The Cambridge History of China. Vol. 06. Alien Regimes and Border States, 907-1368
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CONTENTS
XI
Government structure 265
Social structure 277
Ethnic groups 279
Economic conditions 291
Scholarship, literature, and the arts 304
Religious life 313
Conclusion 319
4 The rise of the Mongolian empire and Mongolian rule in
north China 321
by
THOMAS ALLSEN,
Trenton State College
Mongolia and Temiijin, ca. 1150—1206 321
Chinggis khan and the early Mongolian state, 1206-1227 342
The organization of the empire: the reigns of Ogodei and
Giiyiig 365
The empire at its apogee: the reign of Mongke, 1251-1259 390
Epilogue: The empire on the eve of civil war 411
5 The reign of Khubilai khan 414
by
MORRIS ROSSABI, City
University
of New
York,
Columbia
University
The early years 414
Khubilai and China, 1253—1259 418
Khubilai versus Arigh Boke 422
Foreign expansion 429
Social and economic policies 445
Khubilai as emperor of China 454
Khubilai and religion 457
Khubilai and Chinese culture 465
Preservation of the Mongolian heritage 471
Economic problems in later years 473
The regime of Sangha and economic and religious abuses 478
Disastrous foreign expeditions 482
Khubilai's last years 488
6 Mid-Yuan politics 490
by
HSIAO CH'I-CH'ING,
University
of Singapore
Introduction 490
The reign of Temiir khaghan (Emperor Ch'eng-tsung),
1294-1307 492
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Xii CONTENTS
Temiir's succession 494
The conservator of Khubilai's achievements 496
Signs of decline 498
The transition to peace 501
The dominance of Empress Bulukhan 504
The reign of Khaishan (Emperor Wu-tsung), 1307-1311 505
Administrative anomalies 507
The "new deals" 510
The reign of Ayurbarwada khaghan (Emperor Jen-tsung),
1311—1320 513
The reign of Shidebala khaghan (Emperor Ying-tsung),
1320-1323
527
The coup d'etat at Nan-p'o 532
The reign of Yesiin Temiir khaghan (Emperor T'ai-ting),
1323-1328 535
The reign of Tugh Temur (Emperor Wen-tsung), 1328-
1332 541
The failure of the succession arrangements 556
The period in retrospect 557
7 Shun-ti and the end of Yuan rule in China • 561
by
JOHN DARDESS,
University
of
Kansas
Yuan China at the accession of Toghon Temur (Shun-ti) 561
ToghSn Temiir's enthronement and Bayan's chancellorship,
1333-134° 566
Toghto and his opposition, 1340-1355 572
The disintegration of the Yuan 580
Conclusion: Why did the Yuan dynasty fall? 584
8 The Yuan government and society 587
by
ELIZABETH ENDICOTT-WEST,
Harvard University
Government 587
Society 608
9 Chinese society under Mongol rule, 1215-1368 616
by
FREDERICK W. MOTE,
Princeton
University,
Emeritus
The Mongolian period in Chinese history 616
The population of Yiian China 618
Social—psychological factors 622
Social classes: traditional and new elites 627
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CONTENTS Xlll
Confucian households 635
Diffusion of elite roles 638
The meaning of the Yiian drama in Yiian period social
history 640
Cultural diversity 643
The Western Asians' changing relationship to the Chinese
elite 644
Social classes: sub-elite and commoner 648
Other aspects of Yiian dynasty social history 657
Households in bondage 661
Bibliographical essays
665
Bibliography 727
Glossary-Index 777
Cambridge Histories Online © Cambridge University Press, 2008
MAPS,
TABLES, AND FIGURES
Maps
1 The Khitan and north China,
A.D.
908
page
55
2 The Khitan and north China, A.D. 924 65
3 The Khitan and north China,
A.D.
943 71
4 The Khitan and north China,
A.D.
