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PREFACE DESCRIPTION OF THE PROJECT MEMBERS OF THE INTERNATIONAL SCIENTIFIC COMMITTEE (in alphabetical order) MEMBERS OF THE INTERNATIONAL SCIENTIFIC COMMITTEE (since 1993) MEMBERS OF THE READING COMMITTEE LIST OF CONTRIBUTORS INTRODUCTION Muhammad Seyfeydinovich Asimov ¯ (ASIMI) In Piam Memoriam 1 CENTRAL ASIA UNDER THE UMAYYADS THE APPEARANCE OF THE ARABS IN CENTRAL ASIA UNDER THE UMAYYADS AND THE ESTABLISHMENT OF ISLAM . . . . . . . Central Asia on the eve of the Arab incursions . . . . . . . . . . . . . . . . . The appearance of the Arabs . . . . . . . . . . . . . . . . . . . . . . . . . . CENTRAL ASIA UNDER THE EARLY The aftermath of the
c Abbasid c ABBASIDS

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17

18 19 20 22

26 27 28 28 29 30 30 36 39 41 45

. . . . . . . . . . . .

The course of the c Abbasid revolution and its significance . . . . . . . . . . . revolution and the fall of Ab¯ Muslim . . . . . u
c Abbasid

The consolidation of c Abbasid power . . . . . . . . . . . . . . . . . . . . . . Political, social and sectarian dissent in the early period . . . . . . . The achievement of a degree of stability under al-Ma’m¯ n . . . . . . . . . . u
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2 SECTARIAN AND NATIONAL MOVEMENTS The Kharijite movement . . . . . . . . . . . . . . . . . . . . . . . . . . . . Currents of Shic ism: the Kays¯ niyya and the H¯ shimiyya . . . . . . . . . . . a a Heterodox Muslim and neo-Mazdakite movements: al-Muqannac , B¯ bak, and a others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The later development of Shic ism: the Twelvers, the Zayd¯s and the Ismac ilis . . . . . . . . . . . . . . . . ı The beginnings of the disintegration of the c Abbasid caliphate in the east . . . 3 THE STATES OF THE OGHUZ The Oghuz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Kimek . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Kïpchak . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 THE SAMANID STATE The creation of the Samanid state . . . . . . . . . . . . . . . . . . . . . . . . The system of government . . . . . . . . . . . . . . . . . . . . . . . . . . . The nature of political authority under the Samanids . . . . . . . . . . . . . . Agriculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Mining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Crafts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Domestic and external trade . . . . . . . . . . . . . . . . . . . . . . . . . . . Material culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Intellectual life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Central Asia and the Ismac ili movement . . . . . . . . . . . . . . . . . . . . The ethnic composition of the Samanid state and the creation of an Eastern Persian-Tajik ethnic identity . . . . . . . . . . . . . . . . . . . . . . . 5 THE GHAZNAVIDS The prehistory of the Ghaznavids . . . . . . . . . . . . . . . . . . . . . . . . The Establishment of Sebüktegin in Ghazna . . . . . . . . . . . . . . . . . . The succession of Mahm¯ d . . . . . . . . . . . . . . . . . . . . . . . . . . . u The zenith of the empire under Mahm¯ d . . . . . . . . . . . . . . . . . . . . u ¯ Masc ud and the Seljuqs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The nature and structure of the Ghaznavid state . . . . . . . . . . . . . . . . Cultural and intellectual life . . . . . . . . . . . . . . . . . . . . . . . . . . . Agriculture and trade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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6 THE KARAKHANIDS Sources for Karakhanid history . . . . . . . . . . . . . . . . . . . . . . . . . The conquest of Transoxania by the Karakhanids: the division into appanages The two Karakhanid Khanates; the policy of Ibr¯ h¯m b. Nasr Tamghach Khan a ı Karakhanids, Seljuqs and Kara Khitay . . . . . . . . . . . . . . . . . . . . . The Karakhanids and the Khwarazm Shah Muhammad b. Tekish . . . . . . . Iqt¯ c s and the structure of the state . . . . . . . . . . . . . . . . . . . . . . . a Towns and trade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 THE SELJUQS AND THE KHWARAZM SHAHS

125 125 126 133 138 141 143 147 150

THE ORIGINS OF THE SELJUQS AND THE ESTABLISHMENT OF SELJUQ POWER IN THE ISLAMIC LANDS UP TO 1055 . . . . . . . . . . . 151 THE CONSOLIDATION OF THE SELJUQ SULTANATE IN IRAN . . . . . Historical survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The structure of the Seljuq state in the east . . . . . . . . . . . . . . . . . . . THE EASTERN SELJUQ SULTANATE (1118–57) AND THE RISE AND ¯ FLORESCENCE OF THE KHWARAZM SHAHS OF ANUSHTEGIN’S LINE UP TO THE APPEARANCE OF THE MONGOLS (1097–1219) Historical survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The structure of the eastern Seljuq state . . . . . . . . . . . . . . . . . . . . The structure of the Khwarazmian state . . . . . . . . . . . . . . . . . . . . 8 THE GHURIDS The region of Ghur and the beginnings of Islamization . . . . . . . . . . . . The rise of the Ghurids as an independent power . . . . . . . . . . . . . . . . The apogee of the Ghurid sultanate . . . . . . . . . . . . . . . . . . . . . . . The Bamiyan amirate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Ghurid sultanate as a world power . . . . . . . . . . . . . . . . . . . . . The political and social organization of the Ghurid state . . . . . . . . . . . . Cultural developments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 THE UIGHURS, THE KYRGYZ AND THE TANGUT (EIGHTH TO THE THIRTEENTH CENTURY) THE UIGHURS IN MONGOLIA AND THE KYRGYZ . . . . . . . . . . . THE UIGHUR KINGDOM OF KOCHO . . . . . . . . . . . . . . . . . . . . THE TANGUT HSI HSIA KINGDOM (982–1227) . . . . . . . . . . . . . .
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167 167 178 179 182 182 185 186 189 190 191 194

196 196 206 212

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10 THE WESTERN HIMALAYAN STATES The Trakh¯ n dynasty of Gilgit . . . . . . . . . . . . . . . . . . . . . . . . . a The Maglot ruling family of Nager . . . . . . . . . . . . . . . . . . . . . . . The Ayash ruling family of Hunza . . . . . . . . . . . . . . . . . . . . . . . The Kator royal family of Chitral . . . . . . . . . . . . . . . . . . . . . . . . Baltistan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Relations with Tibet, Kashgharia and the trans-Pamir regions . . . . . . . . . Relations with Kashmir . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Long-term socio-economic developments . . . . . . . . . . . . . . . . . . . Socio-religious developments . . . . . . . . . . . . . . . . . . . . . . . . . . 11 THE KITAN AND THE KARA KHITAY The rise of the Kitan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The rise of the Kara Khitay . . . . . . . . . . . . . . . . . . . . . . . . . . .

221 222 225 225 225 225 227 227 228 231 232 232 239

12 THE MONGOLS AND THEIR STATE IN THE TWELFTH TO THE THIRTEENTH CENTURY 248 The socio-economic and political situation . . . . . . . . . . . . . . . . . . . Chinggis Khan and the founding of the Mongol state . . . . . . . . . . . . . Chinggis Khan’s campaigns of conquest: The foundation of the Mongol empire The Mongol empire during the reign of Chinggis Khanr’s successors . . . . . The Yüan empire of the Mongols and its fall . . . . . . . . . . . . . . . . . . 13 CENTRAL ASIA UNDER THE RULE OF SUCCESSORS 14 THE DELHI SULTANATE THE ESTABLISHMENT OF THE SULTANATE IN THE THIRTEENTH CENTURY AND THE NATURE OF THE NEW STRUCTURES IN INDIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Qutb al-D¯n Aybak (1206–10) . . . . . . . . . . . . . . . . . . . . . . . . . ı Shams al-D¯n Iltutmish (1210–36) . . . . . . . . . . . . . . . . . . . . . . . ı N¯ sir al-D¯n Mahm¯ d (1246–66) and Ghiy¯ th al-D¯n Balban (Ulugh Kh¯ n) a ı u a ı a (1266–87) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The end of Turkish supremacy . . . . . . . . . . . . . . . . . . . . . . . . . Jal¯ l al-D¯n F¯r¯ z Khalj¯ (1290–6) and Al¯ ’ al-D¯n Khalj¯ (1296–1316) . . . a ı ıu ı a ı ı Income levels among the ruling and scholarly élites . . . . . . . . . . . . . .
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Agrarian conditions in the fourteenth century . . . . . . . . . . . . . . . . . The political structure of the state . . . . . . . . . . . . . . . . . . . . . . . . Social and economic developments . . . . . . . . . . . . . . . . . . . . . . . THE DELHI SULTANATE, 1316–1526 . . . . . . . . . . . . . . . . . . . . The Tughluqids (1320–1412) . . . . . . . . . . . . . . . . . . . . . . . . . . The Sayyids (1414–51) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The L¯ d¯s (1451–1526) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . o ı 15 THE REGIONS OF SIND, BALUCHISTAN, MULTAN AND KASHMIR: THE HISTORICAL, SOCIAL AND ECONOMIC SETTING THE RULERS OF SIND, BALUCHISTAN AND MULTAN (750–1500) . . . The
c Abbasid

282 283 283 284 284 291 293

297 298 298 301 304 310 323 325 326 327 330 332 339 342 345 346

period and the Fatimid interlude (mid-eighth to the end of the

tenth century) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Period of the Ghaznavid and Ghurid Sultanates (eleventh and twelfth centuries) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The era of the local independent states . . . . . . . . . . . . . . . . . . . . . ¯ KASHMIR UNDER THE SULTANS OF THE SHAH M¯ DYNASTY . . . IR 16 CENTRAL ASIA TIMUR 1370 Formation of Timur’s empire . . . . . . . . . . . . . . . . . . . . . . . . . . The Sarbadar movement . . . . . . . . . . . . . . . . . . . . . . . . . . . . Balkh and Samarkand under Timur . . . . . . . . . . . . . . . . . . . . . . . Reorganization of Timur’s army . . . . . . . . . . . . . . . . . . . . . . . . Timur’s military campaigns . . . . . . . . . . . . . . . . . . . . . . . . . . . Socio-economic conditions under Timur . . . . . . . . . . . . . . . . . . . . Urban development, crafts and trade . . . . . . . . . . . . . . . . . . . . . . Relations with west European rulers . . . . . . . . . . . . . . . . . . . . . . The succession struggle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 THE TIMURID STATES IN THE FIFTEENTH AND SIXTEENTH CENTURIES The aftermath of Timur’s death . . . . . . . . . . . . . . . . . . . . . . . . . The rule of Ulugh Beg . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The power struggle following Sh¯ h Rukh’s death . . . . . . . . . . . . . . . a The realm divides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Agriculture, livestock and hunting . . . . . . . . . . . . . . . . . . . . . . . Landownership and taxation . . . . . . . . . . . . . . . . . . . . . . . . . .
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Towns, handicrafts and trade . . . . . . . . . . . . . . . . . . . . . . . . . . Revolts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Dasht-i Kïpchak at the end of the fifteenth century and the beginning of the sixteenth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 POPULAR MOVEMENTS, RELIGIOUS TRENDS AND SUFI INFLUENCE ON THE MASSES IN THE POST-c ABBASID PERIOD Religious groups of the Middle East in early Islamic times . . . . . . . . . . The rise of Sufism and the Sufi orders in Central Asia . . . . . . . . . . . . . Socio-religious and politico-religious movements . . . . . . . . . . . . . . . Sufi orders in India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Mahdaw¯ movement . . . . . . . . . . . . . . . . . . . . . . . . . . . . ı

361 364 364

367 367 370 376 379 382

19 SOCIO-ECONOMIC DEVELOPMENT: FOOD AND CLOTHING IN EASTERN IRAN AND CENTRAL ASIA 383 THE EASTERN ISLAMIC LANDS, FROM IRAN TO THE FRONTIERS WITH CHINA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Food and diet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . MONGOLIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Shelter, crafts and dress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Food and diet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 COINAGE AND THE MONETARY SYSTEM CENTRAL ASIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Coinage and the circulation of money from the eighth to the tenth century . . Coinage and the circulation of money from the eleventh century to the beginning of the thirteenth . . . . . . . . . . . . . . . . . . . . . . . . . . . Coinage and the circulation of money under the Mongols (thirteenth and fourteenth centuries) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Coinage and the circulation of money in Transoxania under Timur and the Timurids (late fourteenth and fifteenth centuries) . . . . . . . . . . . . AFGHANISTAN, PAKISTAN AND NORTHERN INDIA . . . . . . . . . . CONCLUSION MAPS
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BIBLIOGRAPHY AND REFERENCES GLOSSARY INDEX History of civilizations of Central Asia

439 464 466 474

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History of Civilizations of Central Asia

History of Civilizations of Central Asia
The age of achievement: A . D . 750 to the end of the fifteenth century

Volume IV
Part One The historical, social and economic setting

Editors: M. S. Asimov and C. E. Bosworth

Multiple History Series UNESCO Publishing

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COPYRIGHT

The authors are responsible for the choice and the presentation of the facts contained in this book and for the opinions expressed therein, which are not necessarily those of UNESCO and do not commit the Organization. The designations employed and the presentation of material throughout this publication do not imply the expression of any opinion whatsoever on the part of UNESCO concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries.

Compiled by I. Iskender-Mochiri English text edited by Jana Gough Composed by Éditions du Mouflon, 94270 Le Kremlin-Bicêtre (France) Printed by Imprimerie Darantiere, 21800 Quétigny (France) Published in 1998 by the United Nations Educational, Scientific and Cultural Organization 7 place de Fontenoy, 75352 Paris 07 SP ISBN 92-3-103467-7 © UNESCO 1998

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PREFACE

PREFACE
Federico Mayor Director-General of UNESCO

One of the purposes of UNESCO, as proclaimed in its Constitution, is ‘to develop and to increase the means of communication between. . . peoples and to employ these means for the purposes of mutual understanding and a truer and more perfect knowledge of each other’s lives’. The History of the Scientific and Cultural Development of Mankind, published in 1968, was a major early response on the part of UNESCO to the task of enabling the peoples of the world to have a keener sense of their collective destiny by highlighting their individual contributions to the history of humanity. This universal history – itself now undergoing a fundamental revision – has been followed by a number of regional projects, including the General History of Africa and the planned volumes on Latin America, the Caribbean and on aspects of Islamic culture. The History of Civilizations of Central Asia is an integral part of this wider enterprise. It is appropriate that the second of UNESCO’s regional histories should be concerned with Central Asia. For, like Africa, Central Asia is a region whose cultural heritage has tended to be excluded from the main focus of historical attention. Yet from time immemorial the area has served as the generator of population movements within the Eurasian land-mass. The history of the ancient and medieval worlds, in particular, was shaped to an important extent by the succession of peoples that arose out of the steppe, desert, oases and mountain ranges of this vast area extending from the Caspian Sea to the high plateaux of Mongolia. From the Cimmerians mentioned in Homer’s Odyssey,the Scythians described by Herodotus, the Hsiung-nu whose incursions led the emperors of China to build the Great Wall, the sixth-century Türks who extended their empire to the boundaries of Byzantium, the Kitan who gave their name to ancient Cathay, through to the Mongols who erupted into world history in the thirteenth century under Genghis Khan, the nomadic horsemen of Central Asia helped to define the limits and test the mettle of the great civilizations of Europe and Asia.

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PREFACE

Nor is it sufficient to identify the peoples of Central Asia simply with nomadic cultures. This is to ignore the complex symbiosis within Central Asia itself between nomadism and settlement, between pastoralists and agriculturalists. It is to overlook above all the burgeoning of the great cities of Central Asia such as Samarkand, Bukhara and Khiva, which established themselves in the late Middle Ages as outstanding centres of intellectual inquiry and artistic creation. The seminal writings of the philosopher-scientist Avicenna (a native of Bukhara) and the timeless masterpieces of Timurid architecture epitomize the flowering of medieval culture in the steppes and deserts of Central Asia. The civilizations of Central Asia did not, of course, develop in a vacuum. The impact of Islam was pervasive and fundamental. The great civilizations on the periphery of the Eurasian continent likewise exerted an important influence on these lands. For some 1,500 years this arid inland sea – far removed from the earth’s true oceans – was crucial as the route along which merchandise (notably silk) and ideas flowed between China, India, Iran and Europe. The influence of Iran – although the core of its civilization lies in South-West Asia – was particularly strong, to the extent that it is sometimes difficult to establish a clear boundary between the civilization of the Iranian motherland and that of the outlying lands of Central Asia. To the rich variety of peoples of Central Asia was thus added a multiplicity of external influences. For century after century, the region experienced the influx of foreign art and ideas, colliding and merging with the indigenous patterns of Central Asia. Migrations and the recurrent shock of military invasion, mingling and displacing peoples and cultures, combined to maintain the vast region in flux. The systole and diastole of population movements down the ages add to the difficulty of delimiting a region whose topology alone does not prescribe clear boundaries. Thus, when, at the nineteenth session of its General Conference, UNESCO decided to embark on a History of Civilizations of Central Asia the first problem to be resolved was to define the scope of the region concerned. Subsequently, at a UNESCO meeting held in 1978, it was agreed that the study on Central Asia should deal with the civilizations of Afghanistan, northeastern Iran, Pakistan, northern India, western China, Mongolia and the former Soviet Central Asian republics. The appellation ‘Central Asia’, as employed in this History, refers to this area, which corresponds to a clearly discernible cultural and historical reality. UNESCO’s call to specialists, and particularly to scholars native to the region, to participate in the undertaking met with a wide and generous response. The project was deemed by academics to be an excellent opportunity to draw back the curtain that had veiled Central Asia for so long. However, none were in any doubt as to the huge dimensions of the task.
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An ad hoc International Scientific Committee was formed in 1980 to plan and prepare the work, which it was agreed should cover, in six volumes, the history of Central Asia from earliest times to the present day. The Committee’s initial task was to decide where pre-eminence should be given in the very wide canvas before it. In due course, a proper balance was struck and teams of editors and authors were selected. The preparation of the History of Civilizations of Central Asia is now well advanced. The best resources of research and archaeology have been used to make the work as thorough as possible, and countless annals consulted in major centres throughout the region. It is my sincere wish that this, the fourth volume, and those that follow will bring instruction and pleasure to readers all over the world. It remains for me to thank the President, Rapporteur and members of the International Scientific Committee, and the editors, authors and teams of specialists who have collaborated to shed new light on Central Asia with this detailed account of its vital and stirring past. I am sure it will prove a notable contribution to the study and mutual appreciation of the cultures that are the common heritage of mankind.

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DESCRIPTION OF THE PROJECT

DESCRIPTION OF THE PROJECT
M. S. Asimov

The General Conference of UNESCO, at its nineteenth session (Nairobi, October, November 1976), adopted the resolution which authorized the Director-General to undertake, among other activities aimed at promoting appreciation and respect for cultural identity, a new project on the preparation of a History of Civilizations of Central Asia. zThis project was a natural consequence of a pilot project on the study of Central Asia which was approved during the fourteenth session of the UNESCO General Conference in November 1966. The purpose of this pilot project, as it was formulated in the UNESCO programme, was to make better known the civilizations of the peoples living in the regions of Central Asia through studies of their archaeology, history, languages and literature. At its initial stage, the participating Member States included Afghanistan, India, Iran, Pakistan and the former Soviet Union. Later, Mongolia and China joined the UNESCO Central Asian project, thus enlarging the area to cover the cultures of Mongolia and the western regions of China. In this work, Central Asia should be understood as a cultural entity developed in the course of the long history of civilizations of peoples of the region and the above delimitation should not be taken as rigid boundaries either now or in the future. In the absence of any existing survey of such large scope which could have served as a model, UNESCO has had to proceed by stages in this difficult task of presenting an integrated narrative of complex historical events from earliest times to the present day. The first stage was designed to obtain better knowledge of the civilizations of Central Asia by encouraging archaeological and historical research and the study of literature and the history of science. A new project was therefore launched to promote studies in five major domains: the archaeology and the history of the Kushan empire, the history of the arts of Central Asia, the contribution of the peoples of Central Asia to the development of science, the history of ideas and philosophy, and the literatures of Central Asia. An International Association for the Study of Cultures of Central Asia (IASCCA), a non-governmental scholarly organization, was founded on the initiative of the Tajik scholar
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DESCRIPTION OF THE PROJECT

B. Gafurov in 1973, assembling scholars of the area for the co-ordination of interdisciplinary studies of their own cultures and the promotion of regional and international co-operation. Created under the auspices of UNESCO, the new Association became, from the very beginning of its activity, the principal consultative body of UNESCO in the implementation of its programme on the study of Central Asian cultures and the preparation of a History of Civilizations of Central Asia. The second stage concentrated on the modern aspects of Central Asian civilizations and the eastward extension of the geographical boundaries of research in the new programme. A series of international scholarly conferences and symposia were organized in the countries of the area to promote studies on Central Asian cultures. Two meetings of experts, held in 1978 and 1979 at UNESCO Headquarters, concluded that the project launched in 1967 for the study of cultures of Central Asia had led to considerable progress in research and contributed to strengthening existing institutions in the countries of the region. The experts consequently advised the Secretariat on the methodology and the preparation of the History. On the basis of its recommendations it was decided that this publication should consist of six volumes covering chronologically the whole history of Central Asian civilizations ranging from their very inception up to the present. Furthermore, the experts recommended that the experience acquired by UNESCO during the preparation of the History of the Scientific and Cultural Development of Mankind and of the General History of Africa should also be taken into account by those responsible for the drafting of the History. As to its presentation, they supported the opinion expressed by the UNESCO Secretariat that the publication, while being a scholarly work, should be accessible to a general readership. Since history constitutes an uninterrupted sequence of events, it was decided not to give undue emphasis to any specific date. Events preceding or subsequent to those indicated here are dealt with in each volume whenever their inclusion is justified by the requirements of scholarship. The third and final stage consisted of setting up in August 1980 an International Scientific Committee of nineteen members, who sit in a personal capacity, to take reponsibility for the preparation of the History. The Committee thus created included two scholars from each of the seven Central Asian countries – Afghanistan, China, India, Islamic Republic of Iran, Pakistan, Mongolia and the former USSR – and five experts from other countries – Hungary, Japan, Turkey, the United Kingdom and the United States of America. The Committee’s first session was held at UNESCO Headquarters in December 1980. Real work on the preparation of the publication of the History of Civilizations of Central
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DESCRIPTION OF THE PROJECT

Asia started, in fact, in 1981. It was decided that scholars selected by virtue of their qualifications and achievements relating to Central Asian history and culture should ensure the objective presentation, and also the high scientific and intellectual standard, of this History. Members of the International Scientific Committee decided that the new project should correspond to the noble aims and principles of UNESCO and thereby should contribute to the promotion of mutual understanding and peace between nations. The Committee followed the recommendation of the experts delineating for the purpose of this work the geographical area of Central Asia to reflect the common historical and cultural experience. The first session of the International Committee decided most of the principal matters concerning the implementation of this complex project, beginning with the drafting of plans and defining the objectives and methods of work of the Committee itself. The Bureau of the International Scientific Committee consists of a president, four vicepresidents and a rapporteur. The Bureau’s task is to supervise the execution of the project between the sessions of the International Scientific Committee. The reading committee, consisting of four members, was created in 1986 to revise and finalize the manuscripts after editing Volumes I and II. Another reading committee was constituted in 1989 for Volumes III and IV. The authors and editors are scholars from the present twelve countries of Central Asia and experts from other regions. Thus, this work is the result of the regional and of the international collaboration of scholars within the framework of the programme of the United Nations Educational, Scientific and Cultural Organization (UNESCO). The International Scientific Committee and myself express particular gratitude to Mrs Irene Iskender-Mochiri for her arduous and selfless work in preparing the volumes for the press. It is our sincere hope that the publication of the fourth volume of the History of Civilizations of Central Asia will be a further step towards the promotion of the cultural identity of the peoples of Central Asia, strengthening their common cultural heritage and, consequently, will foster a better understanding among the peoples of the world.

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MEMBERS OF THE COMMITTEE

MEMBERS OF THE INTERNATIONAL SCIENTIFIC COMMITTEE (in alphabetical order)

Dr F. R. Allchin (United Kingdom) † Professor M. S. Asimov (Tajikistan) President Editor of Volume IV (Parts One and Two) Dr N. A. Baloch (Pakistan) Professor M. Bastani Parizi (Islamic Republic of Iran) Professor Sh. Bira (Mongolia) Professor A. H. Dani (Pakistan) Editor of Volume I † Professor K. Enoki (Japan) Professor G. F. Etemadi(Afghanistan) Co-editor of Volume II Professor J. Harmatta (Hungary) Editor of Volume II

Professor Liu Cunkuan (People’s Republic of China) Dr L. I. Miroshnikov (Russian Federation) Professor S. Natsagdorj (Mongolia) † Professor B. N. Puri (India) Co-editor of Volume II Professor M. H. Z. Safi (Afghanistan) Professor A. Sayili (Turkey) Dr R. Shabani Samghabadi (Islamic Republic of Iran) Co-editor of Volume III Professor D. Sinor (United States of America) † Professor B. K. Thapar (India) Professor Zhang Guang-da (People’s Republic of China) Co-editor of Volume III

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MEMBERS OF THE COMMITTEE

MEMBERS OF THE INTERNATIONAL SCIENTIFIC COMMITTEE (since 1993)

Professor C. Adle (Islamic Republic of Iran) President and Editor of Volume V Professor D. Alimova (Uzbekistan) Professor M. Annanepesov (Turkmenistan) † Professor M. S. Asimov (Tajikistan) President and Editor of Volume IV (Parts One and Two) Professor K. Baipakov (Kazakhstan) Co-editor of Volume V Professor Sh. Bira (Mongolia) Professor A. H. Dani (Pakistan) Editor of Volume I Professor R. Farhadi (Afghanistan)

Professor H.-P. Francfort (France) Professor I. Habib (India) Editor of Volume V Dr L. Miroshnikov (Russian Federation) Professor M. Shukurov (Tajikistan) Professor D. Sinor (United States of America) Dr A. Tabyshalieva (Kyrgyz Republic) Professor I. Togan (Turkey) Professor H. Umemura (Japan) Professor Wu Yungui (People’s Republic of China)

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Frye (United States of America) Professor J. N. Harmatta (Hungary) Professor D. Sinor (United States of America) 19 Copyrights .ISBN 978-92-3-103467-1 Contents MEMBERS OF THE COMMITTEE MEMBERS OF THE READING COMMITTEE Professor R.

E.O. Bira International Association for Mongol Studies Central P. Davidovich Ul. Baloch 12 Sind University (old campus) Hyderabad. Sind Pakistan Sh. 18 ◦ 191041 St. Agajanov Vargy street. Petersburg Russian Federation C. 17. H. A. Bosworth The University of Manchester Department of Middle Eastern Studies Manchester M13 9PL United Kingdom F. Box 941 Ulan Bator-11 Mongolia O. Bolshakov Institute of Oriental Studies Dvortsovaya Naberezhnaya. Ashrafyan Institute of Oriental Studies Ul. n 52 Moscow Russian Federation B. Dani Dani House no. Frye Tower Hill Road Brimfield. st no.ISBN 978-92-3-103467-1 Contents LIST OF CONTRIBUTORS LIST OF CONTRIBUTORS S. Z. A. Daftary 77 Hamilton Terrace London NW8 United Kingdom A. MA 01010 United States of America 20 Copyrights . korp 3. Akhmedov Aybek street. kv 124 Moscow 111402 Russian Federation R. 34 Tashkent 700019 Uzbekistan K. Rozhdestvenka 12 Moscow 103777 Russian Federation N. G.N. Veshnjakovskaja Dom 6. 10 Shalimar 8/3 Islamabad Pakistan E. 2. G.

Sevim Dil. 18 191041 St. Sinor Distinguished Professor Emeritus Department of Central Eurasian Studies Goodbody Hall 157 Bloomington. Mukminova Uzbek Academy of Sciences Tashkent Uzbekistan S. G. Kasai Tajik Academy of Sciences Prospekt Lenin 33 Dushanbe 7340025 Tajikistan † K. Indiana 47405–2401 United States of America 21 Copyrights .ISBN 978-92-3-103467-1 Contents LIST OF CONTRIBUTORS Geng Shimin 2-Department of Minority Languages Central Institute for Nationalities 27. A. Nizami A. staff Town. University of Karachi Karachi 75270 Pakistan A. Rafiqi 73 Balgarden College of Theology and Islamic Education Srinagar. Kychanov Institute of Oriental Studies Dvortsovaya Naberezhnaya. Baishiqiao Road Beijing People’s Republic of China N. Kashmir University of Tehran India Tehran Islamic Republic of Iran Y. Tarih-Go˘ rafya Fakültesi g Tarih Bölümü Ankara Turkey D. Negmatov Institute of History Riazul Islam C-l. Q. I. Petersburg Russian Federation R. N. Natsagdorj Mongolian Academy of Sciences Ulan Bator Mongolia N.

ISBN 978-92-3-103467-1 Contents INTRODUCTION INTRODUCTION C. now felt the impact of Turkicization. They were also to have an impact on the Central Asian steppelands (in what became known as Turkistan and in Moghulistan to its north) as the Kara Khitay dynasty of the Islamic sources of the twelfth and early thirteenth centuries. the southern fringes of Siberia and the eastern regions of China. the way was open for the Kitans to establish themselves in northern China. Previous ethnic and expansionist movements originating in Inner Asia. it affected two continents.d. over a long period of time. But the expansion of hitherto little-known peoples of what is now the Mongolian region and the lands around Lake Baikal – first the Türks. from the later tenth century onwards. although with the disappearance of that Chinese dynasty in the tenth century.e. affecting. a. The process mainly affected Transoxania and Khwarazm. had been limited in their impact. E. The westwards migrations. competing in these areas with olderestablished faiths. The boundaries of T’ang China held firm against the first Eastern Türk empire. These were also centuries in which nomadic and military empires arose in the heart of Asia and then impinged on the history of adjacent. became Sinicized. Regions which had been Iranian in population and language since the time of the Indo-Aryan migrations eastwards into Central Asia in the second millennium b. In the case of the Mongols. centuries during which the new faith of Islam arose. of Turkic tribal nomads were to have long-term effects on the ethnic and social composition of the ‘northern tier’ of the Middle East. 750–1500. then the Kitans and finally the Mongols – was of a wider.c. first in Arabia. India. well-established civilizations and cultures – China. 22 Copyrights . Asia and Europe. international significance. i. as usually happened in such cases. Bosworth Volume IV of this History covers some eight centuries. the lands running westwards from Afghanistan through Iran to Anatolia. such as the Kushans in northern India. They were initially regarded by the Chinese as yet another Barbarian dynasty. much of Central Asia. and the Huns and Avars in post-Roman eastern and central Europe. Islamic Western Asia and Christian eastern and central Europe – to an unparalleled extent. but speedily. and then gradually spread eastwards and northwards.

provide the cultural and ethnic raison d’être for the Republic of Tajikistan. especially of the valleys and mountainous uplands running eastwards to the Pamirs and the T’ien Shan mountains. while much of our knowledge of the Mongols in their homeland and northern China stems from the accounts of Western friars and envoys like William of Rubruck and travellers like Marco Polo. Buddhist monks could travel westwards into Transoxania. The region had always been content to absorb influences from the surrounding higher civilizations. and Islam among the Turkish peoples of Transoxania. parts of Fars and. in the cities and towns and in the villages. and so on. in eastern Afghanistan was the catalyst for several centuries of expansion of Turkish and Afghan power. although the history of these regions lies outside the scope of this History. to a much lesser extent. southern Siberia and East Turkistan or Xinjiang. Hence military dynasties of Turkish ethnic origin came to rule as far north in the subcontinent as Kashmir. men of religion. who were originally of Turkish slave origin. however. the discontinuity was speedily repaired as the Mongol Yuan dynasty and their followers were absorbed into the traditional local society and into the enveloping religious patterns and culture of China. likewise became Turkicized. The changes brought about by the movements of Turkish peoples were accelerated by the Mongol invasions of the thirteenth century. Inner Asia itself benefited from the religious and cultural ferment stirred up by transcontinental movements of peoples. In the long run. although there remain Tajiks outside the boundaries of this modern republic. administrators. But since this was a question of the imposition of military aristocracies over alien populations. soldiers. it was Lamaist Buddhism which established itself in the Mongolian region and in Tibet. together with some modern remnants of the Middle Persian Sogdian language. lured by the riches of the northern Indian plains. the Iranian Tajiks preserved much of their language and culture. merchants. northern and eastern Afghanistan and northern India in the earlier period. above all. which had an immediate and cataclysmic effect on the economic and social organization of the lands which they overran. Hence the New Persian language of the Tajiks. various faiths of both East and West found an honoured place at the side of the indigenous animism of the shamans. the ethnic and linguistic composition of Afghanistan and India was not substantially affected save in those districts of northern Afghanistan which adjoined the upper Oxus. The establishment of the line of Ghaznavid sultans. Within the confederations of the early Türks and then of the Mongols. In the case of China. Substantial lands further west. and as far south as the Deccan. such as Azerbaijan. Turkish and. as far east as Bengal and Assam. Anatolia.ISBN 978-92-3-103467-1 Contents INTRODUCTION although even here. Earlier faiths such as 23 Copyrights . Mongol military expansion south of the Oxus river into what is now Afghanistan and northern India was also to have lasting political effects on these regions.

that the constituting of the Turco-Mongol Golden Horde in the Kïpchak and south Russian steppes was to have a major. The rich religious and intellectual background of Central Asian scholars and literary men helped the region to make a characteristic and significant contribution to world civilization. Adherence to certain of the Sufi brotherhoods. A special feature of the form of Islam popular in Central Asia was the prominence of Sufi mysticism. which had flourished in some parts of the region. with Professor Yar Muhammad Khan of Pakistan as Co-Editor. The original Editor was Professor Muhammad S. Some of the contributors for the chapters had already been commissioned. disappeared well before the end of our period. and the pastoralization of many parts of Iran and Anatolia was accentuated. 1500. was unaffected by the Mongols.e. these intellectual and cultural achievements will be examined in Part Two of Volume IV. for much of the work of conversion among the Turkish tribes coming into the Islamic world had been accomplished by dervish missionaries. but in fact. The popularity of the latter tar¯qa ı (Sufi order) spread to northern India. most of Syria and all of Egypt and North Africa. but several others had to be chosen subsequently. above all in Russia. now Tajikistan. that much of the Islamic world. Professor Asimov was assassinated in Dushanbe in an apparently unmotivated killing in July 1996 and the actual editing of the chapters and the checking of translations. Some word of explanation is necessary concerning the vicissitudes of the editing of Part One of Volume IV. several from Russian and other languages. It should be remembered. Asimov of the Tajik SSR. the effects of the Turkish and Mongol invasions loom large.ISBN 978-92-3-103467-1 Contents INTRODUCTION Manichaeism and Nestorian Christianity. the effects of the Mongol invasions were sharply felt in such fields as social organization and land tenure. and in respect of demographic and economic decline. however. before c. the Chishtiyya and the Suhrawardiyya. In Transoxania and the northern regions of the Islamic Middle East. Unfortunately. on the development of the Grand Duchy of Muscovy. the natural resilience of the Middle Eastern and Central Asian cultures soon reasserted itself. so that the Naqshbandiyya eventually took their place. became especially characteristic of Central Asian Islam. the nucleus of the future Russian empire. the Naqshbandiyya. including the Arabian peninsula. the effects of the Black Death were probably more lasting. at a later date. Professor Yar Muhammad Khan died at an early stage and I myself was invited to act as Editor. i. as the dominant Sufi a orders in the subcontinent. has 24 Copyrights . in particular. It was in eastern Europe. at the side of the Q¯ diriyya. such as the Yasawiyya and. In the demonology of modern Arab writers attempting to explain the increasing rigidity of Islamic religion and civilization from this time onwards. enduring influence on the course of the region’s history and.

25 Copyrights . who has acted as Secretary and Co-ordinator of the whole project.ISBN 978-92-3-103467-1 Contents INTRODUCTION devolved on myself. the present book owes a great debt to her energy and dedication. This I could never have done without the unstinting help and cooperation of Mme Irène Iskender-Mochiri of UNESCO.

Frye On 29 July 1996 Professor Asimov was shot in the head by an unknown assailant as he left his home in Dushanbe. After the departure of Bobojan Gafurov to Moscow to head the Institute of Oriental Studies of the USSR. Asimov was UNESCO’s most active contact in Central Asia. But his interest and studies took him into fields of philosophy and history and other facets of culture. In short. President of the Academy of Sciences until his retirement in 1991. was unusual at that time of stress between the great powers. He will be sorely missed by his friends and associates. Tajikistan. He was also a Co-editor of Volume IV of the History of Humanity. He made many friends in Paris and contributed greatly to the success of these two major projects. He died instantly. even an American. the details of which cannot be elaborated here. as well as in the International Scientific Committee which initiated the project for the History of Civilizations of Central Asia (Asimov was one of the editors of Volume IV). 26 Copyrights . Asimov became the leader of cultural and intellectual pursuits in Tajikistan. His kindly mien and willingness to help others. He had a distinguished career. and the representative of Tajikistan in all-Soviet and international meetings. and. He was Minister of Education of the Government of Tajikistan in 1962. a cultural organization for scholarly relations between Persian-speaking peoples in which he was active until his death. In 1990 he was the founder of Payvand. He received the Nehru Prize for his contribution to friendship among peoples in 1980. just after he became President of the Academy of Sciences of Tajikistan. Asimov was born on 25 August 1920 in Khujand and studied physics at the University of Samarkand. and talked to him many times afterwards. leaving a gap in the ranks of his country’s intellectual leaders. as already noted. I first met Muhammad Asimov in Dushanbe in 1965. Asimov was a kindly man who refrained from the attacks on colleagues that are characteristic of some scholars. N. except to mention a few items.ISBN 978-92-3-103467-1 Contents Muhammad Seyfeydinovich MUHAMMAD SEYFEYDINOVICH ASIMOV ¯ (ASIMI) IN PIAM MEMORIAM R. He was active in intellectual pursuits until his death and he was a great help to those working on the projects of UNESCO.

. . . . . . . . . . . The appearance of the Arabs . . . . . . .ISBN 978-92-3-103467-1 Contents CENTRAL ASIA UNDER THE UMAYYADS 1 CENTRAL ASIA UNDER THE UMAYYADS AND THE EARLY cABBASIDS* C. . . . . . . . . . . 27 Copyrights . . . . Central Asia on the eve of the Arab incursions . . . Political. . . . . . . . . . . . . . . . . . . . . . . Bolshakov Contents THE APPEARANCE OF THE ARABS IN CENTRAL ASIA UNDER THE UMAYYADS AND THE ESTABLISHMENT OF ISLAM . . . . . . . u The consolidation of c Abbasid power . . . . . . pp. . . . . . . . . . . . The course of the c Abbasid revolution and its significance . . social and sectarian dissent in the early c Abbasid period . . . . . . . G. . . . . The aftermath of the c Abbasid revolution and the fall of Ab¯ Muslim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . u * See Map 1. . . . . . . . . . . . . Bosworth and O. . . . . E. . . . . . 426–7. . . The achievement of a degree of stability under al-Ma’m¯ n . . . . . CENTRAL ASIA UNDER THE EARLY c ABBASIDS 28 28 29 30 30 36 39 41 45 . . . . . . .

E. with such modern descendants as Yaghnobi. although soon to yield to the Uighur Türks. the Tarim basin and its fringes. no single faith was dominant throughout the region. Sogdian survived for at least two or three more centuries. In Khwarazm. From the religious point of view. North of the Hindu Kush. . still largely an Iranian land whose people used various Middle Iranian languages. . agricultural lands of Transoxania and Ferghana. but there was possibly some knowledge in the main towns at least of the Middle Persian Parthian language. and in the deserts surrounding the oasis region of Khwarazm. because of the strong cultural influence of the adjacent. such as Karluk. the Indo-Iranian culture of such centres as Khotan and Kocho was still vital. Kimek. u ı a a known to modern scholars as the Chronology and written in c. but not their chronology. In East Turkistan. especially in the countryside and in mountainous areas. were Turkish tribes of the south-western group. In Bactria. Along the northern fringes of Transoxania.ISBN 978-92-3-103467-1 Contents Central Asia Arab incursions . In Transoxania there was a network of Sogdian city-states whose people used the Sogdian language. the provinces along the upper Oxus river. However. Part One THE APPEARANCE OF THE ARABS IN CENTRAL ASIA UNDER THE UMAYYADS AND THE ESTABLISHMENT OF ISLAM (C. such a leader of the Hephthalites (in Arabic sources. an ancient Iranian civilization still flourished under the indigenous dynasty of Afrighid Khwarazm Shahs. Bosworth) Central Asia on the eve of the Arab incursions Central Asia in the early seventh century was. whose names. now part of the Republic of Tajikistan and northern Afghanistan. ethnically. and these were probably already infiltrating into the settled. Kïpchak and Oghuz. Hay¯ tila) as Tarkh¯ n N¯zak was to put a a ı up a strenuous though ultimately unsuccessful resistance to the incoming Muslim Arabs. 1000–1003. and 28 Copyrights . powerful Sasanian empire. are known to us from ¯ a the native scholar al-Bir¯ n¯’s Kit¯ b al-Ath¯ r al-b¯ qiya [Chronology of Ancient Nations]. political control was exercised by epigoni of the Hephthalites.

was a major a centre of the faith. he fought and in 710 29 Copyrights . to intervene. 630. he found Buddhism there in full decline. Manichaeism and other dualist faiths were represented.ISBN 978-92-3-103467-1 Contents The appearance of the Arabs this culture was still dominated by Buddhism. whose help had been called in by the alarmed Sogdian princes. He conquered Bukhara and Paykand in 706–9. the Sogdian city-states. Ziy¯ d crossed the Oxus and defeated the forces of the Bukh¯ r Khud¯ t. Civil warfare and an anti-caliph who set himself up in rivalry to the Umayyads held back Arab progress. sent fruitless embassies to Peking to induce the Chinese emperor. Watered by such rivers as the Zarafshan. with the followers of Mani finding a particularly favourable reception among the Uighurs in East Turkistan. The adventurous merchants of their cities carried on longdistance trade through Inner Eurasia. only then was it strategically wise for the Arab commanders to commit large bodies of troops for raids across the river. a a a a the local Sogdian ruler of Bukhara. but such vital crossing-points as Amul-i Shatt and a Tirmidh (Termez) were not secured until some time later. in the ascendant. the regions of Transoxania and Khwarazm were fertile. Jacobites and Melkites all represented in Transoxania and Khwarazm. There was a Christian bishop at Merv in 334 and probably one in Samarkand by the sixth century. the Arabs first crossed the Oxus in 653–4 during the caliphate of c Uthm¯ n (644–56). and Zoroastrianism. his vassals and he built mosques and introduced the practices of Islam into these cities. Christianity was also strong. governor of Khurasan and the a East from 705 to 715. under the first Umayyad caliph Muc awiya I (661–80). however. he repelled invasions in 707 and 712 by the Kaghan of the Eastern Türks. the a u rulers of Samarkand. Muslim al-B¯ hili. who first established a firm Arab hold in the lands beyond the Oxus. Hence ¯ it was not until 674. so that we know of the existence of Sogdian trading colonies as far east as northern China and Khwarazmian ones as far west as southern Russia. the Amu Darya ( Oxus) and the Syr Darya (Jaxartes) and their tributaries. with Nestorians. meanwhile. The appearance of the Arabs Having overthrown the Sasanian empire. who claimed a vague suzerainty over Central Asia. But Buddhist influence in Sogdia had been waning for some time and when the Chinese Buddhist pilgrim Hsüan-tsang arrived at Samarkand c. backed by the military and cultural prestige of the Sasanian empire. he made Tarkh¯ n and then Gh¯ rak. Balkh. that his general c Ubayd All¯ h b. Likewise. flourishing agricultural areas. It was the Arab general Qutayba b. and its famed monastery of Nawa Vihara (Arabized as Naw Bah¯ r). Buddhism was strong in Bactria. and neoMazdakites are mentioned also in Samarkand.

retreating westwards. Sayy¯ r al-Kin¯ n¯ (738–48). a and he penetrated into Ferghana again. was added the growing dissatisfaction of the Arabs themselves with Umayyad rule. After Qutayba’s recall and death in 715. Nasr b. Surayj. But his successes were negatived by the growing danger to Umayyad control in the eastern provinces of the caliphate. of their former possessions across the Oxus the Arabs held only Samarkand and Dabusiyya. Nasr b. stemming from the propagandist. who did not enjoy the same rights as the Arabs and were unable to acquire them even by adopting Islam. he conciliated the rebel in Bactria and Transoxania. G. missionary movement (dac wa) of Ab¯ Muslim al-Khur¯ s¯ n¯ and other prou aa ı c Abbasid leaders from among the Arab settlers in Khurasan. Part Two CENTRAL ASIA UNDER THE EARLY cABBASIDS (O. al-H¯ rith b. He alleviated the discontent of the local a a ı peoples who had converted to Islam but were still forced to pay the jizya (poll tax) to the Arab treasury. without however securing any significant foothold for Islam. the district of Bactria south of a ı the middle Oxus. That dissatisfaction shattered the unity which 30 Copyrights . The Arab and Muslim position was not re-established until the appointment to Khurasan of another governor of genius. killing the local shah and inflicting considerable damage on the fabric of local Khwarazmian culture. To the discontent of the subject population. In 728 the Kaghan of the Türgesh (Western Türks) inflicted a crushing defeat on Arab troops who had invaded Ferghana (the so-called ‘Day of Thirst’) and allied with the Sogdian princes. however. so that by that year.ISBN 978-92-3-103467-1 Contents c Abbasid revolution and its significance killed the Hephthalite leader Tarkh¯ n N¯zak in Tukharistan. Sayy¯ r was forced to a abandon the eastern provinces of the caliphate by 748 and. he was killed by the advancing c Abbasid army (see Part Two below). he campaigned in the middle Syr Darya lands. Arab fortunes suffered sharp reverses over the following two decades or so. Bolshakov) The course of the cAbbasid revolution and its significance In the 740s the Umayyad caliphate was in the throes of a deep internal crisis. and he twice invaded Khwarazm in 712.

The Umayyads managed to quell the uncoordinated rebellions of the Kharijites and Shic ites so long as the bulk of the Arab population remained aware of its common interests. In Khurasan a pre-existing enmity between two groupings of Arabs increased against the background of this political instability: the northern Arab tribal grouping of the Mudar (Tam¯m. however. but the gradual build-up of resentment at the actions of individual caliphs and their governors. embodied the divine grace inherited from Muhammad ı and transmitted from one divinely chosen head of the community. where all of these contradictions could be seen at their most acute. ushering in a period of internecine ı strife. they also opposed social disparities and the inherited power of the caliphs who. In the year 744 the caliph al-Wal¯d II was killed. who were joined by ı a the northern Arab group of Rab¯c a. the rivalry between individual tribes and the memories of old conflicts divided them into a multitude of hostile groups unrelated to either social or religious doctrines. Sayy¯ r. There were three caliphs in the space of seven months. The detonator of the explosion which destroyed the Umayyad caliphate was provided by Khurasan. after a hard struggle he was expelled from Iraq but found support in Iran. meaning the descendants of c Al¯. Although this old warrior was a skilled politician. in their belief. The various strands in the anti-Umayyad movements in Muslim society itself may be subsumed under two main groupings: the egalitarian Kharijites and the Shic ite charismatic tendency. Syria and Iraq. to the next. Muc awiya (the greata grandson of the Prophet’s cousin) as caliph. The governor of Khurasan at that time was Nasr b. This was an ancient rivalry involving an ever-growing ı number of grievances. partly because he himself had played a part in several armed conflicts in over half a century of activity. The caliph Marw¯ n II. The Kharijites fought to re-establish the original state of equality between members of the Muslim community. a the Layth. should be chosen by the community from among suitable candidates irrespective of their origins. All of these views were summarized in a slogan calling for a return to the Qur’an and the way of the Prophet. from the Mudar group. Provincial governors were unable to keep up with political changes and tried to take advantage of the situation. the Kharijite movement was everywhere on the increase. succeeded in pacifying the heart of the empire. he was unable to reconcile the opposing sides. they believed. Qays and Kin¯ na) and the southern Arab tribes (Yemenis).ISBN 978-92-3-103467-1 Contents c Abbasid revolution and its significance had secured their dominion over a vast territory almost twice as large as the Roman empire at the zenith of its power. who. wished hereditary power to be vested in the family of the Prophet. The Shic ites. the imam. a member of a small tribe. ¯ In Kufa the Shic ites swore an oath of allegiance to c Abd All¯ h b. who came to a power at the end of 744. In the summer of 744 31 Copyrights .

ISBN 978-92-3-103467-1 Contents c Abbasid revolution and its significance Nasr b. Judayc b. He was succeeded by his son Ibr¯ h¯m. the head of ı c Abbasid organization Ab¯ Salama al-Khall¯ l appeared in Khurasan. protected by 3. the descendants of the Prophet’s uncle c Abb¯ s. Many propagandists sent to Khurasan died. 32 Copyrights . Moreover. al-H¯ rith b. c Al¯ al-Kirm¯ ni. Great care was taken to ensure that this organization. the Merv oasis was pervaded by an atmosphere of armed conflict that the least spark could ignite into open war. Ab¯ Salama made a gift of him to the u imam. As Ibr¯ h¯m took a lika ı ing to the intelligent slave accompanying him. a to spread their propaganda. Nasr b. based in Kufa. Although Nasr did not pursue him. The Imam Muhammad died in 743 before that moment arrived. al-Hanafiyya bequeathed his secret a organization before his death to c Abb¯ s’s great-grandson Muhammad. as such a description of the imam corresponded to the expectations of the Shic ites. This anonymity widened potential support.000 loyal troops. awaiting a favourable moment. was kept secret: only the most trusted individuals met the imam. the Imam Muhammad restrained his supporters from premature action. but no one was able to betray the name of the imam as they did not know for whom they were canvassing support. when such meetings could not arouse suspicion. After spending four months in Khurasan. when the c Alid imam c Abd All¯ h b. Propaganda was conducted on behalf of an unnamed imam ‘from the Prophet’s family pleasing to Allah’. In the meantime. who a had been pardoned by the caliph. the situation in Khurasan had become even more involved and tense. making him his confidant and giving him the name c Abd a ı al-Rahm¯ n and the kunya (patronymic) of Ab¯ Muslim. In the spring of 745 the leader of the Kharijites of Khurasan. incarcerated a the leader of the southern Arab grouping. Ibr¯ h¯m freed the slave. usually in Mecca during the pilgrimage. Ab¯ Salama returned safely u to the imam with money that had been collected in the region. but the inflexible Kharijite responded that he required nothing and would support whoever promised to follow the Qur’an and the way of the Prophet. returned from the ‘land of the Turks’ with a detachment of battle-hardened troops. The c Abbasid movement had sprung up in the 720s. Sayy¯ r. Sayy¯ r attempted to win him over with rich gifts and a promises of high office. a ı At the height of the disturbances caused by the murder of al-Wal¯d II. He allegedly passed a on to him a ‘green scroll’ said to contain a secret meaning entrusted to c Al¯ by the Prophet ı together with the right to the imamate. Judayc managed to ı a escape from prison in the citadel of Merv and took refuge in the settlement of his tribe. Surayj. This situation was exploited by the c Abbasids. Muhammad b. In 745 Ab¯ Muslim arrived in a u u Khurasan and Merv as the imam’s plenipotentiary representative. with instructions the u a from the new imam. fearing that the internecine strife might spread to Khurasan.

Judayc was defeated. however. Judayc a decided to deal a final blow to Nasr. but a majority submitted without question to the order of the imam. al-H¯ rith was killed in a battle with Judayc . but Nasr lacked the forces to defeat his rival decisively. After establishing a firm hold in Merv. Instead of nipping the rebellion in the bud. Another tragedy developed there: the son of alH¯ rith killed Judayc al-Kirm¯ ni at Nasr’s instigation. The slaves. a ı The head of the c Abbasid organization in Merv.000 men with supı plies and clothing.ISBN 978-92-3-103467-1 Contents c Abbasid revolution and its significance Al-H¯ rith’s stance drew many supporters to him and he became a potent political force in a Merv. drew a great variety of malcontents and opposition groups to Ab¯ u Muslim: from Shic ites and Kharijites to local dihq¯ ns (landowners) and to slaves who had a been promised their freedom. the son of ı Judayc al-Kirm¯ n¯). but supporters of Nasr attacked him on the way and looted the baggage train. At the beginning of 746 the rivals returned to Merv. were dispatched to a special camp and not issued with arms. Shayb¯ n. On 25 Ramadan (9 June) 747. Sulaym¯ n b.000 men had assembled under the banners of Ab¯ Muslim. The Imam Ibr¯ him decided that u a the long-awaited moment had finally arrived (particularly since all of the caliph’s forces were engaged in crushing rebellions in Iraq and southern Iran) and ordered Ab¯ Muslim u to prepare a rising in the Merv oasis. At the end of April 747 he dispatched messages throughout Khurasan calling for the start of the rebellion. Kath¯r. Sayy¯ r did not at first realize which was the greater of the dangers facing a him. and together they managed to expel Nasr from Merv to Nishapur. gave Ab¯ Muslim a a ı u hostile reception. the inhabitants of Merv rebelled against c Al¯. and the u transfer of power to a caliph from the Prophet’s family who would follow the Qur’an and the way of the Prophet. al-H¯ rith attacked Nasr b. Sayy¯ r with the support of Judayc ala a Kirm¯ ni. By the time of the feast at the end of the Ramadan fast. two black banners (the colour of the c Abbasids) sent by the imam were raised in the settlement of Safizanj and the rebels clothed themselves in black. he continued his struggle against c Al¯ ı al-Kirm¯ n¯ and the new leader of the Kharijites. In a battle near Merv al-Rudh. who had appeared in Merv. Calls for the overthrow of the Umayyad tyrants. Judayc ’s son c Al¯ sent him a detachment of 1. Nasr b. At the end of March. This further exacerbated relationships a a between the northern and the southern Arab tribes (the latter were led by c Al¯. 4. Judayc had no other ı option but to seek a reconciliation with Nasr. The victors a immediately began to settle accounts with each other. On learning of this. The stalemate near Merv al-Rudh continued into the winter. and before a month had gone by. A a ı a small cavalry detachment which was dispatched against Ab¯ Muslim was defeated and its u 33 Copyrights . At that time Ab¯ Muslim was in western Khurasan.

His defeat seemed certain. u he blocked Nasr’s path to Nishapur. Nasr fled from Merv to Nishapur with a small escort and began to assemble his forces there. On 26 June 749 the Nihavand garrison surrendered after a four-months’ siege. Ab¯ Muslim rapidly seized the initiative. Nasr made a desperate appeal to the caliph. On his orders. intera cepted all his messages. a Finding himself in a hopeless situation. while his son besieged the army at Nihavand. threatening Qahtaba from the rear. Amul and Zamma. Talaqan and Nasa. He moved his forces up to u Merv and. Qahtaba routed u Shayb¯ n and then defeated a 2. awaiting Qahtaba’s attack. This call was well received. capturing a village. another of Ab¯ Muslim’s commanders.000-strong force under the son of Nasr b. proposing instead that he join the movement and promising to hand over its leadership. Qahtaba surrounded this force and defeated it one month later. Marw¯ n II. he managed to split Nasr and Shayb¯ n and to attract new supporters. Ibn Hubayra. It was only then that the caliph realized the danger threatening him. Abandoning his family to their fate. The governor of Iraq. a a The road to Nishapur was open and Nasr was obliged to retreat westwards to Simnan. Ibn Hubayra assembled some 53. Ibn Hubayra. Qahtaba remained in Rayy for five months. Nasr turned to the secu ı a ı tion of the Arab population that had not so far been involved in internecine strife. where it had crushed a rebellion led ¯ by c Abd All¯ h b. but by means of a diversionary 34 Copyrights . its a commander marched further north to Gurgan. But instead of blocking the road from Khurasan to Iraq. entered the town ı without any opposition on 14 or 15 February 748.000 troops and pitched camp at Jalula. Qahtaba and his main force defeated the Isfahan contingent. Shayb¯ n also refused to swear allegiance to Ab¯ Muslim and departed for Sarakhs. Muc awiya. Ab¯ Muslim enlisted the support of c Al¯ al-Kirm¯ n¯. But he did not attack Nasr. a u Ab¯ Muslim dispatched the army of Qahtaba b. Ab¯ D¯ w¯ d. Ab¯ Muslim now decided to attack. who neutralized Nasr’s efforts u by demonstrating his piety in every possible way. took control of Balkh and u u a u the whole of Tukharistan after several battles.ISBN 978-92-3-103467-1 Contents c Abbasid revolution and its significance commander taken prisoner. Sayy¯ r near Tus. slaves and the Arab rabble. But Nasr still did not attack Ab¯ Muslim. Humayd against them. Nasr fled further west and died in Sava as Qahtaba entered Rayy. an army from Syria advanced through northern Kurdistan (Shahrazur). Nasr was joined by Shayb¯ n and there were desertions from Ab¯ a u Muslim’s camp. When Nasr rejected this proposal. at the same time. a Syrian army was summoned from southern Persia. appealing to them to defend Islam and the Arabs against heathens. At the same time. In the spring of 749 Qahtaba’s path was blocked by large forces of the Syrian army which had been stationed in Isfahan and Nihavand. for help but the governor of Iraq. who was hostile to Nasr. and his emissaries stirred up rebellion in Merv alRudh. used this time to assemble troops. As a result. after waiting until a battle had begun between Nasr and c Al¯.

with the title ala a a S¯ ff¯ h) arrived secretly in Kufa with a group of relatives and an escort. Marw¯ n was utterly defeated. which it entered the situation.Abu ’l-c Abb¯ s c Abd All¯ h. and even the dead did not escape punishment: the remains of almost all of them were disinterred. When all those who had put themselves forward as claimants refused to take power. and the imam’s arrival became known to some of the people from Khurasan. in spite of the fact that Qahtaba was killed in a chance skirmish. All the men of the family unlucky enough to fall into the victors’ hands were killed. leaving the army without its talented commander. In his first speech he promised to establish peace and justice and.ISBN 978-92-3-103467-1 Contents c Abbasid revolution and its significance movement he succeeded in luring Ibn Hubayra out of the fortified encampment and placing him in an unfavourable position. as a first indication of the advent of a new era. Abu ’l-c Abb¯ s (who was later proclaimed caliph. The universal prosperity which had been expected did not materialize. The Umayyads’ only consolation was that they had discovered the name of the c Abbasid imam and were able to arrest him. he increased the troops’ pay. Ibr¯ h¯m was killed on the order of the caliph. The Shic ites and Kharijites soon realized that their slogans had been exploited by the c Abbasids to conceal their true aims. intending to come to an agreement with one of the c Alids and pass on to them the fruits of victory. The on 29 August 749. For six weeks Ab¯ a a u Salama concealed the imam’s abode. but had managed to pass a ı on the message that in the event of his death the imamate would pass to his brother. and the promised justice and reconciliation within the community took the form of repression and executions. Marw¯ n eventually reached a Upper Egypt. The establishment of c Abbasid rule disappointed many of those who had participated in the movement which had brought them to power. But the Imam Ibr¯ him’s arrest came too late to change a c Abbasid army was unstoppable in its advance on Kufa. The new rulers were especially harsh in dealing with the Umayyads. Ibn Hubayra was thus unable to organize any resistance to the c Abbasid army on its advance to Kufa. Ab¯ Salama organized a ceremony at which allegiance was u sworn to the new caliph on 28 November 749. In a decisive battle on the banks of the Greater Zab. where he was killed at Busir (July–August 750). He retreated to Syria but found no support a there either. assuming a personal command of a large force which went to meet it. 35 Copyrights . Marw¯ n II made one further attempt to halt the advance of the c Abbasid army. Continuing to retreat before the c Abbasid army.

fought his way with difficulty through the mass of fugitives. His son turned to the Arabs for assistance. Ziy¯ d b. a rebellion was mounted by the Shic ite Shar¯k (or Shurayk) b. In response. The Arab army advanced to Talas or Taraz (modern Jambul) where it was besieged. the commander-in-chief of the Western Regions. Tashkent). having been called to the assistance of the Ikhshid of Ferghana against the ruler of Chach (later.000 men. who had been recent allies in the struggle against the Umayyads. He was supported by some 30. at a word from Abu ’l-c Abb¯ s. In July 751 it encountered a Chinese army of 30. S¯ lih to him while he himself established his base u a a in Samarkand. At the same time.ISBN 978-92-3-103467-1 Contents Aftermath of the c Abbasid revolution . and the Bukharan dihq¯ ns. Sayy¯ r. was subjugating minor principalities in the Pamirs and the upper reaches of the Indus. Some. a a became faithful supporters of the new dynasty which had promised to give them equal rights with the Arabs if they accepted Islam. The ruler of Chach was taken prisoner. could not have dealt with the rebels without the aid of the local ruler. but on receiving reinforcements from Ab¯ Muslim. among whom were 36 Copyrights . The aftermath of the cAbbasid revolution and the fall ¯ of Abu Muslim After the victors’ enemies came the turn of their comrades-in-arms: those who had shown disrespect at some time or who simply proved embarrassing by virtue of the fact that the new rulers were indebted to them for their accession to power. The first casualties were c Al¯ ı al-Kirm¯ n¯ and his sons. sent to the imperial court and executed. like the Bukh¯ r Khud¯ t. S¯ lih. Kath¯r also met a violent end. the Chinese force was annihilated and its commander. Chinese forces seized and destroyed the town a of Suyab. others exploited the internecine strife in the Arab camp to restore their independence. The Arabs found themselves in possession of a substantial booty and a large number of prisoners. Two years later he appeared in the eastern part of Transoxania. In the spring of 751 in Bukhara. . went over to active operau tions. an assassin was dispatched to deal a ı a with Ab¯ Salama. the headquarters of the Kaghan of the ‘yellow’ Türgesh. responded by organizing uprisings. who declared that he had not followed the family of Muhammad in order to shed blood and break the law. u a ı The Shic ites. The outcome of the battle was decided by the rising of the Karluk in the rear of Kao-hsien-chih. In 748. whose policy towards the West was active in those years. Sulaym¯ n b. Ab¯ Muslim sent Ziy¯ d b. who was a a sent to crush the uprising. ı Shaykh. surrounded by bodyguards. . These were assisted by the intervention of the Chinese. Ab¯ Muslim began u to take reprisals against them immediately after his victory. a a a The position of the local Iranian nobility was ambiguous. one of the strongholds of Arab power in Transoxania. Kao-hsien-chih. Attacked on two sides.000 men. the Bukh¯ r Khud¯ t. when Ab¯ Musu lim’s forces were pursuing Nasr b.

The caliph instigated a rising by Ziy¯ d b. Ibr¯ him. where he defeated and killed its ruler. while the u governor of Balkh. the incarnation of a divine emanation and its possible transfer by inheritance. invaded Khuttal (whose ruler fled to Ferghana and a a thence to China) and then marched north to Kish. religious conviction and ethnic attachment.000 dirhams each. when Ab¯ Jac far al-Mans¯ r became caliph u u u on the death of Abu ’l-c Abb¯ s al-Saff¯ h and fate willed that Ab¯ Muslim should again a a u demonstrate his loyalty by crushing a revolt organized by the uncle of the new caliph. as the c Abbasids referred to Ab¯ Muslim. The reaction of the population of Khurasan to the murder of Ab¯ Muslim demonstrated u the complex nature of the movement that he had led. The weavers were sent to the caliph’s textile workshops in Kufa. the caliph ordered him to be killed. Ab¯ Muslim became the absolute ruler of Khurasan and Transoxania. there a is already an idea foreign to the original ethos of Islam. . they infused it with the ideas that were dominant in their native environment. having at his disu posal a loyal army such as not even the caliph controlled. After 70 days. In the doctrines of the radical Shic ites (ghul¯ t) concerning the imamate. AlMans¯ r ordered the surrender of the booty acquired in the course of the operation and when u Ab¯ Muslim arrived to seek an explanation. He had become a danger. reverence for the imam came to resemble the worship of a human being as a god. Vexed by this failure. There was a different reaction in Khurasan. presented itself in the year 754. however. Originating in Arab-Muslim circles.ISBN 978-92-3-103467-1 Contents Aftermath of the c Abbasid revolution . but a majority of commanders remained loyal to Ab¯ Muslim. skilled silk-weavers and paper-makers. determined to kill Ab¯ Muslim at his next audience. At the same time.e. u u An opportunity to dispose of the ‘custodian of the dynasty’. The rebellion encompassed all of northa u ern Persia from Nishapur to Rayy. while the paper-makers remained in Samarkand to establish a paper-making industry which subsequently played a major role in the development of book production in the Muslim world. Whether they had accepted Islam superficially or through inner conviction. who had become the governor of Bukhara and a a Sogdiana. In some sectarian groups. something which is 37 Copyrights . The Zoroastrian Sunb¯ dh rose to avenge Ab¯ Muslim’s death. a circumstance which indicates that the rebellion was a popular one and not simply an army revolt. the a caliph’s brother. Ab¯ Muslim subdued Sogdiana by fire and the sword. Ziy¯ d fled but u a died at the hands of a dihq¯ n with whom he had sought shelter. it was brutally repressed and women and children were killed as well as men. i. Kh¯ lid b. Such large forces had to be employed in crushing it that the customary summer campaign against Byzantium in Anatolia was not conducted that year. u The troops accompanying Ab¯ Muslim accepted the news of his execution after receivu ing 1. it had won the support of substantial numbers of people of differing social status. Ab¯ Jac far. . S¯ lih.

described himself as a follower of Zoroaster. after them. On all the evidence. This could mean the incarnation not just of the divine spirit but of the spirit of any revered individual. who had punished a group of Shic ites for trying to enlist support for the a descendants of c Al¯. as we have seen. together u with his successor Kh¯ lid b. Thus the idea of the imamate became separated from its essential ingredient: the inheritance of the right to rule the Muslim community within the family of c Al¯. who would soon appear to the world and establish justice. . a a ı a c Abd al-Jabb¯ r. disagreeing u only on the identity of Ab¯ Muslim’s successor. who had organized a a revolt at roughly the same time. Peru sian. he ordered their dispersal and. Some refused to accept his death and u awaited his return (the sect of the Ab¯ Muslimiyya). does not inspire confidence in this identification. a neo-Mazdakite sect whose distinctive feature was white clothes (or ı a a a white banner) as a symbol of purity or else in opposition to the colour black espoused by the c Abbasids. Ab¯ Muslim was an orthodox Muslim (or at least appeared so u to his entourage) but. Ab¯ Muslim ı u also became the object of this type of worship. who worshipped Abu ’la c Abb¯ s. saf¯d-j¯ mag¯ n). Such behaviour aı so discredited the caliph in the eyes of orthodox Muslims that when members of the sect surrounded his palace at Qasr Ibn Hubayra in Iraq in order to worship him. their slaughter. a considered that Ab¯ Muslim had become the imam after his death. himself raised a revolt one year later and formed an alliance with the ı ‘wearers of white’. Is’h¯ q the Turk. and this encouraged the appearance u of leaders of popular movements following Ab¯ Muslim. al-mubayyida. In 757 Ab¯ Muslim’s commander. The Riz¯ miyya. Such ideas were often combined with a belief in the transmigration of souls. . The next governor. were killed by followers of Is’h¯ q. Their doctrine contained a call for equality of social status and property within the community and also a belief in reincarnation. the first person who sought to avenge him was a Zoroastrian priest. Ibr¯ h¯m. who were led by Bar¯ z-banda. the fact that medieval authors lumped a number of beliefs and groups together under the title of al-mubayyida on the basis of their external appearance. a 38 Copyrights . However. Another member of his movement. have linked the name of Ab¯ Muslim with the movement of the ‘wearers of white’ (Arabic. u Certainly. Thus the R¯ wandiyya (to which Ab¯ Muslim is a u thought to have belonged) were so convinced of the divinity of al-Mans¯ r that the commanu der of his guard appeared to them to be the Archangel Jibr¯ ’¯l (Gabriel). in the event of resistance.ISBN 978-92-3-103467-1 Contents Aftermath of the c Abbasid revolution . u Some medieval sources and. there is no convincing evidence of their link with the Ab¯ Muslimiyya. some modern researchers. without having any idea as to the content of their doctrine. fundamentally incompatible with Islam. as we shall attempt to demonstrate below.

this seemed the only possible explanation for the order allegedly given to Ab¯ Muslim by the Imam Ibr¯ him to kill u a all the Arabs there. weakened their position through constant internecine strife and were supplanted by the Karluk. on whose assistance many local rulers of Transoxania counted. c Abbasid power was consolidated in Khurasan and Transoxania to such an extent that Arab troops (from Ferghana?) are stated in the Chinese sources to have helped to crush a rebellion in China during those years (757–8). managing their small domains in a patriarchal manner. which the Transoxanian landowners lacked. the ‘Persians’ slaughtered the Arabs like lambs. The defeat of the Chinese. a obliged the leading dihq¯ ns to seek a reconciliation with the new dynasty and to become a its loyal vassals. (There is no evidence that this order was in fact given. According to a Christian historian of the end of the eighth century. Arabs continued to occupy high posts in the army. From the earliest years of Abu ’l-c Abb¯ s’s reign. as enemies. whereas Iranians or Tajiks gained the upper hand in the civil administration. as we have seen. and the harsh reprisals carried out against unruly dihq¯ ns. The Türgesh. In the first place. many leading positions in the government structure were already occupied by people from Khurasan by right of precedence as ‘sons of the c Abbasid revolution’ and also because of their experience of work in a bureaucracy. the most important a 39 Copyrights . it meant an erosion of the Arabs’ dominant social position and the introduction of equal political rights for all Muslims. such as Transoxania.ISBN 978-92-3-103467-1 Contents The consolidation of c Abbasid power The consolidation of cAbbasid power In spite of isolated rebellions and revolts. The advent of a the c Abbasids was more than the replacement of one dynasty by another: it brought about major alterations in the social and military structure of the caliphate. who provided support for the Umayyads. the army from Khurasan treated the local Arabs. In Transoxania. The change in the situation was reflected in different ways in those regions which had been a part of the caliphate for a century and in those which had only recently been incorporated into it. much of the local nobility and many local officials had already adopted Islam and had been absorbed into the new state prior to the accession of the c Abbasids. They immediately provided support for the new dynasty. who tried to win Transoxania from the Arabs for nearly twenty years. the first response to the overthrow of the Umayyads was the restoration of independence. By this time.) All that can be said is that in Syria and Jazira (Upper Mesopotamia). who in 766 seized control of the Türgesh pasturelands in Semirechye. One of the most important factors in the stabilization of the situation in Transoxania was the new attitude of the local dihq¯ ns towards the Muslim authorities. Some Iranians were even convinced that the c Abbasids intended to eradicate the Arabs in Khurasan. In Iran. Arab and non-Arab alike.

000-strong army of al-Mans¯ r which lodged in u the city contained detachments from every part of Iran and. The builders of Baghdad. although the collection of taxes 40 Copyrights . from Khurasan. Barmak. the Irano-Islamic class of secretaries (Arabic. AlMans¯ r (754–75) inspected several sites. was mixed with Arabs from Kufa. was headed by ı a a Kh¯ lid b. The local population. before settling on the little village u of Baghdad on the western bank of the Tigris 30 km upstream from the former Sasanian capital of Ctesiphon. The cadasters were reviewed and taxation was increased in a number of areas of the Near East. The choice of site for the new capital was an indication of the c Abbasids’ break with the Umayyad tradition of looking towards Syria and the culture of the Mediterranean. kutt¯ b. With the evolution of the post of vizier under the caliphate. was formed which considered itself as the main support of a ıa the state. in effect. represented all the countries of the Near East. were laid in the year 762. that similar measures were adopted in Khurasan and Transoxania during the initial period of c Abbasid rule. have been an indigenous development within the Arab ministerial tradition. the first vizier in the history of the caliphate. all in Iraq. which received the official appellation of Mad¯nat al-Sal¯ m (City of Peace). Their knowledge of the complex system of the khar¯ j (land tax). some of whom remained in the city after it was built. A new Muslim culture gradually took shape in this ethnic cauldron. the d¯w¯ n al-khar¯ j (concerned with taxation and land tenure). Some districts which were called after different areas of Transoxania accommodated troops from those areas. and offices sprang up for various departments with extensive staffs of officials who engaged in correspondence with the provinces and prepared estimates and accounts. the son of the former chief priest of a Buddhist temple in Balkh. thereafter solidifying in different language traditions. which took a account not only of the quality of the land but of the produce of the crops sown.ISBN 978-92-3-103467-1 Contents The consolidation of c Abbasid power department. on the other a a hand. When compared with the luxury with which the c Abbasids and their large retinue surrounded themselves. Persian dab¯r¯ n). He also a became. There are no indications. The finance department diligently sought means of increasing the income from taxes. in particular. genuine state budgets began to be drawn up for the first time. This high administrative post was possibly influenced by the Sasanian administrative tradition and may have constituted a revival of the institution of the vizier (buzurg farm¯ nd¯ r) or it may. the way of life of the Umayyads seemed almost ascetic. Basra and Wasit. however. Baghdad at ı a once became an international city. the expenditure of the caliph’s court was equivalent to the entire tax revenue from a large region. The foundations of the new residence. who spoke Aramaic and some Persian. An influential stratum of officialdom. The 30. made the officials of the d¯w¯ n al-khar¯ j the guardians of knowledge which was inaccessible to the ı a a uninitiated and was passed on by inheritance.

Additional requisitions could be added to those amounts at the request of the authorities. The Islamic world had changed in a single generation. unfamiliar and unstable. everything was now new. al-Muqannac found himself in a Baghdad prison. Jesus. Political. Hak¯m. H¯ shim then a moved to the region. where there was much discontent. This policy created a divided society. where Buddhist temples had stood in the recent past. who came from a ı a family connected with Ab¯ Muslim’s movement. and the doctrine of transmigration may well have found a response also in the southern regions of Transoxania. He himself had taken part in the rebelu c Abd al-Jabb¯ r supporting the view of Ab¯ Muslim as the imam. not between Arabs and non-Arabs as before but between Muslims and non-Muslims. nicknamed al-Muqannac (The Veiled One). His fellow countrymen reacted with the usual scepticism to such revelations u from someone who was well known to them. however. in Transoxania. which 41 Copyrights . reaching a village near Merv. the levying of individual taxation being the duty of the local landowners. and the extent of the commercial duties levied on Muslim traders and craftsmen was restricted. Payment of the fraction which could not be collected from them was imposed on non-Muslims. In most regions of Khurasan and Transoxania. The presence of a colony of Manichaeans in Samarkand may have provided a breeding-ground for neo-Mazdakite ideas. There he began to preach that he thenceforth embodied the divine spirit which had been incarnate in Abraham. refusing to take him seriously. Al-Muqannac found more receptive ears for his propaganda. establishing himself in an inaccessible mountain fortress somewhere in the upper reaches of the Kashka Darya. Muhammad and Ab¯ Muslim. Another reason for the new wave of tension was the rupture of the stereotype of social thinking that had maintained the stability of social relations. the amount of taxation for districts was determined by agreements which specified only the overall amount of the tribute.ISBN 978-92-3-103467-1 Contents Dissent in the early c Abbasid period must have given rise to problems. As more inhabitants of an area adopted Islam. from which he escaped to his homeland. By the spring of 776 the agitators dispatched by al-Muqannac to spread the word had raised a rebellion in the region of Kish (modern Kitab and Shahr-i Sabz). Al-Muqannac had supporters in Samarkand. for the reasons indicated above. social and sectarian dissent in the early c Abbasid period This dissent was early and most clearly demonstrated in the four-year peasant war conducted by H¯ shim b. The seeds of popular rebellions with the most extreme slogans were easily sown in such a situation. After the rebellion lion of a u was defeated. the potential for the collection of the jizya was reduced. At that time the ‘wearers of white’ had seized two small towns in the Bukhara oasis.

Muslim historians always recall that al-Muqannac declared himself to be an incarnation of the divinity but they never mention the social aspects of his teachings. The effectiveness of action by the government forces was hampered by rivalry between the governor and the commander of the army. in the year 777 they occupied the entire valley of the Kashka Darya with the exception of a few towns. He tried to storm the latter’s fortress but was beaten off. the victors cut off the head and sent it to the caliph. Only when the defenders had thrown themselves upon his mercy was al-Harash¯ able to proceed to a siege ı of the fortress. manage. It was anti-Islamic in tendency. which he succeeded in occupying. and then moved on to Samarkand. who had been sent by the caliph al-Mahd¯ (755-85) aı a ı to crush the rebellion. and when he saw that the position was hopeless. In order to preserve the image of a prophet who had risen to heaven. Muslim. This may explain why. By the end of the year the rebels had been pushed back to the region of Kish. which was defended by the brother of al-Muqannac . Mu ı left to deal with al-Muqannac alone. who did not appreciate ı c adh eventually retired from the fray and al-Harash¯ was the governor’s interference. They ascribe to him the abolition of property and the introduction of promiscuity. This partial success did not basically alter the position of the rebels.ISBN 978-92-3-103467-1 Contents Dissent in the early c Abbasid period also joined the rebels. the supporters of al-Muqannac defending the lower part of the fortress entered into negotiations with al-Harash¯. spent four months trying unsuccessfully to deal with the ‘wearers of white’. al-Harash¯. He then threw all his forces against Nevaket (the site of Kamay-tepe 40 km southwest of Shahr-i Sabz). Muc adh b. bringing together all of the forces in Transoxania that were discontented with the new dynasty in a final attempt to remove it and return to the old way of life. surrendered it and were pardoned. al-Muqannac ordered those who remained alive to burn his body. in the spring of 778. The rejection of al-Muqannac ’s ideas by most of the towns confirms the hypothesis 42 Copyrights . The governor of Khurasan was unable to be of much assistance to the local authorities as he was occupied in crushing the revolt of Y¯ suf al-Barm in Fushanj. extending their power southwards to Termez. Only after the u latter was defeated did the new governor. committed suicide. but they did not do this properly: on discovering the charred remains. Jibr¯ ’¯l b. out of eleven names of supporters of al-Muqannac . Exhausted by the lengthy siege. His a movement was obviously not aimed at the landowning classes. but there is no information on the division of the property of the rich or the persecution of the dihq¯ ns. to reach Transoxania with a large army. Yahy¯ . which dragged on for nearly a year. but the onset of winter brought military operations to a halt. after first poisoning his wife and killing his favourite slave. only two were Muslim names. Al-Muqannac remained in the citadel ı with his immediate retinue. where they inflicted a significant defeat on government forces and occupied Samarkand with the support of the Turkish Karluk.

Small towns where the dihq¯ ns a a had lived were. Possibly al-Mahd¯ demanded after ı the revolt that the rulers of those regions accept his authority. his descendants became common landowners. As early as 760 the Ikhsh¯d defeat of al-Muqanna a ı of Sogdiana had stopped minting his own money. four-year war had a harmful effect on the economic situation in Transoxania. Minor dihq¯ ns became ordinary subjects. This is probably one reason why debased silver dirhams associated with the names of the governors Musayyab b. In the year 791 the Uighurs defeated the Karluk near Beshbalïk. By that time it was either Arabic that was most widely used there or else the New Persian language brought by the Iranians. who had already become Muslim and been integrated into the new state system. it remained a language of local usage only. but the areas beyond the river were cut off from the caliphate by a revolt and the Karluk invaded the region of Samarkand. ı ı c At¯ ’ (Ghitr¯f¯) started to be minted in Transoxania (see below. a In the towns that had been city-states headed by dihq¯ ns. The fierce. an area under the sway of the Karluk. whose control extended as far as Kashghar at that time. c At¯ ’ seized the opportunity to send troops to expel the Karluk from ı a 43 Copyrights . with the loss of the latter’s political role. which had changed hands three times. since it is difficult to believe that the king of Tibet declared his obedience to the caliph as the Arab author asserts. Major changes had taken place in the country in the thirty years between the revolt of Ab¯ Muslim and the u c . whereas tradesmen and craftsmen gathered in the large towns to be near the wealthy customers who received salaries from the new authorities. and Ghitr¯f b. al-Mahd¯ ı sent troops to Ferghana. The use of Sogdian was becoming an anachronism. Chapter 20). After the execution of the Bukh¯ r Khud¯ t for a a a his support of the ‘wearers of white’. must have suffered no less than during its worst period in the 730s.ISBN 978-92-3-103467-1 Contents Dissent in the early c Abbasid period that the bulk of the rebels were peasants and inhabitants of remote mountain regions in the upper reaches of the Kashka Darya where the old beliefs still persisted. pride of place was occupied a by the Muslim military-administrative élite which bought up the land and palaces of the dihq¯ ns. Samarkand. of no use in Baghdad to those who hoped to make a name for themselves at the court of the caliph. But that account is suspect. The Ikhsh¯d of Sogdiana disappeared from the historical stage. transformed into villages. whereas the Bukh¯ r a ı a Khud¯ t retained some semblance of power. The suppression of the rebellion of al-Muqannac enabled the c Abbasids to start extending their dominion beyond the Syr Darya. this process can be quite clearly traced in Bukhara. however. Its defeat signified the definitive triumph of Islam. Zuhayr (Musayyab¯) and Ghitr¯f b. at roughly the same time as the Bukh¯ r a Khud¯ t. a ıı The rebellion of al-Muqannac marked a clear divide between two periods in the history of Transoxania. At the beginning of his reign. The dihq¯ ns had lost political power.

The complaints sent to H¯ r¯ n al-Rash¯d (786–809) remained unanswered. in order to be able to 44 Copyrights . Fadl b. R¯ f¯c a aı decided to marry a married woman illegally. Sayy¯ r. M¯ h¯ n. Zaranj. c ¯ a managed to defeat and kill Abu ’l-H¯ sib Wuhayb. it involved no more than a romantic scandal. At first. remained in the hands of the caliph’s governor: the rest of the region was in the hands of the Kharijites. At the same time (in 799) Abu ’l-H¯ sib Wuhayb b. Rebellions broke out in the regions under the authority of c AI¯ b. c ¯ a who was sent to deal with him was defeated. himself an Iranian. Fadl b.ISBN 978-92-3-103467-1 Contents Dissent in the early c Abbasid period Ferghana. who had seized extra shares of water in the Merv oasis in order to water their fields. A part of this militia was sent to serve in Baghdad. Other attempts to suppress the ı Is¯ rebellion also proved unsuccessful. and returned to Sistan. Yahy¯ alı a Barmak¯ attempted to open the ruler’s eyes to c Al¯’s abuses. secured from the Afshin (local a ı ruler) of Ferghana recognition of his status as a vassal of the caliph. Hamza b. which continued until the a year 830. c Al¯ b. c ¯ a in response to his abuses. allegedly the aı grandson of Nasr b. It was led by R¯ f¯c b. who mercilessly looted the country entrusted ı Is¯ a a to his care. In 797 in Sistan ı Is¯ ¯ there was a revolt of the Kharijites led by a local landowner. seizing a great deal of booty. managed to find a coma mon language with the local dihq¯ ns and raised a large militia during his governorship a which he called the c Abbasid militia. of building a wall around the entire Bukhara oasis. who traced his origins back to the legendary Iranian King Tahm¯ sp. c Is¯ . Fadl b. and a he eliminated misuse of water by the élite. The rebels took possession of a considerable area of Khurasan and even reached Merv. c Abd All¯ h raised a revolt in a a Nasa (near present-day Ashgabat). Chapter 2). An even more ı Is¯ a dangerous rebellion occurred in the year 805. Sulaym¯ n’s governorship also witnessed the start of the work. Adharak or c Abd All¯ h. was arrested. c Is¯ was located. who replaced him. as au ı ¯a the caliph’s closest counsellors ha d been bribed with gifts from c Al¯ b. but the caliph was blinded ı ı by the richness of the gifts that he received from the governor. His forces carried out a raid. Sulaym¯ n al-T¯ s¯ (783–7) lowered the a uı level of the khar¯ j. Fadl b. who did not recognize the authority of the caliph and therefore paid him no taxes (see below. which had been raised under the previous governor al-Musayyab. At the same time he sent troops against the Kabul Shah. c ¯ a b. The use of water in other areas was also regulated. where the residence of c Al¯ b. al-Layth. The son of a a c Al¯ b. Yahy¯ al-Barmak¯. It was not ı ¯a until 802 that c Al¯ b. fled and. Al-Muqannac’ s rebellion obliged the governors of Khurasan to introduce order in the spheres of tax assessment and water use. Only the capital of Sistan. Yahy¯ . This period of relative well-being for Khurasan came to an end with the arrival of the new caliphal governor.

His residence in Merv further strengthened his close relationship with the area. thus establishing the Samanid dynasty in Transoxania. ¯ a au ı ı Is¯ and dispatched a new governor. and therefore close to the Iranian élite which was in control of the administration and the army. who were a incensed by c Al¯’s oppression. Chach and Herat. The empire of the c Abbasids. but died in Tus on the way to Merv in 809. and an eastern half whose governor was his brother ı al-Ma’m¯ n. willingly supported him.ISBN 978-92-3-103467-1 Contents ¯ Stability under al-Ma’mun marry. H¯ r¯ n al-Rash¯d eventually came to accept the complaints levelled against c Al¯ b. with its diverse ethnic and religious composition. Under the rule of al-Ma’m¯ n (in 813 the forces of al-Ma’m¯ n overthrew and killed u u al-Amin. Having aı witnessed the failure of all attempts to put down the rebellion. he was succeeded by his son and the Tahirid governors controlled the region for some fifty years. Al-Ma’m¯ n was the son of H¯ r¯ n al-Rash¯d by an Iranian u au ı slave girl. Among them were four brothers of the Samanid family from the region of Balkh who. The townspeople. The achievement of a degree of stability under ¯ al-Ma’mun On H¯ r¯ n al-Rash¯d’s death. the gradual decentralu ization of the caliphate began. were rewarded for their loyal service to al-Ma’m¯ n (by then. thanks to a huge army whose maintenance Members of armed young fraternities among the townspeople. Thus in 821 T¯ hir b. The latter adopted the simplest solution. the caliphate was divided de facto into a western half. ten years later. found in several cities of the eastern Iranian lands and regions as far west as Syria at this and in subsequent periods (see below. R¯ f¯ aı khar¯ j. caliph: 813–33) by being awarded lifelong control of what were u to become the appanages of Ferghana. a leading their own military detachments. Many landowners from Khurasan took part in the suppression of the rebellion. who arrested him and launched a war against R¯ f¯c . al-Husayn was appointed governor of all Persia. On receiving a pardon and having been appointed governor aı c surrendered and the rebellion petered out after the reduction in the of Transoxania. Chapter 18) 1 45 Copyrights . a On his death. It was to members of the Khurasanian élite that he entrusted the administration of extensive provinces. the caliph decided to lead the struggle against it in person. but al-Ma’m¯ n remained in Merv for a further five years). lowering the khar¯ j by one-quarter u a and opening talks with R¯ f¯c . The people ı of Samarkand were supported by all of Transoxania. maintained its unity primarily by force of arms. raised a rebellion among the c ayy¯ rs1 of Samarkand. With their assistance he defeated ı the forces under the command of c Al¯’s son which had been sent against him. ruled au ı over by the caliph al-Am¯n (809–13).

Under the c Abbasids. The formation of the new Iranian-Muslim culture had. mam¯ l¯k. the all-Arab forces which had directly established the authority of the conquering people were replaced by a professional army and by the militia of the Persian dihq¯ ns supporting the dynasty who gradually a supplanted the Arab tribal levies. This force was a guard of professional slave soldiers (ghilm¯ n. but they served the state machine rather than the caliph). 46 Copyrights .000 Turkish ghilm¯ n. Surrounded by the ghilm¯ n. but it was only at the end of al-Ma’m¯ n’s rule that they became the nucleus of the caliph’s army. some negative effects. maml¯ k). later a a caliphs eventually became playthings in the hands of their own slaves. however. plurals of ghul¯ m. in the visual arts. increasing commercial and cultural exchange. thereafter recruited only for major campaigns. The incorporation of Khurasan and Transoxania into the caliphate assisted their integration into the wider Islamic world. In the area of written culture a considerable proportion of the literary heritage in Middle Persian. Lacking the support of any ethnic or social group (only the senior officials were genuinely loyal to the empire. The intensive development of the Transoxanian towns and the growth of their populations from the end of the eighth century onwards was a consequence of this.ISBN 978-92-3-103467-1 Contents ¯ Stability under al-Ma’mun absorbed the greater part of the budget. a rich tradition of monumental painting. Slaves had a aı a u been employed as bodyguards even under the first caliphs. when his successor u al-Muc tasim (833–42) purchased 3. the caliphs were obliged to look for an armed force which would release them from reliance on overly independent military commanders or the forces from Khurasan. Khwarazmian and Sogdian was lost as was.

