure young wife. Of course women can't refrain from communicating with opposite sex for fear of a slight risk.Traditional ethics formality regards many normal communications between  opposite sex as “impropriety”. It strangles the normal human desire as well. This kind of excessive constraining forces the normal human desire into twisted appearances, even catharsis by some abnormal,unsuitable way.You Sanjie's bitter experiences are  evident proofs.

You Sanjie is not a leading role, but as far as most readers are concerned, she is the most lively and active character in A Dream of Red Mansions.She is a warm, shrewish person.When contacts with the opposite sex, she often oversteps "routine".For example,she laughs and jokes in  front of Zhen and Lian, as well as selects husband by herself.These contradicts with the Confucianism and it demonstrates that she is not reconciled to be insulted, be played with and shows her tenacious individuality of pursuit happiness and independent spirit.But she still regards "engagement" as "an important event in feminine life" and she slits her throat on hearing that Liu Xianglian wished to cancel their betrothal.She has not jumped out the fence of traditional ethics morals and the common customs ideas.

You Sanjie's suicide is written how brilliantly, how sublimely by Cao Xueqin, which also wins many readers and commenters' sympathy and sighs.Indeed, her individuality has one side which is worth praising and her destiny also has the pitiful place.However, readers have no alternative but to see that her suicide bases on psychological ingredient: After violated the traditional morals and the common customs etiquette, she must preserve "ego"and defends self-respect by this way,namely so-called "reveals one's aspirations by suicide", which exceeds all illustrations and defense.The fact also exactly showed that just her committing suicide wins acquaintances' sympathy and acclaims.But Cao Xueqin exaggerates this only choice with intensive attention and it is admired greatly by readers.In other words, in Cao Xueqin's setup and arrangement and  commenters' sympathy and sighs,without one exception are filling the air of the traditional ethics.These are arose by the specific social environment and the social psychology.

2.culture and moral self-discipline

The above paragraphs display the noblewomen's style of traditional ethics which is represented in each kind of human relations. As a matter of fact,these reflect their respective character and culture. Besides manifested in the human communication, a person's culture mainly is exhibited in the spirit of self-discipline.Under the patriarchal clan system, women must control and shape themselves according to women's virtues of Confucian ethics.Generally speaking, the noblewomen, in A Dream of Red Mansions, mostly receive the stricter education about traditional etiquette.At that time, patriarchal clan system which regard mankind as dominator pays great attention to cultivate women's "moral character".But the Jias which is a rich and powerful family provides condition and opportunity to cultivate girls' ability. This bring the issue how to deal with the relation between moral character and ability.This part,I will research the women's way of dealing with the relation between moral character and talent,and Cao Xueqin's attitude to this issue.

(1)   scholarship and talent

Confucian Ethics demand man's work centers around outside, woman’s work centers around the home. So, household affairs are women's duty.In feudal society,men disdain women and think "a woman's hair is long but her vision and knowledge are short","a woman without talent is virtuous."But young ladies in the Prospect Garden ,who live in the wealthy as well as nobility family and never worry about the food and clothes ,receive nearly same education as boys.In A Dream of Red Mansions,the young girls are superior to their male counterparts in a host of different areas----including poetry writing,literary knowledge,musical talent,philosophical understanding and morality.

On the surface,young ladies' erudition and Cao Xueqin's appreciation contradict with the standard of"a woman without talent is virtuous".In fact, although swelldom in feudal society provide study conditions for their daughters but they don't give the caste in which ladies make use of their talent.Women are isolated from public affairs.They are skilled in ancient books, but it is impossible for them to go out to compete with men in official career.In other words, knowledge only provides with recreation and relief,at most as one effective method of cultivating the girls' noble manners,which prepare for"help thusband and educate child"in the future.At the same time,the main content that girls learn are confucian classical,for example,LunYu,MengZi.The aim of permitting girls read is still to cultivate their woman's virtue of confucian ethic,which are approved by men,including Cao Xueqin, in the feudal society.

The above is ladies'talent in scholarship in the Prospect Garden.But some among them are regarded as supereminence because of management ability.WangXifeng is "a paragon among women that even strong men find more than their match"[９]and she is repeatedly shown in competition with men. The Qin Keqing's funeral rites gave her an opportunity to show her capability as well as established her prestige. She found out that the most serious problem was about personnel management and money distribution and solved them by grabbing the power of finance and assigning the responsibility to every single person.As for the possible marriage of Baoyu and Daiyu, she also expressed her consideration and displayed her management ability.In chapter 55,Tanchun helps Xifeng manage family affairs and she pays much attention to economic affair :"In addition to our monthly allowance of two taels,our maids have separate allowance;but a few days ago someone reported that each of us gets an extra two taels a month for hair-oil,rouge and powder.This is like that extra allowance of eight taels for the school just now-another duplication.Admittedly it's a small matter,involving very little money,but it doesn't seem right."She is not willing to "enjoy wealth and honor"and devises a scheme to make a profit and end abuses.These reflect the young girl's rare rational judgment and the management ability.Baocahi"rounds it out with a small act of kindness",which displays her comprehensive consideration.She helps her mother to handle housework, in perfect order, which reflect her management ability different from other young ladies.

( 2)moral self-discipline

   As members of the classes,noblewomen in A Dream of Red Mansions regard "virtue"as an important standard of conducting themselves in society.Generally speaking,the girls in the Prospect Garden all strictly adheres to the etiquette.But looked from the concrete behaviours, their personality are respectively different,which present different visage.At the beginning of entering the Jia family,LinDaiyu carefully watches what others are doing and saying, speaks and acts cautiously.She is not willing to be censured.Shi Xiangyun is free and easy,but keeps quiet and serious in official situation.Qiaojie,as a child,also learns needlework,reads books like NvXue whose content is about woman's virtue of confucian ethic, and  consults to the elder on own initiative.Cao Xueqin narrates these as noblewoman's main content of daily life, which shows ladies' universal life state at that time.

                           In this aspect, the writer endows Xue Baochai with intense consciousness.She regards "morals" as an                    In this aspect,XueBaochai has intense consciousness.She regards "virtue " as an extremely important content of self-improvement, and makes every word and deed accord with etiquette,regardless of in front of people or behind them.This mostly originates from receiving her "strict father and kind mother's instruction" (Zhi Yanzhai).She is taciturn and know her place.For example,her answers for Grandmoher Jia's question(chapter 22) , her words which express thought that she wants to move out from the Prospect Garden,which reflect that she measures up the criterion of "woman's words ":"not need to have a tongue in her head ,not need to select the word to speak, not to say the slander, not be disliked by others."[１０] In each kind of situation,she looks “completely at ease”;dressing and residence are simple and elegant;can enjoy rich and honor or bear the impoverishment.These reflect her good education.Baochai is also diligent in the needlework (chapter32,35,36 and 45 have description).Cao Xueqin expresses his appreciation for Baochai's character which abide by traditional female virtues.This also shows that Cao Xueqin can't get rid of the feudal literator's Confucian ethics idea.

(

( 3)The girls and Cao Xueqin identify with the ideal model of personality whose center is “virtue”

   As seen above, the girls in the Prospect Garden have both "virtue"and "talent".This seems inconsistent with the principle that"a woman without talent is virtuous".But, in the feudal society,even if women have talent and they also have to submit to man's needs or serve them directly.Otherwise, their talent will be regarded as forgetting their places.Then, what are the noblewomen's attitude to their talent and how do they deal with the relation between "virtue"and "talent"?  

  In A Dream of Red Mansions,the girls all approve the moral principle of "a woman without talent is virtuous" and restrain themselves by it in varying degrees.Xue Baochai 's consciousness is most obvious.While her father was still alive he made her study,and she turned out ten times better than her brother.However,after her father's death it was so clear that Xue Pan would prove no comfort to their mother that Baochai gave up her studies and devoted herself to needlework and the household management,so as to share her mother's burden and cares.This reflects her sense of responsibility which originates from her deep-set ideas of woman's virtues. 

   Xue Baochai not only restricts herself by this traditional morals, but also affects other people by it. In chapter 42,she teaches Daiyu: “it's best for girls like us not to know how to read..Even boys,if they study to no good purpose would do better not to study at all,and even truer in our case.......As for us,we should just stick to needlework."In chapter 49, she tell XiangLing that"Real scholars would laugh to her a girl discussing poetry so seriously.They'd say you'd forgotten your place." She still considers something as it stands.But in chapter 64, she systematicly explains the doctrine of "a woman without talent is virtuous" :"As the old saying goes,' Lack of talent in a woman is a virtue.' The important thing for us is to be chaste and quiet,feminine accomplishments being secondary.As for versifing and the like,we simply do that for fun in the inner apartments;and whether we're good or not at it doesn't matter.Girls from families like us don't want to have a reputation for brilliance." [１１]Obviously,Xue Baochai doesn't passively accept the principle of "woman's virtue"because of the parents' indoctrination and the influence of environment.She has already integrated this principle with her consciousness on own initiative and regarded it as the guide line of "settling down and getting on with her pursuit". Otherwise, she cannot tell it sincerely to others,it is also impossible to"explains the profound thing in a simple way".

Xue Baochai's opinion about dealing with the relation between "virtue"and "talent" is one of the thought roots which forms her graceful and elegant temperament.Her words and deeds of think a lot of virtue but not talent are precisely based on this thought.Therefore,it cannot deny that Cao Xueqin's appreciation for Xue Baochai's overall style and features shows his approval of Baochai's opinion and way of dealing with the relation between "virtue"and "talent".This kind of approval essentially is to identify with radition morality which is reflected by characters in the novel. 

3.Conclusion

Scholars should pay attention to not only the spirit of breaking woman's virtue of Confucian ethics but also the heritage of it in A Dream of the Red Mansions.Cao Xueqin's approval of the girls' self-discipline in woman's virtue , measured by the traditional value, is not absolute and thorough. Cao Xueqin couldn’t help appraising these talented young girls. These reflects Cao Xueqin's inconsistent idea. In modern society, people attach importance to the woman's full-scale development. Generally, tCao Xueqin's opinion that women should have both virtue and talent is advisable. As for the detailed connotation of “virtue”, people need differentiate it in detail and accept or reject it respectively. For instance, the requirement of woman inferior to man, the neglect of innate personality and the restrictions of intercourse with men and so on ,should be discard. Others like the unperturbed attitude towards affairs and the self-respect and self-importance are valuable personality in any time and any kinds of society.

Bibliography:

[1] Cao Xueqin,A Dream of Red Mansions,Beijing:Foreign Languages Press,1997.

[2]Yu Yingshi,The Two World of Hong Lou Meng,Hangzhou:Zhejiang University Press, 2006.

[3]Tu Wei-Ming, Confucian Thought,Beijing:Social Science Press,1998.

[4]Lan Dingyuan,NvXue.Taiyuan:Sea of Books Press,2000.

[5]WANG Cai-ling, The Awakening of Women in A Dream of the Red Mansions,Journal of Yuxi Teachers College, 2003( 9).

[6]LuXun,The History of Chinese Fiction,.Changchun:Changchun Press,2007.

[7]Simone de Beauvoir,The Second Sex--Female,Beijing:Social Science Press,2004.

[8]LIU Hui-ping,On Historic Changes of Confucianist Outlook on Women and its Modern Reflection,Journal of Huazhong Agricultural University(Social Science Edition), 2007( 3). 

[9]Edwards, Louise P. Men and Women in Qing China: Gender in the Red Chamber Dream. Leiden: Sinica Leidensica [Brill], 1994.

[10] LI Shuang，The Esteem of Females and the Culture and Custom of Man Nationality in A Dream of Red Mansions, Journal of Shenyang Normal University(Social Science Edition),  2007(3).

[11]LI Ying-ran; SUN Wen-lian, Aesthetic Concept of Ideal Female in A Dream of Red Mansions,Journal of Shijiazhuang University,  2007( 05)

[12]QUAN Ya-ning ,Tragedy of Self-sacrifices Made by Feudal Female—On a Group of "Virtuous" Women in Novel A Dream of Red Mansion,Journal of Luoyang University, 2005 (3).

[13] LI Ze-hua, A Dream of Red Mansions' viewpoint on females and it's enlightenment,Journal of Xinyang Teachers College(Philosophy and Social Sciences Edition), 2004(5). 

[14]WANG Cai-ling, The Awakening of Women in A Dream of the Red Mansions,Journal of Yuxi Teachers College, 2003( 9).

[15]Cai yuxi,Wang Xifeng's Social ethics consciousness,A Dream of Red Mansions,2002(4).

[16]Wang Yunping,Confucian Ethics and Emotions, Philosophical Researches, 2007( 3). 

[18]YUAN Zhi-cheng,The Feudal Women under the Oppression of the Men’s  Authority----------------A New View about Wang Xifeng,Journal of Xin Yu           College,2002(4).

[19]Jinfen Yan, The Images of the Feminine in Confucianism and Feminist Strategies for an Inclusive Philosophy. AJWS Vol. 3 .

[１] Yu Yingshi,The Two World of Hong Lou Meng,Hangzhou:Zhejiang University Press, 2006.P98

[２] Tu Wei-Ming, Confucian Thought,Beijing:Social Science Press,1998.P126.

[３] Lan Dingyuan,NvXue.Taiyuan:Sea of Books Press,2000.P53

[４] WANG Cai-ling, The Awakening of Women in A Dream of the Red Mansions,Journal of Yuxi Teachers College, 2003( 9).

[５] LuXun,The History of Chinese Fiction,.Changchun:Changchun Press,2007.P234.

[６] Simone de Beauvoir,The Second Sex--Female,Beijing:Social Science Press,2004.P308.

[７] Cao Xueqin,A Dream of Red Mansions,Beijing:Foreign Languages Press,1997.

[８] Cao Xueqin,A Dream of Red Mansions,Beijing:Foreign Languages Press,1997.P219--233.

[９] Cao Xueqin,A Dream of Red Mansions,Beijing:Foreign Languages Press,1997.P235.

