Due to the impact of geopolitics, identical culture, consequences of more than onethousand year-northern domination Bac thuoc, and other various factors, Conferring Title andTribute Rela
Trang 11 Reasons for Choosing this Research
It is the fact that Conferring Titles and Tribute Relation are special forms of diplomaticrelationship between China and its neighboring countries during the feudal time Regarding totheir economic, military and cultural advance, Chinese dynasties considered themselves as
“Celestial Court, Superior Kingdom”, and giving themselves right to bestow titles for rulerscoming from smaller kingdoms On the other hand, in order to be recognized as king andmaintain their stable and peaceful relationship with China, rulers of those principalities wereexpected to pay tribute and ask for title from the “Heaven Dynasty”, most important among thosewas to permanently send tribute Conferring Titles and Tributary Relation gradually became thetypical form of the relationship between China and its neighbors in the medieval age The
phenomenon originated from the time of xihan (西漢) and continuously developed and reachedits peak in the Ming dynasty (明，1368-1644)
Due to the impact of geopolitics, identical culture, consequences of more than onethousand year-northern domination (Bac thuoc), and other various factors, Conferring Title andTribute Relation between China and Daiviet in general and Ming-Daiviet in particular stoodsteadily as a typical phenomenon and became foundation for the two’s diplomatic interaction
Research on Vietnamese-Chinese and Chinese-Vietnamese historical relationship haslong captured attention both domestic and foreign scholarship with much of significantcontribution However, Conferring title and Tribute relationship between China and Vietnam inthe feudal age or among particular dynasties is still in the form of general survey in historicalworks in Vietnam and China This situation results in the fact that the topic yet plays a small partamong research on Vietnamese-Chinese relation Regarding to the research of “Conferring titleand Tribute relationship between Ming and Dai Viet (1368-1644)”, the author aims to conduct asystematic and professional study, with focus on a specific dynasty, the Ming and the historicalcircumstance impacts on this relationship This period is also reported of a steady and enduringexchange between two kingdoms despite of sometimes antagonism and miscommunication, but
at the end of the days, such conflicts were negotiated successfully by both
Concerning to some specific scholarship purposes, this dissertation sheds lights upon anumber of dominated issues: 1 the intellectual framework, interests, and historical framework ofthe Ming-Dai Viet Conferring titles and Tribute relationship; 2 the rise and decline of thisinteraction and what kind of reasons responsible for this shift; 3 Roles this relationship plays, itsmain straits and the real motivation posed by the Daiviet’s dynasties in dealing with thisinteraction This dissertation, by making a detailed survey from the sources, would like to make
an explanation for the fact that Ming-Daiviet relation is much steady and closer than that of Mingwith other Southeast Asian polities … To some extents, it is said that such topic should be
Trang 2drawn more attentions, especially in the context of Vietnamese-Chinese long relation from thetenth to the nineteenth centuries.
Given some historical facts, it appears that how to respond to Chinese dynasties to inorder to both maintain peaceful relation with an aggressive neighbor and avoid clash andconflicts to protect independence and territorial sovereignty is not an easy task for Daiviet’sdynasties, particularly in the context of rise of the Ming who had strong and continuous ambition
to conquer and control Daiviet Historical experiences and lessons made by our own ancestors indealing with this agenda are always significant and useful regardless to any perspective oneconsiders
Research on Conferring title and Tribute relationship between Ming and Daiviet thus isnot only essential for historical consciousness but also contemporarily significant With suchimportance and interest, I decide to work on topic of “Conferring Title and Tribute relationshipbetween Ming and Daiviet (1368-1644)” as my Ph.D dissertation I also come to clear awarenessthat the problem cannot be fully addressed within this individual effort and work
2 Research on this topic: An Overview
Conferring title and Tribute relationship between China and surrounding states, includingDaiviet has scholarly attention made by both Vietnamese and Chinese scholars, as well as people
in the world academia in general
First of all, there are works by scholars dealing with general survey of the
Ming-Southeast Asian tribute relationship, namely: “On the Ch’ing tributary system” by J.K.Fairbank
và S.Y.Teng (1941); “Tributary trade and China’s relations with the West” by J.K.Fairbank (1942); “Historical notes on the Chinese World Order” by Lien-sheng Yang (1968); “Early Ming relations with Southeast Asia: A background essay” by Wang Gungwu (1968); “The Ch’ing
tribute system: An interpretive essay” by Mark Mancall (1968); “The Chinese perception of world
order, past and present” by Benjamin I Schwartz (1968); “China and the Chinese Overseas” by Wang Gungwu (1991); “A short history of China and Southeast Asia: Tribute, Trade and Influence” by Martin Stuart – Fox (2003)
