140 J.K.FAIRBANK AND S.Y.TENG in tribute,in the minds of the tribute bearers,was merely a formality connected with trade;at Macao and Canton,indeed,the Europeans in their concentration upon the substance of commerce eventually forgot all about the formality which theoretically still went with it. This economic interpretation,however,is made from the point of view of the barbarians.The motivation of the Court is a different matter. The argument that the tributary system was developed by the Court chiefly for political defense has been succinctly stated by Dr. T.F.TsIANG:"Out of this period of intense struggle and bitter humiliation [the eleventh and twelfth centuries],the neo-Confucian philosophy,which began then to dominate China,worked out a dogma in regard to international relations,to hold sway in China right to the middle of the nineteenth century....That dogma asserts that national security could only be found in isolation and stipulates that whoever wished to enter into relations with China must do so as China's vassal,acknowledging the supremacy of the Chinese em- peror and obeying his commands,thus ruling out all possibility of international intercourse on terms of equality.It must not be con- strued to be a dogma of conquest or univeral dominion,for it im- posed nothing on foreign peoples who chose to remain outside the Chinese world.It sought peace and security,with both of which international relations were held incompatible.If relations there had to be,they must be of the suzerain-vassal type,acceptance of which meant to the Chinese acceptance of the Chinese ethic on the part of the barbarian.... "It must not be assumed that the Chinese Court made a profit out of...tribute.The imperial gifts bestowed in return were usually more valuable than the tribute...Chinese statesmen before the latter part of the nineteenth century would have ridiculed the notion that national finance and wealth should be or could be promoted by means of international trade.On China's part the permission to trade was intended to be a mark of imperial bounty and a means of keeping the barbarians in the proper state of submissiveness..."s Thus we might conclude that trade and tribute were cognate aspects of a single system of foreign relations,the moral value of tribute being the more important in the minds of the rulers of China,and the BT.F.TSIANG(CHIANG T'ing-fu蒋廷黻)，“China and European Expansion” (Politica 2 no.5,Mar.1936,pp.1-18),pp.3-4.A lecture delivered at the London School of Economics
140 J. K. FAIRBANK AND S. Y. TtNG in tribute, in the minds of the tribute bearers, was merely a formality connected with trade; at Macao and Canton, indeed, the Europeans in their concentration upon the substance of commerce eventually forgot all about the formality which theoretically still went with it. This economic interpretation, however, is made from the point of view of the barbarians. The motivation of the Court is a different matter. The argument that the tributary system was developed by the Court chiefly for political defense has been succinctly stated by Dr. T. F. TSIANG: "Out of this period of intense struggle and bitter humiliation [the eleventh and twelfth centuries], the neo-Confucian philosophy, which began then to dominate China, worked out a dogma in regard to international relations, to hold sway in China right to the middle of the nineteenth century.... That dogma asserts that national security could only be found in isolation and stipulates that whoever wished to enter into relations with China must do so as China's vassal, acknowledging the supremacy of the Chinese emperor and obeying his commands, thus ruling out all possibility of international intercourse on terms of equality. It must not be construed to be a dogma of conquest or univeral dominion, for it imposed nothing on foreign peoples who chose to remain outside the Chinese world. It sought peace and security, with both of which international relations were held incompatible. If relations there had to be, they must be of the suzerain-vassal type, acceptance of which meant to the Chinese acceptance of the Chinese ethic on the part of the barbarian.... " It must not be assumed that the Chinese Court made a profit out of . . . tribute. The imperial gifts bestowed in return were usually more valuable than the tribute . . . Chinese statesmen before the latter part of the nineteenth century would have ridiculed the notion that national finance and wealth should be or could be promoted by means of international trade. On China's part the permission to trade was intended to be a mark of imperial bounty and a means of keeping the barbarians in the proper state of submissiveness. ..." 