[１０] LIU Hui-ping,On Historic Changes of Confucianist Outlook on Women and its Modern Reflection,Journal of Huazhong Agricultural University(Social Science Edition), 2007( 3).

[１１] Cao Xueqin,A Dream of Red Mansions,Beijing:Foreign Languages Press,1997.

Name: Jin Yan  Student ID: B08192

Research paper supervisor:Dr.Sekou Conde

Department of Korean linguistics and literature   Minzu University of China

2008-2009 Academic Year

【Abstract】: DPRK (Democratic People's Republic of Korea) is a country where literature plays an important role there. In this paper, the Juche literary policy of DPRK is observed from aspects of theoretical basis, historical transformation, party control and leader worship, also the nature and the function of literature. Through analyzing, it is found that the early days of literature in North Korea takes root in Marxist literary theory and the real Juche Literature begins from 1970s. Juche literature needs to be of great educational effects by building the great image of Leaders and people who contribute to the country. Juche Realism is an exaggerative case of Socialist Realism.

【Key words】: Juche, literature, policy, leader worship, education

1.      Introduction

DPRK (Democratic People's Republic of Korea) is a country often described as a mysterious land where literatures play an important role there. The leaders of the country, Kim Il-sung and Kim Jong-il not only supervise the field of literature in person but also write literary works themselves. They decide the detail rules which writers should conform strictly. Therefore, when referring to literature of North Korea, many people bring images of leaders to mind in a hurry and judge it eagerly from the perspective of utilitarian political application without anatomizing its developing process. As a matter of fact, North Korea does not put the task of leader’s image building in the foremost position in the whole history of literature. Furthermore, after the Juche Idea-the philosophy of Kim Il-sung was officially established, the literary policy of DPRK has been diverse in different historical periods. For this reason, the Juche literary policy of DPRK will be observed from aspects of theoretical basis, historical transformation, party control and leader worship, also the nature and the function of literature in this paper.

2.      Theoretical basis

History of literature in DPRK can be divided into two parts by the year 1967. Literature before the year 1967 is based on standpoints of KAPF (Korea Artista Proleta Federatio) basically and not far from it’s applications for realities of that time.[1] After the establishment of Juche Idea, the first paper discussing about Juche literary theory systematically is “Literary theory based on Juche idea” (Institute of Culture, Academy of Social Sciences, DPRK, 1975). It uses the concept of Leader which is able to cover the characteristics of Party, Class and People on the whole to make the theory become a system internally. After the disintegration of the Soviet Union, Kim Jong-il came up with “Juche Literary Theory” at that conjuncture to apply for new circumstance.[2]

The Juche Idea is the official state ideology of North Korea and the political system based on it. The doctrine is a component part of Kimilsungism. Juche literally means "main body" or "subject"; it has also been translated in North Korean sources as "independent stand" and the "spirit of self-reliance". According to Kim Jong-il's On the Juche Idea[3], the application of Juche in state policy entails the following:

1.      The people must have independence (chajusong) in thought and politics, economic self-sufficiency, and self-reliance in defense.

2.      Policy must reflect the will and aspirations of the masses and employ them fully in revolution and construction.

3.      Methods of revolution and construction must be suitable to the situation of the country.

4.      The most important work of revolution and construction is molding people ideologically as communists and mobilizing them to constructive action.

5.      The Juche outlook requires absolute loyalty to the party and leader.

In 1972, Juche finally replaced Marxism-Leninism in the revised North Korean constitution as the official state ideology, this being a response to the Sino-Soviet split. Juche was nonetheless defined as a creative application of Marxism-Leninism. Kim Il-sung also explained that Juche was not original to North Korea and that in formulating it he only laid stress on a programmatic orientation that is inherent to all Marxist-Leninist states. After the 1991 collapse of the Soviet Union-North Korea’s greatest economic benefactor, all the references to Marxism-Leninism was dropped in the revised 1998 constitution. But Marxist-Leninist phraseology remains in occasional use, for example, socialism and communism.[4]

With regard to the literary theories adopted from Marxism, although in comparison with Marxist theory of economics, philosophy and politics, there was no systematical treatises about Marxist ‘aesthetics’ or Marxist thoughts about any offshoot of literature and art[5], still literary theory and policy of socialist country mostly bases on Marxist literary theory technically. DPRK makes no exception. Douwe Fokkema illustrates the logical process of Marxist theories being adopted by Chinese literary theory as main principles in his presentation named “The Strength and Weakness of the Marxist Theory of Literature with reference to Marxist criticism in the People’s Republic of China.”[6]^{It is also with great reference value for illustrating the process of that in DPRK.} The logic process he pointed out can be abstracted as follows:

^{(1)Literature is part of the superstructure, which ultimately is determined by the economic basis.}

^{(2)The relation between literature and the economic basis is of a dialectical nature.}

^{(-A letter of January 25, 1894, Engels)}

^↓

^Step1:

^{(3) Certain texts represent advanced developments and other texts regressive developments in the socio-economic basis.}

^{(4) Certain texts strengthen advanced developments in society; other texts strengthen regressive developments in the socio-economic basis.}

^↓

^Step2:

^{(3a)Literature aims at verisimilitude.}

^{(4a) Advanced literature, by a careful selection of truthful representation, has a positive effect on the development of society.}

^↓

^Step3:

^{(3b)The criterion of verisimilitude attributes priority to knowledge of society over the creative power of the writer.}

^{(4b)The criterion of selective truthful representation attributes priority to political conviction over the intuitive knowledge of the writer.}

^↓

^Step4:

^{(3c)The distinction between advanced and regressive developments in society is made by authorities outside literature, such as Marx and Engels, and their political heritages, including the Communist Party as the infallible interpreter of the writings of Marx, Engels, Lenin, Stalin and Mao Tse-tung.}

^{(4c)The selection of those elements of social reality which are held to be progressive is made by political authorities, in communist countries by the Communist Party, who have or believe to have foreknowledge of the future development of society.}

In works like The German Ideology and The Communist Manifesto, written with Frederick Engels , Marx proposes a model of history in which social conditions are determined by economic and political conditions. One of the central concepts of Marxism Marx--that of base and superstructure is just expended from this concept of determination. The base is the economic system on which the superstructure rests; cultural activities--such as philosophy or literature--belong in the superstructure.[7] Sentence (1) is exactly about this. Using Hegel's theory of dialectic, which suggests that history progresses through the resolution of contradictions within a particular aspect of reality, Marx and Engels posit a materialist account of history that focuses upon the struggles and tensions within society. As society forms more complex modes of production, it becomes increasingly stratified; and the resulting tensions necessitate changes in society.[8] Sentence (2) just shows this concept. Thus, Step 1 is made out from Sentence (1) in relation to Sentence (2). From Step3 to Step4, is the extendedness toward Sentence (3) and (4). With the application to DPRK, then Sentence (3) and (4) can be elaborated as follows:

^{The distinction between advanced and regressive developments in society is made by authorities outside literature, which is the infallible Leader of the country. The selection of those elements of social reality which are held to be progressive is made by political authorities,} Choson No-Dong Dang (Korean Workers Party)^{, who have foreknowledge of the future development of society. This is precondition of DPRK dealing with all the problems related to literature. That is why Leader and Party play so important role in DPRK.}

Sentences (3) and (4) illustrate the method of Socialist Realism which was prescribed as the “truthful, historically concrete representation of reality in its revolutionary development.” in 1934.[9] Is there any difference between Socialist Realism and Juche Realism in DPRK? According to Kim Jong-il’s theory, the main difference between Juche Realism and previous Socialist Realism is the way to think of people. He said that “Socialist Realism just considers human-beings as the complex of social relations, while Juche Realism thinks of human-beings as the social beings who are independent, creative and conscious. Juche Realism bases on the philosophy of Juche idea which said that human-beings are the masters of all, and everything is decided by them. Juche Realism considers people as the dominators and modifiers of the world, depicts all the course of change and progress in people-centered way and puts the dignity and the value of people in the high position. This is why Juche Realism has superiority and reformational value”.[10] From this point of view, we can find that Juche Realism emphasizes more about the consciousness of the People. The consciousness is no other than Juche ideas accordingly in DPRK. So in other words, the reality Juche realism aims to reflect is the “reality” selected by Leader and Party. This kind of concept is overemphasizing the subjective initiative of People unilaterally. Within Marx's dialectical account of history is the idea that a given individual's social being is determined by larger political and economic forces. Marx writes that "it is not the consciousness of men that determines their being, but, on the contrary, their social being that determines consciousness".[11]So Juche literary policy came from Marxism, but deviated in an exaggerative way.

3.  Historical transformation

Guided by the Marxist literary theory with North Korean characteristics, the literary policy of DPRK went through a historical transformation.

DPRK was funded on Sept. 9^th, 1948. Soon afterward, Korean War broke out. At that time, Kim Il-sung pointed out that writers and artists should reflect patriotism of North Korean people, heroism, tenacity of North Korean army, righteousness of the war, devilry of U.S. imperialism and villainy of Lee Seungman government of South Korea during Korean War (1950-1953), and he also described the writers and artists as the solders in the field of literature and art.[12]As a result of that, a lot of literary works which portray the invincible soldiers and common people including women came out, such as The Fired Island (Hwang gen, 1952), The People of the Fighting Village (cheon se-bong, 1953). The Fired Island is a short story about an artillery squadron who garrison a small island named “Wol Mi Do” with their lives to prevent the enemies from landing on Incheon. The story was written from the view of a female radio operator. She observed every soldier’s sacrifice in the squadron including her. The story set a good example for the people of DPRK, inspired them a lot. And also trigger off great hostility towards enemies.

After the postwar resettlement, the country moved into a new history course of construction. Kim Il-sung request that literature and art works should exhibit the meaningful life and heroical struggle of the people at the age of “Chollima” and also reflect their hope and wish.[13] “Chollima” refers to a swift horse with wings which manages to run thousands miles in a short period of time. It is a metaphor of the historical course of DPRK. At that time, the country needed to develop fast in a short time in every field to establish the foundation of socialism. Only every member of the nation sacrifice individual interests for the great benefits of the country can this goal be achieved. Kim Il-sung even prescribed the details about the characters of literary works. He said that “We should emphasize on the idea that workers are the decisive factors of production and point out the idea of Marxism-Leninism clearly in the movies which says that life is not created by one or two extraordinary people but rather by millions of working people who realize the historical missions of their own. The protagonist of this kind of movie should be outgoing, optimistic and should persevere in front of difficulties and must be a typical new people who want to develop eagerly . …… The love of new people must be subordinated to the great cause of revolution and related to the struggle for victory of it”.[14]

From the facts above it is easy to find that in 1950s and 1960s, the utilitarian political application of literature in DPRK is not far away from the purpose of Socialist Realism. However, from 1970s, the situation has been changed a lot. 1970s was the time the whole society had been changing into Juche circumstances including politics, economy, culture, morality, not to mention literature. Three revolution group movement was organized to guarantee the accomplishment of the 6^th economical construction plan, 5 nature reformation guiding principles was constituted and learning from “hidden hero”(ordinary pe0ple who make great contributions to the country in common working place) movement was initiated.[15] In 1980s, in the 6^th National Congress of the Korean Workers Party, it is specified that in other to lead the whole society to a revolutionary, proletarian, intellectual level, the writers should create more works to apply to this goal. The writers should get involved into the reality of the society to find the character of hidden heroscommunists who show great loyalty to the people and the Party. [16]Consequently, a lot of works reflecting the life of common people came out. And most of the leading characters in nobles are intellectuals. For example, novella Sunshine (Bak Chan-en, 1985) a story about an oculist, and a river novel The Season of Birth (Kim Su-kieug, 1985) a story about a female botanist. [17] After 1980s, the collapse of the Soviet Union changed the international situation a lot. Meanwhile, DPRK was going though a hard time called “Severe March” in North Korean History caused by sever economic recession and Kim Il-sung’s passing away in 1994. So literature during this time mainly advocates the idea of patriotism and the “Red Flag Protecting Spirit”. Many “Shirhwua” nobles (a kind of noble based on true story) telling how this country’s people love it and how beautiful the life is appeared. For example, a collected story of “Shirhwua”-Spring Blossom includes a lot of stories about the ordinary people who help other people or contribute to the country in the way unknown to public. And also there were many stories about economical production, such as aspiration (Kim Mun-chang, 1999), a famous one valued highly by Kim Jong-il. And the leading characters of literary works turned into managers of the factories, who can lead the industry out of the recession. [18]

4.  Party control and Leader worship

Through the whole historical transformation of Juche literary policy, party control and leader worship are the most important symbols. The masterstroke of literature though 1970s to 20^th century in DPRK is no other than Leader image-building.

Before 1970s, there existed some literary works with characteristics of leader worship, such as a long narrative poem-Paekdusan which was written by Jo Gi-cheon, the most famous poet of DPRK. However, image-shaping of Leaders hadn’t been a systematic job until 1970s, when the typical form of image-shaping works about Kim Il-sung came out. The series have been named Eternal History. Along with Kim Jong-il took charge of the department of literature and art, a special group called “4.15 Literature Creation Group” especially organized for creating image-shaping works of leaders came forth. The writers belonged to this group have been guided by Kim Jong-il thoroughly. From 1990s, the series about Kim Jong-il’s stories came out as well. They are named Eternal Fugleman. The works in Eternal History and Eternal Fugleman are as follow:

Table 1: The works belong to Eternal History

(Senwo-sangeul, Contemporary Literature of North Korea after Liberation, yeklak, 2002, P125-128)

Table 2: The works belong to Eternal Fugleman

(Senwo-sangeul, Contemporary Literature of North Korea after Liberation, yeklak, 2002, P135)

From table 1 and 2, it is easy to figure out that the series works of Leaders cover the story of almost all historical courses and subjects. The series works aim to build the image of Leader in a broad, comprehensive, systematical way. Kim Jong-il’s Leader image- building theory can accounts for this well. Kim Jong-il said that “In the past, it was said that socialism literature should create the images of communist revolutionists to accomplish the mission. But that was not enough. Only portraying the revolutionary behaviors of the leader deeply can contribute to point out the essence of the great exploit of working class and reflect the rational course of victory profoundly and roundly. Socialism literature should portray the relationships among the leader, party and the masses well by focusing on the leader.” He also said that “The leader is the super model of communism revolutionist who can represent our times and our people. The leader embodies the style and the quality of the communism revolutionist with Juche Idea from the highest position of eminence, so Juche literature should build image of leader to have people learn from him” .[19]According to him, only portray the image of leader in a grand, glary way can Juche Literature accomplish the assignment of education. Firstly, the Leader is affirmed to be a great ideologist, best thinker, an outstanding politician and excellent strategist. Secondly, the Leader must be a kindhearted man. He has a kin relationship with soldiers and ordinary people. He is a benign father who even cracks a joke. Above all, he is able to solidify and mobilize the people to the great constructions.

