FROM MONGOL EMPIRE TO YAN DYNASTY: CHANGING FORMS OF IMPERIAL RULE IN MONGOLIA AND CENTRAL ASIA Author(s): John

W. Dardess Reviewed work(s): Source: Monumenta Serica, Vol. 30 (1972-1973), pp. 117-165 Published by: Monumenta Serica Institute Stable URL: http://www.jstor.org/stable/40725972 . Accessed: 03/06/2012 03:49
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FROM MONGOL EMPIRE TO YUAN DYNASTY: CHANGING FORMS OF IMPERIAL RULE IN MONGOLIA AND CENTRAL ASIA
John W. Dardess

I.

TerritorialOrganizationof the Mongol Empire, 1250-1260

On the eve of Qubilai'sseizureof power as great qaghan in China in 1260, the Mongolempiremay perhapsbe characterized as a loose warrior imposed upon the entireInnerAsian hegemony with a vast expanse of settledterritory steppe region together CentralAsia and Persia and as far from Korea through extending west as Asia Minor and European Russia. Withinthis warrior hegemony, supremepower in all but the Qipchaq Steppes and in Russia was concentrated the hands of thegreatqaghanMngke base was the walled townof Qarawhosemainfixed (r. 1251-1259), qorum in the Mongoliansteppe homeland. From it, the qaghan of debrisof a number former ruledoverthe heterogeneous sedenstates. In some areas,theMongols and the permitted tary empires as of existence local dynasties long as theyacceptedthe necessity to of a subservient relationship theqaghun. In theUighur kingdom, and parts of Transoxania,for example,native ruling Ferghana, houses remained.1Elsewhere,as in the Tangut territory in and north dedynastieshad been completely China, the pre-Mongol bloodand ruin. Despitethe enormous at stroyed thepriceofmuch within Mongol the diversities and Schurmann realm, political cultural thatall partsofit weresubjectto an essentially has shown uniform and which of derived from system tributes levies(albaand qubchiri) Mongolsteppepractice.2 pre-imperial
ber die Geschichte Trken Mittelasiens der 1) W. Barthold, Zwlf Vorlesungen 1962),pp. 189-190. (Hildesheim, " Practices of the Thirteenth Tributary 2) H. F. Schurmann, Mongolian Century," HarvardJournalof AsiaticStudies 19 (1956),304-389. For a revisionof Schurmann's and NomadicTaxation,"HarvardJournal see MassonSmith, " Mongol Jr., analysis, John of Asiatic Studies 30 (1970),46-85. 117

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the of For the organization direction revenuecollection, and headed a tripartite secretariat after 1241 depended upon qaghans mainlyby men of Uighuror Transoxanianorigin. In Mngke's time the three branchesof this secretariat appear to have been from : each other one in Peking locatedat roughly distances equal ; ^ (thenknownas Yen-ching rO the secondin Beshbaliq,capital in somewhere Transoxania.3 of the Uighurkingdom and the third ; for revenue quotas and were responsible meeting The secretaries in of the mainly theform preciousmetalsand forwarding proceeds, in theseamong silk,to the qaghan. The qaghan turnreapportioned theprincesand leading men withinMongolsteppe society. At least duringMngke'sreign the Mongolfiscalsystem appears to one centralized at its upperlevels.4 have been a highly of the fiscal organization accession, By the timeof Mngke's a had set in motion massiveflowof wealth the Mongolconquests into the stepperegions, and fromconqueredsedentaryterritory formof a this new wealthhad in turn stimulated rudimentary besidesservsteppeurbanization.The capital cityof Qaraqorum, also ing as a centerof arms and othermanufacture, constituted and of revenueconcentration, some, of something a centralpoint therepriorto exand tax income was gathered if not all, tribute walled in 1235 by The or redistribution. citywas first penditure Since buildings.5 permanent gdei,who also erectedits principal the walls were built of wattle and clay, materialsunsuitedfor of intended onlyforpurposes police defense,they were probably control.6The area enclosed the walls was about and customs by of who described William Rubruck, visited by 1,070acres. Although to it in 1253,as beingsmall even in comparison the FaubourgSt.
ffi X M 3) Hsiao Ch'i-ch'ing f S, Hsi-y-jeny Yan-ch'ucheng-chih 1$ f5! JJ (Taipei, 1966),p. 47. gc f [CentralAsians and Early Yan Government] at cf. 4) For Mngke'sfiscalcentralization the expenseof the princes, Hsiao, p. [The National Historyof the West Uighurs](Tokyo,1954),pp. 48-52; Igor de Rachewiltz,"Yeh-l Ch'u-ts'ai (1189-1243): Buddhist Idealist and ConfucianStatesman," ArthurF. Wrightand Denis Twitchett, eds., ConfucianPersonalities (Stanford, 1962), p. 214. " Journal Asiatique CCVI (1925),374. 5) Paul Pelliot, Note sur Karakorum," Goroda[Ancient Cities](Moscow, Mongolian 6) S. V. Kiselev,ed.,Drevnemongolskie 1965),p. 134.

no kokushi kenky V 4 /^@^^ W 37; Abe Takeo& q ^c, Nishi Uiguru

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was at that timefar larger thananyother city Denis,Qaraqorum outsideof the areas of continuous in thesteppes steppemargins or cultivation.7 #1$, Only Shang-tu_h built after 1259, exceeded it in slightly size.8 fixed like The leadingsteppeprinces theqaghanalso maintained centersof revenue whichservedas secondary townsor residences Two unwalled also and concentration probably ofcrafts production. an courtcomplexes, earlierand a later one, both located princely in the appanage of Chinggis Qan's youngerbrotherJochiQasar have been excavatedin the Transbaikal and his descendants, by to A Sovietarcheologists.9 walled residence belonging an imperial and time,has been disMngke's son-in-law, datingat least from southof Lake Hbsgl (Kbsgl) coveredon the Delger Mren, than the moreimportant in northcentral Mongolia.10 Politically whoseapwere thoseprinces of owners theseresidences, however, westoftheAltai in a morecriticalpart ofthesteppe, panages lay and of and north theTien-shan% [li, between Qaraqorum its more in economic dependencies the Tarim and in Transoxania. far-flung Therewereat least fourprincely appanageshere. The Chaghatai seat at Almaliq,nearpresent Kulja had its princely day appanage (I-ning* $p); the townof Almaliqalso possessed a native ruler of its own.11 The appanage of Qaidu,established Mngkein by " as described the " large town whatRubruck had as its center 1252, to ofQayaliq, probably be locatedat theeast endof Lake Balkhash,
The of ed., The Journey Williamof Rubruck, HakluytSociety, 7) W. W. Rockhill, 2nd ser.,no. 4 (London,1900),p. 220. of 8) Shang-tu,largest and most important the cities on the Sino-Mongohan a was originally campsite; it was built into a walled city by Qubilai beginfrontier, capital of the Yuan ningin 1259 and it became duringhis reignthe seasonal summer the "Xanadu" made famousby Coleridge'spoem. It enclosedan area of emperors, : its acres within outerwalls. Cf. Yuan shih yt&. [Yuan DynasticHistory about1,100 " Capital ed.), 58.8a; Lawrence Impey, Shangtu,the Summer hereafter YS] (Po-na-pen Review XV (1925),591. of Kublai Khan," Geographical 9) Kiselev,pp. 23-58,325-369. " de 10) YngsiyebRincen, L'inscriptionsinomongole la stle en l'honneurde Mngkeqaran," CentralAsiatic Journal IV (1959),130-138. lybFour Studies on me Historyoj Centrai Asia {&vols.; L.eyaen, 11) Barthold, " of 62),I, 35,48. For the location Almaliq,cf. T. W. Thacker, A NestorianGravestone Durham UniverDurhamUniversity," Museum, fromCentralAsia in the Gulbenkian sityJournal XXVIII (1967),103.

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some 125 milesnorth Almaliq.12 of The descendants theqaghan of wereallottedan appanage with a center,describedby a Gyg Chinese account as a walled town{ch'eng on the Emil River, ftfc) identified an easternaffluent eitherLake Balkhash as of variously or Lake Alakul.13If located at Lake Balkhash, the townwould of have stoodsome200 milesnortheast Qayaliq. Withthe possible of exception Almaliq,none of theseplacesseemsto have beensited are or excavated; the identifications therefore tentative. Finally, an appanage held by Orda's branchof the line of Jochi (the soto between called WhiteHorde) was positioned according Barthold Qaidu'sdomainat Qayaliq and the cityof Otraralong the middle courseof the Syr Darya.14Whereits walledcenter mayhave been to be unknown. appears nor Neitherthe qaghan theprinces, livedpermanently however, in thesetowns. They did not closely associate themselves with urbanculture, didtheypersonally nor involve themselves sedentary of in the continuous supervision bureaucratic operations. Rather, they spent much of theirtimeamongtheirown herdsand tents in the steppeareas allottedthem, kept up the seasonal nomadic and the hunt,and visitedtheirfixedcentersof wealth migrations concentration on occasion. In December1253, for example, only RubruckfoundMngkenot in permanent in residence any of the at but in buildings Qaraqorum, encamped the grasslandoutside.15 When not in Qaraqorum,Mngkeposted commanders there to the and In buildings the storehouses.16 theirshort protect imperial
Four Studies,I, 50 ; Pelliot, Notes on Marco Polo (2 vols.; Paris, 12) Barthold, 1959-63), 126. I, of 13) The Emil River is shown as an eastern affluent Lake Balkhash by A. An Historical Atlas of China, 2nd ed. (Chicago,1966),p. 40, and as an Herrmann, of his affluent Lake Alakul by E. Chavannesin the map accompanying Documentssur " les Tou'kiue (Turcs) Occidentaux (Taipei, 1969). For the walled town" of Emil, cf. a YS 180.2b. In 1252,Mngkeawarded the Emil area to a certainToghto, descendant of gdeithrough the town was in the posQarachar,not Gyg. In 1261,however, session of Gyg's descendants. Cf. Louis Hambis,Le ChapitreCVII du Yuan che built by gdei,is also mentioned (Leiden, 1945), 78-79. The townof Emil (Omyl), pp. by the medievaltravellerPlano Carpini; cf. Rockhill, 162 n. 2. p. Four Studies,I, 120. 14) Barthold, 15) Rockhill, 165. p. 16) YS 3.2b.

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of summation the life of Mngke,the Chinese historians the of Yuan shihpointed out that " by naturehe lovedthehunt ofthis, ; the he himself said that he was respecting ways of his ancestors. nations He wouldnot succumb or imitate to whatother did."17By retainingsome of the originalnomadicmode of existence,the to Mongolrulers were able to give sustainedpersonalattention whoseswiftmobility their arm,themounted cavalryupon military had of and murderous fighting capacitythe foundations theempire in it been laid. In addition, was oftenby rendezvous the steppe over withand surveillance contact zone that the qaghanmaintained in the steppeprinces;thereis occasionalmention the Yuan shih banfor the of Mngke'sassembling princes hunting expeditions, of and the distribution gifts.18 quets,sacrifices, In sum,priorto Qubilai'srise to powerin China in 1260,and orderthe of theinitiation newand radicalchanges, basic territorial of as be pictured a composition three of the Mongol may empire ing sedenwere the conquered parts. At the bottom integrated loosely and and of tary areas, centers agriculture craftsproduction comAt thetopwere the Mongolrulersand their mercial organization. between the forces, occupying steppeinterstices physically military settlement.19 areas of dense and continuous subordinate thevarious were court the In betweenand linking twoeconomically theMongol and locatedin the and the princes, controlled theqaghan by towns, the setwherethe wealthdrawnfrom steppesor steppemargins, and guarded was secretaries stored tled areas by the qaghan's prior at centralized the top, or to itsconsumption redistribution. Though was not undertaken an elaboat revenuecollection the bottom by but was instead undercentralcontrol, machine rate bureaucratic and to farmedout by the secretaries merchants otherprivatein17) YS 3.11b. 18) YS 3.4b,5b, 6b etc. Rubruckrelates that Mngke'smeetingswith "all the (Rockhill, 207). nobles" took place each summer p. 19) In CentralAsia, the Mongolstook deliberatemeasuresto ensurea sufficiency the of steppe. Bartholdreportsthat the Mongolsthinned area aroundQayaliqas well in west of theirpeasant population orderto providepasturage as othertractsfurther was apparently allowedto remain for the Mongolarmies. A settledvillage population Four Studies, I, 49, 122; also Barthold'sarticle onlyin the Chu valley. Cf. Barthold, " u" in Encyclopedia Islam, 1st ed., II, 881. of

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dividuals.20 The size of the Mongolempire under tended however, Mngke, its to attenuate jeopardize structural and order. In Mngke's reign the empirewas not onlyvast in extent and ; already in theMiddle its Far East, it was still expanding frontiers. Within the imperial of was onlyin a limited sensethecapital, system whichQaraqorum withits powercentergenerally buta system locatedin Mongolia, of the likelihood politicalfragmentation tendedto increaseto the were made at greater distancesfrom degreethat new conquests the center. It indeedappears to be thecase thattheqaghancould maintain withdifficulty control oversubordinate economic areas only that lay muchbeyonda 900-mile radiusfrom Qaraqorum. thisradiusof 900 milesfrom There existedwithin Qaraqorum centersof agricultural craftsproduction. four and majorsedentary These fourcentersmay be plottedalong an arc beginning the in and of upperYenisei valley (Kemkemji'd Ilan) to the northwest of Qaraqorumand ending in northChina to the southeast Qarawiththe Uighurkingdom and the former qorum, Tangut empire two middlepointsalong the arc. These centersall lay occupying withina radius of 500-900 straight-line miles fromQaraqorum. The Yenisei area was 500 miles to the northwest, probably but in further actualmilesowingto the ruggedness the intervening of terrain. Beshbaliq,capital of the Uighurkingdom, 700 miles was to the southwestNing-hsia g, capital of the former ; ^ Tangut was 650 miles southeast. In northChina,the important empire, bordercity of Ta-t'ung ^c (W|was 750 miles southeast,and the future Yuan capitalofTa-tu ^c f|5(Peking) was 900milessoutheast. The economic of importance the remote upperYenisei area is discernible from traditional the historical sources. Rashid only dimly forexample,says of it onlythat it had "many citiesand ad-Din, and nomads."21 settlements numerous The Taoisttraveller Ch'anghe ch'unJ| #, although did not visit the place himself, reported
20) Schurmann, 368, and the same author's Economic Structure of the Yuan p. 1956),pp. 89-92. Dynasty(Cambridge, translated by L. A. 21) Rashid ad-Dm, Sbornik Letopisei [CollectedChronicles], et 1946-60), i, 150. I, Khetagurov al. (3 vols, in 4 parts; Moscow-Leningrad,

