ON THE CHING TRIBUTARY SYSTEM 145 "Under the Sung when the envoys of foreign countries arrived,they were feasted and given audience in the hall of the palace (tzu-ch'en tien紫盒殿)and in the Ch'ung-cheng Hall崇政殿.The ceremonies for going out to meet and greet (the envoys),preparing them for audience,and entertaining them at banquets,all were the same as for the T'ang.,· "In the Yiian period from the time of the Emperor T'ai-tsu (Jenghis Khan,1206-12g7)）the Uigurs(wei-wu-erh畏吾兒)，the Moslems(hui-hu间腸)，the Tanguts(Hsi Hsia),the Western Re- gions,and Koryo all sent envoys to present tribute.After the time of the Emperor Shih-tsu (Kublai Khan 1260-1294),Annam,Champa, Yunnan,.Laos,Northern Burma(Mien kuo緬國)，Tali(in Yun- nan),and Fu-lang,20 all sent envoys to offer up tribute. "Under the reigning dynasty in 1369,the country of Champa sent a minister(named)Hu-tu-man虎都蠻to come with tribute;Kory sent a minister,the President of the Board of Ceremonies,HUNG Shang-tsai洪尙載；Annam sent a minister,.T'UNG Shih-min同時敏， and others.All presented tribute of local produce.When they had arrived (at the borders of China),an officer memorialized for the Emperor's information and went out of the capital (ch'u kuo men 出國門)to meet and greet them.On an appointed day after they had presented a tributary memorial and presents of local produce at the Feng-t'ien Hall,they presented their memorials and local produce at the central palace (i.e.to the Empress)and at the eastern palace (to the Heir-apparent).After the Emperor sent officials to the Resi- dence (hui-t'ung-kuan)to give them banquets,the Heir-apparent again sent officials to treat them ceremoniously.The departments and offices at the capital all held banquets.When they were about to return,a legate was sent to console them and escort them out of the boundaries.If it was an ordinary Court,then the clerks in the Grand Secretariat(chung-shu)took receipt of the tributary memorials and the local produce.On the following day the envoys followed the ushers into an imperial audience,and their banquet was conferred upon them.The Emperor and the Heir-apparent composed rescripts (to the tributary memorials)and treated (the envoys)ceremoniously. We now arrange these ceremonies to form the section on 'Foreign envoys presenting tribute at court...." chin-ch'ih,lit.gold teeth,Laos or Shan tribes who gilded their teeth. o拂郎GLps3659 identifies this with Fu-lin袜，now recognized as the Eastern Roman Empire or Syria. Ta-Ming chi-li 31.1-3. 2
ON THE CH'ING TRIBUTARY SYSTEM 145 "Under the Sung when the envoys of foreign countries arrived, they were feasted and given audience in the hall of the palace (tzui-ch'en tien WAXY) and in the Ch'ung-cheng Hall i The ceremonies for going out to meet and greet (the envoys), preparing them for audience, and entertaining them at banquets, all were the same as for the T'ang.... " In the Yuan period from the time of the Emperor T'ai-tsu (Jenghis Khan, 1206-1227) the Uigurs (wei-wu-erh Ad J), the Moslems (hui-hu MNy), the Tanguts (Hsi Hsia), the Western Regions, and Koryo all sent envoys to present tribute. After the time of the Emperor Shih-tsu (Kublai Khan 1260-1294), Annam, Champa, Yunnan, Laos,'9 Northern Burma (Mien kuo MM), Tali (in Yunnan), and Fu-lang,20 all sent envoys to offer up tribute. " Under the reigning dynasty in 1369, the country of Champa sent a minister (named) Hu-tu-man LISW to come with tribute; Koryo sent a minister, the President of the Board of Ceremonies, HUNG Shang-tsai iVEMP'; Annam sent a minister, T'UNG Shih-min PI HITV and others. All presented tribute of local produce. When they had arrived (at the borders of China), an officer memorialized for the Emperor's information and went out of the capital (ch'u kuo men 1?1 H) to meet and greet them. On an appointed day after they had presented a tributary memorial and presents of local produce at the Feng-t'ien Hall, they presented their memorials and local produce at the central palace (i. e. to the Empress) and at the eastern palace (to the Heir-apparent). After the Emperor sent officials to the Residence (hui-t'ung-kuan) to give them banquets, the Heir-apparent again sent officials to treat them ceremoniously. The departments and offices at the capital all held banquets. When they were about to return, a legate was sent to console them and escort them out of the boundaries. If it was an ordinary Court, then the clerks in the Grand Secretariat (chung-shu) took receipt of the tributary memorials and the local produce. On the following day the envoys followed the ushers into an imperial audience, and their banquet was conferred upon them. The Emperor and the Heir-apparent composed rescripts (to the tributary memorials) and treated (the envoys) ceremoniously. We now arrange these ceremonies to form the section on ' Foreign envoys presenting tribute at court. ..' " 21 19 M chin-ch'ih, lit. gold teeth, Laos or Shan tribes who gilded their teeth. 20 age GILES 3659 identifies this with Fu-lin fA, now recognized as the Eastern Roman Empire or Syria. 21 Ta-Ming chi-li 31.1-3. 2