8 Thus we might conclude that trade and tribute were cognate aspects of a single system of foreign relations, the moral value of tribute being the more important in the minds of the rulers of China, and the 8 T. F. TSIANG (CHIANG T'ing-fu i&f ), "China and European Expansion" (Politica 2 no. 5, Mar. 1936, pp. 1-18), pp. 3-4. A lecture delivered at the London School of Economics
ON THE CHING TRIBUTARY SYSTEM 141 material value of trade in the minds of the barbarians;this balance of interests would allow mutual satisfaction and the system would continue to function.From this it might be concluded further that the tributary system really worked in reverse,the submission of the barbarians being actually bought and paid for by the trade con- ceded to them by China.But this last is an over-simplification which runs counter to the whole set of ideas behind the system,and it also overlooks the interesting possibility,which deserves exploration,of an imperial economic interest,-for instance,in the silk export trade.In short it seems impossible at present to make more than one generali- zation:that the tributary system was a framework within which all sorts of intersts,personal and imperial,economic and social,found their expression.Further study should reveal an interplay between greed and statecraft,dynastic policy and vested interest,similar to that in other great political institutions. One untouched aspect of the system is its functioning as a diplo- matic medium.Since all foreign relations in the Chinese view were ipso facto tributary relations,it followed that all types of international intercourse,if they occurred at all in the experience of China,had to be fitted into the tributary system.Thus Chinese envoys were some- times sent abroad to spy out the enemy or to seek allies,and foreign envoys came and conducted negotiations at the capital,all within this framework.As an introduction to this aspect of the subject,we quote below from the prefaces to the sections on tributary ritual in the Ta- Ming chi-li大明集醴(Collected Ceremonies of the Ming Dynasty), an official work of the Ming period.s Naturally,these prefaces re- count what the Court hoped everyone would believe had generally occurred during the course of Chinese history,but this merely en- hances their value for our purpose.(We omit passages recounting details concerning various tribes and rulers.) CEREMONIAL FOR VISITORS:1.FOREIGN KINGS PRESENTING TRIBUTE AT COURT(Fan-wang ch^ao-kung蕃王朝貢). "The kings of former times cultivated their own refinement and virtue in order to subdue persons at a distance,whereupon the bar- barians (of the east and north)came to Court to have audience.This comes down as a long tradition其來尙矣， Ta-Ming chi-li (Palace edition,1530).We quote from the first two or three pages, respectively,forming general introductions (tsung-hsi)to ch.30-32 (pin-li 賓醴Ceremonial for Visitors 1-3)
ON THE CH'ING TRIBUTARY SYSTEM 141 material value of trade in the minds of the barbarians; this balance of interests would allow mutual satisfaction and the system would continue to function. From this it might be concluded further that the tributary system really worked in reverse, the submission of the barbarians being actually bought and paid for by the trade conceded to them by China. But this last is an over-simplification which runs counter to the whole set of ideas behind the system, and it also overlooks the interesting possibility, which deserves exploration, of an imperial economic interest,-for instance, in the silk export trade. In short it seems impossible at present to make more than one generalization: that the tributary system was a framework within which all sorts of intersts, personal and imperial, economic and social, found their expression. Further study should reveal an interplay between greed and statecraft, dynastic policy and vested interest, similar to that in other great political institutions. One untouched aspect of the system is its functioning as a diplomatic medium. Since all foreign relations