The University of Chicago Frontier As Process
Total Page：16
File Type：pdf, Size：1020Kb
THE UNIVERSITY OF CHICAGO FRONTIER AS PROCESS: UMAYYAD KHURĀSĀN A DISSERTATION SUBMITTED TO THE FACULTY OF THE DIVISION OF THE HUMANITIES IN CANDIDACY FOR THE DEGREE OF DOCTOR OF PHILOSOPHY DEPARTMENT OF NEAR EASTERN LANGUAGES AND CIVILIZATIONS BY MARK DAVID LUCE CHICAGO, ILLINOIS AUGUST 2009 UMI Number: 3369369 Copyright 2009 by Luce, Mark David All rights reserved INFORMATION TO USERS The quality of this reproduction is dependent upon the quality of the copy submitted. Broken or indistinct print, colored or poor quality illustrations and photographs, print bleed-through, substandard margins, and improper alignment can adversely affect reproduction. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if unauthorized copyright material had to be removed, a note will indicate the deletion. ______________________________________________________________ UMI Microform 3369369 Copyright 2009 by ProQuest LLC All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code. _______________________________________________________________ ProQuest LLC 789 East Eisenhower Parkway P.O. Box 1346 Ann Arbor, MI 48106-1346 Copyright © 2009 by Mark David Luce All rights reserved To my wife Janice whose love, support and urgings help me to move upward and onward. TABLE OF CONTENTS ……………………………………………………………..vi ACKNOWLEDGEMENTS …………………………………………..………………..vii ABBREVIATIONS/DATES ……………..……………………………………………………………...viii ABSTRACT ……..…………….............1 INTRODUCTION AND CONCEPTUAL FRAMEWORK ……............12 CHAPTER ONE. THE KHURĀSĀNĪ FRONTIER SHATTER ZONE …………………………………………………...…..12 Introduction/Background …………………………………………………………..….15 Sasānian Khurāsān …………………….27 Sijistān (Sakistān, Sagistān, Sīstān, Nīmrūz, Drangiana) …………………………………………………………..36 Ṭukhāristān (Bactria) …………………………………………………..….45 Sogdia (Sogdiana,Soghdia) CHAPTER TWO. FRONTIER POPULATIONS: SĀSĀNIANS, HEPHTHALITES, ………………………………………………...….52 SOGDIANS, TURKS AND ARABS ………………………………………………………………….…..52 Introduction ………..………………………………………....53 The Sasānians (224-651 A.D.) …..69 The Hephthalites (Chionites, Kidarites, White Huns, Ak-hun, Hayāṭila) …………………………………………………………………….79 The Sogdians ………………………………………………………………………..91 The Turks …………………………………………………………………….....101 The Arabs …………….112 CHAPTER THREE. THE MUSLIMS IN UMAYYAD KHURĀSĀN …………………………….… ..112 Introduction: Three Stages of Development …………......…..114 The First Stage: Conquest and Settlement, 21-64/641-683 ….….138 The Second Stage: Factionalization and Assimilation, 64-96/683-714 .176 The Third Stage: Estrangement, Division and Arbitration, 97-128/715-745 ….……….207 CHAPTER FOUR. THE EARLY KHURĀSĀNĪ ASHRĀF AL-ISLĀM …………………………………………………………….………207 Introduction …………………….…….209 Ziyād b. Abī Sufyān as One of the Ashrāf al-Islām ʿAbdullāh b. Khāzim al-Sulamī, the Ashrāf al-Qabāʾil, the Muslim ………………………..…....221 Khurāsānī Shatter Zone (Old Guard ʿAṣabīya) …………………………………...……………...…229 Al-Muhallab b. Abī Ṣufra ………..………..……...238 Qutayba b. Muslim al-Bāhilī and the Banū Muslim iv ……………………………..…..…………………………...253 Ḥayyān al-Nabaṭī CHAPTER FIVE. THE MULŪK AL-ṬAWĀʾIF (TRADITIONAL RULERS OF …………………………………………………………..……….…263 THE FRONTIER) ………………………………………………..………….……..…263 Introduction ……………………………………..……………….….....267 Definitions of Terms …..……......269 Sasānian Khurāsān: Structures of Empire and Local Networks ……...…………284 The Mulūk al-ṭawāʾif of the Tʾang Ṭukhāristān and Sogdia ……………………………..…………………………………………..318 CONCLUSION ………………………………………………………………… …. 321 BIBLIOGRAPHY ……………………………………………………………………….341 APPENDIX ONE Map 1. Makran-Pamir Shatterbelt…………………………………………..…...342 Map 2. Khurāsān circa 700 A.D.…..………………………………………….....343 Map 3. Sāsānian Khurāsān………………..……………………………..….…...344 Map 4. Sijistān………...………………………………………………..……….345 Map 5. Ṭukhāristān……………………………………………………..……….346 Map 6. Sogdia………………. ………………………………………………….347 Map 7. Tʾang Khurāsān………………………………….……………………...348 ………………………………………………………………….......349 APPENDIX TWO Figure 1. Chart of the of Khurāsān………………………………….….350 akhmās Figure 2. List of Umayyad Governors of Khurāsān………………………….…350 Figure 3. Table of Banū Ziyād Governors …………………………………...…352 Figure 4. List of Mulūk al-Ṭawāʾif by Region …………….…………………....353 v ACKNOWLEDGEMENTS My heartfelt thanks goes to my advisor Wadad Qadi for her patience and for believing that old dogs can learn new tricks, to John Perry who invited me into his house when I first visited the University of Chicago and afterwards continued to provide intellectual stimulation both inside and outside of the classroom. I thank Fred Donner for his support, corrections and diplomatic suggestions. I must also thank Bruce Craig for leading me to Owen Lattimore’s inner Asian frontier studies and Chris Winters at the Regenstein Map Collection deserves a special thanks for helping me create my maps. Additionally, I cannot forget Étienne de la Vaissière whose hospitality at his conference in Paris on the Islamization of Central Asia introduced me to so many scholars who have inspired my work. Finally, I would like to thank my parents who fostered my love of books and learning. vi ABBREVIATIONS The following is a list of abbreviations that have been used to shorten citations. 2nd (online) EI2 Encyclopaedia of Islam (online) EIr Encyclopedia Iranica Ṭabarī Tārīkh al-rusul wa al-mulūk The History of Al- . SUNY Series in Ṭabarī : An Annotated Translation Near Eastern Studies. Albany: State University of New York Press, 1985; 2007. The forty-volume English translation of Ṭabarī has been cited throughout this dissertation to cite references. All references first cite the volume number, which is separated from the page number by a colon, i.e. 24:56. Al-Balādhurī, Throughout the dissertation, the Murgotten Futūḥ translation of the has been cited. Kitāb al-Futūḥ DATES Dates within the Islamic period are given in both and Christian Era separated by a forward hijri slash, for example 133/750. Otherwise the abbreviations B.C. or A.D. are used. vii ABSTRACT This dissertation examines the beginnings of the Islamization process in Khurāsān from the Arab conquests through the Umayyad period (41-128 /660-745). It attempts to establish a multi- dimensional baseline for the study of this region as a frontier, by describing the region’s geography, its diverse populations and religions. It adopts a conceptual framework that conceives of the Khurāsānī frontier as a shatter zone fractured by its varied physical, political, social, economic, cultural, linguistic and religious areas and processes, which eventually fused its diverse peoples and natures to create a joint Islamic community. The Muslim conquest and colonization of Khurāsān is examined and Muslim Umayyad authority is divided into three distinct stages of development: one of raids (21-64/641-684), one of factionalism and expansion (64-96/683-714), and one of Umayyad governance, misgovernance and decline (97-128/715-745). Three particular aspects of Umayyad Khurāsān are explored: settlement patterns, governance and the spread of Islam. Five leading Muslim families, who played significant roles in the governance of Khurāsān are examined. They provide an understanding of the currents of change within Muslim society and viii the internal struggles of Umayyad authority in Khurāsān to diminish the Arab tribal system and to develop into a society where it became possible for Khurāsānī Muslims to rise in the service of the Islamic state. Additionally, the responses of the non-Muslim local leaders and elites of Khurāsān are examined throughout this beginning process of Islamization. They are presented within the context of the Khurāsānī frontier shatter zone, in an attempt to demonstrate the internal and external forces within their individual zones of control that motivated their responses to Muslim overtures to gain their loyalty. ix INTRODUCTION AND CONCEPTUAL FRAMEWORK My conceptual understanding of the Umayyad Khurāsānī frontier has been inspired by the 19th/20th century American historian Frederick Jackson Turner’s treatment of the American frontier as a region, a condition and a process, as well as Owen Lattimore’s frontier zones of control.1 But more importantly, I view the 1st/7th century Khurāsānī frontier as a regional shatter zone, composed of a variety of physical, environmental, social, economic, cultural, linguistic and religious conditions that with the advent of the Muslims started a process of fusion, which three centuries later resulted in a joint Islamic community. 2 1 Turner considered the American West as a place, a condition and a process. I have substituted population for condition. Turner’s viewed the American frontier as a vast region of unoccupied free land. This “Frontier Thesis” land and its challenges, in turn shaped the pioneers who settled it. Unfortunately, Turner did not appreciate the indigenous populations, so they did not figure positively in his studies. Allan G. Bogue, Frederick Jackson Turner, (Norman: University of Oklahoma Press, 1998), 202. For Turner, the conditions of the Strange Roads Going Down land and the efforts of individuals set into motion a range of processes: political, economic, cultural, etc. that acted together to form the American frontier. In the spirit of Turner, the “Khurāsānī Frontier” is approached as a region, a population and a process. However, unlike Turner, a careful examination of the physical geography of Khurāsān (the region) will be made to understand the