Summary
Secretary of State John Hay introduced the Open Door Policy through a series of diplomatic notes that were issued in 1899 and 1900. The policy called for equal trade opportunities among foreign nations operating in China and respect for China’s Government authority and territory. British expert Alfred E. Hippisley and American expert William W. Rockhill helped shape the proposal because they believed an international agreement would protect British and American economic interests.
On September 6, 1899, Hay sent the first “Open Door Note” to Great Britain, France, Russia, Germany, and Japan. He asked the powers to provide merchants of all nationalities with equal access to Chinese markets, end special economic advantages within their spheres of influence, and allow Chinese officials to collect uniform tariffs. Great Britain, Japan, and France supported the proposal with conditions, while Germany and Russia also responded. Hay declared that all the powers had accepted the policy.
The Boxer Rebellion threatened the Open Door Policy in 1900 as foreign armies entered China to rescue their citizens. On July 3, Hay issued another circular calling for respect for China’s “territorial and administrative integrity.” Together, the notes defined U.S. policy toward China and reflected growing American involvement in East Asia. However, the notes were not legally binding and could not prevent foreign powers from pursuing territory or special advantages.
Essential Facts
- Policy Leader: Secretary of State John Hay introduced the Open Door Policy through diplomatic notes issued in 1899 and 1900.
- Purpose:
- Equal Trade: The policy sought to establish equal opportunities for international trade and business activity in China among the United States and other nations.
- Respect for China: Hay called on foreign powers to respect the Chinese government’s authority and existing territory.
- Fair Tariffs: Hay asked the nations to provide merchants of every nationality with equal access to Chinese markets. He also proposed that Chinese tariffs should be applied equally to all trade and that Chinese officials should collect them.
- Region: The policy applied to China.
- Policy Advisers: British expert Alfred E. Hippisley and American expert William W. Rockhill helped develop the policy’s ideas.
- Open Door Notes:
- Hay sent the first note to the major foreign powers on September 6, 1899.
- Hay issued another message on July 3, 1900, calling for respect for China’s “territorial and administrative integrity.”
- Recipients and Responses:
- Great Britain, France, Russia, Germany, and Japan received the first Open Door Note.
- Great Britain, Japan, and France supported the proposal with conditions, while Germany and Russia also responded.
- Boxer Rebellion: The anti-foreign uprising in China in 1900 threatened the Open Door Policy and Chinese unity.
- Limitations: The Open Door Notes created no binding agreement and could not stop foreign powers from pursuing their own interests.
- Replaced By: The Open Door Policy was replaced after World War II by U.S. Cold War foreign policies, due to the Chinese Communist Revolution (1949).
- Part Of: U.S. Foreign Policy (1899–1913), the McKinley Administration, and the Theodore Roosevelt Administration.
- Era: Progressive Era.
Significance
The Open Door Policy is important to American History because it established a lasting U.S. policy toward China and reflected growing American involvement in East Asia. Secretary of State John Hay used the notes to promote equal commercial access even though the United States controlled no territory and held limited political influence in China. The policy also called for respect for China’s Government authority and territory during the Boxer Rebellion. Although the notes were not legally binding, later Secretaries of State continued to support their principles. The policy also exposed a contradiction in American policy because the United States demanded economic access in China while restricting Chinese immigration and limiting opportunities for Chinese merchants and workers in America.
History
The Open Door Policy and U.S. Relations with China
Secretary of State John Hay first explained the idea of the “Open Door” in China through a series of diplomatic notes issued in 1899 and 1900. These “Open Door Notes” sought international support for a U.S. policy that promoted equal opportunities for foreign trade and business in China while also respecting China’s Government authority and territory. Great Britain and the United States had followed similar principles for years, but Hay’s written statements made the Open Door the official U.S. policy toward East Asia during the first half of the 20th Century.
Open Door Note
The ideas behind the Open Door Notes came from British and American experts on China, Alfred E. Hippisley and William W. Rockhill. Both men believed that a formal agreement among the European powers would best protect and expand British and American economic interests in China. They supported keeping Chinese markets open to trade and business activity. Under their influence, Secretary Hay sent the first Open Door Note on September 6, 1899, to Great Britain, France, Russia, Germany, and Japan. These nations had major political and commercial interests in China and carefully protected their “spheres of influence” and special trading rights there and elsewhere in Asia.