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in the 1220'sthat it produced and good iron,had agriculture, that a thousand so Chineseartisanswere employed therein textile or RecentSovietarcheological manufacture.22 however, investigation, showsfar moreclearly how highlydevelopedthe upper Yenisei area was in the Mongolperiod. Kyzlasov pointsout that this development appears to have been originallysponsoredby the taken and was merely WesternLiao gg| or Qara-Kitaiempire, the over by the Mongols and not originated them.23 by Certainly fact that in Mongoltimescast ironwas producedthere in small blast furnaceswith the use of coke wouldindicatethat this imindustrial in first technique, developed Chinain theNorthern portant was probably first transmitted the Yenisei by to Sung (960-1126), Liao rulerswho occupiednortheast the former China in Northern Both coal and westward.24 priorto their migration Sung times, iron ore were locallyavailable,and the ironwas workedby artinails and knivesto armaments sans intoimplements rangingfrom tools. Remainsof local pottery, and agricultural stone,salt, and the textileproduction, latter including woolens,crepes,brocades, have also been found.25 and dyedmaterials Not theleast striking of was the highdevelopment agriculture which also dated from times. Kyzlasovreports that the remains irrigation of pre-Mongol " canalsrunfor" tensof kilometers along the northern of the side Tannu Ola range.26Wheat,barley,and milletwere grown, fields withironplowshares wereplowed and usingcast ironmouldboards, withironsickles.27 the cropsharvested
shih-liaossu-chung "* fi'- M [Four E3 22) Wang Kuo-wei31 ft, ed., Meng-ku M ^ sourceson Mongolhistory] (Taipei, 1962),pp. 366-367. " " 23) L. R. Kyzlasov, Srednevekovye goroda Tuvy [Medievalcitiesof Tuva],Sovetno. skaia Arkheologiia 3 (1959),75. cf. 24) On Northern Sung developments, Robert Hartwell, "Markets, Technology, of in and the Structure Enterprise the Development the Eleventh-century of Chinese Journal of EconomicHistory Iron and Steel Industry," XXVI (1966), 29-58. However, in and nothing Wittfogel Feng, Historyof ChineseSociety: Liao (907-1125)(Philadelphia, 1949) would indicatethat the Yeniseiarea was everunderdirectLiao or Western Liao control. 25) Kiselev,p. 118. 26) Kyzlasov,p. 77. On the upper Yenisei in Mongol times, see also Kyzlasov's Istoriia Tuvy v srednieveka [Historyof Tuva in the MiddleAges] recent synthesis, (Moscow,1969),pp. 130-172. 27) Kiselev,pp. 118-119.

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One of the meansby whichthe rulerdrewsuppliesand reveeconomicareas to Qaraqorumwas nues fromthese subordinate of the through system fixedrelaystations(jam) that gdei first on organized a regularbasis after1229.28From at least gdei's time,some of the jam served not only as part of the imperial but communications network, were also suppliedwithanimalsand to of carts for the transportation goods.29According Rashid adsuch stationsbea Din, gdei established stringof thirty-seven tween Qaraqorumand northChina in orderthat 500 cartloadsof be to daily forredistribuprovisions might brought his storehouses to tion.30Manygoods,however, appearto have beenbrought Qaranon-official on basis, and this qorumformarketing an essentially to the qaghan directly encouraged usingsilkand bullion subsidize by traders often trade, 10% morethan the real market private paying that such an extra value of their goods, mainlyon the grounds to was necessary enablethetraders repaydebtsincurred to margin from traders mentions Moslem en route. In thisconnection, Juvaini Persia as the beneficiaries theTangutand Uighurareas and from of the qagharisbounty,and other tradersfromIndia, but none from north China.31This fact wouldappear to indicatethat the cost of goodstransport from north Chinawas alreadyin partunderwritten the transportation facilities whichthe qaghanprovided. by of As north doubtthemostimportant the sedenChinawas beyond to Qaraqorum, maybe inferred it subordinate centers taryeconomic from three centers that the volumeofwealthforthcoming theother the of to was notsufficient warrant organization official transportation lines to them. Kyzlasov indicatesthat Moslemmerchants of handledthe shipment goods betweenthe upper Yenisei and of the without benefit transport relay staQaraqorum, apparently tions.32
in Das Postwesen China unter der Mongolenherrschaft im 28) Cf. Peter Ulbricht, 13. und U. Jahrhundert 1964),pp. 40-41. (Wiesbaden, material 19416.7a. The Yung-lota-tien 29) Yung-lota-tien7k$jn (Taipei,1962), has on the postalsystem been discussedby Haneda Tru 33 ffl Genchekidenzakk ^ 7C$gP $# [Studieson the Yuan postal system](Tokyo,1930),pp. 3-17. For the cf. different kindsof jam in Mongolterminology, Ulbricht, 45 n. 101. p. 30) Rashid ad-Din,II, 41. The Historyof the World-Conqueror, translated John Andrew 31) Juvaini, by Boyle 1958),I, 214-226. (2 vols.; Manchester, 32) Kyzlasov,Istoriia Tuvy,pp. 169-171.

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For goods-laden the of animals, time-distances theseproduction centers from be roughly calculated. Wassaf figure s Qaraqorum may of 14 days forthe 400 milesbetweenAlmaliqand Beshbaliq,and of MarcoPolo's figure 12 days forthe278milesbetween Kan-chou a rate of 24 to 28 miles -#'}'i and Etzinaindicate steppetravelling rates wouldput each of the four economic per day.33Comparable at regions surrounding Qaraqorum a distanceof 25 to 35 days in traveltime, approximatelymonth.Distances i.e. a from Qaraqorum to itsmorefar-flung economic in the TarimBasin or dependencies were considerably Transoxania greater. Khotan,theleadingtown on the southrimof the TarimBasin, was about 1400 miles and twomonths in away; Samarkand theZerafshan valleyofTransoxania was about1800milesand twoand onehalfmonths away. Evidently the assignment princes appanagesin theCentral of to Asiansteppe in was donepartly orderthat goods and revenues from Khotanor Samarkandmight,with the authorization the qagharisagents, of be intercepted Almaliqor Qayaliq ratherthan be forwarded at all the way to Qaraqorum. Almaliq, example, about1000miles for lay from southwest and within range of 800 miles from a Qaraqorum Samarkand and 450 milesfrom Khotan. The Golden Hordeprinces, of since Mngke's builtthe town independent Qaraqorum election, ofSarai on thelowerVolga at a pointalmost2500 milesand three months west of Qaraqorum. From Sarai, the GoldenHorderulers almostexactlythe system dispersedeconomicdeof reduplicated centeredupon Qaraqorum: Sarai was 700 milesfrom pendencies 600 800 Moscow, milesfrom Kiev, and in the oppositedirection, miles fromits dependency Khorezm.34 modern of For times,Lattimore has estimated extreme an limitof 800 miles for profitable China-Mongolia grain trade usingcamels.35Thereseems to be a indication in Mongol that timesas well the cumulative costs strong
33) Cf. Wassaf,Geschichte s, Wassaf* translatedby Joseph von Hammer-Purgstall Asia (Oxford, (Vienna, 1856), p. 24 ; Sir Aurei Stein,Innermost 1928),I, 457. These are possiblyoptimumrates for ordinarytravel with baggage animals. For asses, Pegolotti calculated 70 days for the roughly1100 miles betweenAlmaliq and KanMedieval chou,or about 15 miles per day. Cf. RobertS. Lopez and IrvingRaymond, Trade in the Mediterranean (New York, n.d.),p. 356. 34) For Sarai, cf. BertoldSpuler,Die Goldene Horde (Wiesbaden,1965), pp. 264267, 426-427. Studies in FrontierHistory(Paris, 1962),p. 481. 35) Owen Lattimore,

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oftransportation prohibitively the made integraexpensive economic tionof all but the nearestproduction intoa powersystem regions of from radiating Qaraqorum. The factor distancealone ensured of the real or potentialpoliticaland economic independence the s of the outside perimeter Qaraqorum' immediate princes appanaged : areas. Distancealso affected production integrationWilpolitical liamofRubruck thatthe effective noted range of seasonal personal limitof two had an extreme contactbetweenqaghanand princes in months travelling timefrom Mongolia.36 of Underthesecircumstances, dispatch his brothers Mngke's of on the far frontiers to conduct Hleg and Qubilai operations theMongol strucstretched empire's the alreadyattenuated empire in ture yet further.Hleg set forth from Mongolia great pomp and magnificence theautumn 1253,and travelling in of onlyin the favorable tookthreeyearsto reach seasonsof autumnand spring, Alamutin the Mongolfrontier zone of western Persia,some 2800 miles fromQaraqorum.37 the were first Ta-li Qubilai'sobjectives in Yunnan, of 1500milessouth Qaraqorum and then, ^CM kingdom ; afterthe conquestof Ta-li in 1253,the Sung frontier central in China,which about1200milessouthofQaraqorum.The qaghan lay not choseto givehisclosepersonal attention to Persia,but Mngke to China,whichwas closerand moreintimately to theimperial tied in revenuesystem. He tookcare to imposehis own fiscalofficers also had interests and ; Shensi,whereQubilai'sprincely entourage to in 1258he came southfromMongolia China in orderpersonally in to conduct military operations Szechwan.38 His 1259.39 death Mngkedied of cholerain Szechwanin July, a for successionto the positionof qaghan. inaugurated struggle brother of and His youngest ArighBke,leftin control Qaraqorum to whileMngkewas in China,made a spirited attempt Mongolia
36) Rockhill, 207. p. II, 37) Juvaini, 611-618. Also cf. BertholdSpuler,Die Mongolenin Iran (Berlin, 1955),pp. 48-50. " 38) YS 3.8a-b; Tamura JitsuzBB J 36, Aribukano ran ni tsuite 7 U / io t <DHK"D'**X" [Arigh Bke's rebellion],TyshiKenky ~MPE$iVfft XIV (1955), 174. 39) YS 3.11a-b; Rashid ad-Din,II, 147.

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himself preservethe inherited politicalorderby declaring qaghan there. Qubilai'srump electionas qaghan at Shang-tu,however, constituted distinct a to that challenge theproposition thesupreme a from rulership oughtto maintain permanent physical separation the subordinate areas of sedentary exThe southward production. in ofthe frontier China forced a development, at for such pansion the same time that the factorof distancefrom was Qaraqorum to the forces also foundthemstretching thebreaking point, Mongol selves drawndeeperintoa territory denseand continuous of agriculturalsettlement.Something otherthan a reduplication the of inherited wouldhave to result was whenthebreaking system point fortherewere no real steppezones in China,no Dasht-ireached, a like Qipchaq to support quasi-nomadic powerestablishment the GoldenHorde,whichbroke politically fromQaraqorumbut still retainedthe olderpattern rule. Qubilaiproposed introduce of to an entirely into Mongolconquestorganization, new principle the thattheqaghan and hiscentral force principle military oughthenceforth be established to insidea major regionof sedentary production and not within distance severalsuchregions had of as striking earlierbeen the case. colocation imperial of Qubilai'sinnovating powerand conquered wealth was accompanied administrative by cruciallyimportant of and changes. The construction a Chinese-style bureaucracy from 1271as theYuan dynasty) made obsoleteand (known dynasty of and eventually replacedthe oldersystem tax farming, permitted the rulera muchtighter over the degreeof centralfiscalcontrol revenuesourcesin Chinathanhad beenpossible previously. princes' and CentralAsians were allottedleadingposiSincebothMongols in Qubilai'snew centralized that tions Qubilaiensured bureaucracy, moveswould not bind him exclusively his new organizational to at local Chineseinterests, least forsome decades. Qubilaiwas in to to factable to use his bureaucracy give substantial support his to control over the same parts of theMongol efforts reimpose ema had vantage point. pirethatMngke onceruledfrom morecentral it As of 1260,however, was notat all clearhowsuccessful new this a directed from new centerand using radieffort, Mongol imperial wouldproveto be. It was not clear whether cally new methods, in eitherthe steppezones or Qubilaias qaghan Chinacouldcontrol

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to areas whichwere closelysubordinate Qarathe othereconomic to 1259. qorumup

II. The End of Mongolia as Imperial Center,1260-1264

The struggle betweenQubilaiand ArighBke fortheposition of qaghaninvolved for basicallya fight the controlof the sedenof and shadow a doubtthat taryproduction beyond regions, showed forces neithercontestant could supporthimselfand his military of solelyon the resources the steppes. The events of 1260-1264 betweenQubilaiand ArighBke made it clear that the struggle was not at all a contestbetweenpure sedentarization and pure how but nomadism, rathera matchto determine theqaghan might bestcontrol sedentary resources whichhe absolutely the neededin order to maintaina Mongol imperialestablishment which had the abilityof pure nomadism support. to alreadyoutgrown idea was thattheMongol establishment Qubilai's might imperial bestbe controlled from within mostimportant its production region. His first movein the confrontation to postpone campaign was the Bke.40A againstthe Sung and securenorthChinaagainstArigh fewmonths the suplater,in the autumnof 1260,Qubilaidefeated of ArighBke in theTangutregion and so removed from it porters control.41 Uighur The was also lost to Arigh Qaraqorum's kingdom Bke; althoughthe native dynast appears to have been neutral the Mongolprince Qadan, who was duringthe struggle, resident the Uighurcapital of Beshbaliqas part of his appanage assigned Qubilaiand helpedhim in by Mngkein 1252,activelysupported threeofthe his seizureof the Tangut area.42 Thus in shortorder four economicregionsin the arc immediately Qarasurrounding qorumfell away from ArighBke's control. The regularflowof grain and other suppliesfromthe satellitesto the rulingcenter
40) Tamura,pp. 175-182. 41) Tamura,p. 182; also cf. Rashid ad-Din,II, 161. 42) Abe Takeo, Nishi Uiguru, pp. 69-70; Tamura, p. 182. Qadan was a son of gdei's; cf. Hambis,Le chapitreCVII, p. 72 n. 6. See also Saguchi Tru & P g|. " Kasei ni okeru v ^ hkenk M H K te V =& =** f 31 ^ " [Enfeoffed Mongoru rons ^P ffl in the Tangut area], Wada hakushikanrekikinen tyshi Mongolprinces

195, mmmifMft$imm(Tokyo, 255-272.

