|Simplified Chinese 大跃进|
IPA [tâ ɥê tɕîn]
|Traditional Chinese 大躍進|
Wade–Giles Ta yüeh chin
|Literal meaning "Great Leap Forward future"|
The Great Leap Forward (Chinese: 大跃进; pinyin: Dà yuè jìn) of the People's Republic of China (PRC) was an economic and social campaign by the Communist Party of China (CPC) from 1958 to 1962. The campaign was led by Chairman Mao Zedong and aimed to rapidly transform the country from an agrarian economy into a socialist society through rapid industrialization and collectivization. However, it is widely considered to have caused the Great Chinese Famine.
- Agricultural collectives and other social changes
- Hundred Flowers Campaign and Anti Rightist Campaign
- Surpass the UK and US
- Organizational and operational factors
- People's communes
- Backyard furnaces
- Crop experiments
- Treatment of villagers
- Lushan Conference
- Famine deaths
- Causes of the famine and responsibility
- Deaths by violence
- Impact on economy
- Modes of resistance
- Impact on the government
Chief changes in the lives of rural Chinese included the incremental introduction of mandatory agricultural collectivization. Private farming was prohibited, and those engaged in it were persecuted and labeled counter-revolutionaries. Restrictions on rural people were enforced through public struggle sessions and social pressure, although people also experienced forced labor. Rural industrialization, officially a priority of the campaign, saw "its development... aborted by the mistakes of the Great Leap Forward."
It is widely regarded by historians that The Great Leap resulted in tens of millions of deaths. A lower-end estimate is 18 million, while extensive research by Yu Xiguang suggests the death toll from the movement is closer to 55 million. Historian Frank Dikötter asserts that "coercion, terror, and systematic violence were the foundation of the Great Leap Forward" and it "motivated one of the most deadly mass killings of human history".
The years of the Great Leap Forward saw economic regression, with 1958 through 1962 being the only period (other than the Cultural Revolution) between 1953 and 1976 in which China's economy shrank. Political economist Dwight Perkins argues, "enormous amounts of investment produced only modest increases in production or none at all. ... In short, the Great Leap was a very expensive disaster."
In subsequent conferences in March 1960 and May 1962, the negative effects of the Great Leap Forward were studied by the CPC, and Mao was criticized in the party conferences. Moderate Party members like President Liu Shaoqi and Deng Xiaoping rose to power, and Chairman Mao was marginalized within the party, leading him to initiate the Cultural Revolution in 1966.
Sources favourable to Mao dispute the number of deaths in the Great Chinese Famine and deny that it was caused by the Great Leap Forward, saying the campaign was successful in its aim to accelerate state industrialisation.
In October 1949 after the defeat of the Kuomintang (Chinese Nationalist Party), the Chinese Communist Party proclaimed the establishment of the People's Republic of China. Immediately, landlords and wealthier peasants had their land holdings forcibly redistributed to poorer peasants. In the agricultural sectors, crops deemed by the Party to be "full of evil", such as opium, were destroyed and replaced with crops such as rice.
Within the Party, there was major debate about redistribution. A moderate faction within the party and Politburo member Liu Shaoqi argued that change should be gradual and any collectivization of the peasantry should wait until industrialization, which could provide the agricultural machinery for mechanized farming. A more radical faction led by Mao Zedong argued that the best way to finance industrialization was for the government to take control of agriculture, thereby establishing a monopoly over grain distribution and supply. This would allow the state to buy at a low price and sell much higher, thus raising the capital necessary for the industrialization of the country.
Agricultural collectives and other social changes
Before 1949, peasants had farmed their own small pockets of land, and observed traditional practices—festivals, banquets, and paying homage to ancestors. It was realized that Mao's policy of using a state monopoly on agriculture to finance industrialization would be unpopular with the peasants. Therefore, it was proposed that the peasants should be brought under Party control by the establishment of agricultural collectives which would also facilitate the sharing of tools and draft animals.
This policy was gradually pushed through between 1949 and 1958 in response to immediate policy needs, first by establishing "mutual aid teams" of 5–15 households, then in 1953 "elementary agricultural cooperatives" of 20–40 households, then from 1956 in "higher co-operatives" of 100–300 families. From 1954 onward peasants were encouraged to form and join collective-farming associations, which would supposedly increase their efficiency without robbing them of their own land or restricting their livelihoods.