Those works make enormous contributions to depict the model of diplomatic relationshipbetween China and its neighbors during the medieval time such as Chinese conceptualization of
“World Order”, origin and function of the tribute system and the role it plays in associate withtrade exchange, those are the main concerns of the Ming toward Southeast Asia Such discoursesare found useful and necessary for researching on Conferring title and Tribute relationship inparticular
Trang 3Apart from above general surveys on tribute system and Ming-Southeast Asia interaction,there are couple of monographs dealing with subject of Ming-Daiviet relation, namely:
“Vietnam, Ho Quy Ly and the Ming (1371 – 1421)” by John Whitmore (1981); “Early Ming expansionism (1406-1427): China’s abortive conquest of Vietnam” by A B Woodside (1963);
“Beyond the Bronze Pillars: Envoy Poetry and the Sino – Vietnamese Relationship” by Liam C Kelley (2005); “Chinese gunpowder technology and Dai Viet: c.1390 – 1497” by Sun Laichen (2006), “Asymmetry and China’s tributary system” by Brantly Womack (2012)
Most important research conducted by Chinese scholars also can be pointed out here,such as “Conquest and Renouncement: A Study in Sino-Viet relationship in the Ming” by TrinhVinh Thuong (1998); “Tribute and Diplomatic relation: A Study in Sino-Viet relation in the lateMing and Early Qing” by Nguu Quang Khai (2003); “Historical analysis on the tribute system: AStudy in paradigm of the Chinese diplomatic relation in the ancient time” by Ly Van Tuyen(2004); “Research on the Ming and Annam relationship” by Tran Van Nguyen (2005)
History of Vietnam and China relationship also has been long concerned by Vietnamesescholarship Most recent studies in the topic are included: “Vietnamese-Sino relationship in thefifteenth and early sixteenth centuries” by Ta Ngoc Lien (1995), “Daiviet’s Diplomacy” by LuuVan Loi (2000); “Daiviet diplomacy during the Tran and Ho Dynasty” and “Daiviet Diplomacyduring the Le, Mac and Le Trung Hung dynasties” by Nguyen The Long (2005); ”On thediplomatic struggle against the Ming in the early 15th century and remained texts” by NguyenVan Nguyen (2002); “Features of Daiviet-Sino diplomatic relation in the medieval time from theperspective of regional cultural and political interaction” by Dinh Thi Dung (2008); “Dai Viet inthe historical and political context of the 15th century-Southeast Asia” by Nguyen Van Kim(2009); “Mac’s diplomatic policies: Valuable historical lessons” by Ngo Dang Loi (2010);
“Concept of ‘Vo Ton Trung Hoa’ in Vietnam in the medieval time” by Nguyen Van Hieu(2011); “Vietnamese cultural response to the relationship with China in the medieval time: Aview from perspective of Conferring titles and tribute” by Tran Nam Tien (2011)
In short, some main scholarly achievements made by above scholarship can beacknowledged, with regard to the Ming’s relation with Daiviet in particular and with SoutheastAsian kingdoms in general
- Theoretical framework for shaping idea of “diplomatic policies” in ancient andmedieval China
Trang 4- Concepts associate with the medieval Chinese diplomatic policy: tribute system,Chinese World Order, Ritual system of the Heaven Court, hua-yi order, Conferring title andtribute…
- Some issues of the Ming-Southeast Asian relation, including Daiviet concerning theexchange of culture, politics, diplomacy, military, and trade
- Conferring title and Tribute relationship are also analyzed and presented at some scales
in those researches
However it is suggested that there is no monograph focusing professionally on theConferring title and Tribute relationship between China and Daiviet during the Ming period(1368-1644) Those following points are still in the need of more detailed examination andassessment:
- Framework of the Ming-Daiviet Conferring title and Tribute relation
- Circumstance of this interaction through some specific significant periods within thistimeframe
- A comprehensive survey over the consequent events and rise and fall of the interactionwith explanation and remarks
- The role in which Conferring title and Tribute relationship plays in maintainingdiplomatic link between the Ming and Daiviet as well as some major characteristics of itsdevelopment
This dissertation will rely mainly on Chinese and Vietnamese primary sources as well ascritically reviewing previous scholarship both in Vietnam and outside It is hoped to shed lightsupon some of the above misleading and neglected issued
3 The Scale of this Research
The main content of this dissertation focuses on the Conferring titles and tribute relationbetween China and Vietnam during the time Ming dynasty ruled China from 1368 to 1644.However, it also covers a number of political and military events involved with otherprincipalities which have direct impact on this interaction
Trang 5On the timeframe, this survey concerning with events start from 1368 as the Ming wasestablished in China to its collapse in 1368 Despite of the Ming’s remain which still existed inthe Southern China for quite a long time after its defeat and continued some sort of interactionwith the Le dynasty, we are aware that since then, Chinese history have been significantlychanged and Sino-Vietnamese relationship turned into another chapter.