5.      The nature and the function of literature

Party control and leader worship are the most important symbols of Juche literary policy as analyzed above. Apart from these, what are the differences between DPRK and other socialist country such as China?

From the perspective of Juche Literary standpoints, real literature of their times is a kind of Juche Ideology about people. In their opinion it is a new kind of literature which deals with the problems about independence and independent people, and sets up models who follows Juche idea to contribute to the great exploit of people’s freedom.[20] And Juche Literature has three kinds of functions. They are “political ideology education, life cognition and cultural emotion education which can contribute to the great exploit of people’s independence”.[21]The most important function above all is political ideology education. It is said that literature is the ideological weapon hold by the Party which can be used to educate and remold the thoughts of people. The function of life cognition comes from the multiple scenes brought by the literary works. Readers can learn how to live their lives from others’ experiences. This function of Juche literature asks writers to explain the nature and the regularity of the people’s life in the works. The last one means that the literary works should display the revolutionary and ethical emotions to the readers and teach them what kind of behavior is beautiful, lofty and what kind of behavior is ugly and indelicate. The three functions can be sum up to one, which is ideological education. Thus, the only scale to measure the literature is educational effect in DPRK. Furthermore, Kim Jong-il requests clearly in Juche Literary Theory that it is wrong to think that only criticism can capture the attention of readers. He says that it is an old form of thinking which is not right and not suitable for the reality. In his opinion, it has been a long time when positivities become predominated and negativities become subordinated in his society. So it is possible to make as many good works supporting the positivity as they can.[22]No wonder that there are a lot of “Shirhwua” nobles in North Korea. One of them named Desirablity of the Times (Lee Ho-yin, 1992) even tells a story about a Japanese garden artist who is adorer of Kim Jong-il. The leading character-Japanese Gardener named Gamomododeru. He venerates Kim Jong-il and his philosophy so much that he denominates the flower he cultivated through innumerable trials and hardships “Flower of Kim Jong-il”. In the literary works, even the people of other countries are mobilized to make the people of North Korea aware of their lucks to live in this country.

In PRC (People’s Republic of China), the term of function is not used in literary theory after 1980s. From The Course of Literature Theory[23]-a text book used for literature related educations in Universities mostly, it is easy to find out that at the primary stage of socialism in China, the most important nature of literature is still the character of socialist ideology. It is pointed out that literature at the primary stage of socialism in China should guided by the Marxism-Leninism, Mao Zedong Thought and Deng Xiaoping Theory. However, it is also mentioned that literature at the primary stage of socialism in China has the characteristic of domination, level and diversity, which means that it is allowed to have literature with different form, value orientation and quality as long as it does not make against the foundation of socialism. In Chinese literary theory nowadays the nature of literature is defined as Ideology with aestheticism. It means that Chinese litterateurs are applying themselves to balancing the ideological content and artistic quality in literary creations. Compared to China, it is obvious that because of the hard control of literary policy in DPRK, the litterateurs must put the ideological content in the foremost position and make the artistic quality be subject to it.

6.      Conclusion

    To make a sweeping generalization about literature in DPRK is not a sensible solution in fact. The early days of literature in North Korea takes root in Marxist literary theory. As analyzed above, the real Juche Literature begins from 1970s. The literature before and after follow a consistent line of utilitarian political application, still the literature before and after have essential difference that is Leader image-building. The basic philosophy of Juche literary literature is Juche Idea which emphasizes more on people’s subjective initiative than objective existence. So the only solution to make the theory with inherent law is setting a great example that is the Leader. There are many series works about Leader’s great achievement. Kim Il-sung’s are named Eternal History and Kim Jong-il’s are called Eternal Fugleman. They cover the story of almost all historical courses and subjects about the leaders. The series works aim to build the image of Leader in a broad, comprehensive, systematical way. In North Korea, the only standard to measure the literature is educational effect. Juche Realism is a more exaggerative case of Socialist Realism which based in metaphysical ideas.

[1] Kim Yoon Shik, History of North Korean Literature, Semi, 1995, P118.

[2] Kim Yoon Shik, Ibid, P30.

[3] Treaties sent to the National Seminor on the Juche Idea held to mark the 70th birthday of the Great Leader Comrade Kim Il Sung Mar. 31, 1982.

[4] http://en.wikipedia.org/wiki/Juche#Relation_to_Marxism.2C_Stalinism_and_Maoism

[5] Cliff Slaughter, Marxism, Ideology and Literature, THE MACMILLAN PRESS LTD, 1980, P22.

[6] Douwe Fokkema, STRENGTH AND WEAKNESS OF THE MARXIST THEORY OF LITERATURE WITH REFERENCE TO MARXIST CRITICISM IN THE PEOPLE’S REPUBLIC OF CHINA,  CHINESE-WESTERN COMPARATIVE LITERATURE THEORY AND STRATEGY,  edited by John j. Deene, The Chinese University Press, HongKong, 1980.

[7] http://www.lawrence.edu/dept/ENGLISH/COURSES/60A/marxist.html#marxint.

[8] http://www.lawrence.edu/dept/ENGLISH/COURSES/60A/marxist.html#marxint.

[9] Douwe Fokkema, STRENGTH AND WEAKNESS OF THE MARXIST THEORY OF LITERATURE WITH REFERENCE TO MARXIST CRITICISM IN THE PEOPLE’S REPUBLIC OF CHINA,  CHINESE-WESTERN COMPARATIVE LITERATURE THEORY AND STRATEGY,  edited by John j. Deene, The Chinese University Press, HongKong, 1980, P117-120.

[10] Douwe Fokkema, Ibid,P404-405.

[11] http://www.lawrence.edu/dept/ENGLISH/COURSES/60A/marxist.html#marxint.

[12] On several problems of our literature and art, a talk with writers and artists on June 30^th 1951, Choson No-Dong Dang Publishing House, 1965, P1-P10.

[13] Let’s creat literature and art adaptable for the age of chollima, a talk with writers and artists on November 27^th, 1960, Choson No-Dong Dang Publishing House, 1965, P16-P33.

[14] Let’s creat literature and art adaptable for the age of chollima, Ibid, P20-P21.

[15] Kim Bieug-min, He Hwui-hun, Choi Wong-kuen, Che Mi-hwua; Korean contemporary literature, Yanbian University Press, 2000, P360.

[16] Korean contemporary literature, Ibid, P426.

[17] Korean contemporary literature, Ibid, P434.

[18] Jin Yan, A research on river nobles of North Korea in 1990s, Master's Thesis, 2008.

[19]Kim Jong Il, “Juche Literary Theory”, Selected works of Kim Jong IL No.12, Choson No-Dong Dang Publishing House, 1999, P324-325.

[20] Kim Jong Il, “Juche Literary Theory”, Selected works of Kim Jong IL No.12, Choson No-Dong Dang Publishing House, 1999, P316.

[21] Kim Jong Il, Ibid, P325.

[22] Kim Jong Il, “Juche Literary Theory”, Selected works of Kim Jong IL No.12, Choson No-Dong Dang Publishing House, 1999, P59.

[23] The Course of Literature Theory, edited by Tong Qingbing, Hinger Education Press, 1998, P77-P94.

Name: Yuan zhipeng  Student ID: B08138

Research paper supervisor:Dr.Sekou Conde

Minzu University of China

2008-2009 Academic Year

Abstract:This article thought that the basicest reasons for immigration of Tuyuhun during Tang Dynasty rooted in the essential requirement for the economic structure of Tang Dynasty,Tibet and Tuyuhun by analysing the related historical materials.

Key Words:Tang Dynasty,Tuyuhun,immigration of ethnic groups,economic structure

      About the reasons for Tuyuhun's immigration during Tang Dynasty,the academia have done detailedly lots of  research .Zhou weizhou and Lv jianfu pointed out that Tibetan invasion into Tuyuhun as well as cruel compression and exploitation on Tuyuhun's remainder were the important reasons for immigration to Tang's regions[1].Li jihe suggested the major reasons lay in the development of productive forces,wars,conflict within the ruling class and the interior attraction[2],and Li jihe also pointed out in another artical that the reasons for migration of ancient ethnic groups of China were the combination of the driving force and the pulling force.The development of productivity,the changes of climate and environment of the original places,the policies to compel to migrate and wars were the driving force of migration while the policy of conciliation adopted by the rulers,the favorable living and working conditions of immigration places and the national identidy were the pulling force[3].Ren shuming insisted that the Tibetan military invasion was one of the most important reasons for national migration[4].In addition,Li jihe suggested in another article that all tribes of Xianbei gradually moved to the northwest area for internal contradictory and other nationalities' decline[5].Li hongbin holded that the strengthening of the central government of the Tang Dynasty was an very important reason for immigration of ethnic groups[6].Guan yanbo thought that the open stance of Tang Dynasty and the prone to a lot of excellent culture from different nationalities of frontier area were significant causes for migration of ancient ethnic groups[7].Zhang li argued that cold climate and drought was one of important reasons for migration to south of north minorities in ancient China[8].

      By analysing the arguments of related scholars,we can learn about that by far now, no one researched into the reasons for Tuyuhun's immigration from economic structure of Tang Dynasty,Tibet and Tuyuhun.This article tried to probe into the basicest factors about Tuyuhun's immigration from economic structure.

      Tibetan invasion into Tuyuhun as well as the cruel exploition and compression from Tibatan slave-owner on Tuyuhun remainder were the straight reasons for Tuyuhun's immigration;that was,if there were without the two factors,Tuyuhun were not probably leave their native place.And then why did Tibet invade flagrantly into Tuyuhun under the the case which its political and economic center was far away from Tuyuhun kingdom.War was the highest form of politicy.Economic base determined superstructure.Therefore,it was necessary to give firstly a primiary analysis into Tibetan economic base.

      Tibet was a minority kingdom arisen on Chinese Tibet plateau during the early of Tang Dynasty,which had the same govern-time as Tang Dynasty.There were several differences about the origin and formation of Tibet from traditional historical descriptions[9].The academia also had several different opinions on the issue,for instance,some scholars thought Tibetan ancestor was from Faqiang,other scholars argued that Tibetan ancestor was from Xianbei,especially,some scholars even suggested that Tibetan ancestor was from remote Indian[10].At present,there is a common acceptable argument that Tibetan ancestor is formed gradually on the base of the fact that original inhabitants on Tibet plateau merged continuously into all kinds of foreign and nearby tribes,“Tibet” was the name of tribe or nation[11].Tibet also suddenly arose and became a fierce kingdom near the west to Tang Dynasty while Tang gradually became much more stronger after other separate regimes were conquered[12].During Songtsen period,Tibetan society had a rapid development.In the seventh year during Zhengguan period,Songtsen found Tibetan capital on Luoxie was named by Lasa now,established formally Tibetan kingdom;he succeeded to carry out the policy of formers' military expansion,and conquered all Qiang tribes which became Tibetan subsidiary on Tibet plateau;moreover,he strengthened domestic political power construction,established and carried out a series of measures related to military, political and culture system[13].These measures ended up the chaotic situation that had various types of independent minority tribes on Tibet plateau,promoted political unity and cultural fusion on vast area,laid a basis for the Tibetan formation,and also provided a powerful security for the Tibetan prosperity.

      However,the burgeoning Tibet was only a laggard nation.Tibet lay in southwest China where always was very poor from ancient times.There were only backward productive forces,insufficient life materials,barren land and cold climate,poor ethnic groups,backward mode of production,simple production tools,lower labor productivity on ancient Tibetan plateau."Tibetan had to drink wine by hands because of short of tools.They made curved log become round,which was their bowls,tree bark was their bottom of bowls"[14],"Tibetan inhabited the cool and infertile field where there were very poor material products,there was heavy snow even in midsummer in the south to Wuhai where people（Tibetan）wore a kind of clothes woven by feathers in summer and fur coats in winter.Tibetan grazed by the amount of the water and grass,living in castles in winter and the tents in summer.Production tools of Tibet were less than ones of China by one thousandth.But,the governors could listen to the views from all sides and united to make a decision when discussing some major issues,their action was in accordance with the interests of the governor-class,therefore,Tibet could have a permanent and strong comprehensive national power."[15]The backward degree was very apparent.But Tibetan ruling class lived a extreme corrupt life,for instance,Tibetan monks class not only possesed various duty-free privilege,but also could obtain a large amount of economic interest and political privilege from their kings every year[16].The productive relation was inevitably a opposite relationship between the slave class and the slave-owner class on the basis of lower level productive forces and extremly serious differentiation of the poor and the rich.Tibet was inevitably a kingdom with the characteristic of tribal alliance on the basis of the economic base.The military and political system that was one aspect of Tibetan superstructure also surly included a number of violence and greediness which could be proved strongly by the powerful military forces and war-liking fashion[17],otherwise,it was surly impossible to create much more wealth only by the domestic slave class to satisfy expansive greediness of the ruling class with the appearance of private ownership. Therefore,the prosperity and affluence of Silk Road naturly became an objection which Tibetan governers increasingly pursued.Tibetan governers had to depend on military struggle for the objection.Morever,Tuyuhun's geographical location was very important.Tuyuhun lay in the place between the Silk Road and Tibet[18].So it was clear about the reason why Tibet invaded into Tuyuhun and exploited cruely on the remainder of Tuyuhun.