. 47 Copyrights . . . . . . had in practice acquired an aı inferior socio-economic and racial status compared to Arab Muslims. . KHURASAN AND TRANSOXANIA DURING UMAYYAD AND EARLY cABBASID TIMES* F. . during the earliest centuries of Islam when the Islamic empire was really an ‘Arab kingdom’. . . . . . . . . . . . a a Heterodox Muslim and neo-Mazdakite movements: al-Muqannac . . . . . though the maw¯ l¯ aı themselves fared better than the empire’s non-Muslim subjects. . . . . . . . .ISBN 978-92-3-103467-1 Contents SECTARIAN AND NATIONAL MOVEMENTS 2 SECTARIAN AND NATIONAL MOVEMENTS IN IRAN. . . . . 48 51 53 57 63 The protest movements touched upon above in Chapter 1 (Part Two) will now be considered in greater detail. the Zayd¯s and the Ismac ilis . B¯ bak. . . the Iranians. . . . . Islam heralded a new social order. The maw¯ l¯. . . . . Central Asians and other non-Arab peoples who had converted to Islam in growing numbers as maw¯ l¯. the ahl al-dhimma (‘people of the book’). However. . . . . . often similar to the jizya (poll aı * See Map 1. . . and others a The later development of Shic ism: the Twelvers. . . Currents of Shic ism: the Kays¯ niyya and the H¯ shimiyya . paid special taxes. . . . under whose banner all believers belonging to different races or classes would theoretically enjoy equality. . . or ‘clients’ of an Arab lord or clan. . . . for instance. . . . . ı The beginnings of the disintegration of the c Abbasid caliphate in the east . . Daftary Contents The Kharijite movement . . . .

the superficially Islamized peoples of the Iranian lands – especially in the remote eastern provinces of Khurasan and Transoxania (called by the early Arab geographers and historians. designated generically as the Khurramiyya. a taxes which were never paid by the Arab Muslims. M¯ w¯ r¯ ’ al-nahr. frequently supported by the peasantry. Iranian ‘national’ sentiment (if this rather modern concept may be applied in a medieval Islamic context) found more successful channels of expression in the activities of certain dynasties. All the major branches of the Shic ites. Im¯ miyya. while these Khurram¯ groups basically remained anti-Arab and antiı Muslim. persisted until the early c Abbasid and later times in Central Asia. which had itself originated as an Arab party opposed to the established caliphate. were specific to Transoxania. The activities of many of these insurrectional groups. Different religio-political currents of thought and sectarian movements. a a had acquired communities of followers by the ninth century in different parts of the Iranian lands. when the c Abbasids began to lose their firm central control over the outlying lands of the caliphate. Khurasan and other regions of the Iranian lands. rooted in Zoroastrianism. often leading to popular insurrections.ISBN 978-92-3-103467-1 Contents The Kharijite movement tax) and the khar¯ j (land tax) levied on the Zoroastrians and other non-Muslim subjects. engaging in armed revolts. From the second half of the ninth century. They all expressed opposition to the established caliphate. Mazdakism and other Iranian traditions. The Kharijite movement It was under such circumstances that Kharijism found some early following in Iran. Other sectarian groups. were also rooted in specific socio-economic grievances of the villagers and the smallholders against the dihq¯ ns (large landowners) who had assimilated themselves a more readily into the new Arabo-Islamic system. More importantly. or ‘the land beyond the river [ Oxus]’). while many of the region’s movements manifested anti-Arab or even anti-Islamic sentiment. were based on syncretistic currents of thought which aimed to amalgamate indigenous Iranian religious traditions with aspects of Islamic teaching. Zaydiyya and Ismac iliyya. the Iranian lands lent support to the c Alid cause and to Shic ism. namely the Kays¯ niyya. The doctrines of these rather obscure groups. starting with 48 Copyrights . Azerbaijan and a few other areas of Iran. Indeed. the stage was thus set for prolonged antagonism between the Arab rulers and their Iranian and other non-Arab subjects in the eastern Islamic lands. situated far from the a aa caliphal centres of power in Syria and Iraq – did not submit readily to Arab rule or even to Islam for quite some time. From an early date. and often acted as the provincial caliphal agents as well. Khurasan.

and Transoxania during the late Umayyad and early c Abbasid periods. The ı ı a Kharijite rebels formed a separate Muslim community and stressed Islamic egalitarianism in their doctrinal position. It is with these reservations in mind that we shall now take a closer look at the major sectarian movements of the Iranian lands. The egalitarianism of the Kharijites proved particularly appealing to the Persian and other maw¯ l¯. The later Muslim authors. could be elected as the imam. were mostly Sunnis defending the legitimacy of the historical caliphate and the orthodoxy of Sunni Islam. some of the anti-Arab sentiment of the aı Iranians found expression in their revolutionary movement. though much progress has been made in recent times. have survived from this early formative period in Islam. The fundamentalist Kharijite insistence on the correct Islamic conduct. resulting in numerous Kharijite branches and sub-sects. especially the doctrines of the Khurram¯ groups. originated in Iraq in connection with ¯ the prolonged conflict between c Al¯ b. the earliest Shic ite heresiographers who wrote during the final decades of ı the ninth century and were better informed than the Sunni authors about the internal divisions of Shic ism. al-Nawbakht¯ ı and al-Qumm¯. belonged to the Im¯ m¯ branch and as such were inclined to misrepresent a ı or refute the claims of the other Shic ite groups. mainly because very few contemporary sources. 935). which freely attribute strange extremist ideas and antinomian practices to the sectarians. they treated all of these opposition movements as heterodoxies or heresies. spreading their doctrines in different regions of the Iranian lands. the first schismatic movement in Islam. of the Muslim community. 1064). Ab¯ T¯ lib (656–61) and Muc awiya (661–80).ISBN 978-92-3-103467-1 Contents The Kharijite movement the Saffarids. who wrote about several ı a ı aspects of these religio-political movements. including the historians and the early heresiographers such as alAshc ar¯ (d. Indeed. especially Khurasan. Kharijism. which was also opposed to the caliphates of the Umayyads and c Abbasids. Indeed. may never ı be clarified. led to a pronounced factionalism within the Kharijite community itself. On the other hand. As a result. including even a black slave. however. 1037) and Ibn Hazm (d. There is little reliable information on most of these sectarian and revolutionary movements. these groups and movements have to be studied mainly on the basis of hostile and ill-informed sources. From early Umayyad times. There are also disagreements among contemporary scholars regarding the precise social composition and economic bases of some of these sectarian movements. As a result. Iraqi Kharijites began to seek refuge in Persia. including the genuine literatures of the sectarians themselves. which successfully challenged the hegemony of the c Abbasids and began to reassert Iranian identity and culture. especially in Sistan where 49 Copyrights . al-Baghd¯ d¯ (d. some of the teachings of these sectarians. especially in the Samanid period (see below). or leader. holding that any Muslim believer who was morally and religiously meritorious.

1986. the descendant of a noble Persian dibq¯ n a a ı a and the founder of the Hamziyya sub-sect of the Aj¯ rida. Heresiographers name some a fifteen sub-sects of the Aj¯ rida. when Yac q¯ b b. a contributed to the revolutionary turmoil of Khurasan during the late Umayyad period. The a ı Hamziyya and other Aj¯ rida sub-sects continued their rebellious activities in eastern Pera sia until around the middle of the ninth century. Kharijism in the Iranian lands was primarily related to the activities of the most radical Az¯ riqa branch of the movement. pp. pp. Vol. 93–100.2 The various Aj¯ rida sub-sects were particularly a a active. the capital of Sistan. 2 See. pp. 1988. 1968. 1929–30. which were specific to Iran and were more moderate in a their views and policies than the Az¯ riqa. alı a ı Shahrast¯ n¯.ISBN 978-92-3-103467-1 Contents The Kharijite movement Kharijism remained the main sectarian movement for quite some time. 1879–1901. The Az¯ riqa. Responding to the financial grievances of the Sistani villagers. from 724. Later. In the meantime. one of the major sub-sects of the Aj¯ rida. al-Baghd¯ d¯. ı 4 The fullest account of this Kharijite revolt is contained in the anonymous T¯ r¯kh-i S¯st¯ n [History of aı ı a Sistan]. Layth and his successor u in the Saffarid dynasty broke the military power of the Kharijite rebels and ended their 1 For an excellent survey of early Kharijism in Persia and the relevant sources.3 Subsequently. Hamza al-Kh¯ rij¯ was succeeded by others in the leadership of his movement. pp. who founded the Aj¯ rida branch of Kharijism. who may have been from Balkh. 1328/1910. Initially. Sistan had continued to be the main Kharijite stronghold of the Aj¯ rida a ¯ in eastern Persia. Hamza mobilized his followers into a large army and conducted anti-c Abbasid raids for some thirty years until his death in 828. See also Bosworth.4 Hamza. Hamza successfully urged them not to pay the khar¯ j and other taxes due to the c Abbasid a caliph. 1976. also ¯ lending temporary support there to Ab¯ Muslim. pp. several Thac aliba splinter u groups survived for some time in and around Juzjan. pp. Kharijism had become firmly established in Persia. 394–406. 72–82. 1984. 108–14. the Kharijite movement was reorganized in Iran by Ibn Ajarrad. 123–43. Little is known about the activities of Ibn Ajarrad. he also had a number of caliphal tax-collectors killed in the region. It was in Sistan that in 795 the major Kharijite revolt of Hamza b. al-Ashc ar¯. Adharak (or c Abd All¯ h) al-Kh¯ rij¯ unfolded. Vol. 1. 1989–97. where different Kharijite communities embarked on a prolonged programme of anti-caliphal insurrectional activities. a ı 3 Al-Tabar¯. who held that the killing of the a a women and children of non-Kharijite Muslims was licit. see Madelung. 54–76. II. The Thac aliba. 50 Copyrights . for instance. started his rebellious activities in a Zarang. in Sistan and other eastern regions. 87–104. pp. pp.1 By the second civil war. where this form of Kharijism acquired ¯ some indigenous foundations. had established several communities in Fars and Kerman as early as 686.

a ı Al-Mukht¯ r’s proclamation of this c Alid as the Mahd¯ (the divinely guided saviour imam a ı who would establish justice on earth and deliver the oppressed from injustice) proved very appealing to the discontented maw¯ l¯. was the earliest Shic ite group whose teachings and a revolutionary stance were disseminated in Persia. and they do not seem to have been involved in any a rebelliousactivities. The bulk of the Kays¯ niyya now acknowledged the imamate of a c Abd All¯ h. unlike the Aj¯ rida. Ab¯ T¯ lib. although the supremacy of Sunni orthodoxy remained effectively unchallenged there through the c Abbasid and later times. the Kays¯ niyya split into several groups. which was launched in 685 on behalf of c Al¯’s son Muhammad b. especially in Khurasan where it found adherents among the province’s maw¯ l¯ as well as Arab settlers. scattered Kharijite communities survived for about a century longer in Sistan. c Al¯ b. Shic ism entered a new phase of its formative period with the Kufan revolt of alMukht¯ r. ¯ Currents of Shicism: the Kaysaniyya and the ¯ Hashimiyya Of the various religio-political opposition movements in Islam. especially the early ghul¯ t (extremists) among them. which eventually found a its largest popular following in eastern Arabia and among the Berbers of North Africa – also acquired some support in the east.ISBN 978-92-3-103467-1 Contents Currents of Shic ism importance as a sectarian movement. It ı upheld the rights of the Prophet’s cousin and son-in-law. However. which survived him and the demise of his revolt in a 687. to the leadership of the Muslim community. towards Iraq. Nevertheless. aı 51 Copyrights . who were drawn in increasing numbers into the aı c ite movement. Shic ism produced the most lasting impact on the sectarian topography of the Persian lands. the eldest son of Ibn al-Hanafiyya. The maw¯ l¯. introShi aı a duced many ideas rooted in their Irano-Zoroastrian and other non-Islamic traditions into Shic ism. during the late Umayyad and early c Abbasid periods. each having its own imam and devela oping its own doctrines. This Kays¯ n¯ majoritarian Ab¯ H¯ shim u a a a ı sub-sect. known as the H¯ shimiyya. accounting for the overwhelming majora ity of the Shic ites until the success of the c Abbasid revolution. became generally known as the Kays¯ niyya. which left a lasting imprint on the movement’s doctrinal development. al-Hanafiyya. these early Ib¯ di groups of the Iranian lands were oria ented. mainly in Khurasan. and then mainly ı ı a those of the c Alid members of the Prophet’s family (ahl al-bayt). The Shic ite movement of al-Mukht¯ r. When Ibn al-Hanafiyya died in 700. The Ib¯ diyya – representing the moderate branch of Kharijism. Khurasan and other eastern Iranian lands. Shic ism originated as an Arab party (sh¯c a) opposed to the established caliphate. Representing a unified and exclusively Arab party during its first half century.

known as the Harbiyya and later as the Jan¯ hiyya. Ibn Muc awiya estabaı lished himself at Istakhr. Receiving broad ¯ popular support from the Persian maw¯ l¯. The heresiographers.ISBN 978-92-3-103467-1 Contents Currents of Shic ism On Ab¯ H¯ shim’s death. 1988. 298. Halm. al-Qumm¯. ı Al-Tabar¯..5 u ¯ The sectarian followers of Ibn Muc awiya. as Ab¯ H¯ shim’s ı a u a successor to the imamate. Ibn Muc awiya was eventually defeated by the Umayyads in 748. pp. 39 et seq.Mazdakites. 64 et seq. Khurasan and other Iranian lands.. pp. he then sought refuge in Khurasan and was killed in Ab¯ Muslim’s prison. influenced the syncretic doctrines of the Iranian Khurramiyya. p. from where he ruled for a few years over Fars and other parts of ¯ Persia. Two u a a of these groups had a major impact on the Iranian lands. 1931.. The H¯ shimiyyaa c Abb¯ siyya party. who provided the backbone of the Khurramiyya movement in the Iranian lands. 1879–87. and eventually of the overthrow of the Umayyads. expounded many extremist and gnostic ideas. II. c Al¯. pp. 240–74. Ab¯ T¯ lib. al-Harb. a great-grandson of a a c Al¯’s brother. Vol. indeed. ı Al-Nawbakht¯. 1879–1901.6 It is indeed possible that the Harbiyya– ¯ Jan¯ hiyya supporters of Ibn Muc awiya in western Iran may have been partially recruited a from among the local neo. the H¯ shimiyya themselves split into several groups. Muc awiya. the great-grandson of the Prophet’s uncle al-c Abb¯ s. 29 et seq. 1963. One of the main factions of ¯ the H¯ shimiyya recognized the imamate of c Abd All¯ h b. al-N¯ shi’.. which have been attributed mainly a to one c Abd All¯ h b. In the meantime. ascribe a prominent role to this a enigmatic personality for introducing some key doctrines into Kays¯ n¯ thought. Some of the ideas of the a a a Harbiyya–Jan¯ hiyya were adopted by other early Shic ite ghul¯ t groups. 1971. pp. In this way. They held that Ab¯ H¯ shim had personally bequeathed his rights u a to the imamate to this c Abbasid relative. 1982. ı ı a al-R¯ z¯. too. and they were also a a expounded by some of the Khurramiyya groups. Ibn Muc awiya acquired many followers in the western ¯ ı ı a and southern parts of Persia after the collapse of his Kufan revolt in 744. Jac far b. while a the murder of Ab¯ Muslim in 755 sparked off a long period of insurrectional activity by a u host of Khurram¯ groups in Transoxania. the c Abbasids inherited the party and the propaganda organization of the H¯ shimiyya. including a ı the pre-existence of souls as shadows (azilla). pp. the main faction of the H¯ shimiyya had recognized the c Abbasid a Muhammad b. which became the main instrument of the a c Abbasid movement. the transmigration of souls (tan¯ sukh ala arw¯ h) and a cyclical history of eras (adw¯ r) and aeons (akw¯ r). Kharijites and other groups. 37 et seq. a ı 6 5 52 Copyrights .

32–5. However. Some heresiographers report that Khid¯ sh a a taught the doctrines of the Khurramiyya and also permitted promiscuity. Heterodox Muslim and neo-Mazdakite movements: ¯ al-Muqannac. ı ı ı IV. It did not take the c Abbasids long after their victory to ı 7 Al-N¯ shi’. see Yusofi. 1990. but a it is possible that some of the Khid¯ shiyya may have been recruited from among the neoa Mazdakites of Khurasan. al-Tabar¯. c Al¯. . Vol. containing full bibliography. possibly as a new prophet. known as the Bih¯ far¯diyya. His ideas and social programmes proved attractive to the peasantry. 88–90. ‘Behafarld’. in: EIr. the Bih¯ far¯diyya. pp. They emphasized that Bih¯ far¯d was destroying both Zoroastriu a ı anism and Islam. pp. However.8 It was Ab¯ Muslim al-Khur¯ s¯ n¯ himself who had the greatest influence on a numu aa ı ber of sects and their rebellions in the Persian lands which can be designated specifically as Khurramiyya or Khurramd¯niyya. Around 729 a d¯ c¯ (propagandist) named c Amm¯ r aı a b. who rallied to his side. known as the Khid¯ sh-iyya. 1973. Khid¯ sh expounded extremist doctrines and was eventua c Abbasid imam. Muhammad b. Bih¯ far¯d’s innovative ideas soon became intola ı erable to the leaders of the traditional Zoroastrian establishment. II. Bih¯ far¯d rejected many of the practices a ı of his contemporary Zoroastrians and preached syncretistic doctrines based on a type of ‘reformed’ Zoroastrianism and on certain aspects of Islam. 1879–1901. and others A few obscure sectarian movements. and the sources attribute a book to him written in that language. a ı were put to death in 749. at Khwaf. 181–6. p. to the south of Nishapur. pp.ISBN 978-92-3-103467-1 Contents Heterodox Muslim . 119–20. Sharon. 1347/1968. where he and many of his followers. with possible Khurramiyya connections. 165–73. Gard¯z¯. who complained about his heresy to Ab¯ Muslim. Babak. who continued to expect Bih¯ far¯d’s a ı a ı return. a ı Ibn al-Nad¯m. pp. Yazid and nicknamed Khid¯ sh was sent to Nishapur and Merv to head a new c Abbasid a dac wa organization in Khurasan. Khid¯ sh had acquired followers of his own. He also revived Persian. survived in Khurasan until at least the end of the tenth century. in fact. they also denied Khid¯ sh’s death. and they. 1971. sprang up in Khurasan in the milieu of the early c Abbasid dac wa (missionary movement) during the final decades of the Umayyad period. 1588–9. Setting himself up. 8 53 Copyrights . Ab¯ Muslim had Bih¯ far¯d captured in the mountains of Badhghis and u a ı brought to Nishapur. . he was arrested and executed ally repudiated by the ı in 736. There also appeared at this time the movement of Bih¯ far¯d the Magian.7 The matter is unclear. 1983. who was a ı a native of Zuzan and had a Zoroastrian background. identify the Khid¯ shiyya with the Khurramiyya of Khurasan. a a who held that the imamate had passed to him from the time of his repudiation by the c Abbasids. pp. enabling Bih¯ far¯d to launch a a ı revolt around 747 in northern Khurasan. 407. Vol.

The Khurram¯ groups were also receptive to syncretisı tic influences. giving the Khurramiyya sectarian movement its distinctive (IranoIslamic) syncretic nature. They also turned against those d¯ c¯s and revolutionary commanders who had aı brought them to power. including especially Ab¯ Muslim. He acquired followers of his own. and they were particularly recruited into the conglomeration of religio-political sects known as the Khurramiyya. The widest allegiance among the (neo-Mazdakite) Khurram¯ communities of the Iranian ı lands and Transoxama was gained by Ab¯ Muslim. The treacherous murder of Ab¯ Musu lim in 755. The protests of the Khurram¯ groups. ı Many aspects of these Khurram¯ sects and their rebellious activities.ISBN 978-92-3-103467-1 Contents Heterodox Muslim . they were especially influenced by certain extremist and messianic doctrines taught by the Shic ite ghul¯ t belonging to the a Harbiyya– Jan¯ hiyya and H¯ shimiyya– c Abb¯ siyya parties of the Kays¯ niyya. were also rooted in conflicts of class interests and in economic difficulties. The sectarians had particular grievances against the existing tax system. disclaim all connections with their Shic ite and extremist Kays¯ n¯ (H¯ shimiyya– a ı a c Abb¯ siyya) a c Abbasids antecedents. comprised mainly of the peasantry and the lower social strata. a By early c Abbasid times. which unfolded ı during early c Abbasid times in many parts of the Persian lands and in Transoxania. there were still many Zoroastrian and neo-Mazdakite communities scattered throughout many parts of Central Asia and the Iranian lands.Mazdakites – these were the remnants of the earlier Mazdakiyya who had supported the socio-religious revolutionary movement of Mazdak for reforming Zoroastrianism in Sasanian Iran during the reign of Kav¯ d (488–531). Thus they provided a suitable recruiting ground for all types of popular protest movements. a a a a Islamic teachings of an extremist nature came to be fused with Iranian dualistic traditions and anti-Arab motifs. on the orders of the caliph al-Mans¯ r. as well as the local landowning class of dihq¯ ns a who had assimilated more readily into the emerging Arabo-Islamic socio-economic system of the caliphate and often shared many of the privileges of the ruling class. persecuting the Shic ites and their c Alid leaders. remain shrouded in obscurity. was their anti-Arab feeling or Iranian ‘national’ sentiment. A common feature of these dissident religious groups. in Islamic Iran and Central Asia. Indeed. modern scholarship has generally corroborated themedieval Muslim authors’ identification of the Khurramiyya of early Islamic times with the neo. soon after establishing their own caliphate in 749. provided a unique impetus for the religiou political activities of a number of syncretic Khurram¯ sects. especially in the inaccessible mountain regions and the countryside of Khurasan. . the founder of the Khurasanian u army and the chief architect of the c Abbasid victory. the became upholders of Sunni orthodoxy. and. . especially the assessment and collection of land taxes. As a result. Tabaristan and Azerbaijan. However. u 54 Copyrights . which resisted assimilation ı into Sunni Islam.

Ab¯ Muslim became the u figurehead of the Khurramiyya and his murder led to extended Khurram¯ revolts. too. Subsequently. 494–519. launched the a u first of these popular Khurram¯ revolts against the c Abbasids. who may have been one of Ab¯ Muslim’s a u d¯ c¯s operating among the Central Asian Turks. This rebellion was suppressed after seventy days by an c Abbasid army. From early on. 1988. prophet. also holding that Ab¯ Muslim a u would return together with Mazdak and the Mahd¯. Others affirmed his death and held that the imamate had now passed from Ab¯ Muslim to his daughter F¯ tima. 1979. and used religious syncretism to unify disparate anti-c Abbasid groups. 1938. was the leader of the first of such secaı tarian movements in Transoxania which. 481–2. or even an incarnation of the divine spirit. as reported by many Muslim ı historians. and u many heresiographers indeed identify the Khurramiyya with the Ab¯ Muslimiyya. predicted the return of both Ab¯ Muslim and u Zoroaster. like that of Sunb¯ dh. a According to the later Seljuq author Niz¯ m al-Mulk.ISBN 978-92-3-103467-1 Contents Heterodox Muslim . He also implausibly reports that Sunb¯ dh aimed to a destroy the Kac ba. who evidently predicted the end of the Arab empire. u As the symbol of Iranian self-assertion against Arab domination. pp. Zoroastrians and Shic ites. a The classic treatment of the Khurram¯ sects and revolts remains that of the late Sadighi. Khurram¯ rebellious activities and syncretic doctrines spread from ı Khurasan to Transoxania. . 9 55 Copyrights . The sources attribute various anti-Islamic and anti-Arab motives to Sunb¯ dh. who u recognized Ab¯ Muslim as their imam. 1975. Later. F¯ tima’s son u a a Mutahhar came to be recognized as the imam and Mahd¯ by some of the Khurramiyya.9 ı Khurasan was the first region of Khurram¯ revolts after Ab¯ Muslim’s murder. these ı u revolts frequently involved the idea of avenging Ab¯ Muslim’s death. based ı a on religious syncretism and the anti-Arab sentiment of the Iranians and receiving the popular support of the peasantry. bore the twin label of Ab¯ a u Muslimiyya and Khurramiyya. Madelung. 1–2. see also ı Amoretti. Some of the Ab¯ u u Muslimiyya–Khurramiyya there now denied that their leader was dead and began to expect his return to establish justice in the world. Is’h¯ q the Turk. Daniel. Sunb¯ dh’s revolt and movement. but the Sunb¯ dhiyya movement survived for some time. the Sunb¯ dhiyya comprised Maza a dakites. a ı where his following increased substantially. especially pp. u Ab¯ Muslim evidently gained numerous neo-Mazdakite adherents during his lifetime. a former associate of Ab¯ Muslim. He also received some support in Qumis and the Tabaristan highlands. Is’h¯ q’s movement acquired a militant character in Central Asia under the leada ership of one Bar¯ zbanda. who split into several groups over time. known as the Ab¯ Muslimiyya or Muslimiyya. Sunb¯ dh led an army of Khurram¯ rebels from his base at Nishapur to Rayy. 63–5. . pp. 125–56. He. In ı 755 the Zoroastrian Sunb¯ dh (Sindbad). set the basic pattern for the activities of other Khurram¯ ı groups.

The fullest account of al-Muqannac and his movement was given by Narshakh¯. B¯ bak then mobilized his largely rural Khura ram¯ following into a formidable fighting force and started his revolt around the year 816. started on the eastern fringes of Khurasan. where he was executed on al-Mans¯ r’s order. Khuzayma.ISBN 978-92-3-103467-1 Contents Heterodox Muslim . Led by one Ust¯ dhs¯s (Ust¯ dh a ı a S¯s). the renowned local historian ı of Bukhara. lasting for more than twenty years. whose protracted rebellion based in north-western Iran seriously threatened the ı stability of the c Abbasid caliphate. The movement of al-Muqannac survived in Transoxania after the suppression of his revolt in 779. According to al-B¯r¯ n¯. Around the year 766 another anti-c Abbasid revolt of a sectarian nature. The activities of the Khurramiyya reached their peak in the movement of B¯ bak ala Khurram¯. u The most famous of these early anti-c Abbasid movements of the Khurrramiyya in Khurasan and Transoxania was that of al-Muqannac . the Khurramiyya launched au ı insurrections in Isfahan and other localities in central Persia. where Ust¯ dhs¯s was joined by some of the Bih¯ far¯diyya. Led by a grandson of Ab¯ Muslim. appointed for this purpose in 835 as 56 Copyrights . This revolt was repressed after a few years by the veteran c Abbasid general Kh¯ zim b. a until success was attained by the general Afshin. the revolt received its main support from the vilı lagers. whose followers were commonly designated as the ‘wearers of white’ (see above. who killed some 70. In 778 the neo-Mazdakite Muham-mira. The Khurramiyya movement had adherents in other parts of the Iranian lands. and the Mubayyida continued to await the return of al-Muqannac until the twelfth century. . in alliance with the local Khurram¯ supporters of Ab¯ Muslim. al-Muqannac even enjoined his followers ıu ı to observe the laws and institutions of Mazdak. claiming ı u that Ab¯ Muslim was still alive. Ust¯ dhs¯s himself was a a ı captured in the mountains of Badhghis and sent to Baghdad. of Gurgan revolted. B¯ bak consolidated his position in the mountainous district a ı a a of Badhdh. or ‘wearers of red’. ı This revolt. As the leader of the Khurramiyya of Azerbaijan. receiving further reinforcement from the Sistan Kharijites. soon spread from Azerbaijan to the western and central parts of Iran. Shahrak. succeeding J¯ w¯d¯ n b. From its initial base in the mountainous district of Badhghis (now in north-western Afghanistan). Part Two). Chapter 1. these are universally hostile to him) are generally anti-Islamic. outside Khurasan and Transoxania. with obscure religious motives. Numerous c Abbasid campaigns against B¯ bak proved futile. in the reign of H¯ r¯ n al-Rash¯d (786–809). Suffice it to say that all the doctrines attributed to al-Muqannac by the heresiographers and other Muslim authors (of course. the insurrection a ı a ı spread rapidly to the regions of Herat and Sistan. . Later. they advanced as far u u as Rayy before the rebellion was suppressed by an army dispatched by the governor of Tabaristan. who may have claimed prophethood. which served as his headquarters.000 of the rebels.

In 837 Afshin finally seized B¯ bak’s fortress of Badhdh and repressed the rebellion. Yusofi. some of the Khurramiyya joined the revolutionary movement of the Ismac ilis. in 839. although the two movements shared a common enmity towards the c Abbasids. T¯ hir. B¯ bak himself was captured soon a a afterwards and sent to Samarra. Vol. M¯ zy¯ r a a a and Afshin as the joint protagonists of a grand anti-Arab conspiracy. a B¯ bak’s rebellion was followed. however. Some of the sources even report that B¯ bak. who had earlier a Sadighi. which were allegedly a anti-Arab and anti-Islamic. the M¯ zy¯ riyya. a recent convert to Islam. as Shic ite Muslims. Soon aftera a wards. By 760 the remnants of the radical Kays¯ niyya. the Ismac iliyya could not subscribe to the anti-Arab. although in his rebellious activities M¯ zy¯ r a a a a relied increasingly on the support of the local Zoroastrian and neo-Mazdakite peasantry. 1938. and more importantly. 299–306. 1989.ISBN 978-92-3-103467-1 Contents The later development of Shic ism governor of Azerbaijan by the caliph al-Muc tasim (833–42). until after the tenth century. Howa a ever. constituted a major branch of the Khurramiyya. particularly in Khurasan and Transoxania. pp. was accused of anti-Islamic and treacherous activities and was put to death on the order of al-Muc tasim. M¯ zy¯ r was defeated by the Tahirids and was then executed at Samarra in 840. where he was executed with extreme cruelty in 838. 229–80. a M¯ zy¯ r. Indeed.10 Scattered groups of the B¯ bakiyya survived. pp. and full biblia ı ography. The Muslim sources unjustifiably depict B¯ bak. an Islamic type) of opposition to the established caliphate. It is possible that. Afshin. the Tahirid governor of the east. 10 57 Copyrights . Little reliable information is available on B¯ bak’s specific teachings. Muslim sources accuse M¯ zy¯ r of reverting to Zoroasa a a a trianism and of conspiring with B¯ bak against Islam. the Zayd¯s and the Ismacilis ı Even after the failure of the major Khurram¯ revolts of early c Abbasid times. too. during the ninth century. Shic ism provided another type (like Kharijism. scattered ı Khurram¯ communities engaging in lesser and sporadic insurrections survived until later ı c Abbasid times in various parts of Iran. Tabaristan and Khurasan. a Ismac ilism should not be viewed as a continuation of the neo-Mazdakite Khurramiyya. M¯ zy¯ r’s anti-c Abbasid rebellion developed out of his financial conflicts with c Abd a a All¯ h b. too. Needless to say. anti-Islamic teachings of the Khurramiyya. by that of the Qarinid ruler of Tabaristan. Despite the claims of Niz¯ m al-Mulk and other Sunni authors hostile towards the Ismac ilis. especially in Azerbaijan. ‘B¯ bak Korram¯’. Ill. while al-Baghd¯ di states that his a a rebel followers. The later development of Shicism: the Twelvers. in EIr. was expected a to restore the religion of Mazdak. awaiting a B¯ bak’s return.

In Khurasan. Later. with its anti-revolutionary quietism. which remained the second most important Im¯ m¯ city a ı there until the Mongol times. in central Persia. Qum also influenced the development of Im¯ m¯ (Twelver) communities in other parts of central Persia during a ı the ninth century. who traced the imamate through a a a Husaynid Fatimid line of imams in the progeny of al-Husayn b. marking the initiation of the Im¯ miyya sectarian a a movement in the Iranian world. jurist and theologian who died around 873. who dominated the religious scene in Qum a for some three centuries. a ı Prescribing taqiyya (the precautionary dissimulation of religious beliefs). and by the end of the eighth century the local descendants of these Ash¯ c ira had become ardent Im¯ m¯ Shic ites. and by the early tenth century. in the time of Jac far al-S¯ diq. 765).ISBN 978-92-3-103467-1 Contents The later development of Shic ism been mainly aborted in the c Abbasid dac wa (see above. a a The legitimist Im¯ miyya branch of Shic ism. 58 Copyrights . 11 Madelung. died and already existed in Tus when ı a was buried there in 818. Refrainment from all anti-regime activity became the hallmark of the politically moderate Im¯ miyya. a learned Im¯ m¯ a a a ı traditionalist. Nishapur became one of the earliest centres of Im¯ m¯ thought in the a ı eastern Iranian lands. An Arab clan of the Kufan Ash¯ c ira. Im¯ m¯ thought a ı c Alids. had a settled in Qum in the later Umayyad period. Chapter 1). had a already spread from its original Kufan stronghold to the garrison town of Qum. In Transoxania. The c Abbasid caliph al-Ma’m¯ n (813–33) had appointed c Al¯ u u al-Rid¯ as his heir apparent as part of his conciliatory policies towards the Shic ites and the ı Moreover. the theological school of a ı Qum played an important role in the development of Twelver Shic ism. the Im¯ miyya a were present from the later ninth century. notably at Rayy. Im¯ m¯ Shic ism spread during the ninth century. who firmly estaba lished Im¯ m¯ Shic ism as a distinctive religious community on a quiescent basis. which had earlier been greatly overshada owed by the Kays¯ niyya movement. c Al¯. the eighth imam of the Twelver Shic a. due mainly to the activities of al-Fadl b. Jac far alS¯ diq further taught that the sinless and infallible Shic ite imam did not have to rise against a the unjust rulers of the time. pp. as believed by the early Kufan Shic a and the contemporary Kays¯ niyya and Zaydiyya. 77 et seq.11 Qum remained solidly Im¯ m¯ and became the a ı a ı chief centre of Im¯ m¯ traditionalism in the ninth century. Madelung has skilfully described the subsequent development of early Im¯ m¯ Shic ism in the Iranian world. later designated as the Ithn¯ c Ashariyya or the Twelvers. Sh¯ dh¯ n. Thus Im¯ m¯ Shic ism a a ı a ı was introduced to Persia by the Arab Ash¯ c ira. 1988. The Im¯ miyya. had either disintegrated or had joined the Im¯ miyya branch of Shic ism. began to acquire ı prominence under the leadership of the Imam Jac far al-S¯ diq (d. or colonists. An Im¯ m¯ community a ı a ı c Al¯ al-Rid¯ . even though the caliphate too belonged by divine right to the a Shic ite imam.

The earliest activities of the Zaydiyya in the eastern lands. of a number of where they sought refuge from c Abbasid persecution both in the coastal lowlands and in the mountains. Zayd (d. 153–220. ı based on c Alid rule and Daylamite aspirations for autonomy. Many of this region’s c Alid rulers in time came to be acknowledged as imams and d¯ c¯s by the Caspian Zayd¯ community. had staged at Kufa in 740. In early c Abbasid times. including the insurrection of Zayd’s son Yahy¯ (d. from Samarkand. Mainstream Im¯ m¯ Shic ism a ı achieved its greatest success in the predominantly Sunni Iranian lands when. the most populous of the Caspian provinces. an ı ı c far al-S¯ diq. However. Al-Hasan soon seized all of Tabaristan and More than any other modern scholar. the Iranian Im¯ miyya a ı a found greater protectors in the Buyids. pp. small Im¯ m¯ (Ithn¯ c Ashar¯) communities of minority status were a ı a ı widely dispersed throughout the Iranian lands and Central Asia. a ı The Ispahbadiyya Bawandids of Tabaristan were the first Iranian dynasty to adhere to Im¯ m¯ Shic ism from the middle of the eleventh century. Tabaristan ( Mazandaran). was inhabited mainly by the Daylamites. against the illegitimate rulers of the time. by contrast to the Im¯ miyya. another major branch of Shic ism. Masc ud al-c Ayy¯ sh¯. Thus the Zaydiyya. 12 59 Copyrights . 884) from Rayy to become their leader. 181 et seq. And it was in Ruyan and other areas of western Tabaristan that Zayd¯ Shic ism. began to spread from around the middle of the ninth century. The supporters of this abortive revolt. appeared as a sectarian movement in the Iranian world during early c Abbasid times. 743) in Khurasan. while Sunni orthodoxy continued to prevail in Central Asia. Madelung has investigated the Caspian Zayd¯ community in a ı number of studies. pp. by ¯ Muhammad b. did not lead to any lasting sectarian results. Zayd¯ Shic ism arose from an anti-Umayyad revolt that Zayd b. 86–92. who were originally Zayd¯s but in later times perı haps leaned towards Im¯ m¯ Shic ism. By the end of the Buyids’ tutelage of the c Abbasids a ı in the eleventh century. 1980. in 1501. a The later spread of Zayd¯ Shic ism in northern Iran was greatly helped by the emigration ı c Alids to the coastal region along the southern shores of the Caspian Sea. though its impact there proved to be somewhat marginal. and they invited the Hasanid al-Hasan b.12 ı In 864 the people of western Tabaristan revolted against the fiscal exactions of the Tahirid governors of the eastern lands. ı sword in hand. pp. uncle of Ja a the earliest Zaydiyya. developed into a a revolutionary movement and the pretenders to the Zayd¯ imamate were expected to rise. see Madelung. The Zaydiyya. 1988. retained the politically militant but religiously moderate stance of the early Kufan Shic a. which developed aı ı independently of the Zayd¯ community of Yemen. EIr. who had not yet converted to Islam. 1965. it was imposed as the official creed on Safavid Iran. c Al¯.ISBN 978-92-3-103467-1 Contents The later development of Shic ism of a somewhat independent nature was propagated in Central Asia. another major stronghold of Zaydism.

al-Hasan’s brother and successor. Muhammad b. adopting the title of al-d¯ c¯ ila’lı aı haqq (He Who Summons to the Truth). known as al-N¯ sir li ’l-Haqq. The division of the Caspian Zayd¯ community into ı the Gilite N¯ siriyya and the Daylamite Q¯ simiyya proved permanent. another major and revolutionary branch of the Shic a. the surviving Zayd¯ ı ı communities of that region. Led by a line of imams descended from a al-S¯ diq’s eldest son Ismac il. who patronized the Zayd¯ c Alids of the Caspian provinces. who temporarily extended their rule over the region. in south-western Iran. 860). though its success there was ultimately checked by Sunni orthodoxy assisted by the arrival of the all-conquering Mongols. By the early Safavid decades. named after Hamd¯ n Qarmat. c Al¯ ı ı al-Utr¯ sh. The Iranian Zaydiyya had their golden age under the Buyids. the a a chief local leader of the movement in southern Iraq. retrieving much of the revolutionary zeal of the earlier Kays¯ niyya and Khurramiyya. Indeed. was killed in 900 in a battle with the Sunni Samanids. Ismac ilism. had a greater and more far-reaching impact on the Iranian lands than the Zaydiyya movement. Ibr¯ h¯m (d. Zaydism does not seem to have ı had any lasting success in Central Asia. whose teachings had ı a a ı earlier been transmitted to northern Iran. However. It was at that time that numerous Ismac ili d¯ c¯s began to appear in many regions of the Arab aı and Iranian worlds. In 914 Zayd¯ c Alid rule was restored in Tabaristan by the Husaynid al-Hasan b. with their support. These were separate from the Q¯ simiyya adherents of a a the school of the Medinan Zayd¯ imam al-Q¯ sim b. the name Qarmat¯ came to ı 60 Copyrights . had all gone over to Twelver Shic ism. known as the N¯ siriyya.ISBN 978-92-3-103467-1 Contents The later development of Shic ism established Zayd¯ c Alid rule in the Caspian provinces. also splitting c Alid a a rule into two branches there. while in Khurasan it acquired some temporary support among the c Alids of Bayhaq. and their converts soon attracted the attention of the c Abbasids and Muslim society at large as the Carmathians or Qar¯ mita. the Caspian provinces remained the main Iranian stronghold of Zayd¯ Shic ism. and. too. The subsequent attempts of the c Abbasids and the Tahirids to regain Tabaristan were repelled by al-Hasan with the local help of the Daylamites. from where d¯ c¯s were dispatched to various aı localities. The efforts of these central leaders to transform the original Ismac ili splinter groups into a greatly expanded and united movement began to bear fruit around 873. he reconquered Tabaristan from the Samanids. Al-N¯ sir came to form a distinct community of the Caspian a Zaydiyya. The central leadership of the early Ismac ili movement soon came to be based for a while in Khuzistan. split off from the rest of the Im¯ miyya on the quesa a tion of the Imam Jac far al-S¯ diq’s succession. However. Zayd. the Ismac ili dac wa was organized as a secret and revolutiona ary Shic ite movement bent on uprooting the c Abbasids. Al-N¯ sir converted to Zaydism large numbers of u a a people who had not yet even embraced Islam. The Ismac iliyya. It was also under the Buyids ı that Rayy became an important centre of Zayd¯ learning.

settled in Bukhara and spread the dac wa throughout Transoxania. also spreading Ismac ilism to Talaqan. This policy. Ahmad al-Nasaf¯ (al-Nakhshab¯). The early realization of the movement’s failure to acquire a large popular following which could be led in open revolt against the local authorities. 1960. the first chief d¯ c¯ of a aı Khurasan. The Ismac ili dac wa was extended during the 870s to the Iranian lands. pp. Gharchistan. numerous notables were converted. the dac wa had become active in Fars and southern Iran under the supervision of Hamd¯ n Qarmat and his chief a assistant. the peasantry of the Iranian lands was not attracted in large numbers to the Shic ite Islamic message of the Ismac ilis during the ninth century. set up his headquarters at Rayy. who had earlier been a prominent commander in the service ı ı of the Samanids.. 13 61 Copyrights . the Ismac ili dac wa was originally addressed to the rural population. aı al-Husayn b. By aı contrast to their positive response to the neo-Mazdakite Khurramiyya movement. as had been the case in the Arab lands where villagers and tribesmen had converted to Ismac ilism in large numbers. 1990. 56–90. one of the chief d¯ c¯s of Jibal. the Ismac ili dac wa was preached in the name of the absent Muhammad b. Ism¯ c¯l b. established his regional headquarters at Nishapur. And there. the dac wa was initially established in Jibal or western Iran. 934). At that time. and. although Ab¯ H¯ tim al-R¯ z¯ (d. a brilliant philosoı pher. led to a new dac wa policy for the Iranian world. 192–4. For the early history of the Ismac ili movement in Iran and Central Asia. Jac far aı al-S¯ diq. too. however. the d¯ c¯s aı henceforth directed their efforts towards the élite and the ruling classes. failed to have any lasting success. Muhammad b. Ghur and other eastern areas.ISBN 978-92-3-103467-1 Contents The later development of Shic ism be applied indiscriminately also to the Ismac ili communities outside Iraq. the seventh Ismac ili imam. transferred the regional seat of the dac wa to Merv al-Rudh. the first d¯ c¯ of a aı Jibal. implemented especially in Khurasan and Transoxania. a native of the Central Asian ı ı district of Nakhshab. According to this policy. c Abd¯ n. 131. Khalaf al-Hall¯ j. Al-Nasaf¯. Daftary. see Stern.13 In the Iranian lands. The third d¯ c¯ of Khurasan. 162–3. also penetrating briefly the inner circles of the Samanid court. c Al¯ al-Marwaz¯. whose return as the eschatological Mahd¯ was eagerly a ı awaited. in Khurasan and Transoxania. Al-Marwaz¯’s ı successor. was also responsible for introducing a form of Neoplatonism into Qarmat¯-Ismac ili ı thought. Ab¯ c Abd All¯ h al-Kh¯ dim. did manage temporarily to win the allegiance of several amirs and rulers of Jibal and the Caspian region. Kashan and other areas of central Iran under Khalaf’s successors. 180. 118 et seq. although earlier it had been introduced there on the personal initiative of u a a aı Ghiy¯ th. The dac wa was officially taken to Khurasan during the first decade of a the tenth century. Meanwhile. and the first d¯ c¯s in Jibal concentrated their efforts on the villagers around Rayy. Herat. the fifth d¯ c¯ of u a a ı aı Jibal. 165–9. from where the dac wa spread to Qum. pp.

accepted c Abd All¯ h’s claims. ı which had adherents also in Azerbaijan and western Persia. played an important part in developing the Ismac ili-Qarmat¯ thought of this early period. openly claimed the Ismac ili imamate ı for himself and his predecessors. the Ismac ilis of Jibal mainly joined the Qarmat¯ faction. the term Qar¯ mita came to be generally aı ı a applied to these dissident sectarians. and his vizier through the efforts of the d¯ c¯ al-Nasaf¯. Meanwhile. ‘ Carmathians’. who never recognized the Fatimid caliphs as their imams. pp. the Qarmat¯ communities of the Iranian ı lands had either disintegrated or joined the Fatimid Ismac ili dac wa. however. al-Nasaf¯ and his chief associates were u ı executed in 943 and their followers massacred. refused to recognize c Abd All¯ h and his predecessors. aı ı This success could not be tolerated. 823 et seq. In 1094 the Persian Ismac ilis became the main supporters of the Niz¯ riyya branch of Ismac ilism. Vol. under whose son and successor. They reacted by deposing Nasr II. 1990. IV. Henceforth. The declarations of c Abd All¯ h split the movement into two factions. as well as his a successors on the Fatimid throne. though the Qarmat¯s predominated until the middle of ı c¯s al-R¯ z¯ and al-Nasaf¯. The ı aı brief success of this policy in Central Asia reached its climax in the conversion of the Samanid amir. It was at that time that the movement’s central leader. c Abd All¯ h also explained that the movement had aı a hitherto been spread on the basis of Muhammad b. 62 Copyrights . c Abd All¯ h (c Ubayd All¯ h) ala a Mahd¯. Nasr II (914–43). the future founder of the Fatimid caliphate. were Qarmat¯s. who himself became a chief local d¯ c¯ there.ISBN 978-92-3-103467-1 Contents The later development of Shic ism including the commander al-Marwaz¯. N¯ h I (943–54). they retained their original belief in the role of Muhammad b. who engaged in a complex scholarly the eleventh century. reminiscent of the 14 See Daftary. The d¯ ı a a ı ı discourse. and Ab¯ Yac q¯ b al-Sijist¯ n¯ ı aı u u a ı who later led the dac wa in Khurasan and his native Sistan. Ism¯ c¯l as Mahd¯. These d¯ c¯s of the Iranian lands. based in Bahrain and southern Iraq and lacking a Isma united leadership. the same central leaders who had organized and led the movement after Muhammad b. in: EIr. as imams. which left a lasting influence ı on the intellectual activities of the later Ismac ilis. In Khurasan and Transoxania. Ism¯ c¯l’s role as Mahd¯ merely to protect aı ı the true identity of the central leaders who were continuously sought by the c Abbasids. by the Sunni c ulam¯ ’ (religious scholars) a and their Turkish military allies in the Samanid state. By the final decades of the eleventh century. 1993. upholding continuity in the a c ili imamate. which continued to be led by the Fatimid caliphs. A dissident faction. severing a all ties with the Mustac liyya branch. both wings came to be represented.14 Within the Iranian lands. the unified Ismac ili movement had experienced a major schism in 899. The Niz¯ ri Ismac ilis of the Iranian lands were soon organized by Hasan-i Sabb¯ h into a a a revolutionary force with numerous inaccessible mountain strongholds. Ism¯ c¯l. later a designated as Fatimid Ismac ilis. One faction.

In the meantime. none of the other religio-political movements of the eighth and ninth centuries discussed here could successfully challenge the hegemony of the c Abbasids in the eastern lands of the caliphate. 63 Copyrights . none of the early anti-c Abbasid insurrections resulted in the separation of any territory from the caliphal domains for any extended period of time. al-Husayn. devoid of any specific religious affiliation. the Tahirids cannot be regarded as the first autonomous dynasty of the Iranian world in their time. remained loyal servants of the c Abbasids. As Bosworth has explained in many of his studies. important developments were taking place. the territorial integrity of the c Abbasid caliphate remained intact until after the middle of the ninth century. Being opposed to the alien rule of ı the Seljuq Turks. Moreover. 1975. became victims of the Mongol invasions and irrevocably lost their political power in 1256. however. strategy adopted by some of the earlier Khurram¯ groups.ISBN 978-92-3-103467-1 Contents The beginnings of the disintegration . citing his name on coins and in the khutba (Friday worship oration) and sending him taxes and tributes. four generations of the Tahirid family ruled for some a fifty years from Khurasan as governors of the lands east of Iraq. These governors remained unswervingly loyal to the caliph at Baghdad. Many Tahirids also held office in Iraq itself. . . did at least indirectly encourage 15 For instance. also initiating the revival of Iranian sentiment and culture. which eventually brought about the fragmentation of the c Abbasid caliphate. until they too. the Iranian Niz¯ r¯s launched an armed revolt against the Seljuq sultanate aı and succeeded in asserting their control over various parts of Iran. who were of Persian dihq¯ n oria gins and tolerated the Persian language in their entourage. appeared in the eastern Iranian lands. like the c Abbasids. respecting the constitutional rights of the caliphate. starting with the Saffarids. For almost seven decades after the establishment of the c Abbasid dynasty. it may be admitted that the hereditary rule of the Tahirids. As a result.15 the Tahirids. both at the centre of caliphal power in Iraq and in the provincial peripheries. Contrary to the views of some modern scholars. Nevertheless. especially in Daylaman and Kuhistan in south-eastern Khurasan. It was under such circumstances that independent dynasties. Iran was governed by various eastern governors appointed from Iraq. The beginnings of the disintegration of the cAbbasid caliphate in the east Unlike the H¯ shimiyya– c Abb¯ siyya sectarian movement which succeeded in supplanta a ing Umayyad rule. They were also highly Arabized in culture and outlook. like many other landowning aristocratic Persians who had fully assimilated into the Arabo-Islamic culture of the period. Starting with the appointment in 821 of T¯ hir b. too. Bosworth.

ISBN 978-92-3-103467-1 Contents The beginnings of the disintegration . then he seized Fars in 875 and came close to taking Baghdad itself. known as al-Saff¯ r (The Coppersmith). It was an altogether different matter with the Saffarids. eventually becoming largely restricted to Sistan. the authority and the territories of the Saffarids diminished rapidly. But the Saffarids. in Transoxania by the Samanids and sent to Iraq where he was executed. the plebeian Saffarids were also equipped with a royal Iranian genealogy. Layth (867–79). He had gradually risen to a leading position in the c ayy¯ r16 bands of Sistan. c Amr u (879–900). note 1. the next dynasty to appear on the political scene in the eastern Iranian world. In 873 he entered Nishapur and ended Tahirid rule in Khurasan. and ı the Ismac ilis and the Zanj (black slaves) launched their insurrectional activities in Iraq itself. Saffarid power reached its zenith under Yac q¯ b’s brother and successor. As a result of the problems created by the Turkish slave soldiers and their commanders who had come to play an increasingly important role in the central affairs of the caliphate. which drove out the Tahirid amir. had now begun. the resurgence of Persian language and culture in their entourage. establishing a dynasty and separating vast territories from the c Abbasid domains. The early Saffarids. Layth and his brother c Amr. especially during the anarchy of the Samarra period. was of plebeian origins and lacked specific religious convictions. indeed. It was also at this time that Zayd¯ c Alid rule was established in Tabaristan. caliphal control over the outlying provinces had become seriously weakened by the middle of the ninth century. Subsequently. based in Sistan. which revived Iranian ‘national’ sentiment. 64 Copyrights . were the first of such major military powers to appear in the Iranian world. in 900. This allowed new political powers. initiated through the efforts of Yac q¯ b b. . based on military force. Yac q¯ b died in 879 in u Khuzistan. The disintegration of the c Abbasid caliphate and the rise of independent dynasties. . Soon. Yac q¯ b directed his attention against the caliphal u territories in Iran. He thereupon proceeded to consolidate his position within the province before conducting a number of military campaigns in what is now Afghanistan and against the Kharijites. pioneered the renaissance of a specifically Irano-Islamic culture based on the ‘national’ aspirations of 16 See Chapter 1. Henceforth. to assert themselves on the fringes of the caliphate. c Amr was eventually defeated. though he was accused of Kharijite leanings. Another development of great importance that occurred during the final decades of the ninth century was the revival of New Persian literature and culture. In 861 Yac q¯ b himself was a u proclaimed amir of Sistan. who founded the u a Saffarid dynasty. the later author Niz¯ m al-Mulk depicts him also (on a dubious grounds) as a crypto-Ismac ili. who had court poets composing Persian u verse for the first time since the Arab invasion of Iran. Yac q¯ b b.

the renowned Ismac ili philosopher and d¯ c¯ of Khurasan and a aı Badakhshan during the late eleventh century. Yet in the end.. the Karakhanids and. The rise of the Buyids in western Iran and in Iraq. The Seljuqs became the new champions of Sunni orthodoxy and sought caliphal approval in order to legitimize their own rule. permitted the formation of a number of Turkish dynasties in the east. too. over which they no longer exercised any political control. who now established their own rule over the Iranian lands. 1971.17 The c Abbasids survived as the spiritual heads of the Islamic world. . When the Seljuqs entered Baghdad in 1055. The Turkish rulers themselves were soon influenced by aspects of Persian culture. pp. Indeed. pp. article VIII. and their subsequent internal and dynastic strife. He is also ranked among the foremost Persian poets. especially pp. 126–71. from early in the 1090s. the highly Islamized Iranian Niz¯ r¯s of the Alamut period. . the antecedents of the anti-Seljuq revolt of the Iranian Niz¯ r¯s can be traced not aı only to the Shic ite and anti-c Abbasid movement of the earlier Ismac ilis but also to the Iranian ‘national’ elements fostered by the Saffarids and other Iranian dynasties. N¯ sir-i Khusraw. thus the learned vizier Niz¯ m al-Mulk composed his Siy¯ sat-n¯ ma [Book of Statecraft] for the Great Seljuq a a a sultan Malik Sh¯ h in Persian. ostensibly to liberate the c Abbasid caliph from the Shic ite Buyids’ tutelage. Stern. Bosworth. 535–9. This renaissance had. become irrevocable by that time. 1952. succumbed to the all-conquering pagan Mongols. dynasties like the Ghaznavids. a new Turkish period had started in the Islamic history of the Iranian world. an unprecedented choice for a medieval Shic ite community.. whereas the c Abbasid caliphate enjoyed a revival of power and survived in Baghdad until 1258. the Seljuqs. reprinted in 1982. Moreover. mainly due to the importance of the caliph’s moral authority for Sunni Muslims. most significantly. see also Rypka et al. The appearance of Turkish dynasties in the eleventh century also checked the rapid resurgence of Persian culture. the c Abbasids of Baghdad. who had continued to be aware of their Iranian identity and culture during the centuries of Arab domination. the Islamized Iranians. 1978–79. The Seljuqs were superseded by other dynasties in the Iranian a world. 1968. adopted Persian as the language aı of their religious writings. 17 65 Copyrights . 1994. 225 et seq. however. 59–75.ISBN 978-92-3-103467-1 Contents The beginnings of the disintegration . pp. See Spuler. composed all his works in Persian. Thus the c Abbasids were once again permitted to survive.

. . . . . . . . . . . 66 Copyrights . in the Aral Sea region and the area of the northern Caspian. . . . . .ISBN 978-92-3-103467-1 Contents The Oghuz 3 THE STATES OF THE OGHUZ. In his view. . . . . 66 74 77 The Oghuz During the ninth and tenth centuries. The late S. . . . . . G. The Kïpchak . . . . . . Tolstov. . . . . . . this viewpoint did not gain general acceptance. . . . According to different versions of this legend. . . . the nomadic Turkic Oghuz tribes formed a principality on the middle and lower reaches of the Syr Darya (Jaxartes). . . . Research in recent decades points to the conclusion that the Oghuz in western Central Asia originally came from the eastern T’ien Shan region. . . . . . there was strife among the Oghuz caused by the hostile relations between their ruler and his son. . . . . . . . . . . . . . . . Tolstov considered the home of the Oghuz to be the deserts and steppes of the Aral Sea region. . . . . . In his * 1 See Maps 1 and 2. .1 In spite of its originality. . . . Oghuz historical tales relate that the headquarters of their supreme ruler or leader was at one time situated on the shores of Lake Issyk-kül. . Agajanov Contents The Oghuz . There are a number of obscure points in the history of the formation of the Oghuz people and principality in western Central Asia and Kazakhstan. . . . . P. . . . . . they had lived there in ancient times before migrating from western to eastern Central Asia. . . . . . . . . . . . . . . 1948. . however. . . The Kimek . . . THE KIMEK AND THE KÏPCHAK* S. . . . . . . Oghuz Khan. . . . . . .

from where they penetrated to the lower reaches of the Itil (Volga). the town of Yengi-kent. Pritsak.4 The Oghuz tribes of western Central Asia also played a part in these tumultuous events. 1958. the Karluk left eastern Central Asia and conquered Semirechye. the Uighurs and the Karluk combined to defeat the forces of the Basmil. The Karluk conquest of the western T’ien Shan led to a conflict with the Oghuz of the Issyk-kül region. Levina. pp. Ne¸rî. considerable changes occurred in the history of Central Asia. following the decline and fall of the Kaghanate of the Western Türks. pp. pp. include a number of legendary episodes and superimpositions from a later period. 10. A confederation was formed of Turkic tribes – the Basmil. The leader of the Basmil bestowed upon himself the ancient Turkic title of Kaghan. including Almalïk and Alatagh. 1969. who lived at the end of the ı ı thirteenth and the beginning of the fourteenth century. on the lower Syr Darya. which go back to the early Middle Ages. 9. Oghuz Khan seized his father’s lands in the district of Talas. ı a ı ı s Agajanov. however. which took the form of predatory incursions and wars. the Oghuz crossed the middle reaches of the Syr Darya and the foothills of the Karatau in this migration. the Persian historian Rash¯d al-D¯n. 1949. In 742. 1953. Rash¯d al-D¯n.3 Study of the medieval sources by scholars shows that the migrations of the Oghuz began as early as the eighth century. The Oghuz subsequently launched major campaigns to the west and appeared on the borders of Transoxania and Khwarazm. they clearly reflect the main thrust of their migrations from east to west. was built in the regions which they had conquered. while the leader of the Karluk retained the title of Yabghu. In the course of this struggle for power. while the leaders of the Uighurs and the Karluk acquired the title of Yabghu.5 From there they gradually began to penetrate to the Aral steppes and the northern shores of the Caspian. M¯rkhw¯ nd. To judge by some of the archaeological evidence.2 The historical traditions of the Oghuz. however. they reached the borders of Europe. 39. On the whole. In the year 744. 122–9. 41. Local governors of the Tahirid family were obliged to construct fortified 2 3 4 5 Kononov. Oghuz Khan then managed to subdue a large number of lands and regions. 410–12. in 766. pp.ISBN 978-92-3-103467-1 Contents The Oghuz account of this old legend. The head of the Uighur tribes then became the supreme Kaghan. More than twenty years later. the Uighurs and the Karluk – whose leaders shared political power. many of the Oghuz apparently moved to the southwestern regions of western Central Asia. In the first half of the ninth century there are references to the presence of the Oghuz on the boundaries of Khurasan. The movements of the Oghuz covered a vast area from Semirechye and the western T’ien Shan to the Aral Sea and the northern Caspian. 1841. pp. where they carried out armed raids. 67 Copyrights . 1972. The new Oghuz capital. 307–401. In the course of these migrations. wrote that after a lengthy struggle.

68 Copyrights . p. 893–8 and defeated the Pechenegs. the Tangaur and the Usergan.ISBN 978-92-3-103467-1 Contents The Oghuz outposts (rib¯ ts) in the region. c Abd All¯ h b. while others may have been Finno-Ugrian. Most of the Pechenegs were driven from the areas in which they had long been established. the Buryazn. the events described by al-Masc udi must have taken place between the middle and the end of the ninth century. Unfortunately. According to the Byzantine emperor Constantine Porphyrogenitus. unable to withstand the pressure of their enemies.6 By that time. 1963. p. The leaders of the Oghuz. 1932. 129. 1894. who were present on the borders of Transoxania during the second half of the eighth century. initially combined with certain of the Karluk and Kimek and attacked the Pecheneg-Kangars. recount that they originally lived in the valley of the Syr Darya and in the Aral Sea region. the Nukarda and the Bajgird occupied the steppe around the Aral Sea. may be identified with elements of the modern Bashkirs. Pechina.9 The wars between the Oghuz and the Pecheneg-Kangars with their allies were long and hard-fought. The legends of the Bashkir tribes. T¯ hir (828–44) had similar fortifications built a a a in Dihistan and Farawa in the area of present-day Turkmenistan. the Oghuz formed an alliance with the Khazars in c. whom scholars believe to be the Pechenegs. most of whom were probably Turkic. Some ethnographers believe that they left those regions in the eighth and ninth centuries and settled in the foothills of the southern Urals and the Ural region. 180. Oghuz leaders had already achieved political hegemony in the Aral Sea region.7 ¯ The tenth-century Arab geographer and traveller. Nukarda and Bajgird. The Pechenegs. a Kuseev and Shitova. 15. al-Masc udi. p. 320. tells us that the Pechenegs. the Pechina. left the Aral Sea region and moved down into Asia Minor. together with some of the Karluk and the Kimek. Turkmen folk-tales tell of the savage battles between the Oghuz and the It-Bejene people. the borders of their domains stretched. the sources provide practically no information about these peoples.8 Judging by all the evidence. The leaders of the Oghuz 6 7 8 9 Al-Bal¯ dhuri. according to Byzantine sources. One of the above-mentioned tribes. who lived between the Volga and the Ural rivers. the Nukarda and the Bajgird. The Oghuz. Around 932–3 these four Turkic tribes entered the confines of the Byzantine empire. p. only a few of them wished to remain there and settled with the people known as the Ghuzz (Oghuz). as far as the River Ural. The fierce encounter between the Oghuz and the Pechenegs described by Constantine was the culmination of a struggle which had started at an earlier date. 1969. ¯ Al-Masc udi. the Bajgird. engaged in a bloody struggle against the Pecheneg confederation. The Pechenegs apparently headed a tribal alliance which also included the Pechina. Agajanov. and at the end of the ninth century.

Apparently. In this dogged fighting. ended with the arrival of the Oghuz on the borders of Europe and Asia. which had hostile relations with the Pechenegs. who lists the Oghuz among the ı ‘kingly’ peoples. the process can scarcely have been completed by the year 766. p. according to al-Yac q¯ b¯. For a long time. In their fierce struggle against the Pechenegs. In the struggle of the Salïr with the ItBejene people. Before the clash with the Pechenegs. However. these groups were in the course of time gradually assimilated into the Oghuz people.ISBN 978-92-3-103467-1 Contents The Oghuz tribe of the Salïr or Salur played an active part in this struggle. u Ibn al-Faq¯h. who occupied the lower reaches of the Syr Darya and the Aral Sea region. The next act in the bitter warfare between the Oghuz and the Pecheneg confederation was played out at the end of the ninth century and the beginning of the tenth. they occupied the foothills of Kazykurt and the upper reaches of the Badam river along the middle reaches of the Syr Darya. p. political power was held by the leaders of the Salïr. after the destruction of the Kaghanate of the Western Türks.11 Al-Yac q¯ b¯ wrote his historical and geographic work in the year 891 u ı and Ibn al-Faq¯h completed his work in 903. success went now to one side and now to the other. These historical events. Most of these tribes were Karluk from western Semirechye and Kimek from central Kazakhstan. The tenacious struggle against the Pecheneg confederation. the Oghuz leaders inflicted a decisive defeat on the Pechenegs and seized their lands on the lower reaches of the Volga and the Ural rivers. As indicated above. waged over a period of many years by the Oghuz. 168. The first reliable references to the Oghuz state are provided by Arab sources at the end of the ninth century and the beginning of the tenth. It is therefore possible that the rise of the ı 10 11 Al-Yacq¯ bi. the Oghuz leaders depended for assistance on some of the neighbouring Turkic tribes.10 Similar accounts may be found in the writings of Ibn al-Faq¯h. which were accompanied by the mass migration of nomadic tribes. It eventually ended with the victory of the Oghuz. The Kimek tribes allied with the Oghuz acquired some pastureland in the steppes of the Aral Sea region and the northern Caspian. the Oghuz had u ı their own separate dominion (mamlaka) side-by-side with other Turkic tribes. Those of the Pechenegs who remained after their defeat at the end of the ninth century were assimilated by the Salïr and other Oghuz tribes. enabled them to consolidate their position around the most powerful tribal leaders. 1892. with attacks being launched by both. ı 69 Copyrights . The formation of the Oghuz principality in the steppes probably began as early as the eighth century. they enlisted the support of the Khazar Kaghanate. one of the largest Oghuz tribes. 295.

who are referred to as one of the Oghuz tribes in the eleventh century. ıu 15 Al-K¯ shghar¯. the Imur and the Kay. pp. they also incorporated Alans and Asï who had settled on the steppes from the Aral Sea to the eastern shores of the Caspian. a ı 12 70 Copyrights . Finding themselves far to the west after the victory over the Pechenegs. depicted a bow and arrows. They were probably subdivisions of those tribes which had become the allies of the Oghuz leaders in their struggle against the Pecheneg-Kangar grouping. there were initially 10. Mahm¯ d al-K¯ shghar¯. they were eventually incorporated into the Oghuz. occurred in the language of the Oghuz in the eleventh century. 410–12. pp. asserts u a ı that they had originally consisted of twenty-four tribes. it was an ethnopohtical union subject to leaders or rulers who enjoyed (or aspired to) the supreme prerogatives of kingly power. for the entire grouping or tribal grouping. In addition to the Pecheneg-Kangars and other steppe tribes. were probably descendants of the Charuk. These were chiefly Khalaj.13 Subsequently. including The precise significance of this expression remains unclear. the Bayundur. probably with an ethnic content. 96. 95. ‘clan’. the author of an eleventh-century Arabic-Turkish dictionary. In other words. Chief among these were the Imek-Kimek tribes. It is worth pointing out that the monogram of the Seljuq dynasty (of Oghuz origin). meaning ‘the seal of the khan. 304–7. most of whom inhabited the area between the rivers Ob and Irtysh. but three main lexical components can be identified.14 The Oghuz also incorporated Turkic elements from Semirechye.12 According to historical traditions. tughra. pp. which was also known as tughra. The third component is a common designation. also dates from roughly this period. they had adopted Turkic ways as a result of mixing with the Pechenegs. 1917–19. The symbolic content of the monogram was based on the notion of the bow as a symbol of kingly power and of the arrows as a sign of dependency and submission of the junior to the power of the senior. 13 Rash¯d al-D¯n. ‘tribe’). The first is the widely known term ok which literally means ‘arrow’ (or. groups of Karluk and other western Turkic peoples. the monogram or decree of the khan’. with its capital in Yengi-kent on the lower reaches of the Syr Darya. The second component. however. The Yaruklugh. however.000 families in all. in a broader sense. Later authors. their numbers were swelled by other newly arrived and local ethnic components. Hence it may be supposed that Ok Tughra Oghuz was the designation of a grouping of tribes and clans whose distinguishing symbol was the image of an arrow. The formation of the Oghuz principality occurred at the same time as the development of an essentially new ethnic grouping. These last were of Indo-European origin. The Oghuz were made up of a number of tribes composed of a large number of clans.15 Individual components of the eastern Turkic peoples of the steppes also played a part in the formation of the Oghuz. 1966. ‘branch’.ISBN 978-92-3-103467-1 Contents The Oghuz Oghuz principality. They included elements of the Yughra and the Charuk who had previously inhabited the valley of the Chu and the Talas. The core of the Oghuz confederation was originally constituted by the so-called Ok Tughra Oghuz. ı ı 14 Al-B¯r¯ ni.

pp. but they did not always constitute a majority of the population. Yiva.16 The divergence between the sources may ı be explained by the division of the Oghuz into two exogamous groups.17 Various of these tribal names are still to be found among the Turkmen people today. 1917–19. Transoxama and Khurasan. where they held the impregnable fortress of Gorguz.ISBN 978-92-3-103467-1 Contents The Oghuz Marwaz¯. The elders enjoyed great privileges. Each group consisted of twenty-four tribes and was in turn divided into two equal parts. Alka-bulak. whereas the Uchuk belonged to the ‘younger’ tribes of the left wing. Imur. Bukduz. In the tenth century. p. the Buzuk and the Uchuk. Tüger. the Uil and on the right bank of Lake Aralsor. From the ninth to the eleventh century. Oghuz tribes inhabited the vast area of western Central Asia and what is now Kazakhstan. Karabulak. this term normally has the meaning of ‘people’ or ‘political grouping’. the Ural. Their encampments were scattered along the Irgiz. Uregir. ı Al-K¯ shghar¯. on the eastern and northern shores of the Caspian and the lower reaches of the Syr Darya. Jebni. kök and oba. Igdïr. the ‘new settlement’. in the eleventh century the Oghuz consisted of the following a ı tribes: Kïnïk. Afshar. and also lay on the path of major caravan routes through the Kimek steppes 16 17 Marwaz¯. 56–7. the Oghuz tribes bordered on the lands of the Bashkirs and the Burtas. The town lay not far from the developed. Zaunguzsk and south-eastern Karakum and the Kyzyl Kum. 29. Isolated groups reached the southern shore of Lake Balkhash to the east. Their camps and fortresses stretched as far west as the southern Urals and the lower Volga. the steppe stretching westward from the Khazar lands and the deserts of the northern Caspian. a ı 71 Copyrights . speak only of twelve Oghuz tribes. were known as the Oghuz desert. The political and economic centre of the Oghuz principality was Yengikent. Yavuldar and Yaruklug. According to al-K¯ shgar¯. the Emba. Bektili. the ‘elders’. Salïr. particularly in connection with the election of the Khan. Bayundur. Bejene. Ula-yondulug. which were incorporated in the right and left wings respectively of their forces. They bordered on settled agricultural regions in Khwarazm. The tribal and clan divisions of the Oghuz were known as boy. the foothills of the Karatau and the Chu valley. the valley of the Syr Darya. The term boy usually denoted the tribe whereas oba and kök were applied to clan divisions. 1942. the central. Tutïrka. Their numbers were greatest in the Aral Sea region. Bayat. Yazgïr. The Buzuk belonged to the right wing. Oghuz clans and tribes formed part of larger tribal groupings referred to as il. cultivated oases of Khwarazm and Transoxania. The Oghuz also inhabited the Aral Sea region. In medieval ArabicTurkish glossaries. or supreme ruler. Moving along the Urals and as far as the left bank of the Volga.

The Ulug Begs controlled the clan and tribal associations. the Oghuz chose their a rulers and decided other matters at popular assemblies.18 At the time. The commander-in-chief of the troops played an important role in Oghuz society. 108–16. The wives of the Oghuz rulers bore the honorary title of Kh¯ t¯ n and played an important role in court life. Al-Idr¯s¯ ıı testifies to the presence of several ‘princes’ or ‘kings’ among the Oghuz. the Oghuz principality had only the most primitive administrative machinery. whereas the Begler Begs commanded the right and left wings of the army. ‘warrior’. An important role in the social and political life of the Oghuz was played by the Khans and Iliks who governed the tribal units. This was based on the privileged access to power of the oldest member of the clan.20 18 19 20 Al-Idr¯s¯. aı u Agajanov. whose power was transmitted on a hereditary basis. including tax-collectors who collected tribute from the nomadic and settled populations. ‘man’. 1969. although he was formally considered to be ‘elected’ to the kingship. that of the Oghuz was not monolithic. oglan). meaning ‘person’. and the Oghuz sö-bashï frequently meddled in tribal politics. referred to as er. The Oghuz rulers were chosen from the leading paternal lines (urug) according to the unwritten rules of customary law (töre). 72 Copyrights . An er was a full member of society and not a slave (kul) or bondsman (kïrnak). they had an overall supreme ruler who bore the title of Yabghu. Such assemblies were nevertheless rarely held and it was the council of the nobility (känkäsh) which played the chief role in everyday life. the most important of whom were the Ulug Begs and the Begler Begs. pp. The power of the Yabghu was hereditary. ıı ¯ T¯ r¯kh-i Al-i Selj¯ q. 108–9. privileged slaves (ghul¯ m. The next a rung on the social ladder was occupied by the Beg. Between the ninth and the eleventh century. They possessed their own guards. According to the account given by the tenth-century Arab traveller Ibn Fadl¯ n. Most of the Oghuz were simple nomads. There were various categories of Begs among the Oghuz. Like most other nomadic groupings. This commander (sü-bashï) had a military council. pp. acting as supreme arbiters. They participated in the resolution of complex disputes. and the towns on the middle reaches of the Syr Darya and the southern Urals. Kengir and Ishim. at times openly opposing the Yabghu. The Yabghu had co-rulers or subau stitutes with the title of Kölerkin who wielded great authority. 14.ISBN 978-92-3-103467-1 Contents The Oghuz to the valley of the Sarysu. There were officials. who consisted of young. Tutors (atabegs) were appointed for the education of these heirs. p. The Khan’s collectors had their own mounted detachments which employed military force to collect taxes in the event of a refusal to pay.19 The Yabghus had their own heirs who bore the title of Inal.

p. The Khwarazmian armies managed to drive out the ‘Turks’ who had invaded the Khazar lands. whose political importance in eastern Europe was greatly strengthened after the defeat of Volga Bulgharia. 418. the account must refer to the struggle of the Oghuz in alliance with a Russian force against the Khazar Kaghanate. However.21 It would appear that Khwarazm also played a part in these events. The appearance of the Oghuz in the historical arena of western Central Asia and eastern Europe changed the balance of forces in western Inner Eurasia. which ran from western Central Asia and the Volga region to eastern Europe. 1948. such as Khwarazm. The defeat of the Khazar Kaghanate contributed to the growing military influence of the Oghuz. All these factors determined the Yabghu’s policy of establishing an alliance with ancient Rus against the Khazar Kaghanate. open Don and Black Sea steppes. Dunlop. 209. which had been a rival of ancient Rus. In 985 Prince Vladimir conducted a joint campaign with the Oghuz against the Bulghars. 1870. handicrafts and other products. but there were also peaceful trading relations. 1954. They also sold and exchanged skins. 1921. The Oghuz conducted frequent campaigns and raids against neighbouring regions. according to ancient Russian chronicles.ISBN 978-92-3-103467-1 Contents The Oghuz The political grouping of the Syr Darya Yabghus played a noteworthy part in the political and military history of Inner Eurasia. In 965 a military treaty was concluded by the Oghuz Yabghu and the Russian prince Svyatoslav against the Khazars. providing military assistance to the Khazar Kaghanate. buying in return chiefly grain. wool. Clashes between the Oghuz and the Khazars began on the western approaches to the Mangïshlak peninsula. pelts and other goods in the local markets. Miskawayh speaks of an attack launched on the land of the Khazars by the army of the Rus. Ibn al-Ath¯r. The international trading routes controlled by them. a conflict soon broke out between the allies. a consequence of this military-political alliance was the destruction of the Khazar state. The nomadic Oghuz acquired herds of horses and other livestock in the neighbouring agricultural lands. the prince’s force 21 22 Tolstov. p. Transoxania. allegedly because of the Khazars’ refusal to accept Islam. The Khazars barred the access of the Oghuz to the rich. Miskawayh. Khurasan and Volga Bulgharia. ı 73 Copyrights . Judging by the fact that the same date is given in the Arab and ancient Russian manuscripts.22 The defeat of the Khazars in 965 was preceded by a lengthy struggle with the Oghuz. Medieval Arab historians refer to the successes of the Khazars and their Khwarazmian allies. also held a great attraction for the Oghuz.

35–48.ISBN 978-92-3-103467-1 Contents The Kimek sailed along the Kama in boats while their allies (torki) rode along the bank on their horses. Discontent with the fiscal policy of the Yabghu was exploited by leaders of the tribes in the Seljuq group. 151–8. who put an end to the Syr Darya Yabghus. In 1041 the Oghuz Yabghu a ı assembled a large army and seized neighbouring Khwarazm. Bayundur. however.25 The Kimek federation was originally composed of seven tribes: the Imur. 1972. The migration of the bulk of these tribes (or their constituent clans) took place after the defeat of the Uighur Kaghanate in Mongolia. the son and successor of c Al¯ Khan. Tatar. 74 Copyrights . however. 1969. During the eighth century or at the beginning of the ninth. however. he fell into the hands of the Seljuq leaders who had occupied northern Khurasan and western Iran. the Oghuz principality collapsed under the assault of the Kïpchak. Apparently some of 23 24 25 Povest’ vremennykh let. by the Kyrgyz of the Yenisei. Nilkar and Ajlad. as their common origin was already in the distant past. the Oghuz political grouping started to decline. Kïpchak. The defeat of the Seljuq leaders at the head of these popular ‘disturbances’ helped to bolster the power of Sh¯ h Malik. pp. who had invaded the Aral Sea and the northern Caspian regions. and moved away from the Aral Sea region to Transoxania and thence to Khwarazm and Khurasan. The main reason for this was the rebellion among the bulk of the nomadic population. The Kïpchak cannot be completely identified with the Kimek (Yemek).23 At the end of the tenth century and the beginning of the eleventh. 257. 1950. pp. Originally from the steppes of eastern Central Asia. Two years later. who migrated in the middle of the tenth century from the middle to the lower reaches of the Syr Darya in the area of Jand and who led the rebellion against the Oghuz rulers of Yengi-kent. they migrated to the territory of present-day Kazakhstan. Imak. were a western branch of the Kimek tribal confederation. in the year 840. Agajanov. Kumekov. the Kïpchak entered the Kimek tribal grouping. The long struggle against the movement of rebellion and the clashes and war with the Seljuqs undermined the Oghuz from within: in the middle of the eleventh century. p. They suffered a major defeat. which began during the reign of c Al¯ Khan (who came to power ı around the middle or at the beginning of the second half of the tenth century) and was in reaction to oppression by officials and the attempted introduction of a system of regular taxation.24 The Kimek These Kïpchak.

26 From the ninth to the eleventh century. along with other steppe peoples. u ¯ 28 Ibid. ıı 26 75 Copyrights . the Kimek were more densely concentrated in the basin of the middle Irtysh and in north-eastern Semirechye. The head of the Kimek. was subsequently called the Kaghan. formed at the end of the ninth century and the beginning of the tenth. extending as far west as the Aral Sea region and the southern Urals. a and that the Kimek nobility wore costly garments made of red and yellow silk. they gradually developed into an independent tribal confederation.27 appointing the leaders of tribes. Al-Idr¯s¯ records that the Kaghan possessed ıı his own officials. had been part of the Kaghanate of the Western Türks. On the middle reaches of the Syr Darya. the Kimek clans and several tribes moved to north-eastern Semirechye and the foothills of the Dzhungar range.. was divided into a number of domains like the later ulus. 29 Al-Idr¯s¯. The rulers of these appanages. According to al-Idr¯s¯. 68. ı c in the Hud¯ d al. p. they roamed the area of Sawran and the town of Turkistan. At some time during the second half of the eighth century or at the beginning of the ninth. who had previously held the modest title of shad tutuk. After its collapse in 656. a h¯ jib (palace chamberlain) and a vizier. the Kïpchak tribes of the Irtysh migrated southwards and westwards. had eleven ‘stewards’ whose duties were also transmitted from father to son. the Kaghan. referred to in the sources as mul¯ k (kings). p. pp. while at the same time. 18. they lived with the Turkic tribes of the southern Altai and the Tarbagatay to the south and the Kyrgyz of the Yenisei to the east. 68 et seq. Individual Kimek groups and a large proportion of the Kïpchak occupied the steppes of central Kazakhstan and the northern Lake Balkhash region.29 The Kimek principality. and in the writings of Gard¯z¯ and al-Idr¯s¯. while their eastern borders stretched to the Tarbagatay mountains and the Dzhungarian Alatau. received their lands from References to the resettlement of the Kimek and Kïpchak tribes may be found in the work of Ibn al-Faq¯h. in particular the Imur and the Bayundur. Up to the middle of the seventh century. the head of the administration.ISBN 978-92-3-103467-1 Contents The Kimek them. The main area in which the Kimek initially resettled was the Irtysh river steppes. who were the descendants of hereditary tribal rulers.28 and he and his court nobles resided in a capital situated in the valley of the Irtysh. the Kimek. u ı ı ıı ¯ 27 Hud¯ d al-c alam. the latter provides the corresponding maps. This process received considerable impetus during the ninth century from the fall of the Uighur Kaghanate. Up to the middle of the eighth century. According to Arab and Persian writers of the ninth to the twelfth century. power in the clan of the Kimek rulers was u ıı transmitted on a hereditary basis. joined the Kimek tribal confederation while others were absorbed into the Oghuz. the Kaghan enjoyed considerable power. The supreme ruler.alam. 1930.

in particular. p. There they maintained contingents of their forces and stored their treasures and food supplies. 69. al-Idr¯s¯. goats. Al-Idr¯s¯. barley and even rice. ıı Ibid. especially when there were severe winters in what is now eastern and central Kazakhstan. Gard¯z¯ refers to the ı ı huge herds of horses raised by the Kimek. Vol. Like the supreme ruler. the settled Turkic population also tended vegetable gardens ı a a 30 31 32 33 Al-Idr¯s¯. 69. cows and oxen. writes that although they were ‘nomadic. ermine and predators like tigers and snow leopards. oxen. describing the life of the nomads. 68 et seq. probably in the foothills of the Alatau. 76 Copyrights . AlIdr¯s¯. Although the leaders of these groupings were subject to the Kaghan. pp. pp. but chiefly on account of cattle plague in hard winters.ISBN 978-92-3-103467-1 Contents The Kimek the Kaghan in return for military service. The horses of the steppe-dwellers were noted for their hardiness and their ability to adapt to the harsh conditions of the arid zone. Each domain supplied mounted and infantry detachments for campaigns or in the event of a sudden attack. they till the soil. although oxen were also used as draught animals. ıı Al-Idr¯s¯. describing this section of the Turkic populaıı tion. sow and harvest’.33 According to ıı Fakhr al-D¯n Mub¯ raksh¯ h. 69 et seq. but those involved must have been semi-sedentary and settled groups. ıı Bartol’d. and further took the pelts of sable. pp. although al-Idr¯s¯ reports that they also grew wheat. i. cows and camels. 28.30 Some Kimek groups moved for the winter to the steppes between the Ural and the Emba and spent the summer as nomads in the area of the Irtysh. 66. writes that they ‘used fat instead of vegetable oil ıı and tallow for lighting’. The Kimek engaged to some extent in agriculture. 1973. they also had fortress-residences which were usually located in elevated positions. Some of the Oghuz also moved to pastures in the Kimek country near Lake Mankur. The steppe-dwellers usually harnessed them to carts on which they placed their yurts (wooden-framed tents covered with felt). outbreaks of epizootic disease or when the cattle were driven off by hostile tribes. The fur and hides of wild animals and the meat and skins of domestic livestock were sold or exchanged at points adjacent to the settled lands in the south.32 They settled on the land for various reasons. 8. Like the Oghuz and the Kïpchak. the Kimek hunted furry animals such as the fox. Like the Kïpchak and the Oghuz. 45. and Al-Idr¯s¯ notes that the nomads preferred ıı horsemeat to beef or mutton and made koumiss (a drink of fermented mares’ milk). the most powerful of them were semi-independent ‘kings’. The semi-sedentary groups of the Kimek and other steppe peoples mainly sowed millet.. played an important part in their economy. the Kimek bred horses. marten and beaver.31 The Kimek also possessed cattle. sheep.e. pp. Sheep. these tended to be owned by semisedentary elements.

so that the Kïpchak invaded the basin of the lower Syr Darya and seized the region between the Volga and the Ural rivers. bow covers and horses’ harness. hunting and agriculture. like the Oghuz and the Kïpchak. Bartol’d and others have linked these events with the external policy of the Liao empire in northern China. which had been attacked by the Kay people. This wave of migration began in eastern Central Asia and in the Far East with the movement of the Kun tribe. 1927. arrows and spears occupied an important place among household crafts. 41. practised certain crafts. this wave of migrations affected the Kimek tribes of the Irtysh and north-eastern Semirechye and further drew in the Kïpchak. ıı 77 Copyrights . the Kimek. The ethnonym is first encountered in the seventh century. 68 et seq. the Kimek ruler wore a golden crown and clothes sewn with golden thread. which some scholars believe to have been a group of the Kïpchak.34 yet agriculture must have been underdeveloped and could scarcely have met their own needs. pp. vessels. Drawing on the accounts of Marwazi and other medieval writers. when the people were living on the upper reaches of the Irtysh and the adjacent steppes of what is now eastern Kazakhstan 34 35 Fakhr al-D¯n Mub¯ raksh¯ h. quivers.35 In the ninth and tenth centuries. Furs were also used for clothes. quivers. In addition to raising cattle. The manufacture of weapons such as bows. they take the view that Kitan expansion was responsible for provoking a chain reaction of migration among the peoples of Inner Asia. The skins of domestic animals were used to make various types of footwear. refined ornaments from gold and silver. ı a a Al-Idr¯s¯. The women made felt from wool. The displaced Kun invaded the lands of the Sari tribe. so that the Kimek tribal entity collapsed.independent domains sapped the authority of the Kaghans. the northern Caspian and on the lower Volga. who had pressed against the neighbouring Oghuz in the Aral Sea region. wove clothes and produced felt in large pieces and pile-less rugs. Apparently. According to al-Idr¯s¯ again. that of the probably Mongol Kitan. ıı the Kimek and the Oghuz were skilled in iron-working and knew how to make beautiful. unable to withstand the pressure of neighbouring nomadic peoples. The Kïpchak The history of this period is rich in major events that have not been sufficiently investigated. the Kimek state was one of the strongest nomadic powers in Central Asia. Medieval sources contain scant information on the early history of the Kïpchak tribes. but it gradually began to decline when the system of semi.ISBN 978-92-3-103467-1 Contents The Kïpchak and even vineyards. Minorsky. p.

S drevneyshykb vremen do nasbykh dney. Kazakhstan and the lower Volga region had passed to the Kïpchak after they defeated the Oghuz and seized their lands. pp. Vol. In addition to groups of Oghuz. They then moved far to the west. 2. but gradually formed an independent ethno-political grouping. whose integration with the Kïpchak was assisted by the similarity and cognate status of their languages and by the similarity of their economy and social 36 37 38 39 40 Istoriya Kazakhskoy SSR. during the Khwarazmian struggle for political independence from the Ghaznavids. In the middle of the eleventh century. part of the Kïpchak population was to be found in areas of central Kazakhstan and to the north of the Aral Sea on the north-eastern edges of the Kara Kum. The south-eastern borders of their territory extended as far as the neighbourhood of Taraz (present-day Jambul). Their advance was also directed towards the borders of Khwarazm and the lower Oxus region. 52. uncoordinated groups of Kïpchak occupied a vast expanse from the Irtysh to the Volga. although they may have been one of the eastern Turkic tribes incorporated in the Kïpchak. occupying this region alternately with the Oghuz tribes whom they had subjugated. By the middle of the eleventh century. 1962. the camps and pastures of different groups of Kïpchak extended as far as the Irtysh and the western slopes of the Altai. 2. Istoriya Kazakhskoy SSR. with the Kïpchak leaders acquiring particular prominence in the Khwarazmian army. Vol. pp. To the east. 1979. 153. In the tenth century..37 Judging by several historical reports. taking control of the south Russian and Black Sea steppes. so that in eastern sources this entire region became known as the Dasht-i Kïpchak. The origin of the Kujat is unclear. Vol. 59–70. S drevneyshykh vremen do nashykh dney. 50 et seq. 152. pp. ı Ibid. 827. the Yigrak (Igrak) were a part of the Oghuz who had gradually become integrated with the Kïpchak.38 Towards the end of the eleventh century. and in ancient Russian sources as Polovetskoye Pole. Abu ’l-Fadl Bayhaq¯. According to the Ghaznavid historian Bayhaq¯. other Turkic elements entered the Kïpchak federation. whereas previously. 1969.39 The collapse of the Oghuz and Kimek states in the middle of the eleventh century contributed to the consolidation of the tribes within the Kïpchak federation.ISBN 978-92-3-103467-1 Contents The Kïpchak and the southern Altai. 78 Copyrights . small. p. p. the Kïpchak.40 This westward and southward migration of the Kïpchak from the east was accompanied by the formation of a new ethno-political grouping. the Kïpchak. 1979. Yigrak and Kujat settled in the steppes ı bordering on Khwarazm. reaching western Siberia in the east. hegemony in the steppes of western Central Asia. where the fortress of Kenjak Sengir was built. the Kïpchak appear on the map of al-K¯ shgar¯ a ı as inhabitants of the Aral Sea and the northern Caspian regions.36 Initially. Yigrak and Kujat were drawn into the service of the Khwarazm Shahs as auxiliaries. 1. the Kïpchak were subject to the Kimek Kaghans. Polnoe sobranie russkikh letopisey.