in the Chinese view were ipso facto tributary relations, it followed that all types of international intercourse, if they occurred at all in the experience of China, had to be fitted into the tributary system. Thus Chinese envoys were sometimes sent abroad to spy out the enemy or to seek allies, and foreign envoys came and conducted negotiations at the capital, all within this framework. As an introduction to this aspect of the subject, we quote below from the prefaces to the sections on tributary ritual in the TaMing chi-li TcfZid (Collected Ceremonies of the Ming Dynasty), an official work of the Ming period.9 Naturally, these prefaces recount what the Court hoped everyone would believe had generally occurred during the course of Chinese history, but this merely enhances their value for our purpose. (We omit passages recounting details concerning various tribes and rulers.) CEREMONIAL FOR VISITORS: 1. FOREIGN KINGS PRESENTING TRIBUTE AT COURT (Fan-wang ch'ao-kung *I_:J"A). "The kings of former times cultivated their own refinement and virtue in order to subdue persons at a distance, whereupon the barbarians (of the east and north) came to Court to have audience. This comes down as a long tradition A*'l . 9 Ta-Ming chi-li (Palace edition, 1530). We quote from the first two or three pages, respectively, forming general introductions (tsung-hsii tJ ) to ch. 30-32 (pin-li Ax Ceremonial for Visitors 1-3)
142 J.K.FAIRBANK AND S.Y.TENG "In the time of King T'ang of Yin (trad.dates B.C.1766-1754), the Ti-ch'iang [an ancient Tibetan tribe in E.Kansu and Kokonor], distant barbarians,came to offer gifts and to visit the king.In the time of (King)Tai Mou (trad.dates B.C.1637-1563)the remote tribes [ch'ung-i i.e.those so far off as to require repeated inter- pretations]which came to Court (consisted of)76 countries. "When King Wu of the Chou (trad.dates 1122-1116)overcame the Shang,(there was)a great meeting of the feudal lords and the barbarians on the four quarters (ssu-i),and there was written (the chapter on)the meeting of the princes.10 In the autumn officials (section)of the Chou li,1(it is stated that)the interpreting officer had charge of the envoys of the countries of the wild tribes of the south and east (man-i),of Min (Fukien?),of the north (mai),and of the west (jung-ti),and gave them instructions and explanations. "The Han dynasty established (an officer)in charge of guests and official interpreters,a chief and assistants,to guide the barbarians (ssu-i)who came to Court to present tribute.Also they established (an office)in charge of dependent states,and a chief interpreter of the nine [languages;i.e.one capable of speaking the tongues of foreign nations].Under the Emperor Wu in 111 B.C.the Yeh-lang [chieftain, from the Yunnan-Szechwan frontier]came to Court.Thereafter the outer barbarians sent tribute to Court without interruption.In 53 B.C.the chieftain of the Hsiung-nu came to the Court.In 51 B.C. the Hsiung-nu chieftain,Chi-chui-shan 2 came to Court.Both had audience at the Sweet Spring Palace.13 In 28 B.C.the barbarians from all sides (ssu-i)came to the Court and received direction from the grand master of ceremonial for ambassadors.4 Under the Emperor Shun in 136 A.D.the king of the Wo-nu (Japan?)came to Court. For all of these there were regulations for entertainment at banquets and the bestowal of gifts. 1 Wang-hui王會，forming chuan7 in the I chou shu谗周普；cf.Kuang han-wei ts'ung-shu廣漢魏叢書，1592 edition,tse34-36. 11Cf.Chou Li周體，Hsiang-hsi象胥38.14h(in Shih-san-ching chu-su十三 經注疏，Kiangsi edition,18l5)(Bror是.Kiu34.fol.6-e7). 1 Cf.Ch'ien Han shu (Palace edition,1739)94 sec.B.3b.Established as chieftain 58 B.C.,ibid.sec.A.$7.The name is given here as Chi-hou-shan;likewise in Kang-hsi tau-tiem康熙字典under冊. aKan-ch'tian kung甘泉宫，a summer palace in Shensi,N.W.ofCh'ang-an,dating from the time of the First Emperor,cf.GIEs (A Chinese-English Dictionary,1912) 5823. 14 Ta hung lu大鴿臚，cf.Hung Lu Ssu寺，Court of State Ceremonial in T'ang and Ch'ing,B935;KUwABARA 7.14 refers to it as "the office of foreign affairs
