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

3. Date of birth: 04/10/1981                                4. Place of birth: Hanoi

5. Admission Decision Number: 2213/2011/QĐ-XHNV-SĐH dated 21/11/2011

6. Change in academic process:

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

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

7. Official thesis title:

THE CHIEFTAINS IN GIAO CHÂU - AN NAM IN THE SUI AND TANG DYNASTIES

8. Major: Vietnamese History

9. Code: 62 22 03 13

10. Supervisors: Prof. Dr. Nguyen Quang Ngoc

11. Summary of the new findings of the thesis:

- By resorting to archaeological evidences, analyzing the jurisdictions (Chu Diên and Cửu Chân) of the Đỗ clan, and setting the context in the waterway of the Đáy River, the thesis attempts to clarify the gradual changes in the local power structure of the lowland and so-called “khê động” regions of Giao Châu – An Nam following the Trưng 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 Phùng Hưng Uprising, the thesis rethinks about the issue of the Phùng 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 prevailing political separatist tendency and the rebellions for autonomy led by the chieftains in Giao Châu – 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 Châu originated chieftains - Mai Thúc Loan and Dương 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 Châu – An Nam and the activities of the chieftains in the South of Guangxi.

- Based on positivism, the 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 the immigrant-originated chieftains in Giao Châu – An Nam under the Sui and Tang period.

- Regardless of their immigrant or local originations, the chieftains of Giao Châu – 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 analyses the dual nature of the relations between the chieftains and the imperial governments of the Sui and Tang Dynasties. The empires relied 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 collaborate 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 intensified their exploitation of the “Yi Lao” people.

- Sharing the belief that they themselves were not part of the “civilized world”, the chieftains threatened to be deprived of special privileges and benefits, as well as their ruling “communities” threatened to be imposed heavier 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 Châu – 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 Đại Việt under the Lý-Trần period.

12. 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 misconception and factual inaccuracies that currently exist in high-school textbooks and university course books. In addition, by analysing 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 Đại Việt civilization.

13. Further research direction, if any:

14. Thesis-related publications:

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

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

3) Phạm Lê 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) Phạm Lê Huy (2012e), “Study on the transportation system of the Tang Dynasty based on literature documentation – A case study on Annan Protectorate”, Proceeding of the 2nd symposium “Symphony Ancient”, Meiji University, Tokyo.

6) Phạm Lê 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) Phạm Lê 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) Phạm Lê Huy (2015), “Gao Pian (Cao Bien)’sorcery in Annan– From the illusion to the truth”, Religious Studies (141), pp.105-132.

9) Phạm Lê 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) Phạm Lê Huy (2016b), “The design concepts of 7th century Japanese imperial palaces and Lý Dynasty’s Thăng 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.