Hay proposed a free and open Chinese market that gave merchants of all nationalities equal trading opportunities. He based part of the proposal on the most-favored-nation clauses already established in the Treaties of Wangxia and Tianjin.
Hay argued that equal access to Chinese trade would benefit American merchants and strengthen the U.S. economy. He also hoped the Open Door Policy would reduce disputes among the foreign powers operating in China. Because the United States held little political influence and controlled no territory in China, equal treatment in trade was especially important.
Hay asked each foreign power to end special economic advantages for its own citizens within its sphere of influence. He also proposed that Chinese tariffs apply equally and that Chinese officials collect them. Although the other powers did not fully agree with every part of Hay’s proposal, none openly rejected it.
Hay Seeks Approval
Hay first sought approval from the British and Japanese Governments. Both believed the American proposal supported their interests, but they agreed to accept it only if all the other powers involved also accepted it. France followed their example. Support from Great Britain, Japan, and France increased pressure on Germany and Russia to accept the terms. Russia attached so many conditions to its response that it nearly canceled the main principles of the note. Despite this, Hay announced that all the powers had accepted the proposal and described their responses as “final and definitive.”
Boxer Rebellion
In 1900, unrest in China threatened the Open Door Policy. An anti-foreign movement known as the “Boxer Rebellion” gained strength and attacked foreign missionaries and Chinese converts to Christianity. The movement took its name from the martial artists who led it.
With support from Empress Dowager Cixi, also known as Tz’u Hsi, and the Imperial Army, the Boxer Rebellion developed into a violent conflict that killed hundreds of foreign missionaries and thousands of Chinese people. As Boxer forces moved into Beijing, foreign residents, including embassy employees, gathered inside the besieged foreign legations and asked their home Governments for help.
Foreign armies fought their way from China’s coast toward Beijing to rescue their citizens. In some cases, they also secured concessions and areas of special interest as they advanced. These actions placed the Open Door Policy in serious danger.
Open Door Circular
On July 3, 1900, Hay sent another message to the foreign powers involved in China. This time, he emphasized the importance of respecting China’s “territorial and administrative integrity.” Hay wanted to prevent foreign nations from using the Boxer Rebellion as an excuse to divide China into separate colonies. However, the “Open Door Circular” did not require a formal agreement or firm promises from the other powers.
Weakness of the Open Door Policy
Together, the Open Door Notes outlined U.S. policy toward China and expressed American hopes for cooperation with the other foreign powers active in the region. They had a lasting influence on U.S.-East Asian relations and contributed to the idea of a Sino-American “special relationship.”
However, the notes were not legally binding. They could not prevent the United States or another foreign power from seeking Chinese territory or favoring its own interests at the expense of the Chinese Government. Hay even briefly considered taking Chinese territory, although he quickly rejected the idea.
Despite the Open Door Policy’s limits, later U.S. Secretaries of State continued to support it in China. The policy reflected the growing American interest and involvement in East Asia at the turn of the 20th century.
U.S. Immigration Restrictions Conflict with the Open Door Policy
Hay promoted the Open Door Policy at the same time the U.S. Government restricted Chinese immigration to the United States. These restrictions limited opportunities for Chinese merchants and workers in America. This created a clear contrast between the U.S. demand for economic access in China and its efforts to restrict Chinese access to the United States.
AHC Note — This history of the Open Door Policy is based on “Secretary of State John Hay and the Open Door in China, 1899–1900,” published in “Milestones in the History of U.S. Foreign Relations” by the United States State Department. Milestones is no longer maintained or updated by the State Department. We have adapted the original text, updated it to comply with AHC standards, added section headings, and integrated it with existing AHC content.
Timeline
- September 6, 1899 — Secretary of State John Hay sent the first Open Door Note to Great Britain, France, Russia, Germany, and Japan.
- 1899 — Great Britain and Japan supported Hay’s proposal on the condition that all involved powers accepted it.
- 1899 — France followed the British and Japanese example and supported Hay’s proposal.
- 1899 — Germany and Russia responded after support from Great Britain, Japan and France increased pressure on them.
- 1899 — Hay declared that all the foreign powers had accepted the Open Door Policy.
- 1900 — The Boxer Rebellion threatened foreigners, Chinese Christians and the Open Door Policy.
- 1900 — Foreign armies entered China and fought toward Beijing to rescue their citizens.
