The London School of Economics and Political Science Chinese Primacy in East Asian History: Deconstructing the Tribute System in China’s Early Ming Dynasty Feng ZHANG A thesis submitted to the Department of International Relations of the London School of Economics for the degree of Doctor of Philosophy, London, April 2009 1 UMI Number: U615686 All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion. Dissertation Publishing UMI U615686 Published by ProQuest LLC 2014. Copyright in the Dissertation held by the Author. Microform Edition © ProQuest LLC. All rights reserved. This work is protected against unauthorized copying under Title 17, United States Code. ProQuest LLC 789 East Eisenhower Parkway P.O. Box 1346 Ann Arbor, Ml 48106-1346 TrttSCS f <tu>3 Declaration I certify that the thesis I have presented for examination for the MPhil/PhD degree of the London School of Economics and Political Science is solely my own work other than where I have clearly indicated that it is the work of others (in which case the extent of any work carried out jointly by me and any other person is clearly identified in it). The copyright of this thesis rests with the author. Quotation from it is permitted, provided that full acknowledgement is made. This thesis may not be reproduced without the prior written consent of the author. I warrant that this authorization does not, to the best of my belief, infringe the rights of any third party. V*"" ** leof^oi 2 Abstract The “tribute system” has been the central organizing concept for our thinking about historical East Asian politics since the 1940s. Despite its dominance in the literature, however, the concept remains ill-defined and underspecified. The extant frameworks constructed around the concept also have not been evaluated conceptually and empirically in a systematic way. Most importantly, the tribute system, as an important institution for interstate relations in East Asian history, remains undertheorized in the existing literature. This thesis identifies three interrelated ways in which the “tribute system” concept has been used in the literature and argues that they all encounter problems in interpreting or explaining historical East Asian politics. The thesis deconstructs this concept by developing a theory of Chinese primacy in historical East Asia and by evaluating it against evidence from early Ming China’s (1368-1424) relations with Korea, Japan, and the Mongols. The theory and evidence show that East Asian politics under the condition of Chinese primacy or unipolarity are best described as the dynamics between China’s political/military domination and other states’ accommodation and resistance. A variety of motives and strategies that China and its neighbours can employ toward each other are identified. The multiplicity of the relations between China and its neighbours suggests the need to deconstruct the analytical category of the “tribute system” and develop new conceptualizations about historical East Asian politics. The thesis calls for new thinking about historical East Asian politics, contributes to theorizing in this field by developing a synthetic theory of Chinese primacy that draws on both realist and constructivist theories of International Relations, and evaluates some persistent myths about Chinese foreign policy and East Asian politics in history. 3 Acknowledgements Having initially wanted to explore whether there is an “Asian” or “Chinese” way of international politics in East Asian history, I have found such a premise problematic and shifted the focus to a study on East Asian politics during China’s early Ming dynasty (1368-1424). The starting point has been to examine the cherished idea of the “tribute system,” particularly its manifestations during the early Ming period and its meanings in scholarly works. Starting with puzzles about the tribute system, I have tried to develop a theoretical framework to explain the relations between early Ming China and its neighbors, bypassing the long-standing tribute system paradigm. During three years of research and writing, the project has faced many conceptual and empirical challenges. The difficulties would not have been overcome had there not been many teachers and friends who provided advice and encouragement as the thesis progressed. My greatest debt is to Chris R. Hughes, my supervisor in the International Relations Department of the London School of Economics and Political Science. Chris has constantly pushed me to sharpen my thinking on the important questions the thesis must tackle and saved me from many analytical errors. I am also greatly indebted to Victoria Hui for her invaluable advice ranging from thesis writing, conference attendance, to job hunting. Barry Buzan and Karen Smith, members of my research panel, helped with the thesis in its early stage. I also gratefully acknowledge a number of other scholars who have provided encouragement and advice in the past three years. Zheng Yongnian emphasized the importance of theory and the potential for theory innovation in China studies during several meetings in London and Paris. The conversations with William Wohlforth and Richard Ned Lebow, both at Dartmouth College, greatly helped improve the theoretical part of the thesis. Chen Jian read the chapter on the tribute system with an historian’s eye and improved my understanding of Fairbank. Yan Xuetong emphasized the importance of theory and methodology when I first embarked on the project. I also thank Ja Ian Chong, Lin Chun, David Kang, Jack Snyder, Masayuki Tadokoro, Wang Yuan-kang, and Arne Westad, as well as participants at the annual meetings of the International Studies Association and the American Political Science Association for their inputs. Two leading historians, Nicola Di Cosmo and John E. Wills, Jr., generously sent me their ongoing work for reading. Song Chengyou at Beijing University kindly gave me his book on the historical East Asian order during my field research. Yu Wanli and Zhang Qian were very helpful when I was conducting library research at Beijing University. The project was supported by the Vincent Cheng scholarship at the LSE, without which I probably would not have been able to do my PhD. 5 But most importantly, I would not have undertaken this PhD or completed this thesis without the unwavering support and help of my wife Shu Man. She has provided indispensable moral support while pursuing her own master’s study in London. Although the topic of my project may seem obscure to her, she is the most important person behind its initiation and completion. Table of Contents Abstract...................................................................... 3 Acknowledgements ......................................................................................5 Table of Contents ............................................................ 7 Note on Romanization and Transliteration ................................................9 Chapter 1 Introduction.......................................................................... 11 The Literature .............................................................................................13 Historical and Analytical Problems ......................................................... 27 Methodology............................................................................................. 30 Contribution to the Field of IR ................................................................. 33 Part I Theory Chapter 2 A Theory of Chinese Primacy.................................................................38 An Overview ............................................................................................. 38 The Security Motive and Its Implications ...............................................43 The Identity Motive and Its Implications ................................................ 53 Hypotheses.................................................................................................64 Part II Case Studies Chapter 3 Early Ming China and Korea.................................................................66 Chinese Attempts at Domination .............................................. 67 Korean Accommodation and Resistance ................................................. 75 Strategies and Structure in Sino-Korean Relations ................................. 96 Conclusion ................................................................................................102 Chapter 4 Early Ming China and Japan...............................................................103 Chinese Attempts at Domination ............................................................104 Japanese Accommodation and Resistance ............................................. 114 Strategies and Structure in Sino-Japanese Relations ............................ 130 Conclusion ................................................................................................135 Chapter 5 Early Ming China and the Mongols.................................................... 137 Chinese Attempts at Domination ............................................................137 Mongol Resistance and Accommodation .............................................. 150 Strategies and Structure in Sino-Mongol Relations