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The place of settlement and political role
of the Old Pecheneg-Qangars during the
periods of the Old Turkic Qaghanate as an
element of the Kazakh peoples (Through
the analysis of Old Chinese documents
excavated from the Astana tombs of the
Turfan Basin of Xinjiang Uygur Autonomous
Region of China)
Takashi ÔSAWA
As. Professor of Osaka University of Foreing Studies/Turkic Studies.
(OSAKA, Japan)
Preface
It is well known that the Yili Steppe has been strategically important regions for
the nomad leaders who had placed the headquarters here since the ancient period.
And many itinerants such as Iranians, Indians, Chinese came and went here for
going travel or trading through their network connecting the Eurasian regions.
This view is effective under the Western Turkish Qaghanate in the latter half of
the 6th century AD. According to the analysis of a stone statue that has Sogdian
inscriptions discovered in the place named Mongolküre, Zhaosu district around the
Tekes Steppe of the Xinjiang uygur Autonomous regions, I clarified a close relation
in political, diplomatic and cultural fields between Sogdians and the ancient Turkish
peoples under the early Western Turkish Qaghanate(ÔSAWA 1999: 355). Such a
relations between them must be formed through the continual contact not only in
the courts of the Western Turkish Qaghans, but also in the Sogdian colonies not so
far from the Qaghan’s courts of the Yili Steppe. As we know, the same evidence can
be pointed out also in the Eastern Turkish Qaghanate of Mongolia on the basis of
the ancient Chinese sources, while it seems ploblematic where Sogdian colonies is
established (Pulleyblank 1952; Mori 1967; 61-93; Rong 2001: 77-78; De la Vassairre
2003). From this viewpoint, there is an interesting source discovered in Astâna
of the Turfan Basin. In this document a fortressed city named “Gongyue cheng,,
Gongyue (fortressed) city” is repeatedly registered. And in a Chinese chronicle, this
city is clearly recorded as a relay exchange point of the State managed rout from
Beiting city (Bishbalik) to Suyâb city through the three defences of the detachment
of Heishui, Donglin and Xilin, the Shiqi river, the Cheling Mountains, Gomgyue city,
the Sihun River, Zheshimi city, the Yili River (XTS 40: 1047; cf Yan 1985: 602-605;
Chavannes 1969: 12-13). According to the historical-geographical researches, it
can be located in the place near Yining city at present (cf.Map of this paper) ,while
it has been discussing on the origin of this name until now1. In Japanese historian
Prof. Dr. MATSUDA’s view, it seems that this city was called after the “Gongyue”
tribes as one of the Turkic tribes under the Western Turkish Qaghanate by the mid-
7th century, however, in the latter half of the 7th century this tribes moved into the
Western sides of the Yili River and placed their centre along the Narin River that
poured into the Isiqqul lake (MATSUDA 1974: 355; NAITO 1988:284-286). In this
paper, through the analysis of this Turfan document (No. 61) I would like to clarify
the significance of this city as the military and trading center among Sogdians,
Turks and Chinese, and to point out the tract of the Qanghar’s settlement place and
their political role during the ancient Turkic periods.
1 The contents and translation of the Chinese document from No.61
tomb
This document belongs to one of the 12 ancient Chinese documents unearthed
from the No.61 tomb of the northern area of Astâna in Turfan in 1966 (Xinjiang Uygur
Autonomous regions museum, The Exibition group 1973: 18) and is consisted of
10 fragments. A record of the life of the deceased person was also discovered from
this tomb, and we can assum that it was written in the date of the 4th of Xianheng
year (673 AD), so it means that his document must have been written in 673 AD
at the latest. Some one calls it to the protectorate-general duhufu of Anxi by Gaochang (Qôchô) district of Xizhou
prefecture>, the other one called it shortly, because
the term of is often repeated. As for the content of this text, it is a
manuscript of a memo of a lawsuit and a deposition obtained from both the plaintiff
Sogdian merchant Caolushan and the accused Chinese merchant Lishaojin,
which later it should be presented to protectorate-general (duhufu) of Anxi by the
Gaochang district of Xizhou prefecture.
Until now, many peoples mentioned partly, however, it is not seemed to be
sufficient consideration except Prof. Huang’s one as ARAKAWA told before (Huang
1983; ARAKAWA1997: 188).
In the following, I try to transcribe and translate this document, comparing
Huang’s work. In the first two lines of this document, however, there is a part of
memorial to the throne, so it seems that it has no relation with the following part,
therefore I omit this. In each line, I put the number.
[Document]
sides on the lawsuit of Caolushan against Lishaojin, addressed to the protectorategeneral
duhufu by Gaochang (Qôchô) district of Xizhou prefecture under the Tang
dynasty> (66TAM61:17(6), 23(b), 27/2, 27/1(b), 22/(b), 26(b), 27/5(b), 24(b), 16(b),
25, transcript TFCW 6, pp.470-479; manuscript TFCWF 4, pp.275-276; Catalogue,
pl.100, The museum of Xinjiang Uygur Autonomous regions 1972, p.25, pl..42-43).
[Transcription]
As to the words underlined in this text, it shows proper nouns such as place
name or personal name etc. The mark of square blank such as □ around a Chinese
character shows that this is reconstructed from the remained part of letter of original
text. And the mark of a blank such as [ ] shows that there was space to be written in
original text. Chinese characters in square shows constructed ones from remaining
parts of a letter, and small letters over the blank line show ones to be estimated
from the context.
[Translation]
Fragment (1)
Admitted to the protectorate-general duhufu of Anxi by Gaochang district with
memo.
Caolushan, who is thirty years old.
Submitted respectfully. In the lawsuit of the aforementioned plaintiff is as follows:
“I (admit) to the prefect of Xizhou prefecture. In Gongyue city, there is a Chinese
named Li that recorded in the household registers in the Capital (Changan), …he
had borrowed 275 silk cloths from my elder brother, then went away to Qiuci (Qucha).