During the time China was run by the Ming, there were for sequent dynasties in Daiviet(the Le dynasty was divided into two separated periods), therefore this dissertation makes achronological timeframe characterizes by shorter periods associated with Vietnamese dynasties
Regarding to the term “Ming”: Ming presents here as a Chinese dynasty, also plays asofficial title of the Chinese empire between 1368 and 1644 In this dissertation, the term isflexibly used associated with the context of the text either dynasty or kingdom
4 Purposes and Objectives of this Dissertation
4.1 Purpose
The purpose of this dissertation is to comprehensively and systematically recallConferring titles and tributary relationship between China and Daiviet during the Ming Dynastywith all of its operation through different periods, shedding new lights upon reasons and factorsresponsible for the maintenance and solidity of this relationship, and pointing out somedominated features of this long-lasting interaction By doing so, the author is in hope that thisdissertation can add more sources, gives new interpretations, and enforces new study in the fieldrelated to the subject The importance of this research also can be found at comprehensive scale
of examination and analysis It is expected to bring new perspective on research on Conferringtitle and Tribute relationship between the two countries and suggests a typical and fascinatingmodel of diplomatic interaction conducted by Chinese feudal dynasties with their neighboringkingdoms
4.2 Objectives
In order to achieve those purposes, this dissertation focuses on the following objectives:
- Analyzing major foundations of the Conferring title and Tribute relationshipbetween Ming and Daiviet (the establishments of ideology, interests, and tradition)
Trang 6- Comprehensively analyzing historical context of China and Daiviet which leadthem to policies and engagements with Conferring titles and tribute interaction throughoutdifferent periods.
- To recall detailed progress of development and significant events shaping theMing-Daiviet Conferring titles and tribute relation between 1368 and 1644
- To analyze and assess some dominant characteristics and the roles this interactionplay in featuring China and Daiviet diplomatic relationship
5 Sources and Methodologies
5.1 Sources
* Original Materials
Most important among original Chinese documents used by the author is Mingschilu明
實錄, the significant Ming Chronicle Mingshilu provides with various different essential sources
and information, including events of requesting and conferring authoritative titles, tribute and otherform of diplomatic exchange between Daiviet and China in the Ming period However, it is also
reported that Mingshilu contains some bias perspectives, especially to record on what the dynasty
considers as “vassal states” Therefore, it is necessary to have comparative analysis between
Mingshilu and sources in Daiviet, by which mistakes related to Vietnamese names, places or
different point of view can be addressed
From the Vietnamese repertoire, the most important source available is Dai Viet Su Ky
Toan Thu (Complete Chronicle of Dai Viet, hereafter: Complete History) The Complete History
presents diverse sources and highly valuable for any research on Conferring title and Tributerelationship between Daiviet and Ming, as well as, playing as a good research tool for assessingand comparing with Chinese sources on the same events and agendas Coming across theComplete History however, there are also quite a number of mistakes can be detected, such astimeframe, different kind of tribute products and so on In many case, the Complete History onlycan provide with a general remark on the Ming’s return gifts to Daiviet Thus, our usage of theComplete History bases on comparing with other different sources to diversifying informationand enriching with more details
Trang 7Apart from Mingshilu and Complete History, this dissertation makes used of abundant materials namely Mingshi, Lich trieu hien chuong loai chi (A classified survey of the institutions
of successive courts), Kham Dinh Viet Su thong giam cuong muc (The Imperial/y Ordered Mirror and Commentary on the History of the Viet), Le trieu hinh luat (Penal Code of the Le dynasty), Dai Viet Thong Su (or Le trieu Thong Su: History of the Le Dynasty), Annam Chi Luoc (Short Record of Annan), Van Dai Loai Ngu (Classified discourse from the library), Tuong Le An Mac Tap, Mai Linh su hoa thi tap…
* Secondary Sources: research has been published or presented by both Vietnamese andforeign scholars related to the subject, comprising dissertations, monographs, academic reports,articles on academic journals, conference proceedings and draft papers…