146 J.K.FAIRBANK AND S.Y.TENG “3.SENDING(CHINESE)NVOYS(ABROAD)(Ch'ien-shih遣使). "In ancient times the Son of Heaven,toward the feudal princes who had submitted to him,occasionally would observe the ceremony of inquiring about charities,congratulations,or mourning sacrifices. Envoys were not yet sent to pay visits outside the Nine Chou (i.e. the empire). "In the Han period the Emperor Kao (B.C.206-195)sent Lu Chia on a mission to Nan-yuieh (Kwangtung-Kwangsi),con- ferring upon him a seal of office.In the time of the filial (Emperor) Wen (179-157)Lu Chia again was sent,receiving an imperial man- date (chao)to go to Nan-yuieh.When the filial (Emperor)Wu (140- 87)had dealings with the barbarians (ssu-i)he sent CHANG Ch'ien on a mission to the Western Regions (in the capacity of)an imperial guard(Iang郎)，and Sv Wu蘇武on a mission to the Hsiung-nu as a lieutenant-general(chung lang chiang中郎將).There- after whenever a foreign kingdom had a bereavement,condoling in- quiries were made;when they came with inquiries and presents,they were answered and rewarded;when they tendered their allegiance,an imperial seal was bestowed upon them.The Emperor Kuang-wu in A.D.50 sent the lieutenant-general TUAN Ch'en and the assist- ant governor WANG Yii王郁，on a mission to the southern Chieftain (of the Hsiung-nu).The Chieftain prostrated himself to receive the imperial mandate.In 55 A.D.the Chieftain died and (the Emperor) sent the lieutenant-general,TUAN Ch'en,in command of an army to go and offer condolences.... "In the T'ang period when an envoy was sent to a foreign country he was called‘an envoy to foreign countries'(ju-fan shih入使). “In the ung period when a envoywasen tofor信使y he was called‘an envoy with a state message'(kuo-hsin shih國信使). The Emperor T'ai-tsu in 975 sent the Hsi shang ko men shih( 閣門使Usher of the Upper Western Hall),HAo Ch'ung-hsin郝崇信， on a mission to the Khitan,with the secretary of the Court of Sacri- ficial Worship as his assistant.From this time on,messengers were sent without interruption.... "Under the Yiian in 1211 (the Emperor)sent an envoy to the kingdom of the Uigurs.Their ruler,I-tu-hu,was greatly pleased,and treated (the envoy)with very extensive ceremony.For this reason he sent an envoy to pay tribute.In 1260 (the Emperor,i.e.Kublai Khan)sent the Director of the Board of Ceremonies,MENG Chia
146 J. K. FAIRBANK AND S. Y. TPNG ". SENDING (CHINESE) ENVOYS (ABROAD) (Ch'ien-shih . "In ancient times the Son of Heaven, toward the feudal princes who had submitted to him, occasionally would observe the ceremony of inquiring about charities, congratulations, or mourning sacrifices. Envoys were not yet sent to pay visits outside the Nine Chou (i. e. the empire). " In the Han period the Emperor Kao (B. C. 206-195) sent Lu Chia MM on a mission to Nan-yiieh (Kwangtung-Kwangsi), conferring upon him a seal of office. In the time of the filial (Emperor) Wen (179-157) Lu Chia again was sent, receiving an imperial mandate (chao) to go to Nan-yiieh. When the filial (Emperor) Wu (140- 87) had dealings with the barbarians (ssui-i) he sent CHANG Ch'ien &k*, on a mission to the Western Regions (in the capacity of) an imperial guard (lang MS), and Su Wu SA on a mission to the Hsiung-nu as a lieutenant-general (chung lang chiang +P J W) . Thereafter whenever a foreign kingdom had a bereavement, condoling inquiries were made; when they came with inquiries and presents, they were answered and rewarded; when they tendered their allegiance, an imperial seal was bestowed upon them. The Emperor Kuang-wu in A. D. 50 sent the lieutenant-general TUAN Ch'en R*$ and the assistant governor WANG YU TEVJl, on a mission to the southern Chieftain (of the Hsiung-nu). The Chieftain prostrated himself to receive the imperial mandate. In 55 A. D. the Chieftain died and (the Emperor) sent the lieutenant-general, TUAN Ch'en, in command of an army to go and offer condolences.... " In the T'ang period when an envoy was sent to a foreign country he was called 'an envoy to foreign countries' (ju-fan shih A#1X). * . @ "In the Sung period when an envoy was sent to a foreign country he was called 'an envoy with a state message' (kuo-hsin shih IM{C{M). The Emperor T'ai-tsu in 975 sent the Hsi shang ko men shih ( i?E rAPJH{ Usher of the Upper Western Hall), HAO Ch'ung-hsin 4IMA*{ on a mission to the Khitan, with the secretary of the Court of Sacrificial Worship as his assistant. From this time on, messengers were sent without interruption. ... " Under the Yuan in 1211 (the Emperor) sent an envoy to the kingdom of the Uigurs. Their ruler, J-tu-hu, was greatly pleased, and treated (the envoy) with very extensive ceremony. For this reason he sent an envoy to pay tribute. In 1260 (the Emperor, i. e. Kublai Khan) sent the Director of the Board of Ceremonies, MENG Chia
ON THE CHING TRIBUTARY SYSTEM 147 孟甲，and the Assistant Department Director LI Chuin李俊，asen- voys to Annam and Tali.In 1266 he sent the Vice-President of the Board of War,,Hei-ti黑的，as envoy to Japan.Inl291 he sent the President of the Board of Ceremonies,,CHANG Li-tao張立道，asen- voy to Annam;in 1293 he also sent LIANG Tseng and CH'EN Fu as envoys to Annam,to summon envoys to come to the Court; he also gave an imperial command that the son (of the ruler of Annam)should come for an audience. "The reigning dynasty has united the whole empire into one. Various envoys have been sent out in order to show compassion to those at a distance.To such countries as Korea (Kao-li),Annam,and Champa imperial proclamations have been promulgated and the im- perial commands have been sent to them.Furthermore by imperial command envoys have gone and conferred the imperial seal.The dynasty has also sent down fragrant presents in order to make sacrifices to the mountains and streams of these countries.Its purpose in soothing and subduing the barbarians of the four quarters is most complete.We now in detail set forth the ceremonies connected with the issue of imperial proclamations,the conferring of a seal,and the bestowals and gifts to form the section on 'Sending Envoys....'" From the official resume just quoted,several things stand out. Relations between the Son of Heaven and his tributaries were on an ethical basis,and hence reciprocal.The tributaries were submissive and reverent,the Emperor was compassionate and condescending. These reciprocal relationships required formal expression.Presentation of tribute was a ritual performance,balanced by the forms of im- perial hospitality and bestowal of imperial gifts.Hence the great im- portance of ceremonies,so complicated that they must be practiced under guidance beforehand.The detailed regulations given at length in official Chinese works 2 might fruitfully be compared with the feudal and ecclesiastical ceremonies of medieval Europe. 2Ibid.82.1-8. Cf.Wan-li hui-tien 58,8b line 9):"Reception by a foreign country of a seal and goods:...the foreign king and his officials in a body all kneel.The envoy proclaims the imperial decree,reading,'His Majesty the Emperor commands his envoy- (to be filled in by name)to take a seal and confer it on your country's king- and also confer- -goods.'When this proclamation is finished,the envoy holds up in both hands the seal which is conferred and the- —goods,.and facing the west gives them to the foreign king.The foreign king kneels and receives them,and gives them to his attendants.When this is finished,the ceremonial conductor (yin-li
ON THE CH'ING TRIBUTARY SYSTEM 147 A IF, and the Assistant Department Director Li Chiin A4d, as envoys to Annam and Tali. In 1266 he sent the Vice-President of the Board of War, Hei-ti >M1, as envoy to Japan. In 1291 he sent the President of the Board of Ceremonies, CHANG Li-tao 4K<'X, as envoy to Annam; in 1293 he also sent LIANG Tseng Mt and CH'EN Fu Ie as envoys to Annam, to summon envoys to come to the Court; he also gave an imperial command that the son (of the ruler of Annam) should come for an audience. " The reigning dynasty has united the whole empire into one. Various envoys have been sent out in order to show compassion to those at a distance. To such countries as Korea (Kao-li), Annam, and Champa imperial proclamations have been promulgated and the imperial commands have been sent to them. Furthermore by imperial command envoys have gone and conferred the imperial seal. The dynasty has also sent down fragrant presents in order to make