The Socio-Political Phenomenon of Qazaqlïq in the Eurasian Steppe and the Formation of the Qazaq People by Joo Yup Lee A thesis submitted in conformity with the requirements for the degree of Doctor of Philosophy Degree Department of Near and Middle Eastern Civilizations University of Toronto © Copyright by Joo-Yup Lee 2013 The Socio-Political Phenomenon of Qazaqlïq in the Eurasian Steppe and the Formation of the Qazaqs Joo Yup Lee Doctor of Philosophy Department of Near and Middle Eastern Civilizations University of Toronto 2013 Abstract This dissertation is concerned with the formation of the Qazaqs in the context of the custom of political vagabondage known as qazaqlïq in post-Mongol Central Eurasia. More specifically, my study addressed the process whereby the Uzbek nomads inhabiting the eastern Dasht-i Qipchāq bifurcated into the Qazaqs and the Shibanid Uzbeks in the sixteenth century in consequence of the qazaqlïq activities led by two rival Chinggisid families: the Urusids and the Abū al-Khairids. Qazaqlïq, or the qazaq way of life, was a form of political vagabondage that involved escaping from one’s state or tribe, usually from a difficult social or political situation, and living the life of a freebooter in a frontier or other remote region. The custom of political vagabondage was by no means an exclusively post-Mongol Central Eurasian phenomenon. It existed in other places and at other times. However, it was in post-Mongol Central Eurasia that it became a widespread socio-political phenomenon that it came to be perceived by contemporaries as a custom to which they attached the specific term, qazaqlïq. During the post-Mongol period, the qazaq way of life developed into a well-established political custom whereby political fugitives, produced by the internecine struggles within the Chinggisid states, customarily fled to frontier or other remote regions and became freebooters, ii who came to be called qazaqs. Such Chinggisid and Timurid leaders as Muḥammad Shībānī and Temür became qazaqs before coming to power. The Qazaqs came into being as a result of the qazaqlïq activities of Jānībeg and Girāy, two great-grandsons of Urus Khan (r. ca. 1368–78), and of Muḥammad Shībānī, the grandson of Abū al-Khair Khan (r. ca. 1450–70) that resulted in the division of the Uzbek Ulus into the Qazaqs and the Shibanid Uzbeks in the sixteenth century. The Tatar and Slavic cossacks (Russian kazak, Ukrainian kozak) who appeared in the Black Sea steppe in the fifteenth and sixteenth centuries were the products of the qazaqlïq, or cossack phenomenon. Significantly, Ukrainian cossackdom led to the formation of the Ukrainian Hetmanate, which eventually contributed to the consolidation of a separate Ukrainian identity. iii Acknowledgments Above all, I will be forever indebted to my Doktorvater Victor Ostapchuk. His guidance and support have made my doctoral program most pleasurable and productive. He generously gave me access to his collection of sources. He helped me acquire a reading knowledge of modern and Ottoman Turkish. I benefited greatly from his lectures on the Ottoman and steppe empires. As an Ottomanist, he went out of his way and helped me pursue my thesis topic. His vast knowledge and expertise were essential to the progress I made on my dissertation. Without his painstaking supervision, this work would have remained full of flaws. I will do my utmost to convey my appreciation fully in time to come. I also express my heartfelt thanks to Ms. Halyna Ostapchuk for giving me the opportunity to taste the most delicious food on several occasions. I am to the highest degree indebted to Professor Maria Eva Subtelny. My study on the Qazaq people and the qazaqlïq phenomenon owes its origin to her encouragement and guidance. She was instrumental in helping me develop my thesis topic. Her comments and encouragments have always inspired me intellectually. She also unselfishly gave me access to her collection of sources. I have relied on her scholarly contributions in my study. The present study is a continuation of her study of the qazaqlïq phenomenon. I would also like to express my gratitude to her husband Professor Orest Subtelny for reading the chapter of my thesis pertaining to the Ukrainian Cossacks. I am truly thankful to Professor Linda Northrup for her willingness to become a member of my thesis committee. She carefully read my thesis and gave me invaluable advice and feedback. I have always benefited from her careful consideration of my questions and her willingness to always support me. Professor Reilly also generously agreed to act as a non-thesis iv committee member of my Final Oral Examination and during the defense offered me constructive criticism and advice. I would like to express my warmest gratutide to both of them. I