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was cutoff, as Rashidad-Din'saccountmakesclear,therewas and not enoughmaterielimmediately hand in Qaraqorum feedor to at to outfit It not Bke's army.43 is therefore surprising find Arigh that Arigh Bke fell back upon the upper Yenisei as his main sourceof support, it was the only economicarea withinthe for available to him. that remained immediate aroundQaraqorum arc the Afterspending about a year in the Yenisei,from fall of 1260 to the summer 1261,he marched of some 1,300milessoutheastin an attempt seize backnorth to Chinafrom Qubilai. Withhimwere a from Oirad, tribewhosenativehabitat the recruited troops mainly was not far fromthe Yenisei area.44 In the battleof Simultu near the China in (Simultai), fought November1261 somewhere Bke.45Thereis no doubt border, Qubilaidecisively repulsed Arigh in thatQubilaicouldobtainmoremateriel Chinathan ArighBke lineswereimmeasurhis couldin the Yenisei,and moreover supply shorter. These two factorsundoubtedly helped ensure his ably victory.46 Afterthe Simultubattle, the strugglebetweenQubilai and arc and its immediate Arigh Bke shiftedwest fromQaraqorum areas to Central a regionof steppeand sedentary ofeconomic Asia, to attached oases whichhad neverbeen so directly and integrally the Mongolian rulingcenter. By 1262,as a result of his defeat, ArighBke had to abandonMongoliaand the Yeniseito his rival west intothe CentralAsian steppesin order Qubilai and migrate in to to put himself proximity the moredistantof the sources of subordinate Qaraqorum. His movewas, to be to supplyoriginally sure,unusual. The CentralAsian regionhad all along supported
43) Rashid ad-Din,II, 161, 164. 44) Ibid., p. 163; YS 120-9b. 45) Rashid ad-Din,II, 162-163 YS 4.20b-21a. ; 46) Prior to the battle,Qubilai orderedhis civil districts(lu {&) in north China to purchase and send 10,000horses to Shang-tu, the chiefstagingsite for Qubilai's counteraction (YS 4.9b). In addition, 15,000troops were marchedthere from north China. Grain shipments bushels) totalling some 100,000piculs (shih ft; ca. 285,200 wereforwarded from north Chinato Shang-tu hiredcamels; grain fromthe Tangut by area was sent by speciallybuilt boats to the steppe marginnorthof the Ordos loop of the Yellow River (YS 4.9b, lib, 16a, 18a; 134.4a-b). In 1261, Qubilai opened a " " in Chinese-style harmonious purchase (ho-tif0$3) office Shang-tufor the procurementof locally-grown (YS 4.19a). crops at pricesset by the government M. S. XXX 9

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of what amounted a separatecombination princely to steppepower and conquered economic ; and in fact,afterperiodsof dependencies to for it interregnum, was usuallynecessary a newqaghan reassert over the CentralAsian princesand theirrehis forcefully control venues.47Previously, qaghan always had access to his own the Asianprinces Central sourcesof supplywhilehe punished offending did or madenewprincely ArighBke,however, not appointments. his whenhe undertook migration.Two enjoythiscrucial advantage years earlier,in 1260,he had assignedthe Chaghataiappanageto him whoat thetimesupported against Qubilai. Yet prince Alughu, Bkehad authorized need forsupplies, Arigh owingto his pressing in to Alughu take directchargeof revenuecollection orderto exthe CentralAsianoases of the transshipment suppliesfrom pedite was to Mongolia. This step,provoked an emergency situation, by could the and it provided meanswhereby Alughu irregular highly rebelagainstArigh Bke,his qaghan. Having gained directaccess to the taxes and levies of the Tarim and Transoxania, Alughu the thandeliver pack animals, decided keeprather to weapons,and othersuppliesthat he had collected. He killedArighBke's own and postedhis own. Withthat in representatives the oasis towns, realizmadean overtmovetoward Asia of act, the Mongols Central of separatism.48 ing the possibility political As ArighBke, drivenfromhis propercenter in Mongolia, migratedwest, he was able to defeatAlughuin the steppezone himselfand his army north the Tien-shanrange and position of of walledcenter Almaliq. Alughu, in thearea around Chaghatai the himself and from that sectorand quartered withdrew meanwhile, of Khotanand Kashgharon the south his armyin the oasis cities Mas'udBeg now former rimof the Tarim,withMngke's secretary in as in his employ chieftax collector Transoxania. He was able to of the to interdict flow revenue ArighBke in the steppecenter to of Almaliq. ArighBke was restricted whatlittlewas available from withwhathe couldplunder Alughu'sbaggage together locally
afterMngke's after Gyg'saccessionin 1246,and especially 47) It was necessary in 1251. Cf.Juvaini, 255; Ren Grousset, L'empiredes steppes(Paris, 1969),pp. 400I, 73-74. 401: F. W. Cleaves," Aqa Minu,"HarvardJournalof Asiatic Studies24 (1962-3), ; 48) Rashid ad-Din,II, 97, 163-164 YS 180.2b. The name Alughu is also often as -rendered Alghu or Alghuy.

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trains.49 Once again, as in the case of Qubilaiin China,it proved for in impossible ArighBke as qaghanpositioned the steppe to defeator evicta dissident within whowas firmly established prince the confines a major economic of regionand who had an armyin close physical to proximity a major source of supply. In these circumstances, ArighBke's armybegan to deserthim,especially sincethe winter 1263-64was a hard one at Almaliq. In 1264, of surrendered himself and his men to his ArighBke dramatically in China.00 elderbrother Qubilai emas By 1264,Qubilaiemerged sole qaghanover the Mongol and Qaraqorum its arc ofsedentary and economic pire, dependencies fell intohis hands. CentralAsia and its moredistantsteppeand oasis zoneswere at the moment despite beyondhis actual control, the factthat the ChaghataiprinceAlughuhad declared his allewestward.As of1264, giance to himafterArighBke's migration it a whether to whatextent qaghan and however, was stilluncertain who had committed himself China could continueto rule the to otherpartsof the easternMongolempire. There is no doubtthat as a Mongol committed the imperial to Qubilaifelthimself qaghan, power goals beyondChina whichthat ancienttitle implied. Yet a in Qubilaiwas also a huang-ti 'fi?, civilianemperor China and active executive head of its wholebureaucratic as administration, Chinese emperors were supposedto be. He couldnot,therefore, continue lead a nomadic to in existence the constantcompanyof his steppe cavalry as his qaghanpredecessors done and still had the direction supervision and that his bureauprovide day-to-day cracy in China had to have. In pointof fact,Qubilaispenthis timein Peking or Shang-tu, where the centersof bureaucratic in 1260-61and in 1287,did he accompany powerlay. Onlytwice, his armyon campaigns intothe steppes. The methods which by Qubilai as sedentaryqaghan in China attempted extend his to powerover the otherpartsof the easternMongolempirewere to a high and increasing and the degreebureaucratic, involved civil and military officials the newly consolidated of Yuan dynastyin basic level relief, and reconstruction, economic development projects
49) Rashid ad-Din,II, 97-98,164-165 Abe Takeo, p. 75. ; Four Studies,I, 123. 50) YS 5.20b Barthold, ;

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in variousareas outsideChinaproper. Since the time of gdei, of the qaghanshad made sporadicefforts towardtherehabilitation theconquered establishments areas, exempting religious sedentary fromfiscalobligations and occasionally donatingpersonalfunds towardthe rebuilding some ruinedvillage or town.61Qubilai, of on reconstruction a much initiated pursuit economic the of however, more engaged basis,usingcentrally systematic appointed personnel in reconstruction an integral to as part ofa largerattempt extend hispolitical military and control overthe same parts of the Mongol once ruledfrom empire Qaraqorum. This policywas particularly evidentin CentralAsia.
III. The Limits of Yuan Controlin Central Asia

to FromPekingin northChina,the total distances the three increased other economicregionsonce subordinate Qaraqorum to The Yeniseiwas some 1300miles distant fromPeking, by 56%. as against500from was now1400milesfrom ; Qaraqorum Beshbaliq former the rulingcenteras against700 earlier. Only Ning-hsia, capital of the Tangut empire,saw its distancefromthe ruling center decreasedfrom about 650 to about 600 milesas a resultof of Qubilai'sestablishment the imperialcapital in China. As for CentralAsia, Almaliq'sdistancefrom the rulingcenterincreased from 1000to 1850miles Khotan'sfrom1400to 2000. ; endeavor extramural For roughly twenty years,Qubilai'schief a was directed toward CentralAsia intosubjection, policy bringing whichthe qaghans thesteppehad usuallybeenat painsto pursue of were as yet mainly also. In the 1260's,however, Qubilai'sefforts on the personallevel. Shortly to aftercoming power, Qubilaisent in one Chaghatai to descendant, Abishgha, assumecontrol Almaliq, his but Arigh Bke seized and killedthe candidateand installed AfterAlughu'sdeath in late 1265 or early 1266, own,Alughu.52 Baraq,to ruleas regent Qubilaisent yet anotherChaghatai prince,
51) The princesalso engagedin such occasionalcharitableacts; witness Hleg's donationof 1256 for the restorationof the town of Khabushanand its irrigation II, system(Juvaini, 617). 52) Rashid ad-Din,II, 97, 161.

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the Chaghatairuler,Mubarakshah.53 locally-elected alongside young Once having appointedBaraq, however, Qubilaihad no meansto in fact as soon as Baraq gained ensurehis continued ; loyalty and two or threeyears later,he turned forces of control theChaghatai Qubilai.54 against was movement afootin Central another For Qubilai,however, to morethreatening him than simple Asia whichwas ultimately Qaidu,a treachery. Under the leadershipof gdei's grandson held on the Talas at was of coalition princes formed the convention has been discussedby in 1268 or 1269.55Since the convention Bartholdand others,onlycertainsalientpointsabout it need be recalledhere.56Qaidu was able to get the attendingprincesto in existence the stepperegionsof agree to revertto the nomadic to CentralAsia, and leave revenuecollection Qaidu'scentrally apsecretaries.Rashidad-Din'saccountof the Talas meeting pointed were constrained take to makes it clear that the Mongolprinces the previouspolicy of direct thisstep at least in part because was whichsomeof themwere following causingserious prdation areas. The Talas meeteconomic ownsubordinate in their damage by prompted thefactthatBaraq,thennominalingwas immediately the ly on Qubilai'sside,had plundered cityof Khotanduringhis his battlesagainstQaidu,and was about to permit armyto pillage aftera defeat Qaidu'scoalition.Promised Samarkand friendship by of and a generous portion revenueby Qaidu,Baraq agreed to turn in and Qaidu's" Medium Qubilai participate theconvention.57 against called it,perin as Imperium," Latin writers the West sometimes his after deathin 1301. His policyof physically untilshortly sisted a theirsubjectcitiespermitted separatingthe stepperulersfrom westofthePamirs, revival directed economic of spontaneous degree by the secretaryMas'ud Beg or by various local notables and
53) Rashid ad-Din,II, 91, 168; Pelliot,Notes on Marco Polo, I, 75-76. For the " " correct reading Baraq (a. c. Boraq, Buraq,etc.),cf.F. W. Cleavesin HarvardJournal of Asiatic Studies 12 (1949),111 n. 87. 54) Rashid ad-Din,II, 13, 91, 93 ; Barthold,Four Studies,I, 125. cf. 55) On the questionof the correctdate of this convention, Abe Takeo, p. 85. ; 56) Cf. Barthold, Zwlf Vorlesungen, 186; Four Studies,I, 47-48,125-126 Ken p. Grousset, L'Empire des Steppes,p. 405. 57) Rashid ad-Din,III, 69-71. Cf. also the article on Baraq m Encyclopedia oj Islam, 2nd ed., II, 1311-1312.

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was and however, notone directly dynasts. Thisrevival, promoted a centralized state apparatus.58 by supervised This renewed policyof peace and order withinthe Mongols' of CentralAsian realm and the return the princes the steppe to zone allowedthe Medium to and Imperium maintain preparedness its steppewarriors. The princesas war leaders among discipline couldgive constant to nomad personalattention their cavalry. At the same time, supplies and revenuescould be regularly drawn economic their from since these were once sedentary dependencies, from casual pillage or irregular exand excessive again protected actions. The military no energiesof the princesand theirarmies, to and internecine at home,could war longer committed plunder to acrossthe frontiers.59 insteadbe directed war and plunder
58) Andijan,for example, was entirelyrebuilt in a new locationand made the rich Ferghanavalley (cf. the article "Andidjan" in Encapital of the agriculturally cyclopediaof Islam, 2nd ed., I, 504-505; Guy Le Strange,The Lands of the Eastern Caliphate [New York, 1966], p. 478; Barthold,Four Studies, I, 50). Around 1283, Bukhara was repairedand repopulated Qaidu's secretary Mas'ud Beg (cf. Encycloby famousfor its Moslemtheologipedia of Islam, 1st ed., I, 781). The city of Tirmidh, wreckedby the Mongolsin 1220; it too was restored cal studies,had been completely condition to a flourishing Four of (Encyclopedia Islam, 1st ed., IV, 795-796 Barthold, ; Studies,II, 4-7). 59) One of Qaidu's firstacts was to encourageBaraq in his plan to invade and withits maincityof Herat. Rashid seize the districtof Badghisin Khorasan, together ad-Din explains that this campaign was launched because Baraq's troopswere too " ; manyforthe CentralAsian realm to support he neededthis additionalterritory so that the pastures,lands,and herds of his followers mightbe increased" (Rashid, II, was overambitioushe turned 98; III, 71-72; Pelliot,Notes,I, 189). Baraq, however, ; of down the Ilkhan ruler Abagha's offer peace and the cession of Badghis together with Ghazna and the Indus valley. He insteaddecidedto battle Abagha in the hope of takingover the entireIlkhan realm. Abagha,however, crushedBaraq in a great battle near Herat (Rashid,III, 72-81). Soon after this defeatof 1270, and memorable Baraq died,and his cattle and possessionswere seized and redistributed Qaidu by (Rashid,II, 100; III, 85). It would nevertheless appear that despiteBaraq's demisea to surplusof warriorscontinued overtax the resourcesof the Central Asian realm, the princeswere obligedto send or posiand that in order to relievethis pressure, so tion large forcesbeyondthe frontiers that they might maintainthemselvesby thatin 1288, of 30,000 Qaidu'shorsemen plunder. Rashid ad-Din,for example,mentions the plundered Ilkhantownsof Balkh,Merv,and Shaburgan(Rashid,III, 117). In 1295, the of CentralAsian Mongolraidersplundered Ilkhan provinces Khorasanand Mazanderan (Rashid,II, 92; III, 167). A detached horde of Central Asian Mongols,coma mandedby two of the princes' sons,maintained nomadicexistencein the Ghazna and fromit carriedout periodicraidingexpeditions area of modern both Afghanistan westward into Khorasan and southeast into India (Rashid,II, 14-15,92-93; on the until 1329,cf. Aziz Ahmad,"Mongol Pressurein an raids into India whichcontinued AlienLand," CentralAsiaticJournalVI (1961),182-193). These predatory wars along

