TTLA: The ruling class of Giao Chau - An Nam during the Sui and Tang domination period

INFORMATION ABOUT DOCTORAL THESIS

1. Full name of PhD student:Pham Le Huy                        

2. Gender: Male

3. Date of birth: October 4, 1981

4. Place of birth: Hanoi

5. Decision on recognition of PhD students No. 2213/2011/QD-XHNV-SDH dated November 21, 2011

6. Changes in the training process:

- Decision No. 3203/QD-XHNV-SDH dated December 31, 2014 of the University of Social Sciences and Humanities on extending study time.

- Decision No. 3919/QD-XHNV dated November 24, 2016 of the University of Social Sciences and Humanities on adjusting the thesis topic.

7. Thesis topic name:The ruling class of Giao Chau - An Nam during the Sui and Tang domination period

8. Major: Vietnamese History Code: 62.22.03.13

9. Scientific instructor:Prof. Dr. Nguyen Quang Ngoc

10. Summary of new results of the thesis

- By supplementing archaeological data, combined with the analysis of the areas of activity of the Do clan leaders (Chu Dien, Cuu Chan) in relation to the Day River traffic route, the thesis clarifies the process of changing the local power structure in the delta and cave areas after the Hai Ba Trung uprising. The thesis points out the process of "localization" and development into a local leadership class of immigrant groups throughout the Six Dynasties through the Sui and Tang dynasties, the relationship between leaders of immigrant origin and the uprisings that broke out in Giao Chau - An Nam under the Tang dynasty.

- Based on the classification and re-evaluation of documents related to the Phung Hung uprising, the thesis re-examines the issue of Phung Hung's homeland, analyzes the development of the uprising with specific time points. The thesis also examines the uprising in relation to events outside Annam such as the activities of the Tang Dynasty in Hainan Island, thereby clarifying the activities and trends of political centrifugation and uprising for autonomy of the leaders of Giao Chau - Annam during the Sui and Tang dynasties.

- Using some new documents, especially tomb epitaphs, the thesis re-examines the specific timelines, developments, and reasons for the success and failure of the Mai Thuc Loan and Duong Thanh uprisings. Thereby, the thesis clarifies the process of changing the local power structure in the Hoan Chau region, indicating the interconnectedness between the uprisings of the leadership class in Giao Chau - An Nam and the activities of the leaders in Southern Guangxi.

- The empirical research of the Thesis acts as a hyphen for the previous studies of H. Maspéro, Tran Quoc Vuong, K. Taylor, Truong Huu Quynh and Nguyen Danh Phiet, pointing out the existence of the immigrant component in the ruling class of Giao Chau - An Nam during the Sui and Tang dynasties.

- Whether belonging to immigrant or indigenous background, the ruling class of Giao Chau - An Nam during the Sui and Tang dynasties clearly demonstrated their "indigenous" nature, and perceived and self-perceived themselves as communities of residents outside the "civilized" world of China.

- The thesis analyzes the two-sided nature of the relationship between the chieftain class in Giao Chau - An Nam and the Sui and Tang protectorate government. The Tang Dynasty relied on the chieftain class to expand its territory, indirectly ruled new lands, and collected part of taxes, corvée labor, and military service. Meanwhile, the local chieftain class initially cooperated with the protectorate government to avoid direct confrontation with the empire, maintaining the "hereditary" domination of the family and local economic interests.

- The above mentioned two-sided relationship itself contains many internal contradictions, which inevitably erupt into uprisings when the colonial government seeks to eliminate the power of the leadership class and increase exploitation of the "Di Lao" people.

- On the basis of the common perception that one is not “Chinese”, facing common risks that the leader is deprived of privileges and benefits, the “communities” that the leader represents must bear heavier taxes and corvee labor, through the connection of the relationship between leaders in the same clan or the relationship between leaders of different clans, under the Sui and Tang dynasties, the Man – Di – Lao “communities” linked together to become “inter-communities”, and more broadly, “super-communities”. That was the foundation for the development of national consciousness, helping the land of Giao Chau – An Nam escape from a thousand years of Chinese domination, go through the transitional period of the 10th century, and develop into the Dai Viet nation of the Ly – Tran dynasties.

11. Practical application:

The research results of the Thesis contribute to clarifying a historical period, the Sui and Tang domination period, and can be used to correct some inaccuracies in textbooks at all levels (including the curriculum of some universities). On the other hand, in general, through the role of local leaders, the Thesis provides an important premise to help explain the development and maturity as well as the differentiation of a social class that played a leading role leading to the victory of the struggle against the Northern domination, opening up a long-term era of independence of the country with the brilliant achievements of the renaissance of Dai Viet civilization.

