The sociological use of surnames

Throughout most of Chinese history, surnames have served sociological functions. Because of their association with the aristocratic elite in their early developments, surnames were often used as symbols of nobility. Thus nobles would use their surnames to be able to trace their ancestry and compete for seniority in terms of hereditary rank. Examples of early genealogies among the royalty can be found in Sima Qian's Historical Records, which contain tables recording the descent lines of noble houses called shibiao (世表).

Later, during the Han Dynasty, these tables were used by prominent families to glorify themselves and sometimes even to legitimise their political power. For example, Cao Pi, who forced the abdication of the last Han emperor in his favour, claimed descent from the Yellow Emperor. Chinese emperors sometimes passed their own surnames to subjects as honours. Unlike European practice in which some surnames are obviously noble, Chinese emperors and members of the royal family had regular surnames except in cases where they came from non-Han ethnic groups. This was a result of Chinese imperial theory in which a commoner could receive the Mandate of Heaven and become emperor. Upon becoming emperor, the emperor would retain his original surname. Also as a consequence, many people also had the same surname as the emperor, but had no direct relation to the royal family.

The Tang Dynasty was the last period when the great aristocratic families, mostly descended from the nobility of pre-Qin states, held significant centralised and regional power. The surname was used as a source of prestige and common alliegance. During the period a large number of genealogical records called pudie (譜牒) were compiled to trace the complex descent lines of clans and their marriage ties to other clans. A large number of these were collected by Ouyang Xiu in his New History of Tang.

During the Song Dynasty, ordinary clans began to organise themselves into corporate units and produce genealogies. This trend was led by the poet Su Shi and his father. As competition for resources and positions in the bureaucracy intensified, individuals used their common ancestry and surname to promote solidarity. They established schools to educate their sons and held common lands to aid disadvantaged families. Ancestral temples were also erected to promote surname identity. Clan cohesion was usually encouraged by successive imperial governments since it aided in social stability. During the Qing Dynasty surname associations often undertook extra-judicial roles, providing primitive legal and social security functions. They played important roles in the Chinese diaspora to South-East Asia and elsewhere, providing the infrastructure for the establishment of trading networks. In southern China, however, clans sometimes engaged in armed conflict in competition for land. Of course, clans continued the tradition of tracing their ancestry to the distant past as a matter of prestige. Most of these origin myths, though well established, are spurious.

As a result of the importance of surnames, rules and traditions regarding family and marriage grew increasingly complex. For example, in Taiwan, there is a clan with the so-called "double Liao" surname. The story is that the founder of the clan was adopted and so took the surname Liao, but in honor of his ancestors, he demanded that he be buried with the surname Chen. As a result, his descendants use the surname Liao while alive and the surname Chen after death. In some places, there are additional taboos against marriage between people of the same surname, considered to be closely related. Conversely, in some areas, there are different clans with the same surname which are not considered to be related, but even in these cases surname exogamy is generally practiced.

Surname identity and solidarity has declined markedly since the 1930s with the decline of Confucianism and later, the rise of Communism in Mainland China. During the Cultural Revolution, surname culture was actively persecuted by the government with the destruction of ancestral temples and genealogies. Moreover, the influx of Western culture and forces of globalisation have also contributed to erode the previous sociological uses of the Chinese surname.