By 1958 private ownership was entirely abolished and households all over China were forced into state-operated communes. Mao insisted that the communes must produce more grain for the cities and earn foreign exchange from exports. These reforms (sometimes now referred to as The Great Leap Forward) were generally unpopular with the peasants and usually implemented by summoning them to meetings and making them stay there for days and sometimes weeks until they "voluntarily" agreed to join the collective.
Apart from progressive taxation on each household's harvest, the state introduced a system of compulsory state purchases of grain at fixed prices to build up stockpiles for famine-relief and meet the terms of its trade agreements with the Soviet Union. Together, taxation and compulsory purchases accounted for 30 percent of the harvest by 1957, leaving very little surplus. Rationing was also introduced in the cities to curb 'wasteful consumption' and encourage savings (which were deposited in state-owned banks and thus became available for investment), and although food could be purchased from state-owned retailers the market price was higher than that for which it had been purchased. This too was done in the name of discouraging excessive consumption.
Besides these economic changes the Party implemented major social changes in the countryside including the banishing of all religious and mystic institutions and ceremonies and replacing them with political meetings and propaganda sessions. Attempts were made to enhance rural education and the status of women (allowing them to initiate divorce if they desired) and ending foot-binding, child marriage and opium addiction. The old system of internal passports (the hukou) were introduced in 1956, preventing inter-county travel without appropriate authorization. Highest priority was given to the urban proletariat for whom a welfare state was created.
The first phase collectivization resulted in only modest improvements in output. Famine along the mid-Yangzi was averted in 1956 through the timely allocation of food-aid, but in 1957 the Party's response was to increase the proportion of the harvest collected by the state to ensure against further disasters. Moderates within the Party, including Zhou Enlai, argued for a reversal of collectivization on the grounds that the claiming the bulk of the harvest for the state had made the people's food-security dependent upon the constant, efficient, and transparent functioning of the government.
Hundred Flowers Campaign and Anti-Rightist Campaign
In 1957 Mao responded to the tensions in the Party by promoting free speech and criticism under the Hundred Flowers Campaign. In retrospect, some have come to argue that this was a ploy to allow critics of the regime, primarily intellectuals but also low ranking members of the party critical of the agricultural policies, to identify themselves. Some claim that Mao simply swung to the side of the hard-liners once his policies gained strong opposition. Once he had done so, at least half a million were purged under the Anti-Rightist campaign, which effectively silenced any opposition from within the Party or from agricultural experts to the changes which would be implemented under the Great Leap Forward.
By the completion of the first 5 Year Economic Plan in 1957, Mao had come to doubt that the path to socialism that had been taken by the Soviet Union was appropriate for China. He was critical of Khrushchev's reversal of Stalinist policies and alarmed by the uprisings that had taken place in East Germany, Poland and Hungary, and the perception that the USSR was seeking "peaceful coexistence" with the Western powers. Mao had become convinced that China should follow its own path to communism. According to Jonathan Mirsky, a historian and journalist specializing in Chinese affairs, China's isolation from most of the rest of the world, along with the Korean War, had accelerated Mao's attacks on his perceived domestic enemies. It led him to accelerate his designs to develop an economy where the regime would get maximum benefit from rural taxation.
Surpass the UK and US
In November 1957, to celebrate the 40th anniversary of the October Revolution, party leaders of the communist countries gathered in Moscow. The first Secretary of the Central Committee Khrushchev proposed a goal to not only catch up with but exceed the United States in industrial output in the next 15 years through peaceful competition. Mao Zedong was so inspired by the slogan that China put forward its own objective: to catch up with and surpass the UK in 15 years.
Comrade Khrushchev has told us, the Soviet Union 15 years later will surpass the United States of America. I can also say, 15 years later, we may catch up with or exceed the UK.
Organizational and operational factors
The Great Leap Forward campaign began during the period of the Second Five Year Plan which was scheduled to run from 1958 to 1963, though the campaign itself was discontinued by 1961. Mao unveiled the Great Leap Forward at a meeting in January 1958 in Nanjing.
The central idea behind the Great Leap was that rapid development of China's agricultural and industrial sectors should take place in parallel. The hope was to industrialize by making use of the massive supply of cheap labour and avoid having to import heavy machinery. The government also sought to avoid both social stratification and technical bottlenecks involved in the Soviet model of development, but sought political rather than technical solutions to do so. Distrusting technical experts, Mao and the party sought to replicate the strategies used in its 1930s regrouping in Yan'an following the Long March: "mass mobilization, social leveling, attacks on bureaucratism, [and] disdain for material obstacles." Mao advocated that a further round of collectivization modeled on the USSR's "Third Period" was necessary in the countryside where the existing collectives would be merged into huge People's Communes.