      Let us research into economic structure of Tang Dynasty.The early of Tang Dynasty was heyday of feudal society during ancient China.During the times,productivity forces was developed much.Productive tools were improved greatly.Cultivation technique advanced rapidly.Developed productivity forces made individual family create much more wealth.And the central government of Tang Dynasty also possessed a large number of ownerless and waste lands.These factors were the precondition to carry out smoothly system of even allocation of lands which accounted for the arising of many yeomans and middle-small land-holders,also reduced furtherly personal-appendix relationship between tenants and land-holders.To appreciate military achievement,to pursue official honor,to devote to battle field surly became a fashion during the times.In view of these factors,the state pattern of Tang was inevitably feudally depotic state with highly-centralized characteristic.

      At the same time,commodity economy brisked and developed rapidly during the early of Tang Dynasty because of relieving of feudal personal-appendix relationship,great abundance in surplus products as well as social stability and unity.The prosperity of commerce and abundance in social wealth reinforced furtherly financial power of Tang Dynasty.There were even many spectacular things,for instance,"field was filled with cattles and horses.The exterior house of peasant was open.A bucket of rice only was worth of three to four copper coins.Merchants had no need of carrying food from capital to the remote regions,and from the east Taihang mountain to sea.When entering into the villages lay in the east Taihang mountain,the merchants could obtain sufficient service,even was bestowed generously"[19]."During Kaiyuan and Tianbao period,the sea and river was calm,the social wealth and service was sufficient,the countless commdities stacked like a little hill.The whole society could create much more wealth,the people were very rich"[20].Li-tang Dynasty could treated equally non-Han nationalities,could adopt lots of excellent culture from different nationalities of frontier area by an incorporating-diverse-things mind because of its strengthening of the central government and powerfulness of economic forces,the mind of non-Han nationalities was not always different from that of Han nationality.All of these was another basciest factor for a great deal of Tuyuhun's immigration to interior.

      Tuyuhun's economic structure accounted for their immigration.Tuyuhun had a much taller level of Chinesization than Tibetan did,but its geographical conditions were very bad."Short of grass and tree,rich in swamp"[21],"cold wind made people's footprints disappeared fastly"[22],"therefore,there were a lot of poor people and few rich people in Tuyuhun"[23].So agriculture could not be major base of Tuyuhun's economy because of the limitation of its geographical conditions.The economic base determined Tuyuhun's founding,development and prosperity was really commercialization of Tuyuhun's nomadic economy[24]."There were several little castles,but Tuyuhun did not live there,they lived in tents which made them nomadize by the amount of water and grass"[25].Tuyuhun was located in Henan road of the Silk Road,with its facilities Tuyuhun carried often out a large number of trading activities and exchange of needed goods from each other which accounted for the prosperity of Tuyuhun,even accounted for the situation that "the kingdom had impermanent tax,tax taken from the rich"[26].Therefore,only commercialization of nomadic economy was the decisive force of Tuyuhun's economic base.This type of commercial economy had two main advantages of unique that enabled Tuyuhun to arise rapidly by good opportunities and geographical superiorities.First was flexibity,and the other was pragmatic.But,this type of commercial economy led a fatal flaw to Tuyuhun,that was a very unstable economic base which resulted to a unconcentration of state power.Although Tuyuhun's central government also holded a comprehensive system of bureaucracy which included a series of "names of Gong,Pu She,Shang Shu and Lang Zhong,general"[27].The loose power of central government unabled to carry out effective management and control on mighty local administration.This point could be proven exactly by the fact that there were many local governors surrendering frequently to interior dynasties during Tuyuhun's history.

      Such economic base and state system determined the fact that Tuyuhun's military forces could not be against at all Tibetan military forces under democratic system of military.It was supposed that if Tuyuhun was an agricultural kingdom with commercial supplement,it would not be vulnerable to Tibetan military offence by virtue of the kingdom's economic strength,national cohesion and the number of population;and Tang Dynasty as its backing,how could Tibet defeat easily Tuyuhun?Tuyuhun would not also leave their hometown,scattering around exotic land.

      By the analysis and research mentioned above,it was easy to learn about that a large number of Tuyuhun's immigration resulted from inevitability of history,from inevitability of historical process of movement,from inevitability of environmental change and development at the times.Only by the basic principle of historical materialism,we could reveal the underlying factors of Tuyuhun's immigration.To understand clearly this point was not without inspiration and practical significance to grasp the feudal history of ethnic relationship and political history.

References

1.[Bei Qi]Wei shou:Wei Shu,Zhonghua Shuju,1975.

2.[Liang]Xiao zixian:Nan Qi Shu,Zhonghua Shuju,1972.

3.[Tang]Yao silian:Liang Shu,Zhonghua Shuju,1972.

4.[Tang]Li yanshou:Bei Shi,Zhonghua Shuju,1974.

5.[Tang]Wu jin:Zhengguan Zhengyao,Shanghai Guji Chubanshe,1978.

6.[Tang]Du you:Tong Dian,Zhonghua Shuju,1988.

7.[Wu Dai]Wang Pu:Tang Hui Yao,Shanghai Guji Chubanshe,2006.

8.[Bei Song]Wang qinruo:Cefu Yuangui,Zhongguo Taiwan Zhonghua Shuju,1996.

9.[Bei Song]Ou yangxiu:Xin Tang Shu,Zhonghua Shuju,1975.

10.Cai rang:Tubo Shigao,Gansu Renmin Chubanshe,2007.

11.Lv jianfu:Tuzu Shi,Zhongguo Shehuikexue Chubanshe,2002.

12.Zhou weizhou:Tuyuhun Shi,Ningxia Renmin Chubanshe,1984.

13.Chen nan:"A Probing into the Development and Circulation of Buddhism during Tubo Kingdom",China Tibetology,1,1994.

14.Jin baoxiang:"Tibetan Formation and Development and its Relationship with Tang",Historical and Geographical Review of Northwest China,2,1985.

15.Li hongbin:"Ethnic Blending and Political Development in Tang Dynasty",Journal of the Central University for Nationalities,4,2001.

16.Li jihe:"Migration of Xianbei Nationality in the Northwest Area",Nationalities Serials in Heilongjiang,3,2003.

"The Cause for Immigration of Tuyuhun and its Effect",Nationalities Research in Qinghai,7,2003.

"The Reasons for Migration of Ancient Chinese Ethnic Groups",Journal of South-Central University for Nationalities,Humanities and Social Sciences Edition,1,2004.

17.Zhang li:"Climate Change and North-Minorities Moving Southward in Ancient China",Journal of Xuchang Normal College,4,1997.

18.Zhou yuhua:"On the Relation of Politics and Religion during Tubo Kingdom",Tibetan Studies,NO.5,10,2008.

[1] Zhou weizhou:Tuyuhun Shi,Ningxia Renmin Chubanshe,1984,pp103-106,p182.

Lv jianfu:Tuzu Shi,Zhongguo Shehuikexue Chubanshe,2002,p118,p128.

[2] Li jihe:"The Cause for Immigration of Tuyuhun and its Effect",Nationalities Research in Qinghai,7,2003.

[3] Li jihe:"The Reasons for Migration of Ancient Chinese Ethnic Groups",Journal of South-Central University for Nationalities,Humanities and Social Sciences Edition,1,2004.

[4] Ren shumin:"Influences of Tubo in Tang Dynasty on the Minorities' Migration in China's West Region",Journal of Qinghai Normal College,4,2008.

[5] Li jihe:"Migration of Xianbei Nationality in the Northwest Area",Nationalities Serials in Heilongjiang,3,2003.

[6] Li hongbin:"Ethnic Blending and Political Development in Tang Dynasty",Journal of the Central University for Nationalities,4,2001.

[7] Guan yanbo:"Different Channel' Culture Exchanges of Internal Area and Frontier District of Tang Dynasty",Guizhou Ethnic Studies,4,2007.

[8] Zhang li:"Climate Change and North-Minorities Moving Southward in Ancient China",Journal of Xuchang Normal College,4,1997.

[9] These related descriptions can be seen in Cefu Yuangui,vol 956,"waicen bu",Zhongguo Taiwan Zhonghua Shuju,1996,p11250;Tong Dian,vol 190,frontier defense 6,"Tibet" item,Zhonghua Shuju,1988,p5170;Xin Tang Shu,vol 216,"Tubo Zhuan",Zhonghua Shuju,1975,p6071;Tang Huiyao,vol97,"Tibet" item,Shanghai Guji Chubanshe,2006,p2049.

[10] Hu ji:Tang Studies during the 20^th Century,Zhongguo Shehuikexue Chubanshe,2002,p230.

[11] Cai rang:Tubo Shigao,Gansu Renmin Chubanshe,2007,pp7-13.

[12] Jin baoxiang:"Tibetan Formation,Development and Its Relationship with Tang",Historical and Geographical Review of Northwest China,2,1985.

[13] the same as 11,pp51-81.

[14] Tong Dian,vol 190,frontier defense 6,"Tibet" item,Zhonghua Shuju,1988,p5172.

[15] Xin Tang Shu,vol 216,"Tubo Zhuan",Zhonghua Shuju,1975,p6076.

[16] the same as 11,pp184-187;Zhou yuhua:"On the Relation of Politics and Religion during Tubo Kingdom",Tibetan Studies,NO.5,10,2008;Chen nan:"A Probing into the Development and Circulation of Buddhism during Tubo Kingdom",China Tibetology,1,1994.

[17] the same as 12.

[18] Tan qixiang:"The General Map of the Tang Dynasty Period",the Historical Atlas of China,Zhongguo Ditu Chubanshe,1991,pp39-40.

[19] Zhengguan Zhengyao,vol 1,Shanghai Guji Chubanshe,1978,p24.

[20] Kaitian Zhuanxin Lu,vol 1,Qing·Guangshu Yangshushanfangben.

[21] Liang Shu,vol 54,"Zhu Yi Zhuan",Zhonghua Shuju,1973,p810.

[22] Nanqi Shu,vol 59,"Henan Zhuan",Zhonghua Shuju,1972,p1026.

[23] Wei Shu,vol 101,"Tuyuhun Zhuan",Zhonghua Shuju,1974,p2240.

[24] Ma manli:"Issues about Commercialization of Tuyuhun's Nomadic Economy",Nationality Research in Northwest China,1,1988.

[25] Nanqi Shu,vol 59,"Henan Zhuan",Zhonghua Shuju,1972,p1026.

[26] Nanqi Shu,vol 59,"Henan Zhuan",Zhonghua Shuju,1972,p1026.

[27] Bei Shi,vol 96,"Tuyuhun Zhuan",Zhonghua Shuju,1974,p3186.

Name: Zhang Sannan  Student ID: B08079

Research paper supervisor:Dr.Sekou Conde

School of Ethnology and Sociology  Minzu University of China

2008-2009 Academic Year

【Abstract】 The correct understanding of the international system is the key of the establishment of an stable international order. The EU is involved in almost all areas of in international system as an important actor and a full force of "the world's actors," playing a unique role and influence in international system. Although all the major countries of the European Union force is still relatively simple, it is undeniable that a strong and peaceful Europe, is an important force for progress to promote global governance and the international system to achieve stability .
【Key Words】 EU; power; international relations ;international system

   What kind of power of the EU? How to recognize the power of Europe? This is an big problem of international system and international order.However, the international community didn’t have a common opinion of the strength of Europe because the power itself is a concept rather than consensus.[①] Different theoretical paradigms for the interpretation of the EU are very different, it is sometimes seen as a central force, and sometimes is seen as a model or a system, and sometimes even be seen as merely a geographical concept.
   The EU's itself is the international system as a sub-system with 27 member states which are sovereign states themselves. In this paper, the discussion does not involve changes in the relationship among the EU ,but rather to focus on the power and status of the European Union in the international system.

Ⅰ The power of the European Union in international system

   On the difficulties of power assessment, Hans Morgenthau has discussed it in his National Politics. Although, in his view it is a "difficult task",[1] he has still systematically discussed the various elements of state power. In accordance with the thought of power politics, there is no doubt that international politics can not ignore the power of the European Union which has 27 Member States with a population close to 500 million and more than 13 trillion U.S. dollars of the gross national product.[2] Nevertheless , many people still believe that the strength of the European Union is not worth mentioning. They believe that at best the EU can only be regarded as an economic giant, political dwarf, and its strength is not sufficient to have an important impact on the international system, it can not become a geopolitical force in the decision. However, if we inspect the EU's diplomatic resources and decision-making level, economic diplomacy influence and military capacity-building deeply, we will find that the actual situation is far from the case.

1)  the EU's diplomatic resources and capacity

   The EU has abundant financial resources. The EU’s annual budget is about 100 billion euros .Compared with the United Nations budget which is only  4.5 billion U.S. dollars,  it can be regarded as the world's most affluent organization. In addition to their own resources, the EU can also use the resources of its member countries. The largest EU member states Britain, France are permanent members of the UN Security Council, is also a member of the nuclear club. [3]As the former colonial masters, they have large number of developing countries in bilateral resources and cultural ties can be effective in expanding the EU's influence in the world. After World War II, the rise of Germany from a defeated nation to a peaceful, prosperous developed countries, and together with France, European integration as the "engine" for regional cooperation to make a positive contribution. [4]
   Diplomatic skills related directly with the decision-making. The predictability and stability of EU ‘s foreign policy-making has not yet reached the level of a sovereign state, but has also been developed to a considerable extent. [5]There is evidence that the collective identity of the EU member states in the field of foreign and security become increasingly prominent, for example, the United Nations General Assembly vote on its consistency since the end of the Cold War has continued to increase. In the World Health Organization and the International Atomic Energy Agency and other functions of international organizations, the EU's influence is growing. Even in the the area of security such as the building of security mechanism, weapons production and markets, economic sanctions, the EU's security cooperation has also shown a rapid increasing trend. [6]
   Of course, the EU foreign policy cooperation is not a natural given. EU foreign policy system in the Common Foreign and Security Policy (CFSP) and the foreign economic relations belong to the different pillars of the EU, the application of different decision-making process, and the nation-state's foreign policy-making is independent of the EU part of the decision-making process. [7]Therefore, the need for diplomatic efforts to persuade the co-operation and systems to achieve coordination and cooperation in different fields is indeed a different extent. CFSP is the case in one policy on the basis of the results of coordination and cooperation, which means that the problem in different areas of the level of the EU's decision-making are different, it reflected the ability of decision-making and action is not the same .This is also the weaknesses of the European Union in the diplomatic capacity.