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It was againstQaidu and his new princely coalition Central in Asia thatQubilaiorganized counterthrust 1271that proceeded a in along two main lines of advance. One led from Mongoliaacross the Altai intothe CentralAsian stepperegionsnorth theT'ienof shan wherethe appanagesof the hostileprinceslay. This line, underthe command Qubilai'sfourth Nomuqan(Nomoghan), of son was a kind of counter-coalition steppeprinces of loyal to Qubilai of and consisted The entirely Mongol steppewarriors.60 secondline, the advancedthrough Kansu Corridor outintothe and meanwhile, oasis citiesof CentralAsia. It consistedof garrisontroops and supporting personnel.Qubilai'sevidentinitialplan was to absorb all ofCentral Asia east of the Pamirsinto a system concentrally from trolled the Peking,but to obviatethe need to support entire from in resources China by extending a westward milioperation the witha revenue-managthrough steppes vanguard conjointly tary the the ing apparatusthrough oasis citiesso that,at least ideally, wholeeffort wouldbe self-supporting. This twinprogression however. In 1271, developed unevenly, advancedfrom and positioned himself his and Nomuqan Qaraqorum at seat of the Chaghataiprincely steppeforces Almaliq, appanage. west to the Talas.61 A supplyline Qaidu and his allies withdrew intotheTarimbasinwas thenevidently made directly and at once, forin the same year 1271thepopulation Khotanwas registered, of for Khotan was, obviously taxationand labor servicepurposes.62 as Marco Polo relates,an agglomeration numerous of townsand a capital cityof the same name; it produced villagessurrounding
resultedin a ruinousdevastationof settled territory, and beyondthe frontiers somewhichthe CentralAsian princestried to preventat home. Rashid ad-Din offers thing a sad list of wreckedcities (Rashid,III, 308). Bukharaitselfwas ravaged twice,in 1273and 1316,in the courseof the princes'wars with the Ilkhans (Cf. Encyclopedia of Islam, 2nd ed., I, 1294-1295). In 1332, the travellerIbn Batuta foundthe once famous citiesof Balkh,Ghazna,and even Samarqandruinedand depopulated {Encyclopedia of Islam, 1st ed., II, 153; IV, 130: ; 2nd ed., I, 1001; Le Strange, 465). Much p. of this evidentnomadpopulation pressurein CentralAsia was relievedby migration into Mongolia, is discussedin the text below. as 60) For the correctorderof Qubilai's twelve sons,cf.Pelliot,Noteson MarcoPolo, I, 569. 61) On the obscureand controversial exsequenceof events leadingto Nomuqan's cf. to pedition, Abe Takeo,pp. 80-84. According Abe, Qaidu raided Qaraqorumin 1268 and Nomuqan'sadvance was part of Qubilai's retaliatory action. 62) YS 7.11b.

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comand had a well-developed wheat,and wine, flax,hemp, cotton, oasis complex and manufacture.63 1274,the neighboring merce By intoa supplylinkwithAlmaliq, for of Yarkandwas also brought "water stations" were establishedin both in that year thirteen areas for the evidentpurpose of transporting supplies by the Yarkandand KhotanRiversto the northrimof the Tarim basin This near Kucha, and thenceacrossthe Tien-shanto Almaliq.64 linkwas madebefore Qubilaihad fullyabsorbedthe territory lying betweenKhotanand the Kansu Corridor. led Of Qubilai'stwo lines of advance,the warriorcomponent the much weaker. The ties acrossthe steppesproved by Nomuqan to the ofloyalty princes Nomuqanand Qubilai binding participating the Asianprinces than thosebinding Central were less substantial coalition to Qaidu. Thiswas partlyforthe reasonthat Nomuqan's and did not,like itsopposiwas hastilyand arbitrarily assembled, and independence stake in the confrontaat have its freedom tion, in tion. Nomuqan'sprincelycoalitionin fact disintegrated 1277 within and from ratherthan attack to restlessness treachery owing to without. According Rashidad-Din,whorelatesin detaila from and in onlybriefly in embarrassment the Yuan storymentioned and kidnapped Nomuqan hisclosesupporters shih,the rebel princes themto Qaidu and to MngkeTemr,ruler of the and delivered an GoldenHorde,in the hope of organizing attackagainstQubilai. disinclined give active support to to WhenQaidu showed himself of the princes'rash offer a grandsteppeallianceagainstQubilai, to thenmadean attempt make themselves theprinces independent in the upperYenisei and in Mongolia.65 of defense Mongolia successful againstthismovebrings Qubilai's
63) Yule and Cordier,The Book of Ser Marco Polo, 3rd ed. (London,1929),1, 188191. 64) YS 8.8a. 65) YS 9.20b; Rashid ad-Din, II, 106, 168 ff. The princes who boltedagainst NomuqanincludedArighBke's sons Yomuqurand Melig Temr, whom Qubilai had districts the Altai of and assignedappanages in the steppe and forest earlierpardoned and upperYenisei (Rashid,II, 201-202; L. Hambis,Le ChapitreCVII, 95-97); Sirigi, ; one of Mngke'ssons (Hambis, pp. 108-109) and Togh Temr,a nephewof Qubilai (Rashid,II, 106; Hambis,pp. 88-89,105). For the name Togh Temr (Tugh Temr, Togh Tmr),cf. Cleaves in Harvard Journal of Asiatic Studies 24 (1962-3),72.

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for up a separate problemwhich will be deferred the moment. us the Whatconcerns hereis the effect breakupof Qubilai'ssteppe to the at contingent Almaliqhad uponhis effort control oasis cities of CentralAsia. WhenQubilaifoundthat he could neithertrust nor control nomadarmyled byprinces positioned a and miles 1,500 from he conceded steppemilitary the away Peking, advantage to his at to Qaidu and did not attempt recover position Almaliq. far fromwithdrawing fromthe At the same time,however, to CentralAsian oasis cities,he increasedall the morehis efforts effort secureand develop to a control them. This involved massive but not onlythe oases themselves, also all intervening territory, Kansu Corridor the area,oncea part including especially strategic about400milesfrom stretched of the Tangutempire. The corridor Kua-chouH i}']in the west to Hsi-liangIS m in the east. It was a vital arteryforthe passageofcommercial official and and traffic, was also themostdirectpassagewayforthe movement garrison of of China to the oasis towns Central Asia. troopsand suppliesfrom the Fromthe west end of the Corridor, oases of the Tarim basin were all withina range of 1000 milesor less; henceits developin area was necessary order to obviate the mentas a producing from the interior China. of costsof transporting supplies a here was, however, moreprecarious undertaking Agriculture of the former than in the Ning-hsia Tangut empire,and portion the of did the government littleto promote development the Corat were ridoruntil the late 1270's,whenits programs Ning-hsia established.(The Ning-hsiasector,sited along the alreadywell towardMongoliaratherthan Central Yellow River, was oriented Plantations were set below.) Military Asia, and will be discussed in 1276,whena number Chinese of in the Corridor beginning up were put to workat Kua-chouand Sha-choub ]ii at its convicts " office set up end.66A " harmonious was western purchase control of military in rations in Kan-chou 1279forthe official procurement was undertaken and reliefgrain.67Population registration begintax ningin 1279,and in 1283 a uniform rate of 3 piculs IS per
66) YS 9.4a. 67) YS 10.6a.

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tg chJing (ca. 7.5 bu. per 16 acres) was set on new lands in the area.68 In 1286, paupers were sent to develop vacant Kan-chou fields Kan-chou in and Su-chou #1 oxen,seed, and tools were ; issuedto them.69 of Directmilitary exploitation arable land was muchmore in of in than in theNing-hsia sector the evidence the Kansu Corridor in former Tangutstate. Sometime the late 1270's,for example, Asia with the Chinese commander En S) M, en routeto Central Liu a garrison was ordered surveythe westernend of the to force, with a view to its possiblecolonization. He reported Corridor at was regfavorably.In 1280 the land and population Sha-chou isteredand troopswere put to workfarming excess fieldsseized fromthe locally wealthy.70 En's own colonies, authorized Liu by in thegovernment 1281,had 2,290households 1,166ch'ing working of land underthe supervision the local military of headqarters.71 in the Kansu Corridor a necessity was Irrigation owingto thescant in rainfall, onlyone irrigation yet project the area seemsto receive mention. In 1281, a forcedlabor draftof soldiersand civilians, under Liu En's direction, near ditched and irrigated fields possibly the townof Su-chou.72 reachedKhotanin 1278, a year after Qubilai'sfirst garrison demise.73 1279, and Nomuqan's By Mongol Chinese garrisoned troops at Khotan were issued horses,oxen, and sheep togetherwith
of 68) YS 10.25b; 11.4a; 12.23b-24a;13.17a. For the conversion Yuan measurements,I follow Amano Motonosuke^ if yt gfj," Gendaino ngyto sono shakai kz7Cft <DH H t ^ <> if #f " [Yuan agriculture its social structure], and Jimbun Jut 3S KenkyA W % XIII (1962),p. 806. 69) YS 14.11b. 70) YS 11.4a; 166.7a. 71) YS 100.18a-b. Liu En's biographystates that he obtained 20,000 piculs of a grain fromthese colonies(YS 166.7a). Evidently muchhighertax rate than that in effect the Kan-chouarea (apparently in outside Liu's jurisdiction) was in effectin Kua-chou and Sha-chou. Although 5000 moreChinesetroopswere transferred Kanto chou in 1281 to workmilitary could not have helped Liu En (YS land, theyprobably 11.13a). 72) YS 11.11b. one 73) YS 10.1a. The garrisoncommander, 'Ala ad-Din,was supplied with 3000 piculs of grain and 30 ingots ^ in paper cash forexpenses. The sum of 30 ingots seems too low; it may be in errorfor 3000.

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to sufficient Yuan paper money purchasemorehorses,plus asses, bows, arrows,and saddles.74A few months later,3000 clothing, moregarrisontroops(2000Mongols and 1000Tanguts)were sent in intoKhotan, number Chinese of followed 1283by an unspecified in Kan-chou the Kansu Corridor.75 troopsfrom to At about the sametime, Qubilaialso moved securetheinterveningreachesof settledterritory.In 1278,he began to defend the north the T'ienof and administer wholeoftheUighur kingdom the abandoned ofBeshbaliq and the shan,including Uighurcapital townof Janbaliqfurther west.76In 1280,the Chinesecommander in ChiKung-chih r[S was put in chargeof the Yuan garrison ^ Beshbaliq; he was periodically suppliedwithpaper assignatsand force was increased 3,400Chinese gear,and hisoriginal military by the Kansu Corridor between1281 and 1286.77 troopssent out from A Chinese was garrison further postedat Kuchain 1282.78Militarycolonization Beshbaliqwas undertaken at in agricultural probably and certainly 1286.79The bureaucratic of the 1281, by apparatus into linked with Yuan state was also imported thearea and tightly thehomegovernment a new and alternatechainof thirty by relay northof the Kansu stationsstretching across the desert-steppe In Corridor.80 Qaraqojoin thesouthern oftheUighur kingdom, part a civilianProvincial SurveillanceOffice (an-ch'a-ssu fg?]) was gf set up in 1278, but was replacedin 1283by a Pacification Office the combined dutiesof military and 5 (hsiian-wei-ssu S r!) which civilian control.81 dutiescomplemented probably Its and also overProtectorate which lappedthoseoftheBeshbaliq (tu-hu-fu jf), # was established 1281.82In 1279,local fields in were surveyed and In taxes imposed.83 1282, a government ironworks builtin was
74) YS 10.17a. 75) YS 10.24a; 12.17a. 76) Abe Takeo, pp. 94-95; Cleaves in HarvardJournalof AsiaticStudies12 (1949), 32, 50 n. 89, 86. In about 1270,the Uighur ruler (iduq qut) moved his court from for Beshbaliqto Qaraqojo,apparently bettersecurity. 77) YS 11.1a,14a; 12.2a,9a-b, 15b; 14.9b,10a, Ila ; 165.20a.
78)

; 79) YS 11.14a 14.10a. 80) YS 11.12b. ; 81) YS 10.9b 11.12b.

8Zj

iti 12.11b, 17a.

83) YS 10.18b.

It 11.11D.