According to a twelfth-century Persian encyclopaedist.ISBN 978-92-3-103467-1 Contents The Kïpchak structure. 1958. who had their own military forces. they all acquired the common ethnonym of ‘Kïpchak’. Kara Khitay and others. The Kïpchak tribes were led by their Begs. There was no uniform administrative and political system in the Dasht-i Kïpchak. there were also a number of groupings of varying sizes in the eastern Dasht-i Kïpchak. In this same period. p. the Ural and the lower Volga. the Dniestr. and the Baya’ut. The Kïpchak federation also included the Bayundur. The pasturelands of each of these groupings were strictly delimited. Pecheneg. Karluk. p. 162.42 These groups were probably gradually assimilated by the Turkic population of Volga Bulgharia. who were of Oghuz or Kimek origin. Islamic historians of the thirteenth and fourteenth centuries name a whole series of Kïpchak tribes. 1962. 1969. 389. and the tribal groupings by the hereditary families of Khans. Polnoe sobranie russkikh letopisey. p. including some of the ancient Bashkirs and the so-called Uighurs. Vol. p. migratory movements were conducted in accordance with established custom and with the permission of the principal leaders and elders of the tribe. but the Kanglï tribe was a component of the Pecheneg-Kangars. Al-Nasaw¯.43 The Baya’ut were probably of Kimek origin. Thus the Kïpchak absorbed large groups of Yemek (Kimek) who had migrated from the region of the Irtysh and Semirechye as far as the borders of Europe. Bulghar and other origins. 1895. were also to be found in it. 1. some of whom served in the guard of the Khwarazm Shahs. Other steppe tribes and peoples also lived in the Dasht-i Kïpchak. the town of Saksin in the region between the Volga and the Ural rivers was subject to attacks by the Kïpchak and the Yemek. The largest Kïpchak groupings were in the region of the Dniepr. most of which were led by a Khan.41 and reports mention that some of the latter had penetrated as far as the Kama river at this period. but after a comparatively lengthy period of ethnic development. the Kanglï and the tribe of the Urani. living to the north and east of the Aral Sea. and also in the Aral Sea and the northern Caspian regions along the lower and middle reaches of the Syr Darya and in what is now eastern Kazakhstan. 44. such confederations or hordes were most frequently referred to by the Old Turkic term il. ancient Bashkir. servants and slaves. processes of ethnic assimilation and consolidation of considerable complexity took place throughout the Dashti Kïpchak. ı ı 79 Copyrights . 465. The western Kïpchak tribes absorbed people of Oghuz. the eastern Kïpchak merged with the Oghuz-Kimek. whereas the ethno-terntorial groupings were known as ulus. 41 42 43 Agajanov. Juwain¯. From the eleventh to the beginning of the thirteenth century.

the supreme Khan of the Kïpchak concluded a peace treaty and submitted to the Seljuq ruler.46 In the twelfth century and at the beginning of the thirteenth. u a ı Ibid. and by way of Mangïshlak and the Ustyurt plateau surged into eastern Europe. 1920. the Kïpchak Khans successfully competed with the Khwarazm Shahs. the father of Ulugh Khan was ‘in Turkistan. was more concerned with the protection of the northern frontiers of his domains than with decisive operations against the warring nomads of the Dasht-i Kïpchak.44 One member of this ruling family was Ulugh Khan who. According to the historian Ibn al-Ath¯r. The historian J¯ zj¯ n¯ writes that. Their southward movement further affected the agricultural regions of Khwarazm. At the beginning of the fifth decade of the eleventh century.ISBN 978-92-3-103467-1 Contents The Kïpchak The appearance of the Kïpchak on the historical stage altered the balance of political forces in the Kazakh steppes. The first shah of the line of An¯ shtegin.45 According to the same account. and the neighbouring Kïpchak did not fail to take advantage of this. western Central Asia and eastern Europe. who had built up a powerful empire in western Asia (see below. who had ruled ‘over 10. Chapter 7). Gurgan and Khurasan. p. they seized the Aral Sea region. Seljuq forces from Khurasan ı conducted a campaign against them in 1065.. 1881–97. The French Altaicist and Sinologist Paul Pelliot advanced the hypothesis that a large proportion of the eastern Kïpchak were ruled by the Ilbari dynasty in the twelfth century and at the beginning of the thirteenth. in his youth. before being taken u a ı prisoner. Sultan Qutb al-D¯n u ı Muhammad (ruled as a Seljuq vassal 1097–1127). Sh¯ h Malik of Jand. 1294. The Kïpchak now occupied a vast expanse of steppelands in what is now western and southern Kazakhstan. when Sultan Alp Arslan brought a large army to the region of the Kara Kum which had been seized by the Kïpchak and the Turkmens who had joined them.000 families’. This victory a of 1041 helped to shatter the power of the Oghuz. when we find references in the contemporary sources to important Kïpchak rulers living on the lower reaches of the Syr Darya and in the Aral Sea regions with their centre at Jand. Fearful of attack. 80 Copyrights . apparently by the mid-eleventh century. apparently because of threats from the expanding and 44 45 46 Pelliot. There were struggles between them for control of the towns along the lower and middle Syr Darya through which passed the trade routes from eastern Europe to Central Asia. Khwarazm was taken over by the Seljuq leaders. had been a slave in northern India but subsequently became sultan of Delhi in the thirteenth century. who defended here the last Oghuz Yabghu. 800. he considered himself as ‘the Khan of the Ilbari and the Shah of the Yemek’. p. J¯ zj¯ n¯. his grandfather had been a member of the clan of Abar Khan of the Ilbari. chief among the tribe of the Ilbari and bore the title of Khan’.

and many nomad leaders held high posts and titles in their state. Sources from the end of the twelfth century and the beginning of the thirteenth mention a whole series of Kïpchak nobles from the Urani tribe who played an important role in political events on the borders of Khwarazm. p. The rulers of Khwarazm had long been accustomed to recruiting Kïpchak for military service. Muhammad. when the Khwarazmian forces defeated the Kïpchak and their Oghuz allies and occupied the fortress of Jand. who had been appointed governor of the town of Utrar. This Kïpchak confederation was apparently headed by a dynasty from the Urani tribe. Among these are the names of Alp Kara Urani and Kadïr Buku Khan – the latter’s daughter was married to the Khwarazm Shah Tekish. In 1133. As has been mentioned above. who replaced Qutb al-D¯n Muhammad as shah in ı 1127. and at a decisive moment in the ensuing battle. one of the preau tenders to the title of supreme ruler of the western part of the Dasht-i Kïpchak.37. Atsïz inflicted a decisive defeat on the Kïpchak Khan. who considered himself to be the head of the Kïpchak of what is now southern and western Kazakhstan. using the forces of Gayir Khan Inalchik.ISBN 978-92-3-103467-1 Contents The Kïpchak vigorous Kïpchak. the Kïpchak who survived the defeat were obliged to withdraw northwards into the steppes of what is now central Kazakhstan. conducted a military campaign against Mangïshlak. whose sobriquet was Alp Derek. During the campaign of 1195. who ‘enjoyed the greatest respect among the infidels’. however. an event occurred during the battle which was unforeseen by the Khwarazm Shah and which decided the fate of his military campaign. In 1195 Tekish launched a campaign in the direction of Signak against Kadï’r Buku Khan. However. the anarchic nomads continued to chafe against control from Khwarazm. Kïpchak from the Urani tribe formed a guard for the ruler of Khwarazm. 81 Copyrights . The campaigns of the Khwarazm Shahs against the Kïpchak tribes of the Syr Darya and the Aral Sea region weakened Kïpchak power and led to their dispersal across Central 47 Bartol’d. Atsïz b. However. they betrayed Tekish and went over to the side of Kadï’r Buku Khan. moreover.47 This led to serious disturbances among the nomadic tribes in the area. but were severely defeated. The Khwarazm Shahs took every opportunity to stir up internecine strife among the Kïpchak leaders in order to weaken them: they exploited the fierce struggle of the Kïpchak leaders for control of the town of Signak (the main centre of the Kïpchak domains in the Syr Darya steppes) and the fierce disputes between Kadï’r Buku Khan and his nephew Alp Derek. The Khwarazm Shah was defeated. Inalchik. In 1215 they rose in rebellion in the neighbourhood of Jand and Sïgnak. the Kïpchak troops in the Khwarazm Shah’s army were reluctant to fight against their kinsmen. contended for power with Kadïr Buku Khan (also known by the name of Kïran or Ikran). 1898. but eventually managed to subdue Sïgnak. This princess (Terken Kh¯ t¯ n) had a brother called Gayir Khan Inalchik.

the Dasht-i Kïpchak was conquered and incorporated into the vast Mongol empire. contributing to the political fragmentation of the Dasht-i Kïpchak.ISBN 978-92-3-103467-1 Contents The Kïpchak Eurasia. The Kïpchak were therefore unable to show effective resistance during the Chinggisid invasions and at the beginning of the thirteenth century. 82 Copyrights .

. . . . . the majority were Persians). . . Negmatov Contents The creation of the Samanid state . . . 84 86 87 88 89 90 90 92 93 100 101 By the tenth century. . . .ISBN 978-92-3-103467-1 Contents THE SAMANID STATE 4 THE SAMANID STATE* N. . . . . The system of government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 Copyrights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sogdians. . . . Agriculture . although such Middle Iranian languages as Khwarazmian and Sogdian were still in use in certain regions – in the case of the former. . . . . . . for some four centuries subsequently. . . . . . . . . . . . . . . . . . . . . . . . originally coined in western Persia to aı aı denote the conquering Arabs. . . . Central Asia and the Ismac ili movement . . Very soon it became used for the Persians as * See Map 3. . . . . . . . . . . . . . . . . . . . The ethnic composition of the Samanid state and the creation of an Eastern PersianTajik ethnic identity . . . . . . now came in Khurasan and Transoxania to be applied to all the Muslims there (at this time. . . . . . . . . . . . . . Domestic and external trade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Material culture . . . . . . . . . . . . . . . . . . . Crafts . . . . in distinction to the largely pagan Turks of the adjacent steppelands. . . . . . . . . . . . Khwarazmians and others – were using the New Persian (Farsi-Dari) language as their spoken and written form of communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Mining . N. . . . . . . . . . . . . Bactrians. . . The nature of political authority under the Samanids . . . . . . . . . . . . . . . . . . . . . . . . . Transoxania and Khwarazm – Persians. . . . . . . . . . . . Intellectual life . . . . . . . The terms T¯ z¯k/g (Middle Persian) and T¯ z¯ (New Persian). . . . . . . . . . . . . . . the majority of the various Iranian peoples of Khurasan. . . . . . . . . . . . .

minted bronze coins in their own names. Asad. Yahy¯ u u a and Ily¯ s – took part in putting down the uprisings of R¯ fic b. Ahmad had seven sons: Nasr. From the thirteenth century onwards. and mustered militias and mounted campaigns against surrounding provinces. Ahmad. Asad. Asad did u much for the advancement of the Samanids and the consolidation of Transoxania. aı Under the Samanids. Bunjikat. Hulbuk. i. the most capable of the brothers.ISBN 978-92-3-103467-1 Contents The creation of the Samanid state against the incoming Turkish tribal or military ruling class. 84 Copyrights . the later form T¯ z¯k developed and became standard in Central Asia. the representatives of another local dynasty. were appointed rulers of a a number of rich provinces: N¯ h of Samarkand. 735–8). The energetic N¯ h b. pp. a The Samanid brothers. and after the death of Yahy¯ b. began to assert themselves in Transoxania. as a reward for their services to him. that of the Samanids. the first partial unification of Transoxania took place. Yac q¯ b. see Bosworth. who became aı 1 For the chronology of the Samanids. the governorship of Samarkand passed ı u into the hands of Ahmad’s son Nasr. 170–1. social and economic life of the whole region was concentrated. Is’h¯ q and u a aı a Ham¯d. the basis of the future unitary Samanid state was laid by Ahmad b. the governance a of Chach and Usrushana was transferred to Yac q¯ b. S¯ m¯ n-Khud¯ . The sons of Asad – N¯ h. which is identified in a number of sources with various settlements of the same name in the provinces of Balkh. while initially subject to the Tahirids. An ancestor of the Samanids. Thus. Samarkand. while S¯ m¯ n-Khud¯ ’s son Asad was later converted to Islam in a a a Merv by the future caliph al-Ma’m¯ n (813–33). there was a period of expansion and florescence for the cities and towns of Khurasan and Transoxania – Nishapur. Yahy¯ of Chach and u a Usrushana. Asad b.e. Khujand. After the death of N¯ h b. al-Layth (805–10). in the u middle of the ninth century. Ahmad of Ferghana. The creation of the Samanid state1 Almost contemporaneously with the Tahirids (see above. served a a the caliph al-Ma’m¯ n and. Bukhara. were largely autonomous rulers in their own territories. and Ily¯ s of Herat. c Abd All¯ h al-Qasr¯ (725–7. a ı and converted to Islam. Chapter 2). subjugating the province of Isfijab on the frontier with the Turkic nomads in 839–40. and so on – around which the cultural. Ahmad. Asad. The process of uniting the state was completed with the entry into the political arena of Nasr’s brother. S¯ m¯ n-Khud¯ enjoyed a a a the patronage of the governor of Khurasan. was the founder and ruler of the estate of a a a Saman. Merv. with its main provinces under the authority of the house of Ahmad. Yahy¯ . However. Ism¯ c¯l. 1996. Balkh. the energetic. another of Ahmad’s sons. Asad in 841/842. in the later ninth and the tenth centuries. Samarkand and Tirmidh (Termez). intelligent and far-sighted Ism¯ c¯l b.

He reinstated Arabic as the language of administration in place of Persian and favoured officials who knew Arabic. The rule of subsequent amirs was distinguished by a gradual consolidation of centripetal forces in the state. In the subsequent years Nasr greatly strengthened Ism¯ ı a of his rule. the Karakhanids invaded Transoxania and the Samanid lands were divided up between the Karakhanids and the Ghaznavids. and in the south-east the rise of the Ghaznavids began (see below. Ism¯ c¯l was succeeded by Ahmad b. In the reign of N¯ h II (976–97). Chapter 5). Some degree of religious freedom also continued. the southern frontiers of the state extended as far as the Sulayman mountains. A little later. where the populations of Badakhshan. Tukharistan and Kabulistan. like that of Ism¯ c l¯. and the task of ruling the state was entrusted to the enlightened viziers c Abd All¯ h Jayh¯ n¯ (914–18) and Abu ’l-Fadl Balc am¯ (918–38). In the reign of the later Samanids. indeed. Not all had yet fully converted to Islam in the upper Oxus river valley. organizing the army and ensuring the internal ı a and external security of the country. He was soon assassinated by plotters. The energetic Ism¯ c¯l b. The more powerful role played by Ism¯ c¯l and his appanage of aı Bukhara. Sistan. more frequent rebellions and court disputes and an increase in the influence of the Turkish palace guards. the peripheral provinces retained a substantial degree of autonomy.ISBN 978-92-3-103467-1 Contents The creation of the Samanid state the virtual founder of the Samanid state. The reign of Nasr II. But at the same time. Ism¯ c¯l (892–907) displayed great ability in setting up an orderly system of cenaı tral and local state administration (d¯w¯ ns). The activity of Ism¯ c¯l (b. paid no regular tribute and. put a a ı ı down rebellions and created the essential conditions for social and cultural development. Ahmad (914–43) ascended the throne. Ism¯ c¯l (907–14). the youthful Nasr II b. thereby displeasing the court circles and palace guards. Chapter 6). N¯ h al-Muntasir aı u 85 Copyrights . was a period of florescence for the Samanid a ı state. and creating opportunities for economic and commercial development and for the resurgence of local scientific and literary traditions. portrayed in the sources as a aı aı devout Muslim. while in the Syr Darya basin he managed to create a fortified border from Isfijab to Taraz and eastern Ferghana. Ism¯ c¯l’s aı military victories over the Saffarids in 898 and 900 made possible the incorporation into the Samanid state of Khurasan. at the high point of Samanid power. Wakhan and Shughnan continued to profess their ancient religions. there were u increasingly frequent attempts at invasion by the Karakhanids (see below. who restored order. aı where he was invited by his elder brother Nasr (865–92) to be governor after the fall of Tahirid power in 874. 849) began in Bukhara. the military clash between the brothers in 888 and the victory of Ism¯ c¯l over aı c¯l’s de facto power in Transoxania. many of the local ruling dynasties in those provinces were not replaced. Ghazna. Kandahar and the Persian Gulf.

political and economic institutions. the head of state was the amir. for almost a century. Ahmad b. Chapter 6). ı The system of government In this system. craftsmanship and trade. shielded Transoxania and Khurasan from largescale external attack or incursions from the steppes and created important preconditions for the development of agriculture. ı a a and the state mail and the clandestine surveillance of local rulers and officials were dealt with by the d¯w¯ n of the s¯ hib al-bar¯d which was answerable solely to the central authorı a a ı ity.ISBN 978-92-3-103467-1 Contents The system of government made unsuccessful attempts to re-establish the Samanid state in 999–1005 before he was killed. partly centralized state (but see below. Financial affairs were conducted by the d¯w¯ n of the mustawf ¯. and also their viziers. 2 Barthold. apart from the postal administration. 974). as are the geographic writings of the Samanid vizier Ab¯ c Abd u All¯ h Muhammad b. who comments that ‘the character of the Samanids. For example. In this connection it is worth noting the words of a contemporary of the later Samanids. were some who valued learning. literature and art. and the provinces were governed by his appointed governors. and a number of them wrote poetry and works of geography and history. were controlled by the d¯w¯ n of the muhtasib. poetry and art. learning. diplomatic relations and important state papers were ı a ı c am¯d al-mulk (or the d¯w¯ nal-ras¯ ’il. the geographer and traveller al-Maqdis¯. Together with the royal court (darg¯ h). state lands and waqf (pious endowment) lands. The main d¯w¯ n (the d¯w¯ n of the vizier) conı a ı a ı a trolled all administrative. later. Markets. and. were responsible both to the central ı a authority and to the local provincial rulers. ı their appearance and their respect for learning and for men of learning make them the best of rulers’. Among the members of the Samanid dynasty. ten centralized military and a civilian bureaux (d¯w¯ ns) were created. weights and measures and trade generally. Control over revenue and expenditure and over ı a other state matters was exercised by the d¯w¯ n of the mushrif (inspector).2 The documentary sources are unanimous in confirming that the Samanids were able to create a strong. There were also ı a d¯w¯ ns for juridical affairs. i. Muhammad Balc am¯ (d. The local organs ı a of all the d¯w¯ ns. of correspondence). which. 1968. N¯ h alaı u Muntasir is well known. 86 Copyrights . the the responsibility of the ı ı a a royal guard and military affairs generally came under the d¯w¯ n of the s¯ hib al-shurta. at the time of its florescence.e. Nasr Jayh¯ n¯ and the historical works of the vizier Ab¯ a a ı u c Al¯ Muhammad ı b. public morals. the fine poetry of the Samanid Ism¯ c¯l b.

Chapter 2). the indigenous Iranian landowning classes (dihq¯ ns) retained much of their ancient a local authority and social influence. eventually led to the decline of the ı a Samanid state and enfeebled it politically and militarily. Minor landowners and peasants had the use of the so-called khar¯ j lands. major landowners. The very names of the d¯w¯ ns indicate the functions of a clearly structured state appaı a ratus. was the Carmathian or Ismac ili movement. artisans and merchants. In 961 the citizens of Bukhara revolted. one of whose major functions was the collecting of taxes from the population of the agricultural oases. and their situation may have been a contributory cause for some of the outbreaks of unrest in the period. state officials and the Muslim religious leaders (the waqf lands). The struggle of centrifugal forces against the central government. were exempted from taxes. This ideal was one of a hierarchical. together with discord and endless intrigue in the amir’s court and the d¯w¯ ns. society was hierarchical. The waqf lands. while some properties (the c ushr lands) only had to pay a tithe. . some 10. In practice. socially static society under a ruler governing with the ultimate authority of God and the divinely ordained shar¯c a and exercising power in the Sunni Islamic tradition. Vast masses of peasants were almost or entirely landless. but were careful to pay lip-service to the caliphal ideal. so that the Samanid amirs were their lieutenants. under which the land was divided into small plots and let out to tenants in exchange for a specified proportion of the harvest. which gained strength in the first half of the tenth century (see above.000 peasants and artisans rose up under the leadership of one Ab¯ Bil¯ l. and the lands of many landowners. the delegators of all authority. in theory at least. for example. Available information indicates that the overall budget of the Samanid state amounted to some 45 million dirhams. with a largely subsistence economy. especially in outlying provinces of the Samanid amirate such as Usrushana. As was almost universal in the Islamic world at this time.ISBN 978-92-3-103467-1 Contents The nature of political authority . with the caliph-imams being. the amirs enjoyed virtual independence. The principal form of land use was the share-cropping system. Within this ı system. Thus fixed land assets were in the hands of the Samanid dynasty. . The taxes they paid to the state treasury depended on the quality of the land a and the crops grown. so that at the end of 87 Copyrights . one of these. u a Perceptible elements of some of these movements were various religious heresies. The nature of political authority under the Samanids The Samanid state was a provincial successor-state to the c Abbasid caliphate centred on Iraq. In 907 in Ghur and Gharchistan. Ilaq and the upper Oxus principalities. of which about 20 million dirhams were spent on maintaining the army and state officials. The economic weakening of the state and its financial difficulties exacerbated this decline still further.

For example. in one of the gorges of the Bast Tagh mountain range. the preservation of the country’s de facto independence. while cotton was an enormously important agricultural crop in a number of regions (the Zarafshan and Ferghana valleys. and in other provinces. the Herat grape being especially celebrated) and the cultivation of vegetables and melons. millet.3 Under the Samanids. In the irrigated lands of Sogdiana – in Ferghana. and above all the Zarafshan valley. barley. land where dry-farming was possible) was cultivated as well as irrigated land. Chaghaniyan. rice. Agriculture was based in the main on the use of water from seasonally filled wadis. created the essential preconditions for the development of the economic and cultural life of the country. Non-irrigated land (i. were.e. In Transoxania there were numerous working irrigation systems that had been created earlier. oil-seed and other crops. as was the irrigation system of Varagsar in the central Zarafshan valley. the main provinces of Transoxania. This circumstance. 66–87. Agriculture. particularly in the Zarafshan and Ferghana valleys and in a number of other regions. pp. together with the other measures taken. Agriculture The unification of Khurasan and Transoxania around a single centre. in the Bukharan oasis. Usrushana. Gharchistan and Sistan – the peasants cultivated wheat. The melons of Bukhara and Merv 3 Negmatov. Transoxania and Khurasan were primarily agrarian lands. and a number of other measures taken by the Samanids. the most advanced provinces of the east. and so on). quinces. There were also canals in the regions of the main town of Usrushana. promoted the successful development of Transoxania. 1977. horticulture was highly developed (apricots. New canals were also dug from the Hari Rud and Helmand rivers. mining. in economic terms. Khuttal. Bunjikat. pomegranates. cherries. Transoxania and Khurasan were shielded from external invasion by the might of the state. For example. apples. almonds). 88 Copyrights . During the ninth and tenth centuries a number of new canals and hydrotechnical installations were constructed. the ending of incursions by nomads. as were viticulture (with dozens of varieties of grape. the Samjan and Shahrud canals were operating. the craft industries and trade developed further. peaches. legumes. the Merv oasis. Khurasan. pears. Chach.ISBN 978-92-3-103467-1 Contents Agriculture the tenth century the Samanid state was unable to withstand the external invasions of the Karakhanids. At the period we are considering. in the Nuratau peak. a large stone dam was built (today called Khan Bandi) and a water reservoir created. plums. walnuts. springs and artificially constructed surface and underground canals. figs. In the cultivated oases.

iron. petroleum oil. to judge the general level of development of the economy of the age. and so on. In Transoxania and Khurasan and their mountain and steppe regions. rubies. in Usrushana. They include such enormous mines as the group of Koni Mansura. vitriol. the iron fetters of slave miners have been found. and so on. salt was mined. lapis lazuli and silver were mined. Mining occupied an important place in the economy of Transoxania and Khurasan in the ninth and tenth centuries. by analogy with the state of development of the mining industry. sulphur. and marble from Bayhaq. Many minerals were mined in Ferghana: iron. The mining industry employed both free men and serfs and slaves. large quantities of iron. Rushan and Shughnan. gold. fine stone for craft working (in the Tus region). copper. mercury. Ilaq (the Ahangaran valley) was known as a major centre for the processing of silver and lead ore. particularly the rearing of sheep and horses. sulphur and other metals and minerals. near Nishapur). By the standards of the time. Kukhi Sim. lead. silver came from Parwan and Panjshir. copper and various kinds of vitriol. coal was reportedly to be found. Darvaz. Archaeological and geological research gives some idea of the development. silver. In Badakhshan. gold and iron (in Gharchistan). Date palms were grown in Sistan and sugar cane in the province of Balkh. The most fertile lands were considered to be the province of Balkh and the region between Herat and Merv al-Rudh. in Tukharistan. and in the Kashka Darya basin. 89 Copyrights . This catalogue of agricultural crops indicates how specific was the method of cultivation used. iron. tar. arsenic (in the Balkh district). Tarazkan and others in the Karamaz mountains. copper (in the Merv district). clay for pottery. In Ilaq. Koni Gut in Ferghana. Evidence for this comes both from written sources and from archaeological data. apparently. The mountains of Jurjan produced gold. Minerals were processed in Khurasan: turquoise (in the district of Rivand. being primarily based on artificial irrigation. jet. scale and technology of mining and of how deposits were prospected and explored. Konjol.ISBN 978-92-3-103467-1 Contents Mining were particularly well known and were regarded as the best in the world at that time. Numerous mine-workings of the Middle Ages have been excavated and studied. animal husbandry was practised. ore-workings were extremely successful. Geographers of the ninth and tenth centuries give many enthusiastic accounts of the fertility of the oases and their ‘unbroken carpets of greenery’. Thus in Koni Gut. Kansai. It is possible. Mining In various regions of Central Asia many different kinds of minerals were mined and processed. marble (in the district of Bayhaq). turquoise. sal ammoniac and. silver and vitriol. lead. silver. iron (in the Nishapur district). and in Asbara (Isfara). lead. tin. asbestos. in the upper Zarafshan valley.

Glass was also produced in Samarkand and was highly prized in China. including towns near the nomadic steppes: in Dizak. Bread. Urgench. Balkh. The paper produced in Samarkand. These centres produced fine cotton fabrics and their wares were widely known far beyond the boundaries of Transoxania. which were economically very important for the population of Transoxania and Khurasan. Sistan and other provinces there were many watermills in operation. Domestic and external trade The development of agriculture. Kish (Shahr-i Sabz). in turn. Both fine and coarse cotton fabrics were produced in large quantities in Samarkand. manufacturing leather goods and other items for which there was a market among the nomads. Dabusiyya. provided the motive power for seventy water mills. the Balkh river. The processing of agricultural products was widely developed. Bukhara. were centres of leather-working. on the other. Arbinjan and Chach. agricultural implements and metal dishes were produced. Wadhar (near Samarkand) and Darzangi (in the Surkhan Darya valley). in the Hari Rud valley. Benakat and other locations. armour. One of the main developments took place in textiles. Several centres of this craft are known: the settlements of Zandana (near Bukhara). to an increase in the exchange of goods between town and country on the one hand. Iskijkat. Woollen cloth and garments were manufactured in many places. particularly Chach. led. Potters also made cheap ceramics on a large scale intended for the poor. mining and the craft industries. potters made exquisite and high-quality glazed wares decorated with a variety of ornamentation. weapons and utensils were exported from agrarian regions and 90 Copyrights .ISBN 978-92-3-103467-1 Contents Domestic and external trade Crafts The growth in agricultural output and mining was the basis for an advance in the craft industries. ı a The production of ceramics flourished. and it became fashionable to inscribe the rims of ceremonial ware with passages from the Qur’an. For example. One river alone. raised water from the wells for irrigation. Wind energy was effectively used: it powered windmills and also. as reported in the T¯ r¯kh-i aı S¯st¯ n [History of Sistan]. and also in Khujand. gradually displaced papyrus and parchment in the central Arab lands. together with urban expansion. dried fruits. cloth. which was famous in Transoxania and throughout all the countries of the Middle and Near East. weapons. between rural and agrarian regions and the nomadic steppe. In the towns and population centres of Ferghana and Usrushana. These places. and. quotations from the works of celebrated poets or simply messages of goodwill. Nasaf (Karshi). while metal and glassware were also produced.

large quantities of raisins. sesame oil. tents. from Chach. red woollen winter cloaks. Amul (Charju). yarn.. from Ferghana. red ı ı cloth (mamarajil). quivers. cloaks. women’s shawls and striped garments. from Termez. needles. Taraz (Jambul). cloaks. Wadhari cloth. Bukhara. from Nishapur. sesame oil. shoulder ornaments. Bukhara. which was exported to the Turkish peoples. the River Emba. the so-called ‘Great Silk Route’. The major caravan routes of Asia passed through Khurasan and Transoxania. various fabrics. grease. Chach. turbans. Usrushana. Samarkand. from Nasa and Abiward. fine bows. from Dizak. the southern shore of Lake Issyk-kül and thence into Mongolia and northern China. pistachios. elegant goblets. The route to eastern Europe. silver cloth (s¯mg¯n). A very clear picture of the specialization of certain towns and localities in the production of goods. sulphur. There was also trade with the ancient Russian princedoms through the trans-shipment points of the cities of 91 Copyrights . From Karminiya came napkins. Local merchants embarked on enterprising commercial expeditions and probably reached China. copper. The caravans took the same route into the Khazar kingdom as far as the city of Itil on the lower Volga. iron. sheepskins. skins. and from Herat. from Samarkand. Bukhara exported ı fine fabrics. swords. Hamadan.. from Arbinjan. honey and other delicacies. scissors and grain. strong hemp. brass lamps. needles. stirrups. soap and fragrant resin. processed skins. the nomads brought livestock. Khwarazm. was likewise of importance. oil for anointing the head. described by Ibn Fadl¯ n. Yik (the Urals) and Cheremshan to the city of Bulghar on the middle Volga. is given by al-Maqdis¯. In the ninth and tenth centuries. wool. It passed through Baghdad. paper. brocade. embroidered fabrics. tents. raisins. soap. lead. meat and melons. the caravan trade with China. cheese. which went to the Turkish peoples. copper. saddle-girths. Zanjan. bits. from Dabusiyya and Wadhar. cotton and silk garments. from Balkh. cotton. India and Inner Asia. prayer mats. Turkish slaves (for resale). prayer mats. silk and cotton shawls. shawls. knives. for both domestic and foreign markets. iron. rice. etc. brocade.ISBN 978-92-3-103467-1 Contents Domestic and external trade towns into the surrounding nomadic steppe. white cloth. hazelnuts and walnuts. high saddles made of horse leather. armaments. Iran. sesame. cloth for use as floor coverings. Merv. much silk and silk cloth. carpets. silk. glass. sulphur and pewter vessels. Balasaghun. etc. skins. high-grade wool and woollen clothing. large brass cauldrons. almonds. Al-Maqdis¯ reports that he saw people travelling with caravans from Sogdiı ana and Khurasan to Tibet and China. India. straps. dried skins and slaves to the markets of Transoxania and Khurasan. from Merv. fox and sable furs. In exchange. walnuts. The busiest route was from the countries of the Levant to China. linen cloth (sinizi). It a passed through Merv. the Caucasus and the countries of Western Asia and eastern Europe acquired importance. cloth. cotton and woollen garments. cloaks. honey. Nishapur. vitriol.

The mausoleum is constructed of baked brick and is in the form of a cube topped by a dome. costly weapons. wells and other facilities. dried fruits. Caravans had personnel to service them (drivers and armed guards). The external corners have three-quarter columns and in the middle of each of their four façades is an entrance bay with a pointed arch. high-quality fabrics.000 pack animals and 5. scholars and diplomatic envoys often travelled with them. square in plan. now there were increasing quantities of utilitarian items. N¯ h al-Muntasir. there was a widespread development of urbanization and of architecture and the decorative arts.ISBN 978-92-3-103467-1 Contents Material culture Itil and Bulghar. the largest caravan of the caliph al-Muqtadir (908–32) comprised 3. foodstuffs. In the period that we are considering. Bulghar and Khazaria came furs. Caravans were both small and large. has a splendid decorative portal. at the same time shows clear signs of something new that is characteristic of provincial. which was probably built in the early tenth century. Material culture Under the Samanids. Similar to it is the small mausoleum of the last Samanid. the range of goods changed. raw materials for the craft industry and craftwares. near the town of Kerki. Ism¯ c¯l b. This single-chamber a structure. topped by a dome based on a hexagon of niches and squinches. wax. to which rice. the simplicity and massiveness of the forms are combined with the decorative treatment of brick-tiled wall surfaces. bronze and silverware. The standard attained in these areas by architects and master artisan-decorators is shown above all by the Samanid mausoleum in Bukhara. cotton. while expressing the traditions of the past. emphasized by the small octagonal corner columns. had earlier been the main goods carried in the caravan trade. 1005 of baked brick.000 men. skins. The decoration is austere and simple. with storerooms and accommodation quarters. Inside the mausoleum. relates it to the mausoleum of the Samanids. honey. cattle and Slav and Turkish slaves. Another outstanding building of the subsequent phase of monumental architecture is the c Arab At¯ mausoleum in the village of Tim near Kattakurgan. It is square aı u in plan and was built c. woollen and silken fabrics and silver dirhams were exported. The centralized-plan structure of the mausoleum. glass. silver and precious stones. but its 92 Copyrights . From Rus. Whereas luxury items such as jewellery made of gold. The architectural style of the mausoleum. The large number of Samanid coins found in various regions as far away as northern Russia and the Baltic is evidence of the busy trading links with the ancient Rus and their western neighbours. Caravanserais were set up along the roads. Artisans. dynastic architecture. and so on.

93 Copyrights . for the most part. The surfaces of dishes. intellectual life in Transoxania and Khurasan attained a high level. it was then painted white. Animals and birds were sometimes also depicted. Fatmev and others. should cultivate and promote local cultural traditions. It is composed of trefoils. as well as inscriptions conveying greetings. literacy and literature. with painted relief ornamentation ranging from simple geometric rosettes to highly complex designs and wickerwork patterns forming large stucco panels. giving the ware a luminous sheen. six-pointed stars. It was inevitable that the local Samanid dynasty. seeking support among its literate classes. Kurut. Remarkable examples of architectural detail and decoration have survived in the regions of the upper Zarafshan. The main building material was raw brick (adobe). A white or red engobe covering was initially applied to this type of ware as a ground. Rarz. The degree of sophistication attained in the applied arts is demonstrated by the Afrasiyab glazed ceramics of the ninth and tenth centuries which were the peak of Central Asian artistic achievement in ceramic technique and decoration.ISBN 978-92-3-103467-1 Contents Intellectual life p¯sht¯ q (fore-porch) and incised bricks give it an affinity with the later monuments of the ı a eleventh century. and others belong. Intellectual life In the ninth and tenth centuries. and columns from the settlements of Obburdon. including the mihrab from the settlement of Iskodar. mausoleums. all richly ornamented with vegetation and including stylized animal motifs. These Samanid mausoleums also exemplify an important process in the history of architecture: the development of the use of baked brick in monumental architecture. timber-framed adobe buildings. circles filled with small squares. Documentary sources refer to the construction in towns of central mosques. red. It is to this period that such adobe buildings as the Kïrk kïz caravanserai in Termez. sinuous leafed stems. The structures in Bukhara were. bowls and other vessels were ornamented with various geometric designs and plant motifs. minarets and covered bazaars. two Kïzkala buildings in ancient Merv. such as the celebrated monuments of carved wood. which shows traces of a rich and ancient tradition. black or other colours and a transparent glaze was applied on top. One fine monument using this decorative technique is the tenth-century alabaster panel from Afrasiyab (Samarkand). and so on. The c Arab At¯ and al-Muntasir mausoleums show the evolution of this a form from the centralized-plan structure to a portal structure. Among the monuments of applied art of the time is the exquisite carved stucco of the palace of the princes of Khuttal in Hulbuk (the small town of Khishtep in the settlement of Kurbansaid in the southern region of modern Tajikistan).

the father of Tajik-Persian poetry. for a detailed discussion of ı a u a ıu ı these arts and sciences. of the work of al-Tabar¯. including the most esoteric. history and philology). the greatest poet of u ı a ı the age and author of the famous Sh¯ h-n¯ ma [Book of Kings]. Merv. by the tenth century the movement no longer involved opposition by the Iranian peoples to the Arabs and to Arab culture per se.ISBN 978-92-3-103467-1 Contents Intellectual life Poetry in Persian made rapid strides and is best exemplified in the work of Ab¯ c Abd All¯ h u a R¯ dak¯. chemistry. Bunjikat. Ab¯ Rayh¯ n al-B¯r¯ n¯ and others (see below. Part Two). Although a generally hostile and contemptuous attitude towards the Arabs was one of ¯ the main features of the so-called Shuc ubiyya literary movement in the early c Abbasid days (eighth and ninth centuries). and of a pleiad of other maga a nificent poets. the author of a Persian epitomized translation. poets. there were Ab¯ Bakr Narshakh¯ (d. Scholars. and the rarest and best works of scholarship were to be found in the Bukhara book bazaar. where a fertile soil was created for the burgeoning of creative thought. with such outstanding exponents as Ibn S¯n¯ (Avicenna). Samarkand. artists and other men of culture from many Muslim countries gathered in the Samanid capital of Bukhara. and the a a a a a anonymous geographer who wrote the Hud¯ d al-c alam [The Limits of the World]. SCHOLARSHIP In the ninth and tenth centuries. geography. Khujand. so that it became one of the outstanding cultural centres of the East. the great connoisseur and scholar of poetry and ı history Abu ‘l-Mu’ayyad Balkh¯. but the Tajik-Persian poets and people of culture extolled the history and culture of their own people without rejecting the cultural achievements of the Arabs. u ı 959). In the fields of history. see Volume IV. astronomy. literary studies and geography. of Abu ’l-Q¯ sim Firdaws¯. Termez and others – became the major cultural centres of the time. a rich library was assembled known by the name of Siw¯ n al-hikma (Storehouse of Wisdom). Nishapur. with numerous interpolations. the Samanid vizier Ab¯ aı aa u c Al¯ ı Muhammad Balc ami. Hulbuk. Balkh. a containing books on various branches of learning. the author of books in Persian such as c Aj¯ ’ib al-buld¯ n ı a a [Marvels of the Lands]. The main towns – Bukhara. the author of the T¯ r¯kh-i Bukh¯ r¯ [History of Bukhara]. equally interesting was the development of scholarship and its various branches (mathematics. Poetry was only one manifestation of this culture. scholarship made great strides and there was a host of scholars in the various branches of knowledge who gradually began to write in Persian. medicine. Anti-caliphal ¯ and even anti-Islamic motives were still discernible in the Shuc ubiyya of the tenth century. a Sh¯ h-n¯ ma and a Garsh¯ sp-n¯ ma [Epic of Garsh¯ sp]. u ¯ Islamic religious and legal scholarship was particularly flourishing at this time in the north-eastern provinces of the Iranian world and enjoyed the enthusiastic patronage of the 94 Copyrights . In Bukhara.

c Abd All¯ h al-Marwaz¯. He was engaged in medical practice. whose name lives to this day in modern matheua a matical terminology in the word ‘logarithm’ (the medieval distortion al-garizm from ‘alKhw¯ razm¯’). It was not without significance for the strength of Sunni Muslim learning in these provinces that five out of the six authors of the canonical collections of had¯th ı (Muslim tradition). Ism¯ c¯l is said to have been assassinated in 914 by his Turkish aı slave soldiers because of his undue frequentation of the c ulam¯ ’ (religious scholars) and a religious lawyers. known a ı as al-Habash al-Khas¯b (d. which is used as an astrou u ı nomical instrument for accurately determining the positions of the planets and the fixed stars appearing in the vicinity of the planets. Medicine also developed. the author of many books including a medical work ı ı 95 Copyrights . u ı The astronomer and mathematician Ab¯ c Abb¯ s Ahmad al-Fargh¯ n¯ (ninth century). together with al-Batt¯ n¯. Another able physician a a ı was Akhawayni Bukh¯ r¯. particularly in the field of aı mental disorders. In the a ı tenth and eleventh centuries. The name of the science of algebra (in Arabic. al-jabr) also comes from the a ı first word of the title of al-Khw¯ razm¯’s work on algebra. should be from the north-eastern Iranian world or have connections with it. in u a a ı his work Us¯ l c ilm al-nuj¯ m [Principles of Astronomy]. A number of scholars were active in that field in the ninth and tenth centuries. 870). In Transoxania and Khurasan. and gave the dosage of medicines and as many as ten original prescriptions. The astronomer and mathematician Ab¯ Mahm¯ d Khujand¯ (tenth century) invented the sextant. The mathematician Ab¯ ’l-Waf¯ al-B¯ zj¯ n¯ u a u a u (940–98) solved a number of geodesic and geometric problems. The mathematician Ahmad b. described illnesses and their cures.ISBN 978-92-3-103467-1 Contents Intellectual life Samanid amirs. astronomer and geographer Muhammad b. expounded the knowledge of u u his time and described instruments and the sundial. the Sunan. Ahmad b. already used tangents and cotangents and their tables ı in his calculations. 886) wrote some forty works. was the founder of trigonometry. gave a systematic account of trigonometry and. and was one of the first to use Persian to write his medical treatises in which he expounded on human anatomy and physiology. 850). c. the most outstanding of whom was Zakariyy¯ R¯ z¯. the mathematician Abu ’l-Hasan al-Nasaw¯ and many othı ers worked in the region. Particularly prominent among these scholars was the eminent mathematician. Another learned physician was Hak¯m Maysar¯. and the mathematics of ancient Greece and India – this was the foundation of all subsequent mathematical advances in Asia and Europe. mathematics and astronomy of global significance developed out of a synthesis between the traditional local expertise in irrigation and other technology. The astronomer Ab¯ Mac shar Balkh¯ (d. He discovered how to solve lina ı ear and quadratic equations. M¯ s¯ al-Khw¯ razmi (780-c.

anatomy. In the Kit¯ b ala Shif¯ ’ he gives an exposition of questions of logic. he was sought in vain by the Ghaznavid Sult¯ n Mahm¯ d. the Latin translation went through thirty editions. In Persian. began his scholarly and medical activity. logic. Ibn S¯n¯ expounds a general theory of a u ı a medicine. a a a philosophical work in eighteen parts. He became widely celebrated in the East and in Europe. In the al-Q¯ n¯ n fi ’l-tibb. Ibn S¯n¯ lived in Urgench and Isfahan before becoming a court physician a u ı a and vizier to the Kakuyid ruler of Hamadan. These books by Ibn S¯n¯ may be regarded as among ı a the best works of enlightened medieval thought of the tenth and eleventh centuries. diagnosis. natı a ural scientist. He gave voice to the developing tendencies of his time and. the most important of which were al-Q¯ n¯ n fi ’l-tibb [The Medical a u Canon]. physician. poet and original thinker. while still a young man. He was 96 Copyrights . mathematician. Ab¯ c Al¯ Ibn S¯n¯ and u ı ı a Ab¯ Rayh¯ n al-B¯r¯ n¯ from Khwarazm. in an age when religious orthodoxy was dominant.ISBN 978-92-3-103467-1 Contents Intellectual life in Persian verse. He wrote many works. After the fall of the Samanid dynasty. physiology. Ibn S¯n¯ was the greatest scholar of the Islamic Middle Ages – a philosopher. after which the family moved to Bukhara. The well-known pharmacopeia a a of Muwaffaq is also written in Persian. mathea matics and other sciences of his time. and discourses on acute and chronic illness. Ab¯ c Al¯ Ibn S¯n¯ (known to the West as Avicenna) was born c. the two greatest medieval polymaths of the East. mathematics and astronomy. endeavoured to revive interest in the study of nature. In his research. drugs and prophylactic medicines. He died and was buried in Hamadan on 18 June 1037. practical experience and the objective observation of facts. Persian. the D¯ nish-n¯ ma [Book of Knowledge]. metaphysics. u ı ı a 980 in the village of Afshana near Bukhara. systematizing and developing it further. Urdu and other languages. began their work which has left an indelible mark u a ıu ı on world scholarship. Ibn S¯n¯ placed great ı a emphasis on experimentation. His childhood and early student years were spent in his native village. surgery. natural science. It was translated into Latin (as early as the twelfth century). where he studied all the sciences of that time and. and many of his works were translated into several European languages. which were written in Arabic. therapeutics. to give an impetus to creative and analytical thought and to review critically what had been achieved by scholarship in earlier days. a medical encyclopedia in five parts. His al-Q¯ n¯ n fi ’l-tibb was used for many centuries for teaching a u and treatment in both East and West. and Kit¯ b al-Shif¯ ’ [The Book of Healing]. ¯ ¯ ¯ ABU c AL¯ IBN S¯ A AND ABU RAYHAN AL-B¯ UN¯ I IN ¯ IR ¯ I In this period. he wrote a short philosophical encyclopedia entitled the D¯ nish-n¯ ma [The Book of Knowledge] in which he a a touches on questions of philosophy. classical Hebrew.

porcelain and so on. c. history. both original and in translation. For example. His great work on India is an important description and criticism of the higher Indian learning and sciences of the early Middle Ages. and also those of Khwarazm. astronomy. ı ı ı Together with the nascent literature in Persian. he aı openly expresses something like free-thinking. It was during the Samanid period that Persian literature began to appear in Transoxania and was officially recognized. it gives a detailed account of the poets of the Samanid period living in Bukhara and Khurasan. and on glass. literature in Arabic also continued to enjoy high prestige and royal favour under the Samanids. and his Rules a a for Determining the Specific Gravities of Minerals. in which he gives detailed information on over fifty minerals. with its popua ı a a ı lar exposition of the fundamentals of mathematics. LITERATURE In the ninth and tenth centuries. geography. including the peoples of Sogdiana and Khwarazm. geodesy. In these verses. Thac alib¯ wrote his anthology. u ı Daq¯q¯ (d. astronomy and astrology. botany. has survived. Part of his treatise Kit¯ b al-Tafh¯m il-aw¯ ’il sin¯ c at al-tanj¯m [The Key to Astronomy]. mineralogy. general geology. there was an enormous growth in literature. Another outstanding encyclopedist. The recognized founder of Persian-Tajik classical poetry. ¯ a chronology and ethnography. writing in Persian and mainly using the rub¯ c¯ (quatrain). which among many other topics describes in a detail the calendar systems of the peoples of the Middle and Near East. ¯ He also wrote al-Q¯ n¯ n al-Masc ud¯ [The Canon of (Sultan) Masc ud]. physics. and in which he also catalogues mineral deposits and gives other data. Mention must also be made of his book Istikhr¯ j al-awt¯ r [Chords] on the topography of Central Asia. principally poetry. who wrote in Arabic. of whom the best known are R¯ dak¯ (d. was taken by the Central Asians ¯ ı and Khurasanians. the Yat¯mat al-dahr [The ı Unique Pearl]. in its fourth section.ISBN 978-92-3-103467-1 Contents Intellectual life also a poet. in Arabic. The most active part in the creation of this literature. and a man of great culture. ores. The development of an Islamic New Persian literature thus began in Transoxania and Khurasan rather than further west in Fars. The work of a large number of poets dates from this period. was R¯ dak¯. and Kit¯ b al-Jam¯ hir [Book of Data for the a a Recognition of Gems] (on mineralogy). a lengthy treatise a u ¯ ı on mathematical and descriptive geography. metals and alloys. Ab¯ Rayh¯ n al-B¯r¯ n¯ (973–1048). enamel. 977) and Firdaws¯ (d. among others. 941). who was born in the village of Panjrudak in what is today the Panjikent region u ı 97 Copyrights . One particularly well-known work of his is al-Ath¯ r alb¯ qiya [Memorials of Past Generations]. was the author u a ıu ı of many works of major importance in which he examines problems of mathematics. 1020).

98 Copyrights . The a second version of the poem (completed in 1010) was presented to the Ghaz-navid Sult¯ n a Mahm¯ d. however. the surviving work of Daq¯q¯ includes qas¯das. but at one time he was one of the best court poets of the Samanid Nasr II. his fine voice and his u ı skilled playing on the chang (a harp-like musical instrument) made him popular. Khwarazmians and others). He made the basis of his work the epic of the Iranian peoples (the ancient Saka tribes. by which time the Samanid state was in full decline. but the poet’s masterpiece was not appreciated in his lifetime.000 lines of his output have survived. between 934 and 941 into a middle-ranking aristocratic family. His youth coincided with the period of growth of the Samanid state. a a u u N¯ h II entrusted Daq¯q¯ with the task of putting the Sh¯ h-n¯ ma into verse. He was born in Khurasan. which he completed in 994. and about national uprisings a a led by the blacksmith K¯ wa and Mazdak. but the poet u ı ı a a was killed in 997 before completing his work. Siy¯ wush and Isfandiy¯ r. and one of the leading scholars of the age. particular attention was paid in literary circles to making compilations of ancient legends embodying the heroic traditions of their past. ghazal and rub¯ c¯. He was invited to the Samanid court. ghazals. qas¯da. 1960. qit The greatest poet of that age. He perfected the basic verse forms of medieval Persian ı ı poetry: mathnaw¯. Sogdians. A close student of R¯ dak¯. born ı ı aı near Balkh in the village of Jakhudanak.ISBN 978-92-3-103467-1 Contents Intellectual life of modern Tajikistan. R¯ dak¯’s poetic gift. but they demonstrate his mastery in all the poetic genres of the age. Another noted poet was Shah¯d Balkh¯. Daq¯q¯ began his literary activity at the court of the ruler of the principality of ı ı Chaghaniyan and was later invited to Bukhara. Firdaws¯ revealed to the people their heroic past and apparently sought ı to arouse their sense of patriotism. including the tales about such epic heroes as Rustam. In a ı a a addition to a fragment of his Sh¯ h-n¯ ma. Little is known about his life. Somewhat fewer than 2. where he spent almost the whole of the rest of his life.4 Another scene in temple painting. a a ı ı ı c as and bayts. also 4 Belenitskiy. he died in 936. The idea of stimulating a resurgence of the Iranian national and heroic spirit in culture induced him to write his epic Sh¯ ha n¯ ma. It was thus that the prose Sh¯ h-n¯ ma of Ab¯ Mans¯ r was created. a whole epic cycle of exploits connected with the name of Rustam – the struggle of the heroes against monsters – is depicted in the murals of ancient Panjikent. and the latter wrote a u ı u ı touching elegy on the death of his favourite student. Under the Samanids. u In his poem. The part of Daq¯q¯’s poem describing the ı ı struggle between Gusht¯ sp and Arjasp was included by Firdaws¯ in his own Sh¯ h-n¯ ma. Firdaws¯ drew much inspiration from the monua ı ments of material culture in Khurasan and Transoxania. in a ı suburb of Tus. before R¯ dak¯. In particular. was Firdaws¯. From his early years.

It was he who was responsible for reworking two classical modes and melodies. drawa a u ı a a ing on the treasures of material culture and on popular oral legends.5 In the ruined a palace of the Afshins of Usrushana (near Shahristan). the Sogdian tales of Siy¯ wush. chang. the musical culture of the eastern Iranian peoples. Far¯d¯ n and the blacksmith K¯ wa. He recounts events in his own way and celebrates the ideas of Iranian national feeling and love of his homeland. continued to develop. Many poets were at the same time well-known musicians. and these a ı u a paintings at Panjikent and Bunjikat. u ı He had a fine voice and was a performer on several instruments (c ud. barbat and ¯ r¯ d). the u 5 D’yakonov. the origins of which went back to antiquity. MUSIC In the ninth and tenth centuries. a a a and then reworked in the shash maq¯ m (six maq¯ ms). It contains between 50. the Khwad¯ y-n¯ mak [Book of Kings]. in an austere and a monumental poetic style. the poet R¯ dak¯ was also a gifted musician and a well-known singer. a large carved wooden panel has been discovered depicting scenes of the struggle of the forces of good (the prince and the blacksmith Kaw¯ ) with the wicked and murderous King Zah¯ k. it had an enormous influence on the subsequent development of Persian literature and there have been frequent translations of his poetry into many languages of both East and West. the poem is written in a heroic metre (mutaq¯ rib). Mans¯ r Balkh¯’s Sh¯ h-n¯ ma. 99 Copyrights . In the period that we are considering. is devoted to mourning for the mythological hero Siy¯ wush. and is distinguished by its epic grandeur and unique emotional tone.000 couplets (bayts). undeniably indicate the Central Asian provenance of many of the themes of the Sh¯ h-n¯ ma.ISBN 978-92-3-103467-1 Contents Intellectual life in Panjikent. or modes). 1951. The Rustam epic of the a a Sogdian texts. and others). a series of patterns of musical art in various genres was created. They had a long tradition of virtuoso musicianship and a developed musical theory. As noted above. a a Firdaws¯ also masterfully reworked the written sources (the Sasanian historical chroniı cle. Classical professional music in the oral tradition and settings of poems to music continued to be produced and these were subsequently combined in the duv¯ zda maq¯ m (twelve maq¯ ms. Poetry and song were not only intia a mately interwoven but were regarded as branches of a single art. From beginning to end.000 and 60. Popular creative art had a marked influence on the development of professional poetry and music. Firdaws¯’s Sh¯ h-n¯ ma has ı a a immortalized the author’s name and is a major contribution to the treasure-house of world culture. singers and musical theorists.

the Sunni form of orthodox Islam became firmly established in the eastern lands. ir¯ k. ı ı he quickly provoked an uprising but was defeated and captured. military and funerary music in Firdaws¯’s Sh¯ h-n¯ ma and in the poetry of R¯ dak¯ and Daq¯q¯. ı u a u a etc. k¯ pun. u a a Is¯ ı Sitt Zar¯n. sh¯ hr¯ d. basta. and the flautist and tunb¯ r-player c Al¯beg¯. one of the best-known female singers. The movement was initially led by the Samanid commander Husayn b. There were ı a a u ı ı ı a number of musical modes: the d¯ stan-i khusraw¯ n. the poet and composer Ab¯ a u uı a u S¯ lih (ninth century). the historian Narshakh¯ ı refers to songs of mourning. and we find information on celebratory. The foundaı a ı u ı ı tions of musical theory were also laid. vestigial communities of Zoroastrians. urghun¯ n. khaf¯f).. the propaganda of Ismac ilism achieved a foothold in Central Asia. there continued to exist. Central Asia and the Ismacili movement In the ninth and tenth centuries. and percussion instruments like a a a a u u u u the daff (d¯ ’ira). c ¯ a Barbat¯. Leadership next passed to the Ismac ili propagandist Muhammad b. a a a This eastern Iranian music became a firmly established part of all aspects of social life and was an inseparable element in weddings and feasts. and a large number of melodies: khusraw¯ n¯. Ahmad Nakhshab¯. and others. c ushsh¯ q. anniversaries and formal ceremonies. who u ı invented the musical instruments called sh¯ h-r¯ d and m¯ s¯k¯ r. Many eminent dignitaries converted to Ismac ilism and the movement 100 Copyrights . In particular. Yet even though Islam was already generally accepted as the state religion and had spread to almost all parts of Central Asia. a sh¯ hn¯ y (surn¯ y). religious and funerary rites. zarafkanda. etc. a ı a a a a busalik. the a a musicologist Ab¯ ’l-Abb¯ s Bakhtiy¯ r. In addition to those that have been enua u merated. n¯ wa. chawasht.ISBN 978-92-3-103467-1 Contents Central Asia and the Ismac ili movement tarona and the ufar. whose activities were at first ı highly successful. u Among the musicians of the age were the poet and musicologist Ab¯ Hafs Sughd¯. and Ibn S¯n¯ is even credited with having invented ı a the instrument known as the sh¯ hn¯ y (surn¯ y). the well-known chang-player Lukari Changzan. the flautist Zilzil R¯ z¯. sant¯ r. the poet Ab¯ Tayyib T¯ hir al-Khur¯ san¯. sip¯ h¯ ’¯. There were also a large number of musical a aı a instruments: the stringed ones mentioned above. tanb¯ rak and tabl (shandaf). b¯ da. etc. karn¯ y (b¯ q). sur¯ d (r¯ h. c Al¯ Marwaz¯. an outstanding performer of a u a a ı one of the maq¯ ms called khusraw¯ n. Manichaeans and Christians. as has been described in Chapter 2 above. ank¯ . In the first half of the tenth century. at the same time. chagana. wind instruments like the n¯ y. shayp¯ r. one must also mention the duruya. In an attempt to turn it to his advantage. tarona and otha a u u ı ers. r¯ st. z¯r. and tradition has it that he himself perfected the design and nature of the r¯ d. festivals and battles.

particularly during the reign of Nasr II. u N¯ h organized the extermination of Ismac ili sympathizers and the execution of the leaders u of the movement of Muhammad Nakhshab¯. the upper Oxus basin and its tributaries by the Bactrian-Tukharian population. All these peoples were ethnically related and spoke languages and dialects of the Middle Iranian and New Persian language groups. who may also have accepted its teachings. gathered strength.ISBN 978-92-3-103467-1 Contents The ethnic composition . although in Bukhara a secret organization of supporters of the heresy may have been active. Even though the plot was discovered. they were the basis for the emergence and gradual consolidation of what became an Eastern Persian-Tajik ethnic identity. This incensed the orthodox Sunni Muslim religious classes. by the remnants of Saka and other early Iranian peoples. who conspired against Nasr II with representatives of the Turkish palace guard. The doctrine survived in Transoxania only ı as a clandestine tendency. the basin of the lower Oxus by the Khwarazmians. . The ethnic composition of the Samanid state and the creation of an Eastern Persian-Tajik ethnic identity In early Islamic times. and the mountains surrounding the Ferghana valley. 101 Copyrights . The Zarafshan valley. there were a number of Iranian peoples in Khurasan and Transoxania. Nasr II was obliged to renounce the throne in favour of his son N¯ h I (943–54). the Kashka Darya oasis and Usrushana were occupied by Sogdians. and the Pamir mountains and their foothills. the southwestern oases of Central Asia by the Iranian Khurasanians. the Ferghana valley by the Iranian Ferghanans. .

. . E. . . Until the decay of their power in the second half of the tenth century. . . . . . . . . the decline of the amirs’ personal authority ı and the growth of centrifugal forces in the state. . . . . . . . . . . . it was to be the most * See Map 4. . which allowed the formation of the Ghaznavid amirate. Agriculture and trade . it was these difficulties. . . u The zenith of the empire under Mahm¯ d . . . . . . the dihq¯ ns. . to a substantial depena dence on Turkish slave troops. . . . . . . . . . . . . . . . . . . . . . and the mutual rivalries of leading figures. . . . . The Establishment of Sebüktegin in Ghazna . and the flourishing state of their lands in Transoxania and Khurasan had won them admiring comments from such Arab geographers who had travelled through their territories as Ibn Hawqal and al-Maqdis¯ (see above. . . . . . . . . . . . . . . Bosworth Contents The prehistory of the Ghaznavids . . . . had plunged the Samanid amirate into increasing crisis and chaos. . . . . . . . 103 104 106 107 113 117 121 122 The establishment of the Ghaznavid amirate in what is now Afghanistan in the last quarter of the tenth century a. . . . . . . . . . However. . . . For roughly half a century. . . . . 102 Copyrights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . the Samanid amirs had kept a firm hold on the direction of affairs. . . . . . . . . . . . .d. u ¯ Masc ud and the Seljuqs . . . Chapter 4). . . . . . . . . . . . . Iranian landed classes. . . . . . . . . . . . . . . . . . . .ISBN 978-92-3-103467-1 Contents THE GHAZNAVIDS 5 THE GHAZNAVIDS* C. . . . . . . . . . . . . . . . . . . The nature and structure of the Ghaznavid state . . Cultural and intellectual life . . . . . . . aggravated by the personal ambitions of the great military commanders. . . . . . . . . . . . . represents the culmination of a process which had begun in the Samanid amirate whereby the military bases of the state had been transformed from a reliance on the indigenous. . . . . The succession of Mahm¯ d . . . . .

ispahs¯ l¯ r. to impose their own candidate on the throne in Bukhara. Alptegin was seeking safety for his own person. A decade or so later. Alptegin prudently withdrew to the far eastern fringes of the Samanid empire with his personal force of Turkish professional. who before his death in 929 had built up round ıa ı himself a petty principality in what is now south-eastern Afghanistan centred on Bust and the region of al-Rukhkhaj or Arachosia. Threatened by the new regime and squeezed out of power. h¯ jib alaa a hujj¯ b) of the Samanid army in Khurasan. ı chafing under the tyranny of one of the Turkish commanders who had by then come to 1 On the early Ghaznavids. In reality. on c Abd al-Malik’s death in 961. and under the new amir. another Turkish general of the Samanids. the dead man’s young and pliant son. military ghul¯ ms (slave soldiers) and a group of Iranian gh¯ z¯s (fighters for a aı the faith). The prehistory of the Ghaznavids Prominent among the disputing Turkish generals at the Samanid court in the middle years of the tenth century was the commander-in-chief (Persian. has been less plausibly suggested). Boswarth. N¯ zim. An¯ k. a 103 Copyrights . whose generic name may have been that of Law¯k (although the reading as a personal ı name. 24–5. c Abd al-Malik’s brother Mans¯ r I. Karategin Isf¯j¯ b¯. a rival group of Turkish generals headed by F¯ ’iq Kh¯ ssa was now supreme at u a a court. But their attempt. This principality had continued there under succeeding Turkish ghul¯ m a leaders. Alptegin’s son Ab¯ Is’h¯ q u a ı u a Ibr¯ h¯m. 1963. pp.37. failed. p. the Samanid authorities in Bukhara had to make the best of the situation and to send Alptegin an investiture patent as local governor in a region where their control had in any case been very shadowy or even nonexistent. where he now found himself. who succeeded his father briefly in 963. centred on the small and obscure town of Ghazna or Ghazni. pp. doubtfully Muslim and closely linked u with the indigenous rulers in Kabul of the Hind¯ sh¯ h¯ family. see Barthold.1 Alptegin’s destination was the region in eastern Afghanistan of Zabulistan. In fact. the people of Ghazna.ISBN 978-92-3-103467-1 Contents The prehistory of the Ghaznavids powerful state known in the eastern Islamic lands since the weakening of the c Abbasid caliphate. Ghazna seems to have been held by a local family. Arabic. had in 964–5 to flee to Bukhara when a ı the Law¯k dispossessed by Alptegin returned. Alptegin (appointed to this office by Amir c Abd a al-Malik in 961). 1931. 1968. The sources state that his aim was to carry on holy war against the infidels there and thus earn divine merit. who worked with the Persian vizier Ab¯ c Ali Muhammad Balc am¯ to u ı secure an ascendancy in the state for their own personal interests. nominally still subject to the Samanids but in practice autonomous. 249–51. and was very probably influenced by the example of a predecessor of his.

supranational empire. 1931. On the evidence of the few surviving coins of the period. 164–5. pp.2 The establishment of Sebüktegin in Ghazna Thus the rule of the line of Turkish generals. 164–5. the town remained firmly in Turkish hands. gradually became firmly established in the eastern part of modern Afghanistan. he was securely laying the foundation of an independent Ghaznavid state which his son Mahm¯ d was to erect into a mighty. pp. 39–41. After this temporary hiatus. a 104 Copyrights . it would appear from the inscription on his extant tomb in Ghazna. the elaborate account in the Seljuq vizier Niz¯ m al-Mulk’s Siy¯ sat-n¯ ma a a a [Book of Statecraft] of Sebüktegin’s rise to fame under Alptegin’s patronage because of his outstanding personal qualities can hardly be taken at face value. that of the Ab¯ Mans¯ r Aflah u u mentioned at the time of the first Saffarid Yac q¯ b b. Bosworth. Sebüktegin now began an uninterrupted period of power in Ghazna (977–97). still acknowledging the Samanids as his nominal overlords: placing their names before his own on the coins which he minted and being content. pp. 1963. 1933. although the neighbouring town of Gardiz – which seems to have had its own local ruling family. was u a a ı killed at its siege. Yet in practice. but in fact he probably came from one of the component tribes of the Karluk Turkic group.ISBN 978-92-3-103467-1 Contents The Establishment of Sebüktegin in Ghazna power there. 28–9. Obsequious genealogists later fabricated for Sebüktegin a genealogy stretching back to the Sasanian emperors of Persia. accompanying him on his withdrawal to Ghazna in 962. al-h¯ jib al-ajall (Most Noble a Commander). beginning a twenty-year rule in Ghazna. pp. Ab¯ Is’h¯ q Ibr¯ h¯m’s successor in Ghazna. 16–22. 1931. in which it is stated that he came a from the Turks of Barskhan. Bosworth. on the shores of the Issyk-kül in the region later known as Semirechye (now in Kyrgyzstan). Böri or Böri Tegin. pp. all originally in the Samanid service. This was the position when Sebüktegin (this seems to be the most probable form for this name. ı however. u the Pand-n¯ ma [Epistle Containing Pieces of Advice]. Turkish sevük/sebük tegin or ‘beloved prince’) in 977 took over from the deposed Böri. Regarding his subsequent career. 37–9. however. pp. u On arriving in Ghazna. 605–28. 175–6. 1975. Sebüktegin had been one of the most trusted personal slaves of Alptegin. 974–5. pp. Alptegin’s ghul¯ ms had established on the surrounding agricultural a lands a series of territorial revenue assignments (iqt¯ c s) for their support. pp. Sebüktegin now a 2 3 N¯ zim. a N¯ zim. Layth a century before – did not fall to u the Turks until c. 1965. they still recognized the Samanid amirs in Bukhara as their suzerains. again invited Law¯k back. 25–7. All that we know of his antecedents stems from a collection of aphorisms on statecraft and kingly power allegedly left by him to his son Mahm¯ d.3 Be this as it may. 1963. since Bilgetegin. 1975. with the title expressing his subordinate status.

pp. a Ib. so that in 992 the capital Bukhara had been temporarily occupied by the invading Turkish Karakhanids. For these services. 1931. overthrowing their leader Baytuz. pp. 124–5. He early moved against the existing line of Turkish rulers in Bust. but Islam must have been implanted in these regions. 1927. Bosworth. Ab¯ c Al¯ S¯mj¯ r¯ and F¯ ’iq Kh¯ ssa.. The power of the amirs was now in steep and irreversible decline. Retaliatory attacks on Ghazna by the Rajah Jayp¯ l (c.6 The firmness of Sebüktegin’s power in Ghazna and his expansionist policies enabled him in the later years of his reign to intervene in the politics of the Samanid state which had originally nurtured him. In a battle near Herat the royal forces secured a complete victory over the two rebel generals. 165–8. 485–95. pp. 977–8). for eastern Afghanistan had always tended both historically and culturally to be part of the Indian world. who fled westwards to the northern Persian territories of the Samanids’ Buyid rivals in 994. 6 N¯ zim. pp. 41–3.4 The Turks there were nevertheless still an isolated pocket in a hostile environment. and the tradition of winter plunder raids from the mountain rim of eastern Afghanistan down to the Indian plains now took shape. u ı ı uı a a Against this last threat. whose attitude was bound to be hostile. pp.5 Accordingly. 1931–6. There is nothing to show that Islamic religious motives were uppermost here. Ibid. Hab¯ 1951. and an attempted revanche by Ab¯ c Al¯ and F¯ ’iq was defeated in the following year.ISBN 978-92-3-103467-1 Contents The Establishment of Sebüktegin in Ghazna reformed this system. 986–7) led to a Sebüktegin’s victory over his forces and the extension of Ghaznavid power into the region of Lamghan and the Kabul river valley as far as Peshawar. Fresh incursions into u ı a Transoxania by the Karakhanids in 996 rendered the Samanid amir even more dependent Bosworth. who held the Kabul river basin and u a ı the Panjab plains. 14–16. 55–83. pp. Amir N¯ h II b. 1963. Sebüktegin may have made a conscious decision that a policy of expansion would preserve the dynamic of his Turkish followers and ensure the survival and future florescence of his petty lordship. 1975. Ray. The two swore allegiance to N¯ h at Kish and appeared in Khurasan with their u u army. 5 4 105 Copyrights . and the perpetuation of the amir’s authority was threatened by the alliance of two of the most powerful Turkish generals in the state. and also adding Qusdar (in north-eastern Baluchistan) to his dominions (c. More significant for the future direction of Ghaznavid expansion were clashes with the Hind¯ sh¯ h¯s. pp. Mans¯ r summoned to his aid Sebüktegin and his son u u Mahm¯ d. insisting on control from the central d¯w¯ n in Ghazna and ensuring ı a that all soldiers had adequate stipends. with powers to their east like the Hind¯ sh¯ h¯s of u a ı Wayhind and other north Indian rulers. 29–30. Sebüktegin received the honorific title (laqab) of n¯ sir a al-d¯n wa ’l-dawla (Helper of Religion and the State) and Mahm¯ d that of sayf al-dawla ı u (Sword of the State) plus command of the Samanid army in Khurasan. 41–2.

pp. and carefully cultivated an image of defenders of Sunni orthodoxy against the caliph’s opponents and rivals such as the Shic ite Buyids of Iraq and western Iran and the Ismac ili Fatimids of Egypt and Syria. 1931. 1963.8 An agreement was reached at this point with the Karakhanid Ilig Nasr b. pp. pp. a 7 106 Copyrights . The region became open to a steady flow of Turkish immigration from the Inner Asian steppes. c Al¯ makı ing the Oxus the boundary between the two empires. N¯ zim.ISBN 978-92-3-103467-1 Contents ¯ The succession of Mahmud on Sebüktegin and Mahm¯ d. Mans¯ r II b.Mahm¯ d u had to hurry eastwards to Ghazna in order to wrest power from his younger half-brother Ism¯ c¯l (997–8) whom Sebüktegin – perhaps influenced by the fact that Ism¯ c¯l’s mother aı aı was a daughter of Alptegin – had appointed his successor there. 62–3. 168–9. 30–2. pp. 36–45. also. Bosworth.7 ¯ The succession of Mahmud Sebüktegin died in 997 and Ghaznavid control of Khurasan was thrown in jeopardy. 45–6. al-Q¯ dir a (991–1031). for the shrunken Samanid amirate came to an inglorious end when the Ilig occupied Bukhara definitively in 999. invested him with what is now Afghanistan and eastern Khurasan and he was able u to recover western Khurasan from the Turkish general Begtuzun. 8 N¯ zim. pp 261–8. u N¯ h. which was never again to be controlled by the Samanids. pp. 1975. 1962a. the traı ı u dition whereby the Ghaznavid sultans always buttressed their power by caliphal approval. who bestowed on him the titles of wal¯ am¯r al-mu’min¯n (Friend of the Comı ı ı mander of the Faithful) and yam¯n al-dawla (Right Hand of the State) the latter being the ı one by which Mahm¯ d became best known and which was at times applied to the Ghazu navid dynasty as a whole (thus the historian J¯ zj¯ n¯ refers to them in his Tabaq¯ t-i N¯ sir¯ u a ı a a ı as al-Sebüktig¯niyya al-Yam¯niyya al-Mahm¯ diyya ). pp. ending the rule there of indigenous Iranian dynasties. Thus by 999 Mahm¯ d u was in complete control of the whole of Afghanistan and the former Samanid territories south of the Oxus (Amu Darya) and now regarded himself as an independent sovereign. 44.Thus was inaugurated. were assiduous in sending gifts from Indian plunder to Baghdad. pp. 1975. 1963. p. and then to negotiate a peace treaty with the Karakhanids which left the latter in control of the Syr Darya valley and the Ghaznavids with the whole of Khurasan. Thus the process began of converting what had been in pre-Islamic times ‘l’Iran extérieur’ into a majority Turkish ethnic Barthold. This was a historical event whose significance cannot have been apparent at the time. 1962b. 217–18. 1931. He secured legitimation of his new power from the c Abbasid caliph in Baghdad. the new Samanid amir. Mahm¯ d’s superior milu itary skill soon made him master in Ghazna (998). Bosworth. 1968. They were able to compel N¯ h to nominate a vizier favourable u u to their interests. After 1017 the north-eastern lands of Islam were wholly in the hands of two Turkish sovereign powers. a 168–9.

The protection of Khurasan and the Oxus frontier was thus a prime concern ofMahm¯ d’s. until the decline of Ghurid power in India at the beginning of the thirteenth century. and from Khwarazm and the upper Oxus principalities in the north to the Indian Ocean shores of Sind and Makran in the south. u for. the Khans coveted Khurasan for themselves. where the local inhabitants. this empire stretched by his death from the fringes of Azerbaijan and Kurdistan in the west to the Ganges valley of northern India in the east. a a 107 Copyrights . but a second invasion under the Ilig and u 9 B¯ bur-n¯ ma. Above all. a with its rich agricultural oases and its urban centres for commerce and industry. Mahm¯ d restored the situation. u Karakhanid armies swept down on Balkh and on Nishapur. 1963. but his son Mahm¯ d was now far better endowed with both military and financial resources than his u father had been. ‘Ghazna is a very humble place. 36. provided a steady income from taxation for the maintenance of the highly expensive Ghaznavid standing army.ISBN 978-92-3-103467-1 Contents ¯ The zenith of the empire under Mahmud and linguistic region by the sixteenth century. despite the agreement with the Karakhanids and the sultan’s marriage in 1000 to a daughter of the Ilig (possibly the Mahd-i Chigil of certain sources). Not since the heyday of the c Abbasid caliphs had one man ruled so much territory. was to muse. From a nucleus in Afghanistan and Khurasan. by ceaseless campaigning. the founder of Mughal a rule in India. B¯ bur. a financial injection which the much sparser economies of the plateaux and mountains of the Hindu Kush–Pamirs region could never have supplied. strange indeed it is that rulers in whose hands were Hindustan and Khur¯ s¯ n¯ t should have chosen it for their capital. and that from the insignificant town of Ghazna. while the gradual influx over subsequent centuries of Turkish pastoral nomads and their herds from beyond the Jaxartes (Syr Darya) was to have a decisive effect on the pattern of land utilization and agricultural economy in Transoxania and the northern tier of the Middle Eastern lands. the fiscal resources of the province of Khurasan.’9 aa a As noted above. so that. ¯ The zenith of the empire under Mahmud Mahm¯ d’s thirty-two year reign (998–1030) – lengthy by contemporary standards –enabled u him to build up. exasperated at the rapacity of Ghaznavid tax-collectors. Mahm¯ d took over the Samanid forces in Khurasan and his successes u as a war leader ensured a steady stream of free soldiers and volunteers to supplement his core of Turkish ghul¯ ms. While Mahm¯ d was absent at Multan in India in 1006. a vast military empire. the pattern of expansionism had been set by Sebüktegin. cited in Bosworth. p. Returning swiftly. Only then did it relapse into its former obscurity. visiting it three centuries later. Ghazna was to be a place of international significance. actually welcomed the invaders. For some two centuries.

for his part. especially as Khwarazm formed an isolated salient of settled. The ancient Iranian ı kingdom of Khwarazm had been ruled until 995 by the old-established line of Afrighids of Kath. by marriage links. 1968. 47–52. 28–9. 279–86. Although the shahs had been nominally subject to the Samanids. 286. 1942. of the access of prestige which Mahm¯ d’s campaigns in Transoxania u and Khwarazm brought him within Inner Asia is the historian Gard¯zi’s mention under the ı year 1026 of embassies from the distant Kit¯ (sc. pp. Minorsky. married a daughter of the Great Khan Arslan links (thus his son Mas ¯ Khan Mans¯ r. pp.11 ı u Significant. 52–3. which were later to lead to a division of territories into a Western and an Eastern Khanate. a 12 Barthold. pp. 1968. such ties with pagans were courteously but firmly rejected by Mahm¯ d. 11 Barthold. possession of which enabled him to turn the flank of the Karakhanids and exert pressure on c Al¯ Tegin. c Al¯ b. p. 19–20. sealed. 1950. 56. In 1025 Mahm¯ d invaded Transoxania with the aim u c Al¯ Tegin and he made an alliance with the latter’s rival. 170–1. in which the Ghaznavids’ war eleu phants struck terror into the Karakhanid ranks. the Ma’munids of Gurganj. 272–4.12 u Mahm¯ d’s activist policy in Transoxania during these years had been facilitated by his u acquisition of an important bridgehead across the Oxus. 76–80. 1931. pp. 216–24. the future sultan. Bosworth. the Kitan or Liao of northern China) and a the Uighurs of Kocho in East Turkistan (what is now Xinjiang). p. however. 1953–4. This was stemmed u by a brilliant victory of Mahm¯ d’s near Balkh in 1008. Pritsak. of ı au ı Bukhara and Samarkand – until his death in 1034. 1953–4. N¯ zim. p. 274. 116. The main Karakhanid threat to Mahm¯ d’s position was now to come from his immeu diate neighbour to the north. pp. N¯ zim.10 The sultan. a 10 108 Copyrights . 1931. but control subsequently passed to a new line of Khwarazm Shahs. Although c Al¯ ı Tegin was temporarily driven out of Samarkand. negotiated marriage u c ud. pp. coming to the sultan to seek marriage alliances for their rulers. Kadïr Khan Y¯ suf of destroying ı u (now ruling in Khotan and Kashghar). N¯ zim. Barthold. called c Al¯ Tegin. he returned in 1026 when Mahm¯ d left u Transoxania in order to prepare for the Somnath expeditions (see below). brother of the Ilig Nasr) and skilfully exploited those dissensions within the u Karakhanid family. and the sultan made no further efforts in this quarter. Bughra Khan Hasan or H¯ r¯ n. 1963. Pritsak. unfamiliar with these awe-inspiring beasts. 1968. 29–33. This defeat quelled Karakhanid designs on Khurasan. in practice they had been independent. pp.ISBN 978-92-3-103467-1 Contents ¯ The zenith of the empire under Mahmud his kinsman Kadïr Khan Y¯ suf of Khotan came in the following year. pp. the Khans were never again able to present a united front against Mahm¯ d. he was the most strenuous opponent of Ghaznavid ambitions in Central Asia. a 1975. 1931. Barthold is probably correct in stating that Mahm¯ d u preferred to leave c Al¯ Tegin in Transoxania as a counterbalance to Kadïr Khan Y¯ suf. being a tribal confederation rather than a unitary state as was the Ghaznavid empire. as usual. pp.

1953. 1968. pp. Bosworth and Clauson. p. the Shir. Ma’m¯ n ı a ı u u Khwarazm Shah and. p. 173. the Farighunids. pp. pp. pp.16 Within Afghanistan proper. 1975. pp. there was no strategic need to maintain buffer-states like these.17 The remote region of Ghur in central Afghanistan remained. 237. 14 N¯ zim. a 15 Bosworth. 1873. whose raids were to be encouraged in the 1030s by the Karakhanid prince Böri Tegin (the later Tamghach Khan Ibr¯ h¯m). 16 Bosworth. secured in 1017 a pretext for intervention in Khwarazm. N¯ zim. including the Sachau. who now ruled there with the traditional title a of Khwarazm Shah. a 13 109 Copyrights . 174–5. thereby putting an end to the last independent Iranian line in Central Asia. The ruler of Gharchistan in northern Afghanistan. A local prince was allowed to remain in Qusdar as a vassal after a Ghaznavid show of strength there in 1010–11. and the neighbouring one of Guzgan likewise in 1010–11 when its rulers.13 Within what is now Afghanistan and Baluchistan. the coastal strip of Baluchistan. 1965. 239. pp. by deliberately provoking local Khwarazmian feeling and pursuing an unscrupulous diplomacy which led to his brother-in-law’s murder. 177–8. the Ma’munids were overthrown. substantially a pagan enclave outside Ghaznavid control. apparently failed in the male line. Bosworth. various local rulers – some of whom had been loosely dependent on the Samanids – were brought into the Ghaznavid orbit.ISBN 978-92-3-103467-1 Contents ¯ The zenith of the empire under Mahmud irrigated land within the surrounding deserts and steppes. 1931. The province’s agricultural richness and its historic commerce with Inner Asia and southern Russia attracted Mahm¯ d’s u greed. Tolstov. where a Ghaznavid force intervened in 1026 in a succession dispute. 1963. a pp. Bosworth. 177–8. Mahm¯ d’s reign a u the local amir (of unspecified family) was the sultan’s son-in-law. was deposed in 1012 and his principality was incorporated into the Ghaznavid empire. and Khwarazm was incorporated into the Ghaznavid empire under the governorship of Altuntash. 173–4.14 Existing local lines seem also to have been left in the trans-Oxus principalities of Chaghaniyan and Khuttal. 1963. A Ghaznavid invasion took place. 73. 1931. 237. 60–2. the first of a series of Turks to bear that designation. and in Masc ud b. These had strategic value as bridgeheads for Ghaznavid campaigns against the Karakhanids and were also the first line of defence for northern Afghanistan against predatory peoples like the Kum¯j¯s of the Buttaman mountains (in ıı what is now Tajikistan) (perhaps remnants of an element of the Hephthalite confederation). 8–9.pp. 1963. pp. the heartlands of the Ghaznavid empire. p. 290–1. 171–2. as also in Makran. Bosworth. He married his sister (known as Hurra-yi Khuttal¯ or K¯ lj¯) to Ma’m¯ n b. 17 N¯ zim. 56–62. an amir survived in a ı u ¯ Chaghaniyan from the old-established Muht¯ jid family.15 We know that in Mahm¯ d’s time. 1975. 1931. 292–311. a former ghul¯ m of Sebüktegin. p. Mahm¯ d sent expeditions in 1011 u and 1020 and with difficulty secured the submission of some local chiefs. 1975. Barthold. 74. pp. however. 275–9. 1975. Bosworth.

a Ibid. 69–70. Hence Mahm¯ d sent forces into Sistan in u 999 and 1003. Mas’¯ d’s sultanate. to the south of Lahore. on the latter occasion deposing Khalaf and annexing his territories. the line of Hind¯ sh¯ h¯ Rajahs came to an end. Muhammad b.18 Sistan. under the leadership of Anandp¯ l’s a son Trilochanp¯ l (1004). 84–101. the u u people there threw off the Ghaznavid yoke and raised to power a line of local chiefs as the Maliks of Nimruz. was attacked and an immense 18 19 20 N¯ zim. and with the death of a his son Bhimp¯ l in 1026. Ghur was never properly subdued. Bosworth. and then a coalition of the princes of a a Kashmir and other regions of northern India. He defeated u a ı Jayp¯ l in 1001. including the Rajahs of Kalinjar and Kanawj. Further coalitions. 187–9. when it had been the centre of a vast if transient military empire. 23–4. Ahmad had become Sebüktegin’s neighbour after the latter’s annexation of Bust. Sebüktegin’s clashes with Jayp¯ l have been mentioned above. 1931.. Thus in 1004 the Rajah of Bhatinda. local feeling in Sistan was always strongly anti-Ghaznavid. and the implantation there of Islam was to be a slow process (see below. He temporarily seized Bust while Sebüktegin was involved with Jayp¯ l. pp. the Ghurids). Mahm¯ d likewise felt that the a u Hind¯ sh¯ h¯s were a major obstacle to any expansion into northern India. 1994. 70–3. scions of the Saffarids had survived in Sistan as petty rulers under generally nominal Samanid suzerainty. pp.ISBN 978-92-3-103467-1 Contents ¯ The zenith of the empire under Mahmud lord of Ahangaran. pp. Nevertheless. in south-western Afghanistan. Ray. and he feared for the integrity of his own territories. N¯ zim. surviving mema u a ı bers of the family took refuge in Kashmir (which Mahm¯ d made a disastrous attempt at u raiding in 1021. 368 et seq. pp. Vol. a ı 110 Copyrights . 27–33. pp. but so important an aspect of Ghaznavid policy requires some discussion. was a region with strong traditions of its own independence going back to the Saffarids. Despite the collapse of this empire. 36–7. 1931–6. alarmed at the threat from the Turushkas (as the [Ghaznavids’] Turks appear in Indian sources). 1931. pp. Hab¯b. 41–7.19 The story of Mahm¯ d’s Indian campaigns does not directly concern the history of Cenu tral Asia. 86–96. 1951. pp. 1931. a failed to stem the Ghaznavid onslaught. 321–8. and when the Seljuq Turks appeared on the fringes of Sistan in the 1040s. I. S¯ r¯ of the Shansab¯ n¯ family (who were to be the uı a ı driving force behind the remarkable rise to power in the next century of the Ghaznavids’ supplanters. and his son Anandp¯ l in 1009. however. Amir Khalaf b. Chapter 8).20 Other expeditions were mounted by Mahm¯ d into what is now eastern Panjab and into u the Ganges plains (modern Uttar Pradesh) and central India (modern Madhya Pradesh). Trilochanp¯ l died in 1021. 1975. seized Pushang while Mahm¯ d was disputing with Ism¯ c¯l over the a u aı succession and intrigued with the Karakhanids. but which was not to be seriously penetrated by Islam until the fourteenth century). in Mawd¯ d b. 172–3.

