1 INTRODUCTION 1. Reasons for Choosing this Research It is the fact that Conferring Titles and Tribute Relation are special forms of diplomatic relationship between China and its neighboring countries during the feudal time. Regarding to their economic, military and cultural advance, Chinese dynasties considered themselves as “Celestial Court, Superior Kingdom”, and giving themselves right to bestow titles for rulers coming from smaller kingdoms. On the other hand, in order to be recognized as king and maintain their stable and peaceful relationship with China, rulers of those principalities were expected to pay tribute and ask for title from the “Heaven Dynasty”, most important among those was to permanently send tribute. Conferring Titles and Tributary Relation gradually became the typical 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 reached its peak in the Ming dynasty (明，1368-1644). Due to the impact of geopolitics, identical culture, consequences of more than one thousand year-northern domination (Bac thuoc), and other various factors, Conferring Title and Tribute Relation between China and Daiviet in general and Ming-Daiviet in particular stood steadily as a typical phenomenon and became foundation for the two’s diplomatic interaction. Research on Vietnamese-Chinese and Chinese-Vietnamese historical relationship has long captured attention both domestic and foreign scholarship with much of significant contribution. However, Conferring title and Tribute relationship between China and Vietnam in the feudal age or among particular dynasties is still in the form of general survey in historical works in Vietnam and China. This situation results in the fact that the topic yet plays a small part among research on Vietnamese-Chinese relation. Regarding to the research of “Conferring title and Tribute relationship between Ming and Dai Viet (1368-1644)”, the author aims to conduct a systematic and professional study, with focus on a specific dynasty, the Ming and the historical circumstance impacts on this relationship. This period is also reported of a steady and enduring exchange 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 a number of dominated issues: 1. the intellectual framework, interests, and historical framework of the Ming-Dai Viet Conferring titles and Tribute relationship; 2. the rise and decline of this interaction and what kind of reasons responsible for this shift; 3. Roles this relationship plays, its main straits and the real motivation posed by the Daiviet’s dynasties in dealing with this interaction. 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 Ming with other Southeast Asian polities. … To some extents, it is said that such topic should be 2 drawn more attentions, especially in the context of Vietnamese-Chinese long relation from the tenth to the nineteenth centuries. Given some historical facts, it appears that how to respond to Chinese dynasties to in order to both maintain peaceful relation with an aggressive neighbor and avoid clash and conflicts to protect independence and territorial sovereignty is not an easy task for Daiviet’s dynasties, 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 in dealing with this agenda are always significant and useful regardless to any perspective one considers. Research on Conferring title and Tribute relationship between Ming and Daiviet thus is not only essential for historical consciousness but also contemporarily significant. With such importance and interest, I decide to work on topic of “Conferring Title and Tribute relationship between Ming and Daiviet (1368-1644)” as my Ph.D dissertation. I also come to clear awareness that 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, including Daiviet 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 relationship between 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 with trade exchange, those are the main concerns of the Ming toward Southeast Asia. Such discourses are found useful and necessary for researching on Conferring title and Tribute relationship in particular. 3 Apart 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 Trinh Vinh Thuong (1998); “Tribute and Diplomatic relation: A Study in Sino-Viet relation in the late Ming and Early Qing” by Nguu Quang Khai (2003); “Historical analysis on the tribute system: A Study 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 Vietnamese scholarship. Most recent studies in the topic are included: “Vietnamese-Sino relationship in the fifteenth and early sixteenth centuries” by Ta Ngoc Lien (1995), “Daiviet’s Diplomacy” by Luu Van Loi (2000); “Daiviet diplomacy during the Tran and Ho Dynasty” and “Daiviet Diplomacy during the Le, Mac and Le Trung Hung dynasties” by Nguyen The Long (2005); ”On the diplomatic struggle against the Ming in the early 15th century and remained texts” by Nguyen Van Nguyen (2002); “Features of Daiviet-Sino diplomatic relation in the medieval time from the perspective of regional cultural and political interaction” by Dinh Thi Dung (2008); “Dai Viet in the 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: A view from perspective of Conferring titles and tribute” by Tran Nam Tien (2011) In short, some main scholarly achievements made by above scholarship can be acknowledged, with regard to the Ming’s relation with Daiviet in particular and with Southeast Asian kingdoms in general. - Theoretical framework for shaping idea of “diplomatic policies” in ancient and medieval China 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 and tribute… - Some issues of the Ming-Southeast Asian relation, including Daiviet concerning the exchange 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 the Conferring 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 and assessment: - Framework of the Ming-Daiviet Conferring title and Tribute relation - Circumstance of this interaction through some specific significant periods within this timeframe - A comprehensive survey over the consequent events and rise and fall of the interaction with explanation and remarks - The role in which Conferring title and Tribute relationship plays in maintaining diplomatic link between the Ming and Daiviet as well as some major characteristics of its development. This dissertation will rely mainly on Chinese and Vietnamese primary sources as well as critically reviewing previous scholarship both in Vietnam and outside. It is hoped to shed lights upon 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 relation between 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 other principalities which have direct impact on this interaction. 