An experimental commune was established at Chayashan in Henan in April 1958. Here for the first time private plots were entirely abolished and communal kitchens were introduced. At the Politburo meetings in August 1958, it was decided that these people's communes would become the new form of economic and political organization throughout rural China. By the end of the year approximately 25,000 communes had been set up, with an average of 5,000 households each. The communes were relatively self-sufficient co-operatives where wages and money were replaced by work points.
Based on his fieldwork, Ralph A. Thaxton Jr. describes the people's communes as a form of "apartheid system" for Chinese farm households. The commune system was aimed at maximizing production for provisioning the cities and constructing offices, factories, schools, and social insurance systems for urban-dwelling workers, cadres and officials. Citizens in rural areas who criticized the system were labeled "dangerous." Escape was also difficult or impossible, and those who attempted were subjected to "party-orchestrated public struggle," which further jeopardized their survival. Besides agriculture, communes also incorporated some light industry and construction projects.
Mao saw grain and steel production as the key pillars of economic development. He forecast that within 15 years of the start of the Great Leap, China's industrial output would surpass that of the UK. In the August 1958 Politburo meetings, it was decided that steel production would be set to double within the year, most of the increase coming through backyard steel furnaces. Major investments in larger state enterprises were made in 1958–60: 1,587, 1,361, and 1,815 medium- and large-scale state projects were started in 1958, 1959, and 1960 respectively, more in each year than in the first Five Year Plan.
Millions of Chinese became state workers as a consequence of this industrial investment: in 1958, 21 million were added to non-agricultural state payrolls, and total state employment reached a peak of 50.44 million in 1960, more than doubling the 1957 level; the urban population swelled by 31.24 million people. These new workers placed major stress on China's food-rationing system, which led to increased and unsustainable demands on rural food production.
During this rapid expansion, coordination suffered and material shortages were frequent, resulting in "a huge rise in the wage bill, largely for construction workers, but no corresponding increase in manufactured goods." Facing a massive deficit, the government cut industrial investment from 38.9 to 7.1 billion yuan from 1960 to 1962 (an 82 percent decrease; the 1957 level was 14.4 billion).
With no personal knowledge of metallurgy, Mao encouraged the establishment of small backyard steel furnaces in every commune and in each urban neighborhood. Mao was shown an example of a backyard furnace in Hefei, Anhui in September 1958 by provincial first secretary Zeng Xisheng. The unit was claimed to be manufacturing high quality steel.
Huge efforts on the part of peasants and other workers were made to produce steel out of scrap metal. To fuel the furnaces the local environment was denuded of trees and wood taken from the doors and furniture of peasants' houses. Pots, pans, and other metal artifacts were requisitioned to supply the "scrap" for the furnaces so that the wildly optimistic production targets could be met. Many of the male agricultural workers were diverted from the harvest to help the iron production as were the workers at many factories, schools and even hospitals. Although the output consisted of low quality lumps of pig iron which was of negligible economic worth, Mao had a deep distrust of intellectuals who could have pointed this out, and placed his faith in the power of the mass mobilization of the peasants.
Moreover, the experience of the intellectual classes following the Hundred Flowers Campaign silenced those aware of the folly of such a plan. According to his private doctor, Li Zhisui, Mao and his entourage visited traditional steel works in Manchuria in January 1959 where he found out that high quality steel could only be produced in large-scale factories using reliable fuel such as coal. However, he decided not to order a halt to the backyard steel furnaces so as not to dampen the revolutionary enthusiasm of the masses. The program was only quietly abandoned much later in that year.
Substantial effort was expended during the Great Leap Forward on large-scale, but often poorly planned capital construction projects, such as irrigation works often built without input from trained engineers. Mao was well aware of the human cost of these water-conservancy campaigns. In early 1958, while listening to a report on irrigation in Jiangsu, he mentioned that:
Wu Zhipu claims he can move 30 billion cubic metres; I think 30,000 people will die. Zeng Xisheng has said that he will move 20 billion cubic metres, and I think that 20,000 people will die. Weiqing only promises 600 million cubic metres, maybe nobody will die.
Though Mao "criticized the excessive use of corvée for large-scale water conservancy projects" in late 1958, mass mobilization on irrigation works continued unabated for the next several years, and claimed the lives of hundreds of thousands of exhausted, starving villagers. The inhabitants of Qingshui and Gansu referred to these projects as the "killing fields."