sacrifices to the mountains and streams of these countries. Its purpose in soothing and subduing the barbarians of the four quarters is most complete. We now in detail set forth the ceremonies connected with the issue of imperial proclamations, the conferring of a seal, and the bestowals and gifts to form the section on 'Sending Envoys....' A" 22 From the official resume just quoted, several things stand out. Relations between the Son of Heaven and his tributaries were on an ethical basis, and hence reciprocal. The tributaries were submissive and reverent, the Emperor was compassionate and condescending. These reciprocal relationships required formal expression. Presentation of tribute was a ritual performance, balanced by the forms of imperial hospitality and bestowal of imperial gifts. Hence the great importance of ceremonies, so complicated that they must be practiced under guidance beforehand. The detailed regulations given at length in official Chinese works 23 might fruitfully be compared with the feudal and ecclesiastical ceremonies of medieval Europe. 22 Ibid. 32.1-3. 23 Cf. Wan-li hui-tien 58, 8b line 9): " Reception by a foreign country of a seal and goods: . . . the foreign king and his officials in a body all kneel. The envoy proclaims the imperial decree, reading, 'His Majesty the Emperor commands his envoy (to be filled in by name) to take a seal and confer it on your country's king and also confer goods.' When this proclamation is finished, the envoy holds up in both hands the seal which is conferred and the goods, and facing the west gives them to the foreign king. The foreign king kneels and receives them, and gives them to his attendants. When this is finished, the ceremonial conductor (yin-li
148 J.K.FAIRBANK AND S.Y.TENG But,as in European experience,very practical results were achieved within this cloak of ritual.Mourning for the dead being a major ceremony in the Confucian life,the Emperor could properly send his envoys abroad on the death of a foreign ruler,at just the time when it was desirable to have information as to the new ruler and perhaps exert pressure upon affairs in the foreign state.TUAN Ch'en,in going to offer condolences to the Hsiung-nu,incidentally took an army with him.Bestowal of an imperial seal upon a new ruler has obvious analogies to the recognition of new governments practiced in the West. Diplomatic courtesies of a sort were extended to tributary envoys, who traveled by government post and received state burial if they died in China.Other comparisons can be made to show that the tributary system functioned,among other things,as a diplomatic medium.The fact that the normal needs of foreign intercourse could be met in this egocentric manner tended to perpetuate it,and made any other system seem impossible.Hence the fatal tenacity with which the Manchu Court in the modern period tried to solve its foreign problems through the ancient tributary mechanism. 2.TRIBUTARIES OF THE LATE MING. The foregoing essay has attempted to suggest certain lines of approach to this subject,any one of which might be made a topic in itself.The nature of the sources,however,seems to prescribe a certain order of investigation:studies of political theory and national psy- chology connected with tribute must wait upon a more complete understanding of the basic facts of the system,in particular upon an understanding of its economic basis,-what were the conditions of trade between the tributaries and China?This important commercial aspect,in turn,can be approached perhaps most easily through a study of the so-called tribute embassies themselves,-whence did they come and how often?This brings us to the immediate question,what places outside of China were actively tributary,and what fluctuations can be observed in their sending of embassies? Students of the Ch'ing period are fortunate not only in their oppor- tunities in a virgin field but also in the fact that a number of 写引醴)calls out,.‘Fall prostrate;rise(to a kneeling position);get up.'The official usher calls out the same (commands).The foreign king and his officials in a body all fall prostrate,rise (to a kneeling position),and get up.."etc.PAUrHER 14-22 gives a not impeccable but useful translation of Ta-.ch'ing t'ung--大清通體 (edition 1756)ch.43 on tributary ceremony in general