(My elder brother?) also went toward Qiuci (Qucha) in pursuit of him, from Gongyue
city. My brother has also some horses, two camels, 4 cattle, a donkey, flower (vase)
and vessel worth 100 silk cloths, moreover treasures worth 100 silk cloths, a saddle
made of China, clothes and goods. This Lisan (Lishaojin) is a Chinese, however, I
make an impassioned speech, I myself an Iranian (hu, i.e. Sogdian) and I cannot
understand Chinese. I myself clearly grasp the circumstances, …
(text contains lacunae)
[Translation]
Fragment (2)
In …there was the place where he came back. I entreat you to take him into
custody and examine him”, he (Caolushan) sued.
Therefore in the deposition obtained from the first questioning of Caolushan
[by the said bureau] is as follows: “Lishaojin went away toward Gongyue city with
my elder brother. Moreover, Caoguoyi and Caoer, and my nephew that I live with
went toward Gongyue city. The said Caoguoyi and Caoer stayed in Gongyue city.
After Lisan had borrowed silk cloths from my elder brother, he went traveling toward
Anxi again. Lisan has already reached Anxi (Qucha), however, my elder brother
(only) has not reached there. This is why I sued Lishaojin, there is no cause to….”
He testified.
Furthermore, in the deposition obtained from the second examination of
Caolushan and likes, “Since I parted from my elder brother, it has been four years.
Caoguoyi and Caoer witnessed with written seals and surnames, and it was Lisan
who went toward (Gongyue city) with them, and there borrowed silk cloths from my
elder brother. I went away in pursuit of Lisan with my nephew (toward Gongyue
city). The said Caoguoyi and Caoer were Iranians (hu, i.e. Sogdian), who live in
“Jinshi” the capital Changan of the Tang dynasty with their family. On the date of
my starting (from Gongyue city) toward Anxi, Caoguoyi and Caoer still stayed in
Gongyue city. Now I have not been in Gongyue city as well as them. When Lisan
was going to come toward Anxi with my elder brother, Gongyue city…”
(text contains lacunae)
[Translation]
Fragment (3)
In the deposition obtained from the third questioning of Caolushan [by the said
bureau] in as follows: “Caolushan is… , and when my elder brother, Caoguoyi and
Caoer etc. was going to start away from Anxi with Lisan, my elder brother would
like Caoer and Caoguoyi to supply with what he needed on the way as the debt of
gratitude, then went toward together with them, at last they succeeded to reach the
castle of Gangyue in safety. Then it was in last year that Lisan stayed in the castle
of Gangyue and borrowed 275 silk cloths from my elder brother. In this case, there
is no record in the regard to the day when he had borrowed from my elder brother,
as for all contracts, my elder brother carried with him. And he also carried many
varieties of goods. After borrowing silk cloths, his repayment to my brother might
have been done after coming back to Anxi. Lishaojin also is a Chinese who was
recorded in the permanent registers of Jingshi (Changan) , and he was a son-inlaw
of the sub-prefect of commandery (Sima) of Anxi prefecture, however, I did not
know his name at that time. Now Lisan has been in Anxi, but my elder brother only
has not reached yet. This is why I am requesting you to examine him”.
Lishaojin has now reached here to be examined. In the deposition obtained from
the first questioning of Lishojin is as follows: “First, I (Lishaojin) did not borrowed
silk cloths from an Iranian (hu, i.e. Sogdian), and I did not intended to return back
toward Anxi along with this Iranian (hu, Sogdian). It is true that I did not go traveling
toward Anxi with an Iranian, and I do not know where he has gone then”.
In the deposition obtained from the second questioning of Lishaojin is as
follows: “When I went traveling toward Gongyue city, I saw that westerners on move
(Sogdian merchants) was going to go traveling toward Gongyue city from Anxi.
On the way, there were Sogdians along with whom I went traveling in front of and
behind me at that time, but I cannot remember how many peoples there are and
what were they called in this company (of this caravan). When I started to return
back to here Anxi, there was nobody being along with me. I cannot plead guilty to a
charge that you investigate, and it is not the truth what he stated.
(text contains lacunae)
[Translation]
Fragment (4, 5, 6)
[Caoyanyan and Caobisha] were captured and taken away [by the officers of the
fortress garrisons (zhen), or forts (shu), or the defense detachment (shouzhou)].
And there are a Chinese commander belonged to…, the manager of horses and
the clerk polishing the horse’s bit escaped, but at last they died. Moreover, in the
distance around 100 Li from Gongyue city, I came across four persons who had
come from Anxi. They told me that when they were going to come here, their bows,
arrows, saddles and horses etc. were plundered by Turks (Tujue). They met me
(Lishaojin) there on their way (toward Gongyue city), so they can be testified to you
that I was not going to come toward Anxi with the Sogdian. I require you to inspect
it. They were ambassadors. Two of them were bringing the imperial letter in their
hands toward the military base established along the Yuhe river, and the other two
persons were going to go toward the military base controlled by the supervisor
Xiangliu2. They said that they have started from Anxi in February of the same year
when I saw them. Now with a memo I require the latter ambassadors to examine
whether they saw an Iranian (hu, Sogdian) going toward Anxi in pursuit of me or
not. So I convinced that the truth will become evident”.
Moreover, in the deposition obtained from the third questioning of Lishaojin is
as follows: by the examination whether [Iranian Caoyanyan?] went in pursuit of
me (Lishaojin) or not, and on the date of his arriving at Gongyue city, Lishaojin
[answered as follows:]…
(text contains lacunae)
[Translation]
Fragment (7)
(text contains lacunae)
it is the truth that [near Gongyue city, Caolushan’s elder brother] Caoyanyan
fought with Caobisha, at last the former [was taken away to Gongyue city
by the officers of the garrisons]. On the date of my borrowing silk cloths [from
Caoyanyan], Caobisha and Caoguoyi were witnessed to our contract. On the day
of my (Lishaojin’s) departure toward Anxi, Caobisha and Caoguoyi have stayed in
Gongyue city yet. Then they intended to leave westwards more than Gongyue city.