On the communes, a number of radical and controversial agricultural innovations were promoted at the behest of Mao. Many of these were based on the ideas of now discredited Soviet agronomist Trofim Lysenko and his followers. The policies included close cropping, whereby seeds were sown far more densely than normal on the incorrect assumption that seeds of the same class would not compete with each other. Deep plowing (up to 2 m deep) was encouraged on the mistaken belief that this would yield plants with extra large root systems. Moderately productive land was left unplanted with the belief that concentrating manure and effort on the most fertile land would lead to large per-acre productivity gains. Altogether, these untested innovations generally led to decreases in grain production rather than increases.
Meanwhile, local leaders were pressured into falsely reporting ever-higher grain production figures to their political superiors. Participants at political meetings remembered production figures being inflated up to 10 times actual production amounts as the race to please superiors and win plaudits—like the chance to meet Mao himself—intensified. The state was later able to force many production groups to sell more grain than they could spare based on these false production figures.
Treatment of villagers
The ban on private holdings ruined peasant life at its most basic level, according to Mirsky. Villagers were unable to secure enough food to go on living, because they were deprived by the commune system of their traditional means of being able to rent, sell, or use their land as collateral for loans. In one village, once the commune was operational the Party boss and his colleagues "swung into manic action, herding villagers into the fields to sleep and to work intolerable hours, and forcing them to walk, starving, to distant additional projects."
Edward Friedman, a political scientist at the University of Wisconsin, Paul Pickowicz, a historian at the University of California, San Diego, and Mark Selden, a sociologist at Binghamton University, wrote about the dynamic of interaction between the Party and villagers:
Beyond attack, beyond question, was the systemic and structured dynamic of the socialist state that intimidated and impoverished millions of patriotic and loyal villagers.
The authors present a similar picture to Thaxton in depicting the Communist Party's destruction of the traditions of Chinese villagers. Traditionally prized local customs were deemed signs of "feudalism" to be extinguished, according to Mirsky. "Among them were funerals, weddings, local markets, and festivals. The Party thus destroyed "much that gave meaning to Chinese lives. These private bonds were social glue. To mourn and to celebrate is to be human. To share joy, grief, and pain is humanizing." Failure to participate in the CPC's political campaigns—though the aims of such campaigns were often conflicting—"could result in detention, torture, death, and the suffering of entire families."
Public criticism sessions were often used to intimidate the peasants into obeying local cadres; they increased the death rate of the famine in several ways, according to Thaxton. "In the first case, blows to the body caused internal injuries that, in combination with physical emaciation and acute hunger, could induce death." In one case, after a peasant stole two cabbages from the common fields, the thief was publicly criticized for half a day. He collapsed, fell ill, and never recovered. Others were sent to labor camps.
Frank Dikötter writes that beatings with sticks was the most common method used by local cadres and roughly half of all cadres regularly pummeled or caned people. Other cadres devised harsher means to humiliate and torture those who failed to keep up. As mass starvation set in, ever greater violence had to be inflicted in order to coerce malnourished people to labor in the fields. Victims were buried alive, thrown bound into ponds, stripped naked and forced to labor in the middle of winter, doused in boiling water, forced to ingest excrement and urine, and subjected to mutilation (hair ripped out, noses and ears lopped off). In Guangdong, some cadres injected salt water into their victims with needles normally reserved for cattle. Around 6 to 8 percent of those who died during the Great Leap Forward were tortured to death or summarily killed.
Benjamin Valentino notes that "communist officials sometimes tortured and killed those accused of failing to meet their grain quota."
However, J. G. Mahoney, Professor of Liberal Studies and East Asian Studies at Grand Valley State University, has said that "there is too much diversity and dynamism in the country for one work to capture ... rural China as if it were one place." Mahoney describes an elderly man in rural Shanxi who recalls Mao fondly, saying "Before Mao we sometimes ate leaves, after liberation we did not." Regardless, Mahoney points out that Da Fo villagers recall the Great Leap as a period of famine and death, and among those who survived in Da Fo were precisely those who could digest leaves.
The initial impact of the Great Leap Forward was discussed at the Lushan Conference in July/August 1959. Although many of the more moderate leaders had reservations about the new policy, the only senior leader to speak out openly was Marshal Peng Dehuai. Mao responded to Peng's criticism of the Great Leap by dismissing Peng from his post as Defence Minister, denouncing Peng (who came from a poor peasant family) and his supporters as "bourgeois," and launching a nationwide campaign against "rightist opportunism." Peng was replaced by Lin Biao, who began a systematic purge of Peng's supporters from the military.