feel greatly privileged and honoured to have had Professor Stephen Dale as the external appairser of my thesis committee. He gladly served as my external reader and offered me insightful feedback on my thesis in his written appraisal and during the actual defense. I was able to first develop an understanding of what qazaqlïq was many years ago thanks to his work on Babur. Without his scholarly contributions, which taught and inspired me, I would not have been able to embark on my task in 2007. I would also like to thank with all my heart Anna Sousa, Graduate dministrator of the Department of Near and Middle Eastern Civilizations. I am much appreciative of the indispensable administrative support and friendship she offered in the past eight years. I am so fortunate to have met my colleague Nasrin Askari, who has assisted me in the preparation of this work. Without her kind heart and thorough knowledge of the Persian language, I would not have been able to solve numerous problems I encountered while reading Persian texts and manuscripts. She also gave me valuable counsel on my studies during the course of my doctoral program. I express my unbounded gratitude to Sofia An, a Korean Kazakh doctoral student at the Faculty of Social Work. She patiently helped me reading difficult Russian texts. Without her assistance, I would not have managed to complete this study at this time. She also offered me indispensable help during my research trip to Kazakhstan in October 2010. My sincere appreciation also goes to my Turkish colleagues, Metin Bezikoğlu and Murat Yaşar, who have made helpful suggestions to improve my translations of Chaghatay Turkic and Ottoman Turkish passages. v My Ukrainian colleague Maryna Kravets shared her in-depth knowledge of Ukrainian cossackdom with me and helped me with the bibliography. I appreciate her assistance and respect her intelligence. I am also very grateful to my Kazakh friend Nygmet Ibadildin, Assistant Professor of International Relations at KIMEP University, for helping me procure a substantial number of books published by the Kazakhstan Academy of Sciences. He also kindly offered me detailed answers to my inquiries about contemporary Kazakh historiography. I would also like to express my sincere thanks to several institutions for providing me with financial support: the Connaught Committee, for the Connaught Fellowship (2006–08); the School of Graduate Studies at the University of Toronto, for the Doctoral Completion Award (2011); The Government of Ontario, for the Ontario Graduate Scholarship (2009–11); and the Korean Canadian Scholarship Foundation, for the Korean Canadian Scholarship (2010). Some institutions have assisted me by providing microfilms of manuscripts vital to this work. I thank Marlis J. Saleh, the Assistant Bibliographer for Middle Eastern Studies at the University of Chicago Library, for giving me access to several microfilms of manuscripts kept at the Middle Eastern collection in the Joseph Regenstein Library. I also thank Nicholas Walmsley, the Graduate Assistant at the Sinor Research Institute for Inner Asian Studies, who photocopied the manuscript of the Baḥr al-asrār for me. This work is dedicated to my wife, Hee-Jeung Lim, who has been a faithful companion during my own qazaqlïq days of thesis writing. vi Table of Contents Abstract ………………………………………………………………………………................ ii Acknowledgements ……………………………………………………………………………. iv Table of Contents ……………………………………………………………………………. vii List of Maps and Diagrams …………………………………………….……………….…........x Transliteration Table ………………………………………………………………………...…xi Introduction ……………………………………………………………………………………...1 1. Thesis Statement …………..…………………….……………...………………….……..1 2. Review of the Literature: The Formation of the Qazaqs ……………..………………….4 3. Sources …………………………………………………………………………………..14 3.1 Histories of the Moghuls and the Uzbeks …………………………………… 15 3.2 Ilkhanid History ……………………………………………………………....19 3.3 Timurid Histories ……………………………………………………………..19 3.4 Crimean and Volga Tatar Histories ………….………….……………………21 3.5 The Standard Chinese Histories ……………….……………………………..23 3.6 Mongolian Sources …………………….….………………………………….24 3.7 Diplomatic and Ethnographic Materials …………..………………………….24 4. Definitions of the Term Qazaq …………………………………………………………25 5. An Overview of the Dissertation Structure ……………………………………………...29 PART I: THE SOCIO-POLITICAL PHENOMENON OF QAZAQLȈQ Chapter One: The Historical Meanings of the Term Qazaq: An Examination of the Usages of the Term Qazaq in Written and Oral Sources of Post-Mongol Central Eurasia …………………………………….…………………………...……….32 1. Central Asian Histories ………………………………………………………………….34 2. Oral Epics of the Dasht-i Qipchāq and Tatar Historical Texts…………………………50 3. Muscovite and Polish Historical Literature....…………………………………………...56