I do not know at all whether they are staying in Gongyue city or not, where they are
at present…”.
In the deposition obtained from the fourth questioning of Lishaojin is as follows: “
On the date of my departure from Gongyue city, [Caoyanyan] fought with Caobisha,
then they are captured and taken away to the castle [of Gongyue] by the officers.
This is the truth. Moreover, since I reached Anxi, I has not heard of them. In the first
place, Caolushan suited that … and his elder brother and Lishaojin returned toward
Anxi together, however, it is true what I just answered to you. And Caolushan told
you that he recorded my surname, but Lishaojin has not known the Iranian (hu,
Sogdian) before. Caolushan is insincere, made up a story, and throughout he told
me his name. It is the truth that I Lishaojin went travel toward Gongyue city with the
front and rear of a group of a caravan, including Sogdian merchants, but I did not
go along with his elder brother”.
In the deposition obtained from the fifth questioning of Lishaojin is as follows:
“With the regard to the contract document, Caoyanyan himself kept it. And as to the
contract drawn up… , in the first place Caolushan suited that Lishaojin does not pay
back [the silk cloths that he had borrowed from my elder brother in Gongyue city].
(text contains lacunae)
[Translation]
Fragment (
(text contains lacunae)
It is true and not false that I had borrowed silk cloths from Caoyanyan. At that
time I have not acquainted with Caolushan. At present, however, I recognize that it
is not deniable fact that he Caolushan is the little brother of Caoyanyan. And now
it became evident that he Caolushan does not lie. Therefore I admitted you that
Caolushan should
totally receive 275 silk cloths from me as the repayment, and I would repay to
him those silk cloths in the government office”.
[In the deposition] obtained from the fourth questioning of Caolushan is as
follows: “I (Caolushan) concedes with respectfully that I had not been beside my
elder brother [on drawing up the contract] and Lishaojin had borrowed totally 200
silk cloths from my elder brother and Lishaojin had signed the contract with my
elder brother that he would repay to my elder brother after returning to Anxi.
(text contains lacunae)
2. The component and content of this text
As Prof. Huang and Prof. Wang stated (Huang 1983: 349-350; Wang 1985;
171), it is easy to understand this contents although it has lost and damaged pieces
in it. First from the 3rd line of the fragment (1), we can know that this is a civil
suit addressed from Gaochang (Qôchô) district to the protectorate-general of Anxi
prefecture. Furthermore, in details, it has many careless mistakes in writing and
overwriting with Chinese ink by the Chinese officers. Moreover, it has no official
seal mark of the Gaochang district as generally acquainted in the formal memo.
Such mistakes and being no official seal cannot be made if this is the real memo
that had been submitted to the government office. Therefore we can regard that
this is a manuscript of a memo. In regard to this subject, we can see it from the
fragment (1) that the plaintiff Caolushan requested the accused Lishaojin (Lisan) to
repay 275 silk cloths that Lishaojin had borrowed from Caolushan’s elder brother
Caoyanyan (his name ‘yanyan’ is transcribed from Sog. y(’)my’n having meaning
of the favour of the God Yami) (cf. ARAKAWA 1997: p.202 n.37; cf. Sims-Williams
1992: 81) in the castle of Gongyue, and to clarify the unknown whereabouts of his
elder brother that must have returned back toward Anxi along with Lishaojin. As to
the meaning of Caolushan, a Chinese character Cao means that his native country
was ‘Ishtikhan, the capital of which was Ishtikhan fortressed city’ as one of nine
oasis countries of Sogdiana as well as Kang-Samarkand, An-Bukhara, Shi-Kesh,
Shi-Chach, Mi-Maymurgh, He-Kushaniyya, Huowun and Wudi ) named “Jiu Xing
Zhao Wu” (XTS221: 6243), or “Jiu Xing Hu” in Chinese sources of the Tang period.
And his name that was constructed of two Chinese characters “Lushan” can be
transcribed from Sog. “Ruxshan” having meaning of ‘illumination’ (Henning apud
Pulleyblank 1955: 15 with n.37 on 11; Vaissiere 2002: 138)3. As long as we can
know, many Sogdian merchants formed their colonies in the cities of Jamûkath,
Talas, Navaket/ Krasnaja Rechka, Panjîkath/ Kysmychi, Suyab/ Ak Beshim
around the Semirechiye region and the cities of Aqsu, Qucha, Subashi, Duldur
Âqur, Kachgar, Khotan, Mazar Tagh, Dandan Uiliq Qiemo, Waxxari, Carklik Turfan,
Beshbaliq Qocho/ Astâna, Dunhuang, Hami etc. along the Tarim Basin along the
Silk for the purpose of dwelling there and trade there since the Han dynasty. And
many Sogdian merchnats already had advanced into the capital of China such as
the chief cities of the Chinese dynasties such as Lingzhou, Pingliang, Changan,
Loyang, Taiyuan, Daixian, Quyong, Dingxian, Yingzhou, Beijing, Caoyang, Jixian,
Kaifeng, through the cities of the Ganzu such as Jiuquan, Guzang, Liaozhou
according to the Ancient letters of Sogdian merchants from Dunhuang documents
and the Chinese sources since the early 4th century (Pulleyblank 1952; IKEDA
1981; Rong 2001: 37-110; Vaissiere 2002: 117-153). Therefore it seems possible
that the grandfather or father of Caolushan, his elder brother Caoyanyan and his
nephew etc. from Ishtikhan country had come and stayed in Chinese prefectures
and districts in the periods of the Bei Chou, Bei Sei, Sui dynasties before the Tang
dynasty as well as the Sogdinan families of Samarkand, Bukhara, Kesh etc., and
later had gained the permanent residence recorded in the household registers in
Changan city.
As regard with construct of this text, Prof. Huang analysed that this is composed
of 6 parts, however, in my view, it should be regarded as 4 parts.