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of In Beshbaliqforthe manufacture farmimplements.84 1280 and the Uighur territory was broughtfullywithinthe Yuan 1282, withthe establishment a paper moneycontrol of monetary system bureau and later a treasury.85 Yuan assignatswere alreadyin before thosedates,however, 2,500ingotswere issued as circulation in faminereliefin Uighurterritory 1278.86 for The early supplyroutebetweenChina and Khotanappearsto and not by the highway have passed throughUighur territory the Lop Desert that Marco Polo tookin 1273 or 1274.87 through and Lop lyingbetweenKhotan and The oasis townsof Cherchen until1286,whena relaysystem the Lop Desert are not mentioned After the to was established linkthem.88 1286, however, Lop Desert in route was evidently fulluse. In 1287,Qubilaiset up military in oasis; thesewere farmedby Chinese plantations the Cherchen civiliandeportees from withwell-to-do soldierstogether Ning-hsia colonieswere apparently first and Kansu.89Military-agricultural in 1288.90 in established Khotanand Kashgharonly in the and kingdom Qubilai'sobviouspurpose occupying Uighur the Tarimoases afterthe breakupof his steppeforcewas to imblockadeagainstQaidu and his allies. He evipose an economic the to hopedto bring CentralAsian princes heel by gaining dently of control theirrevenuesources, just as theearlierMongol qaghans to do. This alone wouldguaranteeto Qubilaisome meahad tried
84) YS 12.6a. ; 85) YS 11.3b 12.17a. 86) YS 10.10b. For Beshbaliq,whichlay near the moderntown of Urumchi,or Khan (Leiden, Ti-hua itt cf. Pelliot and Hambis,Histoiredes Campagnesde Gengis 105,and Cleavesin HarvardJournalofAsiatic Studies 12 (1949),104 n. 55. The 1951), Turfan it was a smallcity, ruinsof Qaraqojo lie about 45 km.east of the present-day ; of onlyabout 35 acres withinits walls. Remnants a Chinesestyle farming enclosing agvillage have been foundnearby; these may be the remainsof one of the military Asia (Oxford, coloniesof the Yuan period. Cf.AureiStein,Innermost ricultural 1928), no. equivalent I, 438 and sketch-plan 18 in vol. III. The Yuan ingot (ting) was officially to 50 ounces (Hang S) of silver. 87) For the date of Marco Polo's passage, cf. Pelliot,Notes on Marco Polo,I, 422423. 88) YS 14.1a. 89) YS 14.18a.22a. 12a. 90) YS 15.9b-10a,

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over his opponents, eventhough was helpless he sure of dominance was not as The blockade, themin the steppes.91 however, against it as Qubilaimay have intended to be. Besidesposting pertight armiesfrom manent Qubilaialso sent out expeditionary garrisons, the Kansu Corridor Khotanand Kashgharon a seasonal basis to was one from 1279to 1284. The need to supplythese campaigns of the chief reasonsforthe state-sponsored developagricultural area discussedabove. Liu En, who mentof the Kansu Corridor in the himself commanded Khotan was instrumental that endeavor, commanded both of 1281.92These non-steppe armies, by campaign of on Chineseand non-Chinese, engagedQaidu's forces theborders Khotanand Kashgharand apparently succeededin denying Qaidu evidentthat Qaidu was entryto those cities. It is, nevertheless, able to forcethe delivery revenues, fact whichthe Yuan shih a of we attemptsto conceal. In 1281,forexample, read that Liu En outsideKhotan. Liu En was outnumbered, engagedQaidu's army Yet sinceKhotanwas and so "withdrew withhis armyintact."93 of not plundered, sincethe Yuan was still in control the city and after afterthat date, one can onlyconclude that Qaidu withdrew to revenues him. he pressured Yuan defenders the into delivering make no sense otherwise.94 Qaidu's maneuvers
91) Resistanceto Qubilai's movesin CentralAsia was not slow in coming. Prince son who had his appanage on the Emil, raided and Hoqu, Gyg'sthirdand youngest Mar Khotanand Kashgharin 1274 or 1275; the futureNestorianpatriarch plundered Yaballaha III, who was passingthrough the time, at the witnessed destruction (James The A. Montgomery, Historyof Yaballaha HI [New York, 1966], pp. 34-36; Pelliot, Notes, I, 64-65, 207, 416-417, 423). Hoqu seems to have acted on his own; he is not in known have participated Qaidu's Talas agreement 1268 or 1269,whichforbade to of such things. In any event,Nomuqan'sforcesseized back this loot when Hoqu's warto riorsreturned theirappanage on the Emil. Qaidu deniedto one of Qubilai'senvoys for any responsibility the event (YS 134.4b-5a). After Hoqu's raid, Qubilai retook Khotan. Hoqu also raided the Ning-hsiaarea; cf. YS 132.7a; 162.7b. Hoqu's son the tradition this princely of line. Tgme (Tkme)later continued predatory 92) YS 11.7a; 123.4a; 133.10a 166.7a. ; 93) YS 166.7a. 94) In 1275,two of Qaidu's allies- the ChaghataiprinceDuwa and Busma (Busba), the fifth of Baraq - besiegedQaraqojo,but withdrewafter six monthswithout son the his in wrecking city whenthe Uighurking surrendered daughter tokenof submisof sion,no doubtalong with a generouspayment some sort also (Cleaves in Harvard Journal of Asiatic Studies 12 [1949],32, 50 n. 92, 86 ; Pelliot,Notes,I, 127). Even afterthe Uighurkingwas forcedto evacuate Qaraqojo in 1280 and take up residence

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It is curiousto note that the Yuan began to withdrawfrom CentralAsia in the late 1280's, efforts just whenits developmental were beginning assume major proportions.Probablybecause to Yuan face and prestigewere heavilycommitted there,the withdrawalwas drawn-out piecemeal, and was neveropenlyadverand tised as policy. Yet after1288,references CentralAsia in the to Yuan shihbecomeexceedingly few,and they generallysignal a Yuan retreat.95 Several reasonsmay be adducedforthis withdrawal.It first ofall coincided which in of withtheoutbreak newtrouble Mongolia, willbe discussed presently.In the secondplace, since Qaidu could Qubilai'sCentralAsian citiesintosurrendering evidently pressure revenues himat will,Qubilai'sgarrison to troopsand bureaucrats postedin thosecitiesendedin doinglittlebetterthan servingas for unpaidrevenuecollectors Qaidu. And since Qaidu and hisfollowerscouldextractthese revenues without first to submitting or of Qubilai,Qubilai'swholeattempt the acknowledging overlordship to impose himself qaghanin CentralAsia, eitherthrough as steppe came oasis revenuemanagement, or military superiority through to nought. Third,it wouldappear that the various official steps
in Qomul to the east, the Yuan officials and bureaucratswho took controlof the to continued bend to this formof pressure(Abe Takeo, pp. 115-119; Uighurkingdom Cleavesin HarvardJournal12 [1949], 51 n. 96, 87 ; Liu Mau-tsaiin CentralAsiatic 33, Journal IV [1958],74). In 1280,Prince Tgme,a son of Hoqu's, plundered Qaraqojo's for grain harvestand Qubilai had to cancel tax collections the next threeyears (YS Le 11.5b; Rashidad-Din,II, 114; Hambis, ChapitreCVII, tables 35 and 36, opp. p. 84). After1283,the Uighurcourt abandonedQomuland took up residenceat Yung-ch'ang tK in the Kansu Corridor. In 1286,Chi Kung-chihengaged Qaidu's army outside but was capturedas well; yet the Yuan Beshbaliq and not only lost the encounter for did not apparently lose Beshbaliqon that account,or at least not permanently, new commanderies were set up both thereand in Kucha in 1295(YS 18.11b; 154.14b; of CentralAsian history,see also Saguchi Tru fe P S, 165.20a-b). On this " Gendai no Trimuperiod chitai namben ]) >$$i&i$i" [The south Tarim in xft^Kita Ajia gakuh-Jit Iffl <P ^ no. 2 (1943),313-349. the Yuan period], 35 35 was ordered abolished (YS 15.22b-23a). In 95) In 1289,the Khotan commandery 1295, an elite Central Asian Guard (Hsi-yiiwei i$ W was organized(YS 18.17b). Sincesuch elite guards units were all stationedin and aroundPeking,it may be preof sumedthat the CentralAsian Guard were formed Khotaneseand otherswhowithin drewfrom CentralAsia along with the Yuan. Uighurrefugeesare mentioned 1296 and 1301; some of them,escapingCentralAsia, were orderedto plant military-agriculturalcoloniesin northChina (YS 19.3b; 20.15a). By 1305,both Uighurand Qomul for in refugeeswere in China apparently some number, special legal provisionswere made to governtheirlawsuits with the Chinese(YS 21.14b).

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in takento increaseproduction theKansu Corridor Qubilai's during to didnotsuffice makeit self-supporting. Though reign(1260-1294) crucialas a stagingarea forQubilai'smovesintoCentral Asia,the base. There is frequent Corridor provedto be an unsatisfactory was whichthe government obliged and famine mention poverty of in somemeasureto relieve. Kua-chouand Sha-chou,where Liu had to be relievedin 1281.96In 1283, were settled, En's colonists in the government began makingpayments paper cash ingots to the that provided armywith of thosepauperhouseholds Kan-chou invested12,400ingots,preIn 1285, the government sulphur.97 earnso in sumably local commerce, that it mightuse theinterest and troopsin Kan-chou agricultural ingsto relieve poverty-stricken in conditions 1288 and 1289made it necessary Su-chou.98 Drought to forthe government cancel taxes, issue 10,000ingots in direct Moslem and community.99 relief, distribute grainamongthestarving resultsobtainedin the attemptedecoDespitethe indifferent oftheKansu Corridor nomicdevelopment area,Qubilaihad to make his heavyuse ofit to further poweraims in CentralAsia. By the markedcontrasted of the late 1280's, however, poverty theCorridor resultsobtainedin the state-directed withthe morefavorable ly of development the Ning-hsiasector,whichwas orientednorth the toward Mongolia. This factorcertainlyhelped to influence whichQubilai made in the calculation strategic crucially important in late 1280's,to abandon his activities CentralAsia in orderto of and pacification Mongolia. to give fullattention the control
IV. Yuan Controlin Mongolia

withChina proper was UnlikeCentralAsia, whoseconnection to in themainrestricted the narrowand not especially productive shareda border with the Kansu Corridor, open steppesofMongolia milesalong the line somethousand stretched Chinawhich agrarian into of the GreatWall. The wealthof China couldbe forwarded theline,notjust one. Occasional from severalpoints along Mongolia
96) 97) 98) 99) YS YS YS YS 11.12b. 12.23b. 13.19b. 17b,18a. 15.10b,

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noticesin the Yuan shihannals sectionsuggestthat therewere two main production storage areas along the China border, and into one for whose outputor storeswere oftendestined shipment or another : part of the steppe one was the Ta-t'ungarea in presarea, aroundQubilai's Shansi,and the otherthe Shang-tu ent-day A thirdsuch area, not really part of China summer capital.100 Tangut empirethat lay proper,was that portionof the former alongthe west side of the Ordosloop of the Yellow River,in and aroundthe modern ggj|| (Ning-hsia). cityof Yin-ch'uan was a direct The development theNing-hsia of outgrowth region of Qubilai'swar againstArighBke in Mongolia grain transport ; up the Yellow Riverto the steppemarginwas put intooperation as early as 1261.101 Water transport along the Yellow River was and cheap. Grainboats couldmakethe400milesfrom Ningrapid of the Ordos loop hsia to Tung-sheng B on the northeast part ^ in 4 days and nights. At about 100 milesper day, this was four In timesfasterthan overlandtravel.102 order to raise the agrito it culturalproductivity the area however, was necessary reof and twoofQubilai's of storeits ancientnetwork irrigation canals, tookthe initialsteps in this endeavorin 1264. bureaucrats Chinese totalthreemaincanal systems the They surveyed area, discovered and small branch some800milesin all, plus " sixty-eight large ling canals." These had lain damagedand siltedsince the fall of the that this years before. It was predicted Tangutstate some forty if restored, canal system 90,000ch'ingof land (ca. could, irrigate 2,246sq. mi.).103 : short of The restoration these canals tooka surprisingly time Whereasthe governin 1266.104 was declared theproject completed labor the had littledifficulty ment evidently recruiting necessary to it forcanal repair, was hard-pressed findenoughpeopleto work land. Officials up posters the reclaimed alongtheroadsurging put
; 100) Cf. the use of these areas in 1260-1 Y S 4.9b, 18a, etc. 101) Cf. note 46 above.
YK lfM.h.

103) YS 5.19a-b; 148.6a; 164.6b. in projectwas undertaken this area in 1286, 104) YS 6.7a; anothercanal-clearing however(YS 14.4a).

0Z)

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thosewhohad fledto the mountains duringthe earlierwarfareto returnand resumefarming. Some 40-50,000 Tanguthouseholds were by variousmeansregathered and resettled, the governand ment providedthem with the necessaryoxen,seed, and tools.105 of Theseofficial were carriedout in 1266 roundups Tangutrefugees Local Mongolsand Uighurswere allotted and again in 1271.106 fields and put to work also.107As these were not enough,the a of also government undertook program compulsory immigration houseunderwhichit moveda possibletotalofsome6,600 Chinese holdsintothe Ning-hsia area between1270 and 1275.108 Some of the peasant farming civilian households were put underordinary as government, two new counties(hsienff)were establishedfor the jurisdiction Chinesesettlers 1275. Others, in were of however, in or colonies putintomilitary civilian agricultural beginning 1279.109 These latter colonists were closely supervisedin their work by bureaus available figures indicatethatby the ; specialgovernment 1280's there were 4,351 households working3,744ch'ingof land one under or another form directstate supervision the Ningof in hsia region.110 Aside from thesemajorproducing one may note also regions, the existence abouta dozenwalledtowns, of from Etzina stretching (I-chi-nai ^ 75,Qara Qoto) in the west to Yingrch'ang g in $ Jg the east, whichhuggedthe extreme northern marginof the zone of continuous cultivation.Alone and isolatedin the west,thecity ofEtzina,278milesand twelvetravelling of days north the Kansu was a small island of population the midstof open in Corridor, a steppeand desert. It was formerly part of the Tangut empire. AureiStein describes as the "last place wherecaravans bound it northward the heartofMongolia into couldsecuresupplies men for and beasts."111 The earthencitywalls,discovered the Russian by about 40 acres; remnants an interior of Kozlov,enclosed explorer
105) 106) 107) 108) 109) 110) Ill) YS 148.6a. YS 6.7b; 7.11b. YS 6.7a ; 11.2b. YS 7.6b; 8.21a. YS 10.15a 134.13a-b. ; YS 100.18a-b. Cf. also YS 15.18a; 170.15b. Innermost Asia, I, 457.

