Primary Source: The Open Door Note
Standards Alignment
Background information on John Hay and the Open Door note
Primary Source Text – The Open Door Note
Lesson:
The following primary source can be used in the classroom for writing, reading,
and speaking in a variety of ways. The Open Door Note ultimately became rule
in China even though prior trade agreements had been developed by global
leaders such as England. This document can be paired with political cartoons
depicting the division of China for trade as well as ones on the Open Door policy
to provide historical context and understanding.
Students are encouraged to write an analytical summary piece of the political,
economic, and social impact of the Open Door Note on China and the global
community.
Standards Alignment
California State Standards for Grade 10
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10.4 Students analyze patterns of global change in the era of New Imperialism in at least two of the following regions or countries:
Africa, Southeast Asia, China, India, Latin America, and the Philippines.
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1. Describe the rise of industrial economies and their link to imperialism and colonialism (e.g., the role played by national
security and strategic advantage; moral issues raised by the search for national hegemony, Social Darwinism, and the
missionary impulse; material issues such as land, resources, and technology).
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2. Discuss the locations of the colonial rule of such nations as England, France, Germany, Italy, Japan, the Netherlands, Russia,
Spain, Portugal, and the United States.
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3. Explain imperialism from the perspective of the colonizers and the colonized and the varied immediate and long-term
responses by the people under colonial rule.
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4. Describe the independence struggles of the colonized regions of the world, including the roles of leaders, such as Sun Yatsen in China, and the roles of ideology and religion.
Common Core Reading Standards for Literacy in History/Social Science for Grades 9 & 10 Students:
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RH 1 - Cite specific textual evidence to support analysis of primary and secondary sources, attending to such features as the date and
origin of the information.
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RH 2 - Determine the central ideas or information of a primary or secondary source; provide an accurate summary of how key events or
ideas develop over the course of the text.
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RH 4 - Determine the meaning of words and phrases as they are used in a text, including vocabulary describing political, social, or
economic aspects of history/social studies.
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RH 5 - Analyze how a text uses structure to emphasize key points or advance an explanation or analysis.
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RH 9 - Compare and contrast treatments of the same topic in several primary and secondary sources.
Common Core Writing Standards for Literacy in History/Social Science for Grades 9 & 10 Students:
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WHST 1 - Write arguments focused on discipline-specific content.
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a. Introduce precise claim(s), distinguish the claim(s) from alternate or opposing claims, and create an organization that
establishes clear relationships among the claim(s), counterclaims, reasons, and evidence.
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b. Develop claim(s) and counterclaims fairly, supplying data and evidence for each while pointing out the strengths and
limitations of both claim(s) and counterclaims in a discipline-appropriate form and in a manner that anticipates the audience’s
knowledge level and concerns.
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c. Use words, phrases, and clauses to link the major sections of the text, create cohesion, and clarify the relationships between
claim(s) and reasons, between reasons and evidence, and between claim(s) and counterclaims.
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d. Establish and maintain a formal style and objective tone while attending to the norms and conventions of the discipline in
which they are writing.
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e. Provide a concluding statement or section that follows from or supports the argument presented.
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WHST 2 - Write informative/explanatory texts, including the narration of historical events, scientific procedures/ experiments, or
technical processes.
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a. Introduce a topic and organize ideas, concepts, and information to make important connections and distinctions; include
formatting (e.g., headings), graphics (e.g., figures, tables), and multimedia when useful to aiding comprehension.
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b. Develop the topic with well-chosen, relevant, and sufficient facts, extended definitions, concrete details, quotations, or
other information and examples appropriate to the audience’s knowledge of the topic.
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c. Use varied transitions and sentence structures to link the major sections of the text, create cohesion, and clarify the
relationships among ideas and concepts.
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d. Use precise language and domain-specific vocabulary to manage the complexity of the topic and convey a style appropriate
to the discipline and context as well as to the expertise of likely readers.
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e. Establish and maintain a formal style and objective tone while attending to the norms and conventions of the discipline in
which they are writing.
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f. Provide a concluding statement or section that follows from and supports the information or explanation presented (e.g.,
articulating implications or the significance of the topic).
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WHST 4 - Produce clear and coherent writing in which the development, organization, and style are appropriate to task, purpose, and
audience.