Above all other raids of the sultan. Habib. and then pushed on to confront one of the leading Hindu princes of northern India. The rich and fertile Doab between the Ganges and the Yamuna was the seat of many wealthy shrines and temples. frequently by oppression and violence. 1931–6. penetrating into central India.22 Although later generations of Indian Muslims were to venerate Mahm¯ d as the founding u father of Islam in India. 197–203. a rich accretion of stories and legends was to attach itself to the historical core of the episode. 81–4 111 Copyrights . a N¯ zim. the attack on Somnath caught the imagination of the Islamic world. including 120 elephants. for example. 55. 1951. the Ghaznavid expeditions should in reality be seen as essentially plunder raids. The a raid involved an arduous march from Multan across the Thar desert and an equally difficult return one through Cutch. pp. gave ample recompense for the hardship endured. Ray. was plundered in 1014 and the idol carried off to Ghazna. 1931. the reputed birthplace of the deified Indian hero Krishna. as has been emphasized by. pp. Vol. pp. Thanesar. pp.000 slaves and 350 elephants. pp. with 30. harassed by the Jhats. including also the rulers of Kanawj and Gwalior (1019–20. agreeing in his peace treaty with the sultan to supply a contingent of 2. Over the centuries. I. Mohammad Habib.21 Over the ensuing years. to Sind. The immense plunder gained from the despoiled temples. In 1009 the ruler of Narayanpur. 209–24. a See Habib. gaining from the whole expedition what was a reckoned by the historian c Utbi at 3 million dirhams.23 Their aim was to exact tribute from the Indian princes in the shape of gold. 76–7. Such gains were especially welcomed by pious Muslims as m¯ l-i hal¯ l (lawful wealth) as opposed to a a the taxation collected from Muslim subjects. 48. 38–42. 110–22. But the culmination of Mahm¯ d’s Indian campaigns was his attack u on Somnath on the southwestern coast of the Kathiawar peninsula (1025–6). pp.1022–3). 1931. in north-eastern Rajasthan.000 Indian soldiers for the Ghaznavid army. Rich gifts were sent to Baghdad and the caliph awarded the sultan – his reputation as ‘hammer of the infidels’ now much inflated – further honorific titles.ISBN 978-92-3-103467-1 Contents ¯ The zenith of the empire under Mahmud booty. Habib. expeditions were sent against a coalition of princes under Ganda of Kalinjar. the Pratih¯ ra Rajah of Kanawj. where lay a temple with the lingam of the moon-god Mah¯ deva. The expedition in the winter of 1018–19 captured rich booty from Mathura or Muttra. where the Hindus venerated an idol named Chakraswami (Lord of the Wheel). gardens and mosques.000 of the regular army plus volunteers. endowed with fabulous riches. 99–104. while the treasures from despoiled temples were taken to Ghazna and either converted into negotiable form or else used to adorn and beautify public buildings such as palaces. slaves and – quite often – troop contingents for the Ghaznavid army. was humbled. elephants. taken. 84–98. 51–9. 1951. No 21 22 23 N¯ zim. 1951. 106–10. said to total over 10 million dinars and brought back to Ghazna.

pp. in two a u campaigns of 1006 and 1010 the sultan attacked Multan. pp.ISBN 978-92-3-103467-1 Contents ¯ The zenith of the empire under Mahmud conditions of adherence to Islam were imposed on the Indians. Even so. 25 24 112 Copyrights . 289–90. 159–60. however. 1962a. Abu ’l-Fat’h D¯ w¯ d. 1963. aı ı ı 26 N¯ zim. pp. a In c Utb¯’s words. had been on friendly terms with the Ghaznavids. 1977. indicates that the enforcement of orthodoxy could have its profitable side. Mahm¯ d had. pp. with the aim of making western Panjab something like a regular province of the empire for fiscal purposes. like his father. 54–6. 1972. 1931. 298–307.’25 The fact that the remaining people of the prosperous trading city of Multan had to pay a heavy fine to save it from being plundered by the Ghaznavid army. 1–54. 42–3. Chapter 2). massacred the Ismac ilis there (called in contemporary phraseology Qar¯ mita or Carmathians) and deposed Abu ’l-Fat’h. nor could any such conditions be enforced. Vol. 203–5. ‘He was unable. This attempt foundered because of the unpacified state of northern India and the sultan’s inability to control bellicose and volatile military elements and gh¯ z¯s in the Muslim garrisons. 27 Barthold. in the eyes of the sternly orthodox Mahm¯ d. Mawd¯ d. al-Q¯ sim al-Thaqaf¯’s conquest. 76–87.27 the a Habib. pp. pp. 54–5. 1962a. 1963. 1931–6. Hence although the local ruler in Multan. Although earlier in his career as a commander in Khurasan. the Ismac ilis of Multan once more rose against Ghaznavid control. pp. I. under Abu ’l-Fat’h D¯ w¯ d’s son. and a u 26 the new sultan. a heretical tinge. where Lahore became the concentration-point for gh¯ z¯s. a 52. 1968. 1949. pp.24 aı Over the three centuries since Muhammad b. pp. 73. 77–8. 1963. 96–9. Only in western Panjab. 114–16. p. probably after Masc ud’s deposition and death in 1041. 185–9. can Islam have become gradually implanted at this time. 1951. 1963. too. the exista ı ing Islam of the Indus valley Arab communities had acquired what was. the Muslims of Sind u and Multan had come to recognize the spiritual and moral supremacy not of the c Abbasids but of their Shic ite Fatimid rivals (see above. 75–6. Only at Lahore. Stern. Bulliet. any forced converts would have apostatized. had to send a further punitive expedition. Al-T¯ r¯kh al-Yam¯n¯i. for as soon as the Ghaznavid forces withdrew homewards. Ray. 52. seeing the vileness of his evildoing and the abomination of his affair. During the tenth century. Ismac ilism ¯ survived there and. Bosworth. given supu port to the leaders of the pietistic Karr¯ miyya sect. pp. was there an attempt in the latter years of Mahm¯ d’s reign and in u ¯ the early ones of Masc ud’s to set up a civil administration. to endure that he [Abu ’lı Fat’h] should remain in power. 76. u Such campaigns as these formed part of the image that Mahm¯ d carefully built up u round himself as the hero of Sunni orthodoxy and the scourge of heretic Muslims and of infidels like the Hindus or the pagans of Ghur and Kafiristan (modern Nuristan). aı adjacent as this region was to existing Muslim communities of the middle and lower Indus valley established there since the Arab conquest of Sind at the beginning of the eighth century. pp. in the interests of religion. Bosworth. cited in Bosworth. pp. which was strong in Nishapur. 30–1. Bosworth.

a 113 Copyrights . in 1029 Mahm¯ d u marched against Rayy. pp. the existence in Baghdad as pensioners of the Buyids and with their court overshadowed culturally and intellectually by the splendour of the Fatimids in Cairo. Their rule was to last a mere seven years. This involved allegiance to ı c Abbasid caliphs. Hence gifts from plunder and announcements of victories were sent regularly to Baghdad. Massacres of heterodox elements. deposed the amir and sacked the city. 67–75. Ismac ilis).28 The excuse of an anti-Shic ite crusade became the justification for Mahm¯ d’s last great u campaign. in return. Mazdakites. 59–66. a gave the sultan religious backing for his aggression. Mahm¯ d had been circumspect in his dealings with the Buyids. and so on. carrying off rich booty from what was the main commercial and industrial centre of northern Iran. 1962a. pp. N¯ zim. pp. Majd al-Dawla. 53. the Samanids. Bosworth. 1963. still the u dominant power in Iraq and in Iran west of Khurasan. The Ghaznavids thus came to control most of northern Iran. 80–5. Masc ud arrived back from Rayy with 28 29 Bosworth. a harmless envoy from the Fatimids to the Ghaznavid court was summarily executed and accusations of ‘Carmathian’ sympathies were used to justify the removal of the sultan’s internal enemies. for the growing power of the Seljuqs and their Turkmen followers made it impossible for the sultans to retain their Iranian and Central Asian provinces (see below). directed against the Buyid amirate of northern Iran. 1962a. The weak ruler there. either through direct conquest or through vassals like the Ziyarids of Gurgan and Tabaristan in the Caspian coastlands. described as B¯ tiniyya (sc. the strategic key to northern Iran. Possession of Rayy. On this pretext. pp. just as his son Masc ud was to require it for the succession struggle with his brother Muhammad on their father’s death in 1030. 1963.29 ¯ Mascud and the Seljuqs On Mahm¯ d’s death. rule in Ghazna passed briefly to his son Muhammad in accordance u ¯ with the dead man’s wishes.ISBN 978-92-3-103467-1 Contents ¯ Masc ud and the Seljuqs Ghaznavids assimilated themselves to the norm for most eastern Iranian and Turkish peoples: adherence to orthodox Sunnism and the Hanaf¯ law school. by now living a reduced the moral and spiritual heads of Sunni Islam. injudiciously appealed to the sultan for help. Amir Masc ud was dispatched with an army against local Daylamite and Kurdish rulers in western Iran. Mahm¯ d needed the u moral backing of the c Abbasids when first he took over Khurasan and supplanted his lawful ¯ suzerains. pp. but after a few months. Until then. opened up the possibility of a drive towards the west and crusades against ¯ the Byzantines and Fatimids. however. Muc tazilites. although these operations were brought to an end by the sultan’s death in 1030. 1931. unable to control his Daylamite soldiery. the sultans received from Baghdad grandiloquent titles and other insignia of royal power. 51–4.

114 Copyrights . In an empire built up solely through Mahm¯ d’s personal skill as a war leader. pp. he also managed to restore order in Panjab after the commander of the army of India based in Lahore.31 In 1035 the sultan led a punitive expedition against the Ziyarid ruler Ab¯ K¯ l¯j¯ r because of his arrears of tribu aıa ute. Masc ud continued his father’s policies in both India and the Iranian lands.ISBN 978-92-3-103467-1 Contents ¯ Masc ud and the Seljuqs the army of the west and Muhammad’s support melted away. caused a revulsion against Ghaznavid rule which echoed throughout ¯ the eastern Islamic world. and from the 30 31 32 Barthold. pp. 293. Unfortunately. 1963. 1963. but Ghaznavid financial exactions in Kerman favoured the return of the Buyids the following year. p. Amul. In the early years of his reign. such as that of 1037 against the ‘Virgin Fortress’ of Hansi to the north-west of Delhi. 84.30 ¯ At first. Differences in character between him and ¯ his father were important but not decisive. he conducted a vendetta against the great men of state who had been dominant in Mahm¯ d’s reign and who had in many cases initially u supported the ephemeral sultanate of Muhammad. But the difficulties of controlling unruly gh¯ z¯ elements led to frequent disturbances in the Ghazaı navid territories in India. Mahm¯ d’s gains were retained and Masc ud personu ally led fresh campaigns. and u the importance of an inflow of tribute and plunder in maintaining the fabric of the state. 1968. Ahmad Inaltegin. as Bayhaq¯ calls them.32 In India. but the violent methods of the Ghaznavid army in collecting taxation at the capital of Tabaristan. there began the ascendancy of the ı a a Masc udiy¯ n or Naw-khw¯ stag¯ n (‘upstarts’). pp. The crucial point was that Masc ud inherited a vastly over-stretched empire. India and its problems tended to dominate the central councils of the empire. Bosworth. 90–1. because of Mahm¯ d’s spectacular successes there. one which was rapidly threatened by a new factor that eventually overwhelmed the Ghaznavids in the west: the irruption of the Turkmen hordes into Khwarazm and northern Iran. his judgement was less sound u and his advisers were to complain of his arbitrary decisions and unwillingness to listen to good counsel. who tended to act as the sultan’s yes-men. He tried to round off the recent Iranian conquests by the acquisition of Kerman from the Buyids in 1003. the Mahm¯ diy¯ n or Pidariy¯ n (‘adheru a a ents of the father’). the military and civilian notables in u ¯ Ghazna speedily recognized that the more experienced Masc ud was better fitted to maintain the momentum of his father’s conquests. 1962a. instead. rebelled in 1033. having dreams of outflanking the Buyids via Makran and Oman and liberating the caliph in Baghdad from their tutelage. though personally brave in the field. 74–5. Masc ud had not inherited all Mahm¯ d’s capabilities. ¯ a ¯ But it may be that we are unduly influenced by hindsight and by the fact that Masc ud’s reign (1030–41) ended in failure and his death. Bosworth. 227–34. Bosworth. Moreover.

Bosworth. who held the ancient Turkic title of Yabghu and who a controlled the towns of Jand and Yengi-kent at the debouchment of the Syr Darya into the Aral Sea (see Chapter 7. soon taking over ı almost all Transoxania. adopted a hostile attitude to Masc ud. Three years later. were not properly faced and the defences there neglected.33 u c ud initially cultivated good relations with the Karakhanid Kadïr Khan Y¯ suf and Mas ¯ u his son and successor. but by that time ¯ Masc ud was dead. as one of the Mahm¯ diy¯ n. The latter was succeeded as ¯ governor by his son H¯ r¯ n who. pp. 302. Tolstov. Bukhara was captured.35 As mentioned above. pp. with the result that the situation in the west became out of hand: the Turkmens enlarged the foothold gained there in Mahm¯ d’s closing years and could not now be dislodged. 1963. mindful of Masc ud’s earlier attempt to have his father au ¯ Altuntash. Sh¯ h Malik did in fact secure control of a Khwarazm and proclaim Ghaznavid suzerainty there once more in 1041. Masc ud’s attentions remained divided. those under the leadership of Sh¯ h Malik. Barthold. Bands of Oghuz Türks from the steppes of south-western Siberia (the modern Kazakhstan) had been infiltrating southwards into the settled lands since the last decades of the tenth century. 235. But c Al¯ Tegin’s sons were ı still active along the Oxus frontier. 235–40.ISBN 978-92-3-103467-1 Contents ¯ Masc ud and the Seljuqs ¯ middle years of Masc ud’s sultanate onwards. Part One. 405–10. pp. 1968. and himself married one of Y¯ suf’s daugha u c Al¯ Tegin remained the common enemy and in 1032 Masc ud sent an army ¯ ters in 1034. 1968. 1953. 34 33 115 Copyrights . pp. 51–2. 35 Sachau. Bosworth. at times aiding the last Samanids and at others their Karakhanid supplanters. 1968a.34 Khwarazm had meanwhile slipped irrevocably from Ghaznavid control. but a battle at Dabusiyya against c Al¯ Tegin and his Seljuq allies was indecisive and led ı to the death of the wise and experienced Khwarazm Shah. pp. Pritsak. pp. below). murdered. 310–12. Barthold. Böri Tegin (see above) began harrying Khuttal and Wakhsh in alliance with the Kum¯jis and the Turkmens. pp. Threats to the territorial integrity of the empire on its northern frontiers. the role of the Seljuqs was decisive in the downfall of Ghaznavid power in the west. 1953. 291–2. Support from these Oghuz – since the start of the eleventh century Bosworth. ı against him into Transoxania under the Khwarazm Shah Altuntash. 293–6. 1963. and after 1038. 1963. 238–9. Masc ud’s position was saved by the deaths of c Al¯ Tegin in 1034 and of H¯ r¯ n ı au (the latter was assassinated at the sultan’s instigation in 1035). Thus despite ¯ promptings from his more perspicacious ministers. 296–9. the Seljuqs expelled Sh¯ h Malik himself and became a universally victorious in Khurasan and Khwarazm. Bughra Khan Sulaym¯ n. this became a source of weakness. from the Karakhanids and the Seljuqs. u a H¯ r¯ n allied himself with c Al¯ Tegin for a joint attack on Ghaznavid territories in northern au ı Afghanistan in 1034 and also gave help to the Seljuqs who had settled on the fringes of ¯ Khwarazm. pp. The sultan could only join with a group of the Oghuz hostile to the Seljuqs. 1873. p.

in the last years of its existence. Masc ud (1059–99). were able within the next 20 years to take over the whole of Iran and make it the nucleus of the Great Seljuq empire. p. 241–68. N¯ zim. was that the Seljuqs. and by their depredations they disrupted long-distance commerce also. despairing of ever receiving adequate protection from the sultan. Seljuq. former followers u of Arslan Isr¯ ’¯l b.39 In retrospect. 1977. who were however unable to save the last Ghaznavids from the rising power of the Ghurids from the modern Ghorat province of central Afghanistan (see below. 1968a. 116 Copyrights . 302–3. remained north of the Oxus.ISBN 978-92-3-103467-1 Contents ¯ Masc ud and the Seljuqs at least superficially Islamized – was decisive in enabling c Al¯ Tegin to retain power in the ı Bukhara region from c.38 The upper Oxus territories remained the subject of ¯ Ghaznavid–Seljuq disputes during the reign of Ibr¯ h¯m b. the orientation of the Ghaznavid empire was to be towards India ¯ (for which the despairing Sultan Masc ud had set out after the Dandanqan débâcle) and the exploitation of its riches. a Bosworth. Chapter 8). pp. 1963. pp. Bosworth. their herds devastated the agriculture of the oases. 25–7. There. one of the most decisive in the history of the eastern Islamic world. some 4.36 The result of this battle. Others of the Oghuz. The Ghaznavids lost all their western provinces. 1968a. 15–23. 1968. 1968a. M¯ s¯ ua and Ibr¯ h¯m Inal. 1025 onwards. 52–5. the sultans ruled from Lahore and not Ghazna. the frontier was stabilized in c. pp. 39. Dislodged by the combined operations of Mahm¯ d u of Ghazna and his ally Kadïr Khan Y¯ suf. 158–9. but his heavily armed and ponderous. ¯ Mawd¯ d b. 1931. This proved a delusion and Ghaznavid forces had to disperse bands of plundering Oghuz throughout northern Persia.000 Turkmens at Dandanqan in the desert between Merv and Sarakhs in 1040. 52–3. Bosworth. ¯ Masc ud was at last deflected from his Indian preoccupations and marched westwards. 62–6. 50–2. pp. pp. 91–101. but Bahr¯ m a ı a Shah (1118–52) ruled in a loose vassal status to the Great Seljuqs. 1977. Thus the history of the remaining 140 or so years of the sultanate concern primarily eastern Afghanistan and India rather than Central Asia. Bosworth. promising to guard the frontiers there against further nomadic incursions. led by the Seljuqs Toghrïl. 1059 on a line roughly bisecting modern Afghanistan from north to south. it appears that the vast empire assembled by Mahm¯ d could no longer be held together by one man u 36 37 38 39 Barthold.000 Oghuz families. Masc ud (1041–8) was the last ruler to endeavour to concert operations with u the Karakhanids against the Seljuqs. pp. 1977. Chaghrï. Ghaznavid forces sent against them failed to achieve permanent success and by 1037–8 such leading towns as Rayy.37 In future. sought permission from the sultan to settle on pastures in northaı ern Khurasan. Merv and Nishapur opened their gates to the Seljuqs. now proclaiming their allegiance to the Baghdad caliph as their sole suzerain. pp. 297. involved in the politics of Khwarazm until a ı they too were compelled to move southwards into Ghaznavid Khurasan in 1035. conventional-type Islamic army was defeated by some 16. pp.

see below) was unable to preserve its communications with distant provinces like northern Persia and Khwarazm once these regions came under pressure or threw off allegiance to the sultan. The nature and structure of the Ghaznavid state The Ghaznavids display the phenomenon of the rapid transformation of a line of barbarian. 50. The central administration in Ghazna (on which. 1963. above all. In this age before the evolution of the nation-state. The sultans could never forget their Turkish ethnicity. in Bayhaq¯’s words. among the Ottomans. stood over and against the mass of subjects (the division which was later to be termed. were he peasant. p. since the vision of the subject. the possession of subjects who.’40 The sultan and his servants. had an implied duty 40 T¯ r¯kh-i Masc ud¯. yet in practice. originally Turkish slaves into monarchs within the Irano-Islamic tradition who presided as authoritarian rulers over a multi-ethnic realm comprising Iranians or Tajiks. whose secular traditions and practices went back beyond the Islamic caliphate and ultimately to the Sasanians. the army abandoned him. the Ghaznavids early recognized the need for the services of their Iranian subjects. In fact. in which the sultan and his servants. with a stress on the ruler’s divine backing but also on his duty to act in consonance with the laws of God as exemplified in the shar¯c a. Afghans. both military and civilian. that of c asker¯s and rec ay¯ ). thus enabling it to survive right down to its extinction in 1186 by the Ghurids: a respectable span of life for an Islamic state. could contribute differing expertise and skills to the functioning of the state was regarded as a source of strength rather than of weakness. There were no national or patriotic feelings which could act ı ¯ a as a cement for society. to act as successful war leaders ¯ and suppliers of plunder. and give [them] complete obedience. But for the administration and financing of their empire.ISBN 978-92-3-103467-1 Contents Nature and structure of the Ghaznavid state once the incursions of the Seljuqs had reached a certain level of intensity. above all. ı All these elements came together within what might be called the Ghaznavid ‘powerstate’. Turks. To this heritage had been added the Islamic element. rulers behaved largely as despots. for the secretarial class. one might conclude that the loss of the western provinces to the Seljuqs reduced the Ghaznavid empire to more manageable proportions. with their various ethnic backgrounds. when Masc ud’s nerve seemed to fail after Dandanqan. on the other hand. was confined to his own locality and to the protection of his own immediate interests. Thus they had to stay attuned to the needs and aspirations of those troops and. Indians and others. cited in Bosworth. since the essential core of their military support was likewise Turkish. trader or artisan. aı ¯ ı 117 Copyrights . It was the duty of the subjects to pay taxes to the state. ‘It is vital that ı they should be in complete fear and trembling of the king and the army.

torture to disgorge personal gains and often execution. 1931.43 Financial demands were the overriding consideration. 1963. Bosworth.41 ¯ Hence Mahm¯ d’s son Masc ud was only following the same line of argument when at the u end of his life he resolved to abandon Ghazna for India. such as Sebüktegin’s chief secretary Abu ’l-Fat’h Bust¯. but the sufferings of the subject population were even worse when the soldiers of the army were allotted assignments of revenue (bar¯ ts) which they then collected personally. The vizier had also to keep control over provincial governors and officials. 1963. they should simply have submitted to the more powerful incomers.ISBN 978-92-3-103467-1 Contents Nature and structure of the Ghaznavid state to protect the subjects militarily and thereby enable them to carry on their avocations. speedily turned against an oppressive military 41 42 43 44 45 Barthold. 132–7. a 118 Copyrights . According to Bayhaq¯ again. 1963. Failure here meant dismissal. a Bosworth. 144–6. but the two spheres of responsibility were never to mix. with the vizier at the head of the hierarchy. as was the sultans’ extravagant lifestyle in their palaces and gardens and their lavish spending on public buildings. Mahm¯ d ı u severely censured the people of Balkh for resisting the Karakhanid invaders in 1006. There was a and the vizier under both Mahm¯ d and Mas ¯ u ı fivefold division in the central bureaucracy. of the six viziers serving ¯ Mahm¯ d. thus causing the destruction in the town of a market belonging to the sultan which had brought in much revenue. 1968. through distance from the capital. 1963. pp. Ahmad b. with separate d¯w¯ ns for the vizier. There is ample evidence in the sources of the harshness of provincial tax-collectors. 1931. 65–7. the secretary for the army. this control was exercised through a network of couriers and spies. 51. The bureaucracy. Bosworth. We a know that the people of Rayy. 291. 130–47. Bosworth. pp. grew with imperial expansion. the bar¯d and ishr¯ f ı a 45 system. Muhammad and Masc ud. to withhold taxation and rebel. who might be tempted. the chief ı a secretary. 70–3. who had originally welcomed the Ghaznavids as liberators from the excesses of the Buyid troops there. p.42 Both the central and the provincial administration were run by Tajiks. pp. p. pp. N¯ zim. three died violent deaths and one suffered prolonged u imprisonment. Bosworth.44 The vizier was thus under constant pressure to increase the flow of revenue and to find new sources of taxation. The sultans disposed of the services of some of the leading littérateurs and officials of the age. thus contributing to the atmosphere of fear and suspicion in the empire. 48–51. 93–7. the head of intelligence and the postal service and the chief steward of the household. 55–97. instructing his officials to make the best terms they could with the Seljuqs whom he expected to occupy the capital and replace his dynasty there. ı c ud. Hasan Maymand¯. pp. pp. and with it the wages bill. N¯ zim. The maintenance of a powerful standing army and the mounting of frequent military campaigns were very expensive. 1963.

but specifically mentioned are soldiers from the Karluk. 1963. 1963. a N¯ zim. 109–10. 1978. 79–91. 91–3. The sources tell us little about the tribal origins of the Ghaznavids’ Turks. Tukhsi and Chigil and the men of Khotan (?Uighurs). 122–6. pp. There were regular army parades on ceremonial occasions such as the reception of diplomatic envoys or the celebration of the Islamic festivals and the Iranian ones of Nawr¯ z. 1963. We possess in sources such as Bayhaq¯’s history and c Aq¯l¯’s Ath¯ r ı ıı ¯ a al-wuzar¯ ’ [Famous Past Deeds of the Viziers or Past Traces of the Viziers] the texts.50 46 47 48 49 50 Bosworth.47 Of especial importance in a milia tary state like that of the Ghaznavids was the d¯w¯ n of the c arid (secretary for the army). pp. Bosworth. 1931. 121–4. Part 1A. the Ghaznavids were thus continuing a feature of military organization begun by the c Abbasids in the early ninth century and adopted by most of their successor-states. N¯ zim. and the notorious exactions of the vizier Isfar¯ ’¯n¯ and the governor Abu ’l-Fadl S¯ r¯ in Khurasan aı ı uı contributed powerfully to the population’s disenchantment with the Ghaznavids and the capitulation of their towns to the Seljuqs without a blow. these parades being often held on a plain outside the capital. pp. 104. and pay. ı a ¯ who organized mustering. pp. their skill as mounted archers and the singleminded loyalty which in theory (though not always in practice) they gave to their master. Part IB.000 at a review in 1037 – were drawn the holders a of household and ceremonial offices such as the sultan’s armour-bearer. p. Yaghma. 137–8.. 101–8. the provision of matériel and the commissariat. Bulliet. 69–70. however. including the Samanids.48 The core of the army was an élite force of Turkish ghul¯ ms who guarded the sultan’s a palaces and person and hence were known as ghul¯ m¯ n-i sar¯ y (palace guards). Bosworth. pp. Bosworth. cf. stemming from their harsh early life in the steppes. 1972. Outside this inner group. Schlumberger et al.49 From these palace ghul¯ ms – recorded as amounting to 4. 1963. of several letters to the Karakhanids and the c Abbasid caliphs. in a florid Arabic and Persian. including announcements of victories (fat’h-n¯ mas). What a a a we know from the literary sources of their rich uniforms and bejewelled weapons has received striking confirmation from the remains of mural paintings in the audience hall of the complex of Ghaznavid palaces at Lashkar-i Bazar near Bust. Kay. who came mostly via the slave markets of Transoxania or as gifts from the Karakhanid rulers. pp. while the frontier auxiliaries recruited by the Ghaznavid governors in Khwarazm apparently included men from the Kïpchak and Kanglï. Turkish troops like these were valued above all for their hardiness. pp. 142–4. 98–105.46 The d¯w¯ n of the chief secretary dealt with correspondence with provincial officials and ı a with external rulers. a Bosworth. Sada and u Mihrgan. 1963.ISBN 978-92-3-103467-1 Contents Nature and structure of the Ghaznavid state governor and were later reluctant to put up any serious resistance to the Seljuqs. 1931. a wider force of Turkish slave troops formed the backbone of the army. pp. 119 Copyrights . pp.

they strove to build a contemporary image as defenders of Islam against heterodoxy and infidelity. We have little evidence of any deep personal faith on the part of Mahm¯ d or u c ud. had invited Ab¯ S¯ lih Tab¯ n¯ to become head of the Hanaf¯ lawyers there and to u a a ı ı teach in a madrasa (Islamic college). who fought with their characteristic weapons of the spear and javelin. Ibid.52 The ideology of the sultans was strongly orthodox and Sunni. pp. 120 Copyrights . into military usage in the Persian lands. pp. Mahm¯ d appointed ı a ı u c Al¯ S¯ c id as tutor to his sons Muhammad and Masc ud. where they had last been thus employed by the Sasanians. were often called upon.54 Virtually all members of the ruling strata of Islamic society were susceptible to the appeal of a holy man or mystic. with an especial penchant for the Hanaf¯s. Bosworth. as already described. Hence the services of the leading Nishapur Hanaf¯ family of scholı ars and lawyers..ISBN 978-92-3-103467-1 Contents Nature and structure of the Ghaznavid state Other nationalities within the Ghaznavid forces included free troops from the local Arabs and Kurds. Ibid. and this seems to have 51 52 53 54 Ibid. pp. with the promise of the judgeship of Nishapur as a reward. Daylamite infantrymen. 1972. these colleges being one of the chief instruments for the education and training of an orthodox Sunni religious and official class. and they certainly enjoyed wine-drinking parties to the full. and this scholar ¯ the judge Abu ’l. In 995 Mahm¯ d. 176–7. 175–8. and.. These last were probably in large part slaves. Ab¯ S¯ lih’s nephew Ab¯ S¯ diq was later appointed u a u a ¯ by Mahm¯ d as chief judge in Khuttal.. pp. 175. and Indians. taken as tribute from the Indian princes. valued for their loyalty and at times used as a counterbalance to the Turks. as commander in a ı u Khurasan. characterized by Mahm¯ d at one point as the madhhab-i r¯ st ı u a (righteous law-school). the Tab¯ n¯s. Another prominent Hanaf¯ family in Khurasan was that of the S¯ c id¯s. 201–4. 115–18.a a was to play a leading role in reducing the power of the Karr¯ miyya in 1012. pp. Bulliet. while people were often aware that there were many charlatans in the ranks of the Sufis. it was the sultans who reintroduced these animals. valued as dashing cavalrymen and skirmishers. and 1037 sent by Masc ud to head a successful u embassy to the Karakhanids. 107–12.53 a There was clearly considerable royal patronage of the Sunni revival in the eastern Islamic lands as part of the general movement which had grown up in reaction to the bid for political power in the tenth century of Shic ism. They nevertheless Mas ¯ recognized the importance of the official religious institution of the c ulam¯ ’ (learned men) a as part of the fabric of state and often used scholars as diplomatic envoys. conversion to Islam does not seem to have been necessarily required of them. 63–4. 1963. it is recorded that in Khuttal there were over twenty madrasas.51 The elephants which were deployed as beasts of war in the Ghaznavid armies have been mentioned above. Already in the opening years of the eleventh century.

57 But modern scholars have emphasized that such encouragement did not necessarily arise from a disinterested love of learning. hence we cannot know for sure whether the sultan really paid off the remaining debt on Ab¯ Sac¯d’s kh¯ naq¯ h (convent) when the latter died in 1049. pp. 325–6. Chapter 4). pp. 1968. eventually reaching a the court of the Daylamite prince Ibn K¯ k¯ ya at Isfahan). than to an extravagant thaumaturge a ı c id. Meier. pp. for his own circle at Ghazna. such as that around the Nishapur scholar Abu ’l-Q¯ sim al-Qushayr¯.. 68–9. 196–7. the polymath Ab¯ Rayh¯ n al-Bir¯ n¯ (973–1048). Browne. pp. pp. 121 Copyrights . the Tahq¯q m¯ li ı a 55 56 57 Ibid. Indeed.) like Ab¯ Sa u Cultural and intellectual life As well as being aware of the importance of the Islamic religion in buttressing their authority. which had nurtured such luminaries as R¯ dak¯ u ı and Daq¯q¯ (see above. 172–7. 187–94. 90–129. pp. Farı rukh¯ and Man¯ chihr¯ (there were poets of similar calibre at the courts of later sultans like ı u ı c ud III (1099–1115) and Bahr¯ m Shah). Chapter 18. with the monarch as the recipient of laudatory poetry and as the dispenser in turn of patronage and largesse. The courts of Mahm¯ d and Masc ud certainly nurtured a u a fine school of lyric poetry in New Persian. 26–32. 1934. the Ghaznavids were concerned to conform to the norm of traditional Islamic rulers who made their courts centres of culture and learning.56 There are indications that Turkish poetry Mas ¯ a was also known there. Gandje’ï. Köprülüzade. 324–6. 1986..ISBN 978-92-3-103467-1 Contents Cultural and intellectual life been substantially the attitude of the sultans. with such notable figures as c Unsur¯. Mahm¯ d seems to u have chosen the ideal of the Samanid court. One would expect the u ı a a Ghaznavids to have lent more support to the moderate Sufi groups of the time.55 (See further below. led by the laureate c Unsur¯ and hymning the sultan’s praises as a Maecenas and u ı ¯ as the scourge of the k¯ firs (pagans). even if we discount the ı ı later literary biographer Dawlat Shah’s claim that there were 400 poets in attendance on Mahm¯ d. while taking advantage of the u a u ı facilities offered to this Khwarazmian scholar by service under the Ghaznavids. Rypka et al. A well-known anecdote by the twelfth-century writer Niz¯ mi c Ar¯ d¯ Samarqand¯ describes how Mahm¯ d perempa u ı ı u torily demanded of the Ma’munid Khwarazm Shah that he dispatch to his own court in Ghazna the leading literary and scientific figures in Gurganj (the physician and philosopher Ibn Sin¯ was so little enchanted at the prospect that he fled westwards. It is difficult to distinguish fact from pious fiction in the biography of the Khurasanian Shaykh Ab¯ Sac¯d of Mayhana by his descenu ı dant. 1976. 317–22. including the opportunity to visit India and gather material for his magnum opus. 1906. Displaying something of the admiration that barbarians often showed for higher things. the greatest intellect of a u the age.

was exacted for the construction of palaces and the driving of game on ı aı royal hunts – a practice strongly entrenched in Iranian and Afghan life and lasting almost to the present day. or land tax) and a multitude of local tolls and dues a (muk¯ s). corvées u ı (mard-b¯g¯ r¯). and with the traditional a a a medieval Islamic separation of the open. traders and artisans. Most irrigation came from subterranean qan¯ ts or k¯ r¯zs. a substantial proportion of the state revenue went on the sultans’ palaces and on entertainment there. Bosworth. 131–4. 122 Copyrights . although the remaining ruins at Lashkar-i Bazar (see above) show the magnificent scale on which such palaces were conceived. the peasants. 141. 1968b. which ensured the loyalty of the army and the bureaucracy by the distribution of favours. offices and largesse and by the visible and conspicuous image of the sultan as the munificent and successful head of state. The numerous palaces and gardens at Ghazna and at provincial centres like Herat and Balkh have failed to survive in the harsh Afghan environment. Merv and Nishapur which could not grow enough food for themselves. 1963. pp. public. court culture. assume that demands for taxation (the khar¯ j.59 Agriculture and trade Given the fact that the sources for Ghaznavid history are all products of an elite. requiring large injections of capital for a aı 58 59 60 61 Bosworth. 135–41. the only significant permanent sources of running water were rivers like the Oxus. Ibid.58 u As observed above. pp. 1963.61 Within the Ghaznavid realm. pressed hard on them. however. on which the geographers mention the existence of water mills. Such sources as Bayhaq¯ describe at length ı the splendours of court life. Murghab and Helmand. comprising the plateaux and mountain regions of Afghanistan and Khurasan. Bosworth..ISBN 978-92-3-103467-1 Contents Agriculture and trade ’l-Hind [Inquiry Into What is to be Found in India]. we can only piece together odd fragments of information on the life and social habits of the mass of the population. 131–2. 79–91. court life of the ruler from his private life in the harem with its eunuch attendants. To some degree. Only certain highly specialized foodstuffs like truffles and the edible earth of Khurasan are mentioned as being exported as far as Egypt and the Turkish lands. never seems to have been especially close to Mahm¯ d or to have enjoyed any direct official encouragement from him.60 Agriculture was concentrated on the oases and was essentially smallscale and designed for subsistence within the rural area concerned or for supplying towns like Herat. with rich clothing and robes of honour provided by the royal workshops (k¯ rkh¯ nahs) for the embroidery of tir¯ z decoration. pp. this was necessary to the functioning of the state. We can. and we know from Bayhaq¯ that forced labour. pp.

1963. Only a few favoured upland areas allowed dry-farming. 152–7.66 62 63 64 65 66 Bosworth. Ibid. 101. Other items required the services of a staff of assayers and valuers in Ghazna in order to turn these into a negotiable form or into the precious metals required for the mining of the high-quality gold and silver coinage which was a feature of Ghaznavid monetary practice and which must have stimulated economic activity within the whole eastern Islamic world. 133. 150–2. pp. trophies of war. were certain celebrated local fabrics. 140. 1963. famed for horse breeding.64 Families like this were also involved in the caravan trade which linked Khurasan and Afghanistan with Transoxania and the steppes on the one hand. Bosworth. pp. with functions analogous to those of the later Iranian office of kal¯ ntar. pp. and whose disruption by the Oghuz invaders predisposed the towns of Khurasan to come to terms with the Seljuqs. and was mainly for local consumption. The sultans themselves are recorded as responsible for hydraulic constructions in the region of Ghazna itself. likewise.ISBN 978-92-3-103467-1 Contents Agriculture and trade construction and maintenance which only the more wealthy landholders could provide. Bulliet.65 Finally. and the existence a ı a ı of such municipal officers as the ra’¯s al-balad (the head of the local community vis-à-vis ı the central government). 1970. however. 135. Some of this last. pp. was apparently incorporated into the fabric of the sultan’s new buildings in the capital. Bosworth. 123 Copyrights . such as the c att¯ b¯ and a ı saqlat¯ n¯ silk brocades of Nishapur. pp.63 It is only for such towns as these that we know anything about municipal organization. pp. we know that slaves came directly across the upper Oxus lands through the intermediacy of the Karakhanids. 171–5. 1968b. 113.62 Industrial production was the small-scale activity of artisans and craftsmen. where virtually all the towns produced textiles or carpets. the lush pastures of the upper Oxus valley and its tributaries were. and with Baghdad and Iraq on the other. One aspect of this long-distance trade was of course the traffic in slaves. the inflow of plunder from India to Ghazna involved a traffic in Indian slaves and the conveyance of bullion. In Nishapur. 66–8. 4–6. 139. 16–17... exported outside the province. 1972. 161–2. Only within Khurasan. including captured idols and similar spoils. who produced scholars. the important family of M¯k¯ l¯s held this office of ra’¯s or zac¯m for a ı aı ı ı much of the later Samanid period and the early Ghaznavid one. preachers and judges for the official religious hierarchy (such as the above-mentioned Tab¯ n¯s and S¯ c id¯s). pp. p. for Turkish slaves had since the ninth century regularly been transported across Khurasan from the Transoxanian slave markets en route for Iraq and the Islamic heartlands. Ibid. 78–9. the white cottons of Herat and the gold-threaded mulu ı ham cloth of Merv. involving the presence of a class of notables and leading families. and so on. 1963.

one might observe that the establishment of the Ghaznavid sultanate represents the first major breakthrough of Turkish power in eastern Islam against the indigenous Iranian and other peoples. the Ghaznavids’ destruction or weakening of local dynasties and of the landed classes by the imposition of rule by a central bureaucracy in Ghazna did much to prepare the way for the coming of the Great Seljuqs.67 67 Bosworth. 18. The pattern of the despotic power-state introduced by the Ghaznavids became the norm for many of the subsequent pre-modern Islamic dynasties. 14. 1970. and so on.ISBN 978-92-3-103467-1 Contents Agriculture and trade In conclusion. 124 Copyrights . pp. Although the impressive empire built up by the early rulers could not be sustained. the Khwarazm Shahs of Atsïz’s line or Anushteginids.

. * See Maps 3 and 4. . . . . . . . . The most important information is derived from written sources of a later date. . . . . . . . . . . . . . . . . The Karakhanids and the Khwarazm Shah Muhammad b. . and his works on the history of the Karakhanids still provide the fullest and most reliable account. . and has quite often proved to be completely incorrect. . The conquest of Transoxania by the Karakhanids: the division into appanages . . . . Seljuqs and Kara Khitay . . . . . . . . . . . Information about events within the Karakhanid state is sparse and frequently contradictory. . Barthold conducted a critical analysis of the principal written sources in the 1920s. . . . 125 126 133 138 141 143 147 Sources for Karakhanid history The history of the Karakhanids is one of the least studied periods in the history of Central Asia and East Turkistan. . a ı Karakhanids. . . . . . . . . . . . . . . . . . . . . . . . . . the policy of Ibr¯ h¯m b. the Seljuqs. . . . . 125 Copyrights . . Nasr Tamghach Khan . the Khwarazm Shahs and the Kara Khitay. . Davidovich Contents Sources for Karakhanid history . . . . These sources provide a very detailed account of relations between the Karakhanids and the neighbouring states of the Ghaznavids. Tekish . . . . . . . . . . . . . . . . .ISBN 978-92-3-103467-1 Contents Sources for Karakhanid history 6 THE KARAKHANIDS* E. . . . . . . . . . . . a Towns and trade . . . . . A. . . . . . The two Karakhanid Khanates. . . . Other historians have since managed to extract no more than isolated details from the written sources. . . Iqt¯ c s and the structure of the state . . . . . . . . . .

pp. 1927.ISBN 978-92-3-103467-1 Contents The conquest of Transoxania . The second historical source is Karakhanid coinage. although it did not prevent him from making the occasional mistake. Lane-Poole.2 is very brief and fragmentary and contains errors. pp. 1928. supplementing the written sources and correcting their at times contradictory testimonies. see Davidovich. 206–7 (on the errors in the section on the Karakhanids. developing methods for their attribution. The conquest of Transoxania by the Karakhanids: the division into appanages The confederation of Turkish tribes present in Kashghar and Semirechye in the ninth and tenth centuries was ruled by a dynasty referred to in the literature as the Ilek Khans or Karakhanids. They also understood. The section on the Karakhanids in Lane-Poole’s book. he made careful use of the Karakhanid coins published in his day. 111–14.3 Bosworth based his section on the Karakhanids in his book on the work of Pritsak. 3 Zambaur. such as handbooks for the chronology and the genealogy of Muslim dynasties. 1899. Pritsak. . pp. 5 Both designations represent titles. 4 Bosworth.5 The accounts provided in the sources regarding the composition of this confederation and the origin of the dynasty itself are contradictory and have given rise to Barthold.4 Later numismatists and historians (Vasmer. Kochnev and others) have published and studied an enormous number of Karakhanid coins. 2 1 126 Copyrights . The title Kara Kaghan was the most important Turkish title up till the end of the dynasty. Davidovich. The content of the written sources and the progress made in the study of the coins did not permit a reliable list of Karakhanid rulers to be constructed at that time. pp. Barthold and other historians realized that Karakhanid coinage represented a major source for the political history. A similar section in the work by Zambaur should simply not be consulted.1 None the less. Karakhanid coinage has also provided information for the study of a number of questions in the areas of social and economic history. 1965. however. 110–12 (there is no genealogical table). . even with Barthold’s additions. 115–17). p. 274. that Karakhanid coinage represented the most difficult branch of Islamic numismatics and that its attribution demanded a great deal of preparatory work. Barthold wrote despondently that it was often impossible to determine even such a simple point as the number of persons referred to in the inscriptions on coins. and this enabled him to discover a great deal of information. 1957. supplementing and correcting the information in the written sources for political history and providing fresh data for the chronology and genealogy not only of dynastic heads but also of a number of appanage-holders. this is reflected in the reference books used by all orientalists.

21–2. in 893. As Muslims who had already had contacts with the Islamic culture of Transoxania. Toghrul or Toghrïl (a bird of prey). etc. long a possession of the Karakhanids. The traders from Bukhara. Böri (wolf). The Karakhanids later also began to use the Arab titles sultan and sult¯ n al-sal¯ t¯n (sultan of sultans). The titles of the members of the a aı dynasty changed with their changing position. Ahmad took Taraz. At a later date. Taraz was another major trading post for exchanges with the Turkish nomads. . That is why the coins that made their appearance with the first military successes of the Karakhanids represent a most important indicator for their political history. 1953. In 840 they took Isfijab and built walls around it to protect its inhabitants’ crops from the raids of the nomads. Ilek (Ilig). providing material proof of the control of a town. Samarkand and other large towns of Transoxania constructed separate caravanserais for themselves. several hypotheses. however. c Al¯ b. Muslim honorifics (alq¯ b. probable that the dynasty came from the Yaghma or Chigil tribes. Tegin. In the mid–tenth century. the Karakhanids began a systematic struggle against the Samanids for control of Transoxania. normally upwards. the Samanid Ism¯ c¯l b. in the dynastic hierarchy.ISBN 978-92-3-103467-1 Contents The conquest of Transoxania . Isfijab was not merely a military outpost. M¯ s¯ (the head of the ı ua dynasty. and conaı verted the Christian church there into a mosque. however. The conquest of Transoxania was initiated by two cousins. was the minting of coins in one’s own name. . brisk trade with the nomads was also conducted there and the town contained many bazaars and caravanserais. the presentation of symbolic gifts and the inscription of the name of the Samanid amir as suzerain on their coinage. pp. they knew that one of the principal emblems of power. 127 Copyrights . however. The names of several members of this Turkish family who ruled Isfijab in the tenth century are known from the legends on coins and from the manuscript sources. which owed only three obligations to the Samanids: military service. They began to take Muslim names and. a region or a state. The Samanids even advanced some small distance to the east into the lands of the Turkish peoples. In the final decade of the tenth century. The names of animals were a regular element in the Turkish titles of the Karakhanids: thus Arslan (lion). pl. a 6 Pritsak. of laqab). the Karakhanids themselves adopted Islam and declared it to be the religion of their tribal society. But the regnal titles conveying the real or formal position a of their holders in the dynastic hierarchy were Turkish: Khan and Kaghan (Kara Khan and Kara Kaghan). Sulaym¯ n (title: Bughra Khan).6 It is. later. Clashes between the Samanids and the Karakhanids began to occur in the ninth century. etc. Bughra (camel). Toghan (falcon). Isfijab remained a largely independent possession of the local Turkish dynasty. Significantly. title: Kara Khan or Arslan Khan) and Hasan b.

128 Copyrights . Table 1. Samarkand and the Samanid 7 Pritsak. . 1953.7 and this nomenclature is most convenient for a consideration of the subsequent history of the Karakhanids. 26. The following account of the conquest is provided by the written and numismatic sources. Genealogy of the Karakhanids mentioned in the present chapter Pritsak proposed that the families of these two cousins be referred to as the c Alids and the Hasanids. . The first campaign was led by Hasan b. as the relations between the two families determined the events of the time (see Table 1). Sulaym¯ n Bughra Khan. Ferghana in 381/991–2 and Ilaq.ISBN 978-92-3-103467-1 Contents The conquest of Transoxania . p. The Karakhanids a took Isfijab in 380/990.

and their arrival merely represented a change of rulers at the apex of government at a time when many people were unhappy with the Samanids and entertained hopes of fresh privileges and advantages under the Karakhanids. Chapter 4. went on to govern several towns including Kish (coinage 399–402/1008–12) and Khujand (coinage 415/1024–5). (Since many of the dates given in this chapter stem from coin legends. A typical case is that of Begtuzun. in b.) 9 On the unsuccessful struggle of the last Samanid against the Karakhanids. Bukhara. the state of the Ghaznavids. The first was that the members of the military and bureaucratic structures of the Samanid state. in 386/996 he conquered the region of Chach. 152–7. The vassal rulers of Khwarazm. When the Karakhanids reached Bukhara in 999. From the year 992 onwards. in 382/992. see Ishankhanov and Kochnev. the Karakhanid coinage for the region refers to On the early coinage of the Karakhanids.10 The position of the Ilaq dihq¯ ns was strengthened under the a Karakhanids. Khurasan and Tukharistan had become virtually independent and took part in the internecine strife. looked on the change of dynasties with indifference. 10 Kochnev. The populace. One of his sons. the original hijri forms of these dates are given in this chapter – Editors. 1982. Certain leading representatives of the military and bureaucratic class assisted the Karakhanids. fought among themselves and also. at times. against the head of the dynasty. as their vassal. 8 129 Copyrights . In this complex situation. ı 387/997 Samarkand and in 389/999. 1979. There seems no doubt that the Karakhanids rewarded generously those who had assisted them.ISBN 978-92-3-103467-1 Contents The conquest of Transoxania . pp. whereas the Karakhanids retained a part of the north-eastern and eastern regions. The Samanid ruler returned to Bukhara and took control of the central regions of Transoxania. and the dihq¯ ns (major landowners) also a took their side. The initiative then passed to the family of c Al¯ b. M¯ s¯ .9 There were two reasons for the speedy and effortless victory of the Karakhanids. the Samanid ruler was unable to concentrate all his forces on the struggle against the Karakhanids. sometimes on the side of the Samanids and sometimes against them. having encountered no resistance. Second. the Karakhanids were Muslims. Begtuzun rallied to their cause and. These military successes were celebrated by a political gesture: the minting of coins in the name of Bughra Khan. on the other hand. he also took the capital. see above. Bukhara. A new state had thus emerged. capital. who had risen to the highest office under the Samanids and had settled the fate of the throne on more than one occasion. Nasr ı ua c Al¯.8 Having fallen ill in Bukhara. who wielded a great deal of power. . he travelled to Samarkand and from there set out for Kashghar but died on the way in 382/992. played a particularly active role. .

. he held a vast. was in the hands of the Hasanids. That was a privilege they had not enjoyed a under the Samanids. in turn. Nasr b. urdu). c Al¯. 1955. The most influential and the best-known figure was the c Alid Nasr b. The Karakhanid state exhibited several prominent features during its first period (until c. c Al¯ (the conı queror of Transoxania). A third feature was the hierarchical structure of political power. M¯ s¯ (Ahmad. and subsequently. 80–100. which found expression in the recognition of the head of the dynasty and was reflected in the references to him in coin legends as suzerain. there was the idea of the integrity of the state. but N¯ sir al–Haqq Khan is found a more often on the coinage. c Al¯ was in ı practice an independent ruler but formally recognized his brother. 1978. Pritsak. The chief town of the appanage and the capital of the Karakhanid state at the time was Balasaghun (thus in Muslim sources). Nasr. other areas and towns. p. the nomadic traditions and way of life of the Karakhanids were still very strong at the time. Ahmad.ISBN 978-92-3-103467-1 Contents The conquest of Transoxania . Ahmad b. ı ı to whom the Muslim written sources make practically no reference. at certain periods. c Al¯. wealthy and prestigious appanage that comprised the central areas of Transoxania (Samarkand. two of them (Ahmad and Mans¯ r) u became. Palaeographic studies provide us with two possible interpretations of the legends on the coins struck in the capital: Qara Urdu and Quz Urdu. Although his titles were modest (initially Tegin and later Ilek). c Al¯ (not Nasr b. Four sons of c Al¯ b. etc. First. Second. which was reflected in the differing ‘value’ of titles. Mans¯ r and Muhammad) held their own ı ua u independent appanages within the Karakhanid state. there were the common economic rights – to one and the same appanage sometimes nominal.11 as vassals. Lastly. adopted his father’s title (Kara Kaghan) as well as the title Toghan Khan. as head ı 11 12 Davidovich. Pritsak made a special study of the question of Turkish colour symbolism and concluded that the headquarters of the dynastic head near Balasaghun was indeed called Qara Urdu. the dihq¯ ns. Ferghana and also. as believed by many historians). there was the division of the state into appanages. which lacked stable borders because of the internecine strife. . 15. 1040). 130 Copyrights . otherwise referred to as Quz Urdu and Ulush Urdu (Mahm¯ d K¯ shghar¯). His own appanage was located in Semirechye. and sometimes real – of several members of the dynasty.). The dynastic head lived not in the town but in u a ı his nearby army encampment (ordo. head of the dynasty after the death of their father in 388/998. Bukhara. the direct rulers of Ilaq. From 395/1004–5 Y¯ suf Kadïr Khan (the son of Hasan Bughra Khan) regularly struck u coins there in his own name with the title malik al-mashriq (King of the East). The principal town in his appanage was Uzgend in Ferghana.12 Kashghar at that time. but he also held Chach. pp. The first to do so was Ahmad b.

supremacy passed to the Hasanids. including that of the wealthy town and region of Khujand: the brothers shared the income from this domain. Nasr attempted on two occasions to expand his appanage southwards at the expense of Ghaznavid territory. However. c Al¯. seized the capital Balasaghun and many other towns. After the death of Nasr b. 197–9. This act evidently led to a state of war between them. c Al¯. ı u u Among the external political events of the period during which Ahmad b. and they were reconciled only as a result of the mediation of the Khwarazm Shah Ma’m¯ n. aı including some from neighbouring Muslim states. Ahmad’s father had fallen in combat against the infidel Turks in 388/998. and Ahmad himself fought against them on at least two occasions. Relations with the Ghaznavids were not stable. see Kochnev. but many gh¯ z¯ volunteers. Y¯ suf b. 131 Copyrights . and the Hasanid. Following the first clash.ISBN 978-92-3-103467-1 Contents The conquest of Transoxania . They both appear on most of the coins from Nasr’s appanage as suzerain and vassal (with the emphasis on Nasr’s independence. and also of relations with the Ghaznavids to the south-west and the south. the pagan Turks invaded the domains of the Karakhanids and almost reached the capital Balasaghun. A large ı part fell to the head of the dynasty. Ahmad. who. had assumed the august title of Arslan Khan during ı Ahmad’s lifetime. Ahmad and Mans¯ r. There are instances of joint economic ownership. It is important to emphasize that there was no 13 On a silver coin from Isfijab 398/1007–8. After the death of Ahmad b. c Al¯ in 408/1017–18. seizing both prisoners and vast spoils. hence the detailed and exaggerated accounts found in the sources (the dates for this campaign vary). responded to the appeal of Ahmad b. c Al¯ was ı the head of the dynasty. in defiance of every tradition governing u the hierarchy of titles. 1988. with the title of Arslan Khan. but his other brothers were also stirred to action. his brother Mans¯ r b. . Hasan. . pp. c Al¯ became ı u ı the nominal head of the dynasty. Nasr and Mahm¯ d of Ghazna at first agreed that the u Oxus (Amu Darya) should be considered the frontier between their two states. ı who repelled the invaders and gained a brilliant victory. later (after 415/1024–5). according to the coinage. mention should be made of the war against the ‘infidel’ Turkish peoples to the north-east and east of the frontiers of the Karakhanid state. News of this major campaign spread throughout the Muslim world. he obtained the title of gh¯ z¯ (fighter for aı the faith). and the brothers Ahmad and Nasr conducted independent foreign policies. his appanage was broken up. the title of Khan was for a certain time borne by three Karakhanids: the c Al¯ds.13 At a later date (not before 403/1012–13). c Al¯ in 403/1012–13. Mans¯ r u b. however). relied on an alliance with Mahm¯ d of u Ghazna whenever relations with his brother worsened. Ahmad and Nasr also transferred control of individual towns and regions in their enormous appanages to other individuals (some of whom were not members of the dynasty) as their vassals. of the dynasty. Nevertheless. on the other hand.

another member of the same family. c Al¯ Tegin (= c Al¯ b. the c Alid Mans¯ r b. c Al¯ Arslan Khan. he extended his domains still further. The written sources and the coinage both provide a great deal of information about him. Some Hasanids held appanages in Transoxania and declared themselves to be vassals of the c Alids. Y¯ suf Kadïr Khan formally achieved his ambition. 1979. at another time to a second nephew. died a u ı in the same year: the Hasanid Toghan Khan II (= Muhammad b. 14 132 Copyrights . complaints about c Al¯ Tegin from the region’s inhabitants ı The written sources identify Toghan Khan with various Karakhanids. convincingly shows on the basis of coin inscriptions that he was. the c Alid Mans¯ r b. were joined by the ı latter’s son. who at one time ceded ı some of his rights and income to one of his nephews. but central Transoxania u remained in the hands of c Al¯ Tegin until his death in 426/1034–5 and was then passed on ı to his sons. Ahmad b. Nasr. Muhammad b. . c Al¯ Arslan Khan. Muhammad b. i. u According to the sources. Muhammad b. in opposition to their brother. The head of the dynasty at that time was Mans¯ r b. Hasan Toghan Khan II became the head of the Karakhanid dynasty. c Abb¯ s. The head of the dynasty. Nasr and his son c Abb¯ s figure as a joint owners of Akhsikath. while the c Alids Muhammad b. c Al¯ and his nephew Muhammad b. Y¯ suf Kadïr u Khan (the long-established ruler of Kashghar). Having been imprisoned by the head of the dynasty. The year 415/1024–5 appears to have been most eventful: the two previous joint owners. who sought to become the head of the Karakhanids. Kochnev. Even before Muhammad b. The ruler of the u ı town during these years was his brother Muhammad b. in fact. and at a third time to both together (coinage of the year 412/1021–2). c Al¯ Tegin escaped from u ı ı captivity (not later than 411/1020–1) to seize control of Bukhara and several other towns and regions. Another significant feature of the time was the further development of the hierarchical structure of power and joint economic ownership. precise delimitation of territory between the c Alids and the Hasanids during the first period (regardless of which family representative was head of the dynasty). 125–31. c Al¯ Arslan Khan. Hasan). Mans¯ r (coinage of the u years 409–10/1018–20). c Al¯. . Peace u ı did not reign among the Hasanids at that time. the sharing of the income from the same appanage between several members of the dynasty. pp. who is referred to as suzerain on these coins. After the death of Mans¯ r b. This process can be closely traced in the coinage of the Karakhanids.ISBN 978-92-3-103467-1 Contents The conquest of Transoxania . Hasan)14 then appears on the coinage as suzerain. We may consider by way of example the coins of Akhsikath from 409/1018–19 to 415/1024–5. Hasan. c Al¯ Tegin was allied to his brother Muhamı mad Toghan Khan II (the head of the dynasty). played an ı ı extremely active role in the central region of Transoxania. Nasr (coinage of the years 413–15/1022–5). Mahm¯ d of Ghazna also intervened in the internal strife between the Karakhanids. c Al¯ Ilek.e.

none of the Karakhanids represented a threat. Two sons u of the c Alid Nasr b. p. Chapter 5). 227–8. 1928. 304. whereas Ibr¯ im b. The allies met in ı the year 416/1025 to the south of Samarkand. Henceforth. Indeed. Kashghar) and a Western Khanate with its capital at Uzgend (later Samarkand). . u however. pp. Barthold notes in passing that Ibr¯ h¯m b. Y¯ suf Kadïr Khan in 424/1032. Y¯ suf in Balasaghun and Kashghar became Arslan Khan. a u and Muhammad b. The head of each Khanate bore the title Arslan Khan. Nasr ı became the ruler of the whole of Ferghana. . Although Mahm¯ d of Ghazna did not consolidate these military successes and u returned to his capital. their forces counterbalanced each other. as c Al¯ Tegin allegedly did not allow his envoys passage to Y¯ suf Kadïr ı u Khan in East Turkistan. Nasr established an independent state in Transoxa ı ania but is extremely circumspect about the date of this event. while orderly in appearance. c Al¯ broke away completely from the Hasanids: Muhammad b. Mahm¯ d routed his Turkmen ı u c Al¯ then abandoned Bukhara and Samarkand: his baggage train was pillaged allies. u ¯ ı The two Karakhanid Khanates. In essence. The real reason uniting Mahm¯ d and the Karakhanid Kadïr Khan. supposing that Ibr¯ h¯m could a ı still have ruled as a vassal in Bukhara in 433/1041–2. with his residence at Uzgend and the title of Arslan Khan. exchanged gifts of great value and decided to join forces in order to wrest Transoxania fromc Al¯’s grasp.16 This concept. the independent state of the Western Karakhanids was formed in an entirely different manner. The a process of partition culminated in the year 433/1042–3: an Eastern Khanate was formed with its capital at Balasaghun (later. pp. although the balance of forces in the Karakhanid state continued to be a matter of concern to the Ghaznavids even after Mahm¯ d’s death (see above. was the threat posed by the strengthening position of c Al¯ Tegin. 133 Copyrights . Mahm¯ d was himu u self displeased. Y¯ suf in Taraz and Isfijab took the title of Bughra Khan. 1950. 44–5.15 Pritsak was the first to give special. 1953. Nasr established himself in the centre of Transoxania. Nasr was never 15 16 Barthold. Pritsak. does not tally with some of the written sources or with any of the numismatic evidence. and ı en route.ISBN 978-92-3-103467-1 Contents The two Karakhanid Khanates . two of his sons assumed u the highest titles: Sulaym¯ n b. and the second-ranking associate Khans the title Bughra Khan. 37. provided the pretext for Mahm¯ d’s campaign against Transoxania. Muhammad b. his view is that following the death of the nominal head of the dynasty. the policy of Ibrah¯m b. Nasr Tamghach Khan The formation of two states (Khanates) was a watershed in the history of the Karakhanids. detailed consideration to this question. he had achieved a great deal.

The political career of the other son of Nasr b.e. when the Hasanids became dynastic heads. In 431/1040 a celebrated battle took place between the Ghaznavids and the Seljuqs near Dandanqan. although two sons of Nasr b. Nasr (better known as c Ayn al-Dawla) was always the holder of an appanage and a vassal of either his close relatives. within the sphere of influence of the Hasanids. 69–74. 1968. when the head of the dynasty of all the Karakhanids was his uncle Mans¯ r b. head of that state. recognizing his two uncles Mans¯ r b. Y¯ suf Arslan Khan and held a u some of the towns there in appanage (it is not known whether at certain times he controlled such towns as Kuba and Marghinan). c Al¯. Muhammad b. a vassal and nothing more. the Hasanid family enjoyed clear political preponderance. Nasr (the Böri Tegin ı a ı of the written sources). in Khujand and in Ilaq. a u Y¯ suf). pp. c Al¯ as suzerains. Nasr). Y¯ suf Bughra Khan a u u – appear as suzerains on the coinage of a number of towns there (Uzgend. Nasr c Ayn al-Dawla was one of the vassals of Sulaym¯ n b. The Karakhanid a ı state was still formally united. In the year 415/1024–5. Nasr recognized their suzerainty and retained control of both towns for a certain time. until the end of his life. although these boundaries were not rigid. Moreover. Muhammad b.e. Marghinan and Akhsikath) in the year 440/1048–9. Y¯ suf and Muhammad b. Böri Tegin was for some time a prisoner of the 17 Davidovich. Both Hasanids – Sulaym¯ n b. Ferghana fell within the bounds of the Eastern Khanate. c Al¯. The Hasanids also had their vassals in Ferghana. They then informed the following Karakhanids of their victory: the two Khans of Turkistan (i. Even in economic terms u ı ı he was not in full possession of these towns. . Chapter 5). Muhammad u ı b. For example. Böri u ı Tegin (i. Ibr¯ h¯m b. 134 Copyrights . Ferghana did not constitute the core nor Uzgend the capital of the Western Khanate. the brothers Sulaym¯ n b. Nasr remained an appanage-holder. Muhammad b. Kuba. as he was obliged to share the revenue with other members of the dynasty.e.) to the former. c Al¯ Arslan Khan (up to 415/1024–5). Muhammad b. Nasr) and c Ayn al-Dawla (i.17 Between the years 411/1020–1 and 447/1055–6 coins bearing his name appeared at different periods in the various towns of Ferghana. Muhammad b. .ISBN 978-92-3-103467-1 Contents The two Karakhanid Khanates . Ibr¯ h¯m b. When the Karakhanid state split into two independent Khanates. Kuba. the c Alids. Muhammad (their vassal) and Ibr¯ h¯m (who had already ı a ı engaged in a struggle against them).e. nor did he bear the title Arslan Khan. the sons of c Al¯ Tegin in Transoxania and also the brothers of the c Alid family. Y¯ suf Arslan Khan and Muhammad b. the Seljuqs were victorious. The northern part of Ferghana (Akhsikath) belonged to the latter and the south-east (Uzgend. or the more distant Hasanids. were well known to the world beyond and were held in high esteem. was very different. Nasr controlled Uzgend (the main town of Ferghana) and Akhsikath. etc. and Khurasan passed into their hands (see above. i. c Al¯ and Muhammad b.

1928. . trade and currency circulation. where he assembled an army. and by the following year had seized a considerable part of central Transoxania. His domestic policy does indeed reveal him to have been a quite exceptional ruler. respect for property. Ibr¯ h¯m Tamghach Khan no longer conducted an active foreign policy after forming an a ı independent state. the Western Khanate: all the initiative was taken not by Muhammad b. He first laid waste the areas of Khuttal and Wakhsh (in modern southern Tajikistan) and then took control of the area of Chaghaniyan (in modern southern Uzbekistan). he successfully exploited the civil strife among the Eastern Karakhanids. Akhsikath and Marghinan). Such were the origins of the independent state. intending to win back some regions from the Ghaznavids. ‘I stand here like a gardener. 311–13. Ibr¯ h¯m b.’ The Khan ordered to be written underneath their words. The bone of contention was Ferghana. Nasr. ı he then moved south to the mountains. It was from there that Böri Tegin began the battle for Transoxania against the sons of c Al¯ ı Tegin. Hasanids (the sons of c Al¯ Tegin in Transoxania). Sulaym¯ n and Muhammad. the security of the population.18 Ibr¯ h¯m a ı Tamghach Khan immediately made Samarkand his capital. . pp. pp. 88–94. with its wealthy towns. No a later than the year 451/1059–60 Ibr¯ h¯m attached Ferghana to his domain. mineral resources and fertile land. According to one tale. ruling respectively the Western and Eastern Khanates. The conquest a ı of the region was duly marked by the striking of coins in his name at a number of towns (such as Uzgend. together with the indirect evidence provided by the coinage of the time. Barthold discovered in the written sources some amusing stories about his life and deeds. the c Alids and the Hasanids. the more we are cut the bigger we grow. These stories. however 18 19 Davidovich. the struggle between the Hasanid brothers. 135 Copyrights .ISBN 978-92-3-103467-1 Contents The two Karakhanid Khanates . ‘We are like an onion. He gained several victories over them at the beginning of 431/1039. Escaping to join his brother in Uzgend. Muslim historians considered Ibr¯ h¯m Tamghach Khan to be a great and devout sova ı ereign. Barthold. However. Coins were minted in his name in Chaghaniyan from 430/1038–9. The division of the Karakhanid state also estaba ı lished the demarcation line between the two families. some robbers once wrote on the gate of the citadel of Samarkand.19 each of which has a rational core. Nasr but by his brother. The border between the two Khanates changed repeatedly. Several areas along the course of the Jaxartes ( Syr Darya) also changed hands. He marked his military successes by a political act: in 431/1039–40 (coinage of Chaghaniyan) he replaced his modest title Böri Tegin with the title Tamghach Bughra Khan (Kaghan). show that Ibr¯ h¯m did indeed concern himself with intera ı nal order in the country. 1970.

The population knew the official standard of purity of the mu’ayyad¯ dirhams. which were struck on the model a a of the Sasanian coinage (see below. The Khan agreed but forbade the people to buy any meat. stable market conditions. a single system of coinage with different denominations circulated throughout the Western Karakhanid Khanate. The butchers were then obliged to pay more money into the treasury in order to have the old. the butchers complained to him that the statutory price a ı of meat was too low and asked him to raise it. The dirhams struck with the name and title of Ibr¯ h¯m Tamghach Khan were known as mu’ayyad¯. An important component of Ibr¯ h¯m’s financial and fiscal policy was the currency a ı reform that he introduced after conquering Ferghana. 312. Copper–lead dirhams were issued in the towns of Ferghana and in several other towns of the Eastern Khanate. with serrated edges. Greater purchasing power was attached to the Bukh¯ r Khud¯ t dirhams. By the beginning of the ninth century these dirhams were divided into three groups. On one occasion. It may be concluded from indirect evidence that state control of market prices existed during Ibr¯ h¯m’s reign. Chapter 20). Normal trading always depended on the organization of currency circulation. They were made of low-grade a ı ı silver. This phenomenon developed in the ninth and tenth centuries and continued ıı under the Karakhanids. much you grow I will uproot you. In this context. the lower-grade (over 40 per cent silver) as muhammad¯ and ı ı the copper coins with no silver content as ghitr¯f¯. each with its own name. creating good..’20 It is clear from another story that he did indeed instil terror among thieves and robbers and that the ordinary people in his dominions felt safe. promising to contribute 1. their value. Ibr¯ h¯m banned their circulation in Ferghana and a ı 20 Ibid.ISBN 978-92-3-103467-1 Contents The two Karakhanid Khanates . low price of meat restored. a ı Chapter 20). These were coins of irregular shape and differing weight. Muhammad¯ and ghitr¯f¯ dirhams were ıı ı ıı still in circulation under the Karakhanids. which clearly shows that they pursued the same financial and fiscal policies as had been applied by the Arab governors and Samanids in the previous period. but the rate for the muhammad¯ was higher than that for ı the ghitr¯f¯. During his rule. on the basis of the quantity of silver they contained: the highest-grade coins (with over 70 per cent silver) were known as musayyab¯. it is important to note that the three types of dirham provided a satisfactory basis for the different levels of internal trade under Ibr¯ h¯m Tamghach Khan (see below. but the addition of copper was not a fraud carried out in secret. . The rate for the copper ghitr¯fi was equal to or ı higher than that for pure silver. p. 136 Copyrights . which tallied ı with that standard. Ibr¯ h¯m a ı took responsibility for this aspect of economic life. .000 dinars to the treasury. previously a part of the Eastern Karakhanid Khanate. fluctuated slightly and was fixed in terms of pure gold.

the lighting of the premises. but managed to reduce considerably the number of appanages and the rights of appanage-holders. the interior of a a which is decorated with elaborate alabaster carving and inscriptions recording the names of both men. One of the waqfs is dated Rajab 458/May–June 1066. People no longer wanted the devalued coins and they ended up in deposits. . a ı The economic successes were of even greater importance. however. and the reassignment of towns and regions. Ibr¯ h¯m built a hospital a ı in Samarkand where he not only cared for the sick but also gave shelter to the poor. the level of trade there did not require such large quantities of copper–lead dirhams and the resulting inflation led to a severe currency crisis. ‘the rib¯ t of the king’) and on the road a a from Samarkand to Khujand. for firewood for the kitchen and for the repair of the premises. Muhammad b. He provided the hospital with funds for the maintenance of the doctors and auxiliary staff. grants for the students. his son built rib¯ ts (caravanserais) in the steppes a between Bukhara and Samarkand (Rib¯ t-i Malik. Nasr Shams al-Mulk also restored the mosque and minaret in Bukhara and. 1967. etc. Mu’ayyad¯ dirhams began to be issued in various towns of the region. pp.ISBN 978-92-3-103467-1 Contents The two Karakhanid Khanates .22 At this period the Karakhanids still maintained their nomadic traditions. built a ı a a mausoleum in Ferghana (now known as the Sh¯ h F¯ dila mausoleum). This was one of the factors underpinning the considerable building activity that took place. Ferghana was incorporated into the currency area of the Western Khanate. Nastich and Kochnev. He did not set up a centralized state. but the extent and diversity of the civil and religious buildings constructed testify to the fact that the culture and traditions of the settled population of Transoxania had been more extensively and profoundly assimilated. close to the town. for light. whereas the bulk of the banned copper–lead dirhams flowed into the Eastern Khanate (mostly to the territory of modern Kyrgyzstan and southern Kazakhstan). Ibr¯ h¯m waged a successful struggle against the appanage system.21 For the benefit of the caravan trade. books for the library. c Abb¯ s. 1988. 137 Copyrights . which had been the a ı cause of endless fratricidal strife. We may assume that substantial sums flowed into the coffers of the central government. providing the wages of the teachers. This led to very ı different consequences in the two Khanates. for the patients’ meals. 68–77. However. This was a great political triumph and one of the most important factors contributing to the stability of the Western Karakhanid Khanate under Ibr¯ h¯m Tamghach Khan. In Samarkand he also built a madrasa (Islamic school). Both Ibr¯ h¯m and a ı his son Nasr Shams al-Mulk engaged in major building projects. 21 22 Khadr. built a beautiful palace at a place that was thereafter known as Shamsabad. . Nasr (Ibr¯ h¯m’s brother) and his son.

some of which bears the names of Seljuq sultans. Muhammad built a rib¯ t. The following internal events are also worthy of note. The long-standing strife between the Karakhanid rulers and the c ulam¯ ’ (scholars learned in the Islamic legal a and theological sciences) grew more intense during Ahmad’s reign. Barthold correctly emphasized that ‘this event must be regarded as the greatest of the successes gained by the priesthood in alliance with the military classes over the government and the mass of citizens’. Even the Karakhanids of Kashghar declared their submission. Nasr Shams al-Mulk. Having managed to maintain smooth relations with the c ulam¯ ’. They accused Ahmad of heresy and in 1095 secured his execution. For half a century the Karakhanids became vassals of the Seljuqs. 138 Copyrights . on the throne of Samarkand and helped him to overcome another claimant. The Seljuqs soon restored to the Karakhanid Ahmad b.23 In 1102 the Seljuqs placed Muhammad Arslan Khan.ISBN 978-92-3-103467-1 Contents Karakhanids. the great-grandson of Ibr¯ h¯m a ı Tamghach Khan. The Western Karakhanids were more dependent on the Seljuqs. But during the reign of Ibr¯ h¯m’s grandson Ahmad b. restored the walls of the Bukhara a citadel and constructed a new outer wall surrounding the entire town. although nothing is known of the financial aspect of their dependence. Nasr took possession of the Seljuq towns in northern Khurasan. a ı that the Seljuqs had designs on Transoxania. 23 Barthold. however. however: the Seljuqs placed on the Karakhanid throne in Samarkand whichever members of the dynasty they required. he erected many religious buildings. p. The vassal status of the Eastern Karakhanids was of short duration. Moreover. Seljuqs and Kara Khitay It was clear even in the days of Ibr¯ h¯m Tamghach Khan and his son. Khidr the throne that they had wrested from him. On the contrary. The scale of civic construction was considerable. Khidr (d. The situation in Transoxania remained peaceful and stable (until 1130) during Muhammad’s reign. Seljuqs and Kara Khitay Karakhanids. 318. which had by that time been destroyed). 1095). at the beginning of the twelfth century they invaded Transoxania. for a short time they even held the Seljuq town of Termez on the Oxus. the a ı Seljuqs took Samarkand with the support of the town’s religious classes (friction had long existed between them and the Karakhanids). together with other domains belonging to the Western Khanate. advancing into the domains of the Seljuqs themselves. (Did they pay tribute?) Their political dependence was considerable. but they achieved no decisive successes. one in the citadel and two in the town. and he himself became renowned for his building activities. The vassal status of the Western Karakhanids is also reflected in the coinage. and the clergy gained the upper hand in the struggle. he also raised three new palaces. Thus on the outskirts of a Bukhara (on the site of the palace at Shamsabad. 1928. albeit for just a short time.

It was at that time that the Kara Khitay (referred to as such by the Muslim sources) made their appearance on the political scene. The chief of the Kara Khitay bore the title of Gür Khan and his capital was located not far from Balasaghun. The renowned Seljuq Sultan Sanjar took Samarkand in 1130 and began to dispose of the throne in a despotic fashion. The Khitay first took over the domains of the Eastern Karakhanids and in 1137 defeated the Western Karakhanids near Khujand. The Kara Khitay did not remain in Transoxania. and did not themselves collect the tribute. The dominion of the Kara Khitay did not bring peace and tranquillity to Transoxania. Hasan) mounted the throne after a long and exhausting strugı gle of perhaps two years’ duration against the nomadic pagan Türks. The financial aspect of the conquest found expression in the tribute that the Kara Khitay exacted from the Karakhanids. destroy the dynasty of the Karakhanids. head of the Western Karakhanids. and also repaired an old one. They were driven out by the nomadic Jürchen. that task was performed on their behalf by Karakhanid officials. which indicates that they were not interested in what was for the Muslims an important mark of political supremacy. the residence of the dynasty being in northern China. however. Masc ud won a decisive victory in 556/1160–1 139 Copyrights . Muhammad was struck down by paralysis. and left his body on the steppe. They did not. however. replacing one Karakhanid with another. The result was quite the opposite. Conflicts with the religious classes broke out once more and the Seljuqs again interfered in the affairs of the Karakhanids. however. Seljuqs and Kara Khitay he laid out an area for ceremonial acts of worship (nam¯ zg¯ h). however. Turkmens. the minaret of which still stands. The next head of the Western Karakhanids took vengeance on the Karluk. Various nomadic Turkic tribes and federations living within its bounds ( Karluk. ı Hasan (the brother of c Al¯ b.ISBN 978-92-3-103467-1 Contents Karakhanids. but the victory did not prove decisive. The Khitay had established an enormous empire as early as the end of the tenth century. Hasan.) were highly active at the time. A new war against the Karluk ¯ ended with the victory of c Al¯ b. a struggle that was to have ruinous consequences for Transoxania. At the end of his life. etc. We do not find the names of Kara Khitay Gür Khans on Karakhanid coins. The Kara Khitay Gür Khan demanded that all the Karluk move to Kashghar and take up agriculture. he clearly hoped to assist the vassal Karakhanids in this way and establish order in Transoxania. The Karluk killed Ibr¯ h¯m III Tamghach Khan a ı (536–51/1141–56). and surviving elements made their way westwards. Masc ud b. They did not move into Transoxania in the same year. within the town he built a a a magnificent new mosque. Sultan Sanjar and the ruler of the Karakhanids both fled to Khurasan and the Kara Khitay took control of Transoxania. killing their leader. In 1141 the Qatwan steppe to the north of Samarkand was the scene of a decisive battle between the Kara Khitay and the Seljuqs in which the latter were utterly defeated.

Seljuqs and Kara Khitay on the steppe near the famous Rib¯ t-i Malik. Ibr¯ h¯m issued coins u a ı a ı annually from 559/1163–4 to 574/1178–9 in his own name under the title Arslan Khan. were members of this family. Husayn and Ibr¯ h¯m b. the title Arslan Khan (Kaghan) had a somewhat lower status than the title Tamghach Khan in the Western Khanate. Hasan and his son Muhammad (under their title of Tamghach Khan). It was shortly after Masc ud’s accession to the throne that Muhammad al-K¯ tib al-Samarqand¯ presented him with his Sindb¯ d-n¯ ma [Book of Sindb¯ d]: in the a ı a a a introduction and the final part of this work. 24 140 Copyrights . 1977.ISBN 978-92-3-103467-1 Contents Karakhanids. where trava ellers and caravans carrying merchandise stopped on the ‘shah’s road’ between Bukhara ¯ and Samarkand. ¯ Rukn al-Dunya wa ’l-D¯n Kïlïch Masc ud Tamghach Khan was a well-known figure ı mentioned in many of the written sources. which had been destroyed. who were members of the same family. and the poet a a a a ¯ S¯ zan¯ Samarqandi a number of qas¯das (odes). Kish. The date at which his rule came to an end (566/1170–1)24 and the names of his successors in Samarkand have been determined from coins. 179–83). those of the rulers of Samarkand being slightly more august than those of the rulers ¯ of Ferghana. The second change was that the region of Ferghana itself became formally as well as de facto independent. Samarqand¯ extravagantly praises the ruler for ı his victory in the fierce struggle against the nomads. Two developments affected the state of the Western Khanate in the second half of the twelfth century and the beginning of the thirteenth. Husayn was ruling a ı in Samarkand and the title ulugh sult¯ n al-sal¯ t¯n (great sultan of sultans) appeared on a aı Two manuscripts of Jam¯ l Qarsh¯ erroneously give the year a. which has survived to this day. The description of the Karakhanids a ı contained in these manuscripts also contains many other errors. Ferghana was held by their close relatives. Chaghaniyan and Termez) and established order there. the brothers Mahm¯ d b. By 574/1178–9 Ibr¯ h¯m b. the above-mentioned Sindb¯ d-n¯ ma and the later Ac r¯ d al-siy¯ sa. He also conducted a successful campaign against the Karluk to the south (in Nakhshab. Thus. which have been corrected with information drawn from the legends on coins (see Davidovich.h. as were all subsequent rulers until ı the end of the dynasty. at the time when Samarkand was ruled by Masc ud b. who had plundered Khurasan. 560. The idea of the unity of the Western Khanate was expressed through the prestige of the titles. First. In 560/1164–5 Masc ud restored the walls u ı ı of Bukhara. Husayn. Al-Samarqand¯ dedicated two celebrated works ı to him. lasting control of the throne of Samarkand passed to the Ferghana branch of the Karakhanids. bearing no reference to the Karakhanids of Samarkand as their suzerains. He suppressed a rising by one of his commanders and was successful in his operations against the Oghuz. pp. The rulers of Ferghana. the chief town of the region. At that time. struck coins in their own name in Uzgend. The above-mentioned ¯ brothers. c Al¯ and Masc ud.

To the east there appeared the nomadic Mongol tribe of the Naiman. . who manoeuvred a between the Kara Khitay and Muhammad b. 1957. but this time as the latter’s vassal. Tekish took the town and quelled the revolt. his coinage. u The Karakhanids and the Khwarazm Shah Muhammad b. Ahmad. and relations between them were those of allies: c Uthm¯ n even held a higher title a (ulugh sult¯ n al-sal¯ t¯n) than did Muhammad (sult¯ n). led a revolt of the citizenry against the sadrs and seized control of the town. The last Karakhanid in Ferghana was another member of the Ferghana family. 25 141 Copyrights . Tekish. had his residence a ı in Uzgend and his title was lower in status than that of his father and brother. c Uthm¯ n soon sided a aı a a with the Kara Khitay and sought the hand in marriage of the Gür Khan’s daughter. They were extremely rich and used their power to oppress the peoa ple. 113–14. consolidated and extended his father’s military successes in the south. he reverted to his alliance with Muhammad. The Anushteginids were vassals of the Kara Khitay (like the Karakhanids) and paid tribute to them. Bukhara was in practice controlled by the sadrs (leaders of the Muslim religious classes) of the Burh¯ n family. Muhammad ordered the citadel and the walls of Bukhara to be rebuilt and he himself returned to his domains. the son of a seller of shields. c Al¯ ’ al-D¯n Muhammad b. Subsequent relations with the Karakhanids26 were to a considerable extent influenced by the cunning policy of c Uthm¯ n. However. Ibr¯ h¯m. . a ı but also destroyed the power of the sadrs. 1994). In 1207 a certain Sanjar. Muhammad initially wished to have the Karakhanids as his allies in the fight against the common enemy.25 led by the warlike Küchlüg. His main task was then to defeat the Kara Khitay. Initially. This provided the pretext for a campaign against Bukhara. A threat from a different quarter also awaited the Kara Khitay. pp. was passed on to his son c Uthm¯ n at the a beginning of the thirteenth century.ISBN 978-92-3-103467-1 Contents Karakhanids and the Khwarazm Shah . together with the throne. Tekish c Al¯ ’ a al-D¯n Muhammad b. he took the side of the latter. He did not have Sanjar executed but instead sent him to Khwarazm. This title. On being refused. 26 The accounts provided by the written sources about events at this time are contradictory: the dates vary and are unreliable. the ‘infidel’ Kara Khitay. In 606/1209–10 coins were struck to mark the new relationship between the two Küchlüg the Naiman fled into the lands of the Kara Khitay after the defeat inflicted on him in 1208 by Chinggis Khan. Kadïr b. Tekish (1200–20). The legends on coins have provided the basis for major amendments and a reconstruction of the major changes (see Davidovich. The generalized conflict that brought about the downfall of both the Karakhanids and the Kara Khitay was preceded by the following events and upheavals. His other son. the penultimate member of the Anushteı ginids (the third dynasty of Khwarazm Shahs). Mahm¯ d b.

This was the first indication of a change in Muhammad’s policy towards the Karakhanids. and this acknowledgement was duly marked in 607/1210–11 by new coins in both their names that were struck in Samarkand. Kadïr curbed his ambitions to an even greater extent than c Uthm¯ n. Ibr¯ h¯m. The Kara Khitay Gür Khan. Clearly. the second Alexander) and the equal of Sultan Sanjar. which was stored in Uzgend. he was soon compelled to abandon Samarkand and return to his main possessions. Many major events occurred in the course of that year. In 609/1212 he ordered the execution of the Karakhanid c Uthm¯ n a 142 Copyrights . and Tayanku was taken prisoner. c Al¯ ’ a al-D¯n Muhammad dispatched envoys to all the leading Karakhanids demanding ı their submission. Tekish a a ı and went to live in Khwarazm for a considerable period. c Uthm¯ n had already acknowledged Muhammad as his suzerain and the a others now followed suit. In 1212 Muhammad b. c Uthm¯ n was obliged to curb his ambitions: both rulers are given a the same title. ruler of Ferghana and second ruler in a ı status among the Karakhanids. acknowledged his vassal status in the same way as his brother c Uthm¯ n. The population of Samarkand was also unhappy with the behaviour of the Khwarazmians. Tekish yet again as his suzerain. Tekish. sult¯ n. . his a title on the coins is lower than that of Muhammad. even seizing the Gür Khan’s treasury. The Gür Khan won a victory against Küchlüg. and the inhabitants of Samarkand massacred all the Khwarazmians there in the most barbaric fashion. responding to c Uthm¯ n’s a a ‘treason’. where the Naiman Küchlüg had achieved great successes. for the latter was not content with his vassal status or the fact that he had to submit to the plenipotentiary. that is to say. Muhammad did not trust c Uthm¯ n a – and rightly so. coins bearing Muhammad’s name as well as his own were a struck in Uzgend. Thus Kadïr b. c Uthm¯ n married the daughter of c Al¯ ’ al-D¯n Muhammad b. Tekish captured Samarkand and on this occasion showed no mercy. He then returned to Samarkand in the company of a Khwarazmian plenipotentiary. seized control of Samarkand but spared the town and prevented it from being pillaged. on these coins.ISBN 978-92-3-103467-1 Contents Karakhanids and the Khwarazm Shah . Muhammad then incorporated Utrar into his dominions and struck coins in his own name in the town in 607/1210–11. the names of both appear on the coins. under his commander Tayanku. that of Muhammad as suzerain and that of c Uthm¯ n a as his vassal. c Uthm¯ n therefore once more took sides with the Kara a Khitay. rulers. The minor ruler who held Utrar was dilatory in declaring his submission and was therefore stripped of his domains and sent to Nasa. the ruler was referred to in documents and on the coinage as ‘The Second Iskandar’ (i. Shortly afterwards.e. was defeated by Muhammad b. but the other half of his army. c Al¯ ’ al-D¯n Muhammad’s victory was a ı the cause of great rejoicing among the Muslims: henceforth. However. . The Gür Khan’s reversals inspired c Uthm¯ n to acknowledge c Al¯ ’ al-D¯n Muhama a ı mad b.

there is also direct evidence indicating that the Samanids did not a grant iqt¯ c s. their lives – to Muhammad b. On the coins of Uzgend struck in 610/1213–14 we find only the name of Muhammad b. does not employ the term iqt¯ c . however. since such domains could not be classed as iqt¯ c . Tekish did not initially intend a ı to destroy the Karakhanid dynasty but merely sought allies in his struggle with the Kara Khitay. whereas iqt¯ c s and the system of appanages were a a dominant under the Karakhanids. Starting in the same year. ¯ Iqtacs and the structure of the state Historians have for long drawn a contrast between the structures of the Karakhanid and Samanid states and the significance of the institution of the iqt¯ c (assignment of revenue a from an estate) in those states. Mahm¯ d b. we may say that c Al¯ al-D¯n Muhammad b. In conclusion. The eastern branch thus disappeared as a result of the struggle between the Kara Khitay. the capital of the new Anushteginid empire. the Karakhanids gradually surrendered their domains – and. The last ruler of Ferghana. He considered it normal that the title of the Karakhanid c Uthm¯ n should be higher a than his own and laid no claim to any of the insignia of power in the Karakhanid state. and then in other towns formerly held by the Karakhanids. Tekish: both c Uthm¯ n in Samarkand and Kadïr in Uzgend confirmed a their vassal status by striking coins in two names and adopting titles with an inferior status. postponed the end of the dynasty by accepting u vassal status and confirming it by the issue of coins in two names in 609/1212–13. however.ISBN 978-92-3-103467-1 Contents ¯ Iqtac s and the structure of the state and again sent envoys to the Karakhanids of Ferghana demanding their submission. the Naiman Küchlüg and their internal enemies in Kashghar. the situation in the main part of the Samanid state remained a outside the consideration of the historians. The existence on the borders of the state of hereditary vassal domains that were a virtually independent did not contradict this assessment. although an a analysis of the information provided about the relationship between the Samanid Nasr I (the head of the dynasty) and his brother Ism¯ c¯l establishes beyond any doubt that a ı 143 Copyrights . Subsequently. in many cases. Narshakh¯. This was no more than a short-term compromise. coins were also regularly struck in his name in Samarkand. writing in his T¯ r¯kh-i Bukh¯ r¯ ı aı aa [History of Bukhara] (mid-tenth century). It is known that the Samanids allocated half their budget for the wages of their troops and officials. However. the Karakhanids were obliged to acknowledge themselves as vassals of Muhammad b. Ahmad. In the third and final act. They considered that the Samanid state was centralized and that iqt¯ c s had not developed there. Tekish. Tekish. a fact that attracted the scholars’ attention when they came to evaluate the significance of the iqt¯ c .