M.S. XXX 10

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MarcoPolo did not visit streetgrid are stillto be seen inside.112 of but he reported it that it produced camels,cattle,and Etzina, Etzina he it had agriculture, said,butno trade.113 falcons Although ; in trade, it was a point may not have participated trans-Asiatic withthe nomadworldtook place. A whereeconomic transactions unearthed contract there,for example,shows Mongolian-language " and threepiculs seven" pints thata nomad at borrowed no interest to his (shengfc) of wheat for three months, guarantor pay the As lenderdoublethe amountin case of default.114 forlocal agriThe government thiswas givenstrongofficial promotion. culture, in 1267undertook pay the debtsof the local peopleand issued to In to them oxen,seed,tools,and foodrelief.115 the late 1280's,the carriedout an intensive ; program some developmental government canals and set 600 Chinesetroopswere movedin to dig irrigation up military plantations.A total of 92.5 King of land was thus undercultivation.116 brought About500 mileseast of Etzina,the next walled town on the Polo'sTendue. It formed was ^ steppemargin Ching-chou ji],Marco whoseruling the seat of theappanageoftheTurkish tribe, Onggud house. The site was a consort clan to the Mongolimperial family was because Ching-chou wherein the has attracted interest mainly the Onggud converted thirteenth centuryJohnof Montecorvino ruler Korgis (George) to the Roman Catholicfaithand founded in thefirst of church that denomination the Far East. Some precorrect excavationshowsthat MarcoPolo was essentially liminary
Amdo, [Mongolia, gorodKhara-Khoto 112) P. K. Kozlov,Mongoliiai Amdoi mertvyi and the dead city of Qara Qoto] (Moscow,1948),p. 79. I, 113) Yule and Cordier, 223-225. " from Loan Contract Qara Qoto," Harvard 114) F. W. Cleaves, An Early Mongolian Journal of Asiatic Studies 18 (1955),24. 115) YS 6.12a. ; ; ; 116) YS 13-18b 14.1b,18b; 15.6b 60.26b 100.19a. Fragmentsof Yuan Chineseat documentsunearthed Etzina includepieces of land tax registers, language official tax receipts, reportsfromthe canal bureau and penal bureau,and publicgranaryaccounts. The chieflocal crops were wheat,barley,and apparentlymillet. The local or tax rate (3 sheng per mu gft, 3 piculs per ch'ing) was the same as that in Kanchouin the Kansu Corridor.Cf.HenriMaspero,Les Documentschinoisde la troisime expditionde Sir Aurei Stein en Asie Centrale(London,1953),pp. 197-231. For the " of translation plant names,I followE. Bretschneider, Botanicon Sinicum,"Journal the North China Branch of the Royal Asiatic SocietyXXV (1890-1),pp. 143, 145. of

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of a in saying was that Ching-chou the chieftownwithin complex It towns and villages.117 lay about 100 milesnorthof numerous the Ordosloop of the Yellow River in a part of the steppe that has two permanent northout of the Yin-shan streamsflowing f walls within the Ching-chou ih intothe Gobi. The area enclosed measuredabout 141 acres; the town was thus over threetimes largerthan eitherQaraqojo or Etzina (Qara Qoto). The remains of at least six satellitewalled villagesenclosing fewacresapiece a Yuan system havebeenfound thearea also.118 the centralized in In the within metroof local government, was incorporated Ching-chou to as politan (lu) province a district ; subordinate it was the county over had of ^ (hsien) T'ien-shan uU which presumably jurisdiction f^ the satellitevillages.119 Marco Polo stated that animalherding, and trade were carried on there. Ching-chou crafts, agriculture, receiveslittle official untilthe secondand thirddecades mention ofthefourteenth whenlargenumbers nomadsdescended of century, it seekingrelief.120 upon on About100 milesdirectly southof Ching-chou, the east end of the Ordosloop near modernT'o-k'o-t'ofE% fa lay the town of Tung-sheng, site of agricultural as a colonization wellas a depot forgrainshipments from Ning-hsia the area. In 1267,ten " water stations"were builtalong the riverbetweenthesetwo pointsfor and therelaying thisgrain.121 of East and northfrom Tung-sheng, a within radiusof 100 miles, at least threemoreadministrative lay at frontier towns: Feng-chou ffl, modernPai-t'a r east of S town Kuei-sui$$ | (Huhehot) P'ing-ti j&, at or nearthepresent ; ^ of Liang-ch'eng M ; and Yn-neiH ft, possibly30 miles due $ 1268in north the cityofTa-t'ung.122 of writing theperiod Perhaps of 72,whenhe was a Censor, Wang Yn urgedthe establishment
117) Yule and Cordier, 284-295. I, 118) DesmondMartin, "Preliminary Reporton NestorianRemainsNorth of Kueiet MonumentaSerica III (1937-8), 232-249 Egami Namio," Olon-sume ; hua, Suiyan," Journal Asiade la dcouverte l'glise catholiqueromainede Jean de Montecorvino," tique CCXL (1952),155-167. 119) YS 58.9b. 120) YS 26.5b-27.16a, passim. 121) YS 6.11b. 122) Ci. H. Serruys, Chinesein SouthernMongoliaduringthe Sixteenth Century, MonumentaSerica XVIII (1959),13 n. 38 and map opp. p. 80.

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and an coloniesat Feng-chou, area of combined farming military where "the land was broad and the population cattle herding, undercul4800 ch'ingcouldbe brought sparse/'and an estimated tivation.123 About 60 miles northof Ta-t'ung,and twice that distance townof frontier was northeast Tung-sheng, the administrative of in recentyears. Its ruinslie whichhas been excavated Chi-ning, townof the same name. of about 15 milessoutheast the modern found Its walls enclosedan area of about 178 acres,and artifacts About and crafts.124 thereshowthe usual pursuitof agriculture 100 miles east of Chi-ning fp, lay Hsing-hoJR} near the present townof Chang-pei it* It had in 1270 a registered taxpaying 3i in and 39,495individuals the city of 8,973 households population which we have already and surrounding Shang-tu, territory.125 and of was mentioned, about120milesnortheast Hsing-ho 150miles northof Peking. Its taxpayingpopulationin the city and its to southamounted 41,062 further numerous subordinate districts in individuals the year 1270.126 households 118,191 and on Finally,about 70 milesdue northof Shang-tu, theshoreof the lake Tari Nur (Dar Na'ur, Dalai Nur, etc.) stood the walled town of Ying-ch'ang.It was locatedwithin the summer pasture of the Qunggirad tribe,the leading consortclan to the imperial of house. In 1270, Qunggirad askedformal the permission theYuan the court have thetownbuilt it was previously site of a settleto ; ment peasantsand fishermen.127 of was, partly Ying-ch'ang however, officials.128served It administered centrally-appointed primarily by
ta-ch'an-chi jH % 4. * (Ssuf 123) Wang Yn 3E1?, Ch'iu-chien hsien-sheng ; ed.), 90.17a-b YS 167.19a-22a. pu ts'ung-k'an " Yan-tai i-chihch'ing-li-chi 7Ctt*5PM&3taI: 124) Chang Y 3gM, Chi-ning-lu Wen-wu 3t$) no. 9 31 IB" [Reporton the ruins of the Yuan districtof Chi-ning], (1961),52-57. 125 YS 58.8a. in 126) YS 58.6a. Taxpayinghouseholds averaged4.4 members Hsing-hoand only there would appear to have been a are correct, 2.8 in Shang-tu;if the given figures high rate of tax evasion in Shang-tu. 127) Cf. Cleaves in Harvard Journal of Asiatic Studies 14 (1951),16; Serruys,op. see cit.,p. 4 no. 6. For a briefarcheological reporton Ying-ch'ang, Harada Yoshito, ed., Shangtu. The Summer Capital of the Yuan Dynastyin Dolon Nor, Mongolia (in Japanese)(Tokyo,1941),pp. 4-5. Ying-ch'ang'searth walls enclosed an area of about 123 acres. 128) YS 7.5a; 10.21b.

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of as a grain depotand as a relay pointforthe shipment grain was northChinato Qaraqorum.Its local agricultural from produce in 1288 an official extractedby compulsory purchase; although proposalwas made to impose regular taxation,it is uncertain thiswas actuallyout intoeffect.129 whether as Withsomeexceptions, forexamplein Etzina, the governin ment did not engage in any large-scale development these adThesedistricts frontier districts. ministrative appearto have served betweennomadsand sedentary of as centers economic interchange of relief and as sources government-controlled and subsiproducers, dy to the nomadworldin times of distress. Positionedas they of were outside the Great Wall line,the establishment these adat or towns more less equal intervals ministrative alongthe frontier make it unnecessary the nomads for intendedto was apparently at to penetratethe Chinese interior, least in ordinarycircumwere themselves districts The stances.130 frontier incapable,howwithoutfrequentrelief of sustained ever, agricultural production in inasmuch their as from the government the Chinesehinterland zone of high rainfallvariability locationin a semi-arid marginal all made periodic crop failures but a certainty.
* * *

The wholearea outsidethis frontier, and including Qaraqorum fell its upperYenisei dependency, to Qubilai after 1262. Qubilai of the renewed fiscal exemptions Qaraqorum's immediately religious reliefto its destitutepopulation.131 and distributed establishments, a of In the Yeniseiarea,Qubilaiimplementednumber policies aimed whichhis rival appears to have overits at rebuilding economy, and damaged. In 1269he issued5,999piculsofgrainto burdened
district Te-ning $ - thatcannot 129) YS 15.5b-6a. Thereis one Yuan frontier fg as yetbe precisely east to Ying-ch'ang located,yet if one notes that fromChing-chou towns that were also administrative all of the frontier seats were spacedat intervals 70 rangingfrom to 100 miles,with the exceptionof the 120-mileinterval between then perhapsTe-ningis to be lookedfor somewhere between Hsing-hoand Shang-tu, those two localities. However,Wu T'ing-hsieh M S:, " Yuan Te-ningteng ch'i lu i ^ " - B ^ [The seven lu and one fu including fu k'ao Tcf^^-b^ underthe Te-ning 1944),41-43 argues on textual evidencethat TeYuan] Hsileh hai ^k$| I (December, ningmusthave been located in the Onggudarea northof the Yellow River bend. for 130) It was fromtime to time prohibited nomads to bring their herds south of the Great Wall wheretheydamagedcrops; cf. YS 9.20b. 131) Rashid ad-Din,II, 164; YS 4.16a.

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bureaua In Yeniseiartisans.132 1270he posted Chinese thedestitute General (tucrat by the name of Liu Hao-li S&? as Protector hu ffHO at Ilan gf in the easternpart of the Yenisei. Liu the newartisansin the regionand had theminstruct local settled and iron in the techniques pottery of manufacture, smelting, people he also built official and treasuriesand granaries boat-making; In establishednew post stations.133 1272, one hundredcaptive were sent to theYeniseialongwithoxenand tools Chinesesoldiers Archea to establish military r (t'un-t'ien EH)there.134 plantation did take to confirm that important redevelopment ology seems place aroundthis time,since around1260the old unwalledtown and a new one built about 2.5 kilometers of Ilan was abandoned The bank of the Elegest creek.135 on to thenortheast the opposite builtby Liu Hao-li in 1270. new Ilan was probably actually twice The upperYenisei district was, however,subsequently occupiedby steppeforceshostileto Qubilai'sYuan dynasty. Between1277 and 1279,the princesSirigiand Togh Temiir,having mutinied against Qubilai's son Nomuqan at Almaliq,seized the General Liu Hao-li. Using the Yenisei area and its Protector to Yenisei as a base, the princesattempted stormQaraqorum. was given rear supportby a dissident Their erneute Qunggirad who seized the walled grain depotof Ying-ch'ang namedJirwatai, rebels. Yuan forcessoon isolatedand in thenameof the princely to wereagain appointed Yingand downJirwatai, Yuan officials put Yuan fieldtroops,commanded Turks and by ch'angin 1279.136 into a cenChineserather than Mongolprinces,and integrated and command, succeededin of tralizedsystem supply, promotion, his plundering herds defeatingTogh Temiiroutside Qaraqorum, his and wagonsand preventing seizureof that town.137 1279 By
132) YS 6.18a. by 133) The relevantYuan shihpassageson thishave beentranslated F. W. Cleaves, " Qabqanas~ Qamqanas,"Harvard Journal of Asiatic Studies 19 (1956),402-3. 134) YS 7.17b. 135) Kiselev,Drevnemongolskie goroda.pp. 113-117. ; ; ; 136) YS 7.5a; 10.21b 120.10a 128.15a 132.2a,5a ; 135.10b-lla; 165.15a. in on 12a. Cf. the corrections Li T'ing's ^ m biography Tu ; 137) YS 10.3b 162.7b, shih-chiX X S 5&I B [Historyof the Mongols](Taipei, 1962), Chi M 3F. Meng-wu-erh Chinesecommanders, 99.9a-b. For Liu Kuo-chieh$| Q gj|, anotherof the participating wenthe best source is the epitaphin Huang Chin f, Chin-huaHuang hsien-sheng chi & m it * (Ssu-puts'ung-k'an ed.), 25.11b-12a.

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rebelmovement the princely ; collapsedinternallysomeofitsfragto mentssurrendered Qubilai,otherssubmitted Qaidu, and yet to otherswent over to the White Horde.138 The Yuan authorities of this dissidence outmoded. as When recognized form steppe clearly one of the rebelprinces leftQaidu to surrender the Yuan in to 1296or 1297,an official : remarked " The reasonwhytheseprinces rebelled becauseoftheir was fathers.Theirgeneration however, is, about it. Now thathe youngand weak and reallyknowsnothing has surrendered us, we shouldforget to the evil he has done in orderto encourage thosewho have not yet comeover."139 The Yeniseiwas again occupied from about 1289to 1293,this timebyQaidu,actingin conjunction withprinceNayan's revoltin in Manchuria 1287.140 Qaidu was able to raid Qaraqorum from the but Yeniseiin 1289, theYuan forces himback to the Altai pressed and in 1293 recoveredthe Yenisei area once again.141 frontier the that reliefmeasureswere impleAlthough Yuan shihindicates mentedin the Yeniseiarea afterits two previous occupations by Bkeand by Sirigi,thereis no further mention the area of Arigh from after its recovery It Qaidu.142 may be surmised this evion dencethat owingto its great distancefrom China and to thesucit cessiveoccupations had suffered, upperYeniseiwas written the off the Yuan government an important as by regionof sedentary In production. any event,the settled populationof the Yenisei seemsto have disappeared the early fourteenth by century.143
* * *
in 138) The information Huang Chin,25.12a is largelyconfirmed Rashid ad-Din, by II, 169-171. 139) YS 121.19a. Cf. also YS 128.18aand Su T'ien-cheh M^M, ed., Yan-ch'ao shih-lehjt $8 g t- &[Biographies eminent of Yuan officials] ming-ch'en (Peking, 3.9a forbiographies Tughtugha, of one of the main participants these events. 1962), in to ArighBke's son Melig Temrsurrendered the Yuan in 1292; cf.Cleavesin Harvard Journalof Asiatic Studies 19 (1956),267-268. 140) On Nayan,cf. Pelliot, Notes on Marco Polo, II, 788-9. E. P. J. Mullie, De in Mongoolse prins Nayan (reviewed Asia Major XII [1966],pp. 130-1) is unavailable to me. 141) YS 15.21a 128-17b-18a 132.5b 169.9a-b. ; ; ; in 142) For reliefmeasuresimplemented 1281-1283, YS 11.13a, 15b-16a 12.8a, cf. ; in lib, 15a. The Yenisei area is last mentioned an institutional connection 1291, in whensix post stationswereset up to connectthe Kirgiz and the Oirad; cf. YS 16.22a and Cleaves in Harvard Journal 19 (1956),404. 143) Cf. Kyzlasov,Istoriia Tuvy,pp. 135-138.

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and Temiir(r. 1294-1307) Qaishan(r. Qubilaiand his successors rule in Mongolia gradually their wereable to solidify by 1307-1311) bureaucratic the system bringing stepperegionintothecentralized in established Peking. What helpedmake this posofgovernment on sible was the fact that the bureaucracy, organized the though these years by Chinesemodel,was controlled traditional during and whoseloyalties orientations bureaucrats Mongolor non-Chinese of moretowardthe overallentity the Mongol emwere directed and political ideologipire than towardChina and itsself-contained of The leadingbureaucrats the early Yuan period cal tradition. of to were not reluctant help organizea massiveoutflow Chinese intothe Mongolian resources and other steppes. Yet grain, money, commanders took part in Yuan also and Chineseofficials military at timesevidenced somedislike in they ; operations Mongolia though for the rigorsof the steppe environment, dynasticloyaltyand overtopposition. forbade official duty sufficient commanded in The Yuan dynasty China apparently or Mongolia eitherCentralAsia resourcesto manage and control from butnot bothat the same time. Pressures Nayan and Qaidu in 1287 and after appear to have occasionedthe upon Mongolia to Asia in order securea territory Central to Yuan decision sacrifice reasonsbut not to important the Yuan dynasty onlyforstrategic wouldforcetheYuan ones as well. Loss of Mongolia sentimental to the Great Wall line, and would make the Yuan to withdraw outfrom to state in Chinavulnerable nomadraids and incursions and its legallyprivileged side. It wouldalso deprivethe dynasty in caste of Mongols Chinaof muchof their sense of non-Chinese identity;even more,Mongoliacontainedthe homelandand the of and founders, the maintenance dynastic tombsof the imperial and theirprotection preservation. enjoined prestige and the of extension Yuan ruleintothesteppes The deepening and controlof nomad societywere slow pacification consequent is and because muchof the evidence highly fragmentary processes, it and manypersonaland place namescannotnow be identified, stemsin large part This difficulty to also difficult reconstruct. is restrictions fromthe deliberateofficial placed upon information

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to pertaining the stepperegionsin the Yuan period.144 Meageras thereis enough of it to indicate the evidence may be, however, involved. some of the basic processes in stimulation agriculture of One such processwas the official thosepartsof the steppethat couldbe put underthe plow. This new policy, but ratheran intensification a of was not an entirely was alreadyunderway well beforeQubilai'srise which development to powerin China. There appear to have been threemajorspots bothbeforeand after in the steppeswhichwere undercultivation somewhere the rise of Qubilai. One suchspotis to be sought along the KerlenRiverof northeast ; Mongolia Chang Te-hui 36| )!?, who travelled along part of the Kerlenin 1247,notedthatan inwas carriedon by a few Chineseand others agriculture digenous wheatand hemp, iceand livingin sod hutson the banks,growing " A in fishing the wintertime.145secondplace was aroundthe city to ofChingqai"(Chingqai-balghasun), probably be locatedsouthwest townof Uliassutai (Jibhalanta), the of the modern on Mongolian south side of the Qangghai(Khangai)range,about 250 milesdue who westofQaraqorum.The Taoisttraveller Ch'ang-ch'un, visited in the 1220's,notedthat milletwas grownin the area this town and thatthetownhad granaries of plus a large population Chinese Most was artisans.146 important, area itself. however, theQaraqorum the to Juvaini, qaghan instituted there gdei agriculture According for the first time; he writesthat "there had been no agriculture of on in theneighborhood Qaraqorum accountof the excessivecold, but duringhis [gdei's] reigntheybegan to till the ground."147 followedlater by wheat or millet, Radisheswere planted first, this by high gdei encouraged endeavor payinginordinately prices and by promising forthe radishes, comgrain-growers monetary in case ofcropfailure.148 Te-hui notedin theearly Chang pensation autumnof 1247that the residents practiced irrigation agriculture
" 144) On this,cf. Wada Sei ft!B fil GendaiMko no hkinni tsuite tu ft IS "* secrecyover Mongoliain the Yuan Dynasty],Shich fc ift ^j-*! K o v^ X." [Official VI (1936-7),165-178. ..., 100.7a. 145) Wang Yn, Ch'iu-chien shih-liaossu-chung, 283-286. 146) Wang Kuo-wei,ed. Meng-ku pp. I, 147) Juvaini, 213. 148) Ibid., 213,226-7,236.

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but foundthat their grain crop had and had vegetablegardens, been alreadyruinedby frost.149 in Under Qubilaiand his successors China,steppeagriculture moresystematically in thesethreeplaceswas much promoted.The in Yuan shihmakesoccasionalreference this regardto what apis the pears to be the Kerlenarea, although identification by no of The means definite.150 further development the agricultural a areas is, however, matterofcertainty. Chingqaiand Qaraqorum of mention Chingqaiin the Yuan period seems to date The first from1295,when1000 Chinesetroopswere sent thereto establish and in 1297 a plantation.151 These troopswere issuedtoolsin 1296, was allotted22,900ingotsforthe purthelocal artisanpopulation in There is oftenmentioned conchase of theirown farmtools.152 S withthe Chingqaicolonya Wu-hoS M or Wu-t'iao-ho junction in developed 1284and ") f p (" Five Rivers colonywhichwas first for locatednearby.153 Combined was presumably figures bothcolonies forthe years 1321-23showa total of 4648 colonyhouseholds The low ratio of households land to of 6400ch'ing land.154 farming thanthatpracticed, varietyof agriculture suggesta less intensive thereare no figures how on forexample,at Ning-hsia. Although
149) Wang Yn, 100.7b. was to 150) In 1272 a unit called the badu (batu) armyifcW>W- ordered the Ch'iehlu-nan&$ M (Kerlen area to open canals and plow fields( YS 7.17a; T'u Chi J ?) an of % rendering K'o-lu-lien # M/Keriilen).In %r,7.24a thinksCh'ieh-lu-nan aberrant 1279, a batu army t3^, possibly the same one, was issued oxen and tools (YS so river | ?JM was dredged as to irrigatecommoners' the 10.17a). In 1288, Ch'ieh-lieh nao-erhP Wk % and Huang-t'u-shan dbUJ YS 15.6a). Although fields K'ou-wen B$ ( g by of is Ch'ieh-lieh the usual Chinese transcription the tribal name Kereid,T'u Chi (8.26b) with the thinks it a garbled versionof Kerlen,and K'ou-wennao-erhhe identifies Gn-na'ur ("Deep Lake") southwestof the Kerlen bend. Pelliot, however,doubts " delivera Mongolgn, and does not try whetherChinese" k'ou-wen can phonetically to locate the lake (Notes on Marco Polo, I, 325). Huang-t'u-shan " Yellow Earth (lit. 2000 troopswere sent to Mountain") appears unidentifiable.Whateverits location, dig morecanals at that same lake in 1289,and in 1297 plow oxen were issued to the of households K'ou-wen(YS 15.20a; 19.9b). farming 151) YS 100.13b. 152) YS 19.2a,lib. 153) YS 13.6b. are for Chingqaiand Wu-tiao-ho may be seen 154) YS 100.13b. That the figures ta-tien$: ^ # in Su T'ien-cheh, Yuan fromthe parallel text of the Ching-shih ed., Pieces of the Yuan Dynasty](Taipei, 1967),41.68b. wen-lei3C^M [Classified Literary

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the are at muchland was colonized Qaraqorum, indications thata sizeableamountwas worked bothprivate personsand troops. by was at As early as 1279,plantation production Qaraqorum declared In in adequate for local consumption normal years.155 1283, a in ChinatoQaraqorum thousand oxenweresentfrom Ta-t'ung north authoIn foruse on military plantations.156 1297the government of on rizedthe expenditure 80,000 ingots compulsory grainpurchase of Office at Qaraqorum, in 1309 the officials the Pacification and whentheir colonies wererewarded military produced (hsiian-wei-ssu) That this was not,howan exceptional harvestof 90,000piculs.157 is by ever,adequateforlocal consumption evidenced the fact that of in 1303 the local troopsalone requiredan annual allotment In thatyear,a deficit 50,000piculswas covered of 120,000 piculs.158 and Hsing-ho from Ching-chou ]i], Ta-t'ung, jjp by grain shipments frontier.159 on the Sino-Mongolian offices up in Qaraqorum a direct set had Variousgovernmental and a Office role to play in the local economy.A Transportation were set up in 1272,and a Price StabilizaTreasury PaperMoney The evident tion Storehouse (p'ing-chun-k'u ip If.) in 1283.160 ^ a high demandfor grain in the steppesconstituted vital margin was able to exert the of leverage wherewith Yuan government thoseareas. Since on thewholeit of over the inhabitants control than could seemsclearthatmoregrain was shippedinto Mongolia be grownlocally,and since the demandforgrain in the steppes the thanthe legal supply, instruments bureauof faster was rising the craticcontrol grewapace withtheneedto supervise transportaof vital staple commodity. tion and distribution this increasingly of and at Thus by 1288,official suspicion theft cheating Ying-ch'ang to sendofficials investigate to causedthegovernment grainmanageIn mentat that walled town.161 1290, the government increased
155) YS 166.8a. 156) YS 58.39a. ; 157) YS 19.11b 23.2a. 158) YS 21.5b-6a. is |8| 159) YS 21.11a-b. Hsing-ho here given its alternatename of Lung-hsing JB. invested 10,000ingots, probably 160) YS 7.17a; 12.23b. In 1281 the government in with Moslemortaq merchants, Qaraqorumcommerce (YS 11.18b). 161) YS 15.5b-6a.

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were its grain controlstaffat Ta-t'ung,since wealthyMongols false pretenses.162 thereunder as paupersand obtaining grain posing for wereindicted illegal In 1301,the granary at officials Qaraqorum of embezzlement grain,and in 1302 the Chingqaicolonygrain was In orderedto be subjectedto close audit.163 1303,one Fakhr adwas a government contractor, indicted by Din,evidently transport for the Censorate havingstolen250,000 piculsof grainand 130,000 in grain forthe Qaraqorum ingots cash in the courseof supplying In 1301and 1302, government stepsto prohibit the took garrison.164 from official the troopsat Qaraqorum using grain to brew liquor a forsale in the town,and in 1304 it established liquormonopoly in and to its bureauin Qaraqorum order restrict manufacture derive from sale.165In 1303,a constabulary income its (ping-ma-ssu | ^ In law and order.166 such to ij) was set up in Qaraqorum enforce inbureaucratic apparatusof grain control wayswas the complex intothe steppesand steppemargins. troduced of trendtowardthebureaucratization Mongolia The increasing as in was crowned 1307 by its reorganization a provinceunder of on civilian administration, a level with the variousprovinces and also was Chinaproper. Qaraqorum madetheprovincial capital of the seat of the district (lu) administration the cityand its enbetweenthis new Mongolian virons. The maindifference province (called Ling-peiH it) and those of China properwas that the intothe usual local adminissubdivided steppeswere not further and of trativehierarchy prefectures, subprefectures, counties. of The establishment Ling-peiprovincecame as an explicit of some to Although response the problem steppeoverpopulation. much came about by naturalincrease, growth probably population of who on of it was brought by a massiveinflux nomadrefugees after collapseof the varioussteppe the into cameflocking Mongolia of after1279. Upon the surrender therebel movements opposition forexample,the Yuan in 1297 sent additional princeYomuqur,
162) 163) 164) 165) 166) YS YS YS YS YS 16.10b. 20.14a,20a-b. 21.9b. 21a 20.11b, ; 21.16a. 21.8b.

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Chinesetroopsto enlarge the Wu-t'iao-ho so plantation that the In destitutefollowers.167 proceeds might help support Yomuqur's the same year,the government issuedseed to some of Yomuqur's in themselves engaging agripeopleso that theymightsupport by In culture Qaraqorum.168 1298,moreover, government at the issued of grain to relieveotherstepperefugees who had 100,000piculs It surrendered the Yuan.169 was the breakupof the anti-Yan to coalition CentralAsia early in the fourteenth of princely century, a that however, generated nomadrefugeeproblem large enoughto occasion establishment a provincial of in the administrationMongolia, as the debrisof the CentralAsian forcesmigratedinto Mongolia to seek forgiveness relieffrom and the Yuan authorities.170 The sourcesgive someimprobably for highfigures thenumber as ofnomad in refugees Mongoliaat the timeof its establishment a province 1307. The biography itsfirst in of Chancellor provincial of the Left,Harghasun, states that therewere "over one million fromvarious tribes" therewhenhe came to take up individuals his post.171 Yuan shihannals entryof 1308 states that 868,000 A households werebeingissuedgrainat Qaraqorum in order ; refugee for to end their having to petitionthe government individually fromPeking receivedpermission the authorities relief, provincial to issue them2,000,000 ingotscash so that theycouldmake their the Whatever ownpurchases clothand grain as theyneeded.172 of much true refugee theproblem dealingwiththem of count, occupied Chantime. Harghasun's of Harghasun's colleague,the provincial in of cellorof the Right*Yochichar, reported a memorial 1308that to the area in Mongolia accommodate there was insufficient pasture In the nomads.173 thesecircumstances, officials clearly surrendering
167) YS 19.9b. 168) YS 19.12b. 169) YS 19.19a. see, coalition, generally, Grousset, 170) On the breakupof the CentralAsian princely pp. 407-411. is at 171) Harghasun'sYS biography badlywritten thispoint(YS 137.4b-5a). Much 4.6a. For the name betteris the epitaphincludedin Yan-ch'ao ming-ch'en shih-liieh, cf. Harghasun, Cleaves in Harvard Journal of Asiatic Studies 24 (1962-3),p. 75 n. 80. 172) Yan-ch'ao. . . , 4.6a. 173) YS 119.25a. For the name *Yochichar,cf. Cleaves in Harvard Journal 15 (1952),26.

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themto work the to didnothesitate denomadize refugees, putting not wheretheycould. Harghasundistributed and fishing farming the nomads; he esand fishnets among onlysheep but also oxen tablishedtwo new reliefgranaries; and at Chingqai,wherehe toolsand had troops new and ditched irrigated land,he distributed nomads. He also opened who knewfarming teachit to surrendered stations withten cart-relay a supply routeto the Altai mountains, in spaced at 300 li (ca. 100 mile) intervals, orderto providedistressednomadstherewithgrain,oxen,and sheep.174 as nomadism a way of life is If as Professor Smithsuggests, or of basically hostile to any form politicalorganization political or themselves thenomads Mongolia of amenable, proved authority, and in at least quiescent, the face of Yuan authority made little " to effort rebelor " decamp as theyseem to have done perceptible to references steppe"banin Persia.175 There are somescattered " ; in 1289, rebelled in commoners theQangghai nomad against ditry in Temr'sreignthe Yuan forces and therelaystation authorities, put down a group of some 3000 "bandits" in the same general to the area.176However, bruntof nomadresistance the imposition not of controlseems to have been directed so muchagainstthe as Yuan authorities against such steppe rulers as Arigh Bke, resistance the and ToghTemr, veryleaderswhocommanded Sirigi, or theYuan,forit was to a large extentdesertion decampagainst ment on the part of theirdissatisfied steppetroopsthat brought the the theseleadersdown. Among Yuan forces, mostseriouscase broke in about1287 out tribaldecampment and outright of mutiny commanded Qubilai'sson Nomuqanon the steppeforces by among the TamirRiverjust westofQaraqorum.177 military Contemporary however, clearlyviewedthe nomadarmyand its tactics thought, and inefficient. as both treacherous Qubilai'scommander Bayan, Altai frontier against Qaidu, came leadingnomadforceson the his under such heavy attack from criticsat courtand amonghis the the for own staff following steppetacticof permitting enemy
174) Yuan ch'ao . . . , 4.6a. " 175) JohnMasson Smith,Jr., Mongoland Nomadic Taxation," Harvard Journal of Asiatic Studies 30 (1970),65-67,79-82. 15a. 176) YS 135.11b, 177) YS 117.4b-5a.

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had to relievehimof to make deep raids that Qubilaieventually idea of the contrary his command.178 argued Bayan's opponents demanded a strategy whichexplicitly borderdefense, permanent of activitiesas the establishment such anti-nomadic supporting of the colonies(t'un-t'ien), organization grain military-agricultural of and the construction walled fortresses.179 supplyroutes, It appears that Chinese,Korean, and Jrched garrisonand came to assumean increasingly largershare of plantationtroops the activity, replacing earlierlevies of nomad steppepeacekeeping Horses cameto viewas undependable.180 forces that the authorities from forthese armiescame to be almost pastures entirely supplied The itself.181 troopsgrew some of their not within China, Mongolia but own grain, thisalwayshad to be supplemented grainshipped by still imfrom the Chinaborder. The mostburdensome obligation the postal and transposeduponnomadswas that of maintaining jam) ; theYuan governportrelay stations(morinjam and tergen triedto alleviatethis obligation issuing by however, ment, usually and horsesto the households involved, grain rations,sheep,oxen, theirdebts.182 for and assuming responsibility repaying seems to have esthe In effect, therefore, Yuan government tablishedorder in the steppesof Mongolia imposing upon it a by whichwas largely supported, apparatusof control non-indigenous from outside. At thesametimethatit seems and supplied directed, to have made relief in various formsreadily available to the it nomadic upon it. In obligations population, placed onlyminimal theauthorities throughverylittletrouble gave Mongolia anyevent,
" of 178) Cleaves, The Biography Bayan of the Barin in the Yuan Shih" Harvard Journalof Asiatic Studies 19 (1956),268-9,283. in 179) All this is made explicit in a memorialof a minor Chinese official the Office cf. Su T'ien-cheh ^ M, Tzu-ch'iwen-kao $&3Cf Pacification ; Qaraqorum M 8). 1931),11.8b-10b (epitaphfor Kuo Ming-te #J (Tientsin, etc. 180) Also Kirgiz; cf. YS 15.22a,19.19b, ot 181) On this,see S. Jagchidand C. R. Bawden, Some Notes on the Morse-policy CentralAsiatic Journal X (1965),246-268. the Yuan Dynasty," an wen-chi(Ssu-pu ts ung-k ed.), 182) Huang Chin, Chin-hua Huang hsien-sheng derives from Huang's epitaph for the Qarluq Dashman, 24.19a-b. This information as Dashman'sson Mainu'stourof Mongolia a censorca. 1315 is given a detailed wherein report.

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out the rest of the Yuan period. Towardthe veryend of that an was in period, 1361, attempt made by one of the Mongolprinces the witha viewto seizing to recruit nomadcavalryin Mongolia a Yuan throne yet the Yuan court, ; beleagueredas it was at the downwith time by rebellionwithinChina, put this insurrection becameincapable As Ling-pei littledifficulty.183 province, Mongolia or of generating dissident any steppemovements, evenofexerting within Yuan system. The Yuan the influence political independent in one moredynasty the Chinesesestate in fact becamesimply withtheMongolian ofdynasties, neutralized, quence pacified, steppes into state organization something as and integrated its centralized of a minor an variation thetraditional on appendage, unimportant of of occupancy the great Chinesedynasties the past. of spheres
V. Conclusion

The Yuan rulers' of was conception territory based on a premise from that of the earlierMongolqaghans. The pre-1260 different of Mongolempirewas rathera multinational entity compounded to areas. In contrast this, non-contiguous geographically producing a the Yuan empire, founded within major area of sedentary proareas not by loosely attachingnew producing duction, expanded its but to its rulingsystem, by integrally incorporating territorial as as units, organized provbureaucratically acquisitions contiguous inces or at least protectorates.The two areas closestto China becameesthe Tangut empireand Mongoliaitself, proper, former in 1286 and 1307 the within Yuan empire as tablished fullprovinces brief were established relatively for Protectorates respectively.184 and in the upperYenisei,areas at in the Uighurkingdom periods for too great a remove fullintegral By incorporation. around1300, in the however, Yuan dynasty effect gave up all claim to the two passed underthe domination protectorates.The Uighurkingdom of the independent Chaghataiprincesof Central Asia, while the as to have passed intooblivion a siteofsedentary Yenisei appears
183) YS 45.21a; 46.3a-b; 206.7a-8a. in 184) The former Tangut empirebecame Kansu province 1286,withits provincial had governments been esprovincial capital at Kan-chouin the Corridor. Temporary at tablishedat Ning-hsia various timesbetween1261 and 1285 (YS 91.3a).

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The production.185 Yuan empirebecamea unitarystate, forming a single contiguous unitbehindrecognized frontiers, geographical all of it undercentralized from control bureaucratic Peking. one may Within outwarduniformity the Yuan empire, the of still note the apparenteffect the same factorof distancethat of tendedto place limitsupon the real size of the olderMongolemwere too dispireas ruledfrom Qaraqorum. The Yuan emperors tant from CentralAsia to control successions there, despite princely in thatdirection.The Yuan also eventually Qubilai's earlyattempts two control overtheYenisei and the Uighurkingdom, proyielded ductionregionswhichwere withina radius of 700 miles from the their radiifrom ruling but morethandoubled Qaraqorum, which centerafterQubilaiestablished capitalin Peking. Yet if,as it his remaineda constant seems, the cost of overlandtransportation factor thetransition in betweenMongolempireand Yuan dynasty, the both to the same orderof spatial limitations, new subjecting of within these given methods ruleexercised the Yuan dynasty by from on limitations constituted the wholea significant departure earlierMongolpractice. Both the earlierqaghansand the later Yuan rulers operated econwhat economic historians sometimes referto as "command omies,"systemswhereincentral politicalauthority attemptsto dominate collection redistributionsomepreponderant the of and part of thewealthofits subject authority ; society in somecases political to some aspectsof production.In the mayalso attempt dominate all of earlier Mongolempire, threeelements a command economy were presentin at least rudimentary form. The early Mongol to crafts removal qaghans attempted control production theforced by of captiveartisansto Qaraqorum and otherplaces. The qaghans in Qaraqorumwere also capable enoughof gathering wealthand and it even of dominating rationalizing processof collecting the fromtheir sedentaryconquests. Redistribution a was, however, different matter. In contrastto collection, wealth redistribution
185) The usual terminus post quernfor the full Yuan loss of CentralAsia is 1327 or 1328; cf. T'u Chi, 36.10a; Liu Mau-tsaiin Central Asiatic Journal IV (1958), 74. This date is based upon the date of the compilation the Ching-shih of ta-tienmap, whichshows all of CentralAsia west of the Corridor underChaghataicontrol. M.S. XXX 11

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from to areas was irrational haphazand Qaraqorum the sedentary ard.186 Hence forthe qaghansthe factorof distancewas mainlythe of unidirectional, affecting cost and convenience transporting taxes and goodsfrom the sedentary areas to Qaraqorumbut not the reverse. Not untilthe rise of Qubilaiwas the redistributive also rationalized systematized as to generatea twoand so process of and way movement money commodities thestateon a regular by basis. of outside confines China the of Qubilai'sexpansion Yuan power tended a of proper alwaysto involve combination two new elements of the command bothof which werebutpoorly economy, developed and quiteunrelated each other earlierMongolpractice. When to in the Yuan state undertook control outside of whosepopulasocieties, tionsweresmallrelativeto China proper, not onlyimplemented it the extractive element the earlierqaghanshad done; it also inas troduced boththe directstate management certain aspects of of and of production theredistributionwealth through bureaucraticallydirected reliefefforts complementary ofits totalapparatus as parts of control. and civilianagricultural colonieswere the most imMilitary of portantof the first these new elements, state-managed production. Theiroutputwas generally intended the supply Yuan for of and armies. In developing these colony garrison campaign plantaimmersed itself basiceconomic in tions,the state directly processes. It provided organized and labor,it issuedthe meansof production, and it determined kindsof cropsto be planted the and theamount and locationof the land to be exploited. The state providedaid in moneyand in kindto the line bureaucratic agenciesundertakworkand the establishment management and ing basic irrigation of plantations. was The secondnew element, redistribution, most evidentin
the well anecdotesabout that paragonof generosity, qaghan gdei, 186) Juvaini's from this. gdei liberally gave away wealth to any seekeror adventurer exemplify with the express himself his court in Qaraqorum, at a sedentary area who presented to idea that whateverhe distributed common people in this way he wouldeventually retrievein the formof taxation. Cf. Juvaini, 201 if. I,

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the the form relief. In theKansu Corridor, military-agricultural of relief. of the colonies were themselves chiefrecipients government In theUighur and in the oasis townsof the TarimBasin, kingdom the this was not the case. Although Yuan government however, in was establishing colony plantations thosepartsin the late 1280's, the Yuan shihmentions case of theirbeingrelieved. Rather, no and the at theexclusive recipients that timewere nativecivilians, not kinds of reliefissuedto themincluded just money, cloth,and seed grain and working grain,but also specifically consumption in no oxen.187 Apparently reliefof any sortwas distributed the Ning-hsia region. betweenstate-managed One may inferan interconnection proreliefin the Yuan modeof territorial duction and state-controlled thereis far from rule,even though enoughevidenceto show this into of fully. In the first place, the annexation new territory the into the cenits involved fiscalintegration Yuan state inevitably tralizedYuan system. The Yuan government, issuingits paper could not easily tolerate assignatsin all areas underits control, and uniform fiscal monetary within otherwise an regional exceptions couldthe Yuan state easily acAt a lowerlevel,neither system. that seem to have resulted cept the anomalousdual economies in wereimplanted newly-acquired colonies when military-agricultural to It territories.188 was at least in part in order obviatelocal dual that the state,in thoseplaces where it managed such economies the to and attempted control colonies,also went a step further
to receivedpermission issue 2 oxen and 2 187) In 1285,the BeshbaliqProtectorate in piculs of seed to each household Qaraqojo owing to faminethere, and in addition it spent 116,400ingots for the purchaseof 60,400piculs of grain,enoughto provide foodrelieffor fourmonths(YS 13.22a). In 1286,2000 bolts of cloth were outright giventhe people of Qomul,and 16,200ingotsto the peopleofbothQomuland Qaraqoi'o for the purchaseof moreoxen and seed (YS 14.9b). In 1287, the Yuan government distributed 10,000ingotscash and 10,000bolts of cloth to relievefamineand poverty amountof colony in Khotan (YS 14.12b-13a). In 1288,an unspecified grainwas issued in reliefto Qomul,and in 1289 moregrain (1000 piculs) was shipped to Qomul from the Kansu Corridor 16b). The Yuan shih states that the year 1287 was (YS 15.12b, a famineyear in CentralAsia generally(YS 14.12b-13a). for tendedto be artificial, crops wererequired as 188) The state-managed economy the to ; delivery the state,notforsale on the market moreover state workedits plantaand CentralAsia and the Tangut tions with laborthatwas involuntary non-indigenous. area had a developed commerce the Yuan state even investedin it (cf. YS 13.3b). ;

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nativeeconomies well. The issuanceof relief in the formof as to paper cash or in kindmusthave served soften pricedifferentials betweenthe state-managed and native economies. Thus in the the Kansu Corridor, wherethe colonies were in economic trouble, state established for offices compulsory purchasefromthe native for In and economy the reliefof the troops colonists.189 theUighur was and kingdom in the Tarimoases, wherethe nativepopulation in apparentstraitsand the colonies were onlyjust beingfounded, the state dispensed ownrelief its in to prices probably order depress and protect military-colonial its In investment. the more heavily did area,thestateevidently nottryto dispense populated Ning-hsia relief rather, attempted regulate nativeeconomy more it to the ; by coercive means.190 In the earlierMongolempire, newacquisitions sedentary of all within 500-1000 a mile radiusof Qaraqorumconstituted territory a net sourceof profit central for authority.In theearlier political a unidirectional of taxationwealthled fromeconomic flow empire, new base to politicalcenter. In the Yuan empire, contrast, by some other within similar a radiusfrom or acquisitions Peking, from resultin profitable did point on the China border, not necessarily relaeconomic revenues centralauthority, for because the primary extractive. or betweenthemwas not simply, evenmainly, tionship That the acquisition the Uighurkingdom and the Tarim oases of a loss forthe Yuan state seemslikely. constituted net economic That Mongolia constituted a net loss is certain. No doubtthe such two to realized they could not afford maintain Yuan authorities Central Asia west of the such liabilities, and so they sacrificed former for Mongolia. Had Tangut country the sake of retaining to theKansuCorridor base, the chances proved be a richeconomic
189) YS 10.6a; 11.14a. withlocally found itselfin competition the region, government 190) In the Ning-hsia of for and Buddhist nativegrandees temples control land and people (YS 6.7a; powerful and a 7.6a ; 8.7a; 12.10a; 17.12b). Wang Yn once impeached Tangutofficial local agri. (Ch'iu-chien. . , for officer his lax attitudetowardthe Buddhistestablishment cultural by 86.9b). The state attempted edict to stop the large-scaleraisingof commercially (used as a dye and food additive) in place of the crops,notablysafflower profitable as to desiredwheat. That the hung-hua17E of YS 17.12bis probably be identified cf. safflower, BertholdLaufer,Sino-Iranica (Chicago,1919),pp. 309, 312.

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forkeepingat least some part of CentralAsia mighthave been was a better,inasmuchas Beshbaliq in Uighurterritory within of 700 milesfrom the chiefcityin the Corridor. Kan-chou, range The Corridor was, however, entirelytoo poor to supportYuan efforts CentralAsia. On the otherhand,Mongolia's in orientation richeconomic toward relatively the base of northChina was much more satisfactory than that of CentralAsia towardthe Corridor. of was to Mongolia moreaccessible theexportation theYuan control whosemanipulaand economic managers, apparatusof bureaucrats tion of Chinesewealthgave thema necessary degreeof leverage over the resident population.