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WHST 5 - Develop and strengthen writing as needed by planning, revising, editing, rewriting, or trying a new approach, focusing on
addressing what is most significant for a specific purpose and audience.
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WHST 6 - Use technology, including the Internet, to produce, publish, and update individual or shared writing products, taking
advantage of technology’s capacity to link to other information and to display information flexibly and dynamically.
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WHST 7 - Conduct short as well as more sustained research projects to answer a question (including a self-generated question) or solve
a problem; narrow or broaden the inquiry when appropriate; synthesize multiple sources on the subject, demonstrating understanding
of the subject under investigation.
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WHST 8 - Gather relevant information from multiple authoritative print and digital sources, using advanced searches effectively; assess
the usefulness of each source in answering the research question; integrate information into the text selectively to maintain the flow of
ideas, avoiding plagiarism and following a standard format for citation.
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WHST 9 - Draw evidence from informational texts to support analysis, reflection, and research.
Background Information on Secretary of State John Hay and the Open Door in China, 1899–1900
Secretary of State John Hay first articulated the concept of the “Open Door” in China in a series of
notes in 1899–1900. These Open Door Notes aimed to secure international agreement to the U.S. policy of
promoting equal opportunity for international trade and commerce in China, and respect for China’s
administrative and territorial integrity. British and American policies toward China had long operated under
similar principles, but once Hay put them into writing, the “Open Door” became the official U.S. policy
towards the Far East in the first half of the 20th century.
The idea behind the Open Door Notes originated with British and American China experts, Alfred E.
Hippisley and William W. Rockhill. Both men believed that their countries’ economic interests in China
would be best protected and promoted by a formal agreement among the European powers on the
principle of maintaining an Open Door for trade and commercial activity. Under their influence, Secretary
Hay sent the first of the Open Door Notes on September 6, 1899, to the other great powers that had an
interest in China, including Great Britain, France, Russia, Germany, and Japan. These nations maintained
significant physical and commercial presences in China, and were protective of their various spheres of
influence and trading privileges there, and elsewhere in Asia.
Hay proposed a free, open market and equal trading opportunity for merchants of all nationalities
operating in China, based in part on the most favored nation clauses already established in the Treaties of
Wangxia and Tianjin. Hay argued that establishing equal access to commerce would benefit American
traders and the U.S. economy, and hoped that the Open Door would also prevent disputes between the
powers operating in China. For the United States, which held relatively little political clout and no territory
in China, the principal of non-discrimination in commercial activity was particularly important. Hay called
for each of the powers active in China to do away with economic advantages for their own citizens within
their spheres of influence, and also suggested that the Chinese tariffs apply universally and be collected by
the Chinese themselves. Although the other powers may not have agreed fully with these ideas, none
openly opposed them.
First, Hay sought the approval of the British and Japanese Governments, both of which considered
the American suggestion to be in their interests, although both conditioned their acceptance of the terms
on the agreement of all the powers involved. France followed the British and Japanese example. This
British, Japanese, and French endorsement of Hay’s suggestion pressured Germany and Russia to adhere to
the terms of the note, although Russia did so with so many caveats that it practically negated the Note’s
central principles. Nevertheless, Hay declared that all the powers had accepted the ideas with responses
that were “final and definitive.”
In 1900, however, internal events in China threatened the idea of the Open Door. An anti-foreign
movement known as the Boxer Rebellion, named for the martial artists that led the movement, gathered
strength, and began attacking foreign missionaries and Chinese converts to Christianity. With the backing of
Empress Dowager Cixi (Tz’u Hsi) and the imperial army, the Boxer Rebellion turned into a violent conflict
that claimed the lives of hundreds of foreign missionaries and thousands of Chinese nationals. As the
Boxers descended upon Beijing, foreign nationals living in that city—including embassy staff—clustered
together in the besieged foreign legations, and called upon their home governments for assistance.
With foreign armies fighting their way from the Chinese coast to rescue their citizens in the capital,
in some cases securing their own concessions and areas of special interest along the way, the principle of
the Open Door seemed to be in grave danger. On July 3, 1900, Hay circulated another message to the
foreign powers involved in China, this time noting the importance of respecting the “territorial and
administrative integrity” of China. Although the goal was to prevent the powers from using the Boxer
Rebellion as an excuse to carve China into individual colonies, the Open Door Circular requested no formal
agreement or assurances from the other powers.