ISBN 978-92-3-103467-1 Contents ¯ Iqtac s and the structure of the state Bukhara was held by the latter as an iqt¯ c . 77–117. and so on. Variations certainly did occur. Later publications describe further examples of conditional rewards for services consistent with the existence of iqt¯ ’s. 1973. although attempts were made to move in that direction and were resisted by the central government. p. they should therefore be handed over to the treasury in return for Davidovich. which means that it was not simply introduced by the Karakhanids.’29 The Ghaznavids also avoided distributing large iqt¯ c s. given in return for service as the governor of a town or region. But an analogy does not in itself constitute proof. These grants were neither lifelong nor hereditary. Under the Seljuqs a there were large and small iqt¯ c s that were granted to members of the dynasty. a The conclusion that the iqt¯ c was dominant under the Karakhanids did not rest on facts a but solely on an analogy with the Seljuq state.27 It is also clear from the legends on Samanid coins that Bukhara. 1954. a 29 Bosworth. Davidovich. the entire income from the town. to various a members of the military and official class and to ordinary soldiers. Nasrabad and other towns and regions were held as iqt¯ c s for various periods of time by members of the dynasty and a by senior military and civilian officials as rewards for their services. Akhsikath. 28 27 144 Copyrights . pp. 1954. as a conditional reward for services a rendered in the capacity of governor with the right to levy for his own benefit a part of the income of Bukhara and. later. Niz¯ m al-Mulk provides an a a interesting account concerning the governor of Khwarazm. but the waz¯r (vizier) called him to order: the taxes belonged to the ruler ı and not to his officials. The institution of iqt¯ c was also quite well a developed under the Samanids. whose salary (paid from the treasury of Mahm¯ d of Ghazna) represented twice as much as the entire revu enue from Khwarazm. 71–7. that is to say. Kuba. The Ghaznavid Sebüktegin (977–97) (see above. In general. we cannot consider it centralized. but the grants were always large ones. convincing proof is furnished by a comparison between the iqt¯ c in the Seljuq and Ghaznavid states. his successors for at least the next two or three generations maintained the system of paying the troops in cash. pp. 125.28 Given the presence of such domains and appanages within the main body of the Samanid state. Middle-and lower-ranking members of the military and official class and simple soldiers received fixed payments in cash from the treasury. and it automatically overlooks the varying ways in which the same institutions develop in different states. Altuntash. the appanage system was already developed in the tenth century. Chapter 5) seized land allotments from his forces and reformed the system of rewards for service: ‘the central power in Ghazna was now strong enough to resume the fiefs and substitute a system of cash payments. Altuntash wished to keep the taxes collected there in settlement of half his salary. Such were the characteristics of the state structure and the institution of the iqt¯ c under the Samanids.

30 Contemporaries were clearly aware of the danger that the system of the iqt¯ c posed for the integrity of the a state and its economy. The lower level of the hierarchy was occupied. after the division into two separate Khanates. the inscriptions on coins are the one source of this type available at present. multi-tiered system of joint economic ownership based on vassalage (the economic dimension). and major appanage-holders recognized the head of the dynasty as their suzerain (the political dimension). A trend towards the consolidation of inheritances was none the less observable in certain regions and towns. This awareness and the indisputable existence of the two variants mentioned above (Seljuq and Ghaznavid) prove that the significance of the iqt¯ c in the life a of society and the state was determined not only by the objective features of development but also by a whole set of specific causes particular to each state (the state of the economy and the treasury. and joint economic ownership held. 230–1. 31 30 145 Copyrights .ISBN 978-92-3-103467-1 Contents ¯ Iqtac s and the structure of the state a receipt. the large ones being in turn subdivided into many small ones’ (Barthold. the appanage system exhibited the following features. up to the division of the Karakhanid state into two Khanates.e. The head of the dynasty enjoyed no other rights within their appanages. in most cases. 1928. the political situation and financial policy. During the first period. p. and so on). the appanage system during the first period of Karakhanid rule differed from that under the Samanids not so much in quality as in quantity. a Several changes occurred in the structure of the state during the second period. But even these principal and major appanages had no fixed and stable borders.31 The head of the dynasty had his own appanage. i. nor were they hereditary. by its all-inclusiveness. not only by members of the dynasty but also by longstanding local owners from the period before the Karakhanids and by members of the military and official class who had entered their service. Chief among these were a reduction in the number Niz¯ m al-Mulk. the question of the iqt¯ c under the Karakhanids requires specific histora ical research based on local sources. The financial nature of appanages and joint ownership under the Karakhanids during this first period corresponds essentially to the institution that received the designation iqt¯ c . and payment should then be requested for services rendered. the latter also appeared on their coins. Consequently. supposing that the state ‘was divided into a number of appanages. pp. in which the joint owners (usually two or three but sometimes four) divided up in specific proportions the entire revenue from the town (or region) or items of such revenue. The head of the dynasty and the major appanage-holders transmitted some of their rights to their vassals and sub-vassals. this gave rise to a complex. 1978. This was the result of a development process that was accelerated by the nomadic Karakhanids. although a similar trend also developed under the Samanids. a Barthold somewhat simplifies the characteristics of the appanage system under the Karakhanids. In other words. 268).

Thus Bukhara was held on a hereditary basis by members of a clerical line. consequently. Binakat and Utrar issued on a regular or. and attempts to consolidate the central authority. Appanages on the borders of the Western Khanate became hereditary and independent even in political terms. coins that make no reference to their suzerains. Kasan.).ISBN 978-92-3-103467-1 Contents ¯ Iqtac s and the structure of the state of appanages and the political rights of the appanage-holders. a Even this scant evidence is sufficient to show that we would be committing errors of methodology and of fact if we evaluated the institution of the iqt¯ c under the Karakhanids a on the basis of Seljuq evidence. any holding or joint holding given in reward for services was state property (ground-rent/-tax. In terms of the form of ownership. They themselves collected the taxes. in the case of the minor appanages. there were also domains that did not belong to members of the dynasty. however – that starting particularly from the second half of the twelfth century – witnessed the consolidation of the appanage system and a considerable increase in the rights of holders. The Karakhanids who held Ferghana and other lesser appanages such as Marghinan. had ceased to exist. we may confidently conclude that there are no similarities between the Ghaznavid and Karakhanid systems during the first period. At this third period. On the other hand. to expand its powers and to establish a monopoly over the coinage. and the ı Kara Khitay sent a special envoy to receive the town’s tribute. etc. The multi-tiered system of a hierarchy of dependants and joint economic ownership. there are simply no data available for the purposes of comparison with the Seljuq system. upon whom was conferred the title of sadr-i jah¯ n (Pillar of the World) and a a the office of ra’¯s (headman) of Bukhara. The system of appanages in the Karakhanid state also underwent a considerable change. The local rulers did not issue coins in their own names (we know only of Karakhanid coins in Bukhara during this time). The inscriptions on the coins cannot tell us whether. so typical of the first period. but were otherwise independent. being less developed in the latter. the economic dimension of the changes during this second period cannot be deduced from the numismatic evidence. urban taxes. however. an occasional basis. The third stage. small grants were made to ordinary soldiers and to minor and middleranking members of the army and the civilian bureaucracy. We can also deduce from inscriptions on the coins that the system of rewards and ownership had developed and acquired features ‘in the upper echelons of power’ that clearly demonstrate the inappropriateness of applying the term iqt¯ c to it. under the Karakhanids. the process was not identical in the Western and Eastern Khanates. Unfortunately. It is also impossible to refer to hereditary domains of this type as iqt¯ c s. the ¯ Al-i Burh¯ n. It is essential to note that members of the dynasty who received an income from state property on this basis 146 Copyrights .

large and small. the valleys of the rivers Chirchik and Angren. in Ferghana in the tenth century under the Samanids. Thus of the many towns. bequest to his heirs or assignment to a waqf (endowment for pious purposes). Uzgend became the principal town and capital of both the region and the appanage. so that the volume of waqf property expanded considerably during the eleventh and twelfth centuries. The physical expansion of many towns. Three aspects of the development of urban life at the time are worthy of attention. limited by the walls of their rabads (suburbs). On the middle course of the Syr Darya. the most effective means of preserving property amid all the political upheavals of the time. adding some ı aı aa details of life in his own day. In these towns the density of the urban fabric increased under the Karakhanids. especially those towns on the borders of the state. The Karakhanids also endowed waqfs for the benefit of their descendants. and all buildings were maintained by means of such endowments. Lastly.ISBN 978-92-3-103467-1 Contents Towns and trade were fully aware of their precarious position. followed by Kuba and Ush. an urban explosion took place under the Samanids. donation. especially on the outskirts. had come to a halt in the tenth century. The owner of milk enjoyed full rights to dispose of his property as he wished: by sale. The Karakhanids were great builders. They therefore attempted to purchase land and all kinds of income-generating premises as milk (private property). The areas of other towns did expand in the eleventh and twelfth centuries. Uzgend was two-thirds the size of Ush. In 1128 Qubaw¯ completed ı the translation from Arabic into Persian of Narshakh¯’s T¯ r¯kh-i Bukh¯ r¯ . and a growing number of premises were concerned with trade and craftwork. but did not lose their importance: tenth-to twelfth-century ceramics have been found at all the excavated archaeological sites. In the regions of Chach and Ilaq. they were gradually overshadowed by Binakat and Naukat. on the frontier with the nomadic world. Marghinan and Kasan also gained in importance. Under the Karakhanids. The main towns in Chach and Ilaq were respectively Binkath and Tunkath. there was no other region of Transoxania where so many towns were to be found in such a small area. Towns and trade The eleventh and twelfth centuries were a period during which towns continued to grow and crafts and trade continued to expand. Under the Karakhanids. including examples of such private property acquired by the Karakhanids. the relative importance of the older towns was altered in certain sub-regions. The purchase of milk was registered in the offices of the q¯ d¯ (judge) through the issue of a wath¯qa (legal a ı ı deed) and was a secure form of property protected by the law. new towns sprang up during 147 Copyrights . Akhsikath (then the region’s capital) was considered the most important.

but they were transformed into an illegible form of decoration imitating Kufic script. Baths for men and women were an essential amenity of urban life. stylized vegetal patterns in relief. Archaeologists have discovered ceramic water pipes and segments of paved streets and courtyards dating from the eleventh and twelfth centuries. covered by earthenware or wooden lids. Bath houses and caravanserais represented good sources of income. which. which were considered to be public property. Crockery completely covered with a blue glaze enjoyed great popularity. and people were therefore ready and willing to build them. and old ones expanded. strenuous efforts were made to keep the towns clean. were provided in private courtyards as well as in public places. but also built against the walls of the caravanserai or simply set up in the street. Deep wells for rubbish and sewage. Equally in demand were bowls and cups with an underglaze decoration in the form of intricate geometric and wickerwork patterns in an elegant combination of light-brown and dark-brown tones. and also Barab-Utrar. head of the Karakhanid dynasty and grandson of the renowned Ibr¯ h¯m Tamghach a ı Khan. arranged in several horizontal bands around the vessels. Qubawi tells of two magnificent ‘royal’ bath-houses that were built in Bukhara by Ahmad. Unglazed ceramics resembling metalware in their form and decoration were in great vogue. according to the archaeological evidence. Kufic inscriptions were still employed. It was forbidden to throw rubbish into the streets and alleyways. the possession of a local Turkish dynasty that had managed to hold on to its position under the Karakhanids. To the best of our knowledge. Materials produced in large quantities such as ceramics and glass also provide a fair idea of the development of urban crafts. The craftsmen’s booths were not to be found only in the bazaars. The ceramic industry under the Karakhanids developed its own style. however. References to many private and waqf bath-houses may be found in the list of properties transferred to waqf ownership in two waqf-n¯ mas belonging to Ibr¯ h¯m in which he a a ı describes the boundaries of the hospital and madrasa that he built in Samarkand. The rib¯ ts along the roads between towns and the caraa vanserais inside the towns built under the Karakhanids testify to the lively caravan trade in the eleventh and twelfth centuries. houses and palaces. Booths belonging to craftsmen and traders also attached themselves to the walls of these buildings. in the twelfth century. In the latter category we find Isfijab. Such jugs and flasks in grey clay are entirely covered by geometric. Every town had its bazaars and caravanserai. was an independent appanage held by the Karakhanids of Ferghana. and there were changes in techniques and in the range of colours used to decorate ceramics. They were often originally milk but were frequently transferred to waqf ownership. Wild animals are also depicted on this type of ware.ISBN 978-92-3-103467-1 Contents Towns and trade the Karakhanid period. 148 Copyrights . Blown window glass was also in use at the time.

madrasas. also merits attention. produced in a variety of forms and sizes for a variety of purposes. In the course of the eleventh and twelfth centuries. Flasks for toiletries and pharmaceuticals. The glassware. blown from transparent. simpler. baked brick came to be used more widely. bowls. almost unadorned versions have also been found. It is an important sign of the times that this urban ware reached the most remote mountain areas. Epigraphic masterpieces in engraved terracotta – Kufic and Naskhi inscriptions in high relief framed by elegant plant and geometric ornamentation – have survived to the present day. especially in major construction projects such as palaces. they also ceased to be luxury items. stemless drinking cups and long-stemmed goblets are among the common finds of archaeologists. coloured glass. This indicates that the population of the towns was swelled in the eleventh and twelfth centuries not only by lowland peasants and by settled Turkish peoples but also by mountain people whose tastes were at once reflected by urban craftsmen. Yet the influence of the ceramic traditions of these mountain areas on urban ware is of no lesser interest. the mosque of Magok-i Attari and the Kalan minaret (of the Friday mosque) in Bukhara as well as the above-mentioned Rib¯ t-i Malik a in the steppes between Bukhara and Samarkand. Although engraved and silver-encrusted bronze jugs were very expensive. Unglazed ware thrown on the potter’s wheel and embellished with simple terracotta designs made its appearance in the towns. 149 Copyrights .ISBN 978-92-3-103467-1 Contents Towns and trade Attractive pottery became cheaper and more easily affordable for the bulk of the urban population as a result of certain technical innovations and the standardization of forms. Patterned brick facework and engraved terracotta were extensively employed for the decoration of important buildings. mausoleums and bridges. copying the forms and decoration of the unthrown mountain ware. mosques. Extant Karakhanid monuments include four mausoleums in Ferghana.

. . . . 151 161 161 165 167 167 178 179 * See Maps 4 and 5. . The structure of the Seljuq state in the east . . . . . . . . . . . . . . . . . Sevim and C. . . . . . . . . . . . . . E. . . . . . . . . . . Bosworth Contents THE ORIGINS OF THE SELJUQS AND THE ESTABLISHMENT OF SELJUQ POWER IN THE ISLAMIC LANDS UP TO 1055 . . Historical survey . . . . . . . . . . . . . . . . . . . . . . . . . THE EASTERN SELJUQ SULTANATE (1118–57) AND THE RISE AND FLORES¯ CENCE OF THE KHWARAZM SHAHS OF ANUSHTEGIN’S LINE UP TO THE APPEARANCE OF THE MONGOLS (1097–1219) . . . . . The structure of the eastern Seljuq state . . . . . . . . . . Historical survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . THE CONSOLIDATION OF THE SELJUQ SULTANATE IN IRAN . . . . . . . . . . . . . . 150 Copyrights . . . .ISBN 978-92-3-103467-1 Contents THE SELJUQS AND THE KHWARAZM SHAHS 7 THE SELJUQS AND THE KHWARAZM SHAHS* A. . The structure of the Khwarazmian state . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

His Ris¯ la [Epistle] containing his travel account a provides us with our earliest authentic. pp. 1939–41. Bosworth. following the counsel of their shamans in some religio-cultural matters but in effect largely irreligious.. Strict adherence to the phonological laws of Turkish would require something like Seljük. 1962. a ı g 1962. as opposed to semi-legendary. Fadl¯ n.lj¯ q. u pp. princely tribe of the Oghuz (for the early history of the Oghuz. 21–2. 1939. 1955. See Rasonyi. 1988. 1. Chapter 3). 298–9. 215–18. g 2 Ibn Fadl¯ n. The envoy of the c Abbasid caliph to the king of the Bulghars. as in certain early sources. information on the Oghuz. 79 et seq. pp. pp. however. pp. 1973. pp. see above. 1973. Barthold. Bosworth. but by far the most common spelling of the medieval Arabic and Persian sources is S. a tribe which the lexicographer Mahm¯ d al-K¯ shghar¯(who completed his D¯w¯ n lugh¯ t al-turk in 1074) describes u a ı ı a a as the leading..1 In the early and middle decades of the tenth century the Oghuz nomadized in the steppes to the north of the Aral Sea and the east of the Caspian Sea. Sevim) What might be called the prehistory of the Seljuqs is in many ways obscure. pp. Kafeso˘ lu. Al-K¯ shghar¯. Bosworth. 91–9. pp. 1973. sections 20 et seq. at this time. reaching as far west as the Ural and Emba rivers. The Seljuqs were a family of the Kïnïk tribe of the Oghuz Turkish people. 1935.2 It may be that. 210–11. 109–16. travelled from Baghdad via Khwarazm and then across a the Oghuz steppes to the middle Volga. Barthold. 1939. 1 151 Copyrights . Kafeso˘ lu. 55–8. Barthold.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS Part One THE ORIGINS OF THE SELJUQS AND THE ESTABLISHMENT OF SELJUQ POWER IN THE ISLAMIC LANDS UP TO 1055 (A. at a much lower stage of cultural development than such peoples as the Bulghars on the middle Volga and the Khazars on the lower Volga or the Karluk to their east. 219. and as wandering ‘like straying wild asses’ in the region of the Ustyurt plateau to the east of the Caspian. they had some relationship with the Khans of the powerful Khazar state. since certain sources state that Dukak and his son Seljuq3 served the king of the Khazars. He describes them as animistic in belief. a 3 The conventional spelling of European scholarly usage is adopted here. They were. Vol. Ahmad b.

Among the shadowy ancestors of Seljuq himself are mentioned one Temür-yalïgh (‘[the man with the] iron bow’) and Seljuq’s own father Dukak (unless Temür-yalïgh and Dukak were the same person). 1007. and aı subsequently allowed them to settle near the small town of Nakhshab or Nur (modern Nur Ata) between Bukhara and Samarkand (c. 1953. so that. Seljuq himself did not migrate southwards and died at Jand in c. 1949. After his death. a title dating back to Orkhon Turkish times. 99–100. or war leader (Ibn Fadl¯ n’s s¯ hib ala a jaysh). those on the northern borders of the Samanid state. Barthold. 990). The rivalry between these two branches of the Oghuz was to continue almost until the middle of the eleventh century. Hence at some point soon after the middle of the tenth century. Turan. g 4 152 Copyrights . Seljuq and his followers moved further up the Jaxartes (Syr Darya) from the Yabghu’s winter capital of Yengi-kent (‘New Town’) to Jand. when the ua Turkmans (as the Oghuz.4 a u The Seljuqs’ position at Jand allowed them to be recruited as auxiliary troops for the defence of the Samanid amirate against pressure on its northern boundaries from the Karakhanids and their Karluk followers (see above. The tribal leader of the Oghuz was the Yabghu. until the branch of the Seljuqs was finally triumphant over the branch of the original Yabghu (see below). as it was at this time spreading among the so-called ‘trucial Turks’. and that Seljuq’s son M¯k¯ ’¯l was killed in such fighting. Islam began to a a spread among the Seljuq family and their retainers. pp. Mansur recruited Seljuq troops under the leadership of Seljuq’s son Arslan Isr¯ ’¯l. but seems speedily to have considered him as a potential rival. They were now near the borders of the D¯ r al-Isl¯ m. Later Seljuq historiography then states that they immediately became gh¯ z¯s (fighters for the Islamic aı faith). and soon afterwards. 1973. adopting this title as a conscious act of rivalry with the elder branch of the Oghuz – for use of the title implied headship of the whole Oghuz people – from whom Seljuq had split by his move from Yengi-kent. 219–23. 397–405. The Samanid N¯ h u II b. pp. 1962. 1988. in the steppes further to their north. pp. Pritsak. the Kïpchak and Kimek. pp. Chapters 4 and 6). so that his two sons Toghrïl ı aı Beg Muhammad and Chaghrï Beg D¯ w¯ d had to be brought up by their grandfather. Bosworth. The Yabghu appointed Seljuq as sü-bashï.. i.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS It is further possible that the general southwards movement of the Oghuz at this time was in response to pressure from other Turkish peoples.e. Chaghri and M¯ s¯ . Küpchak and related tribes of the south-western Turkish people Cahen. Kafeso˘ lu. 41 et seq. such as Toghrïl. It seems that various bands of Oghuz gave their allegiance to several leading figures in the Seljuq family. pp. 22–5. in subsequent decades. his eldest son Arslan became the Yabghu of the Seljuqs. 1971. and there were various other titles in the tribe denoting military office. semiIslamized and in some sort of loose treaty relationship with the Muslims.

980. up to his death in u 1005. See Pritsak. the Karakhanid Bughra Khan H¯ r¯ n (Hasan) had entered the Samanid capau ital in 992 and temporarily occupied it (see above. these Turkmens are recorded in certain Christian Syriac and Armenian sources and the late Islamic source of M¯rkhw¯ nd as having mounted. Toghrïl and Chagrï. however. who wrote c. a a Meanwhile. but it is not clear whether this was originally a political or an ethnic term. enabling him to seize control of Bukhara. pp. Arslan Isr¯ ’¯l gave military aid to c Al¯l Tegin b. 1953b. the Seljuqs forged links with the new regime.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS begin to be called in the Islamic sources)5 were overrunning Khurasan and northern Iran. With the final triumph of the Karakhanids in Transoxania. pp. the Kara Kum desert. are mentioned. against c Al¯l Tegin in Bukhara.8 Certainly by the mid-1020s groups of Turkmens had crossed the Kara Kum steppes and were harrying the northern fringes of the Ghaznavid province of Khurasan. A catalyst for these southward movements was the alliance of Mahm¯ d of Ghazna with the Karakhanid u ruler of the east. pp. married the Khan’s daughau ter and became influential at his side. Bughra Khan H¯ r¯ n. In this fighting – and in the attempts. 1962. Chapter 6). 1949. 397–8. under the leadership of Chagrï.6 Towards the end of the second decade of the eleventh century. 101–3. 7 Kafeso˘ lu. u au ı This led to the temporary ejection of c Al¯l Tegin from his city in 1025 and the consequent ı The Arab geographer al-Maqdisi. aı ı Bughra Khan H¯ r¯ n. 5 153 Copyrights . mentions Turkm¯ niyy¯ n as harrying frontier posts a u in the province of Isfijab on the middle Syr Darya. 1968. 269–70. The late Ibrahim Kafeso˘ lu devoted a special study to this g episode and affirmed its historicity. Kadir Khan Y¯ suf b. 16–18. A few years later. followers of Ibr¯ him Yinal. of the last Samanid Ism¯ c¯l al-Muntasir to retrieve his ancestral lands – the Seljuqs aı and their partisans were to be found in the service of both sides on various occasions. seem to have been excluded from these arrangements and may have been on cool terms with Arslan Isr¯ ’¯l. and placed it ten years later. aı They and their followers were at this time in the steppes to the west of Sogdiana. a longı a distance raid westwards. 1953. following whoever could promise them the most plunder and pasture grounds and changing sides without compunction. pp. reaching as far as Dvin and Lake Van. 6 Barthold. 1968. pp. pp. the whole episode either resulting from some chronological confusion in the sources or else from a subsequent attempt by publicists or historians of the Seljuqs to glorify the exploits of Chagrï. across northern Iran to Azerbaijan and eastern Anatolia. 223–4. the Samanid amirate came to an end and its dominions were divided between the Ilig Khan Nasr and Mahm¯ d of Ghazna. 1973. such separate bodies as the Yinaliy¯ n. 50–1. forebear of all the later Great Seljuq sultans after Toghrïl. g 8 Cahen. in 1018 or 1019.7 But Claude Cahen raised cogent objections to an expedition as early as this. Bosworth.

but Toghrïl and Chaghrï do not yet seem to have had sufficient prestige to impose their leadership on all the Turkmens. Bosworth. into the deserts to the aı west. M¯ s¯ ). pp. Tash Farr¯ sh. a g Here Ibn al-Ath¯r was very probably quoting the lost Malik-n¯ ma. Mahm¯ d first sent a punitive expedition under his commander Arslan H¯ jib and then in u a 1028 came personally to Khurasan with an army. Under various leaders. The u sultan allowed 4. some to the Balkhan Kuh hills to the south-east of the Caspian. Yaghmur and Anasï-oghlu. the Turkmens attacked the towns of northern Khurasan and their herds disrupted the agricultural systems of the oases there. among whom are ı named Bugha. Mahm¯ d’s son Masc ud enlisted Turkmens under Yaghmur at Rayy. In his bid for the throne ¯ of Ghazna in 1029. Mahm¯ d must have felt that the Turkmens were a danger to his position in Khurasan. the subsequent Great Seljuq sultan Alp Arslan. When in 1027 the people of Nasa and Abiward complained to the sultan about these activities. pp. p. Sarakhs and Abiward. Barthold. Kïzïl. 103. his Turkmen followers could only straggle across the desert towards Khurasan.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS flight from Sogdia of his Turkmen auxiliaries. in 1033 the Ghaznavid governor of Rayy. including Yaghmur. asked Mahm¯ d for permission to settle in northern Khurasan. for an expedition to Makran in southern Baluchistan. u for he seized Arslan Isr¯ ’¯l and dispatched him to imprisonment at the fortress of Kalanjar aı in northern India. under Arslan Isr¯ ’¯l. 10 9 154 Copyrights . to settle near the towns of Farawa. where he died after seven years’ incarceration. pp. with their baggage and flocks. Various minor chieftains led individual bands. executed 50 of the a Turkmen chiefs. they speedily became a source of chronic violence and unrest in the provinces of Rayy and Jibal. complaining of the tyranny ua a ı of their amirs and promising to act as frontier guards against further Turkmen incursions from the deep steppes. 1931. an account written in Persian for ı a Chaghrï Beg’s son. or c Iraq c Ajam¯. inflicting a crushing defeat on the Turkmens. 27–8. Kafeso˘ lu. However. 1988. some to the Dihistan steppes adjacent to Gurgan and others into northern Persia. 223–4. as auxiliaries of the Ghaznavid regular army. He u later used them. and only emerged in dominant roles after the death in 1032 of Arslan Isr¯ ’¯l aı (although the actual title of Yabghu was at that point assumed by the senior member of the Seljuq family. Göktash. because they had penetrated as far as western Iran. as something like an official history of the dynasty’s origins and early history. such as c Al¯ ’ al-Dawla Ibn K¯ k¯ ya of Isfahan. but they never proved a reliable military force. It is clear that such bands as these ‘Iraqi’ Turkmens N¯ zim. threatened by Ghaznavid expansion.000 families. Some of Arslan Isr¯ ’l¯s former followers. 1962. 63–4. a a u They now appear in such sources as the Ghaznavid historian Abu ’l-Fadl Bayhaq¯ and ı the later source Ibn al-Athir10 as the so-called ‘Iraqi’ Turkmens. Other Turkmens remained in the Kara Kum and continued to raid northern Khurasan from there and from Balkhan Kuh. 1973. These last sought employment as auxiliaries with the local rulers there.9 Deprived of Arslan’s leadership. Elements of them scattered wide.

received less favour from the sultan au than had his father. in which H¯ r¯ n and the au Seljuqs were to invade Khurasan. In return. Altuntash died of wounds received in 1032 at the battle of a ¯ Dabusiyya against c Al¯ Tegin. now as his allies. ı u Altuntash’s son and successor in Khwarazm. 28–9. now as his foes. In 1035 the Seljuq leaders M¯ s¯ Yabghu. Kafeso˘ lu. other Turkmen bands under the leadership of the Seljuq family had remained in Sogdia. they promised to act as guards against fresh incursions of Turkmens from the Kara Kum and Balkhan Kuh and to inflict punishment on the ‘Iraqi’ Turkmens. 1962. pp. and the sons of c Al¯ Tegin were to attack the Ghaznavid ı N¯ zim. 1949.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS operated entirely independently of each other. for a a ı uı permission for their 7. now in Khwarazm. 1968.000 or 10. The amirs of whose tyranny the Turkmens had complained to Sultan Mahm¯ d may have been members of the Seljuq family trying to extend their u authority over other bands. Mahm¯ d.000 of their followers and carried back an immense booty of captives and goods to Jand. who ruled from a a ı Jand. 104–7. 56–7. pp. pp. 295–6. Cahen. 1931. Toghrïl. 224–5. Sh¯ h Malik raided the Seljuqs. settling on lands allotted to them by the Ghaznavid governor of the province. Chaghrï and ua Ibr¯ h¯m Inal or Yinal (leader of the group of Turkmens appearing in the sources as the a ı Yin¯ liy¯ n) approached the Ghaznavid c am¯d (governor) of Khurasan.11 Meanwhile. with the military assistance of the Seljuqs. with hostility between the two groups rather than co-operation. and is said to have killed between a 7. g 12 Barthold. pp. c Al¯. H¯ r¯ n. efforts by H¯ r¯ n to mediate between the two groups of Turkmens failed.12 The return movement northwards to Khwarazm brought the Seljuqs close to their ancestral territories at the mouths of the Oxus (Amu Darya) and Jaxartes (Syr Darya). Altuntash H¯ jib. Abu ’l-Fadl S¯ r¯. pp. Barthold. 17–19. pp. 11 155 Copyrights . died in 1034. hence by 1034 he renounced his allegiance to Ghazna and in effect declared his independence.000 and 8. the enemy of the new Ghaznavid sultan Masc ud b. 1968. He allied with c Al¯ Tegin of Bukhara and with the Seljuqs. who had in general been favourably disposed towards the Seljuqs as allies in his struggle to maintain his position against the Ghaznavids. A concerted u au attack was planned.000 followers to settle at Nasa and Farawa. His sons Y¯ suf and Arslan Tegin continued the anti-Ghaznavid alliance with H¯ r¯ n. But ı they felt their position to be increasingly untenable. 1988. and after 1029 moved away from Sogdia to Khwarazm. pp. 64–5. Bosworth. 282–6. based on Yengi-kent and Jand. au c Al¯ ı Tegin. in general remaining separate from those bands acknowledging the leadership of the Seljuq family. in an uneasy relationship with c Al¯ Tegin. where an Oghuz principality had remained in existence. By this time the office of the original Yabghu had devolved upon Abu ’l-Faw¯ ris Sh¯ h Malik b. a 1973. ı awarding the Turkmens further territories in Khwarazm. and directed by the family of the original Yabghu of the Oghuz people.

and so on. 13 156 Copyrights . The Seljuqs acquired an immense booty of money. ¯ Masc ud could certainly not agree to hand over a rich city like Merv to the nomads. – and style of dihq¯ ns a (here. arms. Bosworth. p. horses. Barthold. moreover. robes of honour. 30 –2. 1988. clothing. The Seljuqs suffered initial defeats but then in August 1035. the superior mobility and lighter equipment of the Turkmens enabled them to defeat the more heavily armed but cumbersome Ghaznavid forces. ascribing their victory to Divine Providence and ¯ to Begtoghdï’s poor tactics rather than to their own abilities. replied by u dispatching to Khurasan a powerful army under the Turkish commander Begtoghdï. pp. 297–8. the Seljuqs were making a nuisance of themselves in other ways. then crossing the river at Tirmidh (modern Termez) so that the two invading forces could link up at Andkhuy in what ¯ is now northern Afghanistan. raiding through Khurasan as far as Sistan and entering into relations with enemies of the Ghaznavids Pritsak. in particular. 407–8. on the road to Nasa. New demands were made. pp. Kafeso˘ lu. But Toghrïl and Chaghrï. and the double attack came to a halt when the forces of the sons au of c Al¯ Tegin were unable to capture Tirmidh.13 ı Let us now return to the Seljuqs and their followers on the northern fringes of Khurasan. Masc ud of Ghazna procured the assassination of the Seljuqs’ protector H¯ r¯ n in 1035. and were amazed at their own victory over the seemingly invincible Ghaznavids. 1953. Masc ud now had no choice but formally to award to Toghrïl. as was to be the case later. ¯ Sultan Masc ud received the humbly worded request of the Seljuqs and their followers (at this time. mindful of the depredations of the Turkmens in Khurasan towards the end of Mahm¯ d’s reign. governors on behalf of the sultan). g pp. In this instance. on the grounds that the Turkmens’ existing pasturelands were inadequate. etc. 1973.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS dependent principality of Chaghaniyan along the upper Oxus. Begtoghdï only returned to Nishapur with difficulty. this time for a grant of the regions of Merv. Mistrust nevertheless prevailed between the two sides. among other things. The sultan endeavoured to detach M¯ s¯ Yabghu from the other leaders by. hampered as they were by their long baggage train and their inability to manoeuvre in the desert without extensive supplies. they won a decisive victory over the Ghaznavid army. His vizier Ahmad b. but the sultan and his commanders. Sarakhs and Abiward. 1968. at least until the Turkmens had openly shown their bad faith. 238. Chaghrï and M¯ s¯ Yabghu the regions of Nasa. Farawa ua and Dihistan. with wives from the Ghaznavid military and official class for the Seljuqs. and marriage alliances were proposed. with the insignia – standards. in a wretched condition after their defeat and dispersal by Sh¯ h Malik in a Khwarazm) to settle on these fringes as frontier guards and auxiliaries. awarding him the additional ua title of Inanj. c Abd al-Samad and his civilian advisers advised acceptance. remained suspicious.

55–61. however. 1988. but such phrases were stereotypes and need not have implied at this point any direct connection between the Seljuq chiefs and Baghdad. The Seljuqs are said already to have styled themselves maw¯ l¯ am¯r al-mu’min¯n (Clients of the Commander of the Faithful) when they were aı ı ı established on the fringes of northern Khurasan in 1035. Kafeso˘ lu. and proposed a withdrawal west¯ wards to Rayy and Jibal. against the rebellious Ism¯ c¯l Kh¯ nd¯ n in a aı a a Khwarazm and his Seljuq allies.14 The way was now open for the Seljuqs to enter the capital of Ghaznavid Khurasan. Bosworth. The c Abbasid calilph alQ¯ ’im (1031–75) subsequently sent an envoy to Toghrïl. and of what they still regarded as Ghaznavid invincibility. The Seljuqs were defeated by the Ghaznavid army in summer 1039 and compelled to withdraw into the Kara Kum desert. but Mas ¯ was prepared for Khurasan. exaggerate the degree of political sophistication shown by the Turkmens at this time – Toghrïl proclaimed himself successor to the sultan. g Cahen. failing to comprehend the seriousness of the situation in the west. Toghrïl is a a said to have tried to restrain the Turkmens from their natural instinct to pillage. g 157 Copyrights . performed such sovereign acts as presiding over the hearing of complaints (maz¯ lim) and assumed regal titles including. and the Karakhanid Bughra Khan Muhammad b. Bosworth. 241–3. Kafeso˘ lu. 1949. p. Some of the Seljuq leaders were fearful of their position there. Nishapur was reoccupied by the sultan and his army towards the end of 1039. pp. that of al-sult¯ nal-muc azzam (Exalted Sultan). Y¯ suf Kadïr Khan. but to have dissuaded his brother Chaghrï from this only with difficulty. while the sultan himself. 1988.15 ¯ Masc ud now endeavoured to concert operations against the Seljuqs by allying with the original Oghuz Yabghu. Ibr¯ h¯m Inal appeared there with 200 horsemen later in May 1038 as the advance a ı guard for what was to be the first Seljuq occupation of the capital. 32–4. in a c ud himself was killed shortly afterwards. a it is related in the Malik-n¯ ma.) An army of 50. According to the sources – which may. 1949. 252–68. who had taken over aı a a au Khwarazm and assumed the historic title of Khwarazm Shah. (Sh¯ h Malik was ultimately victorious in Khwarazm. Altuntash). He seated himself on the latter’s own throne in the suburb of Shadyakh. It seems that the Seljuqs may still have placed Sultan Masc ud’s name in the khutba (Friday worship oration) of Nishapur alongside their own leader’s name. 1973. pp. Sü-bashï’s army was again soundly defeated in May 1038 and he fled with the remnants of his forces to Herat. 61–3. Sh¯ h Malik of Jand.000 troops early 1041. pp. Nishapur. pp. pp.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS like Ism¯ c¯l Kh¯ nd¯ n (brother of the murdered H¯ r¯ n b. Ghaznavid armies were now sent to Khurasan u under the commander Sü-bashï and also to Herat. 244–5. 34. and a great campaign against the Seljuqs was prepared for spring 14 15 Cahen. implying some degree of recoga nition for the Seljuqs in Khurasan. campaigned in India. 1973.

Nasr c Ayn al-Dawla of Uzgend and ı to Ibr¯ h¯m b. and suffered severely from the lack of water and supplies in the heat of the desert between Sarakhs and Merv. to the rulers of western and central Iran. 302–3. which was to be decisive for the future of the Iranian lands and for the establishment of Seljuq power in the ancient lands of Islamic civilization. Nasr Böri Tegin. with senior members of the ruling family sharing out governorships and territories. His brother Chaghrï Beg D¯ w¯ d was allotted all of Khurasan and all those lands north of the Oxus that a u he might conquer. was thus ill-equipped for the campaign. the supreme ruler Toghrïl now made various delegations of his authority in the form of grants.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS 1040. pp. 16 158 Copyrights . Masc ud fled and ultimately withdrew towards northern India. 35–6. who had been harrying the Ghaznavid lands on the upper a ı Oxus. Part Two. Khurasan had already been denuded of food and fodder by the incessant warfare and the trampling of the nomads’ herds. Bosworth. fearing the loss of the whole of his possessions in Khurasan and Afghanistan to the Turk¯ mens – he was killed by a revolt among his troops while en route for Lahore. 1968. pp. with all its impedimenta. In accordance with the old Turkish practice of a patrimonial concept of power. M¯ s¯ Yabghu was subsequently ua to make his headquarters in Herat and extend his power southwards to Sistan. Kafeso˘ lu. 1962. In this clash. Chapter 4. for his son and eventual successor Mawd¯ d re-established the u Ghaznavid position at least in the eastern half of Afghanistan: see above. 251–2. and to the c Abbasid caliph in Baghdad. at the top of the letter was inscribed the ancient bow-and-arrow symbol of the Turks. where the local Nasrid Maliks became Seljuq vassals.) The victorious Toghrïl set up his throne on the battlefield of Dandanqan as amir of Khurasan. The fat’h-n¯ ma (announcement of victory) to al-Q¯ ’im detailed the oppression to which the a a ¯ Turkmens had been subjected at the hands of Mahm¯ d and Masc ud and promised faithful u allegiance by the Seljuqs to the caliph and the cause of orthodox Sunni Islam. (Masc ud’s despair proved premature. A historic battle. 1968. Letters announcing the victory were dispatched to various Karakhanid rulers. while Merv was to become his capital. 16.000 lightly armed but a mobile Turkmens overcame the ponderous Ghaznavid army. 107–8. including war elephants.16 Toghrïl was now a territorial sovereign and not merely a chief of nomadic bands. The Ghaznavid army. pp. took place at the rib¯ t (outpost) of Dandanqan in May 1040. and below. They were therefore unable to do without the services of local Khurasanian secretaries and officials Barthold. 19–23. g 1988. pp. The Seljuqs were complete strangers to the business of ruling a territorial state which had long-established administrative traditions rooted in the Perso-Islamic past. by now demoralized and badly ¯ affected by hunger and thirst. pp. to Muhammad b. 1973. including to the sons of c Al¯ Tegin.

Khwarazm was placed under a Seljuq governor. Abu ’l-Q¯ sim B¯ zg¯ n¯. imposed Seljuq a ı control over Sistan in the name of M¯ s¯ . 257. Various sources give lists of Toghrïl’s later aa a u a ı viziers. In this way. who was compelled to seek refuge with the Seljuqs. from the distinguished local family town notables) of Nishapur. Part Two). together with other towns and fortresses of the regions u of Badhghis. the S¯ l¯ r of Buzgan. Ertash. handed over to Chaghrï and killed. and despite counter-measures by the new Ghaznavid sultan ¯ Mawd¯ d b. but was captured by Ertash (who was then operating in Sistan). and the c am¯d al-mulk (chief secretary) Ab¯ Nasr Muhammad al-Kunduri. Altuntash) on behalf of the Ghaznavids. 1957. and among the officials in his administration u ı a a c ili author and traveller N¯ sir-i Khusraw. 1973. 159 Copyrights . who went on to serve Toghrïl’s successor Alp Arslan. He laid siege to Balkh (defended by its governor. but lost it again. Chaghrï’s son Alp Arslan now undertook operations in the upper Oxus districts of Tirmidh. Chaghrï had as his vizier Ab¯ c Al¯ Sh¯ dh¯ n. the ra’¯s al-ru’as¯ ’ (head of the a ı ı a c Abd All¯ h Husayn. captured it. Qubadiyan. and little more is heard of the province during Chaghrï’s lifetime except for a revolt there whose suppression required Chaghrï’s 17 Bowen. While Chaghrï was preoccupied with affairs in Khwarazm (see below). the ancient rivalry between the senior branch of the Oghuz under the Yabghus of Yengi-kent and Jand and the new force of the Seljuqs was finally ended by the total victory of the latter. Sh¯ h Malik of Jand had by 1041 driven out of Khwarazm the Khwarazm Shah Ism¯ c¯l a aı Kh¯ nd¯ n. Responsibility for the first had been allotted to Chaghrï Beg. Guzgan and Tukharistan. 262–3. Chaghrï’s son K¯ wurd was encouraged to expand ua a southwards through Kuhistan and was able to set up in Kirman. in place of the local branch of the Buyid dynasty. Wakhsh and Qunduz until a stable frontier was eventually established in northern Afghanistan during the 1050s between the Ghaznavids and the Seljuqs (see below. Toghrïl had relied greatly on the aid of a local magnate.17 was a brother of the famous Isma a The next years were spent consolidating the Seljuq position in the eastern Iranian lands and making new conquests in central and western Iran. Chaghrï led an army into a a Khwarazm in 1043 which expelled Sh¯ h Malik from the province. pp.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS (just as the Turkish Ghaznavids had recourse to former officials of the Samanids of Transoxania and Khurasan) for the actual running of the extensive lands they now controlled. Many officials moved from the service of the Ghaznavids to that of the new regime. Masc ud. Ab¯ u a of the M¯kal¯s. Part Two). ı ı ı u a former official of the Ghaznavids. 264–6. Mawd¯ d was able temporarily to recapture Herat from M¯ s¯ Inanj u ua Yabghu. including among others Abu ’l-Q¯ sim al-Juwayn¯. a semi-autonomous amirate which was to endure for nearly one and a half centuries (see below. he fled southwards a through Khurasan to Makran on the Arabian Sea coast. Bosworth. In his first occupation of Nishapur. the brother of Ibr¯ h¯m Inal.

was built. the lands for which Toghrïl made himself responsible. He entered Baghdad with his army in December 1055. pp. together with a a a mosque and a madrasa. 1988.ISBN 978-92-3-103467-1 Contents THE SELJUQS IN THE ISLAMIC LANDS presence. 196 et seq. Gurgan and Tabaristan.19 Ibr¯ h¯m Inal moved westwards to conduct operations against the Kurdish c Annazids and a ı other local powers on the Iran–Iraq–Byzantium frontiers. pp. pp. and made him a a his vassal. 434) began minting coins there. Under new pressure. Bosworth. 9–30. Bosworth. under Kïzïl Beg. 1968. he appeared in Baghdad again and on this occasion. 49–52. deposed the Buyid ruler and undertook operations against the Fatimids’ supporters in Iraq. g 19 Miles. which had been much devastated in the previous warfare. hence in 1053 F¯ l¯ d Sut¯ n agreed to place Toghrïl’s name in the khutba of his capital ua u Shiraz. 1953. pp. Merçil. In a series of splendid ceremonies. In subsequent years. Toghrïl now moved his capital from Nishapur to Rayy.h. Köymen. had estabaı lished themselves in Rayy and northern Iran. 408. A new government headquarters (d¯ r al-im¯ ra). c Al¯ ’ al-Dawla Muhammad. the c Abbasid bestowed on Toghrïl a the honorific titles rukn al-dawla (Pillar of the State). Toghrïl’s kinsman Ibr¯ h¯m Inal overran Dihistan. Al-Malik al-Rah¯m’s seven-year rule in Baghdad (1048–55) was marked by continual violence and ı rioting. pp.18 In the west. 49–52. Toghrïl himself marched against the Kakuyid ruler of Isfahan. Far¯ marz b. fortunately for his purposes. It ua u was almost inevitable that one of the warring brothers should call on the Seljuqs for aid. receive the city from Ibr¯ h¯m Inal and a ı begin the reconstruction of the city’s buildings. 36–8. met for the first time the caliph al-Q¯ ’im. Kafeso˘ lu. 11 et seq. 1980. Eventually. al-Malik al-Rah¯m Khusraw F¯r¯ z b.. 18 160 Copyrights . p. who became a Muslim and married into Chaghrï’s family. 1938. 3–9. these Turkmens moved westwards towards Azerbaijan and the Byzantine and Armenian frontier. Ab¯ K¯ l¯j¯ r of Iraq and his ı ıu u aıa brother F¯ l¯ d Sut¯ n of Fars. Toghrïl endeavoured to reduce the power in western and southern Iran of the Buyids. He brought under obedience to a ı Toghrïl the Turkmens formerly headed by Arslan Isr¯ ’¯l who. soon afterwards making Isfahan his own capital. On this occasion. he also received the submission of the ‘amir of Kïpchak’. pp. qas¯m am¯r al-mu’min¯n (Partner ı ı ı of the Commander of the Faithful) and malik al-mashriq wa ’l-magbrib (King of the East and West). and in the following years a group of Turkmens took over Khuzistan. undergoing a period of internal strife and rivalry between the contending princes. Hence in 1055 Toghrïl assembled forces in Jibal and Kurdistan with the proclaimed intention of making the pilgrimage to Mecca and of combating the Shic ite Fatimids of Egypt and Syria. Hence in 1042–3 Toghrïl was unable to come to Rayy personally. 1972. By 1052 Turkmen raiders had penetrated into Buyid Fars. together with robes of honour in the c Abbasid colour of black and two crowns Pritsak. in 1058. 1977. and in this year (a. who were.

into those of the Seljuq prince Kara Arslan K¯ wurd b. whereby the sultan is recognized as the secular ruler and the caliph–imam remains the moral and spiritual head of the Islamic community. For well over a century. as vassals of the Seljuqs. 42–3. g 161 Copyrights . was ultimately to be recognized by Sunni Muslim constitutional and legal theory. 1988. although initially seen as novel and disturbing. a and a line of K¯ wurd’s descendants now followed in Kirman. favoured by its position on trade routes connecting Central 20 Bosworth. the caliph was relieved of his enemies in Iraq. the province was to enjoy a period of peace and prosperity under its new rulers. In Chaghrï’s time. Chaghrï Beg. and the khutba in the Great Mosque of Baghdad was made in Toghrïl’s name. In this way. even though in practice Chaghrï seems to have been left very much to himself in his territories (in the sources. Bosworth) Historical survey After his formal assumption of the sultanate at Baghdad in 1055. forming an autonomous a Seljuq dynasty. 1968. E.ISBN 978-92-3-103467-1 Contents Historical survey signifying rule over the Arabs and the c Ajam or non-Arabs. Kafeso˘ lu. remained under the indigenous family of the Nasrid Maliks of Nimruz. straddling what is now the border between Iran and Afghanistan. of such importance for the future constitutional development of the Islamic world. and Toghrïl’s position exalted as his deliverer. the Buyids.20 There now begins the de facto dual arrangement. Chaghrï remains a distinctly more shadowy figure than Toghrïl). the province of Sistan. Khurasan and the east were left to his brother Chaghrï Beg under Toghrïl’s supreme overlordship. required on occasion to furnish troop contingents for the Great Seljuq army. 45–8. Toghrïl was during his latter years largely occupied with consolidating his family’s power in the Iranian lands west of Khurasan and in the Arab lands of Iraq and Mesopotamia. By 1048 Kirman in south-eastern Iran had passed from the hands of its former masters. 39. Part Two THE CONSOLIDATION OF THE SELJUQ SULTANATE IN IRAN (1055–1118) (C. This arrangement. pp. pp.

This favourable status was only ended when. after 1170. Although he restored it in the face of Alp Arslan’s superior military might. also. This was to remain substantially the boundary between the two great powers for over fifty years. what later became northern Afghanistan. real power in the principality passed to Turkish slave commander atabegs (tutors to young Seljuq princes). it was Chaghrï Beg’s son Alp Arslan who in 1063 took over as supreme sultan of the Seljuq empire – like his uncle. ‘Niz¯ m al-Mulk’. although an expedition thither was necessary in 1067 when K¯ wurd a a withdrew his allegiance. The decade of Alp Arslan’s rule.22 a a At the outset. and Chapter 8). north–south boundary was established between the Seljuqs and the rulers whom they had supplanted in eastern Iran. see below – eschewed irredentist campaigns aimed at recovering the Ghaznavids’ lost Khurasanian provinces. Niz¯ m al-Mulk had grown up in Ghaza navid Khurasan and had spent some years in Ghazna. together with the twenty-years’ rule of a ı his son Malik Sh¯ h. g EI2 . 1988. In the lands to the south of the upper Oxus. he a exemplified the class of professional Iranian secretaries and officials upon whom the Seljuq sultans–as incomers into the Islamic world from the Central Asian steppelands–wisely relied for the administration of their vast empire. A native of Tus in Khurasan. Niz¯ m al-Mulk. 65–6. 1994. Thus when he entered the service of Chaghrï Beg and Alp Arslan he brought with him into the Seljuq administration an element of continuity. pp. since Ibr¯ h¯m of Ghazna a ı (1059–99) – with the exception of one or two occasions. day-today running of the state by the great vizier. He was to expound these traditions in a masterly and effective way in his treatise on statecraft. Alp Arslan secured his position in the east by placating his elder brother K¯ wurd of Kirman. Since Toghrïl was childless. On Alp Arslan’s a 21 22 Merçil. 376–86. K¯ wurd was never fully reconciled to his subordinate position. with the formal approval of the c Abbasid caliph in Baghdad. a rough. pp. Kafeso˘ lu. the Ghaznavids. the Siy¯ sat-n¯ ma [Book of Statecraft]. who granted him the honorific titles of c Adud al-Dawla and Diy¯ ’ al-D¯n. Part Three. that of the old-established Perso-Islamic government tradition whose origins went back to the Sasanian period. The two reigns of Alp Arslan (1063–73) and of Malik Sh¯ h (1073–92) may a be considered as a unity. a 162 Copyrights . the province was invaded by bands of Oghuz Turks deflected southwards from Khurasan by the fighting there between the Khwarazm Shahs and the Ghurids (see below. so that the line of Seljuq princes was ended in 1186 when the Oghuz leader Malik D¯n¯ r took over in ı a 21 Kirmn.ISBN 978-92-3-103467-1 Contents Historical survey Asia and Khurasan with the Persian Gulf and Indian Ocean ports. 1980. represent the zenith of Great Seljuq power: their empire reached an a extent unparalleled since the heyday of the c Abbasid caliphate in the later eighth and early ninth centuries. the unifying factor being the directorship of the continued. Bosworth.

and it was in the west that he achieved his famous victory over the Byzantine emperor Romanus Diogenes at Mantzikert (Malazgird) in 1071. 45–9. of various districts there as a appanages for Seljuq princes: for example. As noted above. the second one ending in the rebel’s imprisonment and blinding. nothing is heard of Seljuq–Karakhanid relations (although we know that Seljuq cultural influence spread within Transoxania during this period. 1988. 54–6. at the Seljuq court. the sultan led an expedition a to the capital of the Western Karakhanid Khanate. vainly as it turned a ı out. who had tried to profit from the succession a ı uncertainties on Alp Arslan’s death by invading Tukharistan to the south of the upper Oxus. 1099–1115) married one of Malik Sh¯ h’s ¯ son Mas ¯ a daughters.ISBN 978-92-3-103467-1 Contents Historical survey death he was to rebel against the new ruler Malik Sh¯ h. except for the two occasions (in 1080 and 1084) when he had to deal with revolts in Khurasan by his brother Tekish b. For most of his reign. 1977. including the frontiers of the empire in the Caucasus. to regain former Ghaznavid territory in northern Afghanistan. Ibr¯ h¯m Tamghach Khan. with the Ghaznavid sultans assuming for themselves the established Seljuq title al-sult¯ n al-muc azzam (Exalted Sultan) in addia tion to their normal ones of amir and Malik. pp. a a Alp Arslan personally led expeditions into the Kïpchak steppes of Central Asia. 1968. Alp Arslan. One of Malik Shah’s most forceful wives was the Karakhanid princess Terken Kh¯ t¯ n.24 au Malik Sh¯ h’s activities in the east of his empire mainly involved relations with the a Karakhanids. pp. Alp Arslan was occupied with affairs in the west. an equilibrium had been established between the Ghaznavid and Seljuq empires. 163 Copyrights . and to the Mangïshlak peninsula on the eastern shore of the Caspian Sea. Balkh to his brother Sulaym¯ n.23 On his father’s death. He continued Alp Arslan’s policies and in some ways surpassed the latter’s triumphs. in 1066 when the sultan proclaimed Malik Sh¯ h as his heir. as seen in the Karakhanid adoption of Seljuq-type titulature) until towards the end of Malik Sh¯ h’s reign. as far as Jand on the lower Syr Darya. Marriage links were forged and Ibr¯ h¯m’s a ı c ud (the subsequent Sultan Masc ud III. pp. g Bosworth. pp. Jawhar Kh¯ t¯ n. who was. Kafeso˘ lu. Soon after his accession. Khwarazm to his brother Arslan Arghun. and this was only briefly disturbed in 1073 when Ibr¯ h¯m of Ghazna attempted. only to be defeated and then exea cuted by the victor in 1073. Seljuq cultural influence grew in the Ghaznavid empire during these decades. in order to punish Shams al-Mulk Nasr b. Samarkand. 313–14. Jal¯ l al-Dawla Malik Sh¯ h secured the support of the army by a a distributing wealth from the treasury of Nishapur. For several years. a 23 24 Barthold. the capital of Khurasan. Bosworth. 1968. Merv to his son Arslan Sh¯ h and Tabaristan to Inanj Yabghu. Köymen. for long the focus of opposition to the au vizier Niz¯ m al-Mulk and his policies. The eastern frontiers were strengthened by the granting out. 1972. 50–8.

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At this point, he was persuaded by the orthodox Sunni religious opponents of the Khan Ahmad b. Khidr in 1089 to invade Transoxania and depose the Khan. He then pushed on beyond the Syr Darya to Talas and into Semirechye in order to impose his overlordship on the eastern branch of the Karakhanids, receiving at Uzgend the submission of the Khan of Kashghar, Hasan or H¯ r¯ n b. Sulaym¯ n Tamghach Bughra Kara Khan. Thus at au a this moment, the khutba was made in Malik Sh¯ h’s name from northern Syria to East a Turkistan. Tribal and family dissensions continued within the Karakhanid lands, requiring Malik Sh¯ h’s intervention, and at some point restoring Ahmad b. Khidr to his former throne a in Samarkand (he was later, in 1095, to be arraigned and executed by his old opponents, the religious classes in Samarkand, on the grounds that he had adopted Ismac ili doctrines).25 Malik Sh¯ h’s death in 1092 inaugurated some twelve years of confusion and internecine a warfare within the western Iranian and Iraqi lands of the Seljuq empire, for the dead sultan’s two sons Berk-yaruk and Muhammad quarrelled over the succession. Berk-yaruk, the candidate of the Niz¯ miyya, the sons and supporters of the vizier Niz¯ m al-Mulk (who a a had been assassinated shortly before the sultan’s own death), eventually prevailed, but he was never to be undisputed master of the united sultanate. Various members of the Seljuq family seized the opportunity to intrigue or to assert their own claims, including the former rebel Tutush, Berk-yaruk’s uncle, now in touch with elements in his former appanage of Tukharistan, and his son, and another uncle, Arslan Arghun, in Khwarazm. Military campaigning by Berk-yaruk and his supporters eventually made firm his power in Khurasan, to which in 1097 the sultan appointed his half-brother Sanjar as governor, providing him with an atabeg and a vizier (see below, Part Three).26 Affairs among the Karakhanids in Transoxania had been somewhat confused and troubled after the death of Ahmad Khan, but in 1097 Berk-yaruk, now suzerain, confirmed the succession in Samarkand of a succession of ephemeral rulers: Sulaym¯ n b. D¯ w¯ d b. a a u c ud b. Muhammad (1097–9) (both of Tamghach Khan, Kadïr Khan Ibr¯ h¯m (1097), Mas ¯ a ı whom married daughters of Berk-yaruk) and Jibr¯ ’¯l or Jibr¯l b. c Umar (1099–1102). Later aı ı in 1097, however, Berk-yaruk had to leave the east for western Iran and Iraq, essentially the seat of his power. Before departing from Khurasan, he appointed as governor in Khwarazm the Turkish commander Qutb al-D¯n Muhammad b. An¯ shtegin Gharcha’¯ to replace the ı u ı dead Ekinchi b. Kochkar, in this manner inaugurating the line of shahs in Khwarazm from the line of An¯ shtegin which was to endure for over a century (see below, Part Three). u It was Sanjar who was now to be responsible for the maintenance of Seljuq authority in
Kafeso˘ lu, 1953a; Barthold, 1956, pp. 97–8; 1968, pp. 314–18; Bosworth, 1968, pp. 66–7, 87–102; g Kafeso˘ lu, 1988, pp. 49–55. g 26 Sanaullah, 1938, pp. 82–113; Bosworth, 1968, pp. 102–13; Kafeso˘ lu, 1988, pp. 56–9. g
25

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The structure of the Seljuq state in the east

the east. He continued to exercise power there, from his capital at Balkh, when his full brother Muhammad Tapar b. Malik Sh¯ h succeeded to the Great Seljuq throne after Berka yaruk’s death in 1104. Sanjar continued to acknowledge his constitutional dependence on the supreme Sultan Muhammad, who enjoyed on his coins the title al-sult¯ n al-muc azzam, a and was content to style himself on coins malik al-mashriq (King of the East)–a subordination which was, however, to be abandoned on Muhammad’s death in 1118 (see below, Part Three).27

The structure of the Seljuq state in the east
The eastern Iranian lands of the Seljuq state were governed, like the rest of the empire, from the central Great D¯w¯ n, the sultans’ executive organ, which was, for nearly thirty years, ı a as noted above, under the direction of Niz¯ m al-Mulk, aided by his sons and partisans. All a of these made up the body which came to be known, especially after Niz¯ m al-Mulk’s own a death, as the Niz¯ miyya. Hence during Malik Sh¯ h’s reign, the vizier appointed several a a of his sons to strategically important provincial governorships, where trusty subordinates were required for putting his administrative measures into practice. Two of his sons, Shams al-Mulk c Uthm¯ n and Jam¯ l al-Mulk Mans¯ r, were governors in Merv and Balkh respeca a u tively at certain times.28 All through his official career, Niz¯ m al-Mulk was concerned to buttress the authora ity of his masters, the Seljuq sultans, against such external foes as the Fatimid caliphs of Egypt and Syria and internal dissidents like the Ismac ilis of Daylam and the Elburz mountains region and of Kuhistan in southern Khurasan. Military operations were undertaken on various occasions against the Ismac ilis within the empire, but on the ideological and intellectual level, Niz¯ m al-Mulk’s name is associated with the founding and the a spread of Sunni orthodox madrasas, named Niz¯ miyyas in his honour. The institution a of the madrasa had flourished in the eastern Iranian lands for many decades before the vizier’s time, so he was far from being an innovator here.29 But Niz¯ m al-Mulk may have a hoped that his newly founded madrasas – which for the east were located in Balkh, Herat, Merv, Nishapur and Amul in Gurgan, according to the later biographer of Sh¯ fic¯ scholars, a ı T¯ j al-D¯n al-Subk¯–would produce theologians and lawyers who could uphold orthodoxy a ı ı against sectarian currents like Muc tazihsm and Ismac ilism, and also officials and secretaries who could implement his own policies for the Seljuq empire’s future. For staffing these
Barthold, 1968, pp. 318–19, 323–4; Bosworth, 1968, pp. 135–6, 138–9. Bosworth, 1968, pp. 56–7, 69–70; Klausner, 1973; EI2 , ‘Niz¯ m al-Mulk’. a 29 On educational policies and the spread of the madrasa in general, see Volume IV, Part Two, Chapter 1, of the present work.
28 27

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colleges, Niz¯ m al-Mulk made especial use of scholars from Khurasan, for Khurasan a and Transoxania had long been bastions of Sunni orthodox theology, law and scholarship.30 The Seljuq military forces at this time comprised not only a professional army, with a nucleus of ghul¯ ms (slave soldiers) but also contingents of free troops, mercenaries. a Turks were naturally dominant, and held many of the high commands, but the professional army was multi-ethnic, and included Armenians, Greeks, Slavs, Arabs and others. In his Siy¯ sat-n¯ ma, Niz¯ m al-Mulk positively commends the use of Daylamites, Khurasanians, a a a Georgians and Shab¯ nk¯ ra’¯ (Kurds) from southern Iran in the army. But at the side of a a ı this professional, standing army – supported, at least in western Iran and Iraq, by a system of iqt¯ c s (land grants) – the sultans still relied to a great extent on the descendants of a their original, Oghuz tribal following, the Turkmens. The military power of these last was particularly important for the defence of Khurasan and the eastern marches, the border lands beyond which lay such powers as the Ghaznavids and the Karakhanids, and beyond the latter, the peoples of the Inner Asian steppes and forests. These frontier lands were often granted as appanages to Seljuq princes or to the protégés of Niz¯ m al-Mulk, but their a actual defence fell largely to the Turkmens. Since they had first appeared on the fringes of Ghaznavid Khurasan (see above, Part One), the Turkmens had been assigned grazing grounds and rights for their herds there, and these rights continued under the Seljuqs, since they provided the livelihood and the maintenance of these unpaid, auxiliary troops. The tribal nomads thus had a definite place within the economic and agricultural structure of such eastern provinces as Khurasan, Gurgan and Dihistan. It was felt that it should be the sultans’ care to conciliate and to look after the interests of their Turkmen supporters, since these had been the original mainstay of the Seljuq family’s power, states Niz¯ m al-Mulk a again in his treatise – possibly with the implication that the Turkmens’ complaints and just claims were no longer being listened to properly or dealt with immediately, now that a ruler like Malik Sh¯ h relied increasingly on his professional, standing army. The sultans a did, however, continue to give regular feasts (shölen) for their supporters, but Niz¯ m ala Mulk states that Malik Sh¯ h’s failure to provide such a feast for the Chigil tribesmen of a the Karakhanid army, when he campaigned in Transoxania in 1089, caused him a loss of prestige there.31

30 31

Bosworth, 1968, pp. 70–4; Lambton, 1968, pp. 214–17. Sanaullah, 1938, pp. 18–35; Bosworth, 1968, pp. 79–84; Lambton, 1968, pp. 224–39.

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Part Three

THE EASTERN SELJUQ SULTANATE (1118–57) AND THE RISE AND FLORESCENCE OF THE ¯ KHWARAZM SHAHS OF ANUSHTEGIN’S LINE UP TO THE APPEARANCE OF THE MONGOLS (1097–1219)
(C. E. Bosworth)

Historical survey
c Adud

al-Dawla Ahmad Sanjar (Turkish sanjar. ‘he who pierces, thrusts’) governed the

eastern provinces of the Great Seljuq empire for some sixty years, being appointed in 490/1097, while still a boy, by his half-brother, the Great Seljuq sultan Berk-yaruk after the unsucessful revolt in Khurasan and the death of Arslan Arghun b. Alp Arslan. He remained there, as boy and man, until his death shortly after escaping in 1156 from the custody of the Oghuz of Khurasan. During the civil strife in western Persia and Iraq between his elder brothers Berk-yaruk and Muhammad Tapar (see above, Part Two), Sanjar generally took the side of his full brother Muhammad, but from the constitutional aspect he regarded himself as governor only of the eastern provinces and as subordinate to the supreme sultan in the western lands, calling himself on his coins merely a Malik and acknowledging Berkyaruk and then Muhammad as al-sult¯ n al-muc azzam.32 a When Muhammad died in 1118, however, Sanjar refused to consider himself subordinate to his nephew in the west, Mahm¯ d b. Muhammad. As the senior member of the u Seljuq family, both his de facto power and his position under Turkish tribal custom gave him a claim to the supreme sultanate even though this had previously been held, for eighty years, by the Seljuq who controlled western Iran and Iraq. The squabbling sons of Muhammad b. Malik Sh¯ h were too divided and militarily weak to dispute Sanjar’s position, and a
32

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they had generally to place Sanjar’s name plus his title of al-sult¯ n al-muc azzam on their a coins before their own names and titles. At the outset, the only serious opposition to Sanjar’s claims came from Mahm¯ d, but in 1119 Sanjar marched westwards with a powerful u army (whose commanders included, besides Sanjar himself, four vassal rulers), defeated Mahm¯ d near Sawa in northern Jibal and marched onwards to Baghdad. When peace was u made, Mahm¯ d agreed to Sanjar’s supremacy and was made the latter’s heir (in the event, u he died long before Sanjar did), but he had to relinquish to Sanjar the Caspian provinces of Mazandaran and Qumis and the town of Rayy, the key point for control of northern Persia, and to agree to the reappointment of Sanjar’s shihna (military governor) in Baghdad.33 ¯ On Mahm¯ d’s death in 1131, his brothers Masc ud, Toghrïl and Seljuq Shah successu fully disputed the succession of Mahm¯ d’s young son D¯ w¯ d, but were unable to agree u a u among themselves as to who should be sultan. They laid the question before Sanjar, as senior member of the dynasty. Sanjar’s favoured candidate was Toghrïl b. Muhammad, but his preoccupation with events in Transoxania at this time (see below) prevented him from providing Toghrïl with much military support. Toghrïl died soon afterwards in 1134, ¯ allowing Masc ud to succeed in the west and to reign for twenty years, the longest reign of a Seljuq there since Malik Sh¯ h’s time. Sanjar’s last major intervention in the affairs of the a ¯ family in the west had been his defeat of Masc ud at Dinawar in 1132, but thereafter affairs in Khurasan and Transoxania increasingly claimed his attention.34 Sanjar continued to exercise the overlordship over the Karakhanids of Transoxania first imposed by his father Malik Sh¯ h (see above, Chapter 6), but had on various occasions to a intervene with his army across the Oxus against recalcitrant Khans. At Tirmidh in 1102 he had stemmed the invasion of a Karakhanid claimant, Kadïr Khan Jibr¯ ’¯l or Jibr¯l of aı ı Balasaghun and Talas, placing on the throne in Samarkand Muhammad II Arslan Khan. But towards the end of the latter’s long reign, in 1130, Sanjar came with an army to reinforce the Khan’s faltering authority in Samarkand. Disputes occurred, with the Seljuq army plundering part of the Karakhanid capital and with the sultan finally placing on the throne his nominees: first, Hasan Tegin b. c Al¯; then briefly in 1132 Muhammad Arslan Khan’s ı brother, Ibr¯ h¯m Tamghach Bughra Khan (who had been brought up at Sanjar’s court); and a ı then, possibly in the same year, Muhammad Arslan Khan’s third son, Mahm¯ d. Mahm¯ d u u was Sanjar’s nephew since his mother Terken Kh¯ t¯ n, wife of Muhammad Arslan Khan, au was Sanjar’s sister. The fortunes of Sanjar and Mahm¯ d were to be closely interwoven u over the ensuing years; when Sanjar was captured by the Oghuz in 1153, Mahm¯ d was u

33 34

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recognized by the Seljuq army in Khurasan as interim sultan of Khurasan and, after Sanjar’s death in 1157, likewise as legitimaté ruler there until his own death in 1162.35 As ruler of Khurasan, Sanjar was also concerned with the neighbouring great power to his east, the Ghaznavids. They were ancient enemies of the Seljuqs during the period when the Seljuqs were taking over Persia and western Afghanistan but had largely been at peace with them since 1059 and the peace agreement – essentially one which divided Afghanistan with a north-south line between the two imperial powers – made by the Seljuq ¯ Chaghrï Beg and the Ghaznavid Ibr¯ h¯m b. Masc ud I. Over the following decades, there a ı was a considerable Seljuq cultural penetration of the Ghaznavid lands, visible for instance in numismatic patterns, titulature of the rulers and literary trends. The inaccessible and largely independent mountain region of Ghur in central Afghanistan passed into the Seljuq sphere of influence during the early part of Sanjar’s reign after a raid into it by the sultan. According to the Ghurid historian Minh¯ j-i Sir¯ j J¯ zj¯ n¯, the Shansab¯ n¯ Malik of Ghur, a a u a ı a ı al-D¯n Husayn, sent to Sanjar as annual tribute the specialities of the region, includı ing arms and armour and fierce dogs (see below, Chapter 8). The once-mighty Ghaznavid empire was by now moving towards what it in fact became in its final years, essentially a north Indian power rather than one of the eastern Iranian lands. A succession dispute ¯ between Arslan Shah and Bahr¯ m Shah, the sons of the Ghaznavid sultan Masc ud III b. a Ibr¯ h¯m, allowed Sanjar to extend direct Seljuq suzerainty over the now somewhat truna ı cated Ghaznavid empire (see above, Chapter 5). On Arslan Shah’s accession to the throne in 1115, Bahr¯ m Shah had escaped to Khurasan and had appealed to Sanjar for help. The a Seljuq ruler marched eastwards with a formidable army, defeated Arslan Shah outside Ghazna, despite the presence of awesome war elephants in the latter’s army, sacked the capital Ghazna and placed Bahr¯ m Shah on the throne in 1117. Bahr¯ m Shah agreed to a a become a vassal of Sanjar, and to pay an annual tribute of 250,000 dinars and to place Sanjar’s name first in the khutba and on the coinage - the first time that the Seljuq khutba had ever been heard in the Ghaznavid dominions. For some thirty years, Bahr¯ m Shah a acknowledged this subordinate status, only once becoming restive when in 529/1135 Sanjar and his other vassal, the Khwarazm Shah Atsïz, came with their forces from Balkh against Ghazna, expelling Bahr¯ m Shah to India before the latter returned and agreed to a reassume his vassalage.36 Along the northern fringes of Khurasan, Sanjar found himself at odds for the first time with another line of his vassals, the Turkish Khwarazm Shahs. The old lines of
Pritsak, 1953–4, pp. 49 –53; Köymen, 1954, pp. 158 –63; Barthold, 1968, pp. 319–22; Bosworth, 1968, pp. 138–40. 36 Bosworth, 1968, pp. 157–9; 1977, pp. 89–100.
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Iranian Afrighid and Ma’munid shahs had been swept away by the Ghaznavids in the early ¯ eleventh century; Mahm¯ d and Masc ud I of Ghazna had appointed Turkish slave commanu ders from their own army, Altuntash and his sons, as governors there with the ancient title of Khwarazm Shah. The Seljuqs continued this pattern of domination over Khwarazm: jutting out as it did into the Central Asian steppes, the region was not only strategically important to the sultans as a bastion against the pagan Turks of the Kïpchak steppe but it was also significant as the springboard for raids into the recruiting grounds for Turkish auxiliary and slave troops. Sultans like Alp Arslan and Malik Sh¯ h had led punitive expea ditions into these steppe regions on various occasions, such as that of the first ruler in 1065 into the Ustyurt area and the Mangïshlak peninsula to the east of the Caspian Sea against the Kïpchak (see above, Part One). In order to secure these important regions, Malik Sh¯ h had appointed the keeper of a the royal washing bowls (tast-d¯ r), his slave commander An¯ sh-tegin Gharcha’¯, as tita u ı ular governor at least in Khwarazm. During Berk-yaruk’s reign, the sultan appointed in 1097 another Turkish ghul¯ m, Ekinchi b. Kochkar, with the historic title of Khwarazm a Shah. When, in that same year, Ekinchi was killed, Berk-yaruk nominated in his stead An¯ shtegin’s son Qutb al-D¯n Muhammad as governor, and Muhammad’s tenure of power u ı there (1097–1127) inaugurates the fourth and most brilliant line of hereditary Khwarazm Shahs. This dynasty eventually built up, as the Seljuq empire in the east tottered to its close, the most powerful and aggressively expansionist empire in the Persian lands, in the end defeating their rivals for control of Khurasan, the Ghurids of Afghanistan, threatening western Persia and Iraq and the c Abbasid caliphate itself, and only disintegrating under the overwhelming military might of the Mongol invaders in the opening decades of the thirteenth century. Qutb al-D¯n Muhammad was a faithful vassal of Sanjar’s, assiduous in attendance at ı the Seljuq capital of Merv, but it was his son and successor c Al¯ ’ al-D¯n Atsïz (1127–56) a ı who was the real founder of the dynasty’s might and splendour. He also attended Sanjar’s court regularly, accompanying him, for example, on the campaign to Samarkand of 1130, and securing the northern and western frontiers of Khwarazm against the Kïpchak and other marauders. But relations with Sanjar started to deteriorate as Atsïz gradually built up his own military strength and began identifying himself with the particular interests of his power base in Khwarazm. Sanjar later accused his vassal of indiscriminately killing, together with pagans, Muslim gh¯ z¯s and mur¯ bit¯ n (dwellers in ribats and fronaı a u tier fighters) in Mangïshlak and at Jand on the lower Syr Darya (although this could possibly be an a posteriori justification for Sanjar’s subsequent actions against Atsïz). The Khwarazm Shah rebelled openly in 1138, flooding lands in the Oxus valley to impede
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the advance of the Seljuq army, but this failed to halt Sanjar’s progress. He defeated the Khwarazmian army at Hazarasp on the Oxus, executed Atsïz’s son Atlïgh, drove out Atsïz from Khwarazm, occupied the province and left a Seljuq prince there as governor accompanied by an atabeg. However, as on earlier occasions when the attempts of an outside power like the Ghaznavids to impose its authority on Khwarazm had provoked a national reaction there, the Khwarazmian people now showed their resentment of alien domination. As soon as Sanjar returned to Merv, they rose and expelled the Seljuq occupying troops. Meanwhile Atsïz returned from his refuge in Gurgan and took the offensive, invading Transoxania and attacking the Seljuq garrison in Bukhara in 1139–40.37 A new power now intervenes in the affairs of Central Asia: the Kara Khitay (the Kitan or Liao of the Chinese sources), possibly of Mongol origin and certainly stemming from the region of eastern Mongolia and northern China before they started to move westwards and southwards into Semirechye and Transoxania (see below, Chapter 11). From their base at Balasaghun, this pagan people began, under their Gür Khan (Universal Ruler) Yeh-lü Tashih, to attack the various Turkish tribes and amirs of western Turkistan, pagan and Muslim alilke, inevitably coming up against the Karakhanids. Already in 1137 Mahm¯ d Khan of u Samarkand had been defeated in a battle with the Kara Khitay at Khujand in Ferghana. Four years later, internal disputes within the Western Karakhanid amirate led to one side in the conflict, disaffected Karluk tribesmen, calling in the Kara Khitay. Mahm¯ d appealed to u his kinsman and suzerain Sanjar, who invaded Transoxania with a large army, but he was defeated in 1141 by the Kara Khitay in a bloody battle on the Qatwan steppe of Usrushana, on the middle Syr Darya. Sanjar and Mahm¯ d Khan fled to Khurasan, abandoning Tranu soxania to the incomers, who went on to invade Khwarazm and to make Atsïz their vassal. Accordingly, while Sanjar’s defeat was clearly opportune for Atsïz, it seems improbable that the Khwarazm Shah had, as several of the Islamic sources state, incited the Kara Khitay to invade as an act of revenge on Sanjar for the sultan’s killing of his son Atlïgh. At this point, Atsïz himself raided into Khurasan, but was driven back by a Seljuq counter-invasion of Khwarazni which penetrated to the capital Gurganj and compelled the Khwarazm Shah to disgorge the treasuries which he had previously looted from Merv in 1143–4. Yet once again, Khwarazm proved too hostile for the Seljuq troops to remain there.38 The eventual downfall of Seljuq power in the east, however, did not result from the attacks of external foes like the Kara Khitay or from the rebelliousness of ambitious vassals like the Khwarazm Shahs, whose military strength was still inferior to that of
. Köymen, 1954, pp. 312–45; Kafeso˘ lu, 1956, pp. 44–50; Barthold, 1962, pp. 126–7; 1968, pp. 323–6; g Bosworth, 1968, pp. 140–4. 38 Köymen, 1954, pp. 323 et seq.; Barthold, 1956, pp. 100–5; Kafeso˘ lu, 1956, pp. 51–7; Barthold, 1968, g pp. 326–7; Bosworth, 1968, pp. 146–50; EI2 , ‘Kara Khitay’.
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Sanjar – it was the result of an explosion of discontent within Khurasan itself, largely caused by the policies of Sanjar’s aides and officials there. Khurasan and the steppes to the south-east of the Caspian Sea, in Gurgan and Dihistan, contained extensive pasture grounds which supported numerous groups of nomadic, tribally organized Turkmens. Some of these had probably been driven southwards into the Khurasanian fringes by recent upheavals in the Central Asian steppes, including pressure from the Khwarazm Shahs and the Kara Khitay. Others were descendants of the Oghuz tribesmen whose dynamic had originally brought the Seljuqs to power in Khurasan a century before. The sultans had accordingly always felt certain obligations towards these kinsfolk of theirs, often making special administrative arrangements for them in the regions where they were particularly numerous, appointing special shihnas and ru’as¯ ’ (sing. ra’¯s) (chiefs) to act as channels of a ı communication between the nomads and the Seljuq state, whose dominating Perso-Islamic ethos was largely alien to the Turkmens (see below). These arrangements now came under severe strain because of the financial exigencies arising from Sanjar’s military adventures, which became increasingly expensive and elaborate after 1135: he is said to have disbursed 3 million dinars for his Transoxanian campaign of 1141, not counting the cost of gifts and robes of honour for various local potentates. The burden of taxation in order to pay for these fell on sedentaries and nomads alike, but the Oghuz in the upper Oxus regions of Khuttalan and Tukharistan finally rebelled against the tax demands and the harsh collecting methods of the shihna over the Turkmens there, the slave commander c Im¯ d al-D¯n Kum¯ ch of Balkh. Despite placatory approaches from a ı a the Oghuz, Sanjar insisted on mounting punitive expeditions against them, but he was twice defeated, forced to evacuate his capital Merv and finally captured by the nomads in 1153. The Oghuz bands swept through Khurasan, attacking the towns and showing particular violence and hostility towards members of the Seljuq administration and the religious institution, closely linked with the Seljuq state. A general climate of insecurity was created in both town and countryside, in which other anti-social elements, such as the c ayy¯ rs a (bands of urban rowdies and vigilantes) took advantage of the breakdown of authority to advance their own interests. Sanjar was carried round by his Oghuz captors for three years, apparently in humiliating circumstances and enduring hunger and deprivation, until he managed to escape in 1156 to Tirmidh and Merv. But a year later, he died at the age of 71, and with him, the authority of the Seljuqs in eastern Persia ceased; to his contemporaries it seemed like the end of an epoch. Only in western Iran, essentially in Jibal, and in Kirman, did members of the Seljuq family retain power for another thirty-eight and thirty years respectively. The western Seljuqs were increasingly circumscribed, however, by the growth of Atabeg
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Bosworth. It now offered the throne in Khurasan to the refugee Karakhanid Mahm¯ d Khan. These experienced and capable commanders were helped by the Oghuz bands’ own disunity and low level of political sophistication. king of the East’. the Oghuz could win individual battles but could not establish a state. pp. 152–5. and on his escape from the Oghuz sent Sanjar a message of congratulation. who then disputed control of Khurasan with the Khwarazm Shahs and with the pagan Kara Khitay. Lambton. Mu’ayyid al-D¯n Ay Aba (d. 57–9. while the Kirman Seljuqs fell victim to similar Oghuz pressures to those which had affected Khurasan and which had caused Sanjar’s downfall. the Seljuq sultan in the west. involving Oghuz plunder raids on Kirman. Lambton. agreed to this and sent an investiture diploma. who over the next years parcelled out the towns and districts of the province among themselves. the son of Sanjar’s sisu ter Terken Kh¯ t¯ n. It was actually the Khwarazm Shahs who triumphed there in the first decade of the thirteenth century. Ikhtiy¯ r al-D¯n Ay Tak. 1968. Another of Sanjar’s former slave commanders. real u power in Khurasan was falling into the hands of the Seljuq princes. Azerbaijan. took over Herat. as nominal vassal of the western Seljuq sultan Muhammad II. took posa ı session of Rayy and. especially as Mahm¯ d was unable firmly to establish his authority – he was even prepared at one u point to summon assistance against the Oghuz of Khurasan from the Khwarazm Shah Ats ïz – and he died in 1162. The Khwarazm Shah Atsïz remained loyal to Sanjar after the latter’s capture. made himself a power in northern Persia. 1968. Ibn Funduq. being termed by the contemporary historian of Bayhaq. while yet another former Seljuq general.39 The Seljuq army in Khurasan had been left leaderless on Sanjar’s capture.ISBN 978-92-3-103467-1 Contents Historical survey principalities in provinces like Fars. He established firm and just rule in the town. Sanjar’s former slave commander. 1947. Barthold. In fact. pp. as ‘the emperor of Khurasan. 39 173 Copyrights . hence with Seljuq blood in his veins. who had a foothold south of the Oxus in Balkh and Tukharistan. au Muhammad II b. ı 1174). 1953. and he eventually recognized Mahm¯ d Khan as his u suzerain. 246–7. pp. 1968. The rule of the Seljuq princes was only curtailed in the 1170s by the westwards expansion of the Ghurid sultans. Mahm¯ d. This region was to be important as a reservoir of manpower for the Köymen. but they were only to enjoy power for a short time before the whole dynasty was swept away by the incoming Mongols. He had by that date established the Khwarazmian state through his skilful adaptation to the superior military strength of the Seljuqs and the Kara Khitay and by the extension of his territories and his influence northwards into the Kïpchak steppe as far as Mangïshlak. 329–30. had already risen to prominence in Nisha-pur. Bah¯ ’ al-D¯n a ı Toghrïl. Arran and Armenia and by the later twelfthcentury upsurge of c Abbasid caliphal authority in Baghdad and Iraq. pp. but Atsïz died shortly afterwards in 1156.

but these last were little disposed to interfere in Khwarazmian affairs provided that the stipulated tribute was forwarded to the Gür Khans at their ordo (military camp) in Semirechye. 73–83. 1956. with considerable success. succeeded in bringing about the final demise of the Seljuq sultanate of western Persia and penetrated across Jibal and Kurdistan to the borders of Iraq.. Atsïz even entertained the plan of conquering the town of Saksin on the lower Volga in southern Russia. 185–7. ostensibly on behalf of the Karluk. Hasan Tegin Chaghrï Khan took draconian ı measures against the tribesmen. Khwarazmian arms vigorously combated Ghurid attempts to annex Khurasan for themselves. 1968. II Arslan (1172–1200) which brought the a ı Khwarazm Shahs to new heights of power. Barthold.ISBN 978-92-3-103467-1 Contents Historical survey Khwarazmian army when Atsïz’s successors embarked on grandiose policies of expansion throughout the Iranian world and beyond to the Near East and to India. pp. II Arslan’s troops also appeared in Khurasan against the former Seljuq princes there. Bosworth. 424 et seq. and Ibn Funduq mentions the Khwarazmian army’s presence at Bayhaq and Nishapur in 1166–7. but was at first largely preoccupied with affairs in the lands north of the Oxus. Nishapur. Tekish. g pp. Bosworth. 155–7. Tus and Merv. pp. Barthold. The outcome of this struggle was that Sult¯ n Sh¯ h was driven southwards a a from Khwarazm into Khurasan. pp. 1968. the Kara Khitay were his suzerains. 1968. pp. Tekish sought an opportunity to throw off the Kara Khitay yoke – comparatively light though it was – by adducing the increasing harshness of the Kara Khitay tax-collectors and their Köymen. Kafeso˘ lu. Here. by u a the Karluk in 1156. pp. 40 174 Copyrights . 1954. But once firmly on the throne in Khwarazm. 41 Pritsak. The Khwarazm Shahs especially coveted the domains of the Karakhanids – who were likewise vassals of the Gür Khans – in Transoxania. Kafeso˘ lu. II Arslan seized the opportunity to invade Transoxania in 1158.pp. 65–72. 1968.40 Atsïz’s son T¯ j al-Duny¯ wa ’l-D¯n II Arslan (1156–72) had more potential freedom a a ı of action after the death of his Seljuq suzerain Sanjar. 1953–4. 1956.41 It was the reign of c Al¯ ’ al-D¯n Tekish b. although full-scale Khwarazmian intervention in Khurasan was only to come later. Disputes within the Karakhanid dominions between the Khans and contingents of their Karluk tribal followers culminated in the murder of Mahm¯ d Khan’s brother Ibr¯ him III Tamghach Khan of Samarkand. owed his throne to support from the Kara Khitay in the succession struggle with his brother Sult¯ n Sh¯ h after II a a Arslan’s death. and the Khan was compelled to take back the Karluk chiefs into his service. g 185–8. 332–7. pp. to carve out a principality for himself at the expense of the local Turkish commanders in towns like Sarakhs. 53–4. according to one authority. When his successor c Al¯ b. who had been governor of Jand. where he attempted. 330–1.

thus Tekish’s wife Terken Kh¯ t¯ n. towards the end of his reign. however. Tekish was to seek Kara Khitay aid in his struggle with the Ghurids. but whose ı historicity was nevertheless doubted by Barthold). Bosworth. Arslan. au a ı was from either the Kanglï or the Yemek Turkish tribe and was the daughter of Kïpchak Khan. But the latter now appealed to Tekish for help. a ı ı a Many of Tekish’s diplomatic and military efforts were to be devoted to the situation north of the Oxus and in the steppes and then. 188–92. thus giving the 42 Kafeso˘ lu. he aimed at conciliating the Turkmens of the steppes to the north and west of Khwarazm. for the Kara Khitay hoped to regain control of Balkh and Tukharistan. pp. even though many of them were still pagan. partly through marriage alliances between members of his own family and the local Khans’ families. vigorous and effective commander.ISBN 978-92-3-103467-1 Contents Historical survey continuing paganism. was a young. pp. 1968. led Tekish to dream of establishing a Khwarazmian empire which would dominate Iran proper as well as the lands north of the Oxus. to expansion westwards into northern Iran. These hopes were dashed by a decisive victory of the Ghurids over the Kara Khitay on the banks of the upper Oxus. The sultan who was to be the last of the Seljuq line in Persia. 1968. This made possible an appeal to the local Muslim religious classes for support for the Khwarazm Shahs in the work of jih¯ d (holy war). mother of his son and successor c Al¯ ’ al-D¯n Muhammad. with Iraq as his ultimate goal. a The result was an alliance of Sult¯ n Sh¯ h with the Kara Khitay. 84–108. Later. who tried to invade a a Khwarazm but were blocked by the time-honoured expedient of the defenders opening the canal barrages and dykes of the Oxus valley irrigation network. when the local population of Bukhara supported the Kara Khitay garrison until the town was stormed by the Khwarazmians. g 175 Copyrights . Barthold. allowing the Ghurids to occupy the towns of Khurasan and to install at Merv Tekish’s grandson and rival for power. there is mention of an expedition to Bukhara in 1182 and possibly another one with the same goal in 1198 (reported by the chronicler Ibn al-Ath¯r.42 The disappearance of the Seljuqs from Khurasan and the shrinkage of the territory controlled by the last Seljuq sultans in western Iran. 337–46. in the 1190s. and at least one punitive expedition by Tekish against the Kïpchak in the vicinities of Jand and Sïgnak on the lower Syr Darya is recorded (1195 –6). pp. formerly tributary to them. 113–21. hemmed in as they were by various Atabeg principalities such as that of the Ildenizids of Azerbaijan and Arran and the Salghurids of Fars. Toghrïl III b. 1956. N¯ sir al-D¯n Mal¯k Sh¯ h (1198–1200). Kutlugh Inanch. In Transoxania also. Hind¯ u Khan b. But diplomacy did not always work. Tekish drew on these Turkmens as troops for his forces. who by 1192 had made firm his control over Jibal and had defeated the Atabeg ruler in Rayy. and it was these unassimilated barbarians who made the Khwarazmian army a byword for cruelty and violence among the peoples of northern and western Iran. thereby flooding the terrain. In general.

p. 1956. a ı essentially Azerbaijan. g 1975. pp. was defeated outside Rayy and killed in 1194. Toghrïl was accordingly able in 1193 to clear the Khwarazmian a a garrison out of Rayy. The proximity of the powerful and aggressive shah to the c Abbasid territories in Iraq disquieted the caliph al-N¯ sir (1180–1225). pp. 1968. Tekish now occupied the whole of Jibal and parcelled it out as iqt¯ c s for his commana ders. where Ghurid rule had proved unpopular. 1968. Bosworth. 44 Kafeso˘ lu. 346–8. the very eve of the Mongol invasions. 76–85. 199–205. At the end of his life. 123–44. but died in 1200. Iran (i. continued his father’s a ı anti-caliphal policy. Tekish came to Rayy with an army and demanded that his name should be placed in the khutba of western Persia immediately after the claiph’s name. he knew from captured diplomatic correspondence that al-N¯ sir had in the past incited the Ghurids against him and had tried to a have him assassinated by the Ismac ilis. Bosworth. 1972. Tekish’s son c Al¯ ’ al-D¯n Muhammad (1200–20). 1975. 181–3. or western Iran). centred on Konya.ISBN 978-92-3-103467-1 Contents Historical survey Khwarazm Shah a pretext to intervene in the affairs of Iran. but had to return to Khurasan in the face of a threatened invasion by Sult¯ n Sh¯ h. Muhammad was aware that his anti-caliphal policies would deprive him of support from the Sunni majorities in Iran and Iraq. Not until 1217. c Ir¯ q c Ajam¯. and news of the appearance of the Mongols on the eastern fringes of his empire caused Muhammad to abandon his plans to overthrow the c Abbasid caliphate. Fars. Hence he now adopted a pro-Shic ite policy. 75–8. the people of Jibal rose and massacred all the Khwarazmians they could find.e.43 The new shah. Mason. 1972. Tekish had demanded that his son’s name be placed in the khutba at Baghdad. 102–4. 43 176 Copyrights . was a Muhammad ready to march westwards.e. henceforth. but subsequent preoccupations in the east with the Ghurids. pp. 104. g 99–100. the Kïpchak and the Kara Khitay prevented Muhammad from enforcing hisclaimed rights against al-N¯ sir. Hartmann.44 During the earlier part of his reign. 183–4. Khurasan and Kirman) and Turkistan. 214– 21.pp. 1968. but snow-storms of unparalleled severity held it up in Kurdistan. Tekish was active in northern Iran. pp. obtaining a fatw¯ (legal opinion) from compliant c ulam¯ ’ that a a al-N¯ sir was unfit to rule and that the c Abbasids had usurped the caliphate from the house a c Al¯. on hearing the news. Mason. having refused to negotiate with the shah. But when Tekish returned the following year. By now. Toghrïl. After the death of Muc izz al-D¯n Muhammad Gh¯ r¯ ı uı Kafeso˘ lu. pp. the remainder of the country. 1956. Muhammad’s eastern policy involved conciliating the Kara Khitay in order to leave him free to eject the Ghurids from Khurasan. pp. His army proceeded to cross the Zagros of ı mountains barrier down to the plains of Iraq. especially against the Ismac ilis of Daylam. and proclaiming a Sayyid as anti-caliph. Hartmann. He nevertheless deemed it prudent to bow to a Tekish’s evident military superiority and sent the shah an investiture patent for the sultanate of Iraq (i. pp. the Seljuq dynasty survived only in Anatolia as the sultanate of Rum. Barthold.

and other local magnates who were discontented a a ı with Kara Khitay financial demands. 45 177 Copyrights . pp. Bosworth. pp. 349–70. Kafeso˘ lu. for some years more: see above. 223–9. pp. Securing the northern frontiers of Khwarazm by a successful campaign against the Kïpchak. c Uthm¯ n Khan b. who had taken over most of the former Kara Khitay territories. and an indecisive military encounter in (?)1219 between Muhammad’s forces and Chinggis’ eldest son Jöchi in the Pritsak. The new sultan in Ghur. the power of the Ghurids declined perceptibly. Chapter 6). against their suzerains. but he was less successful against Küchlüg. Ghiyath ¯ ı al-D¯n Mahm¯ d. Yet this domination speedily proved unpopular. the Gür Khan died. and he was equally impotent to protect the Muslims of East Turkistan or Kashgharia against Küchlüg’s fiercely anti-Muslim policies there. Muhammad turned to Transoxania and allied with the last Karakhanid ruler of Samarkand. 1968. Ibr¯ h¯m. with its capital at Uzgend. his flight into Badakhshan and his death there only postponed the hour of reckoning for the Khwarazm Shah. Khwarazmian control was now imposed over all the towns of Khurasan. especially as the latter were distracted by the rebellion in Semirechye of the Naiman Mongol chief Küchlüg and the revolt of the Kara Khitay’s Muslim vassals in East Turkistan. 1953–4. g 1968.ISBN 978-92-3-103467-1 Contents Historical survey in 1206. pp. when c Al¯ al-D¯n Muhammad a ı had sent an embassy to the Mongol Khan in northern China. Muhammad could therefore now dispense with Kara Khitay support. There had been relations between him and Chinggis in 1215. pp. and the Bawandid local ruler in the Caspian provinces was made a Khwarazmian vassal. By this time. had to acknowledge the Khwarazm Shah as his suzerain and place his u name in the khutba and on the coinage. 187–93. 1956. a a ı an advance force of Chinggis Khan’s Mongols had appeared in northern Semirechye. Barthold. and Muslim Khwarazmian rule was established throughout Transoxania. c Al¯ ’ a al-D¯n Muhammad asserted his power against the Kïpchak and incorporated Sïgı nak into his empire. but brought down on himself the Khwarazm Shah’s wrath. 1956. Muhammad was unable to bring relief to the Muslim population of the town of Balasaghun in Semirechye or to protect Ferghana. 56–9. Barthold. c Uthm¯ n Khan attempted to renew his a connections with the Kara Khitay. This culminated in a general massacre of Karakhanid family members in 1212. 106–9. Even after his Talas victory over the Naiman chief. 192–5. The people of Samarkand rose against the Khwarazmians there and slaughtered them. The fact that the Kara Khitay were distracted by Küchlüg’s revolt meant that the Gür Khan was unable to maintain his occupation of Samarkand (probably in 1209–10) and was defeated near Talas by the combined forces of c Uthm¯ n Khan and c Al¯ ’ al-D¯n Muhammad. thereby extinguishing the western branch of the dynasty almost completely (a branch seems to have persisted in Ferghana.45 The defeat of Küchlüg by Chinggis Khan’s forces in 1218.

shihna or ra’¯s. iy¯ lat) under Sanjar was exercised through centrally a a appointed officials with designations like w¯ l¯. who was concerned with public security and the regulation of crime. including the q¯ d¯ (judge) and a ı the khat¯b (preacher at the Muslim worship). culminating in the death in Diyar Bakr in 1231 of the refugee last Khwarazm Shah. though from 1122 to 1124 Sanjar had a Turkish vizier. with the title of alsult¯ n al-muc azzam appearing on his coins minted at Isfahan and Rayy from 1118 onwards. Sanjar acquired. the head of the d¯w¯ n-i c ard a ı a ¯ (department of the army). headship of the main line of Seljuqs in Persia and Iraq. which was usually in the capital Merv. mainly military slaves or freedmen – were supported materially by the system of iqt¯ c s. Sanjar was originally a Malik subordinate to the Great Seljuq sultan Berkyaruk and then Muhammad b. It was presided ı a a over by a series of viziers. a Attached to his personal court. were appointed directly by Sanjar. although one cannot thereby conclude that the grants were necessarily for life. from Shih¯ b al-Isl¯ m c Abd al-Razz¯ q a a a (in office 1117–22) to Niz¯ m al-Mulk Hasan. n¯ ’ib. under ı the tughr¯ ’¯ (chief secretary). the shihna. Provincial government (wil¯ yat. those manning the chancery. often. Malik Sh¯ h. the mustawf¯ (chief accountant) and the mushrif (inspector). a ı The structure of the eastern Seljuq state As noted above. The vizier’s colleagues included the a a ı usual array of officials concerned with accounting and financial checking procedures. After the latter’s death. still less that they were hereditary. high officials like viziers were nora mally Persians or Arabs. Administrative and military control over a town or province of the empire was exercised by the sultan’s appointee. Chapter 12. see below. with the military holder of such an estate a additionally being liable for military service. for all these events. by a seniority. Sanjar had a fully developed administration headed by the d¯w¯ n-i ac l¯ (Supreme Ministry). combining the departments of the tughr¯ (official insignum aı a on documents) and of insh¯ ’ (correspondence). and the c arid.ISBN 978-92-3-103467-1 Contents The structure of the eastern Seljuq state steppes to the north of the Aral Sea. Muhammad b. Sulaym¯ n K¯ shghar¯ Yïghan or Toghan Beg. which brought down on his head the full violence of Mongol military might in the later part of 1219. All these ı figures – as also the commanders of the army. no duration is mentioned for these tenures. Naturally. Muhammad’s son Jal¯ l al-D¯n (?) Mingburnu. The last of these had aı a ı an additional role as the representative of the urban notables – from the leading families 178 Copyrights . of whom eight are known. But the immediate cause of large-scale intervention in Trans-oxania by the Mongols was Muhammad’s ill-advised execution of Chinggis’ envoys at Utrar. Various religious and judicial officials. The ensuing years saw the speedy disintegration of the Khwarazmian empire.

