Spheres of Influence in China and the Open Door Policy

From a letter of John Hay to A.D. White (6 September, 1899)

Why was the United States concerned at Germany's new 'sphere of influence' in Shantung province?

Germany was the first power obtaining a leased territory on the coast of China in 1898, and similar actions
were taken subsequently by the other great powers of Europe and Japan. The United States, which had not
claimed its sphere, was worried that its rights and privileges insured by previous treaties with China would be
impaired within these new leased territories and spheres of influence. Once the other great powers closed their
spheres of influence off to American trade, the most-favoured-nation status of the United States would be
threatened immediately. Moreover, the scramble for concessions would arise serious conflicts of interest among
the great powers, and the interests of the Americans might be jeopardized as well. As a result, the United States
promoted the Open Door Policy to ensure the equal trading opportunities and to alleviate international tensions.

Why were the Western powers so interested in opening treaty ports in China?

Western powers were willing to open treaty ports either by diplomatic means or by armed force because
they could obtain huge profits from these places. Economically, the treaty ports served as profitable markets for
raw materials and Western goods. Concessions for Western settlements were permitted to set up only in treaty
ports, and within these areas, Westerners were granted 'unequal' privileges such as local administrative rights,
missionary rights, extraterritorial jurisdiction, redemption on tax and tariff, etc. In the leased territories and
spheres of influence, the rights of railway construction and mining were also granted. In leased territories, the
powers could even build their naval bases and military fortresses for defence. So, it was the huge profits
obtained that leaded to the opening of treaty ports in China.

What were the 'vested interests' of the United States in China at this time?

The interests of the United States in China were granted mainly through the recognition of a series of Sino-
American treaties, and the most profitable interest was trade. Though the American trade with China was small
as compared to other great powers, the United States enjoyed a favoured nation status, which guaranteed its free
trade and equal opportunity. American goods were charged the same tariff at any treaty ports as other powers.
American vessels were permitted free rights of navigation in coastal ports and inner waters, and the same
harbour dues were levied at any port. Apart from trade, the United States was also granted missionary rights,
extraterritorial jurisdiction, and a concession in Shanghai.

What benefits was China likely to receive from this Open Door Policy?

China was saved from partition due the application of balance-of-power strategy in the Open Door Policy.
The ambitions of the great powers were checked among themselves and the Western gunboat foreign policy of
the mid-nineteenth century was replaced by a collective diplomacy. It was this new diplomacy that saved China
from partition during the scramble for concessions and the Boxer uprising. Moreover, the territorial integrity
and the independence of China were guaranteed by the great powers in the second Open Door Note in 1900.
Besides, China was given the right to collect tariffs of all nationalities in all treaty ports and leased territories.
China was also aided to improve its civil administration. But on the whole, the Open Door Policy was aimed to
preserve the free trade of the Americans, it was not primarily targeted to prevent or protect China from further
invasions.
What other sorts of documents would you use to assess the support of other nations for Hay's Open Door
Policy?

Concerning the first response, since the Open Door Policy was issued in open note form, the responses
were usually replied in the form of open declarations or diplomatic notes sent directly to the ambassador of the
United States or to the Secretary of States in Washington. Apart from diplomatic documents, other sources such
as foreign policy addresses and letters between diplomats could be used to assess the attitude of the great
powers. Moreover, the history sources and documents related to upcoming events also assessed their support for
the Policy.

What Chinese documents could you use in order to gauge Chinese opinions about the Open Door Policy?

Imperial edicts of the Qing court were the primary official sources. The diaries or memorials of senior
officers and both official and private letters between Chinese officers and foreign legations were secondary
official sources. Newspapers and individual criticisms could be considered as non-governmental sources.
History essays and arguments were historical documents that revealed Chinese opinions on the issue.

