Tai Lieu Chat Luong I THE CAMBRIDGE HISTORY OF CHINA General Editors D E N I S TWITCHETT and J O H N K FAIRBANK Volume Alien regimes and border states, 907—1368 Cambridge Histories Online © Cambridge University Press, 2008 Work on this volume was partially supported by the National Endowment for the Humanities, Grants RO-21512-87 and RO-22077-90 Cambridge Histories Online © Cambridge University Press, 2008 THE CAMBRIDGE HISTORY OF CHINA Volume Alien regimes and border states, 907—1368 edited by HERBERT FRANKE and DENIS TWITCHETT CAMBRIDGE UNIVERSITY PRESS Cambridge Histories Online © Cambridge University Press, 2008 CAMBRIDGE UNIVERSITY PRESS Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, Sao Paulo Cambridge University Press 40 West 20th Street, New York, NY 10011-4211, USA www.cambridge.org Information on this title:www.cambridge.org/9780521243315 © Cambridge University Press 1994 This publication is in copyright Subject to statutory exception and to the provisions of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press First published 1994 Reprinted 2002, 2006 Printed in the United States of America A catalogue recordfor this book is availablefromthe British Library Library of Congress Cataloguing in Publication Data (Revised for vol 6) The Cambridge history of China Vol edited by Denis Twitchett and Michael Loewe; v edited by Herbert Franke and Denis Twitchett; v edited by Frederick W Mote and Denis Twitchett; v 11 edited by John K Fairbank and Kwang-Ching Liu; v 13 edited by John K Fairbank and Albert Feuerwerker; v 14 edited by Roderick MacFarquhar and John K Fairbank; v 15 edited by Roderick MacFarquhar and John K Fairbank Includes bibliographies and indexes Contents: v The Ch'in and Han Empires, 221 B.C.—AD 220 — v Sui and T'ang China, 589—906, pt — —v Alien regimes and border states, 710—1368 China — History I Twitchett, Denis Crispin II Fairbank, John King, 1907—1991 DS735.C3145 951' 03 76—29852 ISBN-13 978-0-521-24331-5 hardback ISBN-10 0-521-24331-9 hardback Cambridge University Press has no responsibility for the persistence or accuracy of URLs for external or diird-party Internet Web sites referred to in this publication and does not guarantee that any content on such Web sites is, or will remain, accurate or appropriate Cambridge Histories Online © Cambridge University Press, 2008 GENERAL EDITORS' PREFACE When The Cambridge History of China was first planned, more than two decades ago, it was naturally intended that it should begin with the very earliest periods of Chinese history However, the production of the series has taken place over a period of years when our knowledge both of Chinese prehistory and of much of the first millennium B.C has been transformed by the spate of archaeological discoveries that began in the 1920s and has been gathering increasing momentum since the early 1970s This flood of new information has changed our view of early history repeatedly, and there is not yet any generally accepted synthesis of this new evidence and the traditional written record In spite of repeated efforts to plan and produce a volume or volumes that would summarize the present state of our knowledge of early China, it has so far proved impossible to so It may well be another decade before it will prove practical to undertake a synthesis of all these new discoveries that is likely to have some enduring value Reluctantly, therefore, we begin the coverage of The Cambridge History of China with the establishment of the first imperial regimes, those of Ch'in and Han We are conscious that this leaves a millennium or more of the recorded past to be dealt with elsewhere, and at another time We are equally conscious of the fact that the events and developments of the first millennium B.C laid the foundations for the Chinese society and its ideas and institutions that we are about to describe The institutions, the literary and artistic culture, the social forms, and the systems of ideas and beliefs of Ch'in and Han were firmly rooted in the past and cannot be understood without some knowledge of this earlier history As the modern world grows more interconnected, historical understanding of it becomes ever more necessary and the historian's task ever more complex Fact and theory affect each other even as sources proliferate and knowledge increases Merely to summarize what is known becomes an awesome task, yet a factual basis of knowledge is increasingly essential for historical thinking Since the beginning of the century, the Cambridge histories have set a pattern in the English-reading world for multivolume series containing chapters written by specialists under the guidance of volume editors The Cambridge Histories Online © Cambridge University Press, 2008 vi GENERAL EDITORS' PREFACE Cambridge Modern History, planned by Lord Acton, appeared in sixteen volumes between 1902 and 1912 It was followed by The Cambridge Ancient History, The Cambridge Medieval History, The Cambridge History of English Literature, and Cambridge histories of India, of Poland, and of the British Empire The original Modern History has now been replaced by The New Cambridge Modern History in twelve volumes, and The Cambridge Economic History of Europe is now being completed Other Cambridge histories include histories of Islam, Arabic literature, Iran, Judaism, Korea, South East Asia, Central Asia, Africa, Japan, and Latin America In the case of China, Western historians face a special problem The history of Chinese civilization is more extensive and complex than that of any single Western nation, and only slightly less ramified than the history of European civilization as a whole The Chinese historical record is immensely detailed and extensive, and Chinese historical scholarship has been highly developed and sophisticated for many centuries Yet until recent decades the study of China in the West, despite the important pioneer work of European sinologists, had hardly progressed beyond the translation of some few classical historical texts, and the outline history of the major dynasties and their institutions Recently Western scholars have drawn more fully upon the rich traditions of historical scholarship in China and also in Japan, and greatly advanced both our detailed knowledge of past events and institutions, and also our critical understanding of traditional historiography In addition, the present generation of Western historians of China can also draw on the new outlooks and techniques of modern Western historical scholarship and on recent developments in the social sciences, while continuing to build on the solid foundations of rapidly progressing European, Japanese, and Chinese studies Recent historical events, too, have given prominence to new problems, while throwing into question many older conceptions Under these multiple impacts the Western revolution in Chinese studies is steadily gathering momentum When The Cambridge History of China was first planned in 1966, the aim was to provide a substantial account of the history of China as a benchmark for the Western history-reading public: an account of the current state of knowledge in six volumes Since then the outpouring of current research, the application of new methods, and the extension of scholarship into new fields have further stimulated Chinese historical studies This growth is indicated by the fact that the history has now become a planned fifteen volumes but will still leave out such topics as the history of art and of literature, many aspects of economics and technology, and all the riches of local history The striking advances in our knowledge of China's past over the last decade will continue and accelerate Western historians of this great and Cambridge Histories Online © Cambridge University Press, 2008 GENERAL EDITORS PREFACE VII complex subject are justified in their efforts by the needs of their own peoples for greater and deeper understanding of China Chinese history belongs to the world not only as a right and necessity, but also as a subject of compelling interest JOHN K FAIRBANK DENIS TWITCHETT Cambridge Histories Online © Cambridge University Press, 2008 Cambridge Histories Online © Cambridge University Press, 2008 CONTENTS General editors' preface List of maps, tables, and Preface to Volume List of abbreviations figures Introduction page v xiv xvii xix i by H E R B E R T F R A N K E , Universitat Muncben, Emeritus, and D E N I S T W I T C H E T T , Princeton University, Emeritus The Late T'ang balance of power The frontier Foreigners Vassals and overlords Multistate system Treaty relations Modes of government Multilinguality The Han Chinese under alien domination i The Liao 11 14 16 18 21 30 36 43 by D E N I S T W I T C H E T T and KLAUS-PETER TIETZE Introduction The predynastic Khitan The background of A-pao-chi's rise to power The rise of A-pao-chi A-pao-chi becomes the new khaghan and ascends the throne The succession crisis and the reign of T'ai-tsung The succession of Shih-tsung The development of government institutions Relation with regimes in China The reign of Mu-tsung, 951—969 IX Cambridge Histories Online © Cambridge University Press, 2008 43 44 53 56 60 68 75 76 80 81 762 BIBLIOGRAPHY Rockhill, William The journey of William of Rubruck to the Eastern parts of the world London: Hakluyt Society, 1900 Roerich, George The blue annals 2nd ed Delhi: Motilal Banarsidass, 1976 Rogers, Michael C "The late Chin debates on dynastic legitimacy." Sung Studies Newsletter, 13 (1977), pp 57-66 Rogers, Michael C "The myth of the battle of the Fei River (A.D 383)." T'oung Pao, 54 (1968), pp 50-72 Rogers, Michael C "National consciousness in medieval Korea: The impact of Liao and Chin on Koryo." In China among equals: The Middle Kingdom and its neighbors, ioth—i4th centuries, ed Morris Rossabi Berkeley and Los Angeles: University of California Press, 1983, pp 151—72 Rogers, Michael C "The regularization of Koryo-Chin relations (1116-1131)." Central Asiatic Journal, 6(1961), pp 51-84 Rogers, Michael C "Studies in Korean history, II: Koryo's military dictatorship and its relations with Chin." T'oung Pao, 47 (1959), pp 42-62 Rorex, Albright "Some Liao tomb murals and images of nomads in Chinese paintings of the Wen-chi story." Artibus Asiae, 45 (1984), pp 174-98 Rossabi, Morris, ed China among equals: The Middle Kingdom and its neighbors, 10th— 14th centuries Berkeley and Los Angeles: University of California Press, 1983 Rossabi, Morris "Chinese myths about the national minorities: Khubilai Khan, a case study." Central and Inner Asian Studies, (1987), pp 47-81 Rossabi, Morris "Khubilai Khan and the women in his family." In Studia SinoMongolica: Festschrift fur Herbert Franke, ed Wolfgang Bauer Munchener Ostasiatische Studien no 25 Wiesbaden: Franz Steiner, 1979, pp 153-80 Rossabi, Morris Khubilai Khan: His life and times Berkeley and Los Angeles: University of California Press, 1988 Rossabi, Morris "The Muslims in the early Yuan dynasty." In China under Mongol rule, ed John D Langlois, Jr Princeton, N.J.: Princeton University Press, 1981, PP- 257-95Rossabi, Morris Voyager from Xanadu: Rabban Sauma and thefirstjourney from China to the west New York: Kodansha, 1992 Roux, Jean-Paul "Le Chaman gengiskhanide." Anthropos, 54 (1959), pp 401-32 Rozman, Gilbert, ed Soviet studies ofpre-modern China: Assessments of recent scholarship Ann Arbor: Center for Chinese Studies, University of Michigan, 1984 Rozman, Gilbert Urban networks in Ch'ing China and Tokugawa Japan Princeton, N.J.: Princeton University Press, 1973 Saccheti, Maurizia Dinacci "Sull'adozione del nome dinastico Yuan." Annali, Istituto Orientate di Napoli, 31 (1971), pp 553-8 Saeki Tomi & f6 and Chikusa Masaaki * '& W * So no shin bunka % ffi£ it Vol of Toyo no reikishi S W