The first part is regarded as the places between the 5th line of the fragment
(1) and the 1st line of the fragment (2). Here is contents of the suit. Moreover,
as assumed by Prof. Huang, according to the sentence that “Now I present to
the government-general of Xizhou prefecture…” of the 5th line of the document
(1), we can propose that this is addressed to the government-general of Xizhou
prefecture, which has been established by the Tang dynasty in 640 AD after the
destruction of the Gaochang kingdom and located in the Turfan Basin, but this was
resent from Xizhou prefecture to the Gaochang district to examine Caolushan and
Lishaojin. The subject of the 1st part of this fragment is as follows: 1. Lishaojin (or
Lisan, Lishao) borrowed 275 silk cloths from Caoyanyan who was the elder brother
of Caolushan in Gongyue city, 2. Caoyanyan carried some horses, 2 camels, 1
donkey and flower base and vessel worthy of 100 silk cloths and a Chinese saddle,
clothes and articles worthy of 100 silk cloths, 3. His elder brother and Lishaojin
doubling back toward Qiuci (Qucha) from Gongyue city, however, only his elder
brother did not reach there, therefore he requested the officer of Gaochang district
to look for his elder brother, 4. From the following of “Lisan is Chinese and I cannot
understand Chinese”, we can estimate that the plaintiff Caolushan discussed and
resolve this matter with Lishaojin, but it did not succeed, so at last Caolushan suited
to the government-general of Xizhou prefecture.
The second part is the place between the 2nd of the fragment (2) and the 9th of
the fragment (3). Here are consisted of three elements with beginning at the same
phrase of “In the deposition obtained from the questioning of (Cao)Lushan” and the
contents answered by Caolushan. In this part, Caolushan was examined on the
questionable regards as follows: 1. Whether it is the truth that Lisan borrowed from
Caoyanyan, 2. When and how long he borrowed silk cloths, 3. Who presented in
the contract as a witness and who had kept this document since then. Moreover,
Caolushan added that his elder brother Caoyanyan went along with Lishaojin in
going and coming between Anxi and Gongyue city, and his elder brother, Caoguoyi
(his name “guoyi” can be his official title as a military service from the Chinese
government. His having this title makes it easy to take a permit from prefectures
and districts under the Tang dynasty to go travel to trade in the Northwest regions.
I think that he had an Sogdian name as an original name as well as Caoer (Cao
+ er, that is Chinese naming) is called Caobisha after his Sogdian naming in this
document. On the ward “Bisha” ,however, at present I can not know what it means
in Sogdian language. In the view of Prof. Huang, this can be transcribed into a part
element Vi´sa of Sanscrit ‘Vi´sravana’, having meaning of the God Viesravana/
Vaisravana that means a guardian deity in the North direction of the Buddhism
believes (cf. Huang 1983; 357-358). Sogdian merchants such as them also had
permanent residences recorded in the household registers of “Jingshi” (the capital:
Changan). And according to the fact that Caolushan’s nephew dwelled in Changan
with Caolushan’s family and they went in pursuit of Caoguoyi and Caoer from
Qucha toward Gongyuecity, we can suppose that Caolushan and his nephew
also had the permanent residences in Changan as well as Lishaojin who had a
permanent residence in Changan and he married with the daughter of the subprefect
of commandery (Sima) of Anxi (Qucha) prefecture.
The subject of the 3rd part is concerning the contents Lishaojin answered to
the questioning, that began from the phrase of “ in the deposition obtained from
the questioning of (Li)shaojin”. According to Prof. Huang’s analysis (Huang 1983;
351), he regarded the part from the 1st line to the 4th line of the fragment (4) as the
answer of Lishaojin and he named it the 3rd part of this text. As long as I analysed
this, however, because the parts from the 1st line to the 4th line of the fragment
(4) is considered to be fitted for the contents of the fragment (4) and the 1-2nd
lines of the fragment (7) and it is nobody but Lishaojin who can testify the details
of the events on the way from the castle of Gongyue toward Anxi, I can make a
judgment that this sentence also belongs to the 3rd part. In this case, this part can
be composed of 5 paragraphs. In this, it is recorded that Lishaojin denied that he
had borrowed silk cloths from Sogdian merchants, he went along with the Sogdian
merchants who had permanent residence recorded in the household registers and
on his doubling toward Gongyue city, he went along with Sogdian merchants toward
Anxi. Moreover, he deposed the events on the way from Gongyue city toward Anxi,
and he told that an Chinese officer caught someone, in around 100 Li distant from
Gongyue city, he came across four official ambassadors that had departed from
Anxi for the base of the Yuhe military and Xiaoxiang military under the supervisor
of Xiangliu in February of the same year that Lishaojin returned toward Anxi. Then
by showing circumstance evidence like this, he tried to demonstrate his truth.
And he added that on the date when he had borrowed silk cloths, Caoguoyi and
Caobisha presented signing a contract as guarantors. Furthermore, he told that on
his doubling back toward Anxi, they still stayed in Gongyue city, then they intended
to go westward from there, he himself does not know where they went at present.
After questioning him, Lishaojin answered that it is the truth that he borrowed silk
cloths from Caoyanyan who was an elder brother of Caolushan, as for the document
of contract, Caoyanyan carried in his hands, Lishaojin would repay silk cloths to
Caolushan according to the decision of the judgment of the government and it were
275 silk cloths that he must repay to the Sogdian merchant in the contract.
The 4th part is the place between the 4th line to the 6th line of the fragment (,
which began from the phrase of “ [in the deposition obtained from] the questioning
of Caolushan”. Here is the deposition from Caolushan who consented on the
repayment of Lishaojin, and Caolushan declared that on the date of entering into
contract, he did not present there, and according to the contract, Lishaojin must
have totally repaid to his elder brother Caoyanyan after their reaching Anxi.