Open Door Note
September 6, 1899
(Secretary of State John Hay issued the
following letter on U.S. policy toward China to
diplomatic officials of the leading imperialist
powers.)
Sir:
T he Government of Her Britannic Majesty
has declared that its policy and its very
traditions precluded it from using any privi-
leges which might be granted it in China as
a weapon for excluding commercial rivals,
and that freedom of trade for Great Britain in
that Empire meant freedom of trade for all
the world alike. While conceding by formal
agreements, first with Germany and then with
Russia, the possession of “spheres of influ-
ence or interest” in China in which they are
to enjoy special rights and privileges, more
especially in respect of railroads and mining
enterprises, Her Britannic Majesty’s Govern-
ment has therefore sought to maintain at the
same time what is called the “open-door”
policy to insure the commerce of the world
in China equality of treatment within said
“spheres” for commerce and navigation. This
latter policy is alike urgently demanded by the
British mercantile communities and by those
of the United States, as it is justly held by
them to be the only one which will improve
existing conditions, enable them to maintain
their positions in the markets of China, and
extend their operations in the future. While
the Government of the United States will in no
way commit itself to a recognition of exclusive
rights of any power within or control over
any portion of the Chinese Empire under such
agreements as have within the last year been
made, it can not conceal its apprehension that
under existing conditions there is a possibil-
ity, even a probability, of complications arising
between the treaty powers which may imperil
the rights insured to the United States under
our treaties with China.
This Government is animated by a sincere
desire that the interests of our citizens may
not be prejudiced through exclusive treatment
by any of the controlling powers within their
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so-called “spheres of interest” in China, and
hopes also to retain there an open market for
the commerce of the world, remove danger-
ous sources of international irritation, and
hasten thereby united or concerted action of
the powers at Peking [Beijing] in favor of the
administrative reforms so urgently needed for
strengthening the Imperial Government and
maintaining the integrity of China in which
the whole western world is alike concerned.
It believes that such a result may be greatly
assisted by a declaration by the various pow-
ers claiming “spheres of interest” in China of
their intentions as regards treatment of foreign
trade therein. The present moment seems
a particularly opportune one for informing
Her Britannic Majesty’s Government of the
desire of the United States to see it make a
formal declaration and to lend its support in
obtaining similar declarations from the vari-
ous powers claiming “spheres of influence” in
China, to the effect that each in its respective
spheres of interest or influence —
First. Will in no way interfere with any
treaty port or any vested interest within any
so-called “sphere of interest” or leased terri-
tory it may have in China.
Second. That the Chinese treaty tariff of
the time being shall apply to all merchandise
landed or shipped to all such ports as are
within said “sphere of interest” (unless they
be “free ports”), no matter to what nationality
it may belong, and that duties so leviable shall
be collected by the Chinese Government.
Third. That it will levy no higher harbor
dues on vessels of another nationality fre-
quenting any port in such “sphere” than shall
be levied on vessels of its own nationality, and
no higher railroad charges over lines built,
controlled, or operated within its “sphere” on
merchandise belonging to citizens or subjects
of other nationalities transported through
such “sphere” than shall be levied on similar
merchandise belonging to its own nationals
transported over equal distances.
The recent ukase [decree] of His Majesty
the Emperor of Russia, declaring the port of
Ta-lien-wan open to the merchant ships of all
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2 China on the World Stage:
Weighing the U.S. Response
Supplementary Documents

nations during the whole of the lease under

which it is to be held by Russia, removing as
it does all uncertainty as to the liberal and
conciliatory policy of that power, together
with the assurances given this Government
by Russia, justifies the expectation that His
Majesty will cooperate in such an understand-
ing as is here proposed, and our ambassador at
the court of St. Petersburg has been instructed
accordingly to submit the propositions above
detailed to His Imperial Majesty, and ask their
early consideration. Copy of my instruction to
Mr. Tower is herewith inclosed for your confi-
dential information.
The action of Germany in declaring the
port of Kiaochao a “free port,” and the aid
the Imperial Government has given China
in the establishment there of a Chinese cus-
tom-house, coupled with the oral assurance
conveyed the United States by Germany that
our interests within its “sphere” would in no
wise be affected by its occupation of this por-
tion of the province of Shantung, tend to show
that little opposition may be anticipated from
that power to the desired declaration.
The interests of Japan, the next most inter-
ested power in the trade of China, will be so
clearly served by the proposed arrangement,
and the declaration of its statesmen within the
last year are so entirely in line with the views
here expressed, that its hearty cooperation is
confidently counted on.
You will, at as early date as practicable,
submit the considerations to Her Britan-
nic Majesty’s principal secretary of state for
foreign affairs and request their immediate
consideration.
I inclose herewith a copy of the instruction
sent to our ambassador at Berlin bearing on the
above subject.
I have the honor to be, etc.,
John Hay

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 Open Response Letter to Hay’s Open Door Note
The year is 1900 and you are a diplomat in the Qing government. You have
just read John Hay’s note proposing an Open Door Policy in China, and your
task is to write a response letter to the foreign nations involved - Great
Britain, Germany, France, Russia, Japan, and the United States. In your
letter you must explain the Qing government’s perspective on the situation in
China at the time, and express your expectations and hopes for China’s future
under the Open Door Policy. Remember this is an “open” letter from China,
speaking to all of the imperialist nations involved and the world as a whole.
Among the topics you should discuss in 1-2 pages:
- Motivations of foreign imperialism in China
- Presence of foreign spheres of influence in China
- Terms imposed on China by foreign nations
- Extraterritoriality of concessions to foreign nations
- Possibility of partitioning China
- Tariffs on foreign trade
- Relations between China and foreign nations
- Relations between foreign nations in China
- Future considerations for China and its relations with foreign nations
- Anything else you can think of