A Comparative Study of the Three Reforms carried out by Shang Yang, Wang Anshi, and Zhang Juzheng

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This post was last edited by Salt Seller on 2015-11-23 10:20. A Comparative Study of the Three Reforms carried out by Shang Yang, Wang Anshi, and Zhang Juzheng. Throughout Chinese history, from the end of the Spring and Autumn period in the 5th century BC to the late Qing dynasty, when China was semi-feudal and semi-colonial, there were hundreds of instances of reform ideas and proposals put forward. But in terms of their results, there have been successes as well as failures. Among these, the most representative, impactful, and rich in experience and lessons are the Reforms carried out by Shang Yang during the reign of King Xiao of Qin (359–338 BC), Wang Anshi’s reforms during the Xining era of the Northern Song Dynasty (1069–1076 AD), and Zhang Juzheng’s reforms at the beginning of the Wanli era of the Ming Dynasty (1573–1582 AD). Below, a comparative analysis is conducted regarding the background, content, and outcomes of the three reforms. I. Comparison of the reform environments for the three major reforms 1. All took place during periods of significant social change. Shang Yang’s reforms took place during the transition from a slave society to a feudal society, while Wang Anshi and Zhang Juzheng’s reforms occurred during the period when the feudal society was transitioning from its peak to decline. In other words, these major reforms took place during the early, middle, and late stages of feudal society, and they played a significant role in the establishment, consolidation, and development of feudal society. Shang Yang’s reforms played a significant role in facilitating the establishment of a more mature feudal regime. Wang Anshi’s reforms and Zhang Juzheng’s reforms helped to address the political, economic, and border-related crises that arose within the feudal system, thereby stabilizing and strengthening it. 2. All of them took place against the backdrop of internal troubles and external threats. Looking at the Reforms of Shang Yang, it was a time of conflict among the warring states, with each state carrying out reforms. The states surrounding Qin were powerful, while Qin itself was a backward kingdom in the west with slow social and economic development at that time. Therefore, after ascending the throne, Duke Xiao of Qin decided to carry out reforms; he issued orders to seek talented people in order to select them for these reforms. During Wang Anshi’s reform efforts, land consolidation was severe in the country; large landowners acquired the majority of the land through buying and selling. The rulers of the Northern Song Dynasty adopted policies of not suppressing such consolidation and of not establishing any systematic land regulations. Unable to make a living, peasant uprisings occurred in the mid-Northern Song Dynasty. Furthermore, the northern border situation of the Northern Song Dynasty was severe; to the north lay the Liao Dynasty, and to the northwest were states such as the Xia Dynasty. The Liao and Xia dynasties frequently attacked the Northern Song Dynasty, with border conflicts never ceasing, which led to high military expenditures and intense ethnic tensions. Enlightened individuals within the ruling class also attempted reforms to this end, but they were not widely implemented. During Zhang Juzheng’s reforms in the mid-Ming dynasty, bureaucratic rule prevailed, and corruption became a pervasive problem in the official circles. The problems in the administrative system led to a weakening of control over local areas. After the mid-Ming dynasty, land consolidation was not a common practice; instead, it was the emperor who took the lead in acquiring land and establishing imperial estates. At this time, external threats were constant, including the Nine Borders crisis and Japanese pirate invasions. 3. The most direct reason is to address the **financial difficulties**. Throughout the feudal period, the growth rate of material production was lower than the population growth rate. Due to the rapid population growth, the demand for material goods in society exceeds the pace of material production, resulting in serious social consequences. On the one hand, since feudal society was based on agricultural production, there was a large population with limited land, which inevitably led to land consolidation and difficulties in collecting taxes. On the other hand, the difficulties in collecting taxes will inevitably lead to **financial difficulties**. Therefore, the most direct reason for each reform has been to address the **financial difficulties**. II. Comparison of the entities responsible for the three major reforms 1. Core leaders: In feudal society, to bring about change and replace the old systems with new ones, it was necessary to have the support of the imperial authority. The extent to which the emperor supported these reforms determined not only the level of power available to those who pushed for change but also the achievements that could be accomplished as a result of such reforms. Starting from 359 BC when Shang Yang began to implement the new laws, Duke Xiao of Qin always trusted him wholeheartedly, allowing him to be \"free from any worries and dedicated entirely to the public good without considering personal interests.\" It was precisely due to Duke Xiao of Qin’s firm support that Shang Yang was able to defeat the fierce attacks of the old aristocracy in the life-and-death struggle between the old and new forces, and thus achieve victory. After Duke Xiao died, King Huiwen ascended the throne. Although Shang Yang was torn apart by chariots, “the laws of Qin remained unbroken.” Shang Yang’s new laws were, in fact, upheld throughout the time. At the beginning of Wang Anshi’s reforms, he received some support from Emperor Shenzong. However, as the reforms progressed and the opposition grew stronger, Emperor Shenzong’s distrust of Wang Anshi increased. He began to doubt those reforms, and even wanted to abolish the Green Sprout Policy that had already been implemented. He also kept members of the opposition in the court to keep an eye on Wang Anshi. Without the strong support of imperial power, Wang Anshi’s reforms would inevitably be difficult to sustain in the long term. Zhang Juzheng’s reforms received strong support from the imperial authority. When Emperor Shenzong ascended the throne, he was just a teenager without any independent thoughts. It was precisely this factor that enabled Zhang Juzheng to firmly hold onto the reins of reform. After becoming the chief minister, he won the trust of Emperor Shenzong’s biological mother, Empress Dowager Li, as well as the eunuch in charge of court ceremonies, Feng Bao, and thus became their spokesperson in the court. Zhang Juzheng also took advantage of his special status as the emperor’s tutor to instill reform ideas in Emperor Shenzong. As a result, the young emperor naturally regarded Zhang Juzheng as a deity and relied entirely on him when it came to implementing reforms. Zhang Juzheng effectively utilized the imperial power as a powerful tool to remove obstacles and thus drove reforms forward with vigor. 2. Change agents: The personality, abilities, knowledge, and skills of change agents have a decisive impact on the outcomes of change. (1) Personality traits: All three had a firm belief in reform, but compared to the others, Wang Anshi was less committed than Shang Yang and Zhang Juzheng. They are all arbitrary. (2) Abilities: All possess outstanding political talents, keen insight, excellent ability to implement changes, strong leadership skills, and influence, etc. (3) Knowledge and skills: Various perspectives are considered, and they can be applied in practice. III. Comparison of the contents of the three major reforms: The specific details of each reform are closely related to the social and historical context of that time; that is, the issues existing in society at that time determine what aspects are addressed in the reforms, handled on a case-by-case basis. Therefore, the focus of each reform has not been exactly the same. Shang Yang’s reforms took place during the period of the formation of feudal society; he focused on political reforms. Wang Anshi’s reforms occurred during a time when feudal rule had reached maturity, and he emphasized economic reforms. Zhang Juzheng’s reforms took place as feudal society was gradually declining, so he paid attention both to political reforms and to economic reforms. Judging from the purpose of past reforms, they were all aimed at making the country prosperous and its military strong. Looking at the content of several major reforms, each has its own focus; the following examines the details of these reforms in four areas: politics, economy, **, and culture and education. 1. In terms of politics, both Shang Yang’s reforms and Zhang Juzheng’s reforms involved aspects of political reform; however, due to the different historical periods in which they took place, the details of their reforms varied. Shang Yang’s reforms established the administrative hierarchy between the central government and local authorities, playing a positive role in the establishment of centralization. Zhang Juzheng’s reforms aimed to improve the feudal system that had existed for over a thousand years. Judging from its content, Zhang Juzheng’s reforms mainly aimed at strengthening the feudal central authority. It is a typical case of emphasizing rule by man over rule of law. 2. Economically, the focus of all three reforms was economic reform. The economy is the foundation; without an appropriate economic base, it is difficult to implement political reforms. Due to low productivity, from the perspective of people’s needs, the main focus is still on addressing basic needs for food and shelter. Therefore, the focus of reform is on agriculture, with an emphasis on land issues and tax system reforms, while insufficient attention is paid to the development of industry and commerce. The economic ideology of prioritizing agriculture and suppressing commerce persisted throughout the entire feudal period. Shang Yang’s reforms took place during the period of the formation of feudal rule, with an emphasis on establishing a feudal economic system. His economic reforms focused mainly on issues related to land and taxation. Although these reform measures were not very sophisticated, his economic ideas had an impact on the entire feudal era. The reforms initiated by Wang Anshi and Zhang Juzheng focused on the development and improvement of the feudal economic system. They paid great attention to issues related to sources of fiscal revenue, as well as the development of agricultural production and the reform of the tax system. Among them, Wang Anshi’s reforms drew upon the experiences of previous reformers; the economic issues addressed in his reforms and the economic reform measures adopted were the most comprehensive and systematic of all. 3. **Aspect**: From the unification of China under the Qin Dynasty to the fall of the Qing Dynasty, China has always been a multi-ethnic country; ethnic minorities have lived on the peripheries of successive dynasties. These ethnic minorities also frequently attacked successive feudal dynasties; consequently, wars often broke out along the frontiers of these dynasties. In order to consolidate their feudal rule, it was necessary to enhance the combat effectiveness of the army and carry out reforms. Shang Yang’s reforms established incentive mechanisms for the army; Wang Anshi focused on **training and weapon manufacturing, while Zhang Juzheng’s reforms emphasized the assessment and utilization of personnel. The three major reforms strengthen and consolidate **** power from various aspects, ensuring **prosperity. 4. In terms of culture and education, reforms in this area involve the least amount. The educational reforms part of Wang Anshi’s reforms mainly involved changing the content and methods of the imperial examinations. During Zhang Juzheng’s reforms, emphasis was placed on improving schools: on one hand, academic officials were carefully selected, and on the other hand, a strict examination system for students was implemented. The focus was on cultivating talents suitable for feudal rule, as well as improving and supplementing the imperial examination system. In short, most of the reforms undertaken have addressed specific problems at hand; they have played a certain role in alleviating social contradictions. However, there has been a lack of comprehensive, systematic, and macro-level reform concepts regarding overall social development. IV. Comparison of the reform procedures in the three major reforms
Generally speaking, Shang Yang’s reforms followed the procedure of introducing concepts – defining the direction of reform – formulating plans – and implementing those plans. In terms of content, it first focused on economic reform as the key factor, thereby eliminating the roots of slavery at its core. Secondly, while fundamentally transforming the economic foundation, we must also make great efforts to reform the political system, so that economic and political reforms are organically integrated and carried out in tandem, thereby achieving complementary effects and maximizing results with minimal effort. Finally, reforms of social customs are carried out. In this way, a series of reforms are carried out in a step-by-step manner, ranging from the economic foundation to the superstructure, including the economy, **, politics, and social * customs. This ensures that the reforms are promoted in a coordinated and effective manner. Wang Anshi’s reform measures were numerous and extensive. Throughout the process of implementing these reforms, they generally followed a sequence of: conducting research and practical trials – formulating laws – implementing them on a partial scale – adjusting the plans – and then rolling them out nationwide. From the outset, Wang Anshi’s reform efforts focused on improving finance, while neglecting reforms in the administrative system. To reform the situation of “chronic poverty and weakness”, Wang Anshi initially focused his reforms on rectifying finance, giving top priority to fiscal frugality. Due to improper implementation of the new law, some local officials turned it into a means of harassing and burdening the people, which led to opposition from the populace. Moreover, the reforms threatened the interests of bureaucrats, landlords, and large merchants, resulting in opposition from those groups as well. It is evident that until the administrative system is streamlined and the resistance from bureaucratic landlords is overcome, reform will face many unexpected difficulties. In the process of implementing reforms, Zhang Juzheng generally followed the procedure of formulating plans – implementing them locally – and then rolling them out nationwide. In terms of approach, he did not rush to rectify the financial situation right away; instead, he first reformed the bureaucratic system. The implementation of performance evaluation systems improved the administrative efficiency of the bureaucratic apparatus. Thus, after obtaining such an effective tool for governance, Zhang Juzheng used it to carry out reforms in various economic and other areas. As a result, these new policies were implemented consistently for ten years, having a positive impact on society. V. Comparison of the reform techniques in the three major reforms: At the ideological level, the approach of \"seeking truth from facts\" can be adopted in all of them. For instance, Shang Yang firmly opposed adhering to ancient models and rigidly following previous systems; he advocated “relying on numerical principles,” “adapting to the times,” and “governing in accordance with the prevailing circumstances and establishing laws based on prevailing customs.” That is, corresponding policy measures as well as management approaches and methods are formulated based on different social conditions, in order to meet the needs of various eras. Wang Anshi believed that “heavenly changes are not to be feared.” His materialist understanding of nature stood in sharp contrast to the idealism of Confucius and Mencius. Zhang Juzheng applied the reform philosophy of adapting to circumstances and trends, emphasizing that \"laws are not fixed; being close to the people is of paramount importance, and conditions have changed over time.\" It is better to be plain. ”He called on those in official positions and engaged in scholarship to step out of government offices and study rooms, focus on reality, and integrate academic research and governance with the resolution of national affairs and people’s livelihood issues. These had a significant impact on the history of outdated ideas at that time. At the methodological level, all three focus on public opinion campaigns and creating momentum to prepare the public mind for reform ； All are striving to gain “high-level” support through various means ； Both Wang Anshi and Zhang Juzheng placed great emphasis on conducting pilot tests before implementing measures on a broader scale ； Shang Yang’s reforms emphasized winning the trust of the people, with the rule of law serving as a supporting mechanism. VI. Comparison of the intensity of the three major reforms: The reforms carried out by Shang Yang were extremely thorough, covering all areas such as politics, economy, military affairs, culture, social life, customs and traditions, values, and family life. By employing generous rewards and severe punishments as means to implement these reforms, Qin State was able to transform from being treated like a barbarian state by other Chinese principalities before the reforms, to having a significantly strengthened material foundation and military power after them. Shang Yang’s reforms not only contributed to the prosperity and strength of the State of Qin at the time; the fact that “Qin became prosperous and powerful by implementing Shang Yang’s laws” also laid a solid foundation for Emperor Qin Shi Huang to later unify the six states and establish a unified feudal imperial dynasty—the Qin Dynasty. Wang Anshi’s reforms focused primarily on financial management and strengthening the military; there were no adjustments to the political system. From the second year of the Xining era to the ninth year of that era, he implemented more than a dozen reforms that affected scholars, officials, farmers, merchants, soldiers, and others. Since the focus of these reforms was on curbing land consolidation and adjusting or redistributing wealth and power among different classes within the landlord class, economic management and coercive measures were strengthened, which deeply threatened the interests of the powerful and wealthy merchants. This led to strong opposition from the conservatives, led by the two empress dowagers, and the intensity of this opposition shows just how thorough Wang Anshi’s reforms were. Zhang Juzheng’s reforms adopted a \"top-down\" approach in form ； In terms of methods, repressive measures such as closing abandoned schools, banning private schools, corporal punishment in court, and exile were employed ； In terms of content, it covers politics, economy, **, and ethnic relations. This transformation was comprehensive and profound; it holds great historical significance and far-reaching influence, continuing to inspire people to this day. When comparing the three, Wang Anshi’s reforms were the least extensive; they focused mainly on economic matters and did not involve any reforms to the political system. Zhang Juzheng’s reforms came next; they covered areas such as politics, economy, and **, having a profound impact. Shang Yang’s reforms were the most thorough, covering all areas such as politics, economy, law, culture, social life, customs and traditions, values, and family life. Although some of the measures were not fully mature, the ideas behind Shang Yang’s reforms had a profound impact on Chinese feudal society. VII. Comparison of the effects of the three major reforms 1. Positive evaluations From a social perspective, all three reforms had positive implications. After Shang Yang’s reforms, the State of Qin underwent a complete transformation ； Shang Yang’s reforms directly established the dominance of Legalist thought in the State of Qin, led to the formation of the Shang Yang school later on, and provided a theoretical foundation for the development of Legalist thought ； The success of Shang Yang’s reforms also established the structural framework of China’s centralized political system, influencing the history of its feudal dynasties for two thousand years. Wang Anshi’s reforms had a positive effect on increasing **revenues** ； Some of Wang Anshi’s reforms had an impact on future generations for hundreds of years; examples include the Tax Exemption Law, the Baojia system, the imperial examination system, as well as laws such as the Green Sprout Law, the Market Regulation Law, and the Land Tax Equalization Law. There were also later measures such as reduced-interest loans, tiered land tax collection, and pawnshops. Undoubtedly, Wang Anshi was ahead of his time. Under the impact of Zhang Juzheng’s reforms, the Ming Dynasty reversed its declining trend since the Jiajing and Longqing periods, turning the situation around at critical moments and securing another half century of existence for the dynasty. After the changes, the Wanli era became the wealthiest decades of the Ming Dynasty. The 10 years of Zhang Juzheng’s rule were the period of greatest clarity in governance and the strongest national strength during the 276-year history of the Ming Dynasty. The reasons for the success of the three reforms are as follows: (1) They all conformed to the trend of historical development and the demands of the times ； (2) All have received support from the “upper levels” to a certain extent ； (3) All are guided by clear ideas for reform, with a resolute attitude toward change and correct goals. 2. Negative evaluations: The three reforms also had negative effects to varying degrees. Shang Yang’s strict laws and harsh penalties brought chaos to **, as well as leading to his own death ； The policy of keeping the people ignorant not only restricts their overall development but also goes against the trends in the development of human spirit and culture ； The proposal of an aggressive military policy is clearly a choice made under abnormal circumstances ； By suppressing industry and commerce, this policy of favoring agriculture over commerce was continued by the successive rulers of the Qin state after Shang Yang’s death. The policies of the Qin dynasty, which unified China on this basis, had a profound impact on subsequent generations ； It has led to an uneven distribution of wealth. Wang Anshi’s reforms turned into a means of accumulating wealth in disguise; while the state treasury was filled, it led to poverty among the common people ； During the process of reform, brutal soldiers and corrupt officials exploited their positions for personal gain and oppressed the people, making things **even worse**. Zhang Juzheng’s reforms failed to effectively deal with the powerful elites; instead of eliminating them, they only intensified their dissatisfaction and hatred, thus creating future problems. The reasons for the failure of the three reform attempts are as follows: (1) Due to historical constraints, most of these reforms addressed specific problems of their time; while they helped to alleviate social tensions to some extent, they lacked a comprehensive, systematic, and macroscopic approach to reform for the overall development of society ； (2) All three have more or less certain flaws in terms of character; for example, Shang Yang was superstitious about punishment, used it excessively harshly, was cruel and unkind, and despised benevolence and righteousness ； Wang Anshi was stubborn, narcissistic, and obstinately persistent ； Zhang Juzheng was arrogant, autocratic, narrow-minded, fond of luxury, and eager to hear flattery. From the perspective of social development trends, the saying that \"if one fails to change the laws despite the need to do so, even the greatest wise men will be unable to govern effectively\" is truly insightful. As for those who lead reform efforts, they must excel both in talent and virtue; otherwise, they cannot govern effectively. This is a stringent requirement of the times; although the requirements regarding talent and virtue vary across different historical periods, it is essential to possess both in excellent measure. Those with high prestige naturally possess great appeal and magnetism, but if they lack the necessary talent, any attempts at reform will fail once they reach a certain depth ； They are ambitious and talented, but lack moral integrity; although they can use their power to implement reforms, the outcomes are either that the reforms are not perfect, such individuals are unsuitable, or else the reforms cease once those individuals are gone. This is a law, an unforgiving and irresistible law of history. In short, opinions vary widely regarding the merits, demerits, successes, and failures of these three major transformations in our country’s history. However, it is undoubtedly beneficial to use the lessons learned from the successes and failures of historical reforms as a guide for reflecting on the transformation of enterprises in our country today.