959 83
5 The Liao campaigns against Koryo, 993-1019 101
6 The Liao invasion of Sung, 1004 106
7 The Liao empire, ca. 1045 118
8 The fall of Liao and the Chin invasions, 1017-24 145
9 The Hsi Liao (Khara Khitan) empire,
1131 —1213
152
10 The growth of the Hsi Hsia state 171
11 The Tsung-ko region 174
12 The Hsi Hsia state, 1111 184
13 The first Mongolian invasion of Hsi Hsia, 1209 209
14 Chinggis's invasion of Hsi Hsia, 1226-7
2I2
15 The Chin invasions of Northern Sung 228
16 Chin raids south of the Yangtze, 1129-30 231
17 The Chin empire 236
18 The change of the Huang-ho's course, 1194 246
19 Chinggis's campaigns against Chin 253
20 The rebellions in Manchuria and Shantung 255
21 Mukhali's campaigns against Chin 260
22 The destruction of Chin, 1234 262
23 Population distribution in Chin, ca. 1211 280
24 The steppe world, 1190 322
25 The campaigns in Manchuria, 1211 —16 353
26 Chinggis's western campaigns 355
xiv
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MAPS, TABLES,
AND
FIGURES
XV
27 Batu's invasion of Russia and Europe 369
28 The Mongolian invasions of Koryo 371
29 The conquest of Ta-li 406
30 The Mongolian khanates 425
31 The conquest of Southern Sung 432
32 The Yuan empire 438
33 The Yuan capital, Ta-tu 456
34 The Yuan grain transport system 477
35 Khubilai's invasions of Japan 483
36 Khubilai's invasions of Southeast Asia 486
37 Registered population distribution of Yuan China 619
Tables
1 Liao emperors and their regnal titles xxii
2 Hsia emperors and regnal titles xxiv
3 Chin emperors and regnal titles xxvi
4 Regnal titles of Mongolian rulers xxviii
5 Capital cities xxix
6 The Yao-lieh khaghans 51
7 Total population of Chin 278
8 Numbers of households registered in Hopei and Shantung 621
Figures
1 A-pao-chi's descent and the structure of the Yeh-lii clan xx
2 Outline genealogy of Liao xxi
3 Genealogy of the Hsia ruling house xxiii
4 Genealogy of the early Jurchen rulers xxv
5 Genealogy of the Chin emperors xxv
6 Genealogy of Mongolian rulers xxvii
Cambridge Histories Online © Cambridge University Press, 2008
Cambridge Histories Online © Cambridge University Press, 2008
PREFACE TO VOLUME 6
Names and terms in Volume 6 ofThe
Cambridge History
of China are transliter-
ated as follows:
Chinese
is romanized according to the Wade-Giles system, which, for all
its imperfections, is employed in most of the serious literature on China
written in English. There are a few exceptions, which are noted below.
Japanese
is romanized according to the Hepburn system.
Mongolian is transliterated according to the system found in A. Mostaert,
Dictionnaire
ordos,
vol. 3, "Index des mots du mongol ecrit et du mongol
ancien" (Peiping, 1944). The only deviations from the Mostaert system are q,
which becomes kh; y, which becomes gh; Z, which becomes ch; /, which
becomes sh; and /, which becomes /'.
Tibetan is transliterated according to the system used in Sarat Chandra
Das,
A
Tibetan—English
Dictionary (Calcutta, 1902).
Persian
is transliterated according to the Library of Congress system.
Turkic is transliterated according to the system found in V. M. Nadeliaev
et al., Drevnetiurkskii
slovar'
(Leningrad, 1969), with the following modifica-
tions:
y becomes gh;
if
becomes
ch;
and / becomes sh.
Chinese and Japanese personal names follow their native form, that is,
with the surname preceding the given name. In the case of Chinese and
Japanese authors of Western-language works, the names are given in the
published form, in which the given name may sometimes precede the sur-
name (e.g., Hok-lam Chan), and the orthography may employ a system
other than Wade-Giles.
Chinese place names are romanized according to the Wade—Giles system,
with the exception of those places familiar in the English-language literature in
nonstandard postal spellings. For
a
list of these, see G. William Skinner,
Modern
Chinese
Society:
A Critical Bibliography (Stanford: Stanford University Press,
1973),
vol. 1, Introduction, p. xii. Modern place names are generally not
hyphenated (e.g., Hopei is the modern province of that name), whereas contem-
porary place names are hyphenated (Ho-pei, Hsi-lu, the Chin period circuit).
The maps are based on the standard historical atlas of China: T'an Ch'i-
hsiang, ed., Chung-kuo li-shih ti-t'u chi, 2nd rev. ed. (Shanghai: Chung-hua
xvn
Cambridge Histories Online © Cambridge University Press, 2008
xviii PREFACE TO VOLUME 6
ti-t'u hsiieh she, 1974—6; Peking: Ti-t'u ch'u-pan she, 1980—1), vol. 6,
covering Sung, Liao, Hsi-Hsia, and Chin, and vol. 7, covering the Yuan
period. Maps 23 and 37 are adapted from the
Bulletin
of
the Museum
of
Far
Eastern
Antiquities,
59 (1987), pp. 214, 215.
The Chinese official titles generally follow Charles
O.
Hucker's A
Dictionary
of
Official Titles
in
Imperial China
(Stanford: Stanford University Press, 1985).
However, for our period, this work is incomplete in some respects. The usage
of titles under all the regimes covered in this volume
was
constantly changing,
and the reader should remember that the same office title
was
often used by the
Sung, Liao, Hsia, Chin, and Yuan with somewhat different connotations,
sometimes necessitating differing English translations.
Emperors
are
referred to
by
their temple
names
during their reign and
by
their
personal names before their succession to the throne. Lists of emperors, giving
the various regnal titles used during their reigns, are provided in Tables 1-4.
Dates normally follow the Chinese form rather than the Western calendar.
The reader should be aware that the Chinese year is normally converted to a
corresponding Western year but that these do not correspond exactly. Thus,
for example, the Treaty of Shan-yuan was concluded in the Chinese year
equivalent to 1004, though this was actually 24 January 1005.
ACKNOWLEDGMENTS
The editors of this volume
have
faced great problems arising from the complex-
ity of the period and its sources, and the variety of languages and cultures that
impinge on its story. We wish to express out gratitude to all those members of
the international scholarly community whose advice we have requested on
points of detail and to thank them for their careful responses. In particular, we
wish to acknowledge the assistance of Professor Frederick W. Mote, who read
and commented in detail on all the contributions to this volume, and the
editorial work of
Dr.
James Geiss, who devoted a decade of meticulous schol-
arly attention to this and other volumes of
The Cambridge History
of
China.
We
also wish to thank Professor Elizabeth Endicott-West, who not only contrib-
uted her own chapter to this volume but also assisted the editors in ensuring
that the usage of Mongolian, Turkic, Tibetan, and Persian terms is uniform
throughout, and Mrs. Soo-won Kim, who advised us on Korean problems.
Preparing this volume took several years, and our work was made possible
by the generous support of the National Endowment for the Humanities and
by Princeton University.
DCT
HF
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ABBREVIATIONS
BIHP Bulletin of the Institute of History and
Philology
(Academia Sinica)
(Chung yang yen chiu yiian, Li shih yii yen yen chiu so chi K'an)
CS Chin shih
CTKC Ch'i-tan kuo chih
CTS Chiu Tang shu
HCP Hsu Tzu-chih
t'ung-chien
ch'ang-pien
HJAS Harvard Journal of Asiatic
Studies
HTS Hsin Tang shu
HYS K'o Shao-min, Hsin Yuan shih
JAS Journal of Asian Studies
KHCPTS Kuo
hsiieh chi pen
ts'ung shu
LS Liao shih
SKCS Ssu k'u
ch'iian
shu
chen pen
SPPY Ssupupeiyao
SPTK
Ssu
pu ts'ung k'an
SS Sung shih
THY Tang hui yao
TSCC Ts'ung shu chi
ch'eng
YS Yuan shih
YTC Ta Yiian
sheng cheng
kuo
ch'ao
tien
chang
xix
Cambridge Histories Online © Cambridge University Press, 2008
The Five
Divisions
Wu yuan
ssu
Nou-li-ssu* (Su-tsu)
I
I
I
Chih-shen*
Sa-la-U"
(l-tsu)
I
Ko-la
(died young)
Hsia-li
Ti-lu-ku*
Shu-la
(died young)
Tiieh-la*
/I
Yun-tt-shib* (Hsiian-tsu)
(murdered
by
T'ieh-la)
Niao-ku-chih
I / I 1
Tu-lu-chiin* Yen-ku-chih*
/
Hsia-ti
#
y
(driven from
/ I S
office
by
/ X ^
,T-ieh-li-te»
y
I
Ma-lu
T
,-~~
r i
Yen-mu
#
(three times)
_
Shih-lu Sa-la-ti* (Te-tsu)
i
i
A-pao-chi*
La
i
Tieh-la
Yin-ti-shih An-tuan
Su
The Six
Divisions
Liu yiian ssu
The First
Patriarchal
Household
Mmg-fu fang
The Second
Patriarchal
Household
Cbung-fu
fang
The Horizontal
Tents
Heng
cbang
The Third
Patriarchal
Household
Cbi-fu fang
Note:
*
designates members serving
as
chieftain (i-li-chin). Some,
as
shown, served more than
one
term. Names
in
italics
are
A-pao-chi's paternal ancestors,
subsequently canonized with imperial titles.
No
dates
can be
assigned; Nou-li-ssu
was
contemporary with
the
An-Lu-shan uprising (755).
FIGURE
i. A-pao-chi's descent and the structure of the Yeh-lii clan
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