Now what became evident by questioning to both the plaintiff Caolushan and
the accused Lishaojin can be enumerated as follows:
of the Old Pecheneg-Qangars during the
periods of the Old Turkic Qaghanate as an
element of the Kazakh peoples (Through
the analysis of Old Chinese documents
excavated from the Astana tombs of the
Turfan Basin of Xinjiang Uygur Autonomous
Region of China)
Takashi ÔSAWA
As. Professor of Osaka University of Foreing Studies/Turkic Studies.
(OSAKA, Japan)
Preface
It is well known that the Yili Steppe has been strategically important regions for
the nomad leaders who had placed the headquarters here since the ancient period.
And many itinerants such as Iranians, Indians, Chinese came and went here for
going travel or trading through their network connecting the Eurasian regions.
This view is effective under the Western Turkish Qaghanate in the latter half of
the 6th century AD. According to the analysis of a stone statue that has Sogdian
inscriptions discovered in the place named Mongolküre, Zhaosu district around the
Tekes Steppe of the Xinjiang uygur Autonomous regions, I clarified a close relation
in political, diplomatic and cultural fields between Sogdians and the ancient Turkish
peoples under the early Western Turkish Qaghanate(ÔSAWA 1999: 355). Such a
relations between them must be formed through the continual contact not only in
the courts of the Western Turkish Qaghans, but also in the Sogdian colonies not so
far from the Qaghan’s courts of the Yili Steppe. As we know, the same evidence can
be pointed out also in the Eastern Turkish Qaghanate of Mongolia on the basis of
the ancient Chinese sources, while it seems ploblematic where Sogdian colonies is
established (Pulleyblank 1952; Mori 1967; 61-93; Rong 2001: 77-78; De la Vassairre
2003). From this viewpoint, there is an interesting source discovered in Astâna
of the Turfan Basin. In this document a fortressed city named “Gongyue cheng,,
Gongyue (fortressed) city” is repeatedly registered. And in a Chinese chronicle, this
city is clearly recorded as a relay exchange point of the State managed rout from
Beiting city (Bishbalik) to Suyâb city through the three defences of the detachment
of Heishui, Donglin and Xilin, the Shiqi river, the Cheling Mountains, Gomgyue city,
the Sihun River, Zheshimi city, the Yili River (XTS 40: 1047; cf Yan 1985: 602-605;
Chavannes 1969: 12-13). According to the historical-geographical researches, it
can be located in the place near Yining city at present (cf.Map of this paper) ,while
it has been discussing on the origin of this name until now1. In Japanese historian
Prof. Dr. MATSUDA’s view, it seems that this city was called after the “Gongyue”
tribes as one of the Turkic tribes under the Western Turkish Qaghanate by the mid-
7th century, however, in the latter half of the 7th century this tribes moved into the
Western sides of the Yili River and placed their centre along the Narin River that
poured into the Isiqqul lake (MATSUDA 1974: 355; NAITO 1988:284-286). In this
paper, through the analysis of this Turfan document (No. 61) I would like to clarify
the significance of this city as the military and trading center among Sogdians,
Turks and Chinese, and to point out the tract of the Qanghar’s settlement place and
their political role during the ancient Turkic periods.
1 The contents and translation of the Chinese document from No.61
tomb
This document belongs to one of the 12 ancient Chinese documents unearthed
from the No.61 tomb of the northern area of Astâna in Turfan in 1966 (Xinjiang Uygur
Autonomous regions museum, The Exibition group 1973: 18) and is consisted of
10 fragments. A record of the life of the deceased person was also discovered from
this tomb, and we can assum that it was written in the date of the 4th of Xianheng
year (673 AD), so it means that his document must have been written in 673 AD
at the latest. Some one calls it to the protectorate-general duhufu of Anxi by Gaochang (Qôchô) district of Xizhou
prefecture>, the other one called it
the term of
manuscript of a memo of a lawsuit and a deposition obtained from both the plaintiff
Sogdian merchant Caolushan and the accused Chinese merchant Lishaojin,
which later it should be presented to protectorate-general (duhufu) of Anxi by the
Gaochang district of Xizhou prefecture.
Until now, many peoples mentioned partly, however, it is not seemed to be
sufficient consideration except Prof. Huang’s one as ARAKAWA told before (Huang
1983; ARAKAWA1997: 188).
In the following, I try to transcribe and translate this document, comparing
Huang’s work. In the first two lines of this document, however, there is a part of
memorial to the throne, so it seems that it has no relation with the following part,
therefore I omit this. In each line, I put the number.
[Document]
sides on the lawsuit of Caolushan against Lishaojin, addressed to the protectorategeneral
duhufu by Gaochang (Qôchô) district of Xizhou prefecture under the Tang
dynasty> (66TAM61:17(6), 23(b), 27/2, 27/1(b), 22/(b), 26(b), 27/5(b), 24(b), 16(b),
25, transcript TFCW 6, pp.470-479; manuscript TFCWF 4, pp.275-276; Catalogue,
pl.100, The museum of Xinjiang Uygur Autonomous regions 1972, p.25, pl..42-43).
[Transcription]
As to the words underlined in this text, it shows proper nouns such as place
name or personal name etc. The mark of square blank such as □ around a Chinese
character shows that this is reconstructed from the remained part of letter of original
text. And the mark of a blank such as [ ] shows that there was space to be written in
original text. Chinese characters in square shows constructed ones from remaining
parts of a letter, and small letters over the blank line show ones to be estimated
from the context.
[Translation]
Fragment (1)
Admitted to the protectorate-general duhufu of Anxi by Gaochang district with
memo.
Caolushan, who is thirty years old.
Submitted respectfully. In the lawsuit of the aforementioned plaintiff is as follows:
“I (admit) to the prefect of Xizhou prefecture. In Gongyue city, there is a Chinese
named Li that recorded in the household registers in the Capital (Changan), …he
had borrowed 275 silk cloths from my elder brother, then went away to Qiuci (Qucha).