The failure of agricultural policies, the movement of farmers from agricultural to industrial work, and weather conditions led to millions of deaths from severe famine. Many also died from quota-based executions instituted by government officials. The economy, which had improved since the end of the civil war, was devastated. In response to the severe conditions, there was resistance among the populace.
The effects on the upper levels of government in response to the disaster were complex, with Mao purging the Minister of National Defense Peng Dehuai in 1959, the temporary promotion of Lin Biao, Liu Shaoqi, and Deng Xiaoping, and Mao losing some power and prestige following the Great Leap Forward, which led him to launch the Cultural Revolution in 1966.
Despite the harmful agricultural innovations, the weather in 1958 was very favorable and the harvest promised to be good. Unfortunately, the amount of labour diverted to steel production and construction projects meant that much of the harvest was left to rot uncollected in some areas. This problem was exacerbated by a devastating locust swarm, which was caused when their natural predators were killed as part of the Great Sparrow Campaign.
Although actual harvests were reduced, local officials, under tremendous pressure from central authorities to report record harvests in response to the innovations, competed with each other to announce increasingly exaggerated results. These were used as a basis for determining the amount of grain to be taken by the State to supply the towns and cities, and to export. This left barely enough for the peasants, and in some areas, starvation set in. A 1959 drought and flooding from the Yellow River in the same year also contributed to famine.
During 1958–1960 China continued to be a substantial net exporter of grain, despite the widespread famine experienced in the countryside, as Mao sought to maintain face and convince the outside world of the success of his plans. Foreign aid was refused. When the Japanese foreign minister told his Chinese counterpart Chen Yi of an offer of 100,000 tonnes of wheat to be shipped out of public view, he was rebuffed. John F. Kennedy was also aware that the Chinese were exporting food to Africa and Cuba during the famine and said "we've had no indication from the Chinese Communists that they would welcome any offer of food."
With dramatically reduced yields, even urban areas suffered much reduced rations; however, mass starvation was largely confined to the countryside, where, as a result of drastically inflated production statistics, very little grain was left for the peasants to eat. Food shortages were bad throughout the country; however, the provinces which had adopted Mao's reforms with the most vigor, such as Anhui, Gansu and Henan, tended to suffer disproportionately. Sichuan, one of China's most populous provinces, known in China as "Heaven's Granary" because of its fertility, is thought to have suffered the greatest absolute numbers of deaths from starvation due to the vigor with which provincial leader Li Jinquan undertook Mao's reforms. During the Great Leap Forward, cases of cannibalism also occurred in the parts of China that were severely affected by famine.
The agricultural policies of the Great Leap Forward and the associated famine continued until January 1961, when, at the Ninth Plenum of the Eighth Central Committee, the restoration of agricultural production through a reversal of the Great Leap policies was started. Grain exports were stopped, and imports from Canada and Australia helped to reduce the impact of the food shortages, at least in the coastal cities.
The exact number of famine deaths is difficult to determine, and estimates range from upwards of 30 million, to 55 million people. Because of the uncertainties involved in estimating famine deaths caused by the Great Leap Forward or any famine, it is difficult to compare the severity of different famines. However, if a mid-estimate of 30 million deaths is accepted, the Great Leap Forward was the deadliest famine in the history of China and in the history of the world. This was in part due to China’s large population; in the Great Irish Famine, approximately 1 million of a population of 8 million people died, or 12.5 percent. In the Great Chinese Famine approximately 30 million of a population of 600 million people died, or 5 percent.
The Great Leap Forward reversed the downward trend in mortality that had occurred since 1950, though even during the Leap, mortality may not have reached pre-1949 levels. Famine deaths and the reduction in number of births caused the population of China to drop in 1960 and 1961. This was only the third time in 600 years that the population of China had decreased. After the Great Leap Forward, mortality rates decreased to below pre-Leap levels and the downward trend begun in 1950 continued.
The severity of the famine varied from region to region. By correlating the increase in death rates of different provinces, Peng Xizhe found that Gansu, Sichuan, Guizhou, Hunan, Guangxi, and Anhui were the worst-hit regions, while Heilongjiang, Inner Mongolia, Xinjiang, Tianjin, and Shanghai had the lowest increase in death rate during the Great Leap Forward (there was no data for Tibet). Peng also noted that the increase in death rate in urban areas was about half the increase in rural areas. Fuyang, a region in Anhui with a population of 8 million in 1958, had a death rate that rivaled Cambodia under the Khmer Rouge; more than 2.4 million people perished there over three years. In Gao Village in Jiangxi Province there was a famine, but no one actually died of starvation.