2) the capacity of the EU's economic diplomacy

   Since the completion of the single European market and the euro’s appearance, the EU has become the world's most powerful economic force. Whether from trade, finance or other indicators to measure total economic output, the European Union and the United States are worthy rival economic community. In fact, the economic diplomacy is the EU's traditional area of advantage. The EU’s ability in the economic field include both carrot and big stick. [8]
   European Union foreign aid is the primary tool of economic diplomacy. The initial purpose of foreign aid is not development, but diplomatic. Of course, foreign aid is to promote balanced development and an important tool for global governance. The EU is the world's largest aid strength , it provides external development assistance accounts for the global official development assistance (ODA) funds for 52% (2005). The EU's external development assistance is growing in absolute terms in 2004 for 35 billion euros in 2006, up to 48 billion euros, accounting for their gross national income (GN I) of 0.42%. [9]Over the same period, U.S. foreign development assistance accounted for only their gross national income of 0.17%, Japan accounted for 0125 percent. The EU is also the world's largest humanitarian aid donor and the number of the general humanitarian relief activities reaches to about 400 million euros every year. In addition to external development assistance and humanitarian assistance, the EU trade policy is also an important economic and diplomatic means. It can be seen in the economic sanctions, the EU collective action was taken by the momentum of rapid increase. [10]

3) the EU's military capabilities

In the past five years, the EU’s military capacity-building showed the momentum of rapid development. In the end of the 20th century and early 21st century, the EU's Common Security and Defense Policy (ESDP) started to build. It shows that the EU has become a military force worthy of the name. Despite its military spending and military capabilities in comparison with the United States is still a far cry from the EU member states also are the majority of the NATO allies the United States, the EU's own military capacity-building developed rapidly, the EU is gradually changing the nature of its non-military . At present, in the ESDP-building has been changed to a large extent the early end of the Cold War the European Union in resolving the crisis faced by the region's weak and helpless and passive situation. Its development on the EU in the military also began to emerge as an important force that can not be ignored.
    The above analysis shows that the EU has become a military force worthy of the name. Despite its military spending and military capabilities is still a far cry from the United States in comparison with the United States and the EU member states also are the majority of the NATO allies the United States, the EU's own military capacity-building developed rapidly, the EU is gradually changing the nature of its non-military.[11] At present, ESDP-building has been changed the weakness and helplessness and passive situation to a large extent in the early end of the Cold War. Its development in the military also began to emerge as an important force that can not be ignored.

Ⅱ the nature of the EU force

    Discussion on the forces of nature, mainly refers to the strength of performance in the international system dominated by the behavior of peace and cooperation and conflict or war, depending on the guidance of its strategic thinking and the deployment of the international concept. The ideas include outlook on the world, the principle of cause and effect beliefs and convictions of three aspects. The international concept is the concept of how to deal with the international community. his is a strength or a country held by the world as a collective, as well as how the international community to realize their own interests and beliefs. It includes at least three aspects: judge for the nature of the international community and relationship with the international community, as well as methods to deal with the outside world .In the end of 2003 the EU introduced the European Security Strategy Report, which is the right international cases to analyze the concept of the European Union, because in this report, the EU concentrates on the current to determine the nature of the international community, of self-identification, External strategic objectives and the means of identification and selection. [12]
   The report covers the following aspects:

Firstly, the EU finds that the world is no longer the world of conflict among great powers, and the threat is mainly from non-traditional security issues of cross-border. These include: terrorism, proliferation of weapons of mass destruction, internal problems caused by regional conflicts, governance failure and organized crime. These non-traditional security issues, are the most serious and most urgent threat for  Europe ,as well as the building of international order.
   Secondly, the European Union as a world power, its external strategic objectives is to build "effective multilateralism" as the core value of the international order. The EU believes that no single country can deal with today's complex problems. In the face of global threats, the EU's security and prosperity increasingly depend on an "effective multilateral system."  [13]The core of the multilateral system is the United Nations and other international organizations with the international law and international norms for the protection of the effective operation. The focus of the work of the European Union is to strengthen the authority of international organizations so that they have effective action and the achievement of their responsibility. When the destruction of international law happened, the EU must be able to become more involved in conflict prevention, peacekeeping and combat terrorism. Therefore, the EU must develop its own military with rapid response capability. In an environment where power can not ensure the security world, the European Union need to be able to face unexpected situations, use the right combination of policy tools.
   Thirdly, the EU will actively participate in shaping the international system and affect the other country or region's internal affairs. On the one hand, the EU will use trade policy instruments such as development assistance in the surrounding areas to promote good governance, democracy and human rights norms, to promote positive social and political change; On the other hand, continued to strengthen its own military capacity-building, and actively involved in peacekeeping and reconstruction peace. At the same time, developing the relations with all the major countries with strong bilateral relations was the EU's important aspect of security strategy.
   EU Security Strategy clearly outlines the EU's international outlook. The EU stressed that it is a world actors, shaping the pursuit of a rule of law, openness, interdependence of international order. The report demonstrates that the concept of the European international nature of peace and cooperation, stressing the international community, non-confrontational relationship and interdependence, and advocate for the threat of "integrated governance" and multilateral approach, advocated to establish "rules of consciousness" and in accordance with the law, the pursuit of in effective multilateralism based on a more fair, security and cooperation in the world.
   European Union’s concept of peace and cooperation in the international is nurtured and developed after World War II with the process history of European integration, having a profound and practical basis of the norms inherent qualities. It made the EU play an active role different from the United States in the international system.

Firstly, the EU is the world's first successful model of regional integration, which has strong influence. The European Union through economic, political, social and other fields, has formed the world's most stable and most closely regional joint. Its mode attracts neighboring countries like a magnet to follow and to join, as well as other areas to provide a wealth of experience and a model.

Secondly, the EU through its own construction of the integration has reconstructed successfully the relationship between the countries in the region of the international system to promote the realization of the conversion of peace. European integration after World War II fundamentally changed the international system within Europe, the relationship between the countries to give up the use of force or threat of force to resolve their contradictions and problems, to form a regional security community.

Thirdly, the European Union with the world's largest soft power has played an irreplaceable and constructive role in building of the world order. European multilateralism is different from unilateralism of U.S. Therefore, the EU is unique in the world as a new type of force, and its culture of peace and cooperation in the international system constitutes a positive and constructive influence.
 
Ⅲ The cognitive to the power of the European Union

   The identity of any international structure is a mutual process. Therefore, a complete understanding of the forces, in addition to the EU's own understanding, depends on how other countries look at the strength of the European Union. Due to limited space in the article, only the cognitive of the United States and China are discussed.

1) awareness from the United States

    Academic and policy community in U.S. concerned about the development of Europe, mainly focused on not only the future of the Atlantic alliance, but also from strategic angle focused on whether the EU is a fully independent force in the future. Taken as a whole, on this issue they did not see eye to eye. The dominant view is that the European cooperation in the field of security is still not substantial progress.
   The national security strategy report issued by the U.S. government reflects the U.S. recognition of the European Union clearly. Studying U.S. National Security Strategy Report published since the end of the Cold War's, it can be found the EU has never been an independent force in the eyes of policy makers in the United States. [14]The two reports of 2002 and 2006 as a example, the United States national security strategy report does not have a separate place to discuss the force of the European. The report allies the European with Canada together, to emphasize that without the long-term cooperation of the allies of Canada and the European, it is very difficult for the United States to achieve its goal of long-lasting in the world. Reports from two of Europe's position recognize that Europe is the world's most powerful and most capable of the two international organizations (the North Atlantic Treaty Organization and the European Union).
    Report in 2006 compared to 2002 report, there is no fundamental change took place. The report is still under the framework of the Atlantic to discuss the European Union, stressed that "NATO remains a key foreign policy pillar", "Europe is that some of our oldest ally and the most recent homes. Our co-operation relation bases on the common values and interests on a solid foundation. Moreover, it is deepening.
    In fact, the opinions in the U.S. government are at odds. In 2004, the U.S. Central Intelligence Agency (CIA) alleged that the EU will developed into a political, military, economic actors on the importance of a unified force for the next ten years in the international system of strategic assessment as possible in 2015.[15] According to gross domestic product, defense spending, population and technological capabilities of four indicators of comprehensive national strength index measure, the EU may well become the international system after the U.S. forces. Of course, the strategy of the U.S. Central Intelligence Agency assessment team's opinion is only a statement and report can not be placed on a par with the U.S. government. Since the end of the Cold War, the U.S. policy has always the "NATO first" strategy, Europe's military capacity-building should be conducted within the framework of NATO. [16]Therefore, it is very difficult for the U.S. government to look from the perspective of the European framework of NATO. In addition, the United States believes that the current development of European military capabilities can only be used for peacekeeping operations, there is no projection capabilities overseas. That is why the eyes of Europe in the United States in the field of security insignificant dominant view is still valid.

2) awareness from China

    China will increasingly consider that the EU is an independent European force in the development of world multi-polarization as an important component. [17]China attaches great importance to the EU's strategic partnership development, and has repeatedly reiterated that China and the EU on the world stage today are the maintenance of peace, an important force for development, the comprehensive development of the EU and developing the relation with the EU is an important component of the China's foreign policy. To this end, the Chinese government in October 2003 issued the first policy document of the European Union, announced that China's EU policy objectives and planned measures and related areas of cooperation. [18]Not only that, China's support for the development of European integration, since the end of World War II development patterns in Europe gave a positive assessment, emphasizing its multilateralism is conducive to world peace and development.
    However, China's European policy has always stressed the importance the European Union also attached great importance to develop the relationship with the EU member states. This is not only due to the nature of inter-governmental cooperation, mainly because the EU decision-making model in China's is a "dual track" feature, leading that China-EU bilateral relations between member states is still the focus of Sino-EU relations. At the same time, China's overall external relations priorities, the Sino-US relations has always been considered to be more important than the importance of Sino-EU relations .Especially in recent years because of the U.S. involvement in the European Union arms embargo on China policy, and because successfully prevented the European Union to lift the arms embargo as soon as possible China shows the suspicion of the European Union's external behavior of the independence.
   This shows that the U.S. security strategy report significantly underestimated the EU's position in the world. This is because the United States is still viewed from the framework of NATO in Europe, from the perspective of cognition European ally of the United States has always been, rather than the power of a fully independent.China has recognized the importance of the international status of the European Union and the European model for international politics and the positive development of  the world, but China has see the instability of the EU's two-track decision-making and the powerful constraints of the United States to the EU's foreign policy. Therefore, China's EU policy has always stressed the bilateral relations with EU member states.

IV  Conclusion

    There is no doubt that the EU is an important actors involved in almost all areas of the international system. In the economic sphere, it is a worthy and important. Politically, it is the core of the U.S. allies, but also on behalf of the Western world with the different voices in the United States. Militarily, after just a few years, although the current capacity is limited, its force is developing rapidly with significant trend of development. In culture field, Europe is the self, has a long history and far-reaching impact, very attractive. In short, the EU is a force to develop a comprehensive "world actors", dedicated to building a new European "empire" and to influence the world. As a "second system", the EU is a complex actors. Although all the major countries of the European Union force is still relatively simple, it is undeniable that a strong and peaceful Europe, is an important force for progress to promote global governance and the international system to achieve stability .

Reference:

[①] There are two main perspectives: there is no force in Europe and the EU will lead the 21st century. See Robert Kagan, Of Paradise And Power: America and Europe in the New World Order, New York: Alfred A. Knopf, 2003; Mark Leonard, Why Europe w ill Run the 21st Century, London: Fourth Estate, 2005. John McCormick, The European Superpower, New York: Palgrave Macmillan, 2007.

[1] Hans J. Morgenthau, Politics among Nations: The Struggle for Power and Peace, Sixth edition, New York: Alfred A. Knopf, 1985，pp.170 - 185.

[2] Hedley Bull, "No government social: Study the world political order" (second edition), Beijing: World Knowledge Press, 2003, p162.

[3] Brian White，Understanding European Foreign Policy, Basingstoke： Palgrave， 2001,p55.

[4] B. Tonra， The Europeanization of National Foreign Policy：Dutch， Danish and Irish Foreign Policy in the European Union,Aldershot:Ashgate,2001,p45.

[5] J. P. Olsen， “The Many Faces of Europeanization，”Journal of Common Market  Studies， Vol. 50， No. 5， 2002, pp.921 - 952

[6] Reuben Wong，“The Europeanization of Foreign Policy” in Christopher Hill and Michael Smith，eds. ，International Relations and the European Union, pp.134 – 153.

[7] K. Laatikainen，“Assessing the EU as an Actor at the UN：Authority， Cohesion， Recognition and Autonomy， ”CFSP Forum，Vol.2，No. 1，http：/ /www. fornet. info.

[8] Christopher Hill and Michael Smith，“Acting for Europe：Reassessing the European Union’s Place in International Relations，”in Christopher Hill and Michael Smith eds. ，International Relations and the European Union,p127.

[9] Michael E. Smith，“Implementation: Making the EU’s  International Relations Work”,p143.

[10] Seth G1 Jones，The Rise of European Security Cooperation，New York： Cambridge University Press，2006, p.396.

[11] Judith Goldstein and Robert O. Keohane，eds. ,Ideas and Foreign Policy：Beliefs，Institutions, and political change，New York： Cornell University Press， 1993,p34.

[12] JeffreyW. Legro，Rethinking the World：Great Power Strategies and International Order，Ithaca：Cornell University Press，2005,p242.

[13] EU，A Secure Europe in a Better World：European Security Strategy， Brussels， December 2003. http： / /www. consilium. europa. eu /uedocs/ cmsUp load /78367. pdf.

[14] EU， A Secure Europe in a Better World： European Security Strategy.