148 J. K. FAIRBANK AND S. Y. TENG But, as in European experience, very practical results were achieved within this cloak of ritual. Mourning for the dead being a major ceremony in the Confucian life, the Emperor could properly send his envoys abroad on the death of a foreign ruler, at just the time when it was desirable to have information as to the new ruler and perhaps exert pressure upon affairs in the foreign state. TUAN Ch'en, in going to offer condolences to the Hsiung-nu, incidentally took an army with him. Bestowal of an imperial seal upon a new ruler has obvious analogies to the recognition of new governments practiced in the West. Diplomatic courtesies of a sort were extended to tributary envoys, who traveled by government post and received state burial if they died in China. Other comparisons can be made to show that the tributary system functioned, among other things, as a diplomatic medium. The fact that the normal needs of foreign intercourse could be met in this egocentric manner tended to perpetuate it, and made any other system seem impossible. Hence the fatal tenacity with which the Manchu Court in the modern period tried to solve its foreign problems through the ancient tributary mechanism. 2. TRIBUTARIES OF THE LATE MING. The foregoing essay has attempted to suggest certain lines of approach to this subject, any one of which might be made a topic in itself. The nature of the sources, however, seems to prescribe a certain order of investigation: studies of political theory and national psychology connected with tribute must wait upon a more complete understanding of the basic facts of the system, in particular upon an understanding of its economic basis,-what were the conditions of trade between the tributaries and China? This important commercial aspect, in turn, can be approached perhaps most easily through a study of the so-called tribute embassies themselves,-whence did they come and how often? This brings us to the immediate question, what places outside of China were actively tributary, and what fluctuations can be observed in their sending of embassies? Students of the Ch'ing period are fortunate not only in their opportunities in a virgin field but also in the fact that a number of |1) calls out, 'Fall prostrate; rise (to a kneeling position); get up.' The official usher calls out the same (commands). The foreign king and his officials in a body all fall prostrate, rise (to a kneeling position), and get up . . ." etc. PAUTHIER 14-22 gives a not impeccable but useful translation of Ta-ch'ing t'ung-li *}fp"JI- (edition 1756) ch. 43 on tributary ceremony in general
ON THE CHING TRIBUTARY SYSTEM 149 eminent scholars have established,by their studies of the Ming period,certain points d'appui from which Ch'ing studies may take their start.Researches on the maritime expeditions under CHENG Ho are a case in point,to say nothing of those concerning medieval travelers in Central Asia.Since,moreover,the Manchus took over the Ming administration almost as it stood and altered it only by degrees,the Ch'ing system of government can really be understood only against its Ming background.We therefore begin with a glance at the tributary system of the late Ming period. With the exception of certain aboriginal border tribes under the supervision of the Board of War,all Ming tributary relations were under the management of the Reception Department (Chu K'o Ssu 主客司)of the Board of Ceremonies..4 We present below(table 1) the tributaries listed under the Reception Department in the last Ming edition of the Collected Statutes (1587).25 It will at once be The Statutes open as follows (Wan-li hui-tien 105.80,in ts'e 7):"Reception Department:the Directors,Assistant Directors,and Second Class Secretaries share the charge of matters connected with the various barbarians'presentation of tribute at Court,and their entertainment and the bestowal of gifts upon them.They select their interpreters and attendants,and make known to them the prohibitory regu- lations.They also have control over gifts made,by imperial grace to the various officials (of the empire)and the tribute of local produce from the various provinces. "Court tribute (ch'ao-kung):at the beginning of the dynasty the Court tribute (i.e.presented at Court)of the various foreign countries and of the tribal officials among the barbarians was clearly recorded in the Administrative Duties [chih-chang 掌for Chu-ssu chih--chang諸司(Administrative duties of the various of压ces),the first work listed in the bibliography given in Wan-li hui-tien,ts'e 1,preceding chuian 1l. Thereafter those who longed to be transformed (i.e.civilized,mu-hua che) multiplied,the cases and precedents daily increased,and the Tribal Officials Office (t'u-kuan ya-men)was set up.For this,see under the Board of War;matters con- cerning Court tribute are appended here. "Barbarians of the east and south,part one:see the Ancestral Instructions [tsu-hstin l訓，for Huang-Ming tsu-hsiin皇明，another work listed in the bibliography just noted]and the Administrative Duties;there are altogether twenty countries.The Ancestral Instructions enumerate the unconquered barbarians as follows:Korea (Kao- li),Japan,Great and Small Liu-ch'iu,Annam,Cambodia,Siam,Champa,Samudra, Western Ocean (Hsi-yang),Java,Pahang,Pai-hua (Po-hua?),Palembang,Brunei, altogether fifteen countries.In the Duties of Administration there are also recorded the countries of Chola,Western Ocean Chola,Lan-pang,Tan-pa,Samudra,-which is a bit different from the Ancestral Instructions."The Statute continues from here as quoted in note 26. #s Wan-li hui-tien 105-108.For comparative purposes we take this list from the Ming hui-tien as the most exact available description of the situation in 1587,a century before the first edition of the Ch'ing hui-tien in 1690.It may be compared
ON THE CH'ING TRIBUTARY SYSTEM 149 eminent scholars have established, by their studies of the Ming period, certain points d'appui from which Ch'ing studies may take their start. Researches on the maritime expeditions under CHENG HO are a case in point, to say nothing of those concerning medieval travelers in Central Asia. Since, moreover, the Manchus took over the Ming administration almost as it stood and altered it only by degrees, the Ch'ing system of government can really be understood only against its Ming background. We therefore begin with a glance at the tributary system of the late Ming period. With the exception of certain aboriginal border tribes under the supervision of the Board of War, all Ming tributary relations were under the management of the Reception Department (Chu K'o Ssui t~a1) of the Board of Ceremonies.24 We present below (table 1) the tributaries listed under the Reception Department in the last Ming edition of the Collected Statutes (1587).25 It will at once be 24 The Statutes open as follows (Wan-li hui-tien 105. 80, in ts'e 7): "Reception Department: the Directors, Assistant Directors, and Second Class Secretaries share the charge of matters connected with the various barbarians' presentation of tribute at Court, and their entertainment and the bestowal of gifts upon them. They select their interpreters and attendants, and make known to them the prohibitory regulations. They also have control over gifts made, by imperial grace to the various officials (of the empire) and the tribute of local produce from the various provinces. " Court tribute (ch'ao-kung): at the beginning of the dynasty the Court tribute (i.e. presented at Court) of the various foreign countries and of the tribal officials among the barbarians was clearly recorded in the Administrative Duties [chih-chang JW for Chu-sfi4 chih-chang ofiJ (Administrative duties of the various offices), the first work listed in the bibliography given in Wan-li hui-tien, ts'e 1, preceding chfian 1]. Thereafter those who longed to be transformed (i. e. civilized, mu-hua che g1*,) multiplied, the cases and precedents daily increased, and the Tribal Officials Office (t'u-kuan ya-men) was set up. For this, see under the Board of War; matters concerning Court tribute are appended here. " Barbarians of the east and south, part one: see the Ancestral Instructions [tsu-hsiin O11N, for Huang-Ming tsu-hsiin lf~ff, another work listed in the bibliography just noted] and the Administrative Duties; there are altogether twenty countries. The Ancestral Instructions enumerate the unconquered barbarians as follows: Korea (Kaoli), Japan, Great and Small Liu-ch'iu, Annam, Cambodia, Siam, Champa, Samudra, Western Ocean (Hsi-yang), Java, Pahang, Pai-hua (Po-hua?), Palembang, Brunei,- altogether fifteen countries. In the Duties of Administration there are also recorded the countries of Chola, Western Ocean Chola, Lan-pang, Tan-pa, Samudra,-which is a bit different from the Ancestral Instructions." The Statute continues from here as quoted in note 26. 25 Wan-li hui-tien 105-108. For comparative purposes we take this list from the Ming hui-tien as the most exact available description of the situation in 1587, a century before the first edition of the Ch'ing hui-tien in 1690. It may be compared