Methods of estimating the death toll and sources of error
The number of famine deaths during Great Leap Forward has been estimated by different methods. Banister, Coale, and Ashton et al. compare age cohorts from the 1953, 1964, and 1982 censuses, yearly birth and death records, and results of the 1982 1:1000 fertility survey. From these they calculate excess deaths above a death rate interpolated between pre- and post-Leap death rates. All involve corrections for perceived errors inherent in the different data sets. Peng uses reported deaths from the vital statistics of 14 provinces, adjusts 10 percent for under reporting, and expands the result to cover all of China assuming similar mortality rates in the other provinces. He uses 1956/57 death rates as the baseline death rate rather than an interpolation between pre- and post-GLF death rates.
Cao uses information from "local annals" to determine for each locality the expected population increase from normal births and deaths, the population increase due to migration, and the loss of population between 1958 and 1961. He then adds the three figures to determine the number of excess deaths during the period 1959–1961. Chang and Halliday use death rates determined by "Chinese demographers" for the years 1957–1963, subtract the average of the pre-and post-Leap death rates (1957, 1962, and 1963) from the death rates of each of the years 1958–1961, and multiply each yearly excess death rate by the year's population to determine excess deaths.
Chen was part of a large investigation by the System Reform Institute think tank (Tigaisuo) which "visited every province and examined internal Party documents and records."
Becker, Rummel, Dikötter, and Yang each compare several earlier estimates. Becker considers Banister's estimate of 30 million excess deaths to be "the most reliable estimate we have". Rummel initially took Coale's 27 million as a "most likely figure", then accepted the later estimate of 38 million by Chang and Halliday after it was published. Dikötter judged Chen's estimate of 43 to 46 million to be "in all likelihood a reliable estimate." Yang takes Cao's, Wang Weizhi's, and Jin Hui's estimates ranging from 32.5 to 35 million excess deaths for the period 1959–1961, adds his own estimates for 1958 (0.42 million) and 1962 (2.23 million) "based on official figures reported by the provinces" to get 35 to 37 million, and chooses 36 million as a number that "approaches the reality but is still too low."
Estimates contain several sources of error. National census data was not accurate and even the total population of China at the time was not known to within 50 million to 100 million people. The statistical reporting system had been taken over by party cadre from statisticians in 1957, making political considerations more important than accuracy and resulting in a complete breakdown in the statistical reporting system. Population figures were routinely inflated at the local level, often in order to obtain increased rations of goods. During the Cultural Revolution, a great deal of the material in the State Statistical Bureau was burned.
Under-reporting of deaths was also a problem. The death registration system, which was inadequate before the famine, was completely overwhelmed by the large number of deaths during the famine. In addition, many deaths went unreported so that family members of the deceased could continue to draw the deceased's food ration. Counting the number of children who both were born and died between the 1953 and 1964 censuses is problematic. However, Ashton, et al. believe that because the reported number of births during the GLF seems accurate, the reported number of deaths should be accurate as well. Massive internal migration made both population counts and registering deaths problematic, though Yang believes the degree of unofficial internal migration was small and Cao's estimate takes internal migration into account.
Coale's, Banister's, Ashton et al.'s, and Peng's figures all include adjustments for demographic reporting errors, though Dikötter believes that their results, as well as Chang and Halliday's, Yang's, and Cao's, are still underestimates. The System Reform Institute's (Chen's) estimate has not been published and therefore it cannot be verified.
Causes of the famine and responsibility
The policies of the Great Leap Forward, the failure of the government to respond quickly and effectively to famine conditions, as well as Mao's insistence on maintaining high grain export quotas in the face of clear evidence of poor crop output were responsible for the famine. There is disagreement over how much, if at all, weather conditions contributed to the famine. Also there is considerable evidence the famine was intentional or due to willful negligence.
Yang Jisheng, a long-time communist party member and a reporter for the official Chinese news agency Xinhua, puts the blame squarely on Maoist policies and the political system of totalitarianism, such as diverting agricultural workers to steel production instead of growing crops, and exporting grain at the same time. During the course of his research, Yang uncovered that some 22 million tons of grain was held in public granaries at the height of the famine, reports of the starvation went up the bureaucracy only to be ignored by top officials, and the authorities ordered that statistics be destroyed in regions where population decline became evident.
Economist Steven Rosefielde argues that Yang's account "shows that Mao's slaughter was caused in considerable part by terror-starvation; that is, voluntary manslaughter (and perhaps murder) rather than innocuous famine." Yang notes that local party officials were indifferent to the large number of people dying around them, as their primary concern was the delivery of grain, which Mao wanted to use to pay back debts to the USSR totaling 1.973 billion yuan. In Xinyang, people died of starvation at the doors of grain warehouses. Mao refused to open the state granaries as he dismissed reports of food shortages and accused the peasants of hiding grain.
From his research into records and talks with experts at the meteorological bureau, Yang concludes that the weather during the Great Leap Forward was not unusual compared to other periods and was not a factor. Yang also believes that the Sino-Soviet split was not a factor because it did not happen until 1960, when the famine was well under way.
Chang and Halliday argue that "Mao had actually allowed for many more deaths. Although slaughter was not his purpose with the Leap, he was more than ready for myriad deaths to result, and had hinted to his top echelon that they should not be too shocked if they happened." Democide historian R.J. Rummel had originally classified the famine deaths as unintentional. In light of evidence provided in Chang and Halliday’s book, he now believes that the mass human deaths associated with the Great Leap Forward constitute democide.
According to Frank Dikötter, Mao and the Communist Party knew that some of their policies were contributing to the starvation. Foreign minister Chen Yi said of some of the early human losses in November 1958:
Casualties have indeed appeared among workers, but it is not enough to stop us in our tracks. This is the price we have to pay, it's nothing to be afraid of. Who knows how many people have been sacrificed on the battlefields and in the prisons [for the revolutionary cause]? Now we have a few cases of illness and death: it's nothing!
During a secret meeting in Shanghai in 1959, Mao demanded the state procurement of one-third of all grain to feed the cities and satisfy foreign clients, and noted that "If you don't go above a third, people won't rebel." He also stated at the same meeting:
When there is not enough to eat people starve to death. It is better to let half of the people die so that the other half can eat their fill.
Benjamin Valentino writes that like in the USSR during the famine of 1932–33, peasants were confined to their starving villages by a system of household registration, and the worst effects of the famine were directed against enemies of the regime. Those labeled as "black elements" (religious leaders, rightists, rich peasants, etc.) in any previous campaign were given the lowest priority in the allocation of food, and therefore died in the greatest numbers. According to genocide scholar Adam Jones, "no group suffered more than the Tibetans", with perhaps one in five dying from 1959 to 1962.
Ashton, et al. write that policies leading to food shortages, natural disasters, and a slow response to initial indications of food shortages were to blame for the famine. Policies leading to food shortages included the implementation of the commune system and an emphasis on non-agricultural activities such as backyard steel production. Natural disasters included drought, flood, typhoon, plant disease, and insect pest. The slow response was in part due to a lack of objective reporting on the agricultural situation, including a "nearly complete breakdown in the agricultural reporting system".
This was partly caused by strong incentives for officials to over-report crop yields. The unwillingness of the Central Government to seek international aid was a major factor; China's net grain exports in 1959 and 1960 would have been enough to feed 16 million people 2000 calories per day. Ashton, et al. conclude that "It would not be inaccurate to say that 30 million people died prematurely as a result of errors of internal policy and flawed international relations."
Mobo Gao suggested that the Great Leap Forward’s terrible effects came not from malignant intent on the part of the Chinese leadership at the time, but instead relate to the structural nature of its rule, and the vastness of China as a country. Gao says "the terrible lesson learnt is that China is so huge and when it is uniformly ruled, follies or wrong policies will have grave implications of tremendous magnitude".
The PRC government's official web portal places the responsibility for the "serious losses" to "country and people" of 1959–1961 (without mentioning famine) mainly on the Great Leap Forward and the anti-rightist struggle, and lists weather and cancellation of contracts by the Soviet Union as contributing factors.
Deaths by violence
Not all deaths during the Great Leap were from starvation. Frank Dikötter estimates that at least 2.5 million people were beaten or tortured to death and 1 to 3 million committed suicide. He provides some illustrative examples. In Xinyang, where over a million died in 1960, 6–7 percent (around 67,000) of these were beaten to death by the militias. In Daoxian county, 10 percent of those who died had been "buried alive, clubbed to death or otherwise killed by party members and their militia." In Shimen county, around 13,500 died in 1960, of these 12 percent were "beaten or driven to their deaths." In accounts documented by Yang Jisheng, people were beaten or killed for rebelling against the government, reporting the real harvest numbers, for sounding alarm, for refusing to hand over what little food they had left, for trying to flee the famine area, for begging food or as little as stealing scraps or angering officials.
Impact on economy
During the Great Leap, the Chinese economy initially grew. Iron production increased 45 percent in 1958 and a combined 30 percent over the next two years, but plummeted in 1961, and did not reach the previous 1958 level until 1964.
The Great Leap also led to the greatest destruction of real estate in human history, outstripping any of the bombing campaigns from World War II. Approximately 30 to 40 percent of all houses were turned to rubble. Frank Dikötter states that "homes were pulled down to make fertilizer, to build canteens, to relocate villagers, to straighten roads, to make place for a better future beckoning ahead or simply to punish their owners.”
In agrarian policy, the failures of food supply during the Great Leap were met by a gradual de-collectivization in the 1960s that foreshadowed further de-collectivization under Deng Xiaoping. Political scientist Meredith Jung-En Woo argues: "Unquestionably the regime failed to respond in time to save the lives of millions of peasants, but when it did respond, it ultimately transformed the livelihoods of several hundred million peasants (modestly in the early 1960s, but permanently after Deng Xiaoping's reforms subsequent to 1978.)"
Despite the risks to their careers, some Communist Party members openly laid blame for the disaster at the feet of the Party leadership and took it as proof that China must rely more on education, acquiring technical expertise and applying bourgeois methods in developing the economy. Liu Shaoqi made a speech in 1962 at Seven Thousand Cadres Conference criticizing that "The economic disaster was 30% fault of nature, 70% human error."
Modes of resistance
There were various forms of resistance to the Great Leap Forward. Several provinces saw armed rebellion, though these rebellions never posed a serious threat to the Central Government. Rebellions are documented to have occurred in Henan, Shandong, Qinghai, Gansu, Sichuan, Fujian, and Yunnan provinces and in the Tibetan Autonomous Region. In Honan, Shandong, Qinghai, Gansu, and Sichuan, these rebellions lasted more than a year. Aside from rebellions, there was also occasional violence against cadre members. Raids on granaries, arson and other vandalism, train robberies, and raids on neighboring villages and counties were common.
According to over 20 years of research by Ralph Thaxton, professor of politics at Brandeis University, villagers turned against the CPC during and after the Great Leap, seeing it as autocratic, brutal, corrupt, and mean-spirited. The CPC's policies, which included plunder, forced labor, and starvation, according to Thaxton, led villagers "to think about their relationship with the Communist Party in ways that do not bode well for the continuity of socialist rule."
Often, villagers composed doggerel to show their defiance to the regime, and "perhaps, to remain sane." During the Great Leap, one jingle ran: "Flatter shamelessly—eat delicacies.... Don't flatter—starve to death for sure."
Impact on the government
Many local officials were tried and publicly executed for giving out misinformation.
Mao stepped down as State Chairman of the PRC in 1959, though he did retain his position as Chairman of the CCP. Liu Shaoqi (the new PRC Chairman) and reformist Deng Xiaoping (CPC General Secretary) were left in charge to change policy to bring about economic recovery. Mao's Great Leap Forward policy came under open criticism at the Lushan party conference. The attack was led by Minister of National Defense Peng Dehuai, who, initially troubled by the potentially adverse effect of the Great Leap Forward on the modernization of the armed forces, also admonished unnamed party members for trying to "jump into communism in one step." After the Lushan showdown, Mao defensively replaced Peng with Lin Biao.
However, by 1962, it was clear that the general orientation of the party had changed to become more openly critical of the extremist ideology that led to the Great Leap Forward. Throughout 1962, the party held a number of party conferences and rehabilitated the majority of the deposed comrades who had criticized Mao in the aftermath of the Great Leap Forward. The event was again discussed, with much self-criticism, with the contemporary government calling it a "serious [loss] to our country and people" and blaming the cult of personality of Mao.
In particular, at the Seven Thousand Cadres Conference in January – February 1962, Mao made a self-criticism and re-affirmed his commitment to democratic centralism. In the years that followed, Mao mostly abstained from the operations of government, making policy largely the domain of Liu Shaoqi and Deng Xiaoping. Maoist ideology consequently took a back seat in the Communist Party, and only regained its foothold after Mao launched the Cultural Revolution in 1966, which marked Mao's political comeback.