[15] EU， A World Player： the European Union’s External Relations，Brussels， 2004.

European Commission, “Keeping Europe’s Promises on Financing for Development” April 2007，http:/ / ec. europa. eu /development /icenter / repository/DGdev - PO - COM_2007 _164 - PO - 521 - 07 _Financing_Monterrey_ACTEclean_EN. pdf.

[16] Aurore Wanlin，“What Future for EU Development Policy?” Working Paper， Center for European Reform，London，CER，May 2007,p65.

[17] European Commission， “The European Consensus on Development， ”June 2006， http： / / ec. europa. eu /development /body/publica2tions/docs/ consensus - eu - total. pdf.

[18] Thomas Risse，“Social Constructivism and European Integration，”in Antje Press Wiener and Thomas Diez，eds.，European Integration Theory，Oxford and New York： Oxford University Press，2004,p89.

Name: Li Juan  Student ID: B08014

Research paper supervisor:Dr.Sekou Conde

Minzu University of China

2008-2009 Academic Year

Abstract:

The financial relationship between the central government and local government has been an important project for economic study. The economists at home and abroad studied the problem of fiscal decentralization from a different perspective. This paper is consisted of 6 parts, analyzing the definition of fiscal decentralization, its several theory basis, historic transformation of fiscal decentralization in China, Fiscal and taxation reforms,  and act of Chinese government in the decentralized fiscal system.

Key words:

fiscal decentralization, central government, local government, System of tax distribution, reform, budgetary system,

I. Introduction

1.1 Background

Almost the government system in every country is divided into several levels, so it is an important goal of the central government to achieve the coordinated development through the distribution of the power of the regional economy. Therefore, the financial relationship between the central government and local government has been an important project for economic study. The economists at home and abroad studied the problem of fiscal decentralization from a different perspective.

1.2 Definition

The fiscal decentralization, by definition, means bestowing the local government some power of tax revenue and expenditure, and allowing it to set the budgetary expenditures scale and structure independently to choose the strategies needed freely, and to take part in the social management actively so that the local government is able to provide more and better service.

1.3 Theoretical basis

The theories to fiscal decentralization are not taken into account widespreadly through the developed countries, but are considered as an important means to be out of the central planning’s control and keep sustained growth in developing countries.

1.3.1 Traditional theories to fiscal decentralization

1.3.1.1 Theory of voting with feet by Tiebout

Tiebout (1956) assumes that residents can move freely. Those who have the same preference and income level will gather around a local government automatically. Then it will cause the competition among governments. Once the government cannot meet their requirements, the residents will be able to move to another satisfying district by “voting with feet”. So the local government must supply public goods according to their needs to appeal to voters, in which Pareto efficiency will be achieved. To sum up, under the constraints of the residents, the local government has the motivation to supply public goods most efficiently.

1.3.1.2 The thought of the separation of power by Musgrave

Following Musgrave (1959) one may imagine three purposes for government intervention in the economy: allocation, when market failure causes the private outcome to be Pareto inefficient, distribution, when the private market outcome leaves some individuals with unacceptably low shares in the fruits of the economy, and stabilization, when the private market outcome leaves some of the economy's resources underutilized. The recent trend in economic research has tended to emphasize the character of stabilization problems as problems of allocation in the labor market. The effects that government intervention can have on the allocation and distribution of an economy's resources are described in terms of efficiency and incidence effects. These are the primary measures used to evaluate the welfare effects of government policy.

1.3.1.3 Decentralization theorem by Oates

The Decentralization theorem was proposed in the book fiscal federalism (in 1972) by Oates. It puts forward the comparative advantages of supplying  goods in decentralization by a series of supposes. “compared to the central government, the local government is better approaching  to its people and understanding their utilities and requirements. ”

1.3.2 New theories to fiscal decentralization

On the basis of decentralization framework, incentive compatibility and mechanism design theory is introduced as the latest development of microeconomics in Public Finance. Qian and Roland, B.Wein gast and D.E.Wildasin, whose thesis are regarded as its representatives. They pay more attention to how to establish a mechanism to motivate the makers who  formulate public policy.

As stated here, they are all western scholars’ basic views on fiscal  decentralization. However, they are founded on the basic premise that economic developing is relatively balanced and people have abundant democracy awareness and democratic regime. If not, are the theories suitable?

II. Historic transformation of fiscal decentralization in China.

In order to make it clear, it is necessary to draw a rough picture of the Chinese fiscal system. A World Bank mission visited China in 1988 and issued an excellent report named “China: Revenue Mobilization and Tax Policy Issues and Options”. It is considered to be divided into three periods as follows:

2.1  Period of highly centralized planned economic system(１９４９—１９７９)

The People’s Republic of China was founded in 1949 with the aim to make it rich and strong, and its people happy. The leaders of the time think the heavy industry should lead a key role in the development strategy. And the country’s future depends on the government instead of the market-driven relocation of resources. But it didn’t suit the fact at that time. It was rather scarce to supply the capital and quite difficult to obtain necessary equipments and technology from the advanced developed countries. Therefore, the strategy was against the endowment of resources. As a result of it, the government had to keep down the price of labor, capital and materials to make sure the heavy industry could develop rapidly on the low-cost basis. So Chinese central government set up a system of planning resource allocation. It is centralized budgetary and payments system.

The fiscal policy of unified collection and allocation of funds by the state worked greatly to solve economic difficulties intensively, but later the disadvantages gradually come out. Firstly, the preference characteristics of the local residents are simply ignored and huge financial system led to high cost. The disadvantages in the information by the central government increase the possibility of resource allocation. Secondly, due to the asymmetry between the revenues collection and expenditures allocation, the enthusiasm of the local economic development declined. This highly centralized old structure greatly deviated from China's reality of a low development level of productive forces. It is urgent to reform the high concentrated financial system.

2.2  Period of decentralization & transfer of profits (１９８０—１９９４)

The reform and open policy has been implemented since 1978. China's financial budget system transfered from the unitary to contract in 1980, which is consisted of two different constitutions. The first system of “serving meals to different diners from different pots “ was carried out all over the country except Beijing, Tianjin and Shanghai in the year of1980, which, namely, the system of dividing revenue and expenditure between the central and local governments and holding each responsible for balancing their budgets.

As a transitional finance system, it was continued and developed into planning  finances in 1988, which was regarded as a formal institution throughout 37 provinces and municipalities with independent planning status.

In the early years following the launch of the single currency the fiscal policy situation also improved, although this was mainly due to the economic situation. In structural terms, however, public budgetary positions have worsened in recent years; but the positions in the individual countries differ substantially. Given demographic developments and the foreseeable strains on the public purse in particular, huge efforts are still needed to place fiscal policy on a permanent and sustainable basis. ^[1]

2.3 System of tax distribution (1994 to present)

2.3.1 Definition of Tax Distribution System

The reform on Tax Distribution System has been put into practice since 1994. Tax Distribution System is the budget system that is usually adopted by ”Fiscal federalism" market economy countries, whose features are Partitioning expenditure in different levels of governments according to various levels of defining the right to handle administrative and financial affairs in the budgets. And the central government transfer payments to the local governments to balance the different levels of public services. On the basis of the tax-sharing reform, new reforms for sharing income tax revenue were implemented in our fiscal system. There are various kinds of distortion of government action in the system of tax distribution. Therefore, the reform of Tax Distribution System has evolved into the game between the central and local governments in disguised form.

2.3.2 The existing major problems of Tax Distribution System:

a)It is not perfectly rational between financial rights allocation and defining the right to handle administrative affairs

b)It brings about many problems according to the relationship of administrative subordinateness

c)Transfer payment method is not perfect

d)The financial management system at and below the provincial level are not standard. Provincial and lower-level authorities may be reluctant to divert resources to areas that do not produce immediate benefits in terms of boosting employment and GDP growth.

III. Fiscal decentralization and centralization

3.1 The merit of fiscal centralization

Because of some historical reasons, China's economic system was in the closed position before the reform and opening up. The central government invested greatly to motivate lagging inland areas developing through  centralization, whereas, it was impossible to achieve it only with market forces.

3.2         The merit of fiscal decentralization

After the reforms and opening up, China's economy has been developing fast and healthy, to which the reforms of fiscal decentralization contributed much. The public goods are better supplied by local government than the central government to reduce the loss of efficiency.

3.3 The principles of fiscal decentralization

We usually stick to the principle of administrative function and the principle of efficiency. Just as Yuan said, "The State's finances should pay more attention to solving problems which cannot be solved by the market, including public health, social security and environmental protection, while government expenditure directed at expanding demand should be reduced.” He added, "Fiscal policy should help create a good environment for companies, especially private companies, so that market factors can play an more important role." [2]

3.4 The relationship between fiscal centralization & decentralization

One coin has two sides. Compared with fiscal centralization, the decentralization still has a long way to go. To promote public finance management system, deepen the reform of the budget system, improve the central and local governments with the financial power to match the system. The further increase in fiscal decentralization or slackening in extra-budgetary fund management will result in many adverse effects on China's economy.   Taxation is the most important way to obtain the fiscal revenue. So then we will go through the reforms of fiscal and taxation. 

 IV. Fiscal and taxation reforms

4.1 Achievements of fiscal and taxation reforms

 4.1.1 The system of transfer payments was further improved

The Chinese central government's fiscal transfer payments to local governments, mainly in the central and western regions, came to 709.29 billion yuan in 2007, an increase of 193.32 billion yuan. This figure includes 250.5 billion yuan in general transfer payments, which were used to promote a more balanced financial distribution among different regions. [3]

The methods are improved for calculating fiscal transfer payments and introduced a transfer payment system to assist cities that had depended on resources that are now exhausted. The government also adjusted and improved the "three rewards and one subsidy" policy and increased the rewards to local governments for balancing financial distributions among counties and ensuring key expenditures.

4.1.2 Important headway has been made in taxation reform

Important headway has been made in taxation reform. The corporate income tax systems for domestic and overseas-funded enterprises were reformed, and the new Law on Corporate Income Tax and the regulations on implementing has gone into effect since January 1, 2008. Collection of taxes on urban land use and vehicle and boat operation is going smoothly after the revision of related regulations, and the relevant taxation policies have been also further improved. On the basis of the VAT reform trials in northeast China, the reform has been extended to eight industries in 26 old industrial cities in the central region. Progress in resource tax reform enters a new stage. 

  4.1.3 Reform of the budgetary system

Reform of the budgetary system has gradually made progress. The budgetary system for managing state capital is put into trial operation. The new classification system for government revenue and expenditures has been widely adopted in compiling budgets and final accounts and implementing budgets. The reform that requiring all central and local government departments to prepare their budgets is deepened, and progress has been made in improving the system of standards for expenditures. Trials to set allowable limits for in-kind expenditures and to evaluate performance of budgetary expenditures have been conducted. The reform to set up a centralized treasury payment system has been carried out in all central government departments, their subsidiary bodies responsible for preparing their own budgets, governments of provincial-level localities and cities specially designated in the state plan, and bodies of most cities and counties that prepare their own budgets. This reduced the steps in the transfer of funds. Up to now, trials have been conducted on the computerized horizontal integration of the bank accounts for the tax revenue of finance departments and tax departments with the treasury in more than ten provinces. Reform of the collection and transfer of non-tax revenue has been carried out in approximately 50 central government departments and nearly all localities, ensuring that revenue finds its way to the state treasury in a timely manner. So China has improved the government procurement system and deepened the reform of separating revenue from expenditures. Support for corporate and financial reform is also strengthened.

       The timeframe for budgetary preparation has been extended, too, and procedures for preparing and submitting budgets are already standardized. Supervision of budgetary preparation and budget implementation work have been strengthened. Relevant institutions and measures have been improved, and budgetary implementation becomes more efficient. Trials of paying the expenses of official business with bankcards progressed smoothly. Review of state-owned assets in administrative bodies and government-affiliated institutions has been completed. A number of laws and regulations, including the new Law on Corporate Income Tax, have been enacted. The new General Rules on Corporate Finance and Rules on Finance in Financial Enterprises are issued and implemented. The new system of auditing norms has been widely instituted in accounting firms. Notable results are achieved in fiscal oversight. A total of 56.9 billion yuan has been used contrary to regulations or disciplinary rules, of which 21.5 billion yuan is recovered, and responsible persons are held accountable for the losses. Steady progress has been made in the computerization of financial management, and its successes are gradually becoming apparent. The State Council gave careful consideration to the relevant decisions and resolutions as well as the comments and suggestions raised in the auditing report, and it requested that the Ministry of Finance and other relevant departments willingly accept the oversight, the auditing authorities and the public, and take effective steps to rectify their problems. The Ministry of Finance and other relevant departments have worked hard to identify the causes of problems and conscientiously rectified them.   In the term of this government, work in public finance has taken on a new aspect.

   4.2 Promote fiscal and taxation reforms

4.2.1 Reform of fiscal management system
     It is still necessary to deepen the reform of the fiscal management system. Firstly, we need to improve and standardize the system of transfer payments from the central to local governments, raise the scale and proportion of general transfer payments, and increase spending on public services. The central government has allocated 846.702 billion yuan in fiscal transfer payments to local governments, an increase of 137.417 billion yuan or 19.4%. [4]

Secondly, We need to improve the method of calculating standard revenue and expenditure items and strengthen support for no-development zones and restricted development zones. We will also encourage these regions to strengthen ecological and environmental protection, and promote development in development priority zones.

Fiscal transfer payments to cities that once depended on resources that are now exhausted will be increased to help them gradually solve longstanding social problems. The procedure for examining and approving new transfer payments must be strictly followed to make the distribution scientific.

Thirdly, We need to continue reviewing current special transfer payments, combine items that have similar purposes and eliminate or reduce items whose term has expired, items of a one-time nature and items that do not need to be retained to meet the needs of macroeconomic regulation. The procedure for introducing policies related to special transfer payments will be standardized to keep the overall load on local budgets within an acceptable range. A total of 44 billion yuan, an increase of ten billion yuan, has been allocated for rewards and subsidies to adjust and improve the incentive and restraint mechanisms for alleviating fiscal problems of county and township governments, and to create a mechanism for guaranteeing minimum fiscal expenditures for counties and townships.