5.2 Methodologies
The main methodology is employed in the course of conducting this thesis is historicalanalysis and logics Much of our time and commitment have done with analyzing the source,make comparison with different material on the same topic and tracing back the events to theoriginal source as possible The dissertation also is built based on chronological and coincidentparadigm in order to present the dissertation’s theme and argument clearly and systematically
Moreover, this dissertation picks up some case studies, using multi-and-inter-disciplineapproach in examining the sources and analyzing events with much authenticity andcomprehension as we can recall from the written evidences
6 The Contributions of this Dissertation
Shedding new lights upon some objectives of the research, this work can make somefollowing contributions:
- Picturing a comprehensive and attractive process in which Conferring titleand Tribute relationship between Ming China and Daiviet had been established andmaintained over the time, especially to four Daiviet’s dynasties of Tran, Ho, Le So and
Le Trung Hung, with particular circumstances and historical motivations
- Providing with new understanding about the foundation of the Daiviet Conferring titles and tribute exchange; re-evaluating its features and examiningthe role it plays in shaping the two’s diplomatic interaction This dissertation also revealsthe real motivation of the Daiviet’s dynasties in engaging with this diplomatic norm By
Trang 8Ming-doing so, this dissertation is hoped to provide with a detailed case study in which varioustheories and approaches on “Chinese tributary model” can be illuminated or justified inthis specific circumstance.
- Providing more materials, analyzing works for teaching and furtherresearch on the Conferring title and Tribute relationship between Ming and Daivietduring the feudal time
7 The Structure of this Dissertation
Apart from the Introduction, Conclusion, References, and Appendix, this dissertationincluding four chapters following:
Chapter 1: The Foundation of the Conferring title and Tribute relation between Ming andDaiviet
Chapter 2: Conferring title and Tribute relation between Ming and Daiviet between 1368and 1527
Chapter 3: Conferring title and Tribute relation between Ming and Daiviet between 1527and 1644
Chapter 4: Some Observations about the Ming-Daiviet Conferring title and Tributerelation
Trang 9CHAPTER 1 THE FOUNDATION OF CONFERRING TITLE AND TRIBUTE RELATION
BETWEEN MING AND DAIVIET 1.1 The Large-scale Development of the Idea of “Celestial Court and Vassal” under the Ming
The ideological foundation shaping the Ming’s idea of conferring title and tribute normbetween China and other kingdoms, including Daiviet is the relationship between “CelestialCourt and Vassal kingdoms” The thought has been overwhelmingly influenced diplomaticbehavior of Chinese dynasties toward dealing with smaller surrounding polities
The belief of “Celestial Court” tienchao天朝 – “ – “Vassal” zhuhou諸侯 is enforced by thebelief based on the role of the Chinese Emperor in the feudal time The Chinese Emperor isrecognized as the central figure who, on behalf of the Heaven, responsible to rule over the Land
(tianxia 天 下 ) Over the Land, China is the “Central Kingdom”, stands at the middle as
“Celestial Court” meanwhile surrounded by “Vassal kingdoms” The relationship between theCelestial Court and Vassal Kingdoms is characterized as “Patron-client” (central emperor-dependent surrounding rulers) The performance of this relationship is institutionalized in theform of “Asking for Conferring titles”, “Conferring titles”, and “Paying tribute”
The idea of “Celestial Court and Vassals” at the meantime is strengthened by the usage ofConfucianism which plays as central authorized ideology in Chinese feudal society.Confucianism with its believes in Rectification of Names (zhengming, 正 名 ) and The ThreeMajor relationship 三 綱 sankang strictly protect social hierarchy According to those thoughts,
the clients have to submit unconditionally to the patron, officials have to obey the king and rulers
of smaller kingdoms have to follow instructions of the Chinese Emperor In additional, the
Chinese uses the belied of tianming 天命 to justify the asymmetrical exchange
In the time of the Ming, the dynasty’s prosperity and strength built on the highlycentralized government, the idea of “Celestial court and Vassals” could receive more supportsand patronage from the state which led to a higher level of development This was clearlyshowed through the way Ming Emperors conceptualized their personal position and theirkingdom in the world
Those Chinese Emperors, like their predecessors on the throne, always recognizedthemselves of having Heaven’s faith to rule over the surface of all the directions, not only the
“Central Kingdoms” but also “thousand of kingdoms in the Four Seas” who were described as
‘uncivilized” and “Vassals” of the Celestial Court By posing an idea of superiority and ethnicand cultural discrimination, it justifies for the domination of thoughts such as: “big power”, and
Trang 10“superior culture” in the performance of relationship between Ming and Daiviet in particular andwith others surrounding principalities in general
1.2 Benefits of the Ming in the establishment, maintenance and development of
“Conferring titles and Paying Tribute”
The establishment and development of Conferring title and Tribute relationship of theMing toward Vietnam had derivation from the Chinese essential interests What happened inhistory show that various Ming’s benefits can be classified into two categories of political andeconomic benefits
1.3 The Development of China during the Ming and its Ambition of Southern Expansion
After nearly century inertia, even chaotic under the Mongol rule between 1271 and 1368,China during the Ming (1368-1644) had recovered and developed significantly and entered inprosperity and wealth This movement created new power and confidence for the Ming toexpand political influence and diplomatic exchange, most and foremost was to re-establish andmaintain the tributary system
The development of the Ming can be depicted by two major fields of economics andpolitics
Ming’s government stood among the most centralized and complex state-system everbuilt in Chinese feudal history Relying on this power structure which sophisticatedly run fromthe central to the local, and its huge military forces, Emperors of the Ming could rule over thekingdom, show his superior power and ‘quality of being a celestial ruler” Utilizing the steadily
of the centralized state machine and domestic economic growth, the dynasty wanted tostrengthen its diplomatic influence over the surrounding kingdoms through the performance ofConferring Titles and Paying Tribute
The development of the Chinese economics in the Ming resulted from the growth of thehandicraft production and advances of sea-going ship-building
Such economic and technological prosperity of the Ming, especially during the early days
of the dynasty made its neighbors both suspicious and interested Many smaller surroundingkingdoms wanted to have good relationship with China for different political motivation as well
as for seeking trading exchange with the Central Kingdom
Trang 11At the same time, the centralized state machine and advanced economics allowed theMing to run a new power project to spread influence over the neighbors and possibly withdomination and territorial expansion
1.4 The Need of Daiviet’s Dynasties in building Conferring title, Tribute and harmonious relationship with the Ming
When the Ming ruled over China (1368-1644), there were significant political chances inDaiviet which led to the consequent governance of various dynasties, namely Tran, Ho, Le, Mac,and Le Trung Hung However every among them was ultimately interested in building andmaintaining Conferring title, Tribute and stable relationship with the Ming This contributes as
an important factor responsible for the steadily of the Ming-Daiviet diplomatic exchange in thosethree centuries
It was not the case that highly autonomous dynasties such as Tran, Ho, Le, Mac and LeTrung Hung were not aware of the asymmetry associated with this interaction However, theirchoices are the same: accepting the Conferring title and paying tribute in order to exchange withpeaceful relationship There are number of reasons responsible for this choice:
First of all, the Daiviet’s dynasties came to a clear awareness that by acceptingConferring Title and paying tribute, their independence, peace, national security and territorialsovereignty are protected
Secondly, Conferring title of the Ming was being used by the Tran Ho, Le and Le TrungHung to justify their domestic legitimacy which helps to overcome other opposition parties
Thirdly, Daiviet’s dynasties accepted the Chinese Conferring titles and paying tribute toChina also resulted from their influence from Confucianism
1.5 Conferring Title and Tribute Relation between China and Viet before the Ming Dynasty
Despite of the long interaction between China and Vietnam, the Conferring Titles andTribute Relation only came to establish since the tenth century as our people gainedindependence to end nearly one thousand years of the “Northern Domination” Since then up tothe foundation of the Ming (in 1368), Conferring title and Tribute relationship between Chinesedynasties and those in Vietnam were in exchange for nearly four centuries with lot of shifts The
Trang 12process also involved with the creation of norms, rituals and official behaviors which thenrecognized as “tradition” and made as foundation for such diplomatic interaction between theMing and Daiviet Dynasties in the next three centuries
Sub-conclusion for the Chapter 1
As mentioned above, it is clearly that Conferring Titles and Tribute Relation between theMing and Daiviet between the fourteenth and the seventeenth centuries was set up andmaintained through three major foundations of ideology, interest and historical continuity
On the ideological foundation, overwhelming influence on the Ming’s diplomaticorientation is the discourse of “Celestial Court and Vassals”
It is the fact that diplomatic policies are generally oriented by interests For the Ming,there is no difference in their policy to set up and maintain exchange with Daiviet It is hoped forthem to expand the tributary system southward into other kingdoms in Southeast Asia and SouthAsia By doing so, the dynasty wanted to strengthen its position as “Celestial Court” withambitious to “rule over the lands”, and having “thousand of tribute vassals” The expansion ofthe tributary system aslo brought back to the Ming with tremendous economic benefits andhelped to solve numerous domestic political issues
Dynasties in Daiviet were always aware that maintaining sustainable relationship withChina, a huge neighbor with its economic and political superiority was essential to protect themfrom the Ming’s consistent ambition to invade Within such circumstance, establishment ofConferring Titles and Tribute Relation were found crucial and effective to prevent any Ming’sattempt of conquest and invasion This can help Daiviet to enjoy peace, independence and standaside from foreign aggression The Vietnamese rulers additionally got legitimacy from Chineserecognition to justify their governance domestically and with kingdoms in the region In otherwords, mutual benefits brought the two kingdoms together and maintain it for their own purposeand political strategy
Conferring Titles and Tribute Relation between Chinese feudal dynasties and those ofVietnam has long history and undoubtedly the process has laid a foundation for Ming andDaiviet in a new chapter of such exchange between the fourteenth and the seventeenth centuries
Trang 13CHAPTER 2 CONFERRING TITLE AND TRIBUTE RELATION BETWEEN MING AND
DAIVIET FROM 1368 TO 1527 2.1 Conferring Title and Tribute Relation between Ming and Tran Dynasty (1368-1400)
2.1.1 Establishment of the Ming-Tran’s Conferring Title and Tribute Relation
At time the Ming was founded in China, political situation in Daiviet was very muchdifferent The China was started with a new dynasty meanwhile the Tran was coming down fromtheir peak and engaging in time of chaotic
Obviously Daiviet hold an essential position among other southern kingdoms and ChuNguyen Chuong at the very early days of his reign demanded for a steady relation Thus Daivietwas put on the top of the vassal list in which diplomatic mission was sent to Chu NguyenChuong right after came to the throne dispatched an envoy to Daiviet to inform of his victoryover the Mongol and the foundation of a new dynasty, the Ming
An identical situation with the Ming was also reported from the Daiviet’s perspective;since the Tran and Yuan diplomatic exchange was interrupted, especially during the late Yuandynasty, the Tran was at some points interested in reconnecting Conferring Titles and TributeRelation with China The reasons were that the Tran found both suspicious and necessary to linkthe diplomatic channel for their own domestic challenges As a result, right after receiving ChuNguyen Chuong announcement in 1369, a mission was sent to the Ming Court in order to ask forconferring title Since this is the first foreign envoy came to pay tribute to new Chinese dynasty,
it had warm welcome from Minh Thai To In return, the Ming dispatched a mission to Daiviet,those brought with imperial decree to confer Tran Du Tong as “An Nam Quoc Vuong” (King ofAnnam), and bestow him with a gold-silver seal in camel shape
The event made a watershed for the setting of the Conferring Titles and Tribute Relationbetween the Ming and Tran
2.1.2 Rituals of Conferring Titles and Tribute Relation
Since the early days of his reign, Ming Thai To Chu Nguyen Chuong made a tremendouseffort to recover Chinese traditional diplomatic relation which was disconnected during the