142 J. K. FAIRBANK AND S. Y. TENG " In the time of King T'ang of Yin (trad. dates B. C. 1766-1754), the Ti-ch'iang [an ancient Tibetan tribe in E. Kansu and Kokonor], distant barbarians, came to offer gifts and to visit the king. In the time of (King) T'ai Mou (trad. dates B. C. 1637-1563) the remote tribes [ch'ung-i AN i. e. those so far off as to require repeated interpretations] which came to Court (consisted of) 76 countries. "When King Wu of the Chou (trad. dates 1122-1116) overcame the Shang, (there was) a great meeting of the feudal lords and the barbarians on the four quarters (ssii-i), and there was written (the chapter on) the meeting of the princes.10 In the autumn officials (section) of the Chou li,11 (it is stated that) the interpreting officer had charge of the envoys of the countries of the wild tribes of the south and east (man-i), of Min (Fukien?), of the north (mai), and of the west (jung-ti), and gave them instructions and explanations. "The Han dynasty established (an officer) in charge of guests and official interpreters, a chief and assistants, to guide the barbarians (ssi-i) who came to Court to present tribute. Also they established (an office) in charge of dependent states, and a chief interpreter of the nine [languages; i. e. one capable of speaking the tongues of foreign nations]. Under the Emperor Wu in 11 B. C. the Yeh-lang [chieftain, from the Yunnan-Szechwan frontier] came to Court. Thereafter the outer barbarians sent tribute to Court without interruption. In 53 B. C. the chieftain of the Hsiung-nu came to the Court. In 51 B. C. the Hsiung-nu chieftain, Chi-chui-shan 12 gIgs came to Court. Both had audience at the Sweet Spring Palace.13 In 28 B. C. the barbarians from all sides (ssui-i) came to the Court and received direction from the grand master of ceremonial for ambassadors.14 Under the Emperor Shun in 136 A. D. the king of the Wo-nu (Japan?) came to Court. For all of these there were regulations for entertainment at banquets and the bestowal of gifts. 10 Wang-hui d forming chian 7 in the I chou shu BAJA; cf. Kuang han-wei ts'ung-shuQkt&S, 1,592 edition, ts'" 34-36. 1 Cf. Chou Li AN Hsiang-hsi $,* 38.14b (in Shih-san-ching chu-su t~ VM6. , Kiangsi edition, 1815) (BIOT 2. Kiu 34. fol. 26-27). 12 Cf. Ch'ien Han shu (Palace edition, 1739) 94 sec. B. 3b. Established as chieftain 58 B. C., ibid. sec. A. 37. The name is given here as Chi-hou-shan R; likewise in K'ang-hsi tzit-tien A P. under INI. 13 Kan-ch'fian kung tW 2, a summer palace in Shensi, N. W. of Ch'ang-an, dating from the time of the First Emperor, cf. GILES (A Chinese-English Dictionary, 1912) 5823. 14 Ta hung lu ?kJJS, cf. Hung Lu Ssi i u, Court of State Ceremonial in T'ang and Ch'ing, B 935; KUWABARA 7. 14 refers to it as " the office of foreign affairs
ON THE CHING TRIBUTARY SYSTEM 143 "Under the T'ang there was established the Chu K'o Lang Chung 主客郎中(Secretary in Charge of Guests),in charge of all the bar- barians (fan)who came to Court.His activities in receiving and entertaining (them)were four in number:Going out to meet and greet them(lao);preparing them for audience (i.e.warning them); foreign kings receiving an audience;banqueting the rulers of foreign states.The ceremonies for these (activities)were detailed.... "In the Sung period there were more than forty states which pre- sented tribute at Court,all of them merely sending envoys to present the tribute.Although foreign kings did not regularly themselves come to the Court for audience,still the ceremonies for reception and audience which appear in the books of ceremony are about the same as for the T‘ang. “Yiian dynasty:inl210 the king of the Uigurs,.I-tu-hu奕都護， came to Court.Under Shih-tsu (Kublai Khan)in 1264,an imperial command was given to the King of Korea (Kao-li),Chih,order- ing him to cultivate the ceremony of shih-chien.15 In the sixth month Chih came to the Court at Shang-tu ["Xanadu,"near modern Dolonor]. Thereafter when the (rulers of)foreign countries came to Court,they waited for the day of a great Court assembly on the first day of the first month or on an imperial birthday,and then performed the ceremony. "Now it is proposed,as to the reigning dynasty,that when foreign kings come to Court,there shall first be despatched an official of the city of Nanking (Ying-t'ien fu)to go out to meet them and greet them.When they have arrived at the Residence 16 there shall be sent 1s世見Cf.Chou li大行人Ta hsing jen87.0:世壹見(Bor2.406:Enun siecle ou dans un age d'homme,ils doivent une visite a l'empereur). i“Kuan館，standing for Hui T'ung Kuan會同，This refers of course to the Hui T'ung SsǚI Kuan四a譯(or夷)under the Board of Ceremonies,rather than to the Hui T'ung Kuan (Imperial Despatch Office,MAYERs 182 xiv)under the Board of War;but it presents a typical problem of translation,the reference being known to all,what English words shall be generally used for it?BRUNNERT 392 gives Residence for Envoys of the Four Tributary States,an erroneous interpretation as noted above (note 4).CHANG Te-ch'ang 273 uses the romanization Hui-tung-kwan,without attempt- ing a translation,but this otherwise sound procedure involves in this case ambiguity with the office above mentioned under the Board of War.T.C.LIN (2)879 offers Cosmopolitan Palaces,which is sound in meaning but perhaps a bit flamboyant. CHANG T'ien-tse 50 sidesteps the problem of translating Hui T'ung Kuan by using Ssu-i-kuan;this is no solution for the non-sinological reader.In order to conform as
ON THE CH'ING TRIBUTARY SYSTEM 143 "Under the T'ang there was established the Chu K'o Lang Chung *MFJW+r- (Secretary in Charge of Guests), in charge of all the barbarians (fan) who came to Court. His activities in receiving and entertaining (them) were four in number: Going out to meet and greet them (lao A); preparing them for audience (i. e. warning them); foreign kings receiving an audience; banqueting the rulers of foreign states. The ceremonies for these (activities) were detailed.... " In the Sung period there were more than forty states which presented tribute at Court, all of them merely sending envoys to present the tribute. Although foreign kings did not regularly themselves come to the Court for audience, still the ceremonies for reception and audience which appear in the books of ceremony are about the same as for the T'ang. " Yuan dynasty: in 1210 the king of the Uigurs, I-tu-hu 1Z't, came to Court. Under Shih-tsu (Kublai Khan) in 1264, an imperial command was given to the King of Korea (Kao-li), Chih A, ordering him to cultivate the ceremony of shih-chien.15 In the sixth month Chih came to the Court at Shang-tu [" Xanadu," near modern Dolonor]. Thereafter when the (rulers of) foreign countries came to Court, they waited for the day of a great Court assembly on the first day of the first month or on an imperial birthday, and then performed the ceremony. " Now it is proposed, as to the reigning dynasty, that when foreign kings come to Court, there shall first be despatched an official of the city of Nanking (Ying-t'ien fu) to go out to meet them and greet them. When they have arrived at the Residence 16 there shall be sent 16 IQ Cf. Chou 1i )Z JitA Ta hsing jen 37. 20: iJ. (BIOT 2. 406: En un sicle ou dans un age d'homme, ils doivent une visite a 1'empereur). 18 Kuan UV, standing for Hui T'ung Kuan * MP. This refers of course to the Hui T'ung Ssii I Kuan V9X (or 4) under the Board of Ceremonies, rather than to the Hui T'ung Kuan (Imperial Despatch Office, MAYERS 182 xiv) under the Board of War; but it presents a typical problem of translation,-the reference being known to all, what English words shall be generally used for it? BRUNNERT 392 gives Residence for Envoys of the Four Tributary States, an erroneous interpretation as noted above (note 4). CHANG T6-ch'ang 273 uses the romanization Hui-tung-kwan, without attempting a translation, but this otherwise sound procedure involves in this case ambiguity with the office above mentioned under the Board of War. T. C. LIN (2) 879 offers Cosmopolitan Palaces, which is sound in meaning but perhaps a bit flamboyant. CHANG T'ien-tse 50 sidesteps the problem of translating Hui T'ung Kuan by using Ssfi-i-kuan; this is no solution for the non-sinological reader. In order to conform as
144 J.K.FAIRBANK AND S.Y.TENG further (an official of)the Board (of Ceremony)at the capital to prepare a feast.Thereupon they shall practice the ceremonies.They are to have imperial audience in the Feng-t'ien Hall奉天殿and to have audience with the Heir-apparent in the Eastern Palace.When the imperial audiences are finished,a banquet is offered to them.The officers and departments (of government)at the capital all are to prepare banquets to entertain them.When they return,officers are to be sent to escort them out of the boundaries.Now all their cere- monial is drawn up to form the section on"Foreign kings presenting tribute at court..”7 "2.FoREIGN ENVOYS PRESENTING TRIBUTE AT COURT (Fan-shih ch'ao- kung蕃使朝貢). "According to the Chou li,'when the envoys from the four quarters arrive,if they are great guests then they are received ceremoniously; if they are small guests then their presents are accepted and their statements are listened to.'is By small guests is meant the official envoys sent by foreign countries.The envoys of foreign countries all are barbarians,and do not practice these ceremonies.Therefore one only listens to their statements,and that is all.When King Wu over- came the Shang,he opened communications with the nine I (eastern barbarians)and the eight Man (southern barbarians)....States at a great distance came to offer up presents;in all cases their offerings were accepted and their statements were listened to. "Under the Han...(a total of)thirty-six states were all de- pendents of the Middle (Kingdom)and offered tribute...(when) they came to present offerings,they all received rewards so as to send them away with gifts. "In the T'ang when foreign envoys offered tribute,the ceremonies for their banqueting and audience had four parts:going out to meet and greet them;preparing them for audience;receiving the foreign envoys'congratulatory memorials and presents;and the Emperor's banquet for the envoys of foreign countries.... closely as possible to the chief manual now available (BRUNNERT)we suggest Residence for Tributary Envoys. DUyvENDAK (3)45-49 uses "lodginghouse"but not as an official title,and agrees that LIN has "rather overtranslated."Prof.DUyvENDAK also describes (from the Chia-ch'ing hui-tien shih-li)some seven locations of establishments used to house embassies at various dates,all nominally under or part of the Hui T'ung Kuan,a title which therefore cannot easily be associated with one particular place. 1 Ta-Ming chi-li 30.1-2b. 18 Cf.Chou Li,Hsiao hsing jen 37.24 (BIoT 2.411)
144 J. K. FAIRBANK AND S. Y. TtNG further (an official of) the Board (of Ceremony) at the capital to prepare a feast. Thereupon they shall practice the ceremonies. They are to have imperial audience in the Feng-t'ien Hall *I7UE and to have audience with the Heir-apparent in the Eastern Palace. When the imperial audiences are finished, a banquet is offered to them. The officers and departments (of government) at the capital all are to prepare banquets to entertain them. When they return, officers are to be sent to escort them out of the boundaries. Now all their ceremonial is drawn up to form the section on " Foreign kings presenting tribute at court. ... XX 17 "92. FOREIGN ENVOYS PRESENTING TRIBUTE AT COURT (Fan-shih ch'aokung NVMA). " According to the Chou li, ' when the envoys from the four quarters arrive, if they are great guests then they are received ceremoniously; if they are small guests then their presents are accepted and their statements are listened to.' 18 By small guests is meant the official envoys sent by foreign countries. The envoys of foreign countries all are barbarians, and do not practice these ceremonies. Therefore one only listens to their statements, and that is all. When King Wu overcame the Shang, he opened communications with the nine I (eastern barbarians) and the eight Man (southern barbarians). . . . States at a great distance came to offer up presents; in all cases their offerings were accepted and their statements were listened to. " Under the Han . . . (a total of) thirty-six states were all dependents of the Middle (Kingdom) and offered tribute . . . (when) they came to present offerings, they all received rewards so as to send them away with gifts. " In the T'ang when foreign envoys offered tribute, the ceremonies for their banqueting and audience had four parts: going out to meet and greet them; preparing them for audience; receiving the foreign envoys' congratulatory memorials and presents; and the Emperor's banquet for the envoys of foreign countries.... closely as possible to the chief manual now available (BRUNNERT) we suggest Residence for Tributary Envoys. DUYVENDAK (3) 45-49 uses " lodginghouse " but not as an official title, and agrees that LIN has " rather overtranslated." Prof. DUYVENDAK also describes (from the Chia-ch'ing hui-tien shih-li) some seven locations of establishments used to house embassies at various dates, all nominally under or part of the Hui T'ung Kuan, a title which therefore cannot easily be associated with one particular place. 1 Ta-Ming chi-li 30.a sb. 18 Cf. Chous Li, Hsiao hsing le'n 37. 24 (BIOT 2. 411)