1957.’ Towards the end of Sanjar’s reign. crown lands (aml¯ k-i kh¯ ss. Tus and Dihistan. 1964. 1957. have already been touched upon. Merv. i. stemming from authors who worked under the Khwarazm Shahs like Bah¯ ’ al-D¯n Muhammad Baghd¯ d¯. above all in matters relating to taxation.47 The structure of the Khwarazmian state Material on the internal structure and administrative system of the Khwarazmian state of the line of An¯ shtegin is sparse. investiture diplomas. The Oghuz felt that they had a particularly close relationship with the sultan. Mazandaran. 1968. Klausner. and the problem of how to find a place for them in the administrative and social structure of the Seljuq empire became acute. the historian of the Seljuqs. and.ISBN 978-92-3-103467-1 Contents The structure of the Khwarazmian state of whom the ra’¯s was generally chosen – and of his fellow-townsmen vis-à-vis the central ı government. Balkh and its dependencies. the numbers of these Oghuz in Khurasan seem to have increased. with a right of approaching him directly. c Im¯ d al-D¯n Kum¯ ch. who were themselves originally provincial governors for the Great 46 47 Lambton. a a It is a reasonable assumption that the central and provincial administrations of the Khwarazm Shahs. It stems mainly from the volumes of insh¯ ’ literature. the Oghuz protested. headed by a wak¯l (intendant). with their own special administration.e.46 The relations of Sanjar and his amirs with the Oghuz nomads. and special arrangements were made for the government of those areas where they predominated. u a comprising official letters. At the time when Sanjar’s governor in Balkh. 179 Copyrights . northern Jibal and the Caspian provinces. who served Atsïz. aml¯ k-i a a a kh¯ lis¯ t). Sanjar’s failure to solve it was a major factor in the decline and disappearance of the eastern Seljuq empire by the end of his reign. pp. Horst. Lambton. 1968. Rayy. 247–69. 245–7. Il Arslan and finally Tekish as chief a secretary and who compiled two collections of ras¯ ’il (epistles). and so on. who was a ı a ı head of the d¯w¯ n-i insh¯ ’ for c Al¯ ’ al-D¯n Tekish and who left us an important collection. was increasing his harsh demands on a ı a them (see above). a ‘We are the specially close subjects [rac iyyat-i kh¯ ss] of the sultans and we do not come a under the jurisdiction of anyone else. From Sanjar’s reign. There were also domains which belonged personally to the sultan. ı a a a ı the Kit¯ b al-Tawassul il¯ ’l-tarassul. above all. Lambton. we possess documents on the nomination of provincial governors for Gurgan and its dependencies. and their a a ı own financial organs. who were an appreciable element of the population in Khurasan. the famous littréateur Rash¯d al-Din a a ı Muhammad Watw¯ t (d. ?1182–3). 1973. according to R¯ wandi. pp. the c Ar¯ ’is al-khaw¯ tir a a a and the Abk¯ r al-afk¯ r.

Dihistan and Khwarazm itself under Tekish. 1964. and those of Jand.48 The historical sources say little of daily life and the condition of the ordinary people at this time. who included the wak¯l of the kh¯ ss ı a ı a (crown domains) and the k¯ tib al-insh¯ ’ (chief secretary). provincial government was in the hands of w¯ l¯s or shibnas aı appointed by the Khwarazm Shah: those of Farah (in northern Sistan). were modelled on those of the Seljuqs in Iran and Iraq. Barjanlïgh-kent (= Barjlïgh-kent on the Syr Darya between Jand and Sïgnak) and its dependencies. made nearly two centuries before for the ¯ ı Saffarid amir Khalaf b. within the territories that he controlled (his estranged mother. The geographer and traveller Y¯ q¯ t. As mentioned above. Similar losses continued in the ensuing disorders in Khurasan even after Ay Aba had restored some order. The region of Jand. while ethnically becoming more and more Turkicized. au was the real ruler in Khwarazm itself). b¯g¯ r). Gurgan. with the irruption of the Mongols into Transoxania and beyond. but the destruction of several mosques. Horst. involving a more direct personal management by the Khwarazm Shah. g 180 Copyrights . stated that a u 48 Kafeso˘ lu. pp. Khwarazm itself continued to flourish agriculturally at this time. The reports of thousands of casualties may be exaggerated. 1956. with a vizier. 1218 according to Nasaw¯ – a ı ı to dispense. One of the functions of the w¯ l¯ was the organizing of corvée aı labour for state requirements (sh¯ hk¯ r. Only towards the end of the ı ı a dynasty’s existence did c Al¯ ’ al-D¯n Muhammad decide – in c. a council of six (sitta min al-wak¯ld¯ riyya). He appointed instead. madrasas and important libraries in Nishapur is attested. would have worked.ISBN 978-92-3-103467-1 Contents The structure of the Khwarazmian state Seljuqs. writing just after the Mongol devastation of Khwarazm. Rash¯d al-D¯n Watw¯ t. They report widespread devastation in the Khurasanian towns by the Oghuz towards the end of Sanjar’s reign. does not allow us to estimate how these new administrative arrangements. the office of the mustawf¯ and that of the c arid-i lashkar (inspector-general of the ı ¯ army). the base for Khwarazmian raids into the Kïpchak steppe. was especially important and was often entrusted to the Khwarazm Shah’s eldest son and heir. Turkistan and Bukhara are mentioned under Il Arslan. As in Seljuq Khurasan. 205–14. Ahmad. as an executive body. according to the biographer al-Samc an¯. The accelerated course of events a a after this year. so that the indigenous Iranian Khwarazmian language shrank until it apparently disappeared in the fourteenth century. Gurgan and Khwaf in Kuhistan. and the appointment of ru’as¯ ’ by a the Khwarazmian chancery is recorded for Dihistan. such as that of the Sabuniyya madrasa. as noted above. the ı a a chancery. the ra’¯s was the a a ı a ı channel of communication with the local populations. In the middle decades of the twelfth century the d¯w¯ n-i insh¯ ’ was ı a a headed by the great poet and stylist. with its ancillaries. Terken Kh¯ t¯ n. perished. where a copy of the celebrated 100-volume compendium of Qur’anic sciences. The hub of the administration was undoubtedly the d¯w¯ n-i ac l¯ headed by the vizier.

within Transoxania they were able to pose as the defenders of Islam against the pagan Kara Khitay. ‘eminences’). Wherever the Khwarazmian armies penetrated. holding also the religious title of sud¯ r (sing. The urgent need for money to finance military expansion led to much hardship and disaffection. the pace of centralization within the state increased.ISBN 978-92-3-103467-1 Contents The structure of the Khwarazmian state when he had been in Gurganj in 1219. and although. and he found the Khwarazmian countryside extraordinarily fertile. Ahmad. he had never seen a richer or fairer city in the world than the Khwarazmian capital. 1972. the Khwarazm Shahs were nevertheless often at pains to conciliate the powerful orthodox Sunni religious authorities in the Transoxanian towns. by the end of the twelfth century. when Tekish and c Al¯ ’ al-D¯n Muhammad embarked on their anti-caliphal a ı policies in western Iran. they established a reputation for violence and extortion which made them highly unpopular and a focus for popular hatred. 76 –81. as the real rulers in the town. called Sadr-i Jah¯ n. in none of the provinces they conquered did the Khwarazm Shahs ever succeed in creating a bond of interest between themselves and their subjects. certainly outside Khwarazm itself. 295–317. Soviet excavations there seem to show an extension of cultivation based on irrigation canals during the twelfth century. filled with settlements which had markets and an abundance of food. ‘Al-e Borh¯ n’. they could no longer count on Sunni Muslim religious support. At times. the most powerful empire of the eastern Islamic world. a 181 Copyrights . 1953. he acknowledged in his edicts the spiritual authority of the religious leaders there. an influential line of local c ulam¯ ’ a ¯ Burh¯ n. pp. they held u more authority within the town than the Karakhanid secular rulers. Burh¯ n a al-D¯n Muhammad b.49 As the Khwarazm Shahs built up their realm into what was. actually collected taxation there on ı a behalf of the Kara Khitay. pp. and in 1207. rose to power in the first half of the twelfth century as ru’as¯ ’ of the the Al-i a a city. ¯ EIr. Bulliet. When Tekish was at Bukhara in 1182. At Bukhara. for instance.50 49 50 Tolstov. sadr. In their sporadic attempts to expand into Transoxania at the expense of the Karakhanids and Kara Khitay.

. . . . . . . . . . . . . . the Rud-i Ghur and the Khash Rud together with the intervening mountain chains. . . . . . 1146–7) that a porı tion of Ghur – the petty principality of Warshada on the Hari Rud – developed a capital at Firuzkuh. . . . It comprised the basins of the upper Hari Rud. . .2 Ghur had no compact or continuous areas of habitation. . . . . . . . . . . . . . . The Ghurid sultanate as a world power . . . . . . . but only scattered * 1 2 See Map 5. . .1 Geographic configurations had a profound influence on historical and cultural developments in Ghur. Nizami Contents The region of Ghur and the beginnings of Islamization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 Copyrights . . . . . . a Vercellin. . Geography led to the fragmentation of political power as the entire region could not be controlled from one centre. The Bamiyan amirate . . . Cultural developments . . . 337–40. . . . . . . 1976. 8 THE GHURIDS* K. . . A. . . . . the Farah Rud. . . . . It was as late as the time of Qutb al-D¯n Muhammad (d. . . . . . . . . . . . 1951–4. Kohz¯ d. . .ISBN 978-92-3-103467-1 Contents The region of Ghur and Islamization . . . . . . pp. The rise of the Ghurids as an independent power . . . Each fortress exercised independent sway over the area immediately under its control and patriarchal traditions struck deep roots. . . . . . 182 185 186 189 190 191 194 The region of Ghur and the beginnings of Islamization The mountainous region situated to the east and south-east of Herat and the south of Gharchistan and Guzgan was known as Ghur. . . . . . . . . . . . . . . . . . . . . . The apogee of the Ghurid sultanate . . . . . . . . . . . . . . The political and social organization of the Ghurid state . .

The waves of Muslim conquest touched the fringes of Ghur several times during the Umayyad period but the region did not come under Islamic cultural influence. Ghuzz and Khalaj ethnic elements settled on the fringes of the region. For the Karr¯ miyya. however. unruly and ignorant’. took a long time. 1961. three centres came into prominence in the valley of Hari Rud: Firuzkuh (the capital of Shansab¯ n¯ power). 982) says. . As late as the tenth century. p. The ethnic background of the Ghurid people is shrouded in myth and legend. population pockets. 183 Copyrights . 289–90. p. see Barthold. ‘Karr¯ miyya’. Contact with Ghazna led to the infiltration of Turkish tribes from the surrounding areas. until they later switched to the mainstream Sh¯ fi ı a of Sunni Islam. a a Anon.6 a pietistic and ascetic form of Sunni a Islam especially strongly represented in Nishapur. Since they pronounced the name of the Prophet Muhammad as ‘Hamad’.5 It was probably as the result of missionary activity from Khurasan that the movement of the Karr¯ miyya. . 120–1. The landscape was studded with fortified places and towers where people could defend themselves. it was the biggest pagan enclave ı within the borders of Islam. p.’7 As a the years passed. 110. was established in Ghur in the course of the tenth and eleventh centuries.ISBN 978-92-3-103467-1 Contents The region of Ghur and Islamization . now actually most of the people are Muslims. El2 . After the Saffarid invasions of Zamin-Dawar and Bust. 1968. 110. The nature of the imperfect conversion is best illustrated by the fact that sometimes the names were Muslim but the people led the life of pagans.. ‘In the days of old u ¯ this province of Ghur was pagan (k¯ fir). Bosworth. Jam and Chisht. pp. According to the geographer al-Istakhr¯. 1960. It was followed by the Shansab¯ n¯ Maliks. pp. including a ı in the later twelfth century the brothers Ghiy¯ th al-D¯n Muhammad and Muc izz al-D¯n a ı ı c¯ and Hanafi law schools Muhammad. and the conversion of Ghur. As late as the end of the tenth century. 118.4 The Iranian dialect of the people inhabiting Ghur differed from the dialect of Khurasan. The extension of Islam and its cultural institutions. a ı 3 4 5 6 7 Bosworth.3 Cultural movements in the neighbouring areas had only a peripheral impact on the region. ¯ During his campaign into Ghur in 1020.. 1937. The anonymous author of the Hud¯ d al-c alam [The Limits of the World] (c. Bosworth. Anon. Later on. gradually breaking its cultural isolation and diversifying its ethnic composition. 1961. the population of Ghur was for the most part heathen. Prince Masc ud of Ghazna had to employ local interpreters to communicate with the people. they became known as Hamad¯s after their conversion to ı Islam. 1937. the region became exposed to tribes and peoples of different ethnic backgrounds. the people of the region were said to be ‘bad-tempered.

and secured a ı legal sanction for his authority from the caliph H¯ r¯ n al-Rash¯d. the governor of Khurasan. uı u Layth. 1961. who conferred upon him au ı a covenant and a standard and gave him the title of qas¯m am¯r al-mu’min¯n (Partner of the ı ı ı Commander of the Faithful). The region of Ghur thus possessed two of the most important requisites of war in the Middle Ages – horses and iron – and the Ghurids took full advantage of them. 118. as expressed by the early thirteenth-century historian of the Ghurid dynasty J¯ zj¯ n¯ in his Tabaq¯ t-i N¯ sir¯. our prime source for the entire history of the u a ı a a ı dynasty.9 It was widely known for horse-breeding. holds that a Shansab¯ n¯ prince. 184 Copyrights . When Sebüktegin was governor of Ghazna and Zabulistan on behalf of the Samanids (977–97) (see above. he established his authority in eastern Ghur and was recognized as suzerain by Muhammad b. While no systematic account of the early history of Ghur is availa able. 979 the Samanid overlord of northern and eastern Afghanistan. J¯ zj¯ n¯ is silent about the successors of Banj¯ until the advent u a ı ı of Amir S¯ r¯. Bosworth. who in the later ninth century came into conflict with the Saffarids. Ghur supplied slaves to the markets of Herat and Sistan. the eponymous founder of the dynasty. were said to be ı descendants of Zah¯ k. According to Togan. S¯ r¯ of Mandish. it appears that the penetration of Islam was a slow process. p. The Ghaznavids and the Seljuqs exacted tribute from Ghur in the form of arms. conquered Zamin-Dawar. no significant conquests could be made. Sultan Masc ud of Ghazna employed Ghurid officers as specialists in siege warfare.ISBN 978-92-3-103467-1 Contents The region of Ghur and Islamization . The legendary tradition. he made several attacks on Ghur. and no permanent implantation of Islam resulted. the Saffarid ruler of Sistan. but Ghur was saved by the inaccessibility of its mountains. According to Ghurid legendary tradition. ¯ cuirasses and the ferocious watchdogs bred locally. 33–4. 1936. The Arab historian al¯ Tabar¯ refers to a campaign in 667 by al-Hakam b. N¯ h b. . Far¯dun and Shansab. Amir Banj¯. weapons and war equipment to neighbour¯ ing areas. the entire mountain region from Ghur and Kabul to the land of the Karluk was metal-working. He a ı ı was the ancestor of all the Shansab¯ n¯ amirs who occupied the Ghurid lands. Bust and Rukhkhaj. Mans¯ r. and ı Ibn al-Ath¯r records details of an expedition undertaken against Ghur in 725. but except for a few forts. While it was still pagan. pp. . The mountains of Ghur had a large number of iron-ore workings and those of other metals. Yac q¯ b b. After some initial set-backs. In c. After the death of Sebüktegin.8 It exported armour. u u dispatched a force to conquer Ghur. c Amir. Chapter 4). The purpose ı of these occasional incursions seems to have been to obtain slaves and booty. The chief fortress of Ghur was known as Pul-i Ahangar¯ n (Bridge of the Blacka smiths). subsequently came to prominence. Muhammad uı 8 9 Togan. Zah¯ k was the first ancestor of the Shansab¯ ni a a dynasty.

at that time governor of Herat. and thereafter.). who marched on Ghur with a large army. he sent his son Masc ud. withheld the payment of tribute. S¯ r¯’s sons. 1970. governors of Herat and Tus u a respectively. S¯ r¯ entrenched himself in inaccessible hills and ravines. Malik Qutb al-D¯n Hasan. the north-western part of Ghur. he fought against the ruler of Ghur and took c lzz al-D¯n Husayn prisoner. Later. armour and the finely bred guard dogs of Ghur – to Sanjar in his capital at Merv. the forces of Ghur went over to him and c Abb¯ s was handed over to Ibr¯ h¯m. He was a a ı removed and the government of Ghur was placed in the hands of his son. so that the history of Ghur as an imperial power begins with them in the mid¯ twelfth century. who now regularly paid the tribute to his Ghaznavid overlords. overthrown at some date in the 1030s by his nephew u ı c Abb¯ s a who established himself in Ghur. uı ı c Al¯ by name. Ab¯ uı u ı with Sultan Mahm¯ d when his own father was at loggerheads with him. on an expedition into Ghur. but the Ghaznavid uı army routed the Ghurids. Sayf al-D¯n S¯ r¯ a ı a ı uı c Al¯ ’ al-D¯n Husayn became the sovereign over established himself at Ghazna. according to the Ghaznavid historian Bayhaq¯. ı ¯ Masc ud was the first to penetrate to the interior of this part of Ghur. and Muhammad b. Some notables of Ghur approached Ibr¯ h¯m b. While Sanjar was Seljuq ruler of the eastern Iranian lands. Sultan a ı Ghur. Shih¯ b al-D¯n Muhammad Kharnak established himself at a ı 10 Habib and Nizami (eds. tribal conflicts created chaos in Ghur. Fakhr al-D¯n Masc ud founded the dynasty of the rulers of Bamiyan and ı Tukharistan. Mahm¯ d thus brought eastern Ghur u ı u ¯ under his control. . a ı ı They divided their patrimony among themselves and consolidated their authority in and around Ghur. The rise of the Ghurids as an independent power The period of Shansab¯ n¯ expansion began with the seven sons10 of c Izz al-D¯n Husayn. however. c lzz al-D¯n Husayn regularly sent tribute – which ı included war equipment. Ghazna and Bamiyan. . The Ghaznavid forces marched on Ahangaran. the sultan sent him ı back to his native land. a ı ¯ Masc ud of Ghazna. Then in 1020. Muhammad. As soon as his army appeared. 185 Copyrights . Muhammad b. S¯ r¯ and his son Sh¯th were taken prisoner. so that Mahm¯ d u u rewarded Ab¯ c Al¯ by placing Mandish under him. plundered caravans and blackmailed the subjects of Sultan Mahm¯ d in the neighbouring provinces. During the time of Muhammad’s son. 153–5. Amir Ab¯ c Al¯ was. it was Hasan’s son ı and successor Malik c Izz al-D¯n Husayn (1100–46) who restored peace and order in the ı region. to subdue Nab. however. had remained on good terms Another of Muhammad b. u In 1011 Sultan Mahm¯ d sent Altuntash and Arslan H¯ jib. pp.ISBN 978-92-3-103467-1 Contents The rise of the Ghurids . Bah¯ ’ al-D¯n S¯ m became the amir of Ghur and Firuzkuh.

Arslan Shah. now come into promia ı a a ı ı nence. He thus came to be known as Jah¯ n-S¯ z (Incendiary of the World). but his son Sultan Sayf al-D¯n had set them ı free. a c Al¯ ’ al-D¯n took Ghazna by storm. Mahmud’s Ghazna. the ‘bride a u of cities’. He further married a daughter of Malik Badr al-D¯n of Kidan. when he set out for Ghazna. Qutb al-D¯n Muhammad ı went over to Bahr¯ m Shah of Ghazna (1117–57). set out towards Ghazna to accomplish what his brother had not been able to achieve. Ghiy¯ th al-D¯n rendered great service to Sayf al-D¯n in dealing with the Oghuz (or a ı ı According to one historian. Ghiy¯ th al-D¯n adopted a policy of fraternal co-operation and eventually gave the a ı title of sultan to his brother Muc izz al-D¯n and to his nephew Malik Shams al-D¯n Muhamı ı c ud. pp. setting fire to it for seven nights and days. a ı ı Bah¯ ’ al-D¯n S¯ m had. The seventh son Qutb al-D¯n ı ı ı Muhammad’s adoption of the title of malik al-jib¯ l (Lord of the Mountains) was the first a expression of his ambitions. Ghaznavid) dynasty. The apogee of the Ghurid sultanate Malik Bah¯ ’ al-D¯n S¯ m’s sons. See Khan. When Qutb al-D¯n had left for Ghazna. Ghiy¯ th al-D¯n and Muc izz al-D¯n. He also established contact with mad of Bamiyan. the Garmsir. on hearing of his brother Qutb al-D¯n Muhammad’s death in ı ı 1146–7. ı uı Relations between the brothers became strained. son of Malik Fakhr al-D¯n Mas ¯ ı the c Abbasid caliph in Baghdad.11 leading to a a war of revenge between the Ghurids and the Ghaznavids and the savage sacking of Ghazna (see below). and Shujac al-D¯n c Al¯ became the amir of Jarmas.ISBN 978-92-3-103467-1 Contents The apogee of the Ghurid sultanate Mac din. and many of its fine buildings and libraries. Bah¯ ’ al-D¯n S¯ m came to Firuzkuh ı a ı a from his territory of Sanga and gave orders for the construction of strong fortresses in Ghur. ı against his brother Bahr¯ m Shah.e. 1949. Bahr¯ m Shah alerted the troops of Ghazna and Hindustan. Qutb al-D¯n had once supported the previous ruler in Ghazna. and at Bust a ı he destroyed the palaces and buildings of the Mahmudi (i. but he was poisoned there. The two armies met a and the Ghurids employed their defence tactics of the karw¯ b (a screen made of raw bula lock hides with both sides stuffed with cotton and used as a protective wall). and the army of Ghazna was routed. 44–5. disappeared in a bloodbath. while Sayf al-D¯n S¯ r¯ made Istiya his capital. whose moral support added to his prestige. c Al¯ ’ al-D¯n a ı Husayn had imprisoned the two brothers. entrusted Ghur to his brother c Al¯ ’ a ı a a al-D¯n Husayn. also of the Shansab¯ n¯ family. Gharchistan and the mountain tracts of Herat. a 11 186 Copyrights . He founded Firuzkuh and built a fortress there. The stratagem worked: Bahr¯ m Shah’s son Dawlat Shah was killed. The latter. however. she was the mother of the ı a ı later sultans Ghiy¯ th al-D¯n Muhammad and Muc izz al-D¯n Muhammad.

ı Two years later. in 1175. The Oghuz Maliks of Kirman also submitted to him. Ghiy¯ th al-D¯n then dispatched exploratory raiding parties to Kabul. Ghur was now firmly in the hands of Ghiy¯ th al-D¯n. In 1200 Merv was taken and Malik Nas¯r al-D¯n a ı ı ı Muhammad Kharnak installed there. and when Sayf al-D¯n died.during which Muc izz al-D¯n defeated Sult¯ n Sh¯ h. which led to the rout of the Khwarazm 187 Copyrights . one on the banks of the River Murghab. the region a ı of Kandahar) to him.e. On Ghiy¯ th al-D¯n’s accession to the throne in Firuzkuh in 1163. On Tekish’s death in 1200. also conquering Pushang. However. After the death of T¯ j al-D¯n Yildiz. a a ı military slave of the Seljuq Sultan Sanjar. Ghazna was recovered in 1173. the armies of Ghur and Ghazna advanced to Herat and occupied it. the leaders and notables of Herat invited Ghiy¯ th a al-D¯n. Later. who eventually allowed him to return to his principality of Bamiyan. When Muc izz al-D¯n a ı ı returned from campaigns in Sistan. Abu ’l-c Abb¯ s. Sistan) became his vassal. who then a ı extended his power southwards into Zamin-Dawar. and the latter established himself there also. who was supported by the refractory elea ments of Ghur. Sarakhs was assigned to T¯ j al-D¯n Zangi. who had reached his court after having been driven a a out of his lands by his brother. Ghiy¯ th al-D¯n a ı placed Muc izz al-D¯n on the throne of Ghazna and himself returned to Firuzkuh. His death strengthened Ghiy¯ th al-D¯n’s position. Ghiy¯ th al-D¯n was at the height of his prestige when he became involved with the a ı Khwarazmian claimant Sult¯ n Sh¯ h. Ghurid control was now extended over much of Khurasan and the sultan’s name was pronounced from the pulpits and inscribed on the coinage there. but he was survived for a ı four more years by his brother Muc izz al-D¯n.ISBN 978-92-3-103467-1 Contents The apogee of the Ghurid sultanate Ghuzz). The conflict between the Ghurids and members of the Khwarazm Shah’s family went on for several months. son of Ab¯ ı a ı u c Al¯ ı and son-in-law of Ghiy¯ th al-D¯n. Ghiy¯ th al-D¯n ı a a a ı and Muc izz al-D¯n occupied Nishapur and assigned it to Malik Diy¯ ’ al-D¯n.e. a ı Zabul and Ghazna. Malik Fakhr al-D¯n Mas ¯ ı Ghiy¯ th al-D¯n died in 1202 aged 63 and was buried in Herat. but then his uncle Malik a ı c ud coveted the throne of Firuzkuh. by driving him to Lahore. These successes so enhanced Ghiy¯ th al-D¯n’s prestige a ı that the Nasrid Malik of Nimruz (i. the amirs and Maliks of Ghur and Gharchistan gave ı their allegiance to him. Muc izz al-D¯n was a ı ı entrusted with the territories of Istiyan and Kajuran. which the Oghuz had wrested from the last Ghaznavid ruler Khusraw Malik (1160–86). Ghiy¯ th al-D¯n made over Teginabad (i. The latter had won two historic battles in ı 1192. the son of a ı c ud. the Khwarazm Shah Tekish. he married a daughter of Sulı tan c Al¯ ’ al-D¯n Husayn in order to consolidate his family position. The two brothers lost no time in devising a stratagem to kill their rival. he was unable to achieve Fakhr al-D¯n Mas ¯ ı military dominance over the two brothers.

Thereafter Muc izz al-D¯n ı changed his plans and decided upon a thrust through Panjab. see Habib and Nizami (eds. and the whole of the Siwalik territory was brought under control. like a HansI. and the second at Tara’in in Panjab. and in a bata a tle fought at Tara’in in 1191. but Muc izz al-D¯n dispatched a relieving force. He was treacherously put to death by the Ghurids. now followed. Muc izz al-D¯n was utterly defeated and seriously wounded. The conquest of Lahore was completed in 1186 after three successive expeditions and Khusraw Malik was induced. thereby ending some two centuries of Ghaznavid power. ı A Khalaj soldier rescued him from the battlefield and helped him to reach Ghazna. were occupied and garrisoned. This time he defeated his Ch¯ hamana adversary. who ruled the territory extending from Ajmer a to Delhi. a All the strategic areas which provided the Ghurids with a springboard into India were now in the hands of Muc izz al-D¯n. Govinda R¯ ja was killed and Prithvi R¯ ja captured. The Ghurid conquests now extended as far as the frontiers of Kashmir. however. Bh¯ma Deva retreated to Gujarat. The Ghurid commander Qutb al-D¯n Aybak was besieged in Ajmer for several ı months. After making preparations extending Mu ı over a whole year. ı ı but Aybak pursued him towards Nahrwala and routed his forces. ı In 1196 Bh¯ma Deva. who had a formidable army. pp. 1970. Bh¯ma Deva managed to ı escape. He defeated the Ghurid forces at Kayadra near Mount Abu and made their retreat extremely difficult. 132–90. endeavoured to retrieve Ajmer from Ghurid ı control. the ruler of Nahrwala. Kuhram and Sarsuti. The victory For the Indian campaigns of the Ghurids. In 1182 Muc izz al-D¯n marched against Daybul in Sind and conquered the whole area up to the sea coast. The ı Ch¯ hamana ruler Prithvi R¯ ja appeared there to recover the fortress. which opened the gates of northern India for the Ghurid armies. 75–88. he returned with a force of 120. the entire region was now under the control of Muc izz al-D¯n. Nizami.000 cavalry. while Prithvi R¯ ja invested the fortress of Bhatinda and recaptured it after 13-months’ siege.ISBN 978-92-3-103467-1 Contents The apogee of the Ghurid sultanate Shah. Khusraw Malik. In 1191 Muc izz al-D¯n besieged and captured Bhatinda. ı the Sumera ruler there acknowledged his suzerainty. He then occupied Uchch and in 1178 led an army into Gujarat against the Hindu ruler of Nahrwala (the Anhilv¯ da of a Indian geography). under the protection of a treaty.12 a c izz al-D¯n refused to take this defeat as final. In 1176 Peshawar was taken. From Peshawar to Hansi. but thousands of his soldiers were put to the sword or taken prisoner. along with his son Bahr¯ m Shah. so that the a a a Ch¯ hamana kingdom now lay at the Ghurid ruler’s feet. to surrender.). Important military points. 12 188 Copyrights . 1961. ı A confrontation with the Ch¯ hamanas. which had been in the hands of the last Ghaznavid sultan. pp. The Ghurid incursions into India had begun in 1175 when Muc izz al-D¯n marched ı towards Multan and overthrew the renascent Carmathians there.

Malik Fakhr al-D¯n Masc ud. but he fell ill and died. Two other Ghurid generals. but he then was able to establish his own a ı authority in India when it became apparent that the unity of the Ghurid empire had been irretrievably shattered by the Khwarazm Shahs. so that Ghazna became detached from the Ghurid possessions. Jarum. Aybak was formally invested with viceregal powers in 1206 and was appointed wal¯ al-c ahd (heir ı apparent) by his master. the ı latter’s son Shams al-D¯n Muhammad established his authority in Balkh. 189 Copyrights . c Al¯ ’ al-D¯n Jah¯ n-S¯ z a ı a u ¯ installed his eldest brother. played a ı a ı a significant role in the extension of Ghurid authority in India. Fakhr al-D¯n al-R¯ z¯. The Bamiyan amirate The Shansab¯ n¯s established their control over Tukharistan and the mountain tracts of a ı Bamiyan soon after their successes in Ghazna. For some three years he had to content himself with ı the positions of Malik and sip¯ hs¯ l¯ r (commander-in-chief). there in 1145. Bah¯ ’ al-D¯n S¯ m became the focus of Shansab¯ n¯ hopes. almost simultaneously with the assassination of 13 Epigraphica Indo-Moslemica. In 1197 Aybak conquered Badaon and in 1199–1200 Malwa. Ghazna and Bamiyan. T¯ j al-D¯n Yildiz and N¯ sir al-D¯n Qub¯ cha – now rose to prominence. Emboldened by his victories. the famed ı a ı Muslim philosopher. invited him to Ghazna. According to the official Ghurid historian Fakhr-i Mudabbir. They ı a ı a ı a speedily quarrelled among themselves. As noted above. The ruler of Gwalior accepted his suzerainty. the Turkish slave commander Bah¯ ’ al-D¯n Toghrïl and Muhammad Bakhtiy¯ r Khalj¯. 2. His son Bah¯ ’ al-D¯n S¯ m. Toghrïl consolidated the possessions of Gwalior and Bayana.ISBN 978-92-3-103467-1 Contents The Bamiyan amirate at Tara’in was a major triumph for the Ghurids in India. Chaghaniyan. he pushed ahead towards the Himalayas and Tibet. Muc izz al-D¯n. who now looked upon him as their head. silver and precious stones. but this proved a disaster in his otherwise successful career. was highly respected by scholars and literati alike. Muc izz al-D¯n was assassinated in India in 1206 and his Turkish slave generals – Qutb ı al-D¯n Aybak. Their general Aybak occupied Meerut. Soon afterwards Muc izz al-D¯n again came to India and ı conquered Thankar and Vijayamandirgarh. who succeeded him in ı a ı a 1192. 1911–12. and the Maliks a ı a a ı and amirs of Ghur. while Muhammad Bakhtiy¯ r Khalj¯ supplanted the a ı Gahadavala chiefs and carried the Ghurid banners into Bihar and Bengal. acquiring from Ghiy¯ th ala D¯n the title of sultan for himself also. Qur’anic commentator and theologian. p. ı Wakhsh. Baran and Delhi in 1192. however. was associated with his court for many years. Subsequently. Badakhshan and the hill tracts of Shughnan.13 at first clinging loyally to a aa his background of service to the Shansab¯ n¯s. this region was known for its treasures and its mines of gold.

who also coveted the province and who. In 1190–1. This was to be the most powerful state in northern India until 1526.ISBN 978-92-3-103467-1 Contents The Ghurid sultanate as a world power Sultan Muc izz al-D¯n in 1206. with ı varying degrees of success. p. 1968. The fabulous treasures of Ghazna were divided between the two brothers. p. Sultan c Al¯ ’ al-D¯n Muhammad Khwarazm Shah marched a ı against Jal¯ l al-D¯n and had him put to death in 1215. . Ibid. the Oghuz. the Hindu Chalukyas and Ch¯ hamanas. so the latter for a while controlled the whole of Khurasan. noted above. The Ghurid sultanate as a world power At the end of the twelfth century and the beginning of the thirteenth. Ghiy¯ th al-D¯n sought a ı the Khwarazm Shah. they quarrelled over the possession of Bamiyan. 339. the sons of Bah¯ ’ a ı a ı a al-D¯n S¯ m. the Khwarazm Shahs. The Ghurid army commanders invited c Al¯ ’ al-D¯n and Jal¯ l al-D¯n. to Ghazna in order to occupy the throne. among others – taking full advantage of the decline of the Seljuqs and the Ghaznavids. ‘the brothers Ghiy¯ th al-D¯n and Shih¯ b a ı a al-D¯n . but during the following years. Ghurid ambitions in Khurasan were blocked by the Khwarazmians. Finally. Barthold rightly observes that.. with a number of powers – the Ghaznavids. Sult¯ n Sh¯ h a a died the following year and his possessions in northern Khurasan were annexed by Tekish. created a political vacuum that the Khwarazm Shahs and the Ghurids struggled to fill. they struggled hard. 190 Copyrights .15 When Ghurid power in its own homelands declined. when B¯ bur replaced it by the Mughal empire (see below. 338. Shansab¯ n¯ fortunes in their own homelands ı a ı began to wane. in the long run. their Indian acquisitions flourished and paved the way for the emergence of the Delhi Sultanate. His advance into western Iran 14 15 Barthold. a and the Khokars. Chapter 14). Tekish’s help against the latter’s rival Sult¯ n Sh¯ h. Following the death of Seljuq Sanjar in 1157. the Kara Khitay. Sult¯ n Sh¯ h and his a a a a Turkish ally Toghrïl of Herat were defeated and Herat was annexed to Ghur. Thereafter. raised their kingdom to the rank of a world power’. but the Ghurids a a had to deal single-handed with Sult¯ n Sh¯ h. however. but ultimately unsuccessfully. thus extinguishing the Ghurid a ı dynasty in its homelands of Afghanistan. Jal¯ l al-D¯n placed his brother on the ı a a ı throne and himself returned to Bamiyan. Thus Ghurid a Dehli became the repository of the Muslim culture of Central Asia. for the control of Khurasan. . the Ghurid state extended from Herat in Afghanistan to Lakhnawti in Bengal and touched the borders of Tibet and Kashmir. the Seljuqs. The decline of the Seljuqs and the Ghaznavids. could bring greater military resources to bear in the struggle.14 They had to deal.

who sent emissaries to the Ghurid sultan urging immediate war against the Khwarazm Shahs. stretching from Herat in Afghanistan to 191 Copyrights . a ı In retaliation Muc izz al-D¯n invaded Khwarazm and besieged the capital of c Al¯ ’ al-D¯n ı a ı Muhammad. The Ghurids.ISBN 978-92-3-103467-1 Contents The political and social organization worried the c Abbasid caliph. was plundered and all Khurasan was brought temporarily under Ghurid control. the ruler of Bamiyan. Muc izz al-D¯n did not lose ı heart. Kuhistan. but had to retreat. a few years later. The Kara Khitay pursued him and inflicted a crushing defeat on the banks of the Oxus near Andkhud (modern Andkhoy) in 1204. defeated the Ghurid army besieging Merv and relieved the city. initially organized on a patriarchal basis in an inaccessible mountain region. The death of Muc izz al-D¯n heralded the end. He ordered his kinsman. a stronghold of the Ismac ilis. his enterprise in western Iran was aborted and his son c Al¯ ’ al-D¯n Muhammad succeeded a ı to power in Khwarazm. but he could not undertake this campaign as he was assassinated in 1206 at Damyak. anxious for peace with the Ghurids so that he could combat the threat from the steppes of the Kara Khitay (see below. Chapter 11). They occupied Herat and other towns. Muc izz al-D¯n ı managed to reach his capital Firuzkuh safely. Not long afterwards. of his Ghurid empire ı which had spanned the Hindu Kush. a ı u When Mahm¯ d died. who now retained only Herat and Balkh of their conquests. his nephew and successor at Ghur. the Shansab¯ n¯ lands were absorbed into the Khwarazmian empire. Yildiz. reaching as far as Gurgan and Bistam. ı was driven out of Ghazna. The political and social organization of the Ghurid state The Ghurid political authority. u a ı and the dissolution of Ghurid power was complete when Muc izz al-D¯n’s governor. were anxious to recover Khurasan. Merv. slowly acquired some of the features of a state and briefly became one of the greatest empires of the Islamic Middle Ages. to prepare for the campaign and to arrange the construction of a bridge over the Oxus. while on his way back to Ghazna. had to acknowledge the suzerainty of the Khwarazm Shah. for their part. The opportunity came in 1200 when Tekish died. This success proved to be short-lived: c Al¯ ’ al-D¯n Muhammad recovered Nishapur and a ı other Ghurid acquisitions. In 1201 Ghurid troops entered Khurasan and captured Nishapur. but c Al¯ ’ al-D¯n Muhammad a ı took advantage of Muc izz al-D¯n’s brief absence from Herat due to the death of his brother ı Ghiy¯ th al-D¯n in 1202. and Herat came under his control in 1201. Ghiy¯ th al-D¯n Mahm¯ d. but Andkhud was a disaster for the Ghurids. He was. Sarakhs and Tus. and was planning a full-scale invasion of Transoxania when developments in Panjab attracted his attention. however.

though the eldest of the a ı ı seven brothers. Its diversity at the height of its power is an interesting sociological phenomenon.ISBN 978-92-3-103467-1 Contents The political and social organization western Bengal in India. and one in the warm region of Zamin-Dawar was adopted for this purpose. 185–7. was not allowed to occupy the throne of Ghur because his mother was of Turkish origin. Malik Fakhr al-D¯n Masc ud. The Ghurids. 192 Copyrights . the Ghazna region had for two centuries nurtured the traditions of the Turco-Iranian monarchy. The two brothers Ghiy¯ th al-D¯n and Muc izz al-D¯n simultaneously a ı ı enjoyed the title of sultan. from Ghur to Lakhnawti. all these acts of recognition enhanced the sultan’s prestige. where the institution of monarchy had earlier taken a new shape under the Ghaznavid Sultan Mahm¯ d. under the over-lordship of a leading member of the family. Thus it was in early thirteenth-century Lahore that the littérateurs Muhammad c Awf¯ and Fakhr-i Mudı abbir worked. comprised a multiplicity of cultural traditions. however. who ı was known as al-sult¯ n al-ac zam (Supreme Sultan). the Ghurids’ Indian acquisitions became the repositories of their cultural heritage. After Ghiy¯ th al-D¯n’s death. The idea of a capital could arise only when some sort of integration had been effected among the tribal pockets of power and when the network of castles and towers had acquired a level of administrative cohesion. The extension of authority beyond Ghur necessitated the creation of a winter capital. 1970. Like other Sunni powers of the eastern Islamic world. with their political skill. and Hindustan was under a decentralized feudal system of government. The Firuzkuh area was essentially patriarchal. The Shansab¯ n¯ amirs shared political power ı a a ı and often worked in collaboration. The rise of the Kara Khitay in Transoxania and the Oghuz of Khurasan added a new dimension to the situation. the Ghurids.16 Thus the Ghurid empire. with strong tribal traditions. thought it expedient to establish contact with the c Abbasid court a ı and receive further confirmation of their authority. Muc izz a a ı al-D¯n came to be called al-sult¯ n al-ac zam. ethnic considerations and the exigencies of the situation all influenced ¯ Shansab¯ n¯ principles of succession. the 16 Habib and Nizami (eds. and Muc izz al-D¯n accepted the seniority of his brother. pp. The title of sultan was assumed by Amir S¯ r¯ after his accession to the throne uı of Ghazna. Tribal traditions. The usual titles in Ghur had been the modest ones of amir u and Malik. used this cultural situation to their advantage so that when the Mongols devastated Central and Western Asia. beginning with Sultan Ghiy¯ th al-D¯n.). That the vassal–master relationship was frequently under strain reveals. The fact that Firuzkuh only emerged as a Ghurid capital in the time of Qutb al-D¯n Muhammad shows the protracted nature of efforts necessary ı for this. Al-Mustad¯’ (1170–80) and al-N¯ sir ı a (1180–1225) both granted robes of honour to Ghiy¯ th al-D¯n and the imperial nawbat (mila ı itary band salute) was introduced five times a day.

and when the c Abbasid caliph granted a mansh¯ r (patent of authority) to Iltutmish. 193 Copyrights . With all these forces. 1961. the legacy of Mu ı Iltutmish. At a time when political loyalties were frequently opportunistic. Afghanistan. hence they had to be supplemented by purchasing Turkish military slaves. dynamic implantation of Islamic political and military control in the Indus–Ganges plains 17 18 See Nizami. the system of vassalage ensured some sort of political collaboration. They recast Ghurid political traditions in the light of the Indian situation. The vassals were expected to pay regular tribute and inscribe the name of the suzerain on the coins.17 The Turkish military slave Qutb al-D¯n Aybak showed respect for legal forms and tradiı tion when he waited for a letter of manumission from Ghiy¯ th al-D¯n Mahm¯ d. firmly demonstrated that they were not prepared to share political authority with anybody and stood for a centralized power in northern India. However. Militarily. Both Aybak and another commander after him. 128–31. 1961. p.18 Second. they were not able to sustain prolonged warfare in both spheres of action. In the long run. they had iron and horses in abundance. if not loyalty. who could call upon vast reserves of Turkish manpower from the steppes around Khwarazm and beyond. but their commanders. the institution of the iqt¯ c (revenue assignment) developed in India and a helped the integration of feudal units into a central organization. the sultans chose to fight on two fronts. the Ghurid possessions in India achieved recogu nition as an independent political entity. and in the second sphere. presumably stemming ultimately from the Inner Asian steppes. otherwise. successfully laid the foundations of the first large-scale. pp. one in northern India and the other in Khurasan and Central Asia. as epigoni of the Ghurid sultans. the Ghurids had certain advantages. Later. Nizami. the Ghurid sultans could diss pose of a nucleus of bellicose Ghuri and Khalji tribesmen from the core of their empire. on whom a ı u c izz al-D¯n had devolved. however. but subject to himself.ISBN 978-92-3-103467-1 Contents The political and social organization fragile nature of the system. 82. they were at a numerical disadvantage compared with their enemies the Khwarazm Shahs. they exercised all authority in their territories. as noted above. Their numbers were limited. The Ghaznavids appreciated their production of arms and the Indians hailed them as a´vapatis (Lords of the Horse). the sultans were able to make headway in northern India against the strenuous resistance of Rajput and other military elements in the armies of the Indian princes. The administrative arrangements visualized by Muc izz al-D¯n for his Indian acquisitions seem to have comı prised three or four local commanders who were independent of each other. Hence the Ghurids failed to make permanent conquests in Khurasan and eventually lost even their heartland of Ghur to the Khwarazm Shahs. First.

It was contact with Ghazna.). but when Ghazna came under Ghurid control. Malik c Abb¯ s built numerous a fortress-like villages in Ghur. Tajiks of various kinds and also locally recruited Indian soldiers. constructed in 1165–76. pp. The vizier was the head of the civil administration. including a q¯ d¯ for the army. so that the army of Qutb al-D¯n Aybak in India ı comprised Turks. The am¯r-i a ı u ı a ı shik¯ r was the chief huntsman.ISBN 978-92-3-103467-1 Contents Cultural developments of northern India. the hub of the intellectual world on the eastern fringes of Islam. the office of wak¯l-i d¯ r is also mentioned. Chapter 14). including mosques and madrasas. Gharchistan a ı a and Herat. with numerous subordinate q¯ d¯s. The a u most important officer of the household was the am¯r-i h¯ jib. have recently been unearthed by archaeologists in Gharchistan. 194 Copyrights . the master of ceremonies at ı a court who conducted notables and officials to the royal presence. keeping strategic needs in view. The q¯ d¯ al-qud¯ t (supreme judge) was the a ı a head of the judiciary. and in course of time they became the linchpin of post-Ghurid organization in India. and in India the actual organization a aa of the army and its commissariat was the responsibility of the c arid-i mam¯ lik. Thus in India the Ghurid. a ı a ı In India the office of sadr-i jah¯ n (or sadr al-sud¯ r) looked after religious affairs. The institution of the slave household assumed importance under Muc izz al-D¯n. Bah¯ ’ al-D¯n S¯ m erected strong fortresses in Ghur. Qutb al-D¯n Muhammad founded the fortress and city of ı Firuzkuh. 194–7. it was natural that the administrative institutions as developed by the Ghaznavids should be adopted. It ‘exhibits numerous parallels to many structures of the 19 Habib and Nizami (eds. the Ghurid armies were multi-ethnic. who ı treated his slaves as his sons. which initiated the Ghurids into the cultural life of Iran and Central Asia. As noted a ¯ above. an achievement of lasting significance for the history of the subcontinent (see below. The a ı remains of a Ghurid madrasa. The sar-i j¯ nd¯ r commanded the king’s bodyguards. the Garmsir. Cultural developments Ghur lacked any urban life until a comparatively late date. Amir Ab¯ c Al¯ ordered the construction of u ı many public buildings. A certain number of features of the Seljuq administrative system were also taken over.19 Government machinery in the earlier period was confined to the management of essential government functions. The a a a sip¯ hs¯ l¯ r was the supreme commander of the forces. Ghaznavid and indigenous Indian traditions coexisted. 1970. He had no judicial functions but had a supervisory jurisdiction over the army. During the time of Sultan N¯ sir al-D¯n Mahm¯ d of Delhi. A castle constructed at Wadawajzd by Sultan Ghiy¯ th al-D¯n was so impregnable that it survived the onslaught of the Mongols.

and during the course of the twelfth century. extended his patronage to men of culture and learning. Initially. the Shansab¯ n¯s started to abandon their patronage of the a ı Karr¯ miyya. Ghazna and Sistan’. a ı a a The religious life of the people of Ghur passed through interesting phases: as noted above. while during the time a a of Ghiy¯ th al-D¯n he wrote another treatise entitled Lat¯ ’if-i Ghiy¯ thiyya. the pietistic sect of the Karr¯ miyya was influential for many years. Herat and other centres of Muslim culture u slowly changed the religious complexion of Ghur and its adjoining territories. both in the form of scholars and of books. a ı a who was interested in astrology and raised a lofty castle with twelve towers for his astrological studies. Fakhr al-D¯n al-R¯ z¯ was associated with Bah¯ ’ al-D¯n S¯ m’s court for ı a ı a ı a a considerable time and wrote his Ris¯ la-yi Bah¯ ’iyya in his name. ı The Ghurids destroyed Ghazna. Bah¯ ’ al-D¯n a ı a ı a ı S¯ m was respected for his patronage of scholars: according to the Ghurid historian J¯ zj¯ n¯. In the end. Central Asia. His son. 1971. 85. See Nizami. p. but in India their role was more constructive.20 The discovery by André Maricq in 1957 at Jam in Ghur of what are possibly the minaret and citadel of Firuzkuh has also thrown valuable light on Ghurid architectural traditions. There were a number of encounters with the Karr¯ miyya leaders.21 The intellectual heritage of Central Asia. The earliest Shansab¯ n¯ ruler to take any interest in academic pursuits was Amir c Abb¯ s.ISBN 978-92-3-103467-1 Contents Cultural developments twelfth century in western Khurasan. a u a ı ‘there was no Muslim sovereign who was a greater cherisher of learned men’. while Muc izz al-D¯n a ı a ı ı became a Hanaf¯. reached India during this period and flourished under Ghurid patronage. Thus the Ghurid occupation of northern India had a social and cultural significance in the broader framework of Central Asian history. Ghiy¯ th al-D¯n adopted the Sh¯ fic¯ school of law. 53–68. Sultan Ghiy¯ th al-D¯n founded many institutions for the Sh¯ fic¯s. But contact with Ghazna. 1961. 20 21 See Casimer and Glatzer. 195 Copyrights . Amir Muhammad. the fola lowers of the Karr¯ miyya had received encouragement in Khurasan from Sebüktegin and a Mahm¯ d of Ghazna. who were a a strongly opposed to Fakhr al-D¯n al-R¯ z¯ but who had a considerable popular following in ı a ı Ghur. As mentioned previously. pp.

THE UIGHUR KINGDOM OF KOCHO . THE TANGUT HSI HSIA KINGDOM (982–1227) . THE KYRGYZ AND THE TANGUT (EIGHTH TO THE THIRTEENTH CENTURY)* D. . . 196 206 212 Part One THE UIGHURS IN MONGOLIA AND THE KYRGYZ (D. Sinor) The first mention of the Uighurs (under the name Hui-ho and various graphic variants) appears in Chinese sources and refers to the early seventh century a. . . . . the dominant power on the steppe from * See Map 2. . . . The Chinese viewed the Uighurs as the descendants of the Hsiung-nu. . . . . . . I. . . . . . . . Geng Shimin and Y.d. . when this people lived on the banks of the Selenga river and was subjected to the Türks. . . . . . . . . . . . .ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ 9 THE UIGHURS. . . . . . . . . . . . . . . . Kychanov Contents THE UIGHURS IN MONGOLIA AND THE KYRGYZ . 196 Copyrights . . . . Sinor. .

the Uighurs would be indistinguishable from the Türks. no permanent dwellings. also known as Bayan Chur. made a point 1 Chavannes. it was the turn of the Karluk to be ousted. defeated by the troops of the Chinese emperor T’ai-tsung. but they were still a force to be reckoned with and remained hostile to the Uighurs. as for his father. leaving the reins of government to his sister who. lived within the borders and under the sway of the Eastern Türk empire. It is thus not surprising that the description given of the Uighurs by the Chin T’ang-shu [Old T’ang Annals] follows the traditional pattern of characterization of the steppe peoples: They have no chiefs. who relied on them ‘to govern the wild northern regions’. Shortly afterwards. since the Chinese sources tend to ascribe Hsiung-nu origin to any of the numerous steppe peoples with whom the Chinese had contacts over succeeding centuries.1 Around 630. at a time when Türk power was on the wane.ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ about 200 b. and claimed legitimacy by linking themselves with Bumin Kaghan. their people. Although the Chinese characters used to write his name are identical with those transcribing the Buddhist term boddhisatva. he was murdered in 648. In 744 the Karluk. the Third Türk empire. to a. but there is no way to substantiate it. Kutlugh Bilge Kül Kaghan (744–7). On P’u-sa’s death his son T’u-mi-tu assumed the title of Kaghan. They are excellent riders and archers and most rapacious. Brigandage is their livelihood. 197 Copyrights . and certainly trustworthy. under the leadership of P’u-sa the Uighurs became more assertive. together with other tribes of the T’iêh-le confederation to which they belonged. The action undertaken by the three peoples should be labelled ‘revolt’ rather than ‘invasion’. they wander in search of water and pasture. The victorious coalition was first headed by the Basmil Alp Bilge Kaghan. The Uighur state in Mongolia was. Its first ruler. Türks and Uighurs spoke the same language. in fact. is the information that the Uighurs were subjects of the Türks. there is no other indication that he or his family were Buddhists. but he was soon eliminated by an Uighur–Karluk joint action. The difference separating Türks from Uighurs must have been purely political. As is clearly shown by the inscriptions commemorating the deeds of their great men. Basmil and Uighur tribes formed an alliance to overthrow Türk rule.d. His son P’o-juan (for him. 48. This may indeed have been the historical truth. disappears from the stage. used the same runic-type script and lived within the same geographic boundaries. the founder of the First Türk empire. 87. and his son and successor El-Etmish Bilge Kaghan (747–59).c. we have names only in Chinese transcriptions) died some time between 661 and 663. Nothing is said about the activities of the four Uighur chiefs whose names are known for the period between 680 and 741. These men are of an evil disposition and cruel. Were it not for their name. 1903. The first Uighur rulers considered themselves continuers of the Türk tradition. p. More specific.

The Shine-usu inscription also reports that El-Etmish Bilge Kaghan entrusted some Chinese and Sogdians with the building at the Selenga river of a city called Bay Balïq. though he does not give its name. the town itself had twelve huge iron gates and must have been a bustling place. Bahr. which had fallen into the hand of the rebellious An Lu-shan. Bögüs Kaghan 2 On Tam¯m b. fixed place of residence. Some sixty years after the decision to build Bay Balïq had been taken. it was because he could rely on the Uighurs. Tamim b. A year later. It is to be observed that the Uighurs now held a position of vantage in regard to the Chinese empire that none of the other nomadic powers of Mongolia ever occupied. for reasons of prestige. The story of their behaviour in China. Bahr’s journey. ‘The town is populous and thickly crowded and has markets and various trades. which they were supposed to help. was described in some detail by the Arab traveller Tam¯m b. One of these. both of the two dominant foreign influences – Chinese and Sogdian – must have favoured this development. in recognition of his services. The city of the Uighur Kaghan. ı who visited it. see Minorsky. the Kaghan might have felt the need for an official. We might pause here for a moment to direct our attention to a process of urbanization gaining strength among the Uighurs. In his subsequent actions.’ writes Tam¯m b. probably in 821.2 Located within a conurbation which included cultivated tracts. If the emperor was able to cope with his internal foes. 1948. possibly the central figure in Uighur history. Following in his father’s footsteps. ı 198 Copyrights . It is usually referred to by its recent Mongol name. he gave substantial aid to the Chinese. Without any doubt. the most important event of Bögü Kaghan’s stay in Lo-yang was his conversion by Sogdian religious to Manichaeism. but. Uighur troops were instrumental in the T’ang reconquest in 757 of Lo-yang. Its foundation probably goes back to the times of the Türk empire. daughter of Emperor Su-tsung. Karabalghasun. though admittedly a luxurious one. One cannot establish with any certainty what prompted the Uighur rulers to engage in the building of cities. The majority of its inhabitants were Manichaeans. From the marriage of El-Etmish Bilge Kaghan and Princess Ning-kuo issued Bögü Kaghan (759–79). was the Kaghan’s residence. though at a price: the devastation wrought upon the city by the unruly Uighur troops. Bahr would find the Kaghan’s ‘golden tent’ at a distance of some 30 km from Karabalghasun. is a miserable record of brutality and destruction. The Shine-usu inscription – written in Uighur in 759 or 760 and celebrating the deeds of El-Etmish Bilge Kaghan – mentions two Uighur cities. located at the confluence of the Orkhon and Balïklïg rivers. ı Bahr about the city. Of course. most likely Karabalghasun. He himself – so we are told – might have preferred to stay in a tent. the Kaghan received for his wife the Princess Ning-kuo.ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ of cultivating friendly relations with China. once more recovering on their behalf the city of Lo-yang in 762.

They were soon back.ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ displayed the zeal usually shown by recent converts. we the Elect and all the people living within the land rejoiced. self-appointed diplomats representing their own interests first of all. the Sogdians’ ‘property flourished and they accumulated a very large amount of capital’. or indeed the rank and file of a Turkic people of warriors who resented the arrogant meddling of a bunch of foreigners in the affairs of their state. When he remained impervious to the arguments put forward by his uncle Tun Bagha Tarkhan against such an adventurous undertaking: Tun Bagha became annoyed and attacked and killed him and. Mackerras. massacred nearly two thousand people from among the kaghan’s family. give orders. but the severe measures taken against the Sogdians produced only a temporary eclipse of their role. benefited both as long as the latter did not overstep the rules of prudence dictating that a parasite should not exploit its host to the point of death. I will follow your words and requests. lines 52–6. 1972. 199 Copyrights . p. Müller.’ Such an attitude might have justified the title zahan-i Mani (Emanation of Mani) given to Bögü Kaghan in a Pahlavi fragment. Following Tun Bagha’s coup d’état in 779. p. Commensalism presupposes a moderation in greed by the parties involved that was not always displayed by the Sogdians. most of the time. It should be remembered that. acting as intermediaries between Uighurs and Chinese. for the destruction of the host entails its own death. According to the Hsin T’ang-shu [New T’ang History]. The above-mentioned text attributes to the Kaghan the promise: ‘If you. Bögü Kaghan had fallen under the influence of Sogdians who were more interested in their own prosperity than in that of the state. his clique and the Sogdians.5 Uighurs and Sogdians had developed a commensalism that.4 but was unlikely to impress either the shamans who felt that their influence was being threatened. An Uighur Manichaean text gives a highly idealized picture of the enthusiasm with which the Uighurs are said to have accepted their ruler’s announcement of his conversion: At that time when the divine Bögü Kaghan had thus spoken. Ultimately. 8. 1929. some of them (one wonders whether these were the real culprits) had to pay dearly for their past actions. the Elect. It is impossible to describe this our joy. wheeling and dealing. The people told the story to one another and rejoiced.3 The most troublesome aspect of the Kaghan’s conversion was that it resulted in the Sogdians gaining overwhelming influence in matters of policy. although Sogdians were instrumental in the spread 3 4 5 See Bang and Gabain. they overplayed their hand by attempting to induce Bögü Kaghan to invade China. at the same time. 89. 1912.

but they did not recognize this. To obtain silk. 87. . and with this aim in view they were ready to send to war none other than the Türks. but it seems unlikely that the vast quantities obtained from the Chinese were absorbed by the internal market. 238–9. According to their own records.6 There is reason to think that. The Uighurs were ready to provide the mounts in exchange for silk – a conventional transaction. The horses were inferior. and they made use of both.000 per annum. 1972. They came again to the capital with 10. But they were not satisfied with supplying a genuine want.7 If we reckon 40 pieces of silk per horse. As with so many other features of Uighur political life. 177. they had recourse to what must be called forced trade. Jagchid. There is no evidence that under the Uighurs attempts were made to sell silk directly to Byzantium. It will be remembered that under the First Türk empire.000 of them.300 horses over a period of almost half a century. international trade was typically their principal field of activity. foisting on to the Chinese more horses than were needed by them and of lesser quality. for which there was a permanent demand among the Chinese military. . In most instances. they sought to sell several tens of thousands of horses . wanting by this means to shame them. 200 Copyrights . symbiosis with the Sogdians was inherited from the Türks.000 horses. The Emperor gave them [the Uighurs] generous presents. the silk delivered by the Chinese would have sufficed for the purchase of only 50. Every year. the burden was not as unbearable as the Chinese wanted the Uighurs to believe. though heavy. since under T’ai-tsung the number of horses to be imported officially was set at 10. The most marketable commodity produced by the Uighur economy was.000 pieces of silk to the Uighurs. but the emperor could not bear to place this burden on his people once again. the horse. 1969. the Sogdians attempted to secure for themselves the monopoly of the silk trade. Yet we know that trade was much more brisk. so he paid for only 6. the Chinese sources give only the number of silk ligatures paid to the Uighurs but rarely indicate the horse/silk ratio. weak and unusable.8 The discrepancy may be explained by the Chinese habit of being in arrears with the payments. p. 1989.012. of course. a practice greatly resented by the Uighurs. pp. According to Uighur reckoning in 6 7 8 Mackerras. The Hsin T’ang-shu gives the following picture of this pseudo-trade as practised under Emperor T’ai-tsung: The Uighurs took even greater advantage of their services to China by taking as a price forty pieces of silk for every horse they brought in as tribute.ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ of Manichaeism among the Uighurs. p. two ways were open for the Uighurs. between 780 and 829 the Chinese paid 2. Mackerras.

Traditionally. the visits of privileged Uighurs and Sogdians to the splendour of the T’ang court were counter-productive. and who was probably still a child on his accession to the throne. the Chinese owed them 1. It led to numerous conflicts and. they had to be obtained from or in China. At about this time. who ruled under the name or title Alp Kutlugh Bilge Kaghan (779–89) and did his best to remain on good terms with the Chinese.000 horses.000 members. Alp Kutlugh Bilge Kaghan died in 789. The two immediate successors of Alp Kutlugh Bilge Kaghan were murdered. Ibid.000 pieces of silk. whose regnal title was Kutlugh Bilge Kaghan (790–5). Let us now return to the reign of Tun Bagha Tarkhan. 221–38.ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ 781. A measure of stability returned only under the rule of A-ch’o.9 An unpleasant and by no means negligible concomitant of the horse–silk trade was the overbearing. their help was sorely needed in the quasi-permanent conflict between the T’ang and the Tibetans. Another way to satisfy the ‘insatiable greed’ of his entourage was to allow them to participate in the lavish embassies that were sent to the T’ang court with or without proper justification. either through loot or trade.10 some of them comprised more than 1. 9 10 Mackerras. arrogant. To some extent. but none of the coveted goods were home-produced. the Kh¯ t¯ n (consort) of four successive Kaghans. since Emperor Te-tsung (779–805) had no sympathy for the Uighurs.800. having been humiliated by them in his youth. pp. it left a lasting dislike of these greedy barbarians. 1972.. He is probably identical with the il ögäsi (Glory of the Land/Nation) appearing in a Uighur text. as a token of renewed confidence. among them the wives of the more important dignitaries. corresponding to the price of 53. His was not an easy task. but the princess remained among the Uighurs until her death in 808. there appeared on the scene of Uighur history a new dignitary called the ta-hsiang (Grand Minister) or ta-chiang-chün (Grand General) by the Chinese. Patient diplomacy and the advice of his counsellors slowly overcame the emperor’s hostility and. they whetted rather than satisfied the participants’ appetite for luxury goods. The jockeying for a place in these diplomatic missions must have been intense. p. 93. Te-tsung had good au reasons to make conciliatory gestures towards the Uighurs. among the officials as well as the people. the princess of Hsien-an was given in marriage to the Kaghan in 787. the Kaghan’s leadership was dependent on what he could deliver to his followers. 201 Copyrights . In less than 100 years – between 745 and 840–116 such embassies came to China on the pretext of ‘rendering tribute’. unruly behaviour of the Uighur and Sogdian merchants in China. It was to manifest itself to the detriment of the Uighurs and Sogdians once they ceased to be shielded by the might of the Uighur empire.

It was the view of Li Chiang. T’ai-ho was to stay among the Uighurs for some 22 years. contributed to the disintegration of the Uighur body politic. It might be that this was one of the reasons why the Chinese – deeply distrustful of the Sogdians – refused the Pao-yi Kaghan’s request for an imperial bride. at least under Kutlugh Bilge Kaghan. that the benefits of a marriage alliance with the Uighur Kaghan would amply justify such expenditure. and of his successor Ai tängridä qut bulmïsh alp külüg bilgä chang-hsin Kaghan (832–9). 1911–12. who had been engaged for twenty years in a struggle with the Uighurs and were this time led by the renegade Uighur general Külüg Bagha. bearing witness. on the other hand. on the flimsy pretext that they could not afford the expenses of such a wedding. p. It should not then come as a surprise that. is quite well documented. at the death of the youthful Kutlugh Bilge Kaghan. Exceptionally heavy snowfalls. which had ruled ever since the establishment of the Uighur empire. who – menaced by an attack of the Sha-t’o tribes and by a conspiracy engineered by one of his ministers – committed suicide.12 By the time the emperor ceded to persistent Uighur demands. Kün tängridä ulugh bulmïsh küchlüg bilga ch’ung-te Kaghan (821–4). Uighur fortunes had sunk very low. She became the wife successively of Ai tängridä qut bulmïsh alp bilgä chao-li Kaghan (824–32). 282. attacked and destroyed Karabalghasun. Mackerras. murdered by his entourage. The period of rule of Ai tängridä qut bulmïsh külüg bilgä pao-yi Kaghan (809–21). the il ögäsi ascended the throne under the grandiloquent regnal title of Ai tängridä ülüg bolmish alp qutlugh ulugh bilgä huai-hsin Kaghan (795–805 or 806). inter alia. The third princess to marry an Uighur ruler. 202 Copyrights . Princess T’ai-ho became the bride of the new Uighur ruler. if the Huai-hsin Kaghan indeed ruled until 808. the Uighur capital. effective power rested with the il ögäsi. president of the Ministry of Rites. the annual tax revenue of a large subprefecture of the south-east. the Kaghan had died and. The death of Kutlugh Bilge Kaghan spelled the end of the Yaghlakar dynasty.ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ There is clear evidence to show that. This sequence of events marks the end of the Uighur 11 12 Chavannes and Pelliot. finally. to a renaissance of Sogdian and Mani-chaean influence among the Uighurs. the Huai-hsin Kaghan (to use the short form of his name) belonged to the Ädiz clan. There is some doubt concerning the very existence of his successor who. 113. Uighur and Sogdian) inscription of Karabalghasun was erected. It was during his reign that the trilingual (Chinese. causing widespread famine. The rule of Ho-sa (839–40) was too short to allow him to receive an appointed name. 1972.11 The true cost of the marriage of a princess was estimated at 200.000 pieces of silk. might be a ‘ghost’ created by the confusion of our sources. p. a pawn in the complicated end-game of Sino-Uighur relations. He lost his life when the Kyrgyz.

’13 The fall of the Uighurs. 1939. white-faced and green-(or blue-)eyed. who had the support of thirteen tribes and in whom we must see the last legitimate Uighur ruler. seeking help from the Chinese who had never seen in the Uighurs anything but rapacious barbarians. with a dislike for dark hair and dark eyes. 300. the Kyrgyz were not considered descendants of the Hsiung-nu by the Chinese. This indication is of little help and has caused much confusion among superficial historians. exterminating them completely. p. ı ı Individuals with dark features were thought by the Kyrgyz to be the progeny of the renegade Chinese general Li-ling. confirms this description. fairly close to Türk and Uighur.c. in Maenchen-Helfen’s words. one of the earliest detailed mentions of the Kyrgyz (called Ch’ienkun at that time) refers to their defeat in c. One could then speculate that the Turkic element was brought into the process of Kyrgyz ethnogenesis by the Ting-ling. the Uighur (among other Turkic peoples) belonged. Although their language was Turkic. writing in the mid-eleventh century. summarized well the policy to follow: ‘Now that we have obtained the princess. The Persian historian Gard¯z¯. Li Te-yü. One of these was led by Ögä Kaghan (841–7). as we have seen. a distinguished civil servant of the T’ang. so that none remain to cause later calamities. ‘there is not the slightest evidence for attributing to the Ting-ling the characteristics of the white race which the T’ang-shu gives to the Ch’ienkun’. 83. Maenchen-Helfen. we should do battle with the Uighurs again. Two Uighur factions sought Chinese help. (Archaeological publications – based on the acceptance of the unjustified theory proposed by historians – usually attribute to the Ting-ling the Europoid 13 14 Drompp.ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ empire of Mongolia. so often praised by the Chinese as their staunchest ally. Probably the opposite is true since. the shan-yü Chich-chih.c. Chinese efforts were limited to repeated attempts to rescue Princess T’ai-ho. It was assumed that the Ting-ling constituted the ‘blond’ element among the Kyrgyz. defected to the nomads. Once she was safely back among her people. In fact. though mopping-up operations were to continue for some time. caused no regret in China. who in the first century b. redhaired. p. 49 b. the designation of a tribal confederation to which. 203 Copyrights . The Kyrgyz who put an end to the Uighur empire on the Orkhon represented a different type of civilization. There is a whiff of Shakespearian tragedy in the destinies of these men. at the hands of the Hsiung-nu ruler. their swords broken. The T’ang-shu remarks that the Ch’ien-kun – ancestors of the Kyrgyz called in T’ang times Hsia-ch’ia-ssu – were ‘mixed Ting-ling’. Unlike the Uighurs or the Türks. the Kyrgyz chapter of the T’ang-sku (217B) describes them as strong and tall people.14 There seems to be general agreement that Ting-ling is the Chinese rendering of the same name which later appears in the form of T’ieh-lê. 1986.

the Kyrgyz did not lacerate their faces.c. the pine trees grew so tall that an arrow could not reach their peaks. 1942. The title Kaghan came to be used only following the victory over the Uighurs. the Ch’ien-kun lived at a distance of 7. in the course of their early history. p. very different in their lifestyle from the ‘Hsiung-nu type’ steppe-dwelling pastoral nomads. 94B). Some aspects of their civilization clearly set the Kyrgyz apart from the rest of the TurcoMongol inhabitants of the steppe. Chinese information concerning Kyrgyz prowess in the manufacture of arms is confirmed by archaeological finds and also by petroglyphs on which the representation of plate armour is clearly visible. The description of their customs in T’ang times clearly shows that the Kyrgyz were a forest-dwelling people.–fifth century a. at others to Samarkand itself – but it is beyond 15 Minorsky.000 li to the west of the Hsiung-nu headquarters. According to the Han shu [History of the Former Han] (Ch. it is certain that their language contained non-Altaic (Samoyed or Palaeoasiatic) elements. in their forests. We are informed that.c. in the middle of the first century b. as is clearly shown by the clay death masks discovered. and the shamans were called by their Turkic name.) in the Yenisei valley was an amalgam of Europoids and Mongoloids. so that the Kyrgyz could use skis (mu ma. Their tribute to the Chinese consisted of pelts. They practised tattooing. and their pointed helmets are reminiscent of the ‘lion helmets’ used in T’ang China.ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ component. The Kyrgyz used caparisons to protect their horses. the Kyrgyz lived in huts covered with bark. or ‘wooden horse’) for the hunt. Thus. the original title of their ruler was a-je. Without doubt. such as the name of a special type of iron. tin and iron could be found in their land. 204 Copyrights . Also. when mourning. Their land was marshy in the summer and covered with deep snow in the winter.) The population of the Tashtïk culture (first century b. not in use by any known Inner Asian people. gam or kam. While it seems unlikely that the Kyrgyz adopted a Turkic language as late as the eighth century. and he notes that the Kyrgyz burn their dead. the Ch’ien-kun (as the Kyrgyz were then called) were located to the north-west of the Western Hsiung-nu and to the north of K’ang-chü. They were shamanists.d.15 Gold. 30. for instance (and the T’ang-shu makes a special point of this). when the cold was so severe that the rivers froze to half their depths. At the time when the Hsiung-nu shan-yü defeated them. The early twelfth-century geographic treatise of Marvaz¯ describes in some ı detail the doings of a shaman. It is also beyond doubt that the Mongoloid component of the Tashtïk population was superimposed upon the Europoid population which it had probably conquered. The location of K’ang-chü poses some problems – at some periods the name was applied to Sogdiana. the Kyrgyz moved from west to east. and the Kyrgyz were skilled in the manufacture of arms which they purveyed to the Türks in lieu of tribute. In the winter.

205 Copyrights . only China and the Eastern u ¯ Ocean were east of the Kyrgyz. The arrival of the Kitan and the withdrawal of the Kyrgyz from that region marks the end of Turkic preponderance in what was to become Mongolia. According to the anonymous Persian geography.17 From about 924 onwards. According to the T’ang-shu. and communications were made difficult and often cut off by the Türk or Uighur empires wedged between the two. It is difficult to assess with any degree of certainty to what extent the Kyrgyz actually ruled over the ancient land of the Uighurs.16 The distance separating the Kyrgyz from the Chinese made any contact tenuous. the Minusinsk basin.. namely those of Tuva. By then happily settled in their new country. Savinov distinguishes five cultural groups within the Kyrgyz empire. perhaps for lack of any contender. 982). and the Krasnoyarsk region.d. 16 17 Anon. 1984. Muslim historians tend to place the Kyrgyz in the northeastern extremity of the known world. 96. nominal Kyrgyz rule over Mongolia lasted for about a century. the Hud¯ d al-c alam [The Limits of the World] (a. Although. most probably. while to the north of them lay the ‘Uninhabited Land of the North where people cannot live on account of the intensity of the cold’. 1937. where was located their capital Kemjkath (uncertain reading). Savinov. ruler of the Kitan. somewhat to the north of the T’angperiod country of the Kyrgyz. the Gorno Altai. For demographic as well as economic reasons – they were not numerous enough and they were not a typical steppe people – they did not fill the vacuum left by the disappearance of the Uighur empire. This is evidenced by the offer made to the Uighurs of Kanchou by A-pao-chi (alias T’ai-tsu). the Kitan had effective control of the land that used to be the centre of the Uighur empire. east Kazakhstan.ISBN 978-92-3-103467-1 Contents THE UIGHURS AND THE KYRGYZ doubt that it lay far to the west and. caravans needed 40 days to cover the distance separating Karabalghasun from the Kyrgyz country. their power base remained in the Yenisei region. the Uighurs declined the offer. p. to return to their former homeland. in present-day Tuva.

The ruins of the ancient city of Gaochang. Gansu province. 860–1284). in 1026 to be conquered by the Tangut. maize and beans as well as cotton. The streams and rivers. stand 40 km east of the Turfan county administrative centre. was an important line of communication between East and West and had since ancient times been a key post on the Silk Route. with its imposing walls. Karashahr) and Qiuci (Kuci. Kuchar) areas. In the north of the area lies the T’ien Shan. Turfan became a prosperous oasis with a aı developed agriculture. The Yughur nationality in the vicinity of Jiuquan.ISBN 978-92-3-103467-1 Contents THE UIGHUR KINGDOM OF KOCHO Part Two THE UIGHUR KINGDOM OF KOCHO (Geng Shimin) After the destruction of the Uighur Khanate in 840. Another important branch (fifteen tribes) migrated westward to the area of Beshbalïk (in Chinese called Beiting. and the weak government of the Sung dynasty (960–1279). 206 Copyrights . its ruins are at Hubaozi in Jimsar county. producing wheat. originating from the Chinese ‘Gaochang’. with its snow-capped peaks such as Bogda and Qara-uchin. did not allow much attention to be paid to the Western Regions. are their present-day descendants). some tribes migrated west to Gansu. As early as the second century b.c. barley.. The Turfan region. crossed the T’ien Shan southward and occupied the Turfan basin where the Uighur kingdom of Kocho was established (c. Historical records concerning the Uighur kingdom of Kocho are very sparse. provided abundant water that was conducted to the fertile farmlands by underground aqueducts called by the Persian term k¯ r¯z. Xinjiang Uighur Autonomous Region) north of the T’ien Shan mountain range. refers to the city as well as to the area. where they established the Uighur kingdom of Ganzhou (later. The Uighur name ‘Kocho’. located in the north-eastern part of the Tarim basin. The Chinese records are fragmentary because the chaotic situation in China during the period of the Five Dynasties or Ten Kingdoms (907–60). Shortly afterwards the Uighurs expanded their power to include the Yanqi (Argi. Arab and Persian sources had little interest in a land that was not yet Islamic and the records written in Uighur were mostly destroyed after the introduction of Islam into the Tarim basin. formed by melting snow. rice.

The earliest identifiable inhabitants of the Turfan area were probably the Yüeh-chih (Juzhi). founded the Ju dynasty (493–640). Karashahr and Kucha. which lasted for nearly one and a half centuries. The capital has a circumference of 17–19 li and produces millet. but they were all recited in the native ethnic language. wheat. and all belong to the Sarvastivadin sect of Hinayana. . cut their hair short and wear turbans. cattle and camels can graze. Gansu. There are also many wild animals such as Asiatic wild ass. where large herds of horses. have had a developed economy and culture. those of Kucha using dialect B). There was also a substantial Sogdian population living in the area. gold.000 li [1 li = 500 m] from east to west and more than 600 li from south to north. The original inhabitants of Karashahr and Kucha also spoke Tokharian (those living in Karashahr speaking dialect A. Their music and dance are famous. pears. Hami melon (a kind of musk melon). and more than 5. From ancient times. two city-states on the northern edge of Tarim basin. the Chinese classics like The Book of Songs. iron. Mongolian gazelle and antelope. One of them named Jujia of Jincheng. 1): The Kuci state measures over 1.e. pomegranates. in the Turfan area the ‘barbarian’ script (i. peaches and apricots. but a few changes have been made. melon. . In the words of the Pei-shih [Annals of the Wei Dynasty] (Ch. and so on. large-headed sheep. There are more than 100 Buddhist temples. grapes. They use gold or silver coins and small copper coins as currency . the local script) as well as Chinese characters were used. there was a Turkic presence in the Turfan region.’ After the Uighurs moved into these three areas. there are vast tracts of excellent natural (alpine) pasturelands. They wear brocade or plain cloth. during the fifth–sixth centuries.ISBN 978-92-3-103467-1 Contents THE UIGHUR KINGDOM OF KOCHO grapes. The climate is mild and the manner of the people is polished. Chinese civilization had a great influence upon the local people. it seems that even before the Uighur immigration. copper. sheep. Because the Uighur and other Turkic groups enjoyed 207 Copyrights . The indigenous inhabitants of all these three areas were Europoids. 97). During the period of the Northern and Southern Dynasties (420–581). Their script originated in India. In schools. speaking a particular Indo-European language formerly called in the scholarly literature ‘Tokharian A’.000 monks and novices. The Chinese pilgrim Hsüan-tsang (600–40) gives a vivid description of Kucha in his famous Da Tang xi-yu-ji [Records of Travels to the Western Regions in Great T’ang] (Ch. According to Chinese sources. The Confucian Analects and The Book of Filial Piety were taught. yak. Judging from Turkic manuscripts dating from the eighth century. sesame. lead and tin are mined. ‘The people of the states west of Turfan all have deep-set eyes and high noses. a process of fusion of different ethnic groups began through intermarriage. The arrival of large numbers of Uighurs accelerated the Turkicization process. To the north of the T’ien Shan. rice. a large number of Chinese entered the Turfan area from inland China.

ülchi. Although both sides were Turkic. The idiqut of Kocho put up a determined resistance to the expansion of the Karakhanids. tarqan. until the thirteenth–fourteenth centuries the influence of Islam could not be felt beyond Kucha. Under the idiqut there were high-ranking officials such as nine ministers. pp. craftsmen and merchants. the Uighurs gradually gave up their nomadic life and turned to a settled. To foreign countries.18 The Manichaean and Buddhist monasteries also owned extensive farmlands. relations between the Karakhanids (c. who lived in the Beshbalïk area before the Uighur immigration. The sovereign of the Uighur kingdom of Kocho took the title idiqut ( < iduq qut. In the west. Kocho came under the rule of the Western Liao (1124–1211). the indigenous population was gradually Turkicized and the Uighur language triumphed over the native Tokharian language and became a kind of lingua franca in these areas. bägi. The languages of the indigenous population gradually fell into disuse and died out. founder of the Mongol empire. As far as relations with neighbouring countries were concerned. 18 Geng Shimin. Uighur civil documents show that the remains of a slave system existed. 960–1213. Good-Fortunate State’. the landlords possessed extensive farmlands and water resources. His Holy Majesty). though the indigenous substratum had a great influence on the Uighurs in ethnological. there were frequent diplomatic and commercial contacts between them and the Uighurs of Kocho. Because of this. 7–18. 1984. after the Liao dynasty (907–1125) and the Sung dynasty (960–1279) were established. tutuq as well as many officials of middle and lower rank such as the älchi. that of the Basmil. with many dependent households. his realm was particularly well treated by Chinggis. At the beginning of the twelfth century. the Uighur king Barchuk Art Tegin voluntarily submitted to Chinggis Khan. and preserved its original boundaries. urban or agricultural existence and created in Kocho a brilliant civilization. It seems that this title was taken from another Turkic tribe. with a class of poor peasants and tenant farmers beneath them. In the countryside. cultural and linguistic respects. Under the influence of the relatively advanced economic system and culture of the native people. 208 Copyrights . Because of the difference in religion. speaking a common language (with only some dialectal differences) and at the outset using the same Uighur script. in the east. and so on. the two sides were extremely antagonistic. Further. who installed a jianguo (supervisor). the Uighurs of Kocho called their land ‘Great. In the early thirteenth century (1209). founded by the Turkic Karluk) and the Uighurs of Kocho were strained. the former were Muslims while the latter were Buddhists. sängün. there were freemen.ISBN 978-92-3-103467-1 Contents THE UIGHUR KINGDOM OF KOCHO both political and numerical superiority.