Fourthly, we need to improve the fiscal systems at and below the provincial level, accelerate the reform to put county public finance directly under the management of provincial governments and township public finance under the management of county governments, and gradually establish a mechanism to direct more revenue toward governments at lower levels in order to better equalize basic public services.

4.2.2 Improve the way of surplus revenue

We need to improve the way surplus revenue is used in the central budget.  For example, we will in principle consolidate all surplus revenue in the central budget into the central budget stability and regulation fund and incorporate it into the following year's budget rather than finding new ways to spend it . The exceptions to this principle are as follows: increases in expenditures that are required by law, regulations or the fiscal system; necessary expenditures to reduce the deficit or pay long overdue debts; and special one-time expenditures. This will make it easier to ensure that key expenditures are met, that budget management is standardized, and that budget constraints are strengthened.

We also need to carry out comprehensive budgeting, study ways to improve the system of standards for expenditures, improve examination and approval of items, institute rolling management of budgetary expenditure items and increase the number of departments required to report their budgets . We will actively carry out trial evaluations of budgetary performance and explore ways to setup a system for publicizing the results of performance evaluations in order to improve the level and quality of public goods and services. Central, provincial and municipal governments will extend the reform setting up a centralized treasury payment system to all subsidiary bodies within their jurisdictions that prepare budgets. The reform will gradually expand to include government-managed funds and extra budgetary funds. In order to improve the system for managing the outstanding balance of government bonds, we will energetically promote the reform to make government bonds subject to market forces. We will expand the scope of trials of a budget system for managing state capital. The system for managing state assets held by administrative bodies and government-affiliated institutions will be further improved. Studies will be carried out to establish a standard budgetary system for the social security fund.

     Reform of  the income distribution system should be speeded up.  We will work hard to get public finance to play a significant role in adjusting the pattern of income distribution and gradually increase the proportion of national income going to individuals and raise labor's share of the primary distribution of income. We will support the implementation of a minimum wage standard for enterprises, gradually raise it, and setup a mechanism to increase the pay of enterprise employees regularly and to guarantee that they get paid. We will support the efforts to strengthen collection of social security contributions and increase the percentage of people contributing. We will give the individual income tax a bigger role in adjusting income distribution, improve tax collection for high-income workers, and reduce the tax load on low-income workers. Oversight of income distribution will be tightened for SOEs and state-owned financial institutions, especially in monopoly industries. We will improve oversight and inspection to uncover and strictly deal with any violation of regulations concerning the granting of allowances or subsidies.

  V. Act of Chinese government in the decentralized fiscal system

　Public Economics is the positive and normative study of government's effect on the economy. We attempt to explain why government behaves as it does, how its behavior influences the behavior of private firms and households, and what the welfare effects of such changes in behavior are.

5.1  Theory on Division of financial functions in different levels

As Douglas North once said, "Institutions are the rules of the game in a society. The beginning of wisdom is to understand how the game is played." In the same way, it is vital to understand the international experience and rules of a financial system when a country tries to advance financial reform.[5]

The fiscal situation remains tight despite the government making good progress to reduce deficits and aims to balance its budget in 2008. Much of the reduction in fiscal deficit has been driven by deep cuts in spending on social and economic services and sale of government assets. The share of government revenues as a proportion of GDP has been the lowest among major economies in East and Southeast Asia. [6]

5.2  The distribution and allocation of financial resources

"The (continued expansive) fiscal policy would have added fuel to the possibility of inflation," The gradual phasing out of an expansive policy - also known as a pro-active fiscal policy - is good news for the country's economy, Wang said, since many experts believed the economy was facing overheating. (Wang Zhao, a researcher with the State Council's Development Research Centre) , is apparent when looking at the figures submitted by Finance Minister Jin Renqing.[7]

The government has recently reemphasized its resolution to carry out the fiscal stimulus package as well as support plans for ten industries to shore up the economy. Much of the funds targeted projects to benefit people across the country. This can brake the slowed down economic growth trend and help boost fiscal revenue," added Jing. (assistant director of the Institute of Finance and Trade Economics under the Chinese Academy of Social Sciences, 2008)

5.3  Fiscal steady development and government’s macro-control

  China is required to improve macroeconomic regulation, and there will be large spending increases in key areas, so we must keep a firm grip on the scale of revenue and expenditures. Also, the methods for using surplus revenue will be improved, additional funds made available during budget implementation will be reduced, and we will have to prepare the budget more scientifically and reasonably and be more open to oversight. Added to the 90.972 billion yuan of revenue to be turned over by local governments, the budgetary revenue target for the central government comes to 3.303172 trillion yuan. Expenditures in the central budget should total 3.483172 trillion yuan, a rise of 17.8%. The deficit target for the central budget is 180 billion yuan. The limit for the outstanding balance of government bonds is 5.518585 trillion yuan in the central budget, an increase of 182.032 billion yuan only in 2008. [8]

It’s shown that in the Nash game there will be an incentive for the fiscal authorities to try to manipulate the terms-of-trade in their favor, estimating the potential gains from fiscal policy coordination. The size of the gains depends crucially on the value of the Frisch elasticity of labor supply. For lower values of the Frisch elasticity (more in line with microeconometric estimates) the gains are relatively small, but for more elastic labor supplies (more in agreement with the business cycle literature) the gains can be very large. [9]County government in China is highly important, but largely understudied. From the studies done upon other layers of governments, some rough pictures of the county's position in intergovernmental fiscal hi-erarchy were deduced and accepted as norms. [10]

5.4 Fiscal fair distribution and adjustment the division inter-governments

Transverse intergovernmental fiscal imbalance is an inevitable and realistic problem in countries carrying out graded governments and fiscal decentralization. 

   In combination with the variance trend in government hierarchies, some experts suggest two administration system reforms: simplifying the current 5-level government hierarchies into three levels to make government hierarchies homologous with fiscal hierarchies, and using the three levels of governmental finance of central government, provincial government and city(county) government as framework to optimize tax collocation among different levels of government and form their main tax types respectively.

VI. Conclusion

We find that an increase in the size of government leads to slower economic growth, that the deficit is an unreliable indicator of the stance of fiscal policy, and that tax revenues are the most consistent indicator of fiscal policy"  [11]

The further increase in fiscal decentralization or slackening in extra-budgetary fund management will result in many adverse effects on China's economy. A large country will undoubtedly show development disparity among its regions: it is not surprising therefore that China would not have developed evenly. In analyzing China's development features and its manner of enforcing relative policies, the various financial sectors in China cannot be simply regarded as a whole unit: a unified policy would not be suitable for the local conditions of a given area, otherwise it will lost its future direction. In a word, sustainable development is a reasonable strategy which should be implemented for a long time.

Fiscal decentralization in China still has a long way to go. And the brighter future will come.

References:
1.BAHL, R W, & NATH, S, 1986, PUBLIC EXPENDITURE DECENTRALIZATION IN DEVELOPING COUNTRIES, IN ENVIRONMENT AND PLANNING

2.C: GOVERNMENT AND POLICY, 1986, VOLUME 4, PAGES 405-418, A PION PUBLICATION PRINTED IN GREAT BRITAIN
3.THE EDUCATION DEPARTMENT OF THE MINISTRY OF FINANCE, 1986, THE CHINESE FISCAL REFORM, BEIJING, BEIJING UNIVERSITY PRESS
4.THE GENERAL PLANNING DEPARTMENT OF MINISTRY OF FINANCE, 1989, CHINA FINANCE STATISTICS, BEIJING, CHINA FINANCIAL AND ECONOMIC PUBLISHING HOUSE
5.INTERNATIONAL MONETARY FUND, 1987, GOVERNMENT FINANCE STATISTICS 1987, WASHINGTON D.C., IMF PUBLICATION UNIT
6.INTERNATIONAL MONETARY FUND, 1987, GOVERNMENT FINANCE STATISTICS 1987, WASHINGTON D.C., IMF PUBLICATION UNIT
7.PEOPLE'S DAILY NEWS, THE ENTERPRISES ANNEXXING CONTIUNES STABLY IN CHINA PEOPLE'S DAILY OVERSEAS EDITION, 12TH JULY 1990
8.SHAOCHUN CHANG & JIANJUN YAN, 1990, THE INITIAL TOWNSHIP FINANCE ADMINISTRATIVE SYSTEM FORMED, PEOPLE'S DAILY OVERSEAS EDITION, 30TH JULY 1990
9.STATE STATISTICS BUREAU PRC, 1985, CHINA URBAN STATISTICS 1985, OXFORD, OXFORD UNIVERSITY PRESS _
10.STATE STATISTICS BUREAU PRC, 1986a, CHINA URBAN STATISTICS 1986, OXFORD, OXFORD UNIVERSITY PRESS
11.STATE STATISTICS BUREAU PRC, 1986b, STATISTICS YEARBOOK OF CHINA, OXFORD, OXFORD UNIVERSITY PRESS
12.THE WORLD BANK, 1988a, CHINA: FINANCE AND INVESTMENT, WASHINGTON D.C., THE WORLD BANK PUBLICATIONS
13.THE WORLD BANK, 1988b, CHINA: GROWTH AND DEVELOPMENT IN GANSU PROVINCE, WASHINGTON D.C., THE WORLD BANK PUBLICATIONS _
14.THE WORLD BANK, 1989, CHINA: REVENUE MOBILIZATION AND TAX POLICY ISSUES AND OPTIONS, WASHINGTON D.C., THE WORLD BANK PUBLICATIONS
15.YINONG TIAN, HUAICHENG XIANG, & FULIN ZHU, 1988, ON THE CHINESE FISCAL SYSTEM REFORM AND MACRO-ADJUSTMENT, BEIJING, CHINA FINANCIAL AND ECONOMIC PUBLISHING HOUSE
 16. Change of Regional Financial Development Disparity in China (1978-1999), Hu An—gang; Zhou Li, 2002,1, China &World Economy, )

[1] .OPENNESS AND DEVELOPMENT OF NON-STATE-OWNED ENTERPRISES AND FISCAL DECENTRALIZATION, Chinese Geographical Science 2004,2)

[2] Yuan Gangming, a senior economist at the Chinese Academy of Social Sciences, is apparent when looking at the figures submitted by Finance Minister Jin Renqing in his report to the Second Session of the 10th National People's Congress, March,15, 2008., www.chinadaily.com.cn

[3] REPORT ON THE IMPLEMENTATION OF THE CENTRAL AND LOCAL BUDGETS FOR 2007 AND ON THE DRAFT CENTRAL AND LOCAL BUDGETS FOR 2008，by Ministry of Finance

[4] REPORT ON THE IMPLEMENTATION OF THE CENTRAL AND LOCAL BUDGETS FOR 2007 AND ON THE DRAFT CENTRAL AND LOCAL BUDGETS FOR 2008，by Ministry of Finance

[5] China's Financial Reform in the Context of Financial Stability and Efficiency. China &World Economy, 2003.6

[6] By the Asian Development Bank (ADB) shows.2008.3

[7] in the report to the Second Session of the 10th National People's Congress, March,15, 2008. www.chinadaily.com

[8] Figures source:REPORT ON THE IMPLEMENTATION OF THE CENTRAL AND LOCAL BUDGETS FOR 2007 AND ON THE DRAFT CENTRAL AND LOCAL BUDGETS FOR 2008，by Ministry of Finance

[9] Leonor Coutinho, Fiscal Policy and Macroeconomic Stabilizations: What are the Gains from Cooperation, Open Economies review, 81-120, 2007,May

[10] An Empirical Study of China's Fiscal Decentralization at the County Level, China &World Economy, 2003.6

[11] -Federal Reserve Bank of Dallas web site.

Name: Li Fang    Student ID:

Research paper supervisor:Dr.Sekou Conde

Minzu University of China

2008-2009 Academic Year

   Abstract: This paper depicts a village lineage residence’s historical change in the middle part of Ningxia from memory prospective. Its aims lie in: first, to offer a fieldwork report; second, to place lineage residence in social background so as to discuss the reconstruction of lineage history. The thesis combines social history with anthropology, conducting research in historic field by collecting and gleaning memory material.

Yu village was situated in military frontiers, the war broke out in Late Qing discontinued its history. Migrant people flowed in and completely changed local lineage history. Xian lineage of Yu village was constituted of emigrants and their descendants, so it lacked long–time history. The lineage process began in the construction of lineage residence.

 Although the size and structure were limited, it witnessed the social change in Republic. The following much powerful social tide made their political status reverse and private habitation became collective residence site. However, the Xian still kept their basic configuration. After Culture Revolution, the lineage residence was increasingly occupied by the other villagers.

The contributions of this paper are: firstly, the thesis manifests the characteristics of Ningxia Han lineage by describing change of lineage residence. Secondly, the thesis constructs lineage history by using memory material, and then discusses their relationship.

Key words: lineage residence; history; memory; change

   History and Social Memory in Lineage Research of Anthropology

   Village lineage is the traditional subject of anthropological research, and holism is the original descriptive method. However, this kind of non-history trendy begins to change in 1990s, primarily manifests in using historical change to research Village community and lineage. In this aspect, the main scholars are Wang ming ming and zhuang kongshao. Community Process bases on lineage community history.[①] Silver Wing describes the change of local society and lineage in Fuji an since 1920s.[②]

   Jingjun’s narrative about modern history of Dachuan lay foundation on three perspectives of social memory.The research paper focuses on rebuilding of temple, which is central to Kong lineage’s identity. He also explores how memory be expressed by activities surrounding Kong temple and how memory is employed by people to reconstruct social relationship.[③]

  Dujing Classifies lineage collective memory into three categories, they rely on tangible object, ritual behavior, oral history and legend respectively. The first category roughly includes lineage temple，genealogy,land using for sacrifice, family figures, documents and tools using for living and producing. The second category includes daily life and production and rite behavior, such as wedding, funeral. The third category includes legend about ancestors, history and objects, story, old saying, proverb.[④]All these cultural expressions are influenced by historical context, even exists structural distortion.