Together, the Open Door Notes served the important purpose of outlining U.S. policy toward China
and expressing U.S. hopes for cooperation with the other foreign powers with a stake in the region. They
were of lasting importance in U.S.-East Asian relations, and contributed to the idea of a Sino-American
“special relationship.” However, because they were non-binding, the Notes did not prevent the United
States—or any other power—from one day seeking Chinese territory, or acting in any way that was
preferential to their own interests, even at the expense of the Chinese Government. Hay himself even
briefly considered a seizure of Chinese territory, although he quickly rejected the idea. Although the Notes
were not binding, Hay’s successors nonetheless adhered to the policy of maintaining the Open Door in
China. The articulation of the Open Door policy represented the growing American interest and involvement
in East Asia at the turn of the century.
Ironically, Hay articulated the Open Door policy at a time when the U.S. Government was doing
everything in its power to close the door on Chinese immigration to the United States. This effectively
stifled opportunities for Chinese merchants and workers in the United States.
Works Cited
“Secretary of State John Hay and the Open Door in China, 1899-1900." U.S. Department of State, Office of
the Historian Website. November 27, 2013, 10:06. http://history.state.gov/milestones/1899-1913/hay-andchina
The Open Door Note
September 6, 1899
Submitted by U.S. Secretary of State, John Hay
At the time when the Government of the United States was informed by that of Germany that it had leased
from His Majesty the Emperor of China the port of Kiao-chao and the adjacent territory in the province of
Shantung, assurances were given to the ambassador of the United States at Berlin by the Imperial German
minister for foreign affairs that the rights and privileges insured by treaties with China to citizens of the
United States would not thereby suffer or be in anywise impaired within the area over which Germany had
thus obtained control.
More recently, however, the British Government recognized by a formal agreement with Germany the
exclusive right of the latter country to enjoy in said leased area and the contiguous "sphere of influence or
interest" certain privileges, more especially those relating to railroads and mining enterprises; but as the
exact nature and extent of the rights thus recognized have not been clearly defined, it is possible that
serious conflicts of interest may at any time arise not only between British and German subjects within said
area, but that the interests of our citizens may also be jeopardized thereby.
Earnestly desirous to remove any cause of irritation and to insure at the same time to the commerce of all
nations in China the undoubted benefits which should accrue from a formal recognition by the various
powers claiming "spheres of interest" that they shall enjoy perfect equality of treatment for their commerce
and navigation within such "spheres," the Government of the United States would be pleased to see His
German Majesty's Government give formal assurances, and lend its cooperation in securing like assurances
from the other interested powers, that each, within its respective sphere of whatever influence-First. Will in no way interfere with any treaty port or any vested interest within any so-called "sphere of
interest" or leased territory 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 frequenting 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 liberal policy pursued by His Imperial German Majesty in declaring Kiao-chao a free port and in aiding
the Chinese Government in the establishment there of a custom-house are so clearly in line with the
proposition which this Government is anxious to see recognized that it entertains the strongest hope that
Germany will give its acceptance and hearty support.
The recent ukase of His Majesty the Emperor of Russia declaring the port of Ta-lien-wan open during the
whole of the lease under which it is held from China to the merchant ships of all nations, coupled with the
categorical assurances made to this Government by His Imperial Majesty's representative at this capital at
the time and since repeated to me by the present Russian ambassador, seem to insure the support of the
Emperor to the proposed measure. Our ambassador at the Court of St. Petersburg has in consequence been
instructed to submit it to the Russian Government and to request their early consideration of it. A copy of
my instruction on the subject to Mr. Tower is herewith enclosed for your confidential information.
The commercial interests of Great Britain and Japan will be so clearly served by the desired declaration of
intentions, and the views of the Governments of these countries as to the desirability of the adoption of
measures insuring the benefits of equality of treatment of all foreign trade throughout China are so similar
to those entertained by the United States, that their acceptance of the propositions herein outlined and
their cooperation in advocating their adoption by the other powers can be confidently expected. I enclose
herewith copy of the instruction which I have sent to Mr. Choate on the subject.
In view of the present favorable conditions, you are instructed to submit the above considerations to His
Imperial German Majesty's Minister for Foreign Affairs, and to request his early consideration of the
subject.
Copy of this instruction is sent to our ambassadors at London and at St. Petersburg for their information