5 On the timeframe, this survey concerning with events start from 1368 as the Ming was established in China to its collapse in 1368. Despite of the Ming’s remain which still existed in the Southern China for quite a long time after its defeat and continued some sort of interaction with the Le dynasty, we are aware that since then, Chinese history have been significantly changed 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 a chronological timeframe characterizes by shorter periods associated with Vietnamese dynasties. Regarding to the term “Ming”: Ming presents here as a Chinese dynasty, also plays as official title of the Chinese empire between 1368 and 1644. In this dissertation, the term is flexibly 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 recall Conferring titles and tributary relationship between China and Daiviet during the Ming Dynasty with all of its operation through different periods, shedding new lights upon reasons and factors responsible for the maintenance and solidity of this relationship, and pointing out some dominated features of this long-lasting interaction. By doing so, the author is in hope that this dissertation can add more sources, gives new interpretations, and enforces new study in the field related 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 Conferring title and Tribute relationship between the two countries and suggests a typical and fascinating model of diplomatic interaction conducted by Chinese feudal dynasties with their neighboring kingdoms. 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 relationship between Ming and Daiviet (the establishments of ideology, interests, and tradition) 6 - Comprehensively analyzing historical context of China and Daiviet which lead them to policies and engagements with Conferring titles and tribute interaction throughout different periods. - To recall detailed progress of development and significant events shaping the Ming-Daiviet Conferring titles and tribute relation between 1368 and 1644. - To analyze and assess some dominant characteristics and the roles this interaction play 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 other form 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 Tribute relationship between Daiviet and Ming, as well as, playing as a good research tool for assessing and comparing with Chinese sources on the same events and agendas. Coming across the Complete History however, there are also quite a number of mistakes can be detected, such as timeframe, different kind of tribute products and so on. In many case, the Complete History only can provide with a general remark on the Ming’s return gifts to Daiviet. Thus, our usage of the Complete History bases on comparing with other different sources to diversifying information and enriching with more details. 7 Apart 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 and foreign 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 historical analysis 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 the original source as possible. The dissertation also is built based on chronological and coincident paradigm 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-discipline approach in examining the sources and analyzing events with much authenticity and comprehension 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 some following contributions: - Picturing a comprehensive and attractive process in which Conferring title and Tribute relationship between Ming China and Daiviet had been established and maintained 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 Ming- Daiviet Conferring titles and tribute exchange; re-evaluating its features and examining the role it plays in shaping the two’s diplomatic interaction. This dissertation also reveals the real motivation of the Daiviet’s dynasties in engaging with this diplomatic norm. By 8 doing so, this dissertation is hoped to provide with a detailed case study in which various theories and approaches on “Chinese tributary model” can be illuminated or justified in this specific circumstance. - Providing more materials, analyzing works for teaching and further research on the Conferring title and Tribute relationship between Ming and Daiviet during the feudal time. 7. The Structure of this Dissertation Apart from the Introduction, Conclusion, References, and Appendix, this dissertation including four chapters following: Chapter 1: The Foundation of the Conferring title and Tribute relation between Ming and Daiviet Chapter 2: Conferring title and Tribute relation between Ming and Daiviet between 1368 and 1527 Chapter 3: Conferring title and Tribute relation between Ming and Daiviet between 1527 and 1644 Chapter 4: Some Observations about the Ming-Daiviet Conferring title and Tribute relation 9 CHAPTER 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 norm between China and other kingdoms, including Daiviet is the relationship between “Celestial Court and Vassal kingdoms”. The thought has been overwhelmingly influenced diplomatic behavior of Chinese dynasties toward dealing with smaller surrounding polities. The belief of “Celestial Court” tienchao 天朝 – “Vassal” zhuhou 諸侯 is enforced by the belief based on the role of the Chinese Emperor in the feudal time. The Chinese Emperor is recognized 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 the Celestial Court and Vassal Kingdoms is characterized as “Patron-client” (central emperor- dependent surrounding rulers). The performance of this relationship is institutionalized in the form 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 of Confucianism which plays as central authorized ideology in Chinese feudal society. Confucianism with its believes in Rectification of Names (zhengming, 正 名 ) and The Three