Ma guoqing suggests that, the important basis of lineage continuity is ancestral concept and worship. Ancestor or ancestor sacrifice in a special way exists in Han and oversea Chinese‘s social structure and symbolic ritual. The expansion of lineage community of Kejia, develops from the identity and memory of ancestral cemetery.[⑤]

From these narratives, it is natural to conclude that memory medium is bridge linking history up with memory. Memory medium depends on the support of social group, and exists under the impact of social framework. The continuity of community and change of circumstance offer memory vehicle with diverse meanings, which makes the history of lineage. Given the area difference of memory spectacle[⑥] and social context, this research paper try to use lineage residence and oral narrative to construct a history of immigrant lineage, and also explore the relationship between social memory and the pattern of history making.

           The Discontinuity of Village History

The early history of Yu Village had no written document to turn up to. And the villagers knew little about that.However, the script about the village temple provided the material in need. The temple built in Yuan dasty, rebuilt in Qing dasty of Kangxi period.

It was worthy to explore the origin of the information, but the more important things were the historical mentality and fact.[⑦]Whether they meant the continuity of Village history could be further discussed. The material traced the building period of temple to Yuan, which manifested that the village had been there at least in reference time.Nontheless, the situation in Ming dasty still needed the documents to support. Conclusively, there once were wars broke out near the village.

The Village history of in early Qing was distant in villager’s memory. But the part of late Qing was so clear. The narrators were not the contemporary, their narratives were oral history with commentary.Therfore, and the memory materials were segmentary.It contrasted sharply with the blank memory. The root lied in the outside social power- wars, in which many villagers were killed.

 Undoubtedly, the war made villagers present to be different from the counterparts of the hard-reaching past and the memory construction in original villagers lose. In that circumstance, the present villagers’ memory was discontinued, and the village history from the memory material was not in continuity.

The war leaded to the discontinuity of village history, which could also be partly demonstrated by historical documents. During the Tongzhi period of late Qing, the situation in Ningxia was extremely miserable, a lot of villages had no people to live in. [⑧]After the pacification, some emigrants flew in.

Early History of Lineage: life in Lineage Residence

Xian lineage tracked their hometown down to Shanxi. It was said that they moved in early Qing, when war broke out, the lineage members escaped from original habitation. Then they came to live in Yu village. At that time, the life of village was hard and natural disasters were very serious. The society was in disorder, bandits and robbers robed property. In order to protect themselves, the rich Xian lineage built residence with military defenses.

 The residents are all members of Xian lineage.Xianqian said that the residence was built in his grandfather’s hand.The construction cost a lot of money and manual labor. They even employed workers by gathering money from their lineage members. When the building project was completed, the entire lineage lived in it altogether. And the villagers also narrated that every household of Xian lineage owned one small yard.These who were wealthy had better living conditon than poor members.

Besides, some members of Wang lineage, who had established marriage relationship with Xian lineage, revealed something.They said that the Xian lineage was very rich, especially master Xie. Because of that, he once was intimidated by bandits for a lot of money .However, he refused to offer them with cash. As a result, he was nearly slashed to death.Moreover, the Xian’s residence with house for patrolling.When summer came, the masters sleep in there, and the women servant served them food.

All these reflected the life of Xian village in Republic time. And the more recently situation based on the narrative of the old. Xian qian lived in the innermost, his uncles and brothers all lived together. The father and mother of Xian mao lived in the south side of residence, where was isolated and marginal. Xian qian’s father herited a large sum of money from his ancestors, and he was used to gambling. Xian qian was his only son, he lived a comfortable life. Xian yuan lived in residence, too. He had three brothers, but their life was miserable. However, Xiancheng own a lot of land, he employed villagers to help harvest rice and get rid of weeds.

But that peaceful life was disturbed by unrest social situation. In the 1940s, the army of Guomingdang conscripted soldiers. Xianqian escaped to the southern mountain area as soon as he knew the message. However, Xianyuan was conscripted and participated war in Yulin for three years. Xianguan had two brothers, but he was picked out.

Meanwhile, the failure of Xian lineage manifested more clearly. When Xianqian married with the daughter of Shu lineage, his father went to Wang lineage to borrow two ounce rice to provide food for guests. He said that he was poor and only could offered millet and carrots. His daughter-in-law, selfdom lived in the Xian lineage residence after the marriage, but always in her relative‘s house, who was the wife of village administrator. Xian li’s wife was the daughter of increasingly poor Xu lineage in Yin village.

  Memory of Collectivization: The Change of lineage residence

In September of 1950, The County of Ningshuo established the Council of Land Reform. It carried out the policy that rely on the employed peasants and solidify the less poor peasant to wipe out the feudal exploitation, develop the agriculture.

The land reform of Yu village was complemented by officially designated workteam, which depended on the support of poor peasants. The Villagers told that they didn’t know how to say when were investigated. However, the members of workteam lived in the presentative of poor peasant‘s home. That circumstance unavoidably left the sketipical space to villagers, hidden the personal hostility. According to the Xian lineage, the new rise political power in village was personified in specific individuals.

And the members of Xian lineage were labeled different class hierarchy in terms of their economical condition and political behavior. Although there were distinction between the poor and the rich, the total political status of the Xian became lower. Specifically, they at least temporarily lost the power of influencing and controlling village politics.

In the same year of land reform, the Society of Peasant in Yu Village demolished the Xian temple and the half of the wall of Xian residence. The lineage members lived in half-destroyed residence. The transitional state prolonged to 1966, it was in that period that some members of Xian lineage were reelevated to high political statuses. However, the advent of new tide of social movement changed the whole thing.Xianqian’s memory of history was brief and commentary:

When the mutual teams established, I was the head. After the establishment of People’s Commune, I become the head again. That all doomed to suffer.

 Xianqian isolated himself from the others, immersed himself in Buddhism and dismissed the wordly. It was said that his ears became deaf because of persecution in Cultural Revolution.

The similar situation in Rubie Watson and Arthur Kleinman’s memory research of china political culture was named delayed mourning and embodied memory.[⑨]However, the Xian lineage appeared to be more particular, because the contents of mourning and memory were reflected by the narrative of other villagers, which were indirective.

When the social movement came, two young men were sent to the village, both of them came from county of Pingluo.They all live in Li guo’s house.They propagandized the policy , then investigated ,mobilized the villagers to reveal the village cadre’s bad behaviors , and listed them into the items . It aimed to see whether these minor functionaries appropriated collective money and other stuffs belonging to the commune.

When it came to the Xian lineage, Xianqian and Xianguang were picked out. Xianqian was the leader of Yu Village Production Team, he was accused of corruption, suffered public disgrace. After that, he was labeled to refund what had been agelledly embezzled. His private property, such as valuable furniture and clothes, were selected to serve as counterparts.Xianguang was sent to the eighth Team to receive the public criticism, and he refunded a lot of money, too.

The workteam also redecimated the class hierarchy, which focused on the rich and higher hierarchy in the 1950s. The criteria were number of land, employed workers and drift animals own by the household.Xiancheng was labeled as landlord. His houses were made of log of good quality. However, only the ceilings were demolished to assign to poor peasants .In fact, to some degree, the houses were separate, like a little kingdom.

The Villagers pushed the wall down, the soil was used to fertilize the land.Xianren’s life was less rich than Xiancheng, but his label manifested more implications. His houses were divided to the poor peasants. They both suffered stigmas.Xianqian, Xianguang and Xianli were rich peasants, and three rooms were demolished altogether. Meanwhile, the other half wall of residence was destroyed, too.

It was not difficult to discover that the interaction of village political elites with outside strength caused residence to be destroyed, which related to the losing of high status of the Xian. After the social movement, Xianqian left the Xian residence.Xianli rebuilt his house f. Then he left the Xian residence to live in where nearby original habitation five years late.Xianren originally lived in the west of residence, but left quickly. The villagers said that:

 Shenkui was the head of our team, he was cruel to Xianren.He sent Xianren to do the work improper for his age. He was too old to move the stone. His son, Xianjian, in the age of thirty, was assigned to explode the stone. He worked for a period of time, and returned home.Shenkui slammed him. Xianjian had no choice but to go to there again.Unfortuantely, he hurt himself badly while at work .His uncle and other workers used the cart to send him home. However, he died on the way.The event stimulated Xianren a lot. He cried to suicide himself, but dissuaded  from doing that by his neighours. One month later, his wife died too.He move to an isolated place to live all by himself.

 Xiaoping’s home nearby Xianli.Xiancheng built house for his son, which was behind his own .Xianqian, Xianmao, Xiaoyuan‘s home were in the west. The houses of Xianguang’s two sons were not far from Xianzhu.Therefore, although the original residence was influenced by outside power, but still kept the approximate state. It was said that the villagers and the village cadres once required the Xian lineage to live separately, but they refuse to do so. That experience exhibited that the village administration made tentative compromise to the lineage.

In 1973, Li tingjian who lived in Li lineage residence moved to Xian residence by the permit of people’s commune.And the residents of Lao zhuangzi and Li lineage continued to move in, broke the sole residence configuration of the Xian. Although The Xian lineage were very angry with the situation, they had no choice.Nontheless, the Xian still lived in the centre, and the others lived in outside. And the residence place still was named after the Xian. The self-ascription of lineage members and the identification of the other defined the physical and cultural boundary of ethnic group.

 Mnemonic image: the Village Lineage Residence after Culture Revolution

 The habitation configuration continued. The village administrators after Culture Revolution, who were members of Xian lineage, still selected the so-called private Xian lineage as the communal habitation. A villager said that:

 When I built house, Xianqin was the head of Village Team.He owned the power of designating the residence. I submitted the application to the People’s commune.The deputy director responsible for land management gave me permit.The land used for building belonged to Xian lineage.And many villagers told me that there were graves，so I went to ask about Xianqian.He was an very old man, knew a lot about the past .He said that the tombs were far .

The residence expanded toward the Xian‘s land beyond, also extended to the Xian’s new lineage residence. In the early of 1980s, Qichenren moved to live behind the Xianhu. A road to the west separated The Qi and Xianfu.

The reaches of residence land herited from the Xian’s ancestors were separated by the others. However, the Xian lineage accepted the situation unanimously.The concept of private ownership became increasingly obvious.That seemed to catch up with the pace of social change. Meanwhile, the disintegration of People’s Commune became the hot topic.However; the change of collective ownership to private ownership also demonstrated the lineage identity.

When the individual work was placed on the prominent position of agricultural management and possession, the drift animal and land were assigned in terms of the population of household. The work of the team including Xian lineage was hold by Xian qin. And the criterion was the match of the good quality items with the inferior ones. The Villager’s commentaries were –

 The whole work basically could be regarded as a success. However, the Xian acquired a lot of benefit; they got the land more fit for the growth of crop. Took for instance, he had several land in Laoguatian. The name originated from the use of the land for cultivating the watermelon. And the land behind the village school was in good quality, he also owned two or three. His wife’s brother had good land, which was ascribed to the Xian lineage. In a word, when he was the head of our team, his family took the good advantage of the situation.

The Xian in the period of reform was not the same as the past. To a certain degree, the identity of lineage focused on the memory of common ancestors and lineage residence. It was also the boundary of taking care of each other.

In the late of 1984, Xianqin hold the position of farm-machine operator. Because he was good at machine operation and farming skill, he almost shoulder all the preliminary spring farming work. Its bonus relied on the dimension of arable land, always were given at the end of year. Nonetheless, Xianqin used to charge in person. Although there was no discount, his relatives often got the exact deduction.

Xianfen took the position after his uncle retired. According to the descent, he was not immediate relative of Xianqin. And their personal interaction was not very close. Therefore, it is reasonable for him to look after his close relatives solely. In the period of complementing the obligation work, ticket became the only mark of finishing task. Some villagers, who were not the member of the Xian, said that

The other people had to go to every day. Even though, they were still afraid of the result.Sometimes, they took out their money to resolve the inadequacy. Some people completed their task, but they selfdom came to .The head of team was in charge of the ticket, which made him took care of his family more easierly.No matter who was the head , he looked after his blood kin.

In the established boundary, the identity of the Xian was diverse. The late of 1990, witnessed the the Xian’s withdrawal from village political stage. The lineage members still were busy with farming and life, but the distinction was still very clear. The main manifestation depended on everyday life and tentative mutual help.The common consciousness of these branches was that they were the descendants of the Xian and they ancestors once lived in altogether in lineage residence.

       Social Memory and the Pattern of History Making

The research of anthropology depends on the marginal field and subject[⑩], while the event processes and subjective discourse also rely on the expressed.[11] This combination constitutes the work field with historical sense. With the lack of written documents, the means of acquiring information include the exploration of memory material by interviewing.It doesn’t hold the opinion about the past advocated by the dominant or the public.[12]

The lineage history of diverse designation is expressed in this circumstance. Furthermore, the past of lineage is shared by all members and inspires the ethnic feeling, and the history memory of lineage by the others isn’t influenced by the passion factor. [13]Therefore, in the narrative about the lineage, it seems to be difference in memory .This manifests different value, provides more diverse historical material.As for the lineage suffering much more to keep silent , the exploration of its history can make the other become the narrator of particular events.

Memory is diverse and rich, it contains multifarious voice. The writing pattern place the material into the continuous history in terms of the temporal dimension, leave the expression of memory present. This also account on the investigator ’intervention to open the memory covered and forgetted.In this sense, the making of lineage history results from the effort of the informants and the investigator.

 During the fieldwork, I also discover that many villagers only can tell the segmentary story; they ascribe the ability of telling long-lasting event to those old people. The complete lineage history needs the comparison and incorporation of investigated material. The lineage history originating from the memory indeed describes the life of descent group, but it is only a kind of subjective construction and one of the many texts.

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Name: Wang Qian  Student ID: S08062

Research paper supervisor:Dr.Sekou Conde

School of Economy  Minzu University of China

2008-2009 Academic Year

Abstract：Youth smoking has become a grave problem with which we are confronted. According to the World Health Organization in 2002, China a