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

INFORMATION ABOUT THE DOCTORAL THESIS

1. Full name of the doctoral candidate:Pham Le Huy                        

2. Gender: Male

3. Date of birth: October 4, 1981

4. Place of birth: Hanoi

5. Decision to recognize doctoral 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 the study period.

- Decision No. 3919/QD-XHNV dated November 24, 2016, of the University of Social Sciences and Humanities regarding the adjustment of the dissertation topic.

7. Thesis title:The ruling class of Giao Chau - An Nam during the Sui and Tang dynasties.

8. Major: Vietnamese History Code: 62.22.03.13

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

10. Summary of the new findings of the thesis

- By supplementing archaeological data and analyzing the operational areas of the Do clan leaders (Chu Dien, Cuu Chan) in relation to the Day River transportation route, the dissertation clarifies the process of changing the local power structure in the delta and valley areas after the Hai Ba Trung uprising. The dissertation points out the process of "localization" and development into a class of local leaders of migrant groups throughout the Six Dynasties period through the Sui and Tang dynasties, and the relationship between leaders of migrant origin and the uprisings that broke out in Giao Chau - An Nam during the Tang dynasty.

- Based on the classification and re-evaluation of documents related to the Phung Hung uprising, this dissertation re-examines the issue of Phung Hung's ancestral land, analyzing the course of the uprising with specific timelines. The dissertation also examines the uprising in relation to events outside An Nam, such as the activities of the Tang dynasty in Hainan Island, thereby clarifying the activities and centrifugal political trends, and the uprisings for autonomy by the leaders of Giao Chau - An Nam during the Sui and Tang dynasties.

- Using several new sources, especially epigraphic documents, the dissertation re-examines the specific timelines, developments, and causes of success and failure of the Mai Thúc Loan and Dương Thanh uprisings. Through this, the dissertation clarifies the process of changing the local power structure in the Hoan Châu region, highlighting the interconnectedness between the uprisings of the ruling class in Giao Châu – An Nam and the activities of leaders in southern Guangxi.

- The empirical research in this dissertation serves as a bridge to previous studies by H. Maspéro, Trần Quốc Vượng, K. Taylor, Trương Hữu Quýnh, and Nguyễn Danh Phiệt, demonstrating the existence of a migrant component within the ruling class of Giao Châu – An Nam during the Sui and Tang dynasties.

- Whether of immigrant or indigenous origin, the ruling class of Giao Chau - An Nam during the Sui and Tang dynasties clearly exhibited an "indigenous" character, perceiving and self-perceiving themselves as communities outside the "civilized" world of China.

- This thesis analyzes the dual nature of the relationship between the ruling class in Giao Chau – An Nam and the Sui-Tang occupying government. The Tang dynasty relied on the ruling class to expand its territory, indirectly govern new lands, and collect a portion of taxes, labor services, and military service. Meanwhile, the local ruling class initially cooperated with the occupying government to avoid direct confrontation with the empire, maintain the hereditary rule of their families, and protect their local economic interests.

- The aforementioned dualistic relationship inherently contains many internal contradictions, which will inevitably erupt into rebellions when the colonial government seeks to eliminate the power of the ruling class and intensify exploitation of the "Lao Di" people.

- Based on the shared understanding that they were not "Hua Xia" (a Chinese term for China), and facing common dangers such as the stripping of privileges and benefits from their leaders, and the burden of heavier taxes and forced labor for the "communities" they represented, the Man-Di-Lao communities, through the bonds of kinship or between leaders of different clans, formed "inter-communities" and, more broadly, "super-communities" during the Sui and Tang dynasties. This formed the foundation for the development of national consciousness, helping the land of Giao Chau - An Nam escape a thousand years of Chinese rule, and through the transitional period of the 10th century, develop into the Dai Viet nation during the Ly and Tran dynasties.

11. Practical applications:

The research findings of this dissertation contribute to a clearer understanding of a historical period, namely the Sui-Tang domination, and can be used to correct some inaccuracies in textbooks at all levels of education (including the curricula of some universities). Furthermore, in a general sense, through the role of local leaders, the dissertation provides an important premise for explaining the development, maturation, and differentiation of a social class that played a leading role in the victory of the struggle against Northern domination, ushering in a long era of national independence with the brilliant achievements of the revival of Dai Viet civilization.

12. Directions for further research:

13. Published works related to the dissertation:

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

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

3. Pham Le Huy (2012c), “Re-examining the Duong Thanh Uprising (819-820)”, Journal of 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), “The Tang Dynasty Postal Service System Viewed from Literature - The Case of the An Nam Protectorate”, Proceedings of the 2nd International Conference on Ancient Symphony, Meiji University.

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

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

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

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

10. Pham Le Huy (2016b), “Design ideas for the Japanese Imperial Palace in the 7th century and Thang Long Capital during the Ly Dynasty – Viewed from the “spying” thought 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, this thesis endeavors to connect the studies by Henri Maspéro, Trần Quốc Vượng, Keith Weller Taylor, Trương Hữu Quýnh, and Nguyễn Danh Phiệt by proving the existence of immigrant-originated chieftains in Giao Châu – An Nam during the Sui and Tang periods.

- 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.