(My elder brother?) also went toward Qiuci (Qucha) in pursuit of him, from Gongyue
city. My brother has also some horses, two camels, 4 cattle, a donkey, flower (vase)
and vessel worth 100 silk cloths, moreover treasures worth 100 silk cloths, a saddle
made of China, clothes and goods. This Lisan (Lishaojin) is a Chinese, however, I
make an impassioned speech, I myself an Iranian (hu, i.e. Sogdian) and I cannot
understand Chinese. I myself clearly grasp the circumstances, …
(text contains lacunae)
[Translation]
Fragment (2)
In …there was the place where he came back. I entreat you to take him into
custody and examine him”, he (Caolushan) sued.
Therefore in the deposition obtained from the first questioning of Caolushan
[by the said bureau] is as follows: “Lishaojin went away toward Gongyue city with
my elder brother. Moreover, Caoguoyi and Caoer, and my nephew that I live with
went toward Gongyue city. The said Caoguoyi and Caoer stayed in Gongyue city.
After Lisan had borrowed silk cloths from my elder brother, he went traveling toward
Anxi again. Lisan has already reached Anxi (Qucha), however, my elder brother
(only) has not reached there. This is why I sued Lishaojin, there is no cause to….”
He testified.
Furthermore, in the deposition obtained from the second examination of
Caolushan and likes, “Since I parted from my elder brother, it has been four years.
Caoguoyi and Caoer witnessed with written seals and surnames, and it was Lisan
who went toward (Gongyue city) with them, and there borrowed silk cloths from my
elder brother. I went away in pursuit of Lisan with my nephew (toward Gongyue
city). The said Caoguoyi and Caoer were Iranians (hu, i.e. Sogdian), who live in
“Jinshi” the capital Changan of the Tang dynasty with their family. On the date of
my starting (from Gongyue city) toward Anxi, Caoguoyi and Caoer still stayed in
Gongyue city. Now I have not been in Gongyue city as well as them. When Lisan
was going to come toward Anxi with my elder brother, Gongyue city…”
(text contains lacunae)
[Translation]
Fragment (3)
In the deposition obtained from the third questioning of Caolushan [by the said
bureau] in as follows: “Caolushan is… , and when my elder brother, Caoguoyi and
Caoer etc. was going to start away from Anxi with Lisan, my elder brother would
like Caoer and Caoguoyi to supply with what he needed on the way as the debt of
gratitude, then went toward together with them, at last they succeeded to reach the
castle of Gangyue in safety. Then it was in last year that Lisan stayed in the castle
of Gangyue and borrowed 275 silk cloths from my elder brother. In this case, there
is no record in the regard to the day when he had borrowed from my elder brother,
as for all contracts, my elder brother carried with him. And he also carried many
varieties of goods. After borrowing silk cloths, his repayment to my brother might
have been done after coming back to Anxi. Lishaojin also is a Chinese who was
recorded in the permanent registers of Jingshi (Changan) , and he was a son-inlaw
of the sub-prefect of commandery (Sima) of Anxi prefecture, however, I did not
know his name at that time. Now Lisan has been in Anxi, but my elder brother only
has not reached yet. This is why I am requesting you to examine him”.
Lishaojin has now reached here to be examined. In the deposition obtained from
the first questioning of Lishojin is as follows: “First, I (Lishaojin) did not borrowed
silk cloths from an Iranian (hu, i.e. Sogdian), and I did not intended to return back
toward Anxi along with this Iranian (hu, Sogdian). It is true that I did not go traveling
toward Anxi with an Iranian, and I do not know where he has gone then”.
In the deposition obtained from the second questioning of Lishaojin is as
follows: “When I went traveling toward Gongyue city, I saw that westerners on move
(Sogdian merchants) was going to go traveling toward Gongyue city from Anxi.
On the way, there were Sogdians along with whom I went traveling in front of and
behind me at that time, but I cannot remember how many peoples there are and
what were they called in this company (of this caravan). When I started to return
back to here Anxi, there was nobody being along with me. I cannot plead guilty to a
charge that you investigate, and it is not the truth what he stated.
(text contains lacunae)
[Translation]
Fragment (4, 5, 6)
[Caoyanyan and Caobisha] were captured and taken away [by the officers of the
fortress garrisons (zhen), or forts (shu), or the defense detachment (shouzhou)].
And there are a Chinese commander belonged to…, the manager of horses and
the clerk polishing the horse’s bit escaped, but at last they died. Moreover, in the
distance around 100 Li from Gongyue city, I came across four persons who had
come from Anxi. They told me that when they were going to come here, their bows,
arrows, saddles and horses etc. were plundered by Turks (Tujue). They met me
(Lishaojin) there on their way (toward Gongyue city), so they can be testified to you
that I was not going to come toward Anxi with the Sogdian. I require you to inspect
it. They were ambassadors. Two of them were bringing the imperial letter in their
hands toward the military base established along the Yuhe river, and the other two
persons were going to go toward the military base controlled by the supervisor
Xiangliu2. They said that they have started from Anxi in February of the same year
when I saw them. Now with a memo I require the latter ambassadors to examine
whether they saw an Iranian (hu, Sogdian) going toward Anxi in pursuit of me or
not. So I convinced that the truth will become evident”.
Moreover, in the deposition obtained from the third questioning of Lishaojin is
as follows: by the examination whether [Iranian Caoyanyan?] went in pursuit of
me (Lishaojin) or not, and on the date of his arriving at Gongyue city, Lishaojin
[answered as follows:]…
(text contains lacunae)
[Translation]
Fragment (7)
(text contains lacunae)
it is the truth that [near Gongyue city, Caolushan’s elder brother] Caoyanyan
fought with Caobisha, at last the former [was taken away to Gongyue city
by the officers of the garrisons]. On the date of my borrowing silk cloths [from
Caoyanyan], Caobisha and Caoguoyi were witnessed to our contract. On the day
of my (Lishaojin’s) departure toward Anxi, Caobisha and Caoguoyi have stayed in
Gongyue city yet. Then they intended to leave westwards more than Gongyue city.
I do not know at all whether they are staying in Gongyue city or not, where they are
at present…”.
In the deposition obtained from the fourth questioning of Lishaojin is as follows: “
On the date of my departure from Gongyue city, [Caoyanyan] fought with Caobisha,
then they are captured and taken away to the castle [of Gongyue] by the officers.
This is the truth. Moreover, since I reached Anxi, I has not heard of them. In the first
place, Caolushan suited that … and his elder brother and Lishaojin returned toward
Anxi together, however, it is true what I just answered to you. And Caolushan told
you that he recorded my surname, but Lishaojin has not known the Iranian (hu,
Sogdian) before. Caolushan is insincere, made up a story, and throughout he told
me his name. It is the truth that I Lishaojin went travel toward Gongyue city with the
front and rear of a group of a caravan, including Sogdian merchants, but I did not
go along with his elder brother”.
In the deposition obtained from the fifth questioning of Lishaojin is as follows:
“With the regard to the contract document, Caoyanyan himself kept it. And as to the
contract drawn up… , in the first place Caolushan suited that Lishaojin does not pay
back [the silk cloths that he had borrowed from my elder brother in Gongyue city].
(text contains lacunae)
[Translation]
Fragment (
(text contains lacunae)
It is true and not false that I had borrowed silk cloths from Caoyanyan. At that
time I have not acquainted with Caolushan. At present, however, I recognize that it
is not deniable fact that he Caolushan is the little brother of Caoyanyan. And now
it became evident that he Caolushan does not lie. Therefore I admitted you that
Caolushan should
totally receive 275 silk cloths from me as the repayment, and I would repay to
him those silk cloths in the government office”.
[In the deposition] obtained from the fourth questioning of Caolushan is as
follows: “I (Caolushan) concedes with respectfully that I had not been beside my
elder brother [on drawing up the contract] and Lishaojin had borrowed totally 200
silk cloths from my elder brother and Lishaojin had signed the contract with my
elder brother that he would repay to my elder brother after returning to Anxi.
(text contains lacunae)
2. The component and content of this text
As Prof. Huang and Prof. Wang stated (Huang 1983: 349-350; Wang 1985;
171), it is easy to understand this contents although it has lost and damaged pieces
in it. First from the 3rd line of the fragment (1), we can know that this is a civil
suit addressed from Gaochang (Qôchô) district to the protectorate-general of Anxi
prefecture. Furthermore, in details, it has many careless mistakes in writing and
overwriting with Chinese ink by the Chinese officers. Moreover, it has no official
seal mark of the Gaochang district as generally acquainted in the formal memo.
Such mistakes and being no official seal cannot be made if this is the real memo
that had been submitted to the government office. Therefore we can regard that
this is a manuscript of a memo. In regard to this subject, we can see it from the
fragment (1) that the plaintiff Caolushan requested the accused Lishaojin (Lisan) to
repay 275 silk cloths that Lishaojin had borrowed from Caolushan’s elder brother
Caoyanyan (his name ‘yanyan’ is transcribed from Sog. y(’)my’n having meaning
of the favour of the God Yami) (cf. ARAKAWA 1997: p.202 n.37; cf. Sims-Williams
1992: 81) in the castle of Gongyue, and to clarify the unknown whereabouts of his
elder brother that must have returned back toward Anxi along with Lishaojin. As to
the meaning of Caolushan, a Chinese character Cao means that his native country
was ‘Ishtikhan, the capital of which was Ishtikhan fortressed city’ as one of nine
oasis countries of Sogdiana as well as Kang-Samarkand, An-Bukhara, Shi-Kesh,
Shi-Chach, Mi-Maymurgh, He-Kushaniyya, Huowun and Wudi ) named “Jiu Xing
Zhao Wu” (XTS221: 6243), or “Jiu Xing Hu” in Chinese sources of the Tang period.
And his name that was constructed of two Chinese characters “Lushan” can be
transcribed from Sog. “Ruxshan” having meaning of ‘illumination’ (Henning apud
Pulleyblank 1955: 15 with n.37 on 11; Vaissiere 2002: 138)3. As long as we can
know, many Sogdian merchants formed their colonies in the cities of Jamûkath,
Talas, Navaket/ Krasnaja Rechka, Panjîkath/ Kysmychi, Suyab/ Ak Beshim
around the Semirechiye region and the cities of Aqsu, Qucha, Subashi, Duldur
Âqur, Kachgar, Khotan, Mazar Tagh, Dandan Uiliq Qiemo, Waxxari, Carklik Turfan,
Beshbaliq Qocho/ Astâna, Dunhuang, Hami etc. along the Tarim Basin along the
Silk for the purpose of dwelling there and trade there since the Han dynasty. And
many Sogdian merchnats already had advanced into the capital of China such as
the chief cities of the Chinese dynasties such as Lingzhou, Pingliang, Changan,
Loyang, Taiyuan, Daixian, Quyong, Dingxian, Yingzhou, Beijing, Caoyang, Jixian,
Kaifeng, through the cities of the Ganzu such as Jiuquan, Guzang, Liaozhou
according to the Ancient letters of Sogdian merchants from Dunhuang documents
and the Chinese sources since the early 4th century (Pulleyblank 1952; IKEDA
1981; Rong 2001: 37-110; Vaissiere 2002: 117-153). Therefore it seems possible
that the grandfather or father of Caolushan, his elder brother Caoyanyan and his
nephew etc. from Ishtikhan country had come and stayed in Chinese prefectures
and districts in the periods of the Bei Chou, Bei Sei, Sui dynasties before the Tang
dynasty as well as the Sogdinan families of Samarkand, Bukhara, Kesh etc., and
later had gained the permanent residence recorded in the household registers in
Changan city.
As regard with construct of this text, Prof. Huang analysed that this is composed
of 6 parts, however, in my view, it should be regarded as 4 parts.
The first part is regarded as the places between the 5th line of the fragment
(1) and the 1st line of the fragment (2). Here is contents of the suit. Moreover,
as assumed by Prof. Huang, according to the sentence that “Now I present to
the government-general of Xizhou prefecture…” of the 5th line of the document
(1), we can propose that this is addressed to the government-general of Xizhou
prefecture, which has been established by the Tang dynasty in 640 AD after the
destruction of the Gaochang kingdom and located in the Turfan Basin, but this was
resent from Xizhou prefecture to the Gaochang district to examine Caolushan and
Lishaojin. The subject of the 1st part of this fragment is as follows: 1. Lishaojin (or
Lisan, Lishao) borrowed 275 silk cloths from Caoyanyan who was the elder brother
of Caolushan in Gongyue city, 2. Caoyanyan carried some horses, 2 camels, 1
donkey and flower base and vessel worthy of 100 silk cloths and a Chinese saddle,
clothes and articles worthy of 100 silk cloths, 3. His elder brother and Lishaojin
doubling back toward Qiuci (Qucha) from Gongyue city, however, only his elder
brother did not reach there, therefore he requested the officer of Gaochang district
to look for his elder brother, 4. From the following of “Lisan is Chinese and I cannot
understand Chinese”, we can estimate that the plaintiff Caolushan discussed and
resolve this matter with Lishaojin, but it did not succeed, so at last Caolushan suited
to the government-general of Xizhou prefecture.
The second part is the place between the 2nd of the fragment (2) and the 9th of
the fragment (3). Here are consisted of three elements with beginning at the same
phrase of “In the deposition obtained from the questioning of (Cao)Lushan” and the
contents answered by Caolushan. In this part, Caolushan was examined on the
questionable regards as follows: 1. Whether it is the truth that Lisan borrowed from
Caoyanyan, 2. When and how long he borrowed silk cloths, 3. Who presented in
the contract as a witness and who had kept this document since then. Moreover,
Caolushan added that his elder brother Caoyanyan went along with Lishaojin in
going and coming between Anxi and Gongyue city, and his elder brother, Caoguoyi
(his name “guoyi” can be his official title as a military service from the Chinese
government. His having this title makes it easy to take a permit from prefectures
and districts under the Tang dynasty to go travel to trade in the Northwest regions.
I think that he had an Sogdian name as an original name as well as Caoer (Cao
+ er, that is Chinese naming) is called Caobisha after his Sogdian naming in this
document. On the ward “Bisha” ,however, at present I can not know what it means
in Sogdian language. In the view of Prof. Huang, this can be transcribed into a part
element Vi´sa of Sanscrit ‘Vi´sravana’, having meaning of the God Viesravana/
Vaisravana that means a guardian deity in the North direction of the Buddhism
believes (cf. Huang 1983; 357-358). Sogdian merchants such as them also had
permanent residences recorded in the household registers of “Jingshi” (the capital:
Changan). And according to the fact that Caolushan’s nephew dwelled in Changan
with Caolushan’s family and they went in pursuit of Caoguoyi and Caoer from
Qucha toward Gongyuecity, we can suppose that Caolushan and his nephew
also had the permanent residences in Changan as well as Lishaojin who had a
permanent residence in Changan and he married with the daughter of the subprefect
of commandery (Sima) of Anxi (Qucha) prefecture.
The subject of the 3rd part is concerning the contents Lishaojin answered to
the questioning, that began from the phrase of “ in the deposition obtained from
the questioning of (Li)shaojin”. According to Prof. Huang’s analysis (Huang 1983;
351), he regarded the part from the 1st line to the 4th line of the fragment (4) as the
answer of Lishaojin and he named it the 3rd part of this text. As long as I analysed
this, however, because the parts from the 1st line to the 4th line of the fragment
(4) is considered to be fitted for the contents of the fragment (4) and the 1-2nd
lines of the fragment (7) and it is nobody but Lishaojin who can testify the details
of the events on the way from the castle of Gongyue toward Anxi, I can make a
judgment that this sentence also belongs to the 3rd part. In this case, this part can
be composed of 5 paragraphs. In this, it is recorded that Lishaojin denied that he
had borrowed silk cloths from Sogdian merchants, he went along with the Sogdian
merchants who had permanent residence recorded in the household registers and
on his doubling toward Gongyue city, he went along with Sogdian merchants toward
Anxi. Moreover, he deposed the events on the way from Gongyue city toward Anxi,
and he told that an Chinese officer caught someone, in around 100 Li distant from
Gongyue city, he came across four official ambassadors that had departed from
Anxi for the base of the Yuhe military and Xiaoxiang military under the supervisor
of Xiangliu in February of the same year that Lishaojin returned toward Anxi. Then
by showing circumstance evidence like this, he tried to demonstrate his truth.
And he added that on the date when he had borrowed silk cloths, Caoguoyi and
Caobisha presented signing a contract as guarantors. Furthermore, he told that on
his doubling back toward Anxi, they still stayed in Gongyue city, then they intended
to go westward from there, he himself does not know where they went at present.
After questioning him, Lishaojin answered that it is the truth that he borrowed silk
cloths from Caoyanyan who was an elder brother of Caolushan, as for the document
of contract, Caoyanyan carried in his hands, Lishaojin would repay silk cloths to
Caolushan according to the decision of the judgment of the government and it were
275 silk cloths that he must repay to the Sogdian merchant in the contract.
The 4th part is the place between the 4th line to the 6th line of the fragment (
,which began from the phrase of “ [in the deposition obtained from] the questioning
of Caolushan”. Here is the deposition from Caolushan who consented on the
repayment of Lishaojin, and Caolushan declared that on the date of entering into
contract, he did not present there, and according to the contract, Lishaojin must
have totally repaid to his elder brother Caoyanyan after their reaching Anxi.
Now what became evident by questioning to both the plaintiff Caolushan and
the accused Lishaojin can be enumerated as follows:
