ON THE CHING TRIBUTARY SYSTEM J.K.FAIRBANK AND S.Y.TENG HARVARD UNIVERSITY CONTENTS PAGE 1.The traditional role of tribute 185 2.Tributaries of the late Ming. 144 Table 1:Ming tributaries c.1587. 151 3.The Li Fan Yiian (Court of Colonial Affairs)under the Ch'ing 158 4.Ch'ing tributaries from the south and east,-general regulations 163 Table 2:Regular Ch'ing tributaries 174 Table 3:Frequency and routes of tribute 176 5.European countries in the tributary system 178 Table 4:European embassies to the Court of Peking. 188 6.Ch'ing tribute embassies and foreign trade 190 Table 5:Tribute embassies 1662-1911 193 Table 6:Non-tributary trading countries 1818. 02 7.A selected list of Ch'ing works 1644-1860 on maritime relations. e06 8.Index of tributaries listed in six editions of the Collected Statutes 219 Appendix 1:Bibliographical note.. 238 Appendix 2:Additional lists of Ch'ing tributaries. 248 Appendix 3:Author and title index to section 7. 245 1.THE TRADITIONAL ROLE OF TRIBUTE Chinese foreign policy in the nineteenth century can be understood only against its traditional Chinese background,the tributary system. This system for the conduct of foreign relations had been directly inherited from the Ming dynasty (1368-1644)and modified to suit the needs of the Manchus.As a Confucian world-order in the Far East,it continued formally in existence until the very end of the nineteenth century,and was superseded in practice only gradually, after 1842,by the British treaty system which has until recently governed the foreign relations of Siam,Japan,and other states,as well as China.The Chinese diplomatic documents of a century ago are therefore really unintelligible unless they are studied in the light of the imperial tributary system which produced them.1 :We are indebted to Prof.C.S.GARDNER for assistance on several points,par- ticularly regarding the table of western embassies in part 5.This article,like its predecessors,is intended to deal with administrative problems of importance for the study of Chinese foreign relations in the nineteenth century.J.K.FAIRBANK and S.Y.TENG,On the Transmission of Ch'ing Documents,HJAS 4.12-46;On the Types and Uses of Ch'ing Documents,ibid.,5.1-71 (Corrigendum p.59,Shen-ch'eng:for ch'eng呈read ch'en陳), 135
ON THE CH'ING TRIBUTARY SYSTEM J. K. FAIRBANK AND S. Y. TENG HARVARD UNIVERSITY CONTENTS PAGE 1. The traditional role of tribute . . . . . . . . . . . . . . 135 2. Tributaries of the late Ming . . . . . . . . . . . . . . . 144 Table 1: Ming tributaries c. 1587. . . . . . . . . . . . . 151 3. The Li Fan Yuan (Court of Colonial Affairs) under the Ch'ing 158 4. Ch'ing tributaries from the south and east,-general regulations 163 Table 2: Regular Ch'ing tributaries . . . . . . . . . . . . 174 Table 3: Frequency and routes of tribute . . . . . . . . . . 176 5. European countries in the tributary system . . . . . . . . . . 178 Table 4: European embassies to the Court of Peking. . . . . . . 188 6. Ch'ing tribute embassies and foreign trade . . . . . . . . . . 190 Table 5: Tribute embassies 1662-1911 . . . . . . . . . . . 193 Table 6: Non-tributary trading countries 1818. . . . . . . . . 202 7. A selected list of Ch'ing works 1644-1860 on maritime relations.. . .206 8. Index of tributaries listed in six editions of the Collected Statutes . . . 919 Appendix 1: Bibliographical note. . . . . . . . . . . . . . . 238 Appendix 2: Additional lists of Ch'ing tributaries. . . . . . . . . . 243 Appendix 3: Author and title index to section 7 . . . . . . . . . .245 1. THE TRADITIONAL ROLE OF TRIBUTE Chinese foreign policy in the nineteenth century can be understood only against its traditional Chinese background, the tributary system. This system for the conduct of foreign relations had been directly inherited from the Ming dynasty (1368-1644) and modified to suit the needs of the Manchus. As a Confucian world-order in the Far East, it continued formally in existence until the very end of the nineteenth century, and was superseded in practice only gradually, after 1842, by the British treaty system which has until recently governed the foreign relations of Siam, Japan, and other states, as well as China. The Chinese diplomatic documents of a century ago are therefore really unintelligible unless they are studied in the light of the imperial tributary system which produced them.' 'We are indebted to Prof. C. S. GARDNER for assistance on several points, particularly regarding the table of western embassies in part 5. This article, like its predecessors, is intended to deal with administrative problems of importance for the study of Chinese foreign relations in the nineteenth century. Cf. J. K. FAIRBANK and S. Y. TENG, On the Transmission of Ch'ing Documents. HJAS 4.12-46; On the Types and Uses of Ch'ing Documents, ibid., 5. 1-71 (Corrigendum p. 59, Shen-ch'eng: for ch'eng a read ch'6n A). 135
186 J.K.FAIRBANK AND S.Y.TENG The ramifications of this vast subject,in political theory,in inter- national trade,and in diplomacy,have been explored by a few pioneer scholars,2 some of whom have traced the development of the admini- stration of foreign trade from the Sung up to the late Ming,while others have painstakingly established translations of texts concerning the seven great Ming expeditions of the early fifteenth century.These expeditions under the eunuch CHENG Ho and others in the period 1403- 1433 took Chinese fleets of as many as 60 vessels and 27,000 men into the Indian Ocean and in some cases as far as Arabia and Africa,and the period has rightly attracted attention as the high point of Chinese tributary relations.Studies of the tributary system in the Ch'ing period,however,are less numerous;relatively little effort has been made to link the sorry Chinese foreign policy of the nineteenth cen- tury with the great tradition which lay behind it.To do so will require the efforts of many workers over a long period. The present article attempts a preliminary survey of the tributary system as it developed under the Ch'ing dynasty of the Manchus (1644-1912).In order to reach useful conclusions on a subject of such magnitude,we have based this study chiefly upon the various editions of the Collected Statutes (Hui-tien),s which not only are the fundamental official source for the general structure of the system, but also reflect its history,as mirrored in successive changes and re- vised editions,over a period of more than two hundred years.The Collected Statutes,moreover,were issued both as a record of admini- strative practice and as a guide to the bureaucracy in its day by day activities.In this they excel for our purposes the official compilations of a later date,such as the Draft History of the Ch'ing Dynasty (Ch'ing-shih kao),which are at one remove from the scene and compiled by,if not for,posterity.Before proceeding to the pre- sentation and analysis of this material,we offer below a brief ex- [For this long bibliographical note,including the abbreviations used in footnotes, see appendix 1 at end of this article.] sTa-ming hui-tien大明會典or Ch'in-ting ta-ching hui--tien欽定清;the various editions are cited hereafter by the reigns in which they were issued,chronologically as follows: Wan-li hui-tien (Ta-ming hui-tien,preface dated 1587), K'ang-hsi hui-tien (Ta-ch'ing hui-tien,pub.1690), Yung-cheng hui-tien (pref.1732), Ch'ien-lung hui-tien,and Ch'ien-lung hui-tien tse-li (both completed 1764), Chia-ch'ing hui-tien,and Chia-ch'ing hui-tien shih-li (both completed 1818), Kuang-hsi hui-tien,and Kuang-hsi hui-tien shih-li (both pub.1899)
136 J. K. FAIRBANK AND S. Y. TENG The ramifications of this vast subject, in political theory, in international trade, and in diplomacy, have been explored by a few pioneer scholars,2 some of whom have traced the development of the administration of foreign trade from the Sung up to the late Ming, while others have painstakingly established translations of texts concerning the seven great Ming expeditions of the early fifteenth century. These expeditions under the eunuch CHENG Ho and others in the period 1403- 1433 took Chinese fleets of as many as 60 vessels and 27,000 men into the Indian Ocean and in some cases as far as Arabia and Africa, and the period has rightly attracted attention as the high point of Chinese tributary relations. Studies of the tributary system in the Ch'ing period, however, are less numerous; relatively little effort has been made to link the sorry Chinese foreign policy of the nineteenth century with the great tradition which lay behind it. To do so will require the efforts of many workers over a long period. The present article attempts a preliminary survey of the tributary system as it developed under the Ch'ing dynasty of the Manchus (1644-1912). In order to reach useful conclusions on a subject of such magnitude, we have based this study chiefly upon the various editions of the Collected Statutes (Hui-tien),3 which not only are the fundamental official source for the general structure of the system, but also reflect its history, as mirrored in successive changes and revised editions, over a period of more than two hundred years. The Collected Statutes, moreover, were issued both as a record of administrative practice and as a guide to the bureaucracy in its day by day activities. In this they excel for our purposes the official compilations of a later date, such as the Draft History of the Ch'ing Dynasty (Ch'ing-shih kao), which are at one remove from the scene and compiled by, if not for, posterity. Before proceeding to the presentation and analysis of this material, we offer below a brief ex- 2 [For this long bibliographical note, including the abbreviations used in footnotes, see appendix 1 at end of this article.] 