12. Further research directions:

13. Published works related to the thesis:

1. Pham Le Huy (2012a), “Appearance and geographical location of An Nam Protectorate during the Tang Dynasty”, Journal of Historical Research (429), pp.34-51.

2. Pham Le Huy (2012b), “Appearance and geographical location of An Nam Protectorate during the Tang Dynasty”, Journal of Historical Research (430), pp.42-51.

3. Pham Le Huy (2012c), “Re-studying the Duong Thanh uprising (819-820)”, Journal of Historical Research (440), pp.20-36.

4. Pham Le Huy (2012d), “On some Jimi provinces from the Tang Dynasty to the Ly Dynasty during the 8th–11th century)”, The Second Congress: Asian Association of World Historians (AAWH), Ewha Woman University, Seoul.

5. Pham Le Huy (2012e), “The Tang Dynasty Postal Service System from Literature - The Case of the Annam Protectorate”, Proceedings of the Second International Symposium on Ancient Symphony, Meiji University.

6. Pham Le Huy (2012f), “Some thoughts on the event of discovering ancient tombs in Dong Ngac (Tu Liem, Hanoi)”, Han Nom Bulletin 2010-2011, pp.704-712.

7. Pham Le Huy (2013b), “Some issues on historical methodology and the outbreak time of Mai Thuc Loan's uprising”, Journal of Historical Research (444), pp.20-36.

8. Pham Le Huy (2015), “Cao Bien's magic in An Nam – From illusion to truth”, Journal of Religious Studies (141), pp.105-132.

9. Pham Le Huy (2016a), “Research on Dao Hoang temple stele (Thanh Hoai village temple, Thuan Thanh, Bac Ninh)”, Journal of Archaeology (1), pp.48-59.

10. Pham Le Huy (2016b), “Design ideas for the 7th century Japanese capital and Thang Long capital under the Ly dynasty – Viewed from the “spying” ideology and capital design of Chinese dynasties”, Journal of Social Sciences and Humanities, Vol. 2(4), pp. 384-427.

INFORMATION ON DOCTORAL THESIS

1. Full name: Pham Le Huy 2. Sex: Male

3. Date of birth: October 4, 1981 4. Place of birth: Hanoi

5. Admission Decision Number: 2213/2011/QD-XHNV-SDH dated November 21, 2011

6. Change in academic process:

- Decision No.3203/QD-SĐH of the University of Social Sciences and Humanities (VNU-Hanoi) dated 31^stDecember, 2014 on extending the doctoral course.

- Decision No.3919/QD-XHNV of the University of Social Sciences and Humanities (VNU-Hanoi) dated 24^thNovember, 2016 on changing the thesis title.

7. Official thesis title: The cheftains in Giao Chau - An Nam in the sui and tang Dynasties

8. Major: Vietnamese History Code: 62.22.03.13

9. Supervisors: Prof. Dr. Nguyen Quang Ngoc

10. Summary of the new findings of the thesis:

- By resorting to archaeological evidences, analyzing the jurisdictions (Chu Dien and Cuu Chan) of the Do clan, and establishing the context in the waterway of the Day River, the thesis attempts to clarify the gradual changes in the local power structure of the lowland and so-called “Khe Dong” regions of Giao Chau – An Nam following the Trung Sisters Uprising. The thesis shows the localization process of immigrants, their emergence as local chieftains during the Six Dynasties to the Sui-Tang period, as well as their relations to the major rebellions which erupted in the Tang Dynasty.

- By classifying and criticizing historical materials related to the Phung Hung Uprising, the thesis rethinks about the issue of the Phung clan's jurisdiction, and re-examines the uprising through specific points of time. The thesis also endeavors to review the uprising in regional context, such as the activities of the Tang Dynasty in Hainan Island, thereby accounting for the dominant political separatist tendency and the rebellions for autonomy led by the chieftains in Giao Chau – An Nam in the Sui and Tang Dynasties.

- By exploiting epitaphs, the thesis re-examines the specific timeline, developments, reasons for success and failures of the uprisings led by Hoan Chau originated chieftains - Mai Thuc Loan and Duong Thanh. The thesis discusses the changes in the local power structure in the region, and highlights the interconnectedness between the uprisings led by the chieftains in Giao Chau – An Nam and the activities of the chieftains in the South of Guangxi.

- Based on positivism, the thesis attempts to connect the studies by Henri Maspéro, Tran Quoc Vuong, Keith Weller Taylor, Truong Huu Quynh and Nguyen Danh Phiet by proving the existence of the immigrant-originated chieftains in Giao Chau – An Nam under the Sui and Tang period.

- Regardless of their immigrant or local origins, the chieftains of Giao Chau – An Nam presented “indigenous” features. They were described by the empire, and by themselves, as “Man”, “Yi” or “Lao” – the population living outside the “civilized word”.

- The thesis analyzes the dual nature of the relations between the chieftains and the imperial governments of the Sui and Tang Dynasties. The empires rely on the chieftains to expand their territories, exert indirect rule on the new lands and confiscate for itself part of the taxes, working forces, and military services. For its part, the local chieftains decided that they would cooperate with the imperial officials to avoid direct confrontation with the empire so that they could maintain their hereditary privileges, and guarantee economic benefits in their jurisdictions.

- Such kind of relation contains a great deal of inner contradictions, which inevitably led to popular uprisings when the imperial government attempted to deprive the power of local chieftains and accelerate their exploitation of the “Yi Lao” people.

- Sharing the belief that they themselves were not part of the “civilized world”, the chieftains threaten to be deprived of special privileges and benefits, as well as their ruling “communities” threaten to be imposed heavily taxes and servitude by the empire, decided to come together to form what can be termed “inter-communities” or “super-communities”. This kind of collaboration raised to a sense of nationhood, helping the land of Giao Chau – An Nam to free itself from a thousand years of northern powers' domination, experience a transitional period in the 10th century, and then developed into Dai Viet under the Ly-Tran period.

11. Practical applicability:

The findings of the thesis will contribute to an improved understanding of that historical period when Vietnam was under the domination of the Chinese Sui and Tang Dynasties. At the same time, they can provide scientific grounds for the correction of certain misconceptions and factual inaccuracies that currently exist in high-school textbooks and university course books. In addition, by analyzing the roles of the local chieftains, the thesis helps to explain the coming of age and the disintegration of a social class that once led the country to victory against Chinese domination, marking a new era of lasting national independence and glorious renaissance of the Dai Viet civilization.

12. Further research direction, if any:

13. Thesis-related publications:

1) Pham Le Huy (2012a), “Study on the structure and geographic site of the Annan Protectorate in the Tang Dynasty”, Historical Studies (429), pp.34-51.

2) Pham Le Huy (2012b), “Study on the structure and geographic site of the Annan Protectorate in the Tang Dynasty”, Historical Studies (430), pp.42-51.

3) Pham Le Huy (2012c), “Rethinking about the Duong Thanh Uprising (819-820)”, Historical Studies (440), pp.20-36.

4) Pham Le Huy (2012d), “On some Jimi provinces from the Tang Dynasty to the Ly Dynasty during the 8th–11th century)”, The Second Congress: Asian Association of World Historians (AAWH), Ewha Woman University, Seoul.

5) Pham Le Huy (2012e), “Study on the transportation system of the Tang Dynasty based on literature documentation – A case study on Annan Protectorate”, Proceeding of the 2^ndsymposium “Symphony Ancient”, Meiji University, Tokyo.

6) Pham Le Huy (2012f), “Some issues on the old tomb revealed at Dong Ngac (Tu Liem District, Ha Noi)”, Bulletin of Han-Nom Studies 2010-2011, pp.704 -712.

7) Pham Le Huy (2013b), “Some issues on the methodology of historical studies and the outbreak time of Mai Thuc Loan Insumection”, Historical Studies (444), pp.20-36.

8) Pham Le Huy (2015), “Gao Pian (Cao Bien)'sorcery in Annan– From the illusion to the truth”, Religious Studies (141), pp.105-132.

9) Pham Le Huy (2016a), “Research on the stele of Dao Hoang Shrine (Thanh Hoai Commune, Thuan Thanh District, Bac Ninh Province)”, Vietnam Archaeology (1), pp.48-59.

10) Pham Le Huy (2016b), “The design concepts of 7th century Japanese imperial palaces and Ly Dynasty's Thang Long imperial citadel - Based on the reflection of the “zhaojian” ideals in capital city design in comparison with Chinese capital models”, VNU Journal of Social Sciences and Humanities, Vol 2, No 4 (2016), pp.384-427.