His account in the Shi gaockang ji [Records of an Embassy to Kocho] constitutes the most important historical source for the study of the Uighur kingdom during this period. They are fond of archery and riding. its domain was incorporated into the Chaghatay Khanate. an indication that the Uighur upper classes still maintained the old. the Uighur king Arslan Khan was away in his summer quarters north of the T’ien Shan. Rhyming Book of T’ang. . traditional nomadic habits. and when the hottest season arrives the inhabitants all move into caves dug in the earth . . In a. the Uighur script gradually replaced the Old Turkic so-called ‘runic’ alphabet. 982 the Sung envoy Wang Yande had visited Kocho. there are Manichaean monasteries and Persian monks . and the Uighur idiqut retreated to Kocho city. By this time. . There is an imperial library which holds imperial letters and orders from Tang Taizong (627–49) and Tang Xuanzong (712–56). he saw many herds of horses belonging to the royal family grazing on the steppes which stretched as far as 100 li. They are fond of excursions and always take along musical instruments. lasting for nearly forty years. The area produces the five cereal grains. 490): The area has no rain or snow and is extremely hot. He gives a vivid description of Kocho in the Sung shi [History of the Sung dynasty] (Ch. The Dictionary of Chinese Characters. the Haydu-Duwa rebellion. . cotton and brocaded cloth. the kingdom existed in name only. Horses of different colours were divided into separate herds for grazing. and water from Jinling [Golden Mountain] flows through them and is circulated through the capital city to water the gardens and turn mills. They produce sable.ISBN 978-92-3-103467-1 Contents THE UIGHUR KINGDOM OF KOCHO In the second half of the thirteenth century. . Among the Uighurs who moved into the Turfan region. On the road.d. . The Chinese Buddhist Dictionary . leaving his maternal uncle to take care of state affairs. he was forced to flee to Yongchang in Gansu. As urban life and trade developed. gave the Uighur kingdom of Kocho its death blow. In addition. The women wear oiled caps which are called sumuzhe. Their houses are whitewashed. According to the accounts of Uighur sources. . He wore a red robe and a crown (Uighur didim < Greek diadéma). In music they make much use of the pipa [a kind of four-stringed lute] and the konghou [an ancient plucked instrument with seven strings like the harp]. on ceremonial occasions the Uighur king sat on a golden chair (örgin) placed on a platform (Uighur taucang < Chinese daochang) and decorated with pearls and jewels. but it lacks buckwheat. . . which is very carefully locked. In the temples are kept The Buddhist Tripitaka. When Wang Yande arrived in Kocho. in 1284. They use the calendar promulgated in the seventh year [719] of the reign of Kaiyuan of the T’ang dynasty . was taken by the rebels. Beshbalïk. and other works . . Thus Wang and his party crossed over the T’ien Shan to go to Beshbalïk. The nobles eat horse-meat and the common people eat goat or fowl. There are more than fifty Buddhist temples with inscribed boards given by the T’ang imperial court. In 1270 the summer capital. Some years later. the 209 Copyrights .

The ‘banquet with dramatic performance’ attended by Wang Yande. for example. the Uighurs gradually converted to that religion and large numbers of Buddhist classics were translated into Uighur. As early as the time of the Uighur Khanate in Mongolia. Buddhism now returned to the area from China. the Uighur nobility and even the common people took to building temples. The translation into Uighur of Aesop’s Fables might also be related to the spread of Nestorianism among the Uighurs. In this period. making statues. kuian ). as shown by the many Manichaean mural paintings as well as Uighur Manichaean manuscripts (often decorated with beautiful miniatures) found in the Turfan area. as well as dramas with Buddhist content. Because of their conversion to Buddhism. was Buddhism. etc. Manichaeism was still maintained for a period among the Uighurs.ISBN 978-92-3-103467-1 Contents THE UIGHUR KINGDOM OF KOCHO use of the Uighur language and script became general. Not only were a large number of religious (Manichaean. Tuyok. 210 Copyrights . a fresco depicting the rites of Palm Sunday has been discovered. Kïzïl and Kumtura). and the discovery of the primitive Buddhist drama the Maitrisimit written in Uighur testify to this point. painting frescoes and copying sutras as a kind of charitable and pious deed (in Uighur called buyan < Sanskrit bunya). were performed. grottoes (such as Bezeklïk.19 Many Buddhist sites. volume’ ( < M. but the language was also extensively used in everyday life. The religion that spread most widely among the Uighurs. Nestorian Christianity also had followers among the Uighurs. In the Nestorian sites of Turfan. Having originally spread from Xinjiang to inland China. as well as the large quantity of Uighur manuscripts. kuin or ‘scroll. a variety of activities such as storytelling. The ‘Iranian monks’ mentioned by Wang Yande must refer to Nestorian priests. several Uighur fragments. In addition. which was strongly influenced by Chinese culture. Chin. Christian and Buddhist) works translated into Uighur. we may conclude that Chinese Buddhism had a profound influence on Uighur Buddhism. These are precious works of art representing the high level attained in art and culture by the Uighurs at 19 Gen Shimin and Klimkeit. such as mäkä or ‘ink’ ( < Medieval Chinese mak). Mani-chaeism was accepted by the Uighur nobility. Since the ‘more than fifty Buddhist temples’ in Turfan were given boards inscribed in Chinese. in 762. indicating that Buddhist works were kept there. further indicate that Buddhism flourished extensively in the Uighur kingdom. 1988. the Uighurs used the Chinese system of the tiangan (Ten Heavenly Stems) as well as the dizhi (Twelve Earthly Branches) to designate years. some Nestorian writings and a story about three Persian Magi visiting Bethlehem have been unearthed. Uighur borrowed many Chinese words. however. During Buddhist festivals. Under the influence of the original inhabitants. at mass gathering places around temples. Regarding the calendar. After their migration to the Turfan region.

such as the Maitrisimit Nom Bitig. Then again there were written in Sogdian the twelve animal names. Men and women hold long-stemmed flowers in their hands. which were used by the Uighurs. The frescoes give a vivid picture of the daily life of the Uighurs. bing. rabbit. the Uighur commoner’s life was reflected in a variety of civil documents written in Uighur. Their residences are enclosed by walls. For example. he not only had a good command of classical Chinese. fire and earth. The surviving corpus of Uighur Buddhist texts shows that nearly all the main Buddhist works (including sutras. ox. we can clearly see how peasants and farm labourers were exploited by the landlords. During the Yüan or Mongol dynasty (1279–1368) some were also translated from Tibetan. From the Chinese he translated into Uighur The Golden Light Sutra. he lived in about the tenth-eleventh centuries. They are prime sources for the study of the socio-economic condition of the Uighur kingdom of Kocho. 211 Copyrights . flowers and trees are planted in the courtyards. Important among them were Mahayana works such as The Golden Light Sutra. Finally. they wear half-length boots and have various daily utensils hanging on their waistbands. a type of calendar written in Sogdian and used by the native Manichaean believers indicates an assimilation of Sogdian. such as mouse. The Lotus Sutra. it seems that he also knew Sanskrit. all translated from Chinese. Furthermore. The coexistence of various religions resulted in a fusion of different faiths. The name of every weekday was written in Sogdian and then each name was supplemented by the transcribed Chinese names of the ‘Ten Heavenly Stems’ such as jia. wood. translated ¯ from ‘Tokharian A’ and many fragments of Agamas. and so on. tiger. If the mural paintings depicted the lifestyle of the rich families. in Uighur Buddhist texts the Indian gods Brahma and Indra are called by the Manichaean names Azrua and Hormuzd respectively. But there are also Hinayana texts. mostly from the ancient Karashahr-Kuchaean language as well as from Chinese. indicating a degree of fusion between Buddhism and Manichaeism. the names of the Chinese wuxing (five elements). Also during the Yüan dynasty. Born in Beshbalïk. yi. vinayas and abhidharmas) were translated into Uighur. metal. large numbers of Buddhist works were translated into Uighur. Master Singu Säli is worthy of particular mention. many tantric works were translated from Tibetan and Chinese. his vocabulary is rich. Among the Uighur Buddhist translators. were translated into Sogdian and matched with two-day periods. Chinese and Uighur cultural elements. Men have garments and headdresses in T’ang style. His translations read smoothly. Women wear long gowns with T’ang floral patterns in Transoxanian style. In the Uighur kingdom of Kocho.ISBN 978-92-3-103467-1 Contents THE UIGHUR KINGDOM OF KOCHO that time. water. The Garland Sutra and Sthiramati’s Commentary on the Abhidharmakosa. and so on. The Biography of Xuan-zang and many other Buddhist works. Through these documents (up to now several hundred of them have been discovered). but was a master of his own mother tongue.

ISBN 978-92-3-103467-1 Contents THE TANGUT HSI HSIA KINGDOM (982–1227) In sum. Jiqian. 10–54. eventually reaching the Ordos. At the same time. to China’s breakup into a number of states during the period of the Five Dynasties and.20 Part Three THE TANGUT HSI HSIA KINGDOM (982–1227) (Y. moved north under the pressure of the Tibetans. the period was characterized by further fusion in ethnic. The Tangut population formed an absolute majority there and the consolidation of the independence of the region with its Tangut population contributed. one of the members of the ruling Tangut Toba clan. linguistic. the Tangut – became firmly established in the centre of the Ordos with their capital in the town of Siachou (in the western part of the modern Heng Shan district of Shanxi province). had acquired almost full independence during the tenth century. in the year 982. was destroyed by the Tibetans. known as the Land of the Five Regions. economic and cultural areas can be credited to the Uighurs. openly opposed China and. the Sung court attempted to bring those regions under its control. great achievements in the social. When. 20 212 Copyrights . The centre of the Ordos. and some of the Dangxiang. second. a people of Tibetan-Burman ethnic origin living in the Sunpan region in north-western Sichuan. to the emergence in the north of the powerful Kitan Liao state which supported the ruling Tangut house of Toba in its striving for independence. I. see Geng Shimin and Hamilton. the ruling clan of the Dangxiang – better known to European scholars by their Mongol name. following the example of the For the genealogy of the kings of the Uighur kingdom of Kocho. first. it may be said that during almost 400 years of the Uighur kingdom of Kocho’s existence. 1981. which had lasted for more than 300 years. The Tuyühun state of the Xianbei. religious and cultural elements within Uighur society. pp. Kychanov) The active rivalry between Tibet and China from the seventh to the ninth century altered the destinies of the Qiang and Xianbei populations occupying the area of the modern provinces of Qinghai and Sichuan. The unification of China under the Sung dynasty in 960 naturally raised the question of what would happen to the Tangut possessions of the Toba. In the ninth century.

‘the Sung emperor Shen Zong recognized the special position of Li Deming’. however. was declared to be the state’s new capital. In the year 1002 the Tangut captured the town of Linchow (the modern town of Lingwu in the Ningxia-Huizu Autonomous Region). Some time at the end of the tenth century or the beginning of the eleventh (1001 according to the Sung shi) the term Hsi Hsia began to be employed to designate the Tangut state. 213 Copyrights . The new state could only expand to the west and south-west. The border with the Kitan ran along the southern edge of the Gobi desert and the northern branch of 21 Zhong Kan et al. and this proved to be justified since in 989 the Kitan court gave Jiqian the hand of a Kitan princess and recognized him as Wang of the Hsia state. In 1028 territories including the towns of Lanzhou (Wuwei) and Hangchou (Chane) and the modern province of Gansu were added to Hsi Hsia. In 1016 he declared his father Jiqian emperor posthumously and in 1028 declared his son as heir to the imperial throne and his son’s mother as empress. concluded a peace treaty with the Sung in 1006. In 1036 the Hsi Hsia dominions were extended further westwards to the area of modern Dunhuang and the edges of the Hami oasis. thus acknowledging himself to be in Chinese service.21 Li Deming began to prepare for official acceptance of the title of emperor. He agreed to accept from the Sung the post of tzedushi (military governor). Throughout the first third of the eleventh century. the Tangut therefore waged war to the west.ISBN 978-92-3-103467-1 Contents THE TANGUT HSI HSIA KINGDOM (982–1227) independent Kitan state. a sworn treaty which signified Sung recognition of the Tangut state or. In 997 Jiqian succeeded in establishing his authority over the area of the Five Regions. the Ala Shan and the Helan Shan as well as the entire area of the Ningxia-Huizu Autonomous Region and the western regions of the modern province of Shanxi in the Ordos. although there was quite a large ethnically similar Dangxiang (Qiang) population in the areas of China to the east of Hsi Hsia bordering on Jiqian’s domain and in the southern Liao regions bordering on Hsi Hsia. 25. realizing that without peace with China it would be difficult to achieve any success in the west. Xingqing. These regions could not be wrested by force from the Sung and the Liao.. The treaty of 1006 between Hsi Hsia and the Sung was. The territory of the Tangut state included the entire province of Gansu in its western part. He banked on conflict between the Liao and the Sung. Peace with China and the support of the Liao enabled the Tangut to conduct successful wars against the Tibetans and the Uighurs. as modern Chinese historians have written. p. Jiqian was killed during a war with the Tibetans in the year 1004. and received the title of Wang Xiping (Pacifier of the West). the modern town of Yinchuan (Ningxia–Huizu Autonomous Region). began the struggle to establish a Tangut state. the western aymaks of the modern Inner Mongolian Autonomous Region located to the south of the Gobi desert. 1979. His successor Li Deming.

according to some evidence. In 1032 Yuan Hao abandoned the use of the Sung reign titles. and exported livestock and livestock products.ISBN 978-92-3-103467-1 Contents THE TANGUT HSI HSIA KINGDOM (982–1227) the Yellow River. Salt extraction was a flourishing activity and salt from the Ordos lakes was exported to China. where it forms the Ordos bend. containing fertile land that was suitable for agriculture (the valley of the Yellow River. following the defeat of the Jurchen by the Sung. The extensive mountain regions provided a reliable source of ores and the country experienced no shortage of iron although. This was the Kitan male hairstyle in which most of the hair on the head was shaved off. The second reform was the decree of 1033 concerning the introduction of a single hairstyle (tufa) for all men. with the possible exception of rice. At the same time. the Tangut incorporated into their state the area of the modern town of Xining in the province of Qinghai. and adopted as the title of his reign Xiandao (Clear Path). the Tangut lacked sufficient quantities of copper. a ‘department’). The mainstay of the economy consisted of agriculture and the raising of livestock. In the year 1136. Rice. The country was self-sufficient in grain. leaving only a forelock and locks on the temples. Yuan Hao. The city was renamed Xingqing (Celebration of the Ascendancy). cotton and apricots were grown in a number of regions within the territory of the Hsi Hsia. The present-day climate of these regions is continental with a cold winter. however. Altogether this was a vast territory. The western branch of the Yellow River was entirely within Hsi Hsia territory but the border with China did not extend as far as its eastern branch. In the year 1031 Li Deming died and was succeeded by his son. took from them the town of Suizhou (the modern town of Suide in Shanxi province). The first Tangut emperor and a reformer. the same status as the capitals of Liao and Sung. a very hot summer and insufficient precipitation. in 1067. Under the third reform. of which there were ten according to historians. central government institutions on the Chinese model were introduced: a state secretariat (chunzhu) 214 Copyrights . as Sung forces not only denied the Tangut access to the river but even. This was an important political act as a single hairstyle (similar to the later Manchu requirement for all Chinese adult males to wear pigtails) was a symbol of the submission and unity of all the sovereign’s subjects. used for the purpose of chronology. Camels and horses from Hsi Hsia were particularly highly valued. he was to play an outstanding role in the ultimate consolidation of the Tangut state deep in the interior of Asia. that the climate was milder and more humid in the period from the eleventh to the thirteenth century. the valleys of the rivers Heitui and Xining. the area of the country’s capital was elevated to the status of fu (conventionally. the northwestern edge of the loess plateau) and good pastureland on the plains of the Ordos and Ala Shan and in the mountain regions. This was an important step towards the formation of the imperial system of administration and the first of Yuan Hao’s reforms. There is evidence.

but the ministries or departments established by Yuan Hao met all the requirements for the household administration and record-keeping of the imperial court. the year was also marked by the introduction of Tangut music to the court as official music for ceremonial purposes in the belief that ‘the wise ruler should conform to popular customs’. but the tenth to the twelfth century saw the Kitan. The invention and introduction of the script led directly in 1038 to another event of enormous cultural significance extending beyond the limits of Tangut culture. Chief among these were the ideogram (huii) and the phonogram ( hsing shen) methods. a privy council (shumi) for the command of the army and the conduct of military matters. who was also the first openly to adopt the title of emperor. Jiqian. a number of contemporary historians have put the date at which the Tangut Hsi Hsia state was first established at 1032 (the year in which Yuan Hao was enthroned) or 1038 (the year in which he took the title 215 Copyrights . The Tangut language was tonal and rich in homonyms. for example. of an original Tangut script. On 10 November 1038 Yuan Hao officially declared himself emperor and bestowed posthumous imperial titles on his grandfather. This script looked very unlike Chinese. especially agriculture and livestock-raising. During the previous stage in the cultural history of East Asia. and his father. Since the Tangut state organized itself as an empire on the Chinese model during the reign of Yuan Hao. This eighth reform was not only the most important event in the cultural history of the Tangut people but also a milestone in the cultural history of East and Central Asia. when a special group of thirty-two Buddhist monks was entrusted with the translation of the Buddhist canon into the Tangut language. the Tangut and the Jurchen adopting the resources of Chinese writing to create their own original scripts. for the economy.ISBN 978-92-3-103467-1 Contents THE TANGUT HSI HSIA KINGDOM (982–1227) for the administration of civil affairs. The Tangut therefore devised a logographic-syllabic hieroglyphic script. and a censor’s office (yushitai). The fifth reform introduced uniforms for officials. These reforms were enacted in 1033 and were followed three years later by a precise definition of the system of compulsory military service (the sixth reform). an organ of control. perhaps introducing some of their own indigenous characters and methods of transcribing their mother tongue. the Koreans. The Tangut did not introduce the system of ‘six ministries’ (liu bu) adopted in Liao. The ninth and tenth reforms were also cultural in nature. Li Deming. the ordering of the country’s administrative subdivisions into twelve military-political districts (the seventh reform) and the introduction. In 1037 Tangut (the Tangut’s own self-appellation was Mi-nyag) and Chinese schools were established. Japanese and Vietnamese merely adopted the Chinese script. and for the maintenance of law and order throughout the country. but its resources were based on the Chinese writing system and the characters were constructed using the six methods for the formation of characters laid down by Chinese philology of the period. also in 1036.

and received a seal from the Sung emperor. Vol. occupied a position in the Tangut–Kitan war which. China. The Sung court recognized him as chou (sovereign) and paid an annual tribute of 255. the Kitan also began to threaten Hsi Hsia. Matters were further complicated by the interference of the Kitan. as the translation has it. Hsi Hsia and the Sung concluded a peace agreement whereby Yuan Hao renounced the use of the title of huang-ti (emperor) in the international arena and in relations with China. retaining the imperial title (utszu in the Tangut language) within the boundaries of Hsi Hsia. The recognition of one more Son of Heaven would have further undermined Chinese views of universal monarchy and the exclusive position of the Son of Heaven on Earth. The Sung emperor recognized the imperial title of the Liao emperor and. A final peace with the Sung had still not been concluded when Yuan Hao was drawn into a war with Liao. for which the Kitan state represented the main enemy. the outcome of the war ultimately favoured the Sung. 1081–6 and 1096–9). silver and tea.ISBN 978-92-3-103467-1 Contents THE TANGUT HSI HSIA KINGDOM (982–1227) of emperor). In 1094 the young Emperor Qianshun mounted something resembling a coup d’état 216 Copyrights . Having obtained what they wanted from the Sung. when power was held by empress–regents and the Lian clan to which the mothers of Pinchang and Qianshun belonged. A third Son of Heaven appeared alongside the Sung and Liao emperors. Sung China paid the Kitan a sizeable tribute under the guise of ‘assistance’. Nevertheless. The Sung court therefore refused to recognize the imperial title of Yuan Hao. The title became the subject of negotiations which turned on whether Yuan Hao would adopt a traditional title (kaghan. shan-yü) rather than the Chinese imperial title of huang-ti. 3792). Pinchang (1067–86) and Qian-shun (1086–1139). according to one source.000 units of silk. The Tangut inflicted a military defeat on Liao and the two sides made peace in 1045. the war of 1081–6 proved the most serious for the Tangut state. This led to the Tangut–Chinese war of 1040–4. on the whole. The war demonstrated that neither side could count on a definitive military victory. His assumption of that title created a new situation in East Asia and in east Central Asia. ‘vassal’ (chen). There followed a period in the history of the Tangut state.000 invaded the territory of Hsi Hsia. was more favourable to Hsi Hsia. 486. during the minority of the emperors Liangzu (1048–67). Yuan Hao acknowledged his status as ‘junior’ or. Although the Hsi Hsia state preserved its actual independence. p. by the Xianyuan treaty of 1005. Of the three major wars between the Sung and Hsi Hsia (1069–72. China attempted to exploit the internal disturbances in Hsi Hsia in order to destroy the Tangut state. In January 1048 Yuan Hao was killed. In the circumstances. who threatened the Sung in 1042 and forced China to increase the payments to Liao. ‘the Sung forces perished ingloriously (Sung shi. the overall outcome of the war did not favour the Sung and. An army of over 300.

after recovering real power. Orders were given to construct Confucian temples in all regions of the country and Confucius was venerated. Under Yuan Hao the concept of their ‘own path’ had been expressed in the establishment of the Tangut state’s ideology on the twin pillars of Buddhism and the copying of the principles of the Chinese state system. demonstratively returned to Chinese ways. which contained the activity of Liao and attracted the attention of the Sung as China hoped to use the Jurchen to destroy the Kitan. the subsequent fierce struggle between the Sung and the Jurchen. Under Yuan Hao’s successors. Qianshun assigned equal status to Buddhist and Chinese influences in his policy but Renxiao attached greater importance to the Chinese Confucian model in state administration. Emperor Renxiao (1139–93). Chinese official and bureaucratic customs (ritual. In contrast. who was half-Chinese by birth. whose institutions exerted an overpowering influence on the Tangut. The problem of Hsi Hsia’s ‘own path’ was finally resolved during the reign of Renxiao. The economy and culture of the Tangut state began to flourish from the beginning of the twelfth century. receiving the homage due to an emperor. The peoples forming the bulk of its population were the Tangut (self-designation.ISBN 978-92-3-103467-1 Contents THE TANGUT HSI HSIA KINGDOM (982–1227) and destroyed the Lian clan. Chinese. restoring to power the imperial clan of Toba (the Tangut Weimin or Ngwemi). The destruction of Liao in 1125. This was accompanied by propaganda advocating their own path as opposed to the Tibetan and Chinese paths. and the emergence of the Jurchen Chin state with which Hsi Hsia managed to establish friendly contacts. this was due to the emergence of a new power to the north-east. To a certain extent. The cult of Confucius was officially adopted in Hsi Hsia in the year 1146. It was assigned a role as preserver of the well-being of the dynasty. the empress–regents and their supporters inclined towards Buddhism and the reduction of Chinese influence. which was able to choose its ‘own path’ in this area. Minyag). The Tangut state was multinational in the modern sense. Two of these states chose Buddhism as their sole ideology and developed as theocratic states. the ruling house. Burma and the Tangut state. he was accorded the title of Emperor Wenxuan. Tibetans and Uighurs. There was no difference in the rights enjoyed by these peoples in the area of 217 Copyrights . Confucian canonical texts were industriously translated into Tangut. led to the flowering of the Tangut state in the middle and second half of the twelfth century during the reign of Qianshun’s son. This did not happen in the case of the Tangut state. In the history of the TibetoBurman peoples there were three major states: Tibet. clothes) were openly rejected in favour of Tangut customs. that of the Jurchen. Buddhism also continued to develop actively during the reign of Renxiao but could no longer claim to be the principal state religion. The main reason was the proximity of Hsi Hsia to China.

or men without personal freedom. The service responsible for the maintenance of the canals was state-run. The trend towards the establishment of tenancy relations. which has been preserved to the present day. Only among officials of the same rank was the Tangut always considered senior. a 20-volume collection of the country’s laws amounting to 1. The text. 218 Copyrights . livestock and other belongings were either the property of individuals or of the sovereign (the state). or women without personal freedom). the aristocracy had no rights deriving from their origin but it is thought that there were a number of Tangut clans/families. The landowners paid a land tax in grain. which was also very evident in the neighbouring state of Sung China. Livestock-raisers paid a tax in livestock. Tangut society was made up of people with and without personal freedom (pkhinga. The auxiliary troops may have included engineers.ISBN 978-92-3-103467-1 Contents THE TANGUT HSI HSIA KINGDOM (982–1227) public life since in terms of hierarchical precedence. and these canals were repaired and built by people working under the system of compulsory labour. According to Chinese law. nevertheless ensured respect and preference in state service. The length of the period of service depended on the amount of land held by the worker. wool and milk products. The army was divided into regular and auxiliary forces who provided support for the activities and guaranteed the fighting efficiency of the regulars. membership of which. Free people were divided into those who served (‘those of rank’ in Tangut terminology) and those who did not serve (‘ordinary people’ in Tangut terminology). They exploited the slaves (pkhinga and nini) and ordinary peasants to whom they evidently leased land. came into force during the reign of Renxiao. his relations and the greater part of the Tangut bureaucracy. While Tangut law developed along the lines of Chinese law (as did Korean. Attached to them were the rich ‘proprietors’. The nucleus of the ruling class consisted of the emperor’s clan. Depending on the number of their livestock. the official with the higher rank was always considered senior. they supplied both horses and military equipment.460 articles. Japanese and Vietnamese law). hay and brushwood and performed compulsory labour for the state. certain restrictions were sometimes placed on the sale of land by landowners. testifies to the highly developed legal system of the Tangut state. Irrigation played a major role in agriculture. or military equipment alone for their army service. and nini. In accordance with the traditions of Chinese law. The codex of the Tangut state. especially with regard to the choice of purchasers. Members of the ruling dynasty of the Ngwemi clan and the emperor’s kin occupied a particular position in society. like those legal systems it exhibited certain original features. while it did not constitute an entitlement to additional legal rights. was possibly dominant. Land. landowners and livestock owners who were not in state service.

The Mongols attacked Hsi Hsia again in the winter of 1207–8 and in 1209 laid siege to the capital of the Tangut state. as well as their obvious weakness in comparison with the Jurchen state of Chin. The entire Tripitaka. Printing by means of wood engraving developed within the country and a proportion of what was printed were state texts produced by a special Printing Office. Literate people were apparently bilingual (with a knowledge of Tangut and Chinese) and information has survived indicating that a knowledge of three languages (Tangut. more generally. among people connected with state service (for which literacy was essential) or with Buddhist communities. He was succeeded by Anquan (1206–11). They devastated the western regions of the Tangut state. Kozlov) and in a small number of texts from the period of the Mongol Yüan dynasty. Chinese military treatises and a number of moralizing texts were translated into Tangut. In the spring 219 Copyrights . Anquan secured peace by acknowledging himself to be a vassal of Chinggis Khan and by giving him his daughter in marriage. The Tangut refused and Chinggis swore to settle his score with them on his return from the campaign. He saved the country but lost his throne. His successor Eunxu (1211–23) was drawn into a war with Chin by the Mongols in the year 1214. In addition to the Buddhist canon and the Confucian classics. literature and sayings. Defeat in war against the Mongols cost Chunyu his throne. In 1217 the Mongols again besieged the capital of the White High Great State of Hsia (such was the splendid official title of the Tangut state) but the siege dragged on and they left after demanding that the Tangut should take part in Chinggis Khan’s westward campaign. Chunyu (1193–1206). During the reign of Renxiao’s successor. the power of Chinggis Khan. It may be assumed that there was a fairly high level of literacy among the population of Hsi Hsia. but they received no assistance. preserved to the present day in material from the dead town of Kara-Koto (rediscovered in 1909 by P. the Tangut intervened in the internal struggles of the Mongols and it was possibly for this reason. it none the less appreciably weakened the forces of both states in the face of the Mongol onslaught. That war lasted until 1224 and. a new threat appeared to the north of the Tangut state. particularly among officials and. was translated into Tangut. The Tangut endeavoured to establish a military alliance against the Mongols. it none the less retained an independent identity.ISBN 978-92-3-103467-1 Contents THE TANGUT HSI HSIA KINGDOM (982–1227) The twelfth century saw the flourishing of Tangut culture. although it was not conducted intensively. that Hsi Hsia was the first state against which the Mongols conducted campaigns outside Mongolia. requesting aid from Chin. K. Tibetan and Chinese) was required of Buddhists. Various types of Tangut dictionaries have been preserved to the present day: the Tangut were proud of their mother tongue. Although Buddhist painting developed under a strong Chinese and Tibetan influence. A clear strain of patriotic pride in their culture and state is evident in the works of Tangut authors. At the end of the twelfth century.

The Mongol prince who ruled the region of Tangut at the end of the thirteenth century was a follower of Islam and made every effort to convert the population under his control to that religion. The downfall of Hsia coincided with the death of Chinggis Khan himself and the population of Hsi Hsia was therefore massacred with particular brutality. fell upon Hsi Hsia. led by Chinggis Khan in person. accepted Islam and formed a unified group of Chinese-speaking Muslims. 220 Copyrights . During the Ming dynasty they developed into the ethnic and religious group of Muslims in north-west China which to the present day constitutes the core of the population of the Ningxia–Huizu Autonomous Region of the People’s Republic of China. Various peoples who settled in the Tangut region adopted Chinese as their lingua franca.ISBN 978-92-3-103467-1 Contents THE TANGUT HSI HSIA KINGDOM (982–1227) of 1226 the main force of the Mongol army. Tangut culture perished with the Tangut state and the process leading to the disappearance of the Tangut as a people was initiated. The Mongols replaced the Tangut state with a Tangut region and the capital of Hsia was renamed Ningxia (‘Peaceful Xia’ in Chinese). In the autumn of 1227 the Mongols accepted the capitulation of the last ruler of Hsia and swiftly executed him.

Sandwiched between high ranges. . Relations with Kashmir . . . . The Kator royal family of Chitral . . . . . . . . . . . . . . . The Ayash ruling family of Hunza . . . . . . . H. . . . . . . . . . See Dani. . . . . . . Kashgharia and the trans-Pamir regions . . . . this does not make for the unity of the region. Dani Contents The Trakh¯ n dynasty of Gilgit . . . . . . . . They all lie in the western Himalayan zone to the south-west of Tibet. Socio-religious developments . . . . . . . . . .ISBN 978-92-3-103467-1 Contents THE WESTERN HIMALAYAN STATES 10 THE WESTERN HIMALAYAN STATES* A. . . . . . . . . 222 225 225 225 225 227 227 228 231 The western Himalayan states. . . . hence we talk in terms of Himalayan states and not of one state. 1984. . . . with the human population organized into smaller communities and forming separate cultural units. . . . . . . . .1 lie practically south of the ranges of Chinese Turkistan. . . . . . . . . . . . . 194–7. . . . . . . a The Maglot ruling family of Nager . . . . . . . . . . . . . . . . . . . . . .2 * 1 2 See Map 7. . . 1989a. . . . . . . . . . . . . . . . . . . . . . . . . Baltistan . . better described as the trans-Himalayan states. . . . . . 221 Copyrights . . . . . . . . . . . . . . . . . . . pp. . . . . . . . . . for details. . . . . Each of them also developed petty states in the course of history. . . . Although the Indus river runs across it. . . . . . . . . . . . . . . . the entire region is unaffected by the monsoon climate and protected from northern blizzards. . . . . . . . . . . . . . Relations with Tibet. Long-term socio-economic developments . . . . The hill ranges subdivide the region into smaller river valleys. . . . . . . . . . . The river is too deep and rocky for navigation and its banks are too high and sloping for normal habitation. . 1. . Ch. . . . . . . . . . . . . Maqbul Ahmad and Raja Bano. . .

1910. 207–8. 4–12.ISBN 978-92-3-103467-1 Contents ¯ The Trakhan dynasty of Gilgit There is no one historical name for the entire region. 1987. 1. At a ı this time. several historical events may be noted in the region. Kao-Hsien. marched with his army into the region in 743. 222 Copyrights . But its exact connotation is not clear. Dani. nor is it comprehensive enough to embrace the whole region. Jettmar3 has argued for ‘Bolor’. the king Balurin Sh¯ h u a ¯ regarded himself as the son of the sun god. Punial and Chitral had close connections with them. spoken in Baltistan.5 An Arabic inscription attributed to the time of the c Abbasid caliph al-Ma’m¯ n (813–33) speaks of a victory over the rulers of Wakhan and Bolor. 1965. but that excludes Chitral. which is now a district of the North-West Frontier Province. a Chinese general of Korean origin. The medieval history of the region begins with the emergence of the Turkish ruling families. He restored the rule of the Patola Sh¯ h¯s. Al-B¯r¯ ni calls them Bhatta Sh¯ h and refers to ıu a them as Turkic tribes. Vol.6 These items u of information do not clarify the issue of the origin of the Turkic tribes. During British rule. Leitner coined the term ‘Dardistan’ in the nineteenth century. 1987. two terms. which is affiliated to Tibetan. The Government of Pakistan refers officially to the region as the Northern Areas. Similarly. See Dani. pp. To counter them. since the languages spoken in the different valleys have all been grouped under the Dardic family – with the exception of Balti.4 However. Introduction. by name Azur Jamsh¯d. a term known to Arabic scholars and also to the Chinese of the medieval period. whose dates are not certain. 1979. pp. although that also had links with Gilgit on several occasions. but how long thereafter the Sh¯ h¯s ruled is not certain. 39–70. Sachau. The Tibetans are known to have advanced into Gilgit via Baltistan. they appear to have replaced the ancient dynasty of the Patola Sh¯ h¯s in Gilgit some time in the middle of the eighth century. and ‘Chitral’ was placed under the Malakand Political Agency. ıu ı ¯ The Trakhan dynasty of Gilgit According to traditional history. a It is from this dynasty that the rulers of Nager and Hunza derive their origin. who is said to have fled here after the Arab ı 3 4 5 6 7 Jettmar. were applied to two political divisions. ‘Gilgit’ and ‘Baltistan’. It is only the history of Baltistan which had its separate role to play. but they certainly speak of the change of dynasty that must have taken place long before the time of al-B¯r¯ n¯.7 the main ruling dynasty in Gilgit is known as the Trakh¯ ns. According to the a ı a ı anonymous author of the Hud¯ d al-c alam [The Limits of the World]. Ghafoor. Tradition traces the origin of the Trakh¯ ns to an imaginary Kay¯ ni a a ¯ prince of Persia. pp. the rulers of Yasin.

According to tradition. The son. but ruled only for five years. a date that may be accepted. but this lacks confirmaa tion. who is said to have been a follower of the Ismac ili Shic ite sect. proved to be jealous and cunning. Before this ruler the dynasty was known as the Kay¯ n¯s. In the 223 Copyrights . Rajah Haydar Khan was succeeded in 1057 by his son N¯ r Khan. His own stepbrother. a a ı Rajah Torr¯ Khan’s reign (1241–75) was marked by great events. who ruled until her son grew up.ISBN 978-92-3-103467-1 Contents ¯ The Trakhan dynasty of Gilgit conquest of Persia and secretly married N¯ r Bakht Kh¯ t¯ n. whose name is given as T¯ j Mughal. The Badakhshan ruler invaded Gilgit. who was named Kark or Garg. called Sh¯ h Begam. fled from Gilgit and took shelter with the king a ı of Badakhshan. thus there was a strong northern influence in the royal house of Gilgit by the end of the tenth century. held power for fifty-five years and was succeeded by Rajah Sau Malik. a followed by Glit Kalika’s son Deng Malik. born of the Dareli queen. snatched Chitral from Torr¯ Kh¯ n and placed Sh¯ h Ra’¯s Khan on Chia a a ı tral’s throne. Rajah Khusraw Khan’s son. ı Ismac ilism was introduced into the Gilgit region by T¯ j Mughal. It is important to note that this Turkic family came from the north.e. succeeded to the throne in 997. She managed to poison the king and snatch the throne for herself in 1236. Sh¯ h Tham a a a tried to assert his independence. also known as Glit Kalika (or Malik). In 1127 he abdicated in favour of his son Sh¯ h Mirza. Rajah Sau Malik was succeeded by his son Rajah Sh¯ h Malik. there was a second invasion. In any event. who is supposed to have started a the dynastic name Trakh¯ n. but being pressed by Haydar’s forces he fled to Baltistan via the Hispar glacier. but the second queen. perhaps to be corrected as T¯ jd¯ r-i a a a Mughal. he chose to abdicate sixteen years later. the daughter of the Buddhist u au ¯ ´ ı king Sr¯ Badat. As a result. a commoner from a the Darel valley. There was a quick succession of rulers after this event. i. but Gilgit forces defended their territory steadfastly. after handing over the throne to his queen. Kark. leaving a the throne to his son Tartora Khan. A son was born. All her attempts to kill her stepson Torr¯ Khan were foiled by a minister hailing from the Hodur valley. Although Azur Jamsh¯d is ı ´ credited with having overthrown Sri Badat and succeeded to his throne. His cousin. u who spent his time in religious devotion and entrusted the work of administration to his ministers. Sh¯ h Hatam (or Sh¯ h Tham). The rule of this last king is said to have ended in 997. Rajah Haydar Khan. the ruler of Gilgit is said to have abandoned Ismac ilism. who had two queens. This was the beginning of the Ra’¯siyya dynasty there. governed the Nager and Hunza valleys. Malik of Gilgit. The first. and finally the latter’s son Khusraw Khan. a Sh¯ h Ra’¯s Khan. who died in 1205. She met a her death and was succeeded in 1241 by Rajah Torr¯ Khan. was a of the royal family and gave birth to Torr¯ Khan. Khusraw Khan married a princess from Badakhshan and the presence of a Badakhsh¯ n¯ princess a ı must have led to some social changes in the Gilgit ruling family.

Rajah Torr¯ Khan died. While the first ruled a a from 1422 to 1449. Sau Malik a II (1275–1345). The Mongol invasion of Gilgit appears to be related to two invasions of Kashmir. who ruled until 1422.9 This is the a mythical story of the creation of the Nager and Hunza states. pp. Sau Malik II was succeeded by his son Chilis Khan (1345–59). His own daughter was later married to Sh¯ hzada Sh¯ h Khan. Sufi. obtained Nager as his possession. Kashmir and Afghanistan. Transoxania. Seen in this perspective. also known as Maglot. He married Malika H¯ shim Begam. From this time on. Firdaws was succeeded by Khusraw Khan II. Rajah Malik Sh¯ h and Dula Sh¯ h. According to tradition. pp. a daughter of Sh¯ h Ra’¯s a a ı Khan of Chitral. The next ruler of Gilgit.ISBN 978-92-3-103467-1 Contents ¯ The Trakhan dynasty of Gilgit course of this campaign. called Lili Gashpur. The latter had a handsome son. they had twin sons whose backs were joined together at birth. 1. 82–4. Vol. a granda a son of Sh¯ h Ra’¯s Khan. 1319 and the second by Urdul (or Achal) in 1326. a ı 8 9 Hasan. who ruled a ı until 1397. He added a tower to his father’s fort at Gilgit. pp. One of them called Jamshid. was a a a man of great consequence. son of Rajah Malik Sh¯ h. which was known as Khusraw Khan-i Shikar. 170–4. ruled until 1561. He also enjoyed good relations with Kashmir and encouraged commerce with the neighbouring countries of Badakhshan.8 As a result of these invasions. Khusraw Khan II had two sons. He brought large numbers of artisans and craftsmen from Kashmir and built the Qilc a-yi Firdawsiyya in Gilgit. When they grew up. the most important of whom. pp. 1959. 1949. He continued good relations with Kashmir and was so fond of Kashmiri arts and crafts that he invited a group of Kashmiri craftsmen to settle in Gilgit in Mohalla Kishrot. who married the king’s daughter. 1967. the second became his commander-in-chief. Parmu. see Dani. there was a a close relationship between the rulers of Gilgit and those of Kashmir. the first by Dulcha (or Zulchu) in c. they became bitter rivals. 224 Copyrights . 34–7. while the second (called S¯ hib Khan alias Girkis) received Hunza. For details. Chilis Khan was succeeded by Rajah Firdaws Khan. there was a dynastic change also in Kashmir and we note there the foundation of an independent Muslim sultanate by Sh¯ h Mir. 117–18. Sh¯ h Ra’¯s Ac zam. Torr¯ Khan II (1449–79). He was followed by a quick succession of rulers. 1989a. he was succeeded by his son. a this interrelation of events brings the histories of Gilgit and Kashmir together and confirms that Sau Malik II and Sh¯ h Mir were contemporaries. 128–9.

the headquarters of Baltistan 225 Copyrights . after this marriage of Ayasho II. who built the palatial forts of Baltit a and Altit in Hunza. The local historian Qudrat All¯ h Beg accordingly states that. This dynasty continued to rule in Chitral for nearly 300 years. their mutual struggle constantly affected the royal house. The river makes a great lake around the city of Skardu. There was a perpetual struggle between the rulers of Nager and Hunza until Sh¯ h Kamal came to the throne in 1559 and began a line which in a general had peaceable relations with the rulers of Gilgit. had many historical links with them. contacts between a Hunza and Baltistan increased. Finally. Sh¯ h Kator ı a I. where they lived until 1894. the tower of the Altit fort gives the date 955/1548. founded the Kator dynasty in Chitral in 1585 by usurping power from the Ra’¯siyya ı family. the Sh¯ hn¯ ma-i Chitral. As Hunza was always at war with Nager. Mayhuritham fled to Wakhan and gave his daughter in marriage to the ruler of Wakhan. His grandson. Ayasho II also sent artisans from Baltistan. a nickname of Prince Jamshid. The Kator royal family of Chitral We have earlier seen how Sh¯ h Ra’¯s Khan became the ruler of Chitral and founded the a ı Ra’¯siyya dynasty. Ayasho (alias Sh¯ h Khan) was a brought from Wakhan and placed on the throne. when it was destroyed by the Nager river. He was succeeded by Silum (or Salim) Khan.ISBN 978-92-3-103467-1 Contents Baltistan The Maglot ruling family of Nager The ruling family derived its name from Maglot. At first the Maglot rulers built a fortified village. Another account gives Mayhuritham as the next ruler. The succession to Girkis is variously given in different traditions. The Ayash ruling family of Hunza The origin of the Hunza royal house has been traced to the earlier Girkis. Baltistan Baltistan spreads upwards from the Indus river and is separated from Ladakh by the Siachen glacier. Accordı ing to the unpublished manuscript. he married a Skardu princess. This state. called Muko-Kot or Nager Khan. this dynasty came to an end in a a the sixteenth century and was succeeded by that of Sangin c Al¯. ruler of the Nager valley and founder of a royal house from about 1440. a daughter of c Abd al-Kh¯ n. being close to Wakhan and Xinjiang. A son born to them bore the name of Ayasho II and was crowned in Hunza.

i. Three ruling families were important: the Makpons of Skardu. spread Islam and built the Ambariq mosque. from which the family title Am¯ cha is possibly derived. 1500. 1907. am¯ tya (a word of Sanskrit a origin).11 Seven generations of rulers followed the founder of the dynasty in Skardu. converted the ı a local ruler. after the dissolution of this dynastic power. Two factors are important here: first. p. after marrying a local princess. The local traditions speak of an immigrant from Kashmir. 649 or 650). Vol.10 The involvement of the Tibetans in this region must have followed the consolidation of the dynastic rule in Tibet by its founder. He is also known to have provided a new socio-economic base for the district by importing people and craftsmen from Chilas and Kashmir. Only towards the end of the ninth century or at the beginning of the tenth. 144. Hunza and Nager. towering high above the surrounding plain. It was linked with the implantation there of a new ethnic element. then c Al¯ Mir and then Gh¯ z¯. then Ghotachon Singe. His residential seat was at Kharpocha fort. a Mashido. whose date of accession to power is given as c. We have distinct evidence of Tibetan inscriptions and the existence of the Tibetan form of Tantric Buddhism all over Baltistan. could a new power arise in Baltistan. Gor¯ Tham was followed by Gh¯ z¯ ı a ı Tham. Shams al-Din 10 11 12 Francke. 2. See Thomas. the establishment of Turkish authority in Gilgit. 1935. those of Shikri and Satpara. Vol. 5. 251. started the line of Makpon rulers of Skardu. p. 1842. and second. who. He is credited with having been the real founder of the state power of Skardu and he in fact founded the city of Skardu. next Bahr¯ m Sh¯ h and finally a a Makpon Bokha. the Am¯ chas of Shia gar and the Yabghus of Khaplu. Songtsen-gampo (d. This ruler was followed in turn by Khokhar Singa. It a ı was in the time of this last ruler that Sayyid c Al¯ Hamad¯ ni came to Shigar. Vigne.e.ISBN 978-92-3-103467-1 Contents Baltistan district. ¯ THE AMACHAS OF SHIGAR Sh¯ h Tham came to Shigar from Hunza and accepted service with the last local ruler. THE MAKPONS OF SKARDU Francke has related the history of the Tibeto-Dard kingdom (500–1000). Biddulph. p. 191. the expansion of the Uighur Türks in Xinjiang and their interest in controlling the trade across the Karakorum pass towards India. 226 Copyrights . He was a contemporary ı a ı of Makpon Bokha of Skardu and it was during his time that the famous Sufi.12 Ten generations separate Sh¯ h Tham and Gor¯ Tham. although others take the a title to be of Chinese origin. so-named because it means ‘low land between high places’. 1. Chs 3. who ruled from 1490 to 1520. 1977. It is quite possible that he was his minister.

and the imposing of his temporary suzerainty. but the Baltistan states were in close contact with Ladakh. a Contents Relations with Kashmir came to Shigar. however. In the fifteenth century an invasion of Baltistan by the Timurid Ab¯ Sac¯d Sultan is mentioned. which was then a close ally of Tibet. the Gilgit region was almost cut off from Tibet. It was probably threats from the north that later persuaded the Mughal emperors of Delhi to advance into Kashmir and still later into Baltistan and Ladakh. the Hunza princes went to Yarkand and obtained territorial rights in the Raskam area. there was no warfare between Kashmir and the states of this region. he died there in 1525. On the other hand. Subsequent rulers became subject. We have seen earlier how the rulers of Gilgit and Baltistan imported artisans and craftsmen from Kashmir and settled them there. was the invasion of the Timurid Ab¯ Sac¯d Sultan into several parts of Baltistan. and these introduced the Kashmiri style of architecture and also brought in decorative elements to ornament the wooden mosques and tombs. Of great cultural and religious importance was the advent of the Sufi Shaykh Sayyid c Al¯ ı 227 Copyrights . to the Mughal emperors in Delhi. THE YABGHU RULERS OF KHAPLU The very title Yabghu suggests a Turkish origin for the rulers of Khaplu. were able to reconquer their former kingdoms. 850 and continuing with a list of nineteen rulers up to Ac zam Khan Shah. But the most important relationship of the local rulers was that established with the royal family of Badakhshan. The state of Hunza and the Baltistan states were likewise in direct contact with Kashgharia. The rulers of Skardu and Khaplu waged many wars against those of Ladakh. Kashgharia and the trans-Pamir regions It was after the expulsion of the Tibetan forces from Gilgit and Baltistan that the new states of the medieval period came into existence. Relations with Kashmir In the medieval period. Thereafter. right from the beginning there were numerous cultural and commercial relations with Kashmir. u ı Relations with Tibet. in the seventeenth century. The most important event. and with military help from there. although some of the local rulers on occasion fled to Kashmir.ISBN 978-92-3-103467-1 c Ir¯ qi. Tradition gives the history of these rulers as starting with Bag Nanthal in c. In the earlier history of Hunza. particularly u ı Khaplu and Shigar.

These may be extended still further south-west on either side of the Indus river. i. was referred to as Yaghistan (Land of Rebellion. In this wide group. only later were they converted to Islam in this very region. This is the hard-core area of the orthodox Sunni Muslims. there is a deeper linkage with the Buddhist and Hindu south as far as cultural and religious aspects are concerned. Yet we find northern influences imperceptibly breaking the cultural unity. nor does it have any ethnic relationship with the Chinese. a connection with Taxila and Gandhara and even with the Indo-Gangetic plains is more firmly based. three distinct socio-political patterns are easily recognizable. These Turkic tribes migrated here soon after the Arab conquest of Central Asia in the eighth to the ninth century. the local population is not ethnically Turkic. probably because of political rivalries. i. however. Apart from the ethnic penetration from the north. but is today included in Kohistan district. Starting from the west. Linguistic. in British times. we first meet with the so-called ‘republican’ tribes localized in the valleys of Tanigr. At present. and it is this peculiar feature that explains the distribution pattern of Muslim sects in the northern areas of modern Pakistan. However. those who speak the Balti language in Baltistan and Burushaski. This penetration of Indo-Aryan tribes into the far-flung region of western trans-Himalaya has kept Chinese political and cultural influence out of this region. no-man’s-land). Moreover. thereby injecting a new elea ment of mysticism into the religious life of the local people. retaining at this time their shamanist and Buddhist beliefs. Khaplu and Skardu were of Turkic ethnic origin. In spite of these discrepancies.e. Hunza.e. Some early epigraphic evidence reveals the existence of 228 Copyrights . although they came to speak the languages of the regions where they settled. On the other hand.ISBN 978-92-3-103467-1 Contents Long-term socio-economic developments Hamad¯ ni and his disciples through Kashmir into Baltistan. friendly relations with Kashmir. palaeographic and even socio-cultural differences can be traced to this one main factor. the influence of Sayyid c Al¯ Hamad¯ ni and his disciples from Kashmir became an ı a enduring feature in the Islamic penetration of the region. the particular sub-branch has been termed Dardic. Yet this cultural penetration did not establish close. which. It is likely that the relationship with these Turkic tribes has been a factor in the cultural connections of the population of this part of these areas and Xinjiang. Darel and Chilas. this may explain the acceptance of Turkish royal families as rulers. Long-term socio-economic developments All the ruling families from Chitral to Gilgit. Except for the Balti-pa. the Aryan character of the land has been further shielded by the Turkic peoples of the neighbouring Xinjiang province of western China. they all belong to the Indo-Aryan group as far as their languages are concerned.

The ruling families and their associated élites have established a political authority. who migrated from across the Pamirs at a much later date. which the British Indian records characterized as ‘republican’. however. (There is also the Wakhi-speaking population. although these two terms have nothing to do with ethnic groups.ISBN 978-92-3-103467-1 Contents Long-term socio-economic developments small kingdoms here. Burushaski society is freer. It is this Burushaski-speaking population who are now Ismac ilis. attitudes. As it is open to Kashghar through the 229 Copyrights . which is a melting-pot of influences from Tibet. exercised control over the area. When these tribes moved into Gilgit. but tribal elders negotiated political relations with superior military powers. Local defence was organized by able-bodied young men hailing from various families. Yasin and even Chitral raided into this territory. It was probably under these circumstances that these tribes moved into Gilgit. Even the ruler of Swat advanced right up to Kandia valley with his soldiers. they move freely in society and share equal responsibility with the men. and. However. from the population in Gilgit. traditional customs. Kashmir and even beyond from the further Indian side. but at some point in the medieval period these kingdoms disappeared and the different tribes established their own tribal system of political management. It appears that aa the r¯ j¯ s of Gilgit. according to the latest research. depending on their aa might. they accepted the authority of the local r¯ j¯ . socio-economic and feudal connotations. and finally the western part of the Indus river fell under his control. The second important sub-area contains the Burushaski-speaking population in Hunza. The Tibetan and Ladakhi influence is largely seen in the local language. they have been pushed into their present home by the Shina-speaking population.) The Burushaski-speaking population had a much wider distribution in the past but. It was probably as a result of this Pashtun penetration that the jirga system of tribal assemblies became widespread in this sub-region. but the gulf between this upper structure and the mass of the Burushaski population is easily recognizable to anyone who lives in this society and notes the great influence exercised by the local population on the ruling élite. The third important sub-area is Baltistan. the social system of the indigenous local tribes is fundamentally different from that of the Pashtuns. geographic names. At a later period the British encouraged the migration of Pashtun tribes from the direction of Swat into the no-man’s-land in order to create a manageable political force in that area. These political units had no kings. Chilas and other western areas. they have. and the Gilgit and Chilas on the other. The difference between the Hunzakuts on the one hand. was so great that early British Indian writers applied the term ‘Yashkum’ to the Hunzakuts and ‘Shin’ to the western tribes. rather. and even in social categorization. physical types and probably also in the social behaviour patterns. Ladakh. The Burushaski population is fundamentally different in behaviour patterns. The women have greater mobility and better social standing and status.

The amount of such cultivable land is very limited. These two categories are not much known in Baltistan. Similarly the Chilasis. The origin of this hostility is not known. Nevertheless. However. individuals have their own rights and privileges. but it appears to be rooted in some kind of landowning overlordship. hence there have been constant wars among tribes for the possession of land. Its relationship with Kashmir. who are low-class immigrants from Kashmir. the enmity between Nager and Hunza is proverbial.ISBN 978-92-3-103467-1 Contents Long-term socio-economic developments Soltoro and Karakorum passes. which range in terraces from top to bottom. Gilgitis and people of Yasin have traditionally been bitter rivals. As the traditional economy depended primarily on agriculture and pastoralism. The three divisions given above show the socio-cultural cleavage between the Shinaspeaking people and the Burushaski-speaking people. That is probably because Baltistan lies midway on the direct route between Kashmir and Kashghar. which extended its political authority here. the two dominant classes are those of Shins and Yashkuns. It is this system that has led to perpetual rivalry and wars. a system that has survived from the pre-Muslim period. As against them. is known to date back to the Mughal period. the ruling families have had a blood relationship with those of Hunza because the Hispar glacier on the north permits a direct route from Shigir to Nager and Hunza. River irrigation is not much developed since it is difficult in a hilly country. made many compromises with the local population. who exhibit a deep-seated rivalry and hatred for each other. It is these rights that are disputed by Shins and Yashkuns. 230 Copyrights . it is probably the Kashghar channel that introduced both Shic ism and the N¯ rbakhsh¯ Sufi order. Ownership is common rather than individual. Instead. But the ruling élite. the two systems are unevenly distributed in the different valleys. It would be interesting to discover how much of the Tibetan social system is still current among the original population of this sub-area. it is mainly Kashmir and Kashghar that have left an indelible influence as far as Islam is concerned. but within the common lands. these two differ from the Baltis in physical type as well as in various aspects of cultural life. In social classification. however. at the same time. the two dominant religious currents u ı that now exist. common ownership is limited within a particular valley. Although as a result of Kashmir’s influence Islam arrived here quite early. the northern influence is no less important. there is the class known as doms. With all these geographic features and political connections. melted glacier water is distributed and channelled from great heights to the lowest-level fields. apart from the professional groups.

the disciples of Sayyid c Al¯ Hamad¯ n¯ reached the region in ı a ı late medieval times. Twelver Shic ite or adherents of the N¯ rbakhsh¯ Sufi order. Sayyid Sh¯ h Afdal. Islamization was a gradual process. in the manner in which graves Id-i a and tombs are built. a a u a uı ı uı now buried at Skardu and Kuwardu respectively – who are known to have come from Persia through Yarkand in the sixteenth century and are mainly responsible for the spread of Shic ism. 1830. the nature of Islamic beliefs and practices differs from one sub-region to another. in the beliefs in fairies and their hold in the minds of the local people.ISBN 978-92-3-103467-1 Contents Socio-religious developments Socio-religious developments At present. ceremonies and dances that are quite distinct from the Islamic c ¯ Qurb¯ n. Each one of these aspects deserves a special study. the entire population of the Northern Areas is Muslim. Although it is disputed whether Shams al-D¯n was a N¯ rbakhsh¯ adherent ı u ı or a Shic ite. Mir Sayyid c Al¯ T¯ s¯. in the animal sacrifices. forms of pots and pans. Danyor and Gulmit. These practices are themselves greatly influenced by surviving cultural rituals and behaviour patterns inherited from the past. 231 Copyrights . Shigir and Kiris in Baltistan. his connection with Kashmir is well established. and the dead interred there. south and west. It is from Baltistan that five preachers – Sayyid Sultan c Al¯ c Arif. However. but Islam did not spread here all at one time and from one direction. now ı a ı lying buried in Skardu. There is another family of missionaries – Mawl¯ n¯ Sayyid Mahm¯ d Sh¯ h T¯ s¯ and his brother. and as a result of the influences from the neighbouring areas of north. ornaments. including the devastating effect of the glaciers. Sayyid Sh¯ h ı ¯ a Wall. There is no definite information on the advent of Ismac ilism u ı before c. and in the local dress. as they have continued to characterize socio-cultural practices differently in the different sub-regions. Thus we may note the legacy of pre-history in the form of rock art that has continued up to the present day. the Muslims of the region are either Sunni. Credit must go to Shams al-D¯n c Ir¯ q¯ and his family members. in the reverence paid to the standing rocks. Today. for their continued missionary activity in this area. monoliths and high mountains. Sayyid Akbar Sh¯ h and Sayyid Sh¯ h Ibr¯ him – are known to a a a a have travelled towards Gilgit and spread Shic ism there. Ismac ili. their tombs are found at Gilgit. and many household objects that are firmly interwoven into the pattern of a socio-economic life that is rooted in the horticultural and pastoral productive system of the region.

. . . . one might say. under this name. Editor’s note: the form ‘Kara Khitay’ is used throughout this Volume for consistency with the Islamic sources. . . . rather. . . 427 and 432–3. . . . Before the fifth century. . the northeastern province of China. a name better known in its Chinese transcription: t’o-pa. almost a family feud. . . . where Hu may be considered a generic name for barbarians. . . we shall follow the destiny of one people which. . . . . and Shih-wei were all See Maps 2 and 5. 232 239 The rise of the Kitan Kitan history does not fit easily into the usual pattern of national histories. Chinese sources first mention the Kitan. under a different name or names. . . . . Sinor Contents The rise of the Kitan . . in connection with a defeat inflicted on them in 406 by the Chinese Wei dynasty. The subject of this chapter is not the history of one nation-state defined by more or less stable geographic frontiers. but the military reverse prompted them to move into the Sung-mo area of what was to become Jehol. . . has not only twice changed its country but has also undergone a remarkable cultural and linguistic metamorphosis. . . . . . Kitan. . . . . . . . . .ISBN 978-92-3-103467-1 Contents The rise of the Kitan 11 THE KITAN AND THE KARA KHITAY*1 D. Or Karakitay. . . 1 * 232 Copyrights . . . . though maintaining its feeling of identity over a period of some eight centuries. . The Tabgach. . . pp. The rise of the Kara Khitay . The Wei–Kitan conflict was. . The Northern Wei dynasty (386–538) was of alien (Tabgach) origin. . . At that time the Kitan lived on the upper course of the Liao river. . . . . . . . the Kitan belonged to the heterogeneous group called by the Chinese T’ung Hu (Eastern Hu). . .

legendary ruler of the Uighurs. Their language was Mongol with some archaic features and they may have spoken different dialects. Their ancestral territory was marginal to the rich pastures of the steppe but still suitable for pastoralism. The Kitan took full advantage of this. at the confluence of the two rivers. the man and the woman united. concentrating on horse-breeding. A white horse and a grey ox remained sacrificial animals among the Kitan. mining and metallurgy in general were to play a major role in Kitan history. but the next day 233 Copyrights . One was said to be a mere skull. The habit of covering the ruler with a felt rug survived in the investiture ceremony of the later Kitan (Liao) emperors. the Kitan appear as a conglomerate held together by economic or political interests rather than by sharing the same culture. The composite character of their civilization is reflected in their ancestral legend. Both rulers vanished when their secret identity was improperly interfered with. More importantly. with a modicum of industrialization unparalleled anywhere in medieval Inner Asia. an animal which places at least some of the Kitan tribes firmly in a forest-dwelling. All in all. clearly he was perceived as a pig. probably symbolizing the two main components of their culture. both activities being pursued on a grand scale. Another ruler. Shamans played an important role in the ceremonies connected with these sacrifices. emerging from his tent and taking human shape only for the ceremonial occasions when the white horse and the grey ox were sacrificed.ISBN 978-92-3-103467-1 Contents The rise of the Kitan detached clans of the Hsien-pi. The Kitan tribes occupied a region which incorporated the eastern slopes of the Khingan mountains and also the plains crossed by the Shira Muren. the descendants of their eight sons were to form the original eight tribes of the Kitan. covered with felt. There was also land suitable for agriculture. eastern Tunguz cultural group. was reported to have had a boar’s head and was dressed in pigskin. Fragmentary legends recorded by understandably sceptical Chinese historians would suggest that at least some of the early Kitan rulers led a segregated life and remained inaccessible to the people. with horned cattle and sheep being of secondary importance. and the forests and rivers of Manchuria provided for extensive hunting and fishing. At Mount Mu-yeh. It should be noted that the text of the Liaoshih [History of the Liao] which provides this information allows the interpretation that procreation resulted from the union of the two rivers. equally sequestered and appearing only when the need arose. From the outset. The motif of the birth of a mythical ancestor at the confluence of two rivers appears also in connection with Buqu Khan. A third mythical ruler was said to have owned twenty sheep. Each day he ate nineteen of them. according to which the Kitan descended from the union of a man riding a white horse along the Lao-ha river and a maiden travelling in a cart drawn by a grey ox along the Shira Muren. the land on which they lived allowed the Kitan to develop a diversified economy. the Kitan’s country was an ore-rich land.

In 907 A-pao-chi assumed the Chinese name T’ai-tsu and declared himself emperor of the Kitan. having faced what must be viewed as an ordeal. In the course of the ceremony the future emperor gallops off.ISBN 978-92-3-103467-1 Contents The rise of the Kitan there were twenty again. combining the skills of the Shihwei tribe (reputed specialists in working metal) with those of the recently settled Chinese. and in 872 A-pao-chi of the Yeh-lü (also called I-la) clan was elected. Inhabited by Chinese who had fled the disorders which marked the fall of the T’ang empire. ‘falls’ from his horse. He became the founder of the Kitan empire. In the Türk ceremony of investiture. the eight Kitan tribes were governed by a chieftain elected from among the members of the Yao-lien family for a period of three years. Perhaps even more important was A-pao-chi’s acquisition of the lake which provided the salt used by the Kitan tribes. he established iron smelteries. The economic power of Apao-chi enabled him to gain the support of an ever-increasing group of Kitan. sometimes as enemies and at other times as allies. at the end of his third term A-pao-chi was reluctant to abandon the reins of power. gold and salt. copper. Twice re-elected. He had paid particular attention to the development of metallurgy and. the Kitan are often mentioned in the exploits of the celebrated rebel Ngan Lu-shan. and. In Kitan practice. The story of ‘King Skull’ and ‘King Boar’ permits the assumption that early in their history. while he was at the helm. 234 Copyrights . situated on the Luan river. in whose hands real power lay. the Kitan were ruled simultaneously by two men: one. but also had considerable mineral resources such as iron. the killing in an ambush of all the rival chieftains secured his power. the future Kaghan being first bundled in a felt rug and then put on horseback. In the middle of the eighth century. the ceremony culminated in the emperor being raised on a felt carpet. perhaps an elected individual. with the consent of the tribes. By the ninth century. as recorded by the Chou shu. This term could be cut short if. organized an independent tribe centred on the ‘Chinese City’. A-pao-chi (T’ai-tsu) thus became the first ruler (907–26) of a dynasty which in 947 took the name Liao – adopted in memory of the Kitan homeland located at that river – and ruled over northern China until 1115. the region was not only suitable for agriculture. certainly not current among the early Kitan rulers. sacral king living in seclusion. A-pao-chi’s father had already a keen perception of the advantages to be derived from industrial progress. The Yao-lien family gradually lost its grip. to be covered – as mentioned above – with a felt blanket. It should be noted that there is some doubt whether A-pao-chi ever used the title Kaghan. the order of events was reversed. a purely ceremonial. extraordinary calamities struck the community. the other. The investiture of the ruler followed practices well attested among other Inner Asian peoples.

In 479 some Kitan tribes. Born of a sun-ray. By that time the Türks held sway in Mongolia. In 938 Peking became the Kitan Southern Capital (Nan-ching) for which in 1012 they revived its old name. the Koreans) and the Juan-juan. With the founding of the (Northern) Sung dynasty in 960.2 Kitan history did not unfold in a vacuum and. The diplomatic skills of A-pao-chi were considerable. so our sources tell us. p. made the rewards and punishments equitable and abstained from wanton military campaigns. thereby extending Kitan territory well into China proper. Yen-ching.000 men. some Kitan sought refuge with the T’o-pa dynasty of the Northern Wei. Similar signs of precocity characterize the legendary Oghuz Kaghan. as we have seen. Gaining strength. 127. from the moment of his birth. The growing importance of the Kitan is shown by the fact that in 906 the founder of the short-lived Liang dynasty (907–12) thought it opportune to send envoys to A-pao-chi. 235 Copyrights . under attack by the Kao-chü-li (called somewhat later Kao-li. The history of Liao rule over China is beyond the scope of the present chapter. at that time the dominant power in Mongolia. and the treaty of Shan-yüan (1005) established a long-lasting peace on the basis of equality between Liao and Sung. followed by a period of political upheaval known in Chinese history as that of the Five Dynasties (907–60). a barrier to further south-ward Kitan expansion was erected. There is evidence of Kitan contacts with the great nomad empires centred on Mongolia.ISBN 978-92-3-103467-1 Contents The rise of the Kitan The Liao-shih also records the precursory signs marking the birth of a proper founder of a dynasty. i. he: treated all tribes kindly. The Köl Tegin inscription in Mongolia lists the Kitan among the peoples hostile to 2 Wittfogel and Fêng. A-pao-chi had the body of a3-year-old and could. fleeing a Juan-juan invasion. In 938 they had to repay this service in kind by ceding to the emperor T’ai-tsung (T’ai-tsu’s successor. The first recorded Kitan embassy reached the Wei court in 468. He was undoubtedly an exceptional man: the ancestral hero of an ascending dynasty. It took him but three months to walk and one more year to speak and to foresee the future. In the words of the Liao-shih. crawl on all fours. from the very beginning. eponymous ancestor of the Oghuz tribes. He benefited his people by pursuing their interests. 1949. submitted to the Wei.e. In the first part of the sixth century. It was with Kitan help that in 936 the Later Chin (one of the Five Dynasties) could establish their rule. Contacts became more frequent in T’ang times when. A-pao-chi’s rise coincided with the fall of the T’ang dynasty. the relationship with China was the dominant factor in external relations. the Kitan were increasingly inclined to take advantage of the weakening of central power. The herds flourished and both the government and the people were sufficiently provided for. 927–47) sixteen prefectures located in northern China. the Kitan then invaded the short-lived Northern Ch’i dynasty (550–70) but in the process they suffered the loss of some 100.

it is known that some Türk groups survived the dissolution of their empire. many former subjects of empires that no longer exist – such as those of the British or of the Habsburgs – look with a measure of nostalgia on the days of their ‘subjugation’. Hu Ch’iao. we know of Kitan attacks against the Western Türks in 916 and 983. It is not clear what was meant by the ‘Türks’ since by that time their states. mentions two groups of Türks: one. living to the west and north of the Kyrgyz. A-pao-chi ordered that an inscription in honour of the Uighur Bilge Kaghan be erased and replaced by a trilingual (Kitan–Turkic–Chinese) text extolling the deeds of the defunct Kaghan. Kitan–Türk hostility survived the fall of the Türk empire of Mongolia. a Chinese in Kitan service. In the middle of the tenth century. The Tonyuquq inscription. 236 Copyrights . whose empire succeeded that of the Türks in Mongolia in 745. almost a century later. By 924 the Uighurs had been settled for almost a century in a land where they were content and so they did not take up the offer. It seems likely that it was with the former group that the Kitan had their conflicts. But Uighur rule may have rested light on the Kitan. in 840. About this more will be said later in this chapter.ISBN 978-92-3-103467-1 Contents The rise of the Kitan the Türks though they were represented at the funeral of that Türk prince. took possession of Mongolia. However. the other far to the north in a very cold country. Interestingly. the Kitan were subjects of the Uighur empire of Mongolia. as may be concluded from the following anecdote. a joint diplomatic action was undertaken aimed at establishing contact with the Ghaznavids. It is impossible to establish the exact nature of Türk domination over the Kitan. Relations with the Uighurs. It may be more accurate to suggest that A-pao-chi took advantage of a political vacuum created by the gradual withdrawal of the Kyrgyz into their homeland in the Yenisei region. Kitan–Uighur political co-operation continued over the years and. of a slightly later date. The date of 924 is often referred to in the scholarly literature as that at which the Kitan. the old capital of the former Uighur empire. the text might have thrown light on the conjectures just adumbrated. It was in this frame of mind that A-pao-chi offered the Uighurs of Kocho the possibility of returning to their former homeland from which they had had to flee when. Theoretically at least. had long since disappeared. Unfortunately the inscription erected by A-pao-chi has not survived nor do we know which of the several Bilge Kaghans it was intended to honour. In 924. on the occasion of a visit to Karabalghasun. called the ‘Türks of the shan-yü’. What is certain is that by 924 the Kyrgyz evacuation of the Orkhon region must have been completed. If the historian may be allowed to suggest a seemingly far-fetched analogy. having defeated the Kyrgyz. both Eastern and Western. the Kyrgyz put an end to their empire in Mongolia. were more friendly and more complex. speaks of a Tokuz Oghuz–Chinese–Kitan triple alliance against the Türks.

though fewer in number. IV. i. somewhat surprising. but there was no one who could understand their language. Among the powerful women in the Liao-shih mention should be made of Hu-lien. it should be recalled. there was no one who could speak Uighur. Since the short notice raises several questions. such as the I-shih. Recent research4 indicates otherwise. The Kitan tribal confederation comprised several tribes of Uighur origin. The Kitan created two scripts. p. T’ai-tsu’s widow refused to follow her deceased husband into the grave – as tradition would have demanded – and got away with it. at the precise time of the messengers’ arrival. in fact. the Kitan and the Uighurs were connected in more than one way. ‘Tieh-la [a younger brother of the emperor] is clever. and to the layman’s eye both are similar to 3 4 Wittfogel and Fêng. not only the male but also the female ancestor of the Kitan was duly honoured. covered everything. See Ch. Texts written in each of them have survived. 243. Part Two. particularly following the Uighurs’ expulsion from Mongolia. and in the emperor’s immediate entourage. it is given here in the translation of Wittfogel and Fêng: Uighur messengers came [to the court]. The second part of the statement has been widely interpreted to mean that the ‘small’ characters of the Kitan script were. In 994 she led a campaign against the Tatar and ten years later founded K’o-tun ch’êng. the ‘city of the Kh¯ t¯ n [the empress]’ near the Orkhon au river. those of the script used by the Uighurs. wife of the second son of T’ai-tsung. second in rank only to the imperial Yeh-lü clan. Her act of defiance marked the end of the custom.’ By being in their company for twenty days he was able to learn their spoken language and script. The empress accompanied her husband at ceremonial hunts and participated in public ceremonies such as the annual sacrifice at Mount Mu-yeh where. For all his cleverness.ISBN 978-92-3-103467-1 Contents The rise of the Kitan Beyond strictly political links. Also of Uighur origin was the Hsiao clan which provided consorts to the ruling Yeh-lü. The empress said to T’ai-tsu. 9 by György Kara in Vol. Kitan women of her stature presage the long-ruling female regents of the Kara Khitay and the forceful Chinggisid consorts of the thirteenth century. He may be sent to welcome them. The power of the consort was almost as great as that of the emperor. 1949. which may simply indicate that. Tieh-la could not have learned Uighur in twenty days. which in the sources are called respectively ‘large’ and ‘small’. Then he created [a script of] smaller Ch’i-tan characters which. it must be assumed that he knew it already.e. The Liao-shih records for 924 the arrival of Uighur messengers to the Kitan court.3 The first. of this History 237 Copyrights . fact that emerges from this notice is the seeming ignorance of the Uighur language in the Kitan court. Yet one should not attach too much importance to the statement. at present neither of them completely deciphered.

in Gard¯z¯’s ı ı words. It was clearly prompted by the news reaching the Kitan that Mahm¯ d of Ghazna (998–1030) had embarked on a series of conquests which u brought the eastern limits of the Ghaznavid state close to the Kitan sphere of interest. The Liao emperor Sheng-tsung (982–1031) decided to send an exploratory mission which was joined by an Uighur mission. Arabic sources mention their arrival which they interpret either as proof of the Kitan’s fear of Ghaznavid might or even as their desire. the link with the arrival of the Uighur messengers is coincidental. 238 Copyrights . Important and cordial as Kitan–Uighur relations may have been. and in 924 an Arab embassy. of his supremacy over the amirs by awe. 1120. writes the Khan. 1942. The rise of Kitan power did not go unnoticed in the Islamic world. Tieh-la is probably justly credited with the invention of the ‘small script’. and to treat him with consideration according to his state. The superficial similarities notwithstanding. the Kitan took care to keep their distance from the politically insignificant Uighurs of Kocho. of his control of the provinces by might and authority and of his peace in his homeland according to his own will. Anyone in the world who can see and hear cannot help seeking friendship and close relations with us. the systems underlying the two scripts are different and the ‘small’ script has nothing to do with any of the scripts used by the Uighurs. In 923 a Persian delegation. and their letters and presents follow upon one another. In our capital we enjoy security and act according to our will. while we hear of his excellence in strength and courage. ‘that love and respect should be 5 Minorsky. ‘We ardently desire’. Our nephews from among the amirs of the nearer regions constantly and without exception send their envoys. As he enjoys such a glorious position it is a duty for him to write his news to the Supreme Khan than whom there is none higher beneath the heavens. So we have taken the initiative.ISBN 978-92-3-103467-1 Contents The rise of the Kitan Chinese characters. arrived at the court of T’ai-tsu. the geographer and ethnographer Marvaz¯ gives the text of Sheng-tsung’s letter to Mahm¯ d: ı u The Lord of Heavens has granted to us (many?) kingdoms upon the face of [this] wide earth and placed us in possession of regions occupied by numerous tribes. the first recorded Kitan embassy to the west visited Ghazna in 1026 or 1027. On two occasions Uighur requests for imperial brides were rejected. In his work written c. 19–20. The Kitan seem to have been slow to respond to these overtures. ‘to place themselves at his service’. a rather sophisticated process. since it involved the fertilizing of the plants with cow dung and their protection with mats. in view of the greatness of the distance and the length of time [necessary] for covering it. of his outstanding position in might and elevation.5 Marvaz¯ also gives the text of the message of the Uighur Khan. much more modest in tone ı but equally friendly. pp. [Only] he [Mahm¯ d] until now has sent no envoy u or messenger. Uighur cultural influence on the Kitan manifested itself in various ways and included the teaching of the cultivation of melons. limiting ourselves to the dispatch of this lightly equipped envoy rather than someone who would exceed him in rank and equipage.

self-styled emperors. Yeh-lü 6 Minorsky. taken in the fearful pincer of the Jurchen Chin advancing from the north and the Sung from the south. The integration of the Kitan into the new Jurchen Chin state does not belong to the history of Central Asia and. The rise of the Kara Khitay Thus. A highly educated man. We must. 1942. In the general maelstrom of war. as well as the political and military skills. The success of the enterprise was due to the extraordinary determination. I have no need of close relations with you until you accept Islam. There was u little likelihood of a Ghaznavid–Liao conflict. . revolted and under the leadership of A-ku-ta (1068–1123) conquered most of northern China. 21. known as the emperor T’ai-tsung. following a rule of just over two centuries. Yeh-lü Ta-shih was put on his mettle in a number of military engagements with the Sung in which he revealed an uncommon military talent. Needless to say. a descendant in the eighth generation of T’ai-tsu. . u he did not find it possible to grant what was requested with regard to the establishment of sincere relations and correspondence. Mahm¯ d was certainly not overawed ı u by the Kitan initiative. the third in the course of their known history. the emperor T’ien-tsu had to flee and in 1125 was eventually captured by the Chin. amid intrigues and counter-intrigues and contending. however. 239 Copyrights .ISBN 978-92-3-103467-1 Contents The rise of the Kara Khitay established between [us]. The short-lived Jurchen dynasty of the Chin (1115–1234) was established byA-ku-ta’s younger brother. The danger arose in the Kitan’s own Manchurian hinterland where the Tunguz Jurchen. hence.’Judging by Marvaz¯’s text. nor by a sudden change in the modus vivendi established with the Sung. p. Kitan dominion over northern China ended. and he dismissed the envoys. The fate of the Liao was not sealed by any distant menace. follow the destiny of the Kitan in Central Asia where. showing a remarkable resilience. And that is all. He fully realized the plight of the Liao. With more than half his territory occupied by the Jurchen. of Yeh-lü Ta-shih. There is no faith uniting us that we should be in close relations. In Marvaz¯’s words: ı When the two letters were presented to Mahm¯ d and he saw what stupidity they contained. and one major city after the other taken. cannot be dealt with in this chapter. for many years subjects of the former.’6 Harsh though Mahm¯ d’s reply was. ephemeral. Great distance creates security for both of us against perfidy. saying to them: ‘Peace and truce are possible only so far as to prevent war and fighting. it certainly contained a core of realism. the demise of the Liao did not imply the disappearance of the Kitan people in its homeland or even in the conquered territories. they embarked on the foundation of a new state.

Yeh-lü Ta-shih now had an army of some 10. who became his principal antagonist. though fast growing. He then advanced towards Mongolia where. he took the title of king or emperor. the Kara Khitay ruler wished to distinguish his regime from those customary in Inner Asia. Since one must count at least 2 horses per warrior. Yeh-lü Ta-shih decided to proceed westward. but what is certain is that. Yeh-lü Ta-shih turned north where he obtained the modest support of the White Tatars. As a fugitive with no territorial base. That he brilliantly succeeded in this undertaking gives the measure of his genius. Appalled by the emperor’s incompetence and unwilling to undertake military operations that were doomed to failure.ISBN 978-92-3-103467-1 Contents The rise of the Kara Khitay Ta-shih operated with great skill and a good measure of ruthlessness. Ta-shih’s prime objective was the restoration of the Liao or the creation of a new empire resting on the military resources of the steppe peoples. First. In later years. his following. to avoid risky confrontations. he had himself called Gür Khan. The sources report that before embarking on the long expedition. at this moment. As an outcome of the successful meeting in K’o-tun. There is a twentieth-century parallel in Hitler’s and Franco’s choice of the unconventional terms Führer and Caudillo respectively. Among the many qualities of Yeh-lü Ta-shih. putting expediency above every other consideration. he delivered a rousing speech requesting their help in the extermination of the Chin and the re-establishment of the Liao empire. According to Chinese sources. Yeh-lü Ta-shih dutifully 240 Copyrights . at the outset of his second career. a dignitary title he was the first to use.000 horses. simultaneously. and perhaps toying with the idea of collaboration with the victors. at that time. His immediate further actions would suggest that he opted for the second alternative. who in or about 1008 adopted Nestorian Christianity. It could well be that by the adoption of an unusual title. in order to gain any credibility he had to raise an army willing to follow him on a road not yet charted leading to a state not yet founded. in 1124 – while T’ien-tsu was still alive – Yeh-lü Ta-shih set out with a small band of followers to create a state of his own. he started out with 10. It is a matter for speculation whether. to an assembly of tribal chiefs and heads of Kitan prefectures. he escaped and made his way to T’ien-tsu. but insufficient for largescale operations against the Chin or any other major power. an erstwhile companion of Temüjin (later to be known as Chinggis Khan). was very small indeed. It is a composite of the conventional term Khan and the adjective gür (universal).000 horsemen – a respectable force when well led. Gür Khan was also the title of the ruler of the probably Turkic-speaking Kerait. There is some doubt whether. There was a need for further allies and. inK’otun city by the Orkhon. the title Gür Khan was assumed by Jamuka. Captured by the Chin. his powers of persuasion must have ranked second only to his steely determination.

though the first of these suggests a palatalized n sound. a hundred camels. at a minimum. it should be mentioned that. and declaring himself a vassal of Ta-shih. we should pause for a moment to examine a change in their name that occurred almost concurrently with this migration. similar to gn in French ‘agneau’. First. According to the Liao-shih: He presented him with six hundred horses. and to prove his sincerity gave some of his sons and grandsons as hostages. For reasons unknown. 241 Copyrights . Ta-shih emphasized the time-honoured friendship between Uighurs and Kitan. The exact significance of the epithet ‘black’ (kara) in tribal or personal names is not fully established.) The ‘Kitan’ pronunciation of the name is vouchsafed by the Türk. In 1125 – the date is uncertain – he requested permission from the Uighur ruler of Kocho to pass through his territory towards the west. towards the steppes of Central Asia. The Uighur king of Kocho agreed to the passage of the Kitan troops through his territory. ‘Black’ Kitai or Kitay. It ´ so happens that the final -n or -´ became -y in the language of the Uighurs of Kocho. Before we follow this Kitan advance.e. although Chinese historians shed few tears over the fall of alien. that founded by Yeh-lü Ta-shih has continued to be listed also in the Chinese annals under the name of Hsi (Western) Liao. the advance of Yeh-lü Ta-shih towards the west was not impeded by the Uighurs. conquest dynasties. in fact. it might have taken a few years during which Yeh-lü Ta-shih prepared his forces for the conquest of West Turkistan. pp. through two centuries of rule over China. 1911. Referring to the erstwhile Kitan offer that his ancestor T’ai-tsu had made to the Uighurs to re-establish them in Mongolia. It can be taken for granted that. a telling sign of Kitan cultural continuity carried from the Manchurian forests. The first question that emerges is: why has the final -n in the name been replaced by a -y? (The value of the final -i as written in the conventional spelling of Kitai is. in Muslim sources the Kitan who migrated to the west appear under the name of Kara. that of a -y as in the English ‘yes’. accompanied him as far as the boundary of his realm. How long this crossing took cannot be established. and three thousand sheep. Most n probably the populations of West Turkistan became acquainted with this name through the intermediary of Uighur and adopted its Uighur form. but the more likely interpretation is that it is an honorific of sorts widely used among Central Asian peoples in conjunction with other ethnonyms. i. Chinese and Tibetan transcriptions. The fact that the Mongols of the thirteenth century continued to use the original ‘Kitan’ form supports this explanation. 7 Bretschneider.ISBN 978-92-3-103467-1 Contents The rise of the Kara Khitay performed the traditional sacrifice of the grey ox and the white horse. 214–15.7 Whether the co-operation between the kingdom of Kocho and the Kitan was really as harmonious as the sources wish us to believe is of secondary importance.

as time passed. Perhaps. It should be emphasized that the reconstruction of Kara Khitay history is. whether peaceful or warlike. if this is what it was. he found this aim unrealistic. at least one wing of Yeh-lü Ta-shih’s army met with little luck and. a Khitay tribe still lives in southern Kyrgyzstan. through Kyrgyz territory. unable to cope with a ı his unruly Kanglï and Karluk subjects. ‘some traces still remained’. The character of this move. Chapter 6) and. probably in 1128 near Kashghar. cannot be determined. Hasan Arslan Khan. It would appear that. The Karakhanid ruler. sought and obtained Yeh-lü Ta-shih’s help. he made no serious effort at a reconquest. completely destroyed.ISBN 978-92-3-103467-1 Contents The rise of the Kara Khitay We have seen that the first Kitan attempt to establish contacts with the Islamic world foundered on Ghaznavid arrogance. Hasan (Arslan Kara Kaghan). 1. 355. in subsequent centuries. Now. Yeh-lü Ta-shih was now faced by the Turkic tribal confederation ruled by the Muslim Karakhanid dynasty. Ahmad. The dispatch in 1134 of an expeditionary force which he did not join himself was more an empty gesture than a real effort to achieve this aim. suffered a defeat at the hand of the Karakhanid ruler Ahmad b. Internal dissent within the Eastern Karakhanid state facilitated Yeh-lü Ta-shih’s search for a territorial base. Whatever the true motive. at best. took the form of the occupation of the Karakhanid capital Balasaghun in the Chu valley and the de facto elimination of Karakhanid rule in the region. The two foci of this state were the cities of Kashghar and Balasaghun. The relevant Chinese and Muslim sources are often in contradiction and it is possible that occasionally both are wrong. advancing in the Tarim basin. Since about the middle of the eleventh century there were in fact two Karakhanid states (see above. Unmistakably. tentative. Ibr¯ h¯m II b. in the mid-thirteenth century when the Persian historian Juwayn¯ wrote his work. In Juwayn¯’s words. almost exactly one century later. through geographic necessity. This assistance. ‘the Gür Khan proceeded to Balasaghun and ascended the throne that ı 8 Juwayn¯. the latter located in the Chu valley and. the advancing Kitan first had to face the eastern branch ruled since 1103 by Ahmad b. It could also be that he thought that the creation of a new empire further west offered him a better opportunity to leave his mark on history. Nor is it known with any degree of certainty which of the two Kara Khitay wings – if indeed it is justified to speak of such a division – built the city by the River Emil of which. Vol. p. ı 242 Copyrights . Ghaznavid power was a shambles and the Kitan ruler a virtual fugitive.8 ı Yeh-lü Ta-shih left his country and moved westward with the avowed intent of gathering sufficient forces to re-establish Liao power over China. 1958. Yeh-lü Ta-shih’s ambition was to carve himself an empire in the west. Ta-shih was more successful in another push westward.

a fictional Christian king of the east bringing sorely needed relief to the Crusaders battling with the Seljuqs. near Khujand. perhaps a concession to the predominantly Turkic population of the Kara Khitay empire. According to Kitan traditional reckoning – which the Kara Khitay probably followed – each household had 2 adult. the Kara Khitay forces numbered probably fewer than 20. It was headed by the Ilig-i Türkmen. Whatever the value of these figures. Sunni religious leaders who dealt directly with the Gür Khans. a Kara Khitay contingent of 10. It could not influence in any significant way either the 9 Ibid.9 Yeh-lü Ta-shih had thus acquired a capital city. was allowed to remain in place.ISBN 978-92-3-103467-1 Contents The rise of the Kara Khitay had cost him nothing’. u Clearly. During his reign. the Gür Khan u inflicted a crushing defeat on the joint forces of Mahm¯ d II and Sanjar at a battle fought u north of Samarkand in the Qatwan steppe in September 1141.000 men. in which the latter called on him for help. Unfortunately. The neutralizing of the Eastern Karakhanids did not satisfy the ambitious Gür Khan. Karakhanid amirs. Effective power was in the hands of the Burh¯ n family of Bukhara. it is usually assumed. This figure probably does not include the population of the conquered territories. Ibr¯ h¯m II. Yeh-lüh Ta-shih died in 1143 and was succeeded by his widow. 243 Copyrights . the so-called sud¯ r a u (‘eminences’). He showed no a ı more courage this time than when he had yielded to Yeh-lü Ta-shih. In 1137. he sued for peace. it is certain that the Kara Khitay element constituted but a small fraction of the population under its control. a nephew of Sanjar. the deposed Karakhanid Ibr¯ h¯m II. Kara Khitay involvement in the perennial conflicts in Transoxania continued. arms-bearing men. faced by the forces of the Khwarazm Shah Il Arslan. answering a request for help from the Khan of Samarkand. occupying the more modest position of Ilig-i Türkmen (Ilig-i Türk?). who acted as regent for 8 years until Ta-shih’s son Yeh-lü I-lieh (1151–63) could ascend the throne. while recogniza ı ing Kara Khitay suzerainty. who now embarked on a western expansion of his domain. T’a-pu-yen (the empress Kan-t’ien by her honorific title). the date when this happened cannot be established with any degree of certitude. Taking advantage of a conflict between Mahm¯ d and his Karluk subjects. In the decisive battle fought on the Qatwan steppe. he defeated the Karakhanid Mahm¯ d II. which brought the whole of Turkistan under Kara Khitay control. the powerful Seljuq sultan. continued to rule. A census taken under I-lieh counts 84. News of this débâcle reached participants in the Second Crusade and.000 men was sent to his rescue. In 1158. Yeh-lüh Ta-shih did not assume direct governance. became the basis of the creation of the legend of Prester John.500 households with men aged 18 or older. Yeh-lü Ta-shih was bent on further conquest. the marauding refugee was now in possession of a fixed territorial base. Despite his victory at Qatwan. recognizing his suzerainty.

