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Harry G. Gelber
Visiting Research Fellow
Asia Research Centre
London School of Economics and Political Science
© Harry G. Gelber 2001
Softcover reprint of the hardcover 1st edition 2001 978-0-333-92149-4
All rights reserved. No reproduction, copy or transmission of
this publication may be made without written permission.
No paragraph of this publication may be reproduced, copied or
transmitted save with written permission or in accordance with
the provisions of the Copyright, Designs and Patents Act 1988,
or under the terms of any licence permitting limited copying
issued by the Copyright Licensing Agency, 90 Tottenham Court
Road, London W1P 0LP.
Any person who does any unauthorised act in relation to this
publication may be liable to criminal prosecution and civil
claims for damages.
The author has asserted his right to be identified
as the author of this work in accordance with the
Copyright, Designs and Patents Act 1988.
First published 2001 by
PALGRAVE
Houndmills, Basingstoke, Hampshire RG21 6XS and
175 Fifth Avenue, New York, N. Y. 10010
Companies and representatives throughout the world
PALGRAVE is the new global academic imprint of
St. Martin’s Press LLC Scholarly and Reference Division and
Palgrave Publishers Ltd (formerly Macmillan Press Ltd).
ISBN 978-1-349-42484-9 ISBN 978-0-230-28864-5 (eBook)
DOI 10.1057/9780230288645
This book is printed on paper suitable for recycling and
made from fully managed and sustained forest sources.
A catalogue record for this book is available
from the British Library.
Library of Congress Cataloging-in-Publication Data
Gelber, Harry Gregor.
Nations out of empires : European nationalism and
the transformation of Asia / Harry G. Gelber.
p. cm.
Includes bibliographical references (p. ) and index.
1. Asia—History. 2. Nationalism—Europe—History.
3. Nationalism—Asia—History. 4. Europe—History–
–1492– 5. Asia—Relations—Europe. 6. Europe—Relations–
–Asia. I. Title.
DS33.7 .G45 2001
303.48’2504—dc21
00–069470
10 9 8 7 6 5 4 3 2 1
10 09 08 07 06 05 04 03 02 01
This is for
Alexander, Charlotte, Sebastian,
James, Henrietta and Rebecca
This page intentionally left blank
Contents
Preface ix
Introduction 1
Bibliography 243
Index 253
vii
This page intentionally left blank
Preface
Like anyone working in such a field, I owe much to many people. First
and foremost, to the London School of Economics, which has once
again offered me the academic hospitality without which the work
would not have been possible. In the School, my primary debts are to
the Asia Research Centre, to the chairman of its Research Committee,
Professor Lord Desai, and to its director, Professor Michael Leifer, both
of whom have saved me from a number of errors. I have also had
invaluable advice and help from Professors Christopher Andrew and
David Fromkin, Mr Christopher Gelber and Professors Fred Halliday,
Christopher Hill, Donald Horowitz, James Mayall, Tony Milner, Robert
O’Neill, Sir Robert Wade-Gery, Professor Wang Gungwu and Donald
Cameron Watt. At Palgrave, Ms Josie Dixon and her colleagues have
been helpfulness itself. It is surely unnecessary to add that any errors of
omission or commission that remain are mine alone.
HARRY G. GELBER
ix
Introduction
1
H.G. Gelber, Nations Out of Empires
© Harry G. Gelber 2001
2 Nations Out of Empires
settlers’ as are Canada, Australia and New Zealand. The same is true of
the Spaniards who settled in Latin America or the French who made
their homes in North Africa and parts of the Pacific.
Of particular interest are the great maritime empires created by
Western Europe, especially those of the British, French and Dutch in
East, South and Southeast Asia. They are quite distinct from the land-
based empires of the Ottomans, the Russians, or the Austro-Hungarians
and passed, in general terms, through five stages. The first lasted from
the fifteenth to the end of the seventeenth century. In this, with the
exception of Spain, the Europeans deferred to local empires, and inter-
course with local societies was between cultural (though not religious)
equals. The European presence in the East Indies – ‘East of Suez’? – was
almost entirely commercial, confined to tiny coastal settlements where
soldiers and traders huddled together under the guns of Western war-
ships, but in truth were dependent on the goodwill of their hosts. For
the major empires of India and China, or Japan’s Tokugawa shoguns,
they were politically and strategically quite marginal.
By the early eighteenth century a second stage opened. The political
and military organization, technologies and skills developed in Europe
– partly as a result of an endless series of wars – started to make pene-
tration into the Asian interior possible. Native authorities could now
be dealt with from a position of some superiority. The Europeans
found they could defeat larger – in some cases very much larger –
native armies and dictate advantageous and even exploitative treaties
to local rulers. It was the start of a kind of hegemony, but without
direct control. European positions depended on the ability to overawe
or manipulate local elites and rulers.
The situation was promoted by revolutionary changes in Europe.
Starting in the seventeenth and eighteenth centuries, the development
of nationalism, especially in Britain and France but also in Holland,
Spain and Russia, played a decisive role in the evolution of Europe’s
states, and therefore also in their colonial expansion. This was much
more than the ideas about ethnic and religious separateness by which
men have always identified themselves. It was not confined to philoso-
phies, or even political or cultural or ethnic passions. It combined
several elements whose conjunction not merely fuelled the growth of
Europe’s empires but provided much of the driving force of modern
national and international history. One was a set of political ideas
which implied an historically novel basis for political and state legit-
imacy and therefore action. Here was a changed conception, brought
about by the three great Western revolutions which span the
Introduction 3
of the technology and prowess but of the culture of the colonial power.
The white man, whether in law, in administration or on the battlefield,
had demonstrated his natural superiority and therefore clearly had a
right to rule. Nor was it by any means simply a matter of oppression.
European law and government brought hitherto unknown security,
stability, health and, at times, education.
A fourth stage in the colonial story came towards the end of the
nineteenth century. It had two parallel elements. One was the debate
within Europe itself about the moral justification of empire, beyond
simple assertions of imperial pride or even of strategic need. That
began a dispute between liberal imperialists, who justified and cele-
brated empire as bringing civilization to the dark corners of the earth,
and liberal humanists, for whom empire violated the very principles of
liberty, equality or social justice which Western societies claimed as
their own. Together with that came other critiques, whether from
socialists implacably opposed to the bourgeois state and all its works,
or Christian groups emphasizing the brotherhood of man or the new
trade unions that saw empires as costly in money and men.
At the same time came politically effective nationalist assertions in
the Asian colonies themselves, moving through three broad phases.
First came attempts at conservative revival. This was followed by a
search for assimilation and co-optation in governance. Only then came
the forced development, whether in India or Vietnam or Japan, of
socio-economic developments which recognizably followed European
examples. It was rising local assertion in modern nationalist forms, by
groups or parties organized along national rather than regional or
sectional lines, which could then express demands for political
independence.
A fifth, relatively brief, stage came in the two or three decades
ending around the 1960s. It saw the collapse of Western empires in the
Asian-Pacific area, whether for reasons of political principle, psycholog-
ical exhaustion and economic weakness in the colonial metropoles or
the growing power of nationalist assertion in the colonies themselves.
6
H.G. Gelber, Nations Out of Empires
© Harry G. Gelber 2001
The Asian Order 7
The states and empires of South and East Asia were constantly threat-
ened by tribal raiders from their north, often driven by population
pressures on the steppes. China, especially, went through repeated
periods of this kind of insecurity. India was similarly threatened. But
Turks, Turcomans, Mongols and Kirghiz were no mere scourges. In the
three centuries before AD 1500, they dominated the entire known
world with the exception of Western and Central Europe. Turkish and
Mongol rulers governed India, China, Persia, Egypt, North Africa,
Mesopotamia, the Balkans, Russia and the Hungarian plain.
The greatest of these rulers, whose very name is still a byword for
terror, was Genghis Khan. Cruelty may have been part of his genius,
but he was a great captain; brave, tenacious, shrewd, patient. He also
encouraged able administrators, adopted a code of law and practised
religious toleration – if only for the political purpose of ruling many
different peoples – and was learned in the arts and traditions of China.
He created and ruled what may well be the greatest empire the world
has ever seen. Earlier wars against the Hunnish empire of Kin had
given the Mongols excellent military training, even in the arts of Kin’s
Chinese allies. But it was Genghis who organized the Mongol tribes
and began to create a military state in which every male between the
ages of fifteen and seventy served as a soldier, thus producing great
armies, largely of mounted archers and bound by iron discipline.
Mongol commanders planned meticulously, paid close attention to
logistics and supply; their strategy, tactics and, not least, political and
tactical intelligence were almost always vastly superior to those of their
opponents. In a series of remarkable campaigns Genghis launched
these armies westwards against Central Asia as well as southwards,
against China. He attacked there in 1211 and by the early 1220s held
most of China’s north. Further west he took major cities like Bokhara
and Samarkand. By the time he died in 1227, Genghis ruled the lands
from the coast of the Pacific to the Black Sea, and from the forests of
Siberia to the Persian Gulf.
After his death the empire grew further. A mere fourteen years later,
the Mongols had moved further westwards. They overran Poland and
seized the Hungarian plain. They plundered India’s northwest, includ-
ing the Punjab, though they did not establish governance there. Other
Mongol armies invaded Persia and Syria. They captured Baghdad in
1258 and crushed the Abbasid caliphate which had dominated
Mesopotamia for five centuries. 1 They moved further into China too,
occupying all of north China by 1234 and, after more conquests by
Ghengis’s grandson Kublai, the Sung empire in the south as well. In
8 Nations Out of Empires
the meantime, other Mongol armies had reached Tonkin and Annam
in what is now Vietnam. The Mongols even attempted, around 1280,
to invade Japan, which was only saved when a kamikaze2 storm
destroyed Kublai Khan’s navy. At its greatest extent, the empire ran
from the mouth of the Amur river to Hungary and from Siberia to
north India, Burma and even Java.
In all these campaigns the ruthlessness of the Mongols – and of their
successors – became proverbial. Echoes of the Mongol terror persist to
this day, as in the word ‘Tartar’. Ghengis and his successors regularly
adopted a policy of terror and selective massacre. They sacked Bokhara.
Herat was destroyed, leaving a million dead. A series of Russian towns
were destroyed and their inhabitants massacred. Kiev was left without
a single inhabitant, the surrounding steppe strewn with skulls. The
terror continued, even when Tamerlane captured Delhi in 1398. Each
of these conquests was a catastrophe. From Korea to Hungary, van-
quished armies were simply obliterated. In whole regions the Mongols
were apt to leave peasants in their fields, to sow and raise crops, only
to slaughter them afterwards anyway. Millions were killed and many
more enslaved.
The Mongol empire quickly became too large and varied to be gov-
erned from one tent-city. So Persia, Central Asia, China and Russia
came to be dominated by different branches of the ruling family. But
family unity gave way to competition and some Mongols ‘went native’.
The wealth and culture of China, especially, undermined Mongol
cohesion and military enthusiasm. Their rulers took the Chinese name
Yuan and retained Chinese institutions, including the civil service and
tax system. That encouraged a Chinese reaction against the Mongols
and brought the properly Chinese Ming dynasty to power. It governed
from 1368 and expanded Chinese power, for example over Korea and
into Annam.
The political patterns of early modern Asia developed from the disin-
tegration of this Mongol empire, beginning with the death of Kublai
Khan in 1294. The empire quickly broke into three major and several
minor fragments. The three were the Chinese empire, a Persian one
and the rule of the Kipchaks in Russia. But matters were complicated
by the spread of Islam. Islamic hegemony had by then passed from its
original Arab base to the Persians, and from there to the Ottoman
Turks. The Ottomans had risen to dominance in the Islamic world
even before the Mongol conquests and now, roughly from 1300 to
1500, Islamic expansion resumed under their leadership. They moved
into India as well as the Balkans, defeating the Slav forces at Kosovo in
The Asian Order 9
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