- July 3, 1900 — Hay sent another circular calling for respect for China’s “territorial and administrative integrity.”
- First half of the 20th century — The Open Door remained an official U.S. policy toward East Asia.
AP US History
Definition
Open Door Policy — The Open Door Policy was established by Secretary of State John Hay through diplomatic notes issued in 1899 and 1900. Hay first called for equal trading opportunities, uniform Chinese tariffs, and an end to special economic advantages within foreign spheres of influence. Foreign powers accepted the proposal with conditions. During the Boxer Rebellion, Hay issued another circular asking nations to respect China’s territory and Government authority. The policy guided later U.S. relations with China despite its nonbinding terms.
Alignment
The Open Door Policy is part of the following AP US History sections:
Terms
Boxer Rebellion (1899–1901) — A violent anti-foreign and anti-Christian uprising in China from 1899 to 1901, led by the “Boxers,” a secret society opposed to Western influence and Imperialism. The rebellion targeted foreign nationals, missionaries, and Chinese Christians. An international coalition, including the U.S., intervened to suppress the revolt, resulting in the Boxer Protocol (1901), which imposed harsh penalties on China and reinforced foreign dominance.
Boxer Protocol (1901) — Signed in 1901, this treaty ended the Boxer Rebellion in China. It imposed severe reparations on China, totaling 450 million taels of silver, and allowed foreign troops to remain in Beijing for protection. The protocol also mandated the punishment of Boxer leaders and restricted China’s ability to import weapons and ammunition. It increased foreign control of China.
Empress Dowager Cixi (1835–1908) — Empress Dowager Cixi was a powerful Chinese political leader who dominated the Qing Government during the late 19th and early 20th centuries. She ruled indirectly through several emperors and resisted some efforts at political reform while also supporting limited modernization. During the Boxer Rebellion, Cixi eventually backed the anti-foreign Boxers, leading to intervention by an international military force.
Alfred E. Hippisley (1848–1939) — Hippisley was a British official in China’s Imperial Maritime Customs Service who influenced the development of the Open Door Policy. In 1899, Hippisley discussed growing foreign “spheres of influence” in China with American diplomat William W. Rockhill. Both favored an international agreement guaranteeing equal commercial access to Chinese markets. Their ideas influenced Secretary of State John Hay, who issued the first Open Door Notes in September 1899.
William W. Rockhill (1854–1914) — Rockhill was an American diplomat and expert on China who played an important role in creating the Open Door Policy. As an adviser to Secretary of State John Hay, Rockhill supported maintaining equal trading opportunities for foreign nations in China while opposing the division of China into exclusive spheres of influence. Working partly from ideas discussed with Alfred E. Hippisley, Rockhill drafted the first Open Door Notes that Hay sent to major powers in 1899.
Spheres of Influence — Areas in which foreign nations claimed exclusive rights to trade, investment, and influence, often within weaker states like China during the late 19th Century. These areas allowed powers such as Britain, Japan, and Russia to dominate economically and politically without direct colonization. The Open Door Policy sought to limit the monopolization of these regions, promoting equal trade opportunities and preserving China’s territory.
Treaty of Tianjin (1858) — The Treaty of Tianjin was a series of agreements imposed on Qing China by Western powers, including the United States, during the Second Opium War. The treaties opened additional Chinese ports to foreign trade, allowed foreign diplomats to reside in Beijing, expanded missionary activity, and granted foreigners greater travel and commercial privileges. For the U.S., the treaty strengthened the rights established under the Treaty of Wangxia and further expanded American economic and diplomatic access to China.
U.S. Imperialism — A policy of extending the United States’ power and influence through territorial acquisition, economic control, and military intervention. Prominent during the late 19th and early 20th Centuries, it involved annexing territories like Hawaii, the Philippines, and Puerto Rico following the Spanish-American War (1898). Driven by economic interests, strategic concerns, and a belief in spreading Democracy and civilization, Imperialism led to a significant expansion of U.S. influence.
Treaty of Wangxia (1844) — The Treaty of Wangxia was the first formal treaty between the United States and Qing China. Negotiated by American diplomat Caleb Cushing, it granted the U.S. many of the same commercial privileges Britain had received after the First Opium War. The treaty opened several Chinese ports to American merchants, established fixed tariffs, granted extraterritorial rights to U.S. citizens, and allowed Americans to build churches in treaty ports.