It was to respond to the needs of a state in which ethnic. In vivid contrast to some of their Muslim vassals. One might argue that with the appearance of the Kara Khitay state. whose missionary activity continued unhampered by the Gür Khans. the Yeh-lü clan and its followers represented a minority within a much larger population which. 665. as they probably were. Here too. however. by replacing the Karakhanids in Balasaghun. While ruling over China. The tasks faced by the Kara Khitay state were very different. the Kara Khitay rulers followed a policy of religious tolerance.ISBN 978-92-3-103467-1 Contents The rise of the Kara Khitay economy or the cultural structure prevailing in the land. ‘a limited imperial domain [was] surrounded by a vast agglomeration of vassal peoples. if at all present. was far from homogeneous. In the twelfth century the 10 Wittfogel and Fêng. beyond this. a process symbolized by the claim to universality as expressed by the title of the ruler. the payment of taxes. they superimposed an alien culture on the local population. What is known for certain is that the Kara Khitay were not Muslims and that. 1949. and Kara Khitay copper coins were minted on a Chinese pattern and carried Chinese characters. In this. religious and cultural diversity excluded the possibility of a strong sense of solidarity. The vast majority of the Kara Khitay subjects were Muslims. based. the Kara Khitay were the precursors of the Mongols. The chancery used Chinese script. a feature which was also to characterize the rule of the Mongols. The political aims of the Kara Khitay appear to have been modest. There is every indication to show that in organization and combativeness the Kara Khitay armies were on a par with their Central Asian counterparts: they won some battles. sedentary as well as nomadic’. Of particular interest is the florescence of the Nestorian Christian Church. they lost others. the latter kept alive by the Yeh-lü clan. speaking a Turkic or Iranian language. 244 Copyrights .10 The tradition and the values of this Kara Khitay island constituted a conglomerate of Chinese and Kitan customs. Both demanded little other than recognition of their rule and. as also in chronological order. Very little is known about the cultural fabric of the Kara Khitay. inheritors of a centuries-old tradition and know-how of government. was widespread and possibly the language in Yeh-lü Ta-shih’s entourage was Chinese. For lack of evidence. By the side of the native ruler stood the vigilant Kara Khitay official whose task it was to ensure regular payment. the Kitan (Liao) had operated within a fairly homogeneous Chinese population whose vast majority did not object to the alien rule for the simple reason that it did not seriously interfere with their way of life. in Wittfogel’s words. p. on a correct assessment of their military strength. The Yeh-lü dynasty was probably Buddhist but did not try to impose this persuasion on its subjects. It seems unlikely that the use of Mongol. an alternative political structure to the traditional Inner Asian Kaghanate was emerging. even their language cannot be established with certainty. Here.

he was accompanied by a substantial number of Naiman whose arrival upset the delicate internal balance prevailing within the core of the Kara Khitay empire. the Gür Khans had been deeply influenced by and. Ch’êng-tien’s demise was not caused by any political or military actions on her part. then living on the upper Irtysh. Transoxania and even south of the Oxus. relying mainly on Juwayn¯’s description of the events. in turn. Let us just mention the Kara Khitay help given to the Khwarazm Shah c Al¯ ’ al-D¯n a ı Muhammad in 1204 in his struggle against the Ghurid Muc izz al-D¯n. The Kara Khitay continued the tradition of strong female participation in the running of state affairs mentioned above in connection with T’ai-tsu’s widow. Under her rule. Since Yeh-lü Taı shih’s arrival in Balasaghun. in a decisive battle fought in 1204. Their leader Tayang Khan fell in the battle. married the Gür Khan’s daughter and abandoned Christianity in favour of Buddhism. had been able to influence events in Semirechye. However hurried Küchlüg’s flight might have been. and thus posed a serious threat to its very existence. usually depict a scenario ı 245 Copyrights . hostilities against Il Arslan continued until his death in 1172 and she even intervened in the struggle for the throne of his sons. Simultaneously with the events just described. Yeh-lü Chi-lu-ku (1179–1211). led another raid against the Naiman. Under the new Gür Khan. known as the Empress Ch’êng-tien (1164–77). Ch’êng-tien did not see her role as merely that of caretaker until such time as I-lieh’s son could ascend the throne. but by her sentimental involvement with her husband’s younger brother. but his son Küchlüg escaped. There is no need to enumerate here the battles fought with Kara Khitay participation on behalf of or against successive Central Asian rulers. Once again. in their turn. He staged a coup in which both the empress and her lover perished. But the winds of history were blowing from the east and were soon to disturb the usual pattern of Kara Khitay politics. the earliest were erected in the Kara Khitay period. Küchlüg escaped the general massacre and sought refuge with the Kara Khitay. far away in the foothills of the Altai. She had her husband murdered and. In 1208 Chinggis Khan. He was well received. I-lieh’s second son. Historians. implacable.ISBN 978-92-3-103467-1 Contents The rise of the Kara Khitay city of Kashghar was a Nestorian metropolitan see and followers of this creed were still encountered in the region by Marco Polo in the thirteenth century. Kara Khitay involvement in Khwarazmian affairs continued to follow the earlier pattern: interference in struggles for the succession and more or less successful attempts at collecting taxes. fell victim to the vengeance of her father-in-law. power was assumed by his younger sister P’u-su-wan. Among the Christian gravestones with Syriac inscriptions discovered in the Chu valley. At the death of I-lieh. then became the ruler. Chinggis Khan (still called Temüjin) crushed the Mongolspeaking but Christian Naiman.

killed the Kara Khitay governor in 1209 and submitted to Chinggis. and Yeh-lü Chi-lu-ku. the Kara Khitay]. Internally. who remained the nominal ruler. Armed clashes between their respective followers did occur.e. 246 Copyrights . he was decapitated. his antiMuslim religious policy alienated his Muslim subjects. trapped as he was between the Khwarazm Shah and the Mongols. while the western part of the empire was shorn off and allotted to the Khwarazm Shah. One of Chinggis Khan’s leading generals. was allowed to die a peaceful death in 1213. who operated in the Semirechye region around 1210. A Mongol army under the command of Jebe. where the population. and from the west by c Al¯ ’ al-D¯n Muhammad. To save his life. two years after Küchlüg’s revolt. the Naiman and the Kara Khitay were allies who had been defeated by the Mongols. another of Chinggis Khan’s chief lieutenants. but having recuperated their strength they presently seized the land that had sheltered them. advanced on Kashghar. whose predecessors had been so friendly to Yeh-lü Ta-shih. exasperated by Küchlüg and sensing the approaching Mongol tide. Küchlüg was unable to hold together the Kara Khitay inheritance. 88–9. It could be that it was the threat of a new conflict with the Mongols that prompted Küchlüg to strengthen his position within the Kara Khitay polity by eliminating the Gür Khan. changed his allegiance. who had escaped him twice. in his external affairs he found himself in a desperate situation. they took refuge with the Ta-shih [i. must certainly have been aware of Küchlüg’s ascent to power and it can be taken for granted that he warned Chinggis. but on this occasion his luck deserted him: captured in Badakhshan. where he was to join Chinggis Khan: When the Naiman tribe was defeated. Khubilay Noyan (not to be confused with the Great Khan Khubilay). Küchlüg fled for a third time. To meet the challenge. Perhaps the best summary of the events is given by Li Chih-chang in his narrative of the Taoist sage Ch’ang-chun’s journey to the west. Küchlüg’s grab for power is more like a classical palace coup led by a vigorous son-in-law against his aging father-in-law than a military attack from the outside. The Uighur ruler Barchuk. concerted attack led from the east by the Naiman under Küchlüg. Küchlüg went to Kashghar but found that the forces against him were too strong to be mastered. rose in revolt. pp. 11 Waley. 1931. incensed by Küchlüg’s religious persecution. For the Franciscan John of Plano Carpini. unless – a distinct possibility – Khubilay had already been sent to the region to report on Küchlüg’s actions. This time the restless Naiman was to meet his fate at the hand of the Mongols. This was not the a ı case. who travelled through the region in 1246 and was generally well informed.11 Indeed. but when in 1211 Küchlüg emerged the victor in the conflict. A revival of Naiman strength was not something Chinggis Khan would tolerate and steps were taken to eliminate Küchlüg. he did not assume the title Gür Khan.ISBN 978-92-3-103467-1 Contents The rise of the Kara Khitay in which the Kara Khitay fell victim to a joint.

12 Sinor. One could speculate as to what would have happened had the Mongol advance reached the Kara Khitay state still ruled by a Yeh-lü. the legitimacy of his rule was doubtful and he certainly lacked the charisma so characteristic of the Yehlü clan. the civil governor of Samarkand installed by the Mongols. References to the Kitan can be found in the heroic poetry of such northwest Siberian peoples as the Voguls and the Ostiaks. Ch’u-tsai’s record of his journey. of which he briefly notes that it used to be the capital of the Hsi Liao.e. The history of the Kitan constitutes a truly extraordinary chapter in the history of the world. trusted adviser of Chinggis Khan and Ögedey. One wonders what his thoughts might have been there. i. informs us that in November 1221 he was in Balasaghun. the Yeh-lü were great survivors. Mongol. Kitay and their variants can be found among the Kalmucks of the seventeenth century. is the very name Cathay. On his above-mentioned journey. among the Bashkirs of the Volga region. pp. still current in many modern usages and in the Russian name of that country. just ten years after his relative. The search for fabulous Cathay was a principal incentive for the great discoveries of the fifteenth and sixteenth centuries. Following the collapse of their second great state. He accompanied the conqueror on the campaign to the west that would destroy Khwarazm. China’s medieval Latin appellation. located to the west of the Ural river. and even among the Tatars of the Crimea. the Kara Khitay. the Taoist sage Ch’ang-chun met another member of the Yeh-lü clan. for centuries to come the Kitan were able to preserve a measure of their national identity in a diaspora that extended well into eastern Europe. As a tribal name. Katay. 247 Copyrights . the last Gür Khan. Let us also recall that Yeh-lü Ch’u-tsai (1189–1243). Toponyms found as far west as Moldavia testify to the former presence of Kitan groups and Hungarian chronicles of the thirteenth and fourteenth centuries locate the Kitan on the banks of the Don. that of the Kara Khitay. had been deposed. 1995. namely A-hai.ISBN 978-92-3-103467-1 Contents The rise of the Kara Khitay Küchlüg was neither a great statesman nor a great warrior. Moreover. belonged to the same clan. and in hydronyms of the same region. Ch’u-tsai had a keen interest in and feeling for the various cultures – Kitan. a quality that was apparently characteristic of the Kitan people whom they had served with such distinction. His son and successor Yeh-lü Mien-ssu-ko was governor of Bukhara. 264–7. however.12 The most enduring trace of Kitan power. Clearly. Chinese – all of which he served with great distinction. Kitan. The advancing Mongol armies contained important Kitan contingents. though far too short.

. 434–5. . . . 248 Copyrights . . but what is most probable is that the Mongol ethnic group of people had been formed as a result * See Map 6. . . . The birth of nomadic civilization was an appropriate response to the physical challenges in that specific part of Central Asia. . . . . . . . . linked Mongolia with the centres of civilization of East and West. . . . . . . Mongolia was at the crossroads of world communications. . . . . The Mongol empire during the reign of Chinggis Khanr’s successors . 249 251 257 259 264 The geographic setting of Mongolia was of vital importance in shaping its unique history and civilization. . . . Chinggis Khan’s campaigns of conquest: The foundation of the Mongol empire . . the Great Silk Route and the Eurasian steppe corridor. . . . pp. . 12 THE MONGOLS AND THEIR STATE IN THE TWELFTH TO THE THIRTEENTH CENTURY* Sh. The vast mountainous-steppe zone of Mongolia forms part of two important regions of world civilization. . . Occupying the main regions of Mongolia. The problem of the genesis of the Mongols is not yet settled. . .ISBN 978-92-3-103467-1 Contents THE MONGOLS AND THEIR STATE . . . . . . Two great highways. . . . . It was in the late twelfth and early thirteenth centuries that the Mongols proper appeared on the stage of history. they represented the great majority of its inhabitants. . . the oases of Central Asia and the so-called Eurasian steppe belt stretching from the Danube to the Great Wall of China. . . The Yüan empire of the Mongols and its fall . . Bira Contents The socio-economic and political situation . . . . . . . . also known as the Silk Route of the Steppes. Chinggis Khan and the founding of the Mongol state . . . . . . . . . . . . . From early times.

with a decay of the primitive clan system held together by blood relationships. hero). Ch. mergen (meaning ‘an excellent archer’. or even state formations of varying size. ejen (lord). king). With the development of Mongol society. beki (honoured shaman). The Secret History of the Mongols and Rash¯d al-D¯n’s history give many conı ı crete examples of the splitting of clans into subgroups and their reassembling into larger units and tribes (aymaks). the most important fact was that the greater part of the tribes living in Mongolia were sufficiently alike.ISBN 978-92-3-103467-1 Contents The socio-economic and political situation of the long historical and ethno-cultural processes in which various peoples who inhabited the Mongolian steppes took part from very early on. 1979. the great changes in the traditional nomadic system could not but cause the centripetal tendencies that encouraged the development of another process. 1938. and which was likely to have been of Altaic provenance (Proto-Mongol. Hence there developed two main classes: the nobility (noyad) and the commoners (karachu). as Shi Wei Meng-gu or Shi-Wei Mongol. i. had already fallen into decay as a nucleus of social structure in Mongolia. usually referred to as obuq in Mongolian. this was concentrated in the hands of a small group of people. both ethnically and in their way of life. the coalescence of clans and their subdivisions into tribes and tribal confederations had become ever more vital. the nobility might have largely consisted of those who held various traditional titles – Khan (chief. Jagchid and Hyer. for them to be moulded together into a highly organized nomadic society. The more the clans propagated themselves. The socio-economic and political situation By the thirteenth century. baghatur (brave. sechen (wise). Proto-Turkic and Proto-Tungus). the more they developed into other groups and subdivisions (yasuns).e the unification of all separate social groups or divisions into larger units or tribal confederations. On the other hand.1 The clan lineage or the common descent group. Private ownership of the country’s main wealth – cattle – became the basic criterion for social position within Mongol society. under the supremacy of a leading clan lineage. 249 Copyrights . In its initial stage. 6. while the greater part of the population remained as dependants. The name ‘Mongol’ is apparently mentioned in Chinese sources from the fourth century a. consciousness of membership and a sense of solidarity with the nomadic society now tended to be determined by shared socio-economic interests. 1 Vladimirtsov.d. the traditional social system of the nomads in Mongolia had undergone considerable change. later ‘a wise man’). In the period of the rise of the Mongols. such as that of the Borjigids. The decay of the kinship structure in Mongolia went hand in hand with a process of social stratification.

e. the highest rank in the hierarchy. in which cattle. and were different from the institution of nüker. Nüker (pl. reflecting the nomadic custom of erecting tents in the form of a circle. its main wealth. Here. Another category. the institution played an essential role in the formation of vassalage-type relations in Mongolia. Numerous nomadic tribes are known to have inhabited the main parts of 250 Copyrights . the last two terms are mentioned in The Secret History and other sources. Corresponding to the real meaning of slaves were the so-called ötög boghol (prisoners of war). a supreme leader with the title of Khan was declared. In nomadic society. The authority of the Khan. The küriyen (or ‘circle’) was the traditional form of economic organization of the nomads. i. They included different categories of people: boghol (so-called slaves). Hence the küriyen form of management of the cattle-breeding economy changed into the ayil form. Thus by the advent of Chinggis Khan in the latter half of the twelfth century. the nomads moved collectively or by küriyen. most of the Mongols had adopted the aymak tribal system of social order. karachu or irgen and haran (aran). private cattle-owners preferred to nomadize by smaller groups.ISBN 978-92-3-103467-1 Contents The socio-economic and political situation singgüm. and so on. the practice existed of families or individuals presenting young men to a prominent leader. with the tent of the clan leader in the centre. The so-called ömchi boghol (personal slaves) in effect represented the followers or vassals of their lord. the institution of boghol reflected a vassalage-type relationship rather than the subordination of slavery. a nüker was a loyal companion in battle. i. suitable for the private ownership of cattle and grazing land. were the common ownership of clans. nüküd) means ‘friend’. The transformation of the clan system in Mongolia caused great changes in the country’s economic structure. In the beginning. the unaghan boghol. The Mongol term boghol included various different categories. irrespective of their origin or tribal affiliation. members of defeated aymaks (jadaran) and poor cattle-breeders. Whenever a confederation of tribes emerged. and the term referred to a member of a group of warriors who freely declared themselves to be the ‘men’ of a chosen leader. who were used as servants in the households of the privileged. usually a qan. but when private cattle ownership developed and the clan system fell into decay. as a token of friendship or submission. Under the conditions of a primitive kinship society. may be interpreted as ‘slaves by origin’. This category of boghol had almost nothing to do with real slaves. this form of economic structure did not meet the requirements of daily life. by ayil. the community of clans tied together by blood. The majority of the population comprised the commoners. The küriyen was a specific collective institution for the joint ownership of cattle and pasturelands. grew with the increase in the common interests of the nobility. but later he assumed the special character of vassal.e.

He served Qutula Khan loyally and displayed courage in numerous battles. each with its own Khan. the historical records do not mention any other Khan up to the rise of Chinggis. 251 Copyrights . at Burqan Qaldun. together with his spouseGo’amaral. came from over the sea and encamped at the head of the Onon river. Yesügey. who is said to have been born ‘having his destiny from Heaven above’. who probably lived in the first half of the twelfth century and was the great-grandfather of Chinggis Khan. from the very beginning the ancestors of the Mongol Khans had chosen the lands of Burqan Qaldun for their principal camping ground. The Chin dynasty of China’s policy of playing off one group of the ‘barbarians’ against another contributed to this decline. a region considered to be the cradle of the Mongols. Chinggis Khan’s father.ISBN 978-92-3-103467-1 Contents Chinggis Khan and the Mongol state Mongolia. According to The Secret History. Chinggis Khan and the founding of the Mongol state Qutula was probably the last Khan of the Mongols of the Three River regions. although he was the grandson of Qabul Khan and one of the most influential noblemen. 1966. Cleaves. But soon after the death of the latter in the late twelfth century. Merkit and Tatar. for example the Kerait. was not of sufficient stature to be called Khan. Bartan Baghatur. Tribal tradition attributes the major events pertaining to the initial period of Mongolian history solely to the Mongols of these regions. the confederation of the Three River regions disintegrated due to the constant feuds between the Mongols and the Tatar. which he must have inherited from his father. Ambaqay and Qutula. that the Mongols of the Three River regions became powerful enough to be united into a state-like confederation (ulus). they had started to play a prominent role in the country’s history well before the time of Chinggis Khan. The legendary forefather of Chinggis Khan’s clan. Naiman. The Daychud and Jalayr. but there is no doubt that this ulus continued to exist after his death. the headwaters of three rivers. 2 3 Shirendev et al. Bürte-chinua. constituted the virtual nucleus of the Mongol people.. who may be called the ‘Three River Mongols’. p. In any event. It was during the reign of Qabul Khan. and held the title of Baghatur. He is known to have been succeeded by at least two Khans.3 The centre of gravity of Mongol history in the twelfth and thirteenth centuries had already shifted to the eastern regions of Mongolia. Kerulen and Toul. It is not certain when Qabul Khan died.2 Special mention should be made of the Mongols whose pastures were in the southern valleys of the mountain of Burqan Qaldun in the Khentei mountains. 1982. the Onon. 11. Some of them formed separate and often rival tribal confederations.

In Chinggis Khan’s time. 1963a. which led to mutual feuding. Khentei-aymak. p. The date of his death in 1227 is. Thanks to such tested devices. Following an ancient custom. 4 5 At present. the anda and others. different tribes tried to be separate and to provide for their independence existence. i. The anda was the oldest form of alliance in the kinship society. According to most Chinese and Mongolian records. this is known as Gurban-nuur in Dadal-sum territory. it is likely that he had to overcome numerous difficulties and hardships in the steppe. by which warriors were sworn to blood loyalty with one another. This last engendered both centrifugal and centripetal tendencies. the young Temüjin was able to save his family from the humiliating position in which it found itself after it was deserted by its tribesmen following the death of Yesügey. he was born in 1162 (a Year of the Horse) on the DelügünBoldog watershed on the upper reaches of the River Onon. Temüjin. All his natural talent would not have got him very far. First. as mentioned above. the more powerful a tribe became. he was clever in manipulating traditional tribal politics.5 Indeed. and the appearance of such an able figure possibly accelerated the development of this historical process. Lattimore. Yesügey gave his son the name of the captured chief of the Tatar. On the one hand. illiterate but not ignorant.e. such as those of the nüker. On the other hand. resulting in fewer but larger tribal units. He is said to have been born at the moment when his father returned from a successful campaign against the Tatar. if he had not been born into this tradition at a propitious moment and in just the right geographical region. He was born into a tradition that embraced war as a profession and also included a sophisticated knowledge of the political and economic uses of power. Chinggis Khan was a real son of his time. however. 252 Copyrights . which may have meant ‘blacksmith’. Although the extensive information on the early life of Chinggis Khan in The Secret History is almost certainly romanticized. however. 57. As Lattimore has pointed out: Chinggis Khan was a genius but not a savage. the more it endeavoured to incorporate others.4 Rash¯d al-D¯n and other ı ı Persian sources place his birth in 1155 or 1167 (a Year of the Pig). To achieve his purpose. The secret of his unprecedented career was perhaps that he could make the best use of the situation that prevailed in the nomadic society of his time. Chinggis Khan resorted to a great variety of means and tactics. for his advent coincided with crucial changes in the nomadic society of the Mongols. in eastern Mongolia. He was further able to restore the leading role of the Borjigids. deriving great benefit from his skilful use of some old tribal institutions. certain. left to the mercy of fate after losing his father in early childhood.ISBN 978-92-3-103467-1 Contents Chinggis Khan and the Mongol state It is not certain when the future Chinggis Khan was born. the oath of anda lost its primary feature and could be found among warriors belonging to different tribes or clans.

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What was needed was that those who wanted to become andas shared common interests; they had to confirm their oath by tasting each other’s blood in order to symbolize their close brotherhood. At the beginning of his career, Temüjin was able to win over to his side many talented and loyal nükers and andas. The fact that the young Temüjin enjoyed the patronage of the mighty Toghrïl Khan greatly enhanced his position. The Kerait Khan placed a considerable force at his disposal; and several kinsmen of Temüjin and some tribal chieftains, like Jamuka of the Jajirad, joined him and were ready to help. In 1185 Temüjin, with his united forces, easily defeated the Merkit and secured abundant loot, freeing his wife Börte (who had previously been abducted by them). This was the first serious victory which Temüjin achieved over his enemy with the aid of his andas, Toghrïl Khan and Jamuka. After his victory over the Merkit, Temüjin became a notable figure among rival chieftains in the steppe. He renewed his anda brotherhood with Jamuka, who was at this time stronger than Temüjin and no less ambitious and energetic: in the future, these two young men were to become the main rivals for power. The anda brotherhood between Temüjin and Jamuka did not last long. According to The Secret History, after the victory over the Merkit they lived together for one and a half years on very friendly terms. But it seems more probable that during this period they kept an eye on each other and did their best to increase their forces by attracting adherents. When the anda alliance between them broke up, Temüjin found himself in a much stronger position. Altogether, twenty-three groups of kinsmen and noblemen from some twentythree clans and tribes had come over to Temüjin when he encamped at Ayil Qaraghana on the Kimuragha stream. Among those who rallied to his rising standard were such hereditary representatives of the Mongol nobility as Da’aritay, the grandson of Qabul Khan, the fourth son of Bartan Baghatur, his uncle Altan Odchigin, the third son of Qutala Khan, Quchar, Yesügey’s nephew, the son of Neken-taysi, Sacha-beki, Qabul Khan’s grandson and others. Temüjin had become virtual overlord of the Borjigids, the noblest clan, from which the Mongol royalty derived its origin. He was again in possession of the original home of his tribe. It was the Mongol nobility which provided both moral and physical support for Temüjin to become Khan. Thus it says in The Secret History, ‘When Altan, Quchar, and Sacha Beki took counsel with one another together and spoke unto Temüjin, saying “We shall make thee to become khan”.’6 Temüjin’s accession to the throne took place in 1189 at Lake Kökö of Qara Jürügen, on the Senggür stream, within Mount Gürelgü in the upper reaches of the rivers Onon and Kerulen, near Burkhan Qaldun. The official title ‘Chinggis’

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was conferred on Temüjin by the shaman Kököchü Teb-Tenggeri.7 The etymology of his name has been explained differently by scholars, but the most convincing interpretation is that ‘Chinggis’ means ‘fierce, hard, tough’; thus ‘ Chinggis Khan’ means ‘the Fierce Ruler’, not ‘the Universal Ruler’.8 One has also to assume that the Mongol shaman called his militant leader by the name Saqiyusun (Defender). According to The Secret History, Chinggis Khan then instituted ten court offices, but, with the exception of that of Cherbi, the names of the officials are not given and only their duties are indicated, even though without precision. As the chief advisers of the Khan, the duty of maintaining order in the meetings very probably devolved upon them. The two offices of ‘guardians of the assembly’ were occupied by Bo’orchu and Jelme, to whom Chinggis reputedly said, ‘Being my shadow, this settles my mind, so let this be in my thoughts.’9 Chinggis’s guard was organized more formally in 1203, after the victory over the Kerait, when Chinggis became the chief personage in eastern Mongolia. Seventy men were selected for the day guard and eighty for the night guard; altogether, they constituted the protective guards or kesigten (sing. kesik, meaning ‘turn’, ‘relief’). The enthronement of Chinggis meant the restoration of the state confederation of the Mongols of the Three River regions which had fallen into decay after Qutula Khan. From now on, Chinggis Khan could act as the lawful ruler of all the Mongols. But to become the genuine lord of the nation in Mongolia, he had to achieve the real unification of all the people on a country-wide scale, and this took him from 1189 to 1206. The majority of the tribes continued to be separate and were not initially disposed to recognize Chinggis Khan’s rule over the whole country. Among them were such powerful tribes as the Tatar, the Kerait, the Naiman and others, but by manoeuvring between the conventions and oppositions of the tribal system, Chinggis was finally able to unite all the peoples living under felt tents. The second stage in Chinggis Khan’s rise to power began with his victory over the Tatar as a result of the successful campaign that he had undertaken in 1196 in alliance with Toghrïl Khan of the Kerait and the Chin dynasty of China. By subjugating the Tatar, Chinggis not only took vengeance on his family’s enemy but eliminated the threat to the southern side of his domain. However, these successes alarmed his rivals, first of all Jamuka. In 1201 Jamuka was proclaimed Gür Khan at the kurultay (general council) of the leaders of the Daychud, Qonqirad, Ikira, Qorlo, Qatagin, Oyirad and Naiman, against the Wang Khan (Toghrïl) of the Kerait and his son, the allies of Jamuka. Chinggis Khan was victorious over
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Juwayn¯, 1958, Vol. 1, p. 39; Rash¯d al-D¯n, 1952, p. 167. ı ı ı Rachewiltz, 1989, p. 288. Cleaves, 1982, 123–4; Barthold, 1968, pp. 38–23.

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the Wang Khan and the latter was killed, but Chinggis still had to overcome an alliance of opponents led by Jamuka until the latter was also killed. Thus Chinggis finally triumphed in the tribal wars which had continued for more than twenty years. Chinggis Khan now held all Mongolia, having subjugated all the tribes of the Mongolian steppe. To guarantee his right to rule over the entire country, in the Year of the Tiger (1206) he called a kurultay at the head of the Onon river, where he ‘set up a white standard with nine tails’ and was once again proclaimed Chinggis Khan.10 This event signified the birth of a Mongol power that stretched some 1,600 km from east to west, from the Khingan mountains to the Altai range, and more than 960 km from north to south, from Lake Baikal to the southern margins of the Gobi desert along the Great Wall of China. Between 1206 and 1211 Chinggis Khan was engaged in establishing and reorganizing the civil and military administration. The head of state was the Khan, who was declared to have a mandate from Möngke Tengri (Everlasting Heaven). The second most important office was that of Guiong (Chinese Kuo-Wang), or ‘Prince of the Realm’. This title was conferred on Muqali, the most devoted companion of Chinggis. The office of Supreme Justice or jarghuchi was introduced: it was given to Sigi Qutuqu, a Tatar by extraction, who had been adopted as a boy by Chinggis Khan’s mother and was one of the best-educated men of his time. The office of beki, which designated the chief shaman, the highest religious authority, was also set up; it was occupied by Üsün-ebügen. He was instructed ‘to ride on a white horse, wear white raiment’ and ‘choose a good year and moon’.11 The Uighur Tatatungha, the keeper of the seal of the Naiman Khan, held the same office at the court of Chinggis Khan and was also commissioned to teach the Khan’s sons reading and writing. The Khan’s guard, or kesigten, was also reorganized. It consisted of kebte’ul (night guards), qorchin (day guards) and turgha’ud (bodyguards). The number of each of these corps of guards was raised to 1,000 men, making a total of up to 10,000 men. It was decreed that each son of a ‘leader of a 1,000’ had to bring with him 1 kinsman and 10 companions; the son of a ‘leader of 10’ and freemen in general had to bring 1 kinsman and 3 companions. The guard was subject to severe discipline, but its members enjoyed great privileges: a combatant private in the guard stood higher in rank than a ‘chief of 1,000’ in the army, non-combatants in the guard stood higher than a ‘chief of 100’. Members of the guard who committed a crime could not be punished by anyone except Chinggis himself. The bodyguard was not only the personal guard of the Khan and the core of the army; it was also a sort of military school which allowed the Khan personally to test the future leaders of
10 11

Cleaves, 1982, 202; Ishjamts, 1974, pp. 48–61. Cleaves, 1982, 216

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his military forces. The army was reorganized according to the traditional decimal system. Chinggis Khan appointed 95 ‘noyans (chiefs) of 1,000’; the names of these noyans are listed in The Secret History.12 Administratively, Mongolia was divided into three large tümens (‘myriads’): the Left, the Right and the Centre, each of them in turn consisting of tens, hundreds and thousands. The main tümen was the Left tümen commanded by Gui Ong Muqali. The other two tümens were headed by Bo’orchu and Naya. The Central tümens occupied the main area of Mongolia; the Right tümens, the lands near the Altai mountains; and the Left tümens, the lands up to the Khingan mountains.13 Chinggis appointed leaders for all the tribes and clans from among his personal followers and his family, thus laying the framework of the new Mongol empire and destroying the old tribal system; Chinggis Khan’s own clan, the Borjigids, with its vassals and followers, now became the supreme clan of the Mongols. One of the most important measures undertaken by Chinggis Khan in the field of the civil administration was the codification of laws under the title of Yeke Jasa (The Great Law). Although this work has not yet come to light, data from various sources prove beyond doubt the existence of a written version. According to an authoritative source, the history of c At¯ ’ Malik Juwayn¯: a ı
In accordance and agreement with his [Chinggis’s] own mind, he established a rule for every occasion and a regulation for every circumstance, while for every crime he fixed a penalty. And since the Tatar peoples had no script of their own, he gave orders that Mongol children should learn writing from the Uighurs, and that these Yasas and ordinances should be written down on rolls. These rolls are called the Great Book of Yasas and are kept in the treasury of the chief princes. Whenever a khan ascends the throne, or a great army is mobilized, or the princes assemble and begin to consult together concerning affairs of state and administration thereof, they produce these rolls and model their actions thereon, and proceed with the disposition of armies or the destruction of provinces and cities in the manner therein prescribed.14

In general, the Great Jasa represented a code of laws which is said to have been prescribed by Chinggis Khan for the various spheres of social life and in military, organizational and administrative affairs. It also dealt with religious beliefs, court ceremonial, civil rules, general conduct and justice, and so on. Thus it laid down the juridical basis for the newly born Mongol state. Moreover, with the creation of the Mongol empire, it eventually became the most authoritative handbook of Mongol jurisprudence, to be strictly followed throughout the expanse of the empire. Its authority was so great that, even after the fall of the empire, it had some appeal for statesmen in the countries of Central Asia (as for Timur, known
12 13 14

Ibid., 202. Ishjamts, 1974, pp. 59–61. Juwayn¯, 1958, Vol. 1, p. 25. ı

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to the West as Tamerlane, and others), serving as a political and moral instrument for the justification of their expansionist ambitions. According to the Sino-Mongolian inscription of 1346, in the fifteenth year of Chinggis Khan’s reign, i.e. in 1220, the capital city of Mongolia, Karakorum, was founded in the valley of the Orkhon river,15 demonstrating that Chinggis wished to rule his empire from Mongolia.

Chinggis Khan’s campaigns of conquest: The foundation of the Mongol empire
Shortly after the creation of the political and military machinery in his own country, Chinggis Khan embarked on an expansion of his power. It is difficult to say whether from the outset he had any serious intentions of conquering the great settled civilizations outside Mongolia. The order of his conquests shows that, having settled internal affairs, he first incorporated within his state all other nomadic peoples who lived outside Mongolia and whose way of life was similar to that of the Mongols, rather than any of the settled peoples. In 1207 the nomadic tribes in the valleys of the Selenga and the Yenisei were added to his dominions. In 1209 the Uighur Türks, who had some four centuries earlier created their own empire in Mongolia, with a capital in the valley of the Orkhon river, and who had migrated south-westwards to the oases of the Tarim basin after the fall of their empire, were peacefully incorporated. It is true that Chinggis Khan twice (in 1210 and in 1214–15) campaigned against the Chin empire of China. But by doing so, he probably wished to demonstrate his might and fame rather than to subjugate China, for he soon desisted; but he continued to bring under his control the nomadic tribes of the Eurasian steppes. He conquered practically all the nomadic peoples of Turkic origin up to the north-eastern fringes of Persia. In 1218 the Kara Khitay of Transoxania submitted to his power almost without opposition. Thus the lands of East Turkistan and some other areas of Central Asia came under the rule of the Mongols. Chinggis Khan’s domains now bordered directly on the great empire of the Khwarazm Shah c Al¯ ’ al-D¯n Muhammad, who at this time controlled most of northern Persia and a ı Transoxania (the latter having been largely taken over from the Kara Khitay in 1210). Central Asia in this period was divided into an eastern part ruled by the Mongol Khan, while its western part was under the power of the Turkish Khwarazm Shahs. It was perhaps natural, though not inevitable, that these two political forces should be rivals. Chinggis Khan is said to have recognized the Khwarazm Shah as ruler of the west, as he himself
15

Cleaves, 1952.

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was the ruler of the east, and to have expressed the hope that peace would be maintained and trade promoted between the two empires. But the Mongol Khan pointedly addressed the Khwarazm Shah as his ‘son’, hardly the treatment of an equal by an equal. There is no material available to ascertain the real intentions of Chinggis Khan towards his neighbour. Whatever his true motives, between 1219 and 1224 Chinggis Khan embarked on his campaigns of conquest against the Khwarazmian empire, which was at the time affected by internal discord and feuds. As a result, such Transoxanian and Khurasanian cities as Samarkand, Bukhara, Urgench, Utrar, Nishapur, Balkh and Merv were devastated by the armies of Chinggis Khan. Thus the people of the north-eastern Islamic world, mostly of Turkic stock, were brought under the rule of the Mongol Khan. In their pursuit of the defeated Khwarazm Shah, two Mongol generals Jebe and Sübetey reached the Caucasus in 1221, defeated the Georgian king George IV Lashen and emerged on to the southern Russian steppe. In the spring of 1223, at the battle of the River Kalka, the Mongols crushed the combined Russian and Kïpchak forces, but did not really exploit their success. At the end of that year, the armies of Jebe and Sübetey rejoined the forces of Chinggis Khan. The Khan himself returned to Mongolia in 1225. Chinggis Khan’s last campaign ended with the subjection of the HsiHsia (Tangut) in 1227. Soon afterwards, he fell ill and died in the same year. His body was taken home to be buried in the Khentei mountains. It is likely that at the outset Chinggis Khan did not have a clearly formulated policy of conquest; but if one judges his wide-ranging conquests by their practical outcome, it is possible that what we might now call a grand strategy lay behind his military actions. In Lattimore’s view, Chinggis was anxious to avoid the classic mistake of previous barbarian rulers of the steppe who, as soon as they had formed an effective nomadic confederation, succumbed to the temptation to invade northern China and to establish themselves there. This sequence of events generally created, Lattimore suggests, a power vacuum within the steppe. This was duly filled by the next nomadic general to form a confederation, and he in his turn would then invade China and expel his predecessor. By contrast, Chinggis Khan’s strategy was first to form his confederation, secondly to neutralize temporarily the danger from China, and then to return to the steppe to mop up and incorporate all the remaining Turko-Mongol peoples, thus ensuring that no power vacuum would be created and that, when China was conquered, the steppe would be retained as well.16 Indeed, Chinggis, a true son of the nomadic culture, remained loyal to the ideals of his background until the very end of his life and resisted the allurements of settled civilization. He bequeathed to his successors a great empire consisting mostly of the nomadic peoples
16

Lattimore, 1963b, pp. 6–7; Morgan, 1986, p. 73.

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who inhabited the vast area extending throughout Central Asia with its centre in Mongolia. He knew how to take advantage of those achievements of the sedentary civilizations which could be beneficial to his empire; thus the Sogdian-Uighur script was adopted for the writing of Mongolian and use made of it in his chancery. With the conquest of the Uighurs and the Kara Khitay, Chinggis could use the administrative skills of these peoples, who had much in common with the Mongols as regards their nomadic mode of life – and these were the intermediaries who transmitted the acquisitions of Islamic and Chinese civilization to the Mongols. Muslims played a particularly prominent part in the service of the Mongol Khan; their activities were greatly stimulated by the atmosphere of religious toleration and the policy of unhampered trade and communications. There were, of course, many factors behind the successes of Chinggis’s conquests, not least the role of the Khan himself, a shrewd politician and a military genius. Light cavalry, comprising tough, swift-footed Mongol horses and archers, was always the main force, but Chinggis also took over military techniques and improved them with the help of Chinese and Muslim experts. He even used gunpowder in siege warfare, sapping and mining operations, during his western campaigns.

The Mongol empire during the reign of Chinggis Khan’s successors
Contrary to Alexander the Great, whose Graeco-Asian empire did not even survive his death, Chinggis Khan left a great empire which was capable of continuing to function in both time and space, and had many successors from his own family to continue his imperial policy. During their reign, the Mongol empire became the largest continuous land empire that had so far existed in history. At its greatest extent, it stretched from the Far East to eastern Europe. Military expeditions were mounted into mainland South-East Asia, and even against Java and Japan, but without success. As a whole, the empire lasted for well over a century, and some parts of it survived for much longer. The successors of Chinggis Khan, although they proclaimed on every occasion their adherence to the commandments of their great predecessor, in fact departed from his fundamental principle of staying outside ‘civilization’ and not sacrificing the ideals of the nomads for their sake. Ögedey (1229–41), Güyük (1226–48) and Möngke (1251–9) went on expanding their empire into the sedentary lands (for further details, see Chapter 13 below). The unprecedented territorial expansionism of the Mongol nomads undoubtedly caused great upheavals and distress for large numbers of people, although the bloodshed and
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destruction caused to the settled civilizations may not have been so widespread as some terrified contemporaries depicted it. Like all conquerors, Chinggis Khan could calmly exterminate people by the thousands if he considered it necessary for the consolidation of his rule, but none of his actions shows any sign of useless or stupid cruelty,17 and he was far from being a savage warrior, blindly ferocious and conquering for the sake of plunder.18 At the same time, we must understand the feelings of hatred and horror that the conquered peoples naturally had – and still have today – towards their enemy. The problem of consolidating and administering such a great empire was the most difficult task the Mongols had ever faced. Nevertheless, judging by their actions, it is clear that they did their best to secure their rule for as long as possible. Characteristically, the first successors of Chinggis Khan tried to keep the centre of their empire in Mongolia itself. But to do this proved much more difficult for them than for Chinggis Khan. The conquest of Persia and China involved them in the governance of two great sedentary societies, and it was then that the Mongol Khans encountered the problem of reconciling two incompatible ways of life – a nomadic existence and a sedentary civilization. This was a problem that had never previously been solved and it proved to be a major cause of the decline of the Mongol empire. Nevertheless, Chinggis Khan’s successors managed to set up an imperial organization whose unity endured for forty years after the death of the founder, with the supremacy of members of Chinggis Khan’s family extending over several generations in the successor states. How was this achieved? Yeh-lü ch’u-ts’ai, the great Kitan adviser of the Mongol Khans, is said to have repeated to Ögedey Khan the old Chinese admonition: although the empire had been conquered on horseback, it could not be ruled from horseback. No doubt the Mongol Khans realized this when faced with the problem of how to maintain their rule over the conquered lands. First of all, they depended on what had already been achieved by their great predecessor in the field of empire-building, while modifying and developing some of its institutions. In ideology, the first successors of Chinggis Khan followed tradition and maintained the belief that the Khan ruled by the mandate of Heaven (Tengri); the forefather of the Altan Urugh (Golden Kin) Bodonchar was considered to have been born from Light.19 They also paid attention to spiritual factors in their policy for the subjugation of different peoples, adhering to the following instruction: ‘Having seized the body, hold the soul. If the soul

17 18 19

Barthold, 1968, p. 461. Lattimore, 1963a, p. 62. Cleaves, 1982, 20.

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is held, the body will not go anywhere.’20 In this connection reference should be made to the religious policy of the Mongol Khans. Religious fanaticism was alien to the Mongols; they pursued a policy of religious tolerance in their multinational empire. Some scholars have held that this was determined simply by the Mongols’ indifference or ignorance; but it may rather have been a premeditated approach necessitated by ‘holding the soul’ of the subjugated peoples belonging to different ethnic groups and beliefs. It may well be that the Mongols’ religious tolerance was influenced by the attitude of their nomadic predecessors, like the Uighurs and the Kitan, towards the great variety of religions coexisting in Central Asia. The first Chinggisid rulers endeavoured to strengthen their control all over the conquered countries by consolidating the rule of their sons and relatives in their own domains, granted as appanages. But the more the empire expanded, with its various parts ruled by different agents, the more necessary it became for the supreme imperial power to avert the danger of discord and disunity. In this connection, some traditional institutions of the nomadic society acquired particular significance and were modified and strengthened in conformity with the new requirements. Thus the kurultay, the ancient political institution of the nomads, now assumed greater importance than it had ever had previously. It became a true assembly of the Mongol élite, princes and nobles acting on the basis of old traditions and customs in order to handle the most important matters of state, such as the election of a Khan, the question of war, the establishment of law and issues of policy. All the great Khans, including Chinggis himself, had to be proclaimed at a kurultay especially convened for this purpose, and quite a number of kurultays are known to have been convened in order to discuss other important military and governmental affairs of the Mongol empire. The Mongol empire was created through military conquest and the Mongol Khans regarded the army as the basic institution of the empire. The organization based on the decimal system was not only maintained for several generations of Mongol Khans, but also served as the model for the armies of their followers and pretenders to the heritage of the members of Chinggis Khan’s family. An important new element of the Mongol army structure during the Chinggisid period was the institution of the tamma. Tamma forces were originally established by order of the central imperial government for the purpose of maintaining control of the conquered territories. Some tamma armies ultimately became

According to Lubsan-Danzan, 1937, p. 46, this instruction emanated from Chinggis; but according to another source written in the so-called ‘Square script’, it came from Qubilay or Khubilay Khan (album Najm al-c aj¯ ’ib, in Istanbul University Museum, in Ligeti, 1972, p. 123). a

20

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Endicott-West. a network of post-stations was established covering the whole of Central Asia. The term darughachi (in Russian. established at stages equivalent to a day’s journey. with the purpose of controlling the conquered territories.ISBN 978-92-3-103467-1 Contents The Mongol empire . in Persian. 1931.e. pp. This system was set up in all the Mongol-ruled regions of Inner Eurasia. but left a noticeable imprint on the civil administration and the government of the conquered countries. Persia. pp. i. made of wood. China and Russia.25 This made it easier for Uighur. It was further extended by his brothers Chaghatay and Toluy and by his nephew Batu to include the lands under their direct rule. such as Hülegü’s Il Khanate in Persia. covering up to 300–500 km a day. . but express messengers could go very much faster. Cleaves. But in most cases. p. silver or gold. 281. for instance in China. 1989. its efficient functioning impressed European travellers such as Marco Polo.’22 Having consulted with his brothers. in order to make use of the system. the communications system should be mentioned. 262 Copyrights .23 The structure of the system was based on post-stations (jams). make speed. it should be noted that the Mongols invented several institutions and offices which not only functioned efficiently. 1982. Ricci. . One of the key institutions in local administration was the office of the darughachi. Persian and other Asian Muslims to gain high positions in the Mongol bureaucracy in various parts of 21 22 23 24 25 Morgan. and again for that We make them to convey Our needs and necessities. Ibid. The stations held horses and stocks of fodder for those who travelled. the nuclei of the permanent military forces of the empire’s subsidiary Khanates.24 As regards Mongol rule over the great sedentary societies of Persia and China. thus encouraging the movement of peoples and ideas.21 Among the numerous institutions faciliting control within the empire. For the first time in history. 157. hasting on the way. 94–5. Official envoys or messengers had to carry a special authorization tablet called in Mongolian gerege. dar¯ gh¯ ) was widely known all over the empire. Ögedey instituted the jam (yam) system. The Mongols were among the first to introduce a transcontinental network of communications. The Mongol preference for the u a hereditary transfer of the office of darughachi was valid in all the parts of the empire. Normal traffic might travel some 40 km a day.. the Mongol Khans enlisted the services of Western Alans and Central Asians in order to guarantee Mongolian and non-Chinese predominance in the local civil bureaucracy. 152–7. darugha or its Turkic equivalent baskak. where problems arose due to the insufficient numbers of Mongols capable of holding the office. 1986. setting up post-stations within his dominions. The real initiator here was Ögedey Khan: ‘I made one to establish post stations for that Our messengers.

From his examination of the Persian sources of the Mongol period. With the conquest of the sedentary populations of Persia and Central Asia. Although the office of darughachi was first entrusted by Chinggis Khan with mostly military tasks. . 100. The Khans introduced various forms of taxation in the regions of their empire. Morgan.26 The original Mongol taxation may be divided into tribute (alba) and levy (qubchighur or qubckur). 1968. p. Georgians.ISBN 978-92-3-103467-1 Contents The Mongol empire . 1986. cultures and religions. thus one of the primary duties of darughachis in Persia. Its capital Karakorum was a cosmopolitan city where Christians. Morgan. Petrushevsky has concluded that some forty-five different terms for taxation were used. 529. Armenians and. 1982. The jam system of communication greatly favoured commercial travel. 27 Alba and qubchur were paid in kind. its main function gradually developed into that of the chief civil official stationed in the conquered territories. Russia and Central Asia was the collection of tribute. Muslims. Such a policy could not but favour the political. Chinese and Central Asians. Buddhists and such nationals as Hungarians. Persian and other Central Asian Muslims occupied high posts in the Mongol bureaucracy. For a while. Cleaves. . their role in the ruling of the empire was no less essential than that of the military leaders and their strategies for conquering other countries. for [lack of] broth. 1986. of course. The city itself was mainly built by captured artisans. the empire. Russians. since the terminology varied at different times and places. not making the people to suffer. economic and cultural revival of the country. fixed and imposed on the conquered sedentary peoples. 279. . it became a meeting-place of different peoples. let one give one sheep of two years old of [every] flock. 263 Copyrights . Mongolia had become a vortex of great events and innovations. though this does not imply that there were forty-five distinct taxes. either flat-rate or graduated. 100. Alans. in year after year. Muslim merchants of western 26 27 28 Petrushevsky. qubchur gained a rather different meaning and it became the term used for a poll tax. Thanks to their knowledge and abilities. although this did not continue for long. and the caravan trade was generally protected and encouraged.28 The first three successors of Chinggis Khan were committed to making Mongolia the centre of their empire. mingled freely. Let them. . Uighur. however. with a liberal policy by the Mongol Khans towards trade. p. particularly those of Central Asia. Mongolia became directly involved in the caravan trade between East and West. with extended relations with other countries. from these peoples. bringing forth one sheep from one hundred sheep. In 1229 Ögedey Khan issued the first decree with the aim of regulating the alba: [As we are] sitting on the [throne made] ready by Our father the Kaghan. p.

After his defeat. the component parts of the Mongol empire progressively achieved such a degree of independence that it was difficult for the Khan to claim the status of universal ruler. The transference of the empire’s capital from Karakorum to Khanbalïk (or Dai-du) in northern China. and the adoption of the Chinese title Yüan (The Origin) for the Mongol reign in China. Despite having settled in China. Qubilay Khan was the ruler of the whole empire and tried to avail himself of his rights in all the subjugated countries. meant a change in the traditional policy of Qubilay’s predecessors.ISBN 978-92-3-103467-1 Contents The Yüan empire of the Mongols and its fall Central Asia co-operated with Mongolian Khans and the nobility and were particularly active in money-lending and tax-collection. and the centre of trade. Arig-böke and Qubilay. It is probable that Qubilay Khan realized this and regarded himself more as a Mongol-Chinese emperor than as a universal sovereign. internecine disputes broke out among the Toluyids themselves. simultaneously had a kurultay convened and each declared himself Khan. The Yüan empire of the Mongols and its fall After the death of Möngke Khan in 1259. however. it became possible for a small. 264 Copyrights . as of most other activities shifted from Karakorum to Khanbalïk. Theoretically. Qubilay did not forget that he was a Mongol emperor and did his best to make the Mongols an élite group in the conquered country. During the reign of Qubilay Khan (1260–94). All this tended to come to an end with the creation of the Yüan empire in China. in his time and particularly in the reign of his successors. Having thus secured Mongol rule in China. non-Chinese ethnic group to govern the huge Chinese sedentary society for almost a century. But in reality. with Arig-böke wishing to retain the centre of the empire in Mongolia. In the Mongol traditionalist view. the struggle was continued by Qaydu until his death in 1303. Qubilay’s rise to power was illegal and a four-year fratricidal war between the two brothers ensued. In 1260 the two sons of Möngke. the Mongol empire underwent a great transformation.

On their way. and a ı established their rule in Transoxania and Khwarazm. . Sinor As a result of both major and minor wars waged with great effectiveness between 1188 and 1206. one after the other. 13 CENTRAL ASIA UNDER THE RULE OF SUCCESSORS* B. the vast empire of Chinggis Khan was divided into domains (ulus) which he assigned to his sons Jöchi. Akhmedov revised by and D. Ögedey and Toluy. they crushed the Kara Khitay empire. who * See Map 6. Chinggis Khan liquidated the Tangut state of Hsi Hsia (982–1227). Chaghatay received Kashghar. the Chaghatayids were to spread their power over northern Afghanistan as well. His eldest son Jöchi (who predeceased his father) received an appanage ranging from the Irtysh river ‘as far as Mongol hoofs had beaten the ground’. and the lower Syr Darya (the towns of Sïgnak. Khujand. located on the frontiers of the contemporary Chinese province of Gansu and the western part of Shanxi. and the Jurchen Chin empire which covered the territory of north-east and northern China. which was by then under the leadership of Küchlüg. Binakat. and of eastern Europe. Chaghatay’s seat was on the Ili river. 265 Copyrights . Chaghatay. garrisons of the Khwarazm Shah c Al¯ ’ al-D¯n Muhammad (1200–20). under Baraq Khan (1266–c. Jöchi’s summer seat was on the Irtysh. 434–5. pp. Between 1219 and 1224 the Mongols conquered. the Mongols directed their conquest against the powerful state of the Khwarazm Shahs. Samarkand. Already during his lifetime. Later. Gurganj and other Transoxanian towns.ISBN 978-92-3-103467-1 Contents CENTRAL ASIA UNDER THE RULE . 1271). Bukhara. while his winter quarters were on the lower Syr Darya. Chinggis Khan (1155–1227) laid the foundations of a new state destined to play a major role in the history of the peoples of Central and East Asia. . Yeti Su and Transoxania. Having defeated the Chin. Utrar. Western Mongolia and Tarbaghatai were assigned to Ögedey. Barchkent and Yengi-kent) and north-western Khwarazm.

was in the hands of Mongol officials called darughachi or tammachi (see above. resided in Chughuchak. . that during the reign of Ögedey kaghan. initially it comprised only the lands from the country of the Uighurs in the east to Samarkand and Bukhara in the west. which. 253. Batu and his successors ruled over vast territories not only in Transoxania but also in Iran. A name apparently given to them by the Russians. civil power being exercised. by the command of the kaghan were under the control of Yalavach. I have no answer that I can write. while under Berke Khan (1257–66) it was Saray-Berke (New Saray). the Caucasus up to Darband. As far as the ulus of Chaghatay (1227–42) was concerned. The frontier followed the steppes from the Dniestr to western Siberia and the lower Syr Darya. Military power. the Golden Horde included Volga Bulgharia. But Chaghatay held it from the Great Khan. by the Khwarazmian Mahm¯ d Yalavach and. . located on the Aktuba. 292). it was a huge empire. located not far from Astrakhan. 1 266 Copyrights . i. . Mahm¯ d Yalavach and his son Masc ud Beg were accountu able only to the Great Khan Ögedey. Chaghatay. Güyük (1246–8) and Toluy’s son Möngke (1251–9). by his son Mas ¯ including duties such as taking a census of the population and collecting taxes and exactions. p. Thereafter Yalavach came to visit Chaghatay. occasionally Baku. The capital of this state under Batu was SarayBatu (Old Saray). who had crushed the rebellion in 1238 of Mahm¯ d u Tar¯ b¯ (see below). p.e. Judging by the fact that Mahm¯ d Yalavach was able to prevent the Mongol commanu ders Ildiz-noyon and Jighan-khorchi. but since the kaghan has ordered me to write I dared to write this. In the northeast. and also northern Khwarazm with the town of Urgench. the conqueror of eastern Europe who also played an important role in the political life of the entire Mongol empire under the Great Khans Ögedey (1229–41). only as injü (crown land). The following story by the historian Rash¯d al-D¯n is ı ı characteristic: It is said. he must have a ı enjoyed great power in the ulus of Chaghatay. on his behalf. Mongolia proper. The founder of the Golden Horde1 was Jöchi’s son Batu (1236–56). Yalavach reported the matter to Ögedey who sent an order to Chaghatay rebuking him and ordering him to write an answer. gave some of the provinces of Transoxania. u c ud Beg (d.ISBN 978-92-3-103467-1 Contents CENTRAL ASIA UNDER THE RULE . whose exact frontiers cannot be exactly defined. and he gave that province to Chaghatay as injü. see Bosworth. from plundering Bukhara and slaughtering its inhabitants. a branch of the Volga. to someone else. and the local Mongol officials were clearly ¯ obliged to abide by his orders. or Kaghan. In the south. 1289). Chaghatay wrote in his reply: ‘I acted from ignorance and without guidance.’ The kaghan was pleased and accepted this excuse. after his transfer to China (after 1239). His seat was on the banks of the Kerulen river. 1996. although Russian and Polish-Lithuanian sources usually refer to it simply as ‘the Great Horde’. . The youngest son Toluy inherited his father’s former ulus. in the north the frontier followed that of the Russian principalities. the territory of the Golden Horde included the Crimea.

’ On this account. but he spent his time carousing and. who ruled in the name of Batu and Möngke. Yesü Möngke was Güyük’s intimate friend. ı a ı a After Güyük’s death his widow Oghul Qaymish acted as regent until 1251. If I complain of you to the kaghan he will put you to death. As might have been expected. who enthroned Yesü Möngke (1247–52). son of the Shaykh al-Isl¯ m of Ferghana.’ And when they were closeted together he said to Vazir: ‘I am the kaghan’s minister and Chaghatay cannot put me to death without consulting him. However. who rebuked and abused him. after the Karakorum kurultay of 1251. otherwise I shall denounce you to the kaghan. Hence. p. well and good. killed at the siege of Bamiyan in 1221). around 1239. but they were a a ¯ considered only nominal rulers. on his way to the ulus Qara Hülegü died and it fell to his widow Orqina Kh¯ t¯ n to au have Yesü Möngke put to death. If you will set matters to right with me. Chaghatay’s son. and you have no witness. probably because of his strained relations with Chaghatay. Toqashi Kh¯ t¯ n was also executed. Following Möngke’s accession to the throne. In the forthcoming election of the Great Khan. 156. In fact. Chaghatay’s fifth son and the ruler of the Chaghatay ulus. Batu decided to lend his support not to one of her sons but to Toluy’s son Möngke. many of those who had opposed his election were executed. apparently. 1318–26) was unstable. Chaghatay’s grandson. ¯ Mahm¯ d Yalavach was transferred to China and his son Masc ud Beg was appointed governoru general of Turkistan. The political position of the Chaghatay ulus until the reign of Kebek Khan (1309. Qara Hülegü (the son of Mötöghan. . the Kulja region and Yeti Su (Semirechye). the Chaghatay ulus came to be split into two: East Turkistan. The deposition of Yesü Möngke was also proclaimed and Qara Hülegü was appointed in his place.2 Soon afterwards. . did not effectively participate in governing the country.ISBN 978-92-3-103467-1 Contents CENTRAL ASIA UNDER THE RULE . 2 Boyle. Yalavach said to Vazir [one of Chaghatay’s viziers]: ‘I should like a word with you in private. like many Khans of the house of Chaghatay. In Transoxania and the western part of Ferghana the Golden Horde’s influence was preponderant. 1971. did not rule for long (1241–7) and he was deposed by the Great Khan Güyük (1246–8). All power was in the hands of his wife Toqashi and of the Tajik vizier Bah¯ ’ al-D¯n a ı Margh¯n¯ n¯. came within the Kaghan’s sphere of influence. Qara Hülegü’s widow au and her under-age son Mub¯ rak Sh¯ h were appointed to the Chaghatay ulus. together with the north-eastern part of Ferghana. power was in the hands of Masc ud Beg. including Oghul Qaymish. Vazir was forced to put the matter to rights. the princes of Ögedey’s lineage opposed this decision and were supported by Yesü Möngke. And if you repeat these words to Chaghatay I will deny them however much I am questioned. and had him elected at a kurultay (general council) held in Karakorum in 1251. 267 Copyrights .

in a small town of Sabqu-bala. who soon after his enthronement was deposed by his cousin Baraq. the Chaghatayid ı ı army defeated Berke Khan’s troops encamped near Utrar: ‘He [Alughu] assembled the dispersed troops. who were allies. judging by the indirect evidence.3 An account by Rash¯d al-D¯n also deserves attention. Accordingly. The reigns of Könchek Khan (son of Duwa Khan). Baraq tried to carry on an armed struggle against Qaydu ( Ögedey’s grandson). and then fought with Berke. Mub¯ rak Sh¯ h. crushed him and pillaged Utrar. a Musa a lim. Alughu’s successor. who was enthroned near Almalïk. Following the short reigns of Negübey (Nikpay in the Persian sources. c. but subsequently suffered a defeat himself. Duwa Khan was a true ally of Qaydu and actively participated in his military campaigns in Mongolia proper. on the banks of the Syr Darya. After his death. a weak ruler. disturbances again began in the Chaghatay ulus. a serious blow was delivered to the Golden Horde: a 5. he succeeded in defeating them. and Talighu (son of Qadami. In the words of the Franciscan William of Rubruck.’4 Thus Alughu brought Transoxania under Chaghatayid rule. son of Baydar. p. The war with the Il Khan Abaqa (1265–82) did not bring Baraq success either. continued the struggle against Berke Khan. 1271) and Toqa-Temür (1272–91). ‘withdrawn from the town to the a steppe and exterminated. Ibid. the Chaghatay ulus became somewhat stronger. He relates that under Alughu. Qaydu enthroned in the Chaghatay ulus Baraq’s son Duwa Khan (c. as already mentioned. and of Baraq who received only about two-thirds of Transoxania.000-strong garrison of the Golden Horde encamped at Bukhara was. 3 4 Barthold. But in the last years of his life. Under Baraq (1266–71). son of Chaghatay. wives and children were confiscated’. . 1968. the Chaghatay ulus was once again divided into distinct spheres of influence. To save the Chaghatay ulus from annexation by the Golden Horde. in the words of Wass¯ f. of Möngke-Temür of the Golden Horde. he enjoyed great authority within the territories of his successor Chapar. Duwa Khan can be seen as the true founder of the Chaghatayid state. Alughu (1260–4). east of the Alexander mountain range. 490. with whose name the restoration of Andijan and its becoming the capital of Ferghana are associated. in particular the returning by Batu of all Temür-Malik’s properties in Khujand to his son. was. he also interfered in the internecine struggles of the Jöchids in the White Horde and. 268 Copyrights . 1282–1307). . Once. after Qaydu’s death (in the autumn of 1301). those of Qaydu.ISBN 978-92-3-103467-1 Contents CENTRAL ASIA UNDER THE RULE . in the 1260s. Finally. the frontier between Möngke’s and Batu’s domains followed the steppe between Talas and the Chu river. and Möngke-Temür (1267–80) of the Golden Horde. their property.

Among his new constructions there was. The administrative and currency a a reforms of Kebek Khan were only superficial. ı a ı ı a ı the vizier Yesünte Möngke from Ferghana and others actively participated in government. for example. Mahm¯ d Yalavach. ‘around’. Transoxanians were also involved in the political life of China under the Yüan dynasty (1279–1368). For example. Kebek Khan and his brother Yesü-Böge were able to annex the largest part of Qaydu’s domains and to some extent stabilize. At a kurultay held in 1309. The Chaghatay ulus was a decentralized state. The new monetary unit became known as kebek. Wass¯ f and Jam¯ l ı ı a a Qarsh¯ allows us to say only the following. Fragmentary evidence provided by historical sources such as the works of Juwayni. a descendant of Ögedey. his name is linked to the currency and administrative reforms which played an important role in the development of feudal statehood in Central Asia. ı with governors appointed by the Kaghan (for the settled regions. a term that survives in the Russian word kopek. son of Böri.e. and internal problems remained. a region located around the capital. His name is also linked to the building and restoring of the towns of Transoxania. the representatives of Mongol power. Kebek Khan (who succeeded his brother and ruled from 1318 to 1326) holds a special place in the history of the Chaghatay ulus. for example. The administrative reform divided the country around Bukhara and Samarkand into tümens. i.e. the socio-political situation in the country. until 1289) and rulers of provincial districts. at least temporarily. princes assisted by special officials. The administrative and monetary reforms of Kebek Khan were aimed at putting an end to confusion and checking the abuse by the various officials and speculators.ISBN 978-92-3-103467-1 Contents CENTRAL ASIA UNDER THE RULE . from the time of the Great S¯ hib-Qir¯ n [i. Leaders of local origin such as Mahm¯ d Yalavach u ¯ and Masc ud Beg from Khwarazm. however. Among the towns restored by Kebek Khan was ancient Balkh. i. Bah¯ ’ al-D¯n Margh¯n¯ n¯. marked by a revolt of princes led by Kursabe. Among them there were. The weight of 1 kebek dinar was 2 mithq¯ ls and 1 kebek dirham was equal to 1/3 of a mitbq¯ l. ‘which. Duwa Khan’s son Kebek Khan succeeded in curbing the separatist tendencies of his relatives. and in Ferghana and East Turkistan into orchins (literally ‘near’. They ruled for hardly more than two years. son of Chaghatay) were not long. qarshi) located near Nasaf around which a whole town later grew up. the systems of Il Khanid Iran and the Golden Horde were utilized as models. . As for the monetary reforms. Chinggis Khan] was deserted a a and turned into a tangle of reeds’. economic and cultural aspects of life within the Chaghatay ulus. The paucity of sources makes it difficult to give a detailed picture of the social.e. his son c Al¯ Beg u ı 269 Copyrights . To some degree. son of Mitügen. he had his elder brother Esen BuqaBöge (1309–18) elected as Khan. Rash¯d al-D¯n. ‘surrounding’). Habash c Am¯d from Utrar. a palace (in Mongolian. . the darughachi or tammachi.

At first. Some Mongol high officials fled to Karmina.ISBN 978-92-3-103467-1 Contents CENTRAL ASIA UNDER THE RULE . others pretended to side with the rebels. alfalfa and grapes. Coinage was minted in many large towns. The targhu. Ak-tepe. Kashghar. Mahm¯ d Tar¯ b¯ was brought to Malik Sanjar’s u a ı 270 Copyrights . a ı a ı Because of favourable climatic conditions. taxes and duties were paid in kind. . Uzgend u where. Crafts and trade had developed in the towns there: besides Bukhara and Samarkand. the revolt of the population of the Bukhara district. and Yac q¯ b son of c Al¯ Beg. the Kaghan’s treasury was kept. but the plot was unsuccessa ı ful. . which took place in 1238 and was led by an artisan called Mahm¯ d Tar¯ b¯. Bukhara. ı a ı As mentioned above. Thus ı ı the amount of m¯ l (land tax) was 10 per cent of all the harvest yield. further aggravated by the outrages of the Mongol officials and tax-collectors. they had only the right to make use of the revenues. we have only very general indications. between 1261 and 1267). Tashkent. there were also Khujand. Eventually. Marghinan. the revolt began in the village of Tarab near ı Bukhara and very quickly spread throughout the region. For example. Transoxania had long been a region of developed agriculture based on artificial irrigation. Khwarazmians by origin. as under the Karakhanids and the Kara Khitay. following him. developed by Duwa Khan and turned by him into the capital of Ferghana. the Near and Middle East and Europe. The principal crops were cotton. that is. and Kuba (the ı a ı present Kuwa). Furthermore. Isfara. Uzgend and Khujand. Bah¯ ’ al-D¯n from Qunduz and others. As related by Juwayn¯ and. grain. Rash¯d al-D¯n gives information on the main taxes levied on landowners and nomads. As far as the taxes and duties levied on the subject population are concerned. the home of a talented poet of the thirteenth century. Sayf al-D¯n Isfar¯ gh¯ (d. Ush. Samarkand. Andijan. armed with sticks. Shams al-D¯n Sayyid Aja and his u ı ı son c Al¯ ’ al-D¯n who came from Almalïk. but from the 1250s. after the introduction of various types of Mongol monetary units and the coinage issued by Möngke (1251–9). Taraz. duties came to be paid in cash. The cause u a ı of the revolt was the suffering of the masses caused by the oppression of local landowners. is worthy of attention. Ulugh Beg. gourds. particularly from 1270 onwards. the Chaghatayids had only injü rights in the ulus. which was a centre for many scholars and poets. a kind of trade duty. These officials planned to kill Mahm¯ d u Tar¯ b¯ on his way to Bukhara and thus to stifle the revolt. With regard to the socio-economic life of the people of Transoxania under the Chaghatayids. a residence of the ¯ Kaghan’s deputies in Transoxania such as Mahm¯ d Yalavach and Masc ud Beg. Marghinan. Utrar. and a tax levied on a nomads (qubchighur) was 1 per cent of 100 head of cattle. u situated on the northern side of the city. the home town of Rukn al-D¯n Qub¯ n¯ (thirteenth century) and others. spades and axes. and later. was also collected. such as Almalïk. Several thousand rebels. the rebels occupied Bukhara and encamped on the height of Ab¯ Hafs. the region played a major role in the transit trade linking China. moved towards Bukhara.

The rich Mongol high officials who had no time to flee were arrested and executed and their properties were distributed among the poor. . As far back as the times of Mub¯ rak Sh¯ h (1266) and Baraq (1266–71). both sons of Duwa Khan. which also included a part of Ferghana. altogether some 21. who. Mahm¯ d Yalavach sent out forces from Khujand and defeated the u insurgents. Nevertheless. power was seized by tribal leaders. After Kebek Khan. B¯ yaz¯d Jal¯ yir took possession of the Khujand region. Thus in one single year (1326). they repeatedly attacked the settled regions of the country. Conversely. pillaged the population and burned towns and villages. because of his adherence to Islam. the Chaghatay ulus was again involved in internecine warfare. Elchigidey and Dua-Temür. and in Shiburghan. fell under the power of nomadic feudal lords and Khans: Buzan (Dua-Temür’s son) and Changshi (Abughan’s son). Thus Mub¯ rak Sh¯ h moved from Yeti Su to the valley of Ahangaran. The western part of the ulus also included eastern Khwarazm. The eastern part of the ulus. ıı c Al¯ ’ al-D¯n (Grandeur of the Faith). finally settled in the western part of the was called a ı Chaghatay ulus and no longer came to Almalïk. Thus the revolt was suppressed. Tarmash¯r¯n (1326–34). and Yesün-Temür (Changshi’s brother. grandson of the Turkish amir Kazaghan. the scholar-theologian Shams al-D¯n u a ı ı ı Mahb¯ b¯ and others – were inexperienced. because the rebel leaders – Mahm¯ d Tar¯ b¯. the a a ı a Balkh region passed into the hands of Husayn. In the main regions of the western part of the ulus. . Taku ı ing advantage of this. 1334–8) ruled in name only.000 men were killed. The years 1340–70 witnessed an aggravation of disturbances and internecine wars and the feudal disintegration of the ulus into smaller. The Mongol commanders who had fled to Karmina assembled several scattered Mongol detachments and came out against the rebels.ISBN 978-92-3-103467-1 Contents CENTRAL ASIA UNDER THE RULE . followed each other on the throne. Yasa’ur and Buzan favoured a nomadic way of life. An essential feature in the life of the Chaghatay ulus in the middle of the thirteenth century was a growing conflict between Chaghatay’s descendants who governed the various regions. the revolt did not spread beyond Bukhara. independent domains. both of them grandsons of Duwa Khan. killed in 1358 while hunting. In the 1340s the Chaghatay ulus finally disintegrated into two parts: Moghulistan (which included Yeti Su. and a a Baraq at first moved to Chaghaniyan. his brothers Muhammad and c Al¯. palace and proclaimed caliph. some a a princes had aspired towards the establishment of stable links with the settled population of Transoxania. the eastern part of Ferghana and East Turkistan) and Transoxania proper. but were defeated. the standard of independence was raised 271 Copyrights . where in 1266 his election took place. a strong group of the military-nomadic aristocracy headed by Qaydu. but it showed the Mongols that the people hated the regime and could muster enough strength to challenge the entire establishment. Thus Kish and its regions fell into the hands of the amir H¯ jji Barlas.

ISBN 978-92-3-103467-1 Contents CENTRAL ASIA UNDER THE RULE . etc. by Muhammad Khw¯ ja Apendi. Here also. in spite of the firm hold of the family–tribe tradition. disturbances and internecine struggles began. 272 Copyrights . It was of this state of affairs that the clever and enterprising Timur (known to the West as Tamerlane). The Khans no longer wielded real power: it was wholly in the hands of nomadic feudal lords. A similar situation prevailed in the eastern part of the ulus in Moghulistan. the local Kaykhusraw Sayyids of Termez took possession of Khuttalan. the leader of the Naiman tribe. . the son of Barlas Beg Taraghay. There were also regions a where power was in the hands of local feudal nobles: the sadrs (leaders of the Muslim religious class) took possession of Bukhara and its regions. took advantage. .

. . . . . . . . . . . . . The Sayyids (1414–51) . 437. . . . . . . Social and economic developments . . . . . . . . . . . . . . . THE DELHI SULTANATE. . . . . . . . . . . . . . . . . . . . . . . Agrarian conditions in the fourteenth century . . . . . . . . . . . . . . . . . . . o ı 274 274 275 275 276 277 277 281 282 283 283 284 284 291 293 * See Map 7. . . . . . . . . . . . . . . . . . . . . ı Shams al-D¯n Iltutmish (1210–36) . . . . . . . . . . Bosworth Contents THE ESTABLISHMENT OF THE SULTANATE IN THE THIRTEENTH CENTURY AND THE NATURE OF THE NEW STRUCTURES IN INDIA . . . . . . . . . . . . . . . . . . . . . 1316–1526 . . . . E. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . a ı ıu ı a ı ı Income levels among the ruling and scholarly élites . . . . . . . The L¯ d¯s (1451–1526) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Jal¯ l al-D¯n F¯r¯ z Khalj¯ (1290–6) and c Al¯ ’ al-D¯n Khalj¯ (1296–1316) .ISBN 978-92-3-103467-1 Contents THE DELHI SULTANATE 14 THE DELHI SULTANATE* Riazul Islam and C. . . . . . . . . . . The Tughluqids (1320–1412) . . . Background . The political structure of the state . . . . . . . . . . . . . . . . . . . Qutb al-D¯n Aybak (1206–10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 Copyrights . . . . . . . . . . . . . . . . . p. . . . . ı N¯ sir al-D¯n Mahm¯ d (1246–66) and Ghiy¯ th al-D¯n Balban (Ulugh Kh¯ n) (1266–87) a ı u a ı a The end of Turkish supremacy . . . . . . . . . . . . . . . . . . . . .

now disintegrated. This led to the formation of three large and separate a kingdoms in the Deccan: one in the north. the feudal-like system clearly favoured the rulers and the ruling classes at the expense of the peasantry. the Rajputs – mostly of foreign origin. The Rajputs’ narrow vision. Second. contributed to the military and political particularism which prevented a collective response against foreign invasions during the eleventh and twelfth centuries. no strong central authority for the entire subcontinent existed. with Kanawj as their seat. Third. leaving India exposed to foreign invasions. The Rajput political structure. the Gurı a jaras who had ruled over Panjab and Marwar. First. during the u ı period lasting from the death of Harsha (646–7) to the Turk invasions of northern India. The R¯ shtrak¯ tas of the Deccan extended a u their authority to the north. Much of their strength was wasted in mutual warfare. one in the east and one in the west. After the Ghaznavid 274 Copyrights . from Panjab eastward. encouraged fissiparous tendencies. feudal and hierarchic in character and lacking a strong central force. which had acted ı a as a shield against external aggression during the major part of the ninth and tenth centuries. and endless and purposeless internecine fighting.ISBN 978-92-3-103467-1 Contents Background Part One THE ESTABLISHMENT OF THE SULTANATE IN THE THIRTEENTH CENTURY AND THE NATURE OF THE NEW STRUCTURES IN INDIA (Riazul Islam) Background Under the Ghaznavid Sultan Mahm¯ d and later the Ghurid Muc izz al-D¯n. the socio-political configuration was dominated by a number of factors which help to explain the rapidity of the Muslim conquest. ı a and the P¯ las from Bengal westward. had a passion for war and often went to ı a war to enhance their prestige. are given credit for stalling the Arab eastward expansion from Sind. even narrower loyalties. but gradually absorbed into the fighting caste of the Hindus – who emerged as a political force after the fall of the Prat¯h¯ ras. The predecessors of the Prat¯h¯ ras. the Prat¯h¯ ras. The Prat¯h¯ ra dominance of northern India.

but his role as lieutenant during Muc izz al-D¯n’s life. Islam spread from its foothold in the extreme north-west of the subcontinent into much wider regions. a a thereby achieving acceptability and legitimacy for his new sultanate. who controlled Sind and Multan. the threat from the growing power of the Chinggisid Mongols across the North-West Frontier. through a combination of strategy and luck. especially. the c Abbasid caliph of Baghdad. 275 Copyrights . against Qab¯ cha. Himself a man of piety and learning. posed great challenges. and. None of Iltutmish’s five successors – two sons. Aybak’s accidental death during a game of polo in 1210 ended a promising career. the Turkish ruler of Ghazna. for it made the Sultanate of Delhi a legally and morally recognized state in orthodox Muslim eyes. Iltutmish. who wanted to throw off the Muslim yoke. Chapters 5 and 8). Qutb alı uı D¯n Aybak at Lahore and Qab¯ cha at Uchch. entitles him to an important place in the formative ı history of the Delhi Sultanate. organizing the administration and evolving statesmanlike basic political policies. this was an event of considerable significance. the first sovereign ruler of Delhi. re-established his authority in the eastern provinces. Shams al-D¯n Iltutmish (1210–36) ı Iltutmish ascended the throne of Delhi in difficult and markedly uncertain circumstances. He is given credit for creating durable foundations. Iltutmish maintained cordial relations with the c ulam¯ ’ and the mash¯ yikh (Sufi leaders and saints). the Ghurid invasions (see above. The Mongols kept pressing on the frontier and both Lahore and Multan were subjected to raids and spoliation. Iltutmish displayed great intrepidity in the face of all these difficulties and showed a shrewd sense of strategy and timing in tackling the various problems.ISBN 978-92-3-103467-1 Contents Shams al-D¯n Iltutmish (1210–36) ı and. In 1229 al-Mustansir. But his four years of stewardship of the Ghurid Indian dominions were marked by his struggles against Yildiz. succeeded in saving his kingdom from the Mongol onslaught. and above all. and against the rebellious a Hindu Rajahs. the revival of a resistance among the Hindu ruling classes. Qutb al-D¯n Aybak (1206–10) ı Muc izz al-D¯n Gh¯ r¯’s leading slave generals succeeded him: Yildiz at Ghazna. conferred a mandate of authority on Iltutmish. and later as his successor. The Khaljis in Bengal and Bihar withdrew their allegiance. He humbled the hostile Turkish generals. one daughter and two grandsons who followed each other in quick succession – proved to be capable leaders. is rightly considered the founder of the Sultanate of Delhi. The defiant attitudes of the senior slave generals like Qab¯ cha and Yildiz. Aybak was undoubtedly the late sultan’s most ı a trusted lieutenant and thus his main successor in India. overcame Hindu resistance.

The ordinary people. Thus it was natural for the army to receive the utmost attention. Among the powerful ‘Forty’. government and religion. The various elements of his thinking. are sometimes labelled his ‘political theory’.ISBN 978-92-3-103467-1 Contents ¯ ¯ Nasir al-D¯ Mahmud (1246–66) . though not elaborate or comprehensive enough to be considered a theory. There is also an indication that Balban endeavoured to change the payment of the soldiers’ salaries from iqt¯ c s (assignments of land. Balban tried to stem the rot that had set in during the decade of a anarchy (1236–46). With a view to improving its efficacy as a striking force. Balban. . During the two decades that he was at the helm as n¯ ’ib-i mamlakat. Balban had an intimate knowledge of the manner in which it functioned and its sources of strength and weakness. He believed that the weakness of the crown lay at the root of all the maladies of the state. who attained a dominant position in the court. He was thus able to identify its core problem. . in order to preserve its authority. the last ruler of the line of Iltutmish. however. He had gained considerable power even before the accession of ı Sultan N¯ sir al-D¯n Mahm¯ d. With his blind belief in the supreme value of nasab (good birth). showed signs of disaffection. REORGANIZATION OF THE ARMY The government depended essentially on force. or the threat of force. now called n¯ ’ib-i mamlakat (viceroy). are nevertheless coherent. Having served the sultanate at all levels. a ı 276 Copyrights . Balban would not employ men of ordinary birth in the army and the administration. Balban gave high priority to the reorganization and expansion of the army. reducing the sultan to a titular ruler. ¯ ¯ ¯ Nasir al-D¯n Mahmud (1246–66) and Ghiyath al-D¯n ı ı ¯ Balban (Ulugh Khan) (1266–87) One of the notable developments in the post-Iltutmish period is the emergence of a group of nobles – all slaves of Iltutmish – called the Ghul¯ m¯ n-i Chihilg¯ n¯ (possibly meaning ‘the a a a ı slave commanders who each commanded forty slaves’). in general. the dominant figure of Ghiy¯ th a al-D¯n Balban emerged. For thirty years the ‘Forty’ held the royal power in commission and reduced the sultan to a figurehead. Balban displayed great vigour and ruthlessness in crushing political rivals and rebels and punishing refractory governors and local chiefs. His ideas on monarchy. Mughal a times were to be called j¯ g¯rs) to cash payments. in effect assumed power ı a as regent. what in later. Shortly after N¯ sir ala ı u a D¯n’s accession. in particular the Rajputs. expressed in his speeches to his sons and nobles. in Provincial governors found an opportunity to extend their autonomy and the Hindu rulers. were not affected.

ascended the throne of Delhi. in ir ¯ i The decades following the end of Iltutmish’s reign saw a marked increase in Mongol pressure on the western frontiers of the Delhi Sultanate. . ill-supported by the central government. Second.ISBN 978-92-3-103467-1 Contents ¯ Jalal al-D¯ F¯ uz Khalj¯ (1290–6) . Thus he held a firm line against the Mongols. a ı ı To understand fully the reign of c Al¯ ’ al-D¯n. large parts of Sind and Panjab were under Mongol occupation. who took the title of Muc izz ala D¯n. marked him as a ruler unsuited to the times. but were Iranized because of their long stay in the steppelands of Afghanistan. The end of Turkish supremacy: The Khalji revolution Balban was succeeded in 1287 by his grandson Kay Qub¯ d. too. During Balban’s reign. ¯ ¯ Jalal al-D¯n F¯ruz Khalj¯ (1290–6) and cAla’ al-D¯n ı ı ¯ ı ı Khalj¯ (1296–1316) ı Jal¯ l al-D¯n F¯r¯ z Khalj¯ ’s six-year reign was marked by incompetence and pusillanima ı ıu ı ity. The Khaljis. an old officer of a ı ıu ı Sultan Balban. The governors of these regions. The rising Khalji clan soon replaced the house of Balban. the Mongols never attempted to proceed beyond the Ravi and the security of Delhi and the central provinces was never under threat. Balban made the defence of the frontiers a priority. Not only were the conventional Indian methods of revenue-collection 277 Copyrights . his half-hearted fight against the invading Mongols. he compromised by holding a line between the Beas and the Ravi rivers. leaving large parts of western Panjab in Mongol hands. and Jal¯ l al-D¯n F¯r¯ z Khalj¯. The change in the social base of power was so pronounced as to justify the term ‘Khalji revolution’. he cleared Sind of the Mongol adventurers. his contribution here being twofold. First. His ambitious nephew and son-in-law c Al¯ ı Garsh¯ sp showed little compunction in disposing of his uncle and ascended the throne as a c Al¯ ’ al-D¯n Khalj¯. handsome. following a realistic defence policy. pleasure-loving and inexperienced sultan paid little attention ı to the administration and soon lost all control of the affairs of state. His lenience towards robbers and rebels. (The Turks did not consider the Khaljis their peers. . were originally of Turkish origin. By the time that Balban came to the throne. and his failure to seize the prestigious Ranthambor fortress from the Rajputs. This young. it is now fairly certain. one should look back at the thirteenth cena ı tury and take note of the salient socio-economic trends. With his reorganized army. were helpless in the face of Mongol inroads. recovered Lahore and Multan and built a special force to protect the frontiers. The striking motif is the continuity of the institutions.) The fact that the Khaljis did not demonstrate any racial élitism of their own enabled them to build a wider political and social base for their ‘new monarchy’.

but after a short period was placed under a loyal Rajput dynast. too. c Al¯ ’ al-D¯n faced two Mongol attacks on Delhi. Forewarned by a number of rebellions early in his reign. he adopted measures to extract as much wealth as possible from his subjects. The most noteworthy recovered areas were Jaysalmir. Telingana ruled by the Gan¯ patis. . in ir ¯ i (mainly a simple produce-sharing system) largely left unchanged by the new rulers. thus they adopted the methods most likely to ensure rapid success. for its annexation brought the sultanate a province rich in natural resources as well as the benefits of extensive maritime trade.ISBN 978-92-3-103467-1 Contents ¯ Jalal al-D¯ F¯ uz Khalj¯ (1290–6) . The resulta ı ing acquisitions can be classed under three headings: areas recovered. First. In the military sphere. Next. was conquered and annexed. he issued strict orders forbidding them to assemble or intermarry without royal permission. a ı but on both occasions the Mongols retreated. c Al¯ ’ al-D¯n’s main goals regarding these rich kingdoms were to a ı obtain as much tribute as possible and to secure their submission to Delhi’s suzerainty. the ra’¯s (chief). The state’s demand for revenue was deliberately kept at a low rate – one-fifth of the produce – and the countryside was largely left undisturbed. The states subdued but not annexed include the three kingdoms of the Deccan and southern India: Deogir ruled by the Yadavas. From the rural chiefs he demanded full taxes. The death in 1306 of Duwa Khan. The most substantial and significant newly conquered territory was Gujarat. the Chaghatayid ruler of Transoxania and the main inspiration behind these invasions. During the thirteenth century. c Al¯ ’ al-D¯n’s achievements fall into two categories: the war a ı against the invading Mongols and the conquest of the unsubdued Indian territories. may have also contributed to the decrease of Mongol pressure on India. and states subdued but not annexed. The new rulers who aı had taken over the immense lands were short of manpower and in need of funds. but even the collection agents. he strengthened the d¯w¯ n-i bar¯d (intelı a ı ligence department). Hence by the end of the first decade of his rule. groups of ı ı villages) and the patw¯ r¯s (village accountants). c Al¯ ’ al-D¯n’s twenty-year reign entailed ceaseless military activity in India. Chitor. and Dwarsamudra a ruled by the Hoysalas. acting on the idea that ‘wealth and rebellion are twins’. the Mongols were so powerful that even a strong ruler like Balban had to adopt a defensive policy and accept a frontier line that was not particularly favourable. in order to keep the nobles from uniting against him. Other Mongol invasions directed at Panjab and the Ganges valley were also defeated. were mostly retained. including a siege of the city. c Al¯ ’ al-D¯n took prompt meaa ı sures to forestall further trouble. he had ensured protection from external aggression for his dominion. the chaudkr¯s (heads of parganas. in order to keep himself posted of all important occurrences in the capital and the provinces. Finally. 278 Copyrights . Ranthambor and Malwa. territories freshly conquered and annexed. . while for the peasants the state demand for revenue was increased.

he also made provisions for revenue ıu a exemptions in cases of crop failure resulting from natural calamities. Firmly insisting on the principle that ‘the burden of the strong shall not fall on the weak’. There is no adequate explanation as to why c Al¯ ’ al-D¯n made no attempt to conquer and annex Bengal. the cavalry. A factor of paramount importance in c Al¯ ’ al-D¯n’s far-reaching conquests and his suca ı cess in dealing with the problem of the Mongols was the quality and size of his army. c Al¯ ’ al-D¯n was the first sultan to give serious thought to the reorganization of the a ı revenue system. in ir ¯ i Otherwise. his military achievements were substantial. thereby more than doubling the rate (compared to 20 per cent under Iltutmish and later F¯r¯ z Sh¯ h Tughluq). favoured aı the peasants. To overcome this problem. c Al¯ ’ al-D¯n introduced price controls to ensure that a soldier a ı could live reasonably well on a lower scale of pay. By shifting to the land-measurement method. he forced the superior rural classes (variously called k¯ t. he kept in mind the following well-considered objectives: to maximize the government’s revenue. known for many centuries as bat¯ ’¯. However. but only on a well-defined and carefully chosen core of the sultanate. He increased the strength of a ı the main wing of the army. Bat¯ ’¯.ISBN 978-92-3-103467-1 Contents ¯ Jalal al-D¯ F¯ uz Khalj¯ (1290–6) . He also introduced the rule of measurement of land (which of course was familiar in India). for under it they paid in proportion to what they produced. u 279 Copyrights . . a fixed and stable rule of measurement was in the government’s interests as it helped to ensure a stable level of revenue. rather than direct rule. