The Cambridge History of China

THE CAMBRIDGE HISTORY OF CHINA

Volume 6 Alien regimes and border·states, 907- 1368

edited by

H ERBERT FRANKE and DENIS TWITCH ETT

- g C AMBRIDGE V UNIVERSITY PRESS CAMBRTDGc UNfVERSITY PRESS Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, Sao P2ulo

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First published 1994 Reprinted 2002, 2006, 2007

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/ I t't1f(lhJ,11e rtr.orti far thiJ p11bfi'4Jm11 is a1"'ilabl1 from llJI 8ntuh I .Jbrmy

1Jhrary ef Cangrm Cakll"f,ifl.( i11 P11b/irati"" Data (Revised for vol. 6) The C2mbridge hisrory of C.hma. Vol. 1 edited by Denis Twitcheu 2nd Michael Loewe; v. 6 edited by Herbert Ftanke and Denis Twitchecc; v. 7 edited by Frederick W. Mote and Dems Twircherc; v. 11 edited by John K Fairbank and Kwang Ching l.1u, v. 13 edited by John K. Fairbank and AJbcrc Fcucrwcrker; v. 14 edited by Roderick MacFarquhar and John K Fairbank; v. I 5 edited by Roderick MacFarquhar and John K. foirbank. Includes bibliographies and indexes. Contents: v 1. The Ch'in and Han Kmpircs, 221 B.C.- 1\.D. 220 - v. 3. Sui and T'ang China, 589-906, pt. 1- -\\ 6 Alien regimes an

ISBN 978-0-521-24331 -5 hardback

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General edi1<>rs 1 preface page v List of maps, tables, and figures XlV Preface to Volume 6 xvu List of abbreviations XIX

Introduction I by HERBERT FRANKE, Universitat Munchen, Emeritus, and DENIS TWITC H BTT , Princeton University, Emeritm

The Late T'ang balance of power 3 The frontier 7 Foreigners II Vassals and overlords 14 Multistate system 16 Treaty relations 18 Modes of government 21 Multilinguality 30 The Han Chinese under alien domination 36

1 The Liao 43 by DENIS TWITCHETT anJ KLAUS-PETER Tt BTZF.

Introduction 43 The predynastic Khitan 44 The background of A-pao-chi's rise co power 53 The rise of A-pao-chi 56 A-pao-chi becomes the new khaghan and ascends the throne 60 The succession crisis and the reign of T'ai-csung 68 The succession of Shih-tsung 75 The development of government institutions 76 Relacion with regimes in China Bo The reign of Mu-tsung, 951-969 81

1X x CONTENTS

The reign of Ching-tsung, 969-982: confromarion wich Sung 84 The regency of Empress Dowager Ch'eng-t'ien 87 Changes in inrernal government 91 Foreign relations 98 The reign of Hsing-tsung 114 The reign of Tao-rsung 12 3 The reign of T' ien-rso and the collapse of the Liao 139 Final disaster 149

2 The Hsi Hsia 154 by RUTH OUNNE L , Kenyon College Jntr oduction 154 The ethnogenesis of the Tangut people 15 5 The surrender to T'ang and settlement in the Ordos r58 The end of the T'ang 161 The Tanguts during the Wu-tai period 164 The Tanguc move toward independence, 982-1002 168 Liang-chou and Tangut expansion into Ho-hsi 172 The rise of the Tibetan Tsung-ko dynasty 173 Li Te-ming, 1004-1032 176 Ho-hsi after the Tangut conquest I 79 Li Yiian-hao (Wei-ming Nang-hsiao, Ching-csung), 1032- 1048 180 The succession co Wei-ming Yuan-hao 189 A state in peril: the reigns of I-tsung (1048-1068), H ui- tsung (1068-1086), and Ch'ung-csung to 1100 191 The reign of Hui-tsung (1068-1086) 193 Hsia comes of age: Ch'ung-tsung (1086- l t 39) and Jen- csung (!140-1 r93) 197 The last years of the Hsia state and the Mongolian conquest 205

3 The Chin dynasty 215 by H E RB E RT FRANKE

General remarks 2 1 5 The J urchen people and their predynastic history 216 The reign of A-ku-ta and the founding of the Chin dynasty 220 From war to coexistence: Chin-Sung relations b~fore the treaty of 1142 226 The political history of Chin after 1142 235 TheannihilationofChin, 121 5- 1234 259 CON~ENTS , ri

Government structure 265 Social structure 2 7 7 Ethnic groups 279 Economic conditions 29 r Scholarship, literature, and the arcs 304 - Religious life 3 l 3 Conclusion 319

4 The rise of rhe Mongolian empire and Mongolian rule in north China 32 I by THOMAS ALLS EN , Trenton State College . Mongolia and Temujin, ea. 1150-1206 321 Chinggis khan and the early Mongolian state, 1206-1227 342 The organization of the empire: the reigns of Ogodei and Gi.iyiig 365 The empire at its apogee: the reign of Mongke, 125 l - 1259 390 Epilogue: The empire on the eve of civil war 411

5 The reign of Khubilai khan 414 by MORRIS ROSSA BI, City University of New York, Columbia University The early years 414 Khubilai and China, 1253- 1259 418 Khubilai versus Arigh Bake 422 Foreign expansion 429 Social and economic policies 445 Khubilai as emperor of China 4 54 Khubilai and re.ligion 457 Khubilai and Chinese culture 465 Preservation of the Mongolian heritage 4 7 l Ec~nomic problems .in later years 4 7 3 The regime of Sangha and economic and religious abuses 4 78 Disastrous foreign expeditions 482 Khubilai's last years 488

6 Mid-Yuan politics 490 by HSIAO Ctt' r-ctt'ING, University of Singapore Introduce: ion 490 The reign of Temiir khaghan (Emperor Ch'eng-tsung), 1294-1307 492 X11 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-csung), l 307- l 3 I 1 505 Administrative anomalies 507 The "new deals" 5 IO The reign of Ayurbarw~da 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 rei~n of Yesiin Temiir khaghan (Emperor T'ai-ting), 1323- 1328 535 The reign of Tugh Temiir (Emperor Wen-tsung), 1328- 1332 541 The failure of the succession arrangements 556 The period in retrospect 5 57

7 Shun-ti and the end of Yiian rule in China by JOHN DARDESS, University of Kansas Yiian China at the accession of Toghon Temiir (Shun-ti) 561 Toghon Temiit's enthronement and Bayan's chancellorship, 1333-1340 566 Toghto and his opposition, 1340-1355 572 The disintegration of che Yiian 580 Conclusion: Why did the Yiian dynasty fall? 584

8 The Yuan government and soCiery 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, Emeritm The Mongolian period in Chinese history The population of Yiian China Soci~l -psychological factors Social classes: traditional and new elites CONTENTS XJll

Confucian households 63 5 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 Yuan dynasty social history 65 7 Households in bondage 661

Bibliographical essays 665 Bibliography 727 Glossary-Index 777