Major 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 highly centralized government, the idea of “Celestial court and Vassals” could receive more supports and patronage from the state which led to a higher level of development. This was clearly showed through the way Ming Emperors conceptualized their personal position and their kingdom in the world. Those Chinese Emperors, like their predecessors on the throne, always recognized themselves 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 ethnic 10 and cultural discrimination, it justifies for the domination of thoughts such as: “big power”, and “superior culture” in the performance of relationship between Ming and Daiviet in particular and with 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 the Ming toward Vietnam had derivation from the Chinese essential interests. What happened in history show that various Ming’s benefits can be classified into two categories of political and economic 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 in prosperity and wealth. This movement created new power and confidence for the Ming to expand political influence and diplomatic exchange, most and foremost was to re-establish and maintain the tributary system. The development of the Ming can be depicted by two major fields of economics and politics. Ming’s government stood among the most centralized and complex state-system ever built in Chinese feudal history. Relying on this power structure which sophisticatedly run from the central to the local, and its huge military forces, Emperors of the Ming could rule over the kingdom, 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 to strengthen its diplomatic influence over the surrounding kingdoms through the performance of Conferring Titles and Paying Tribute. The development of the Chinese economics in the Ming resulted from the growth of the handicraft 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 surrounding kingdoms wanted to have good relationship with China for different political motivation as well as for seeking trading exchange with the Central Kingdom. [...]... possibly with domination 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 in Daiviet which led to the consequent governance of various dynasties, namely Tran, Ho, Le, Mac, and Le Trung Hung However every among them was ultimately... neighbors in the feudal time, in which Conferring Titles and Tribute Relation is the fundamental foundation to make the system workable Conferring Title and Tribute Relation between Ming and Daiviet (1368- 1644) provides us with typical example for this performance of diplomatic exchange Such characteristics reveal the Ming-Daiviet Conferring Titles and Tribute Relation with their long-lasting existence... chaotic on the throne of the Tran dynasty, conflict between Daiviet and Champa, and ambitious intervene of the Ming 25 In 1406, making an excuse of “supporting the Tran and eliminating the Ho”, Ming Thanh Thanh To Chu De launched a campaign toward Daiviet in order to miss his ambition of conquest and expanding territory The invasion brought the days of “sharing peace” (Mingshilu, vol 1, p 122) which Chu... of a long time preparation and strengthening his power position, in the second month of the dragon year (1400), Ho Quy Ly overthrew the Tran and made himself as a new king with title of his reign as Thanh Nguyen and renaming the kingdom as Dai Ngu The Ho dynasty was founded 15 In 1398 Ming Thai To Chu Nguyen Chuong passed away Because of the early death his oldest son, his grandson, Chu Doan Van took... China with the tile of Yen Vuong) raised army to against the new king In 1402, Chu De captured the capital of Nanjing and crowed himself as emperor in the title of Vinh Lac It was the great king Ming Thanh To of the Ming who ruled the kingdom in an extraordinary time of the relationship between China and other countries in the region in general and with Daiviet in particular 2.2.2 Establishment of the... common theme and sharing value in shaping the existence and development of the Ming and Daiviet during this period of time 18 CHAPTER 3 CONFERRING TITLE AND TRIBUTE RELATION BETWEEN MING AND DAIVIET (1527 -1644) 3.1 Conferring Title and Tribute Relation between Ming and Mac (1527-1592) 3.1.1 Interruption of the Conferring Title and Tribute Relation between Ming and Daiviet in the first half of the sixteenth... paying tribute to the Ming for 48 years, the Mac appropriately followed the rule of paying tribute for every three years 3.2 Conferring Title and Tribute Relation between Ming and Le Trung Hung (1592 -1644) 3.2.1 The Restoration of the Le and Recovery of the Conferring Title and Tribute Relation between Ming and Le Trung Hung In 1592, Le Trung Hung defeated the Mac and then marked a new period for the... Le, Ming offered four conditions in return for the recognition and tribute relation: firstly, Le Duy Dam (Le The Tong, the new Le king) has himself to go to "the South Holding Frontier Post" (Tran Nam quan/ Zhennan guan),and ask for tolerance Secondly, return the golden seal Thirdly, pay tribute golden statues, and fourthly, allow the Mac to settle in Cao Bang In the twelfth month of the year of Dog... fourteenth and the seventeenth centuries 13 CHAPTER 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 much different The China was started... of the Ming-Daiviet Conferring Titles and Tribute Relation can be made into two distinct stages: the first period lasts from 1368 to 1527 and the second one places from 1527 to 1644 In the first stage (1368- 1527), Conferring Title and Tribute Relation between the two have an incredible start as Tran dynasty becomes the first neighbor kingdom to be received diplomat from Ming Thai To Chu Nguyen Chuong . Regarding to the research of “Conferring title and Tribute relationship between Ming and Dai Viet (1368- 1644) , the author aims to conduct a systematic and professional study, with focus on a specific. decide to work on topic of “Conferring Title and Tribute relationship between Ming and Daiviet (1368- 1644) as my Ph.D dissertation. I also come to clear awareness that the problem cannot be fully. – 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 –