3 Ta-ming hui-tien *a At or Ch'in-ting ta-ch'ing hui-tien A ,; the various editions are cited hereafter by the reigns in which they were issued, chronologically as follows: Wan-li hui-tien (Ta-ming hui-tien, preface dated 1587), K'ang-hsi hui-tien (Ta-ch'ing hui-tien, pub. 1690), Yung-che'ng hui-tien (pref. 1732), Ch'ien-lung hui-tien, and Ch'ien-lung hui-tien tsei-li (both completed 1764), Chia-ch'ing hui-tien, and Chia-ch'ing hui-tien shih-li (both completed 1818), Kuang-hsui hui-tien, and Kuang-hsi hui-tien shih-li (both pub. 1899)
ON THE CHING TRIBUTARY SYSTEM 137 planatory discussion of the function of tribute in the Chinese state, which may serve to pose further problems for research. For purpose of analysis it may be pointed out (1)that the tributary system was a natural outgrowth of the cultural pre- eminence of the early Chinese,(2)that it came to be used by the rulers of China for political ends of self-defense,(3)that in practice it had a very fundamental and important commercial basis,and (4) that it served as the medium for Chinese international relations and diplomacy.It was,in short,a scheme of things entire,and deserves attention as one historical solution to problems of world-organization. Behind the tributary system as it became institutionalized in the Ming and Ch'ing periods lay the age-old tradition of Chinese cultural superiority over the barbarians.Continuously from the bronze age, when Shang civilization first appears as a culture-island in North China,this has been a striking element in Chinese thought,per- petuated by the eternal conflict between the settled agrarian society of the Yellow River basin and the pastoral nomads of the steppe beyond the Wall,as well as by the persistent expansion of the Chinese to the south among the tribes whose remnants are now being absorbed in Yunnan and Kweichow.From this contact with the nomads of the north and west and with the aborigines of the south,the Chi- nese appear to have derived certain basic assumptions which may be stated as follows:first,that Chinese superiority over the bar- barians had a cultural rather than a mere political basis;it rested +Satisfactory equivalents of certain key terms are not easily established.Fan (fence,boundary,frontier)as used with reference to countries outside China has a connotation somewhere in between "foreign"and "barbarian";we have usually used the gentler term. Man,L,Jung,and Ti罐夷我狄in conjunction refer to the barbarians of the south, east,west,and north,respectively;but I serves also as a generic term for all bar- barians together (Cf.Wen-hsien t'ung-k'ao 324.4).The term Ssu-i(lit."Four barbarians")is a collective term for the various barbarians dwelling in the four quarters of the compass on the periphery of the civilized world of which China was the center.It therefore indicates the barbarians in general,-all the barbarians,not those of any par- ticular places..BRUNNERT392 is in error in translating HuiT'ung Ssu I Kuan會同四譯 (for)as "Residence for Envoys of the Four Tributary States;here were domiciled Envoys from Korea,Siam,Tonkin,and Burma..." Under the Ming the Ssu I Kuan had had charge of relations both with the bar- barians of the north and west and with those of the east and south,there being no Li Fan Yuan(see sec..3 below).Thus the Ssu-i-kuan kao四夷館考(Lo Chen-yi ed.,1924)records relations with the Mongols,Samarkand,Turfan,Tibet,Hami,etc., and also with Champa,Japan,Java,Burma,and the like
ON THE CH'ING TRIBUTARY SYSTEM 137 planatory discussion of the function of tribute in the Chinese state, which may serve to pose further problems for research. For purpose of analysis it may be pointed out (1) that the tributary system was a natural outgrowth of the cultural preeminence of the early Chinese, (2) that it came to be used by the rulers of China for political ends of self-defense, (3) that in practice it had a very fundamental and important commercial basis, and (4) that it served as the medium for Chinese international relations and diplomacy. It was, in short, a scheme of things entire, and deserves attention as one historical solution to problems of world-organization. Behind the tributary system as it became institutionalized in the Ming and Ch'ing periods lay the age-old tradition of Chinese cultural superiority over the barbarians.4 Continuously from the bronze age, when Shang civilization first appears as a culture-island in North China, this has been a striking element in Chinese thought, perpetuated by the eternal conflict between the settled agrarian society of the Yellow River basin and the pastoral nomads of the steppe beyond the Wall, as well as by the persistent expansion of the Chinese to the south among the tribes whose remnants are now being absorbed in Yunnan and Kweichow. From this contact with the nomads of the north and west and with the aborigines of the south, the Chinese appear to have derived certain basic assumptions which may be stated as follows: first, that Chinese superiority over the barbarians had a cultural rather than a mere political basis; it rested ' Satisfactory equivalents of certain key terms are not easily established. Fan is (fence, boundary, frontier) as used with reference to countries outside China has a connotation somewhere in between " foreign " and " barbarian "; we have usually used the gentler term. Man, I, Jung, and Ti pAJt k in conjunction refer to the barbarians of the south, east, west, and north, respectively; but I serves also as a generic term for all barbarians together (Cf. Wen-hsien t'ung-k'ao 324. 4). The term Ssfi-i Vq I4 (lit. "Four barbarians ") is a collective term for the various barbarians dwelling in the four quarters of the compass on the periphery of the civilized world of which China was the center. It therefore indicates the barbarians in general,-all the barbarians, not those of any particular places. BRUNNERT 392 is in error in translating Hui T'ung SsA I Kuan I i E E (for A) , as "Residence for Envoys of the Four Tributary States; here were domiciled Envoys from Korea, Siam, Tonkin, and Burma. Under the Ming the SsA I Kuan had had charge of relations both with the barbarians of the north and west and with those of the east and south, there being no Li Fan Yuan (see sec. 3 below). Thus the S&i-i-kuan kao Aft (Lo Chen-yii ed., 1924) records relations with the Mongols, Samarkand, Turfan, Tibet, Hami, etc., and also with Champa, Japan, Java, Burma, and the like
138 J.K.FAIRBANK AND S.Y.TENG less upon force than upon the Chinese way of life embodied in such things as the Confucian code of conduct and the use of the Chinese written language;the sign of the barbarian was not race or origin so much as non-adherence to this way of life.From this it followed,secondly,that those barbarians who wished to "come and be transformed"(lai-hua),and so participate in the benefits of (Chinese)civilization,must recognize the supreme position of the Emperor;for the Son of Heaven represented all mankind,both Chinese and barbarian,in his ritual sacrifices before the forces of nature. Adherence to the Chinese way of life automatically entailed the recognition of the Emperor's mandate to rule all men.This supremacy of the Emperor as mediator between Heaven and Earth was most obviously acknowledged in the performance of the kotow, the three kneelings and nine prostrations to which European envoys later objected.5 It was also acknowledged by the bringing of a tribute s YANo (2)151-180 summarizes numerous Chinese and western references to the subject. It should be emphasized that the relationship to the Son of Heaven expressed by the kotow was shared by all mankind,Chinese and barbarian alike.The highest dignitaries of the empire performed this ceremony on appropriate oceasion,-as did the Emperor himself when paying reverence to Heaven (pai-t'ien).The kotow performed unilaterally,on the other hand,expressed an inferiority of status in the universal order,without which there could be no order.It was therefore appropriate, honorable,and indeed good manners when performed in the right context.Other contexts might require less elaborate ceremonies,such as one kneeling and three prostrations,.Strictly speaking,this was also a“knocking of the head,”ko-t'ou磕頭. For clarity we suggest the term "full kotow"for three kneelings and nine prostra- tions,(theoretically)knocking the head upon the ground,san-kuei chiu-k'ou li 三跪九p體;“modified kotow”for three kneelings and nine reverences bowing the head over the hands upon the ground,san-kuei chiu-pai li;and "single kotow" or "double kotow"for one-third or two-thirds,respectively,of the full kotow, i-kuei san-k'ou li,erh-kuei liu-k'ou li. This universal order of ceremony which expressed the order of all mankind may be illustrated by the following random references to the Ta-Ch'ing t'ung-li (chiian4 chun-li,military ceremonial):in the ceremony of announcing the sacrifices,the Emperor performed the modified kotow (4b).On receiving a seal indirectly from the Emperor,a generalissimo (Ta Chiang Chiin;cf.B 658:Field Marshal)and his staff performed the full kotow (12b).In another ceremony,they and the princes and high ministers of state followed the Emperor in the modified kotow (21).The princes and ministers later performed one kneeling and one prostration (i-kuei i-k'ou li),and again one head-knocking from their seats各於坐求行一叩醴(eIb).When a Mongolian prince met a prince of the imperial Manchu clan,they both performed a double kotow (Ch.46 pin-li,ceremonial for guests.1).Officials at the capital and in the provinces saluted each other with three formal bows (5,11,15 san-i;
138 J. K. FAIRBANK AND S. Y. TtNG less upon force than upon the Chinese way of life embodied in such things as the Confucian code of conduct and the use of the Chinese written language; the sign of the barbarian was not race or origin so much as non-adherence to this way of life. From this it followed, secondly, that those barbarians who wished to "come and be transformed" (lai-hua), and so participate in the benefits of (Chinese) civilization, must recognize the supreme position of the Emperor; for the Son of Heaven represented all mankind, both Chinese and barbarian, in his ritual sacrifices before the forces of nature. Adherence to the Chinese way of life automatically entailed the recognition of the Emperor's mandate to rule all men. This supremacy of the Emperor as mediator between Heaven and Earth was most obviously acknowledged in the performance of the kotow, the three kneelings and nine prostrations to which European envoys later objected.5 It was also acknowledged by the bringing of a tribute 5YANO (2) 151-180 summarizes numerous Chinese and western references to the subject. It should be emphasized that the relationship to the Son of Heaven expressed by the kotow was shared by all mankind, Chinese and barbarian alike. The highest dignitaries of the empire performed this ceremony on appropriate occasion,-as did the Emperor himself when paying reverence to Heaven (pai-t'ien ) The kotow performed unilaterally, on the other hand, expressed an inferiority of status in the universal order, without which there could be no order. It was therefore appropriate, honorable, and indeed good manners when performed in the right context. Other contexts might require less elaborate ceremonies, such as one kneeling and three prostrations. Strictly speaking, this was also a " knocking of the head," k'o-t'ou ;fflFor clarity we suggest the term " full kotow " for three kneelings and nine prostrations, (theoretically) knocking the head upon the ground, san-kuei chiu-k'ou 1i -WE JL lDjoiP; " modified kotow " for three kneelings and nine reverences bowing the head over the hands upon the ground, san-kuei chiu-pai li; and " single kotow" or " double kotow " for one-third or two-thirds, respectively, of the full kotow,- i-kuei san-k'ou li, erh-kuei liu-k'ou li. This universal order of ceremony which expressed the order of all mankind may be illustrated by the following random references to the Ta-Ch'ing t'ung-li (chilan 42 chfin-li, military ceremonial): in the ceremony of announcing the sacrifices, the Emperor performed the modified kotow (4b). On receiving a seal indirectly from the Emperor, a generalissimo (Ta Chiang Chiin; cf. B 658: Field Marshal) and his staff performed the full kotow (12b). In another ceremony, they and the princes and high ministers of state followed the Emperor in the modified kotow (21). The princes and ministers later performed one kneeling and one prostration (i-kuei i-k'ou li), and again one head-knocking from their seats ?kPfiifPji k (21b). When a Mongolian prince met a prince of the imperial Manchu clan, they both performed a double kotow (Ch. 46 pin-li, ceremonial for guests. 1). Officials at the capital and in the provinces saluted each other with three formal bows (5, 11, 15 san-i 4 4$;
ON THE CH'ING TRIBUTARY SYSTEM 189 of local produce,by the formal bestowal of a seal,comparable to the investiture of a vassal in medieval Europe,and in other ways.Thus the tributary system,as the sum total of these formalities,was the mechanism by which barbarous non-Chinese regions were given their place in the all-embracing Chinese political,and therefore ethical, scheme of things.3 This general theory is of course familiar to the most casual student of Chinese history,and yet the realities of the situation are still a matter of dispute.In the intercourse between the Chinese state and the barbarians,commercial relations became inseparably bound up with tributary.Trade was conducted by barbarian merchants who accompanied the tributary envoy to the frontier or even to the capital;sometimes it was conducted by the members of the mission itself.That tribute was a cloak for trade has been a commonplace ever since merchants from the Roman orient arrived in China in 166 A.D.claiming to be envoys of Marcus Aurelius.Thus Benedict DE GoEz,crossing Central Asia in the year 1604,describes the "sham embassies"of merchants from the western kingdoms who "forge public letters in the names of the kings whom they profess to repre- sent"and"under pretence of being ambassadors go and offer tribute to the Emperor."7 Innumerable other examples could be cited where- cf.GIes 5394 tso-i "to make a salute by bending the body until the hands touch a little below the knees,and then rising and raising the hands to the level of the eyebrows").To a superior official,a single kotow might also be used,perhaps followed by three bows (14b,16b,17).Bows and similar formalities were also prescribed for apprentices,friends,and relatives (20-21).In all this,the prescriptions regarding precedence in entering doors and directions faced in sitting were equally detailed. It should be noted (1)that all ceremonies between individuals were reciprocal in the sense that both parties took part;(2)that the ceremonial for barbarian visitors (chiian 45,pin-li)was an integral part of the whole body of ceremonial just referred to.Egalitarian westerners were ill-prepared to maintain their proper status,or any other,in this system of rites. Various aspects of the rationale of tribute have been eloquently set forth by T.C. LIN (2),and its general background by Owen LATTIMORE,Inner Asian Frontiers of China,New York,1940. 1Sir Henry YuLe,revised by H.CoRDIEB,Cathay and the Way Thither...,(4 vols.London 1913-16)4.235,242,243 n.For other examples ef.GROENEVELDT 4-5, DUYVENDAK (1)74 n.,(378-9.CHANG Hsing-lang [Chung-hsi chiao-t'ung shih-liao hui-p'ien中西交通史料滙篇(Miscellaneous historical materials on Sino- western relations),vol.5,p.534]states that the Kansu Governor reported in 1502 that there were more than 150 self-styled rulers (wang)trading from the Western Regions;cf.Ming-shih 332.6 (T'ung-wen shu-chu ed.1894)
ON THE CH'ING TRIBUTARY SYSTEM 139 of local produce, by the formal bestowal of a seal, comparable to the investiture of a vassal in medieval Europe, and in other ways. Thus the tributary system, as the sum total of these formalities, was the mechanism by which barbarous non-Chinese regions were given their place in the all-embracing Chinese political, and therefore ethical, scheme of things.6 This general theory is of course familiar to the most casual student of Chinese history, and yet the realities of the situation are still a matter of dispute. In the intercourse between the Chinese state and the barbarians, commercial relations became inseparably bound up with tributary. Trade was conducted by barbarian merchants who accompanied the tributary envoy to the frontier or even to the capital; sometimes it was conducted by the members of the mission itself. That tribute was a cloak for trade has been a commonplace ever since merchants from the Roman orient arrived in China in 166 A. D. claiming to be envoys of Marcus Aurelius. Thus Benedict DE GOEZ, crossing Central Asia in the year 1604, describes the "sham embassies" of merchants from the western kingdoms who "forge public letters in the names of the kings whom they profess to represent " and " under pretence of being ambassadors go and offer tribute to the Emperor." 7Innumerable other examples could be cited wherecf. GuLEs 5394 tso-i f1 "to make a salute by bending the body until the hands touch a little below the knees, and then rising and raising the hands to the level of the eyebrows "). To a superior official, a single kotow might also be used, perhaps followed by three bows (14b, 16b, 17). Bows and similar formalities were also prescribed for apprentices, friends, and relatives (20-21). In all this, the prescriptions regarding precedence in entering doors and directions faced in sitting were equally detailed. It should be noted (1) that all ceremonies between individuals were reciprocal in the sense that both parties took part; (2) that the ceremonial for barbarian visitors (chian 45, pin-li) was an integral part of the whole body of ceremonial just referred to. Egalitarian westerners were ill-prepared to maintain their proper status, or any other, in this system of rites. 6 Various aspects of the rationale of tribute have been eloquently set forth by T. C. LIN (2), and its general background by Owen LATTIMORE, Inner Asian Frontiers of China, New York, 1940. 7 Sir Henry YULE, revised by H. CORDIER, Cathay and the Way Thither . . ., (4 vols. London 1913-16) 4. 235, 242, 243 n. For other examples cf. GROENEVELDT 4-5, DUYVENDAK (1) 74 n., (2) 378-9. CHANG Hsing-lang q',h [Chung-hsi chiao-t'ung shih-liao hui-p'ien 4' a " (Miscellaneous historical materials on Sinowestern relations), vol. 5, p. 534] states that the Kansu Governor reported in 1502 that there were more than 150 self-styled rulers (wang) trading from the Western Regions; cf. Ming-shih 332. 6 (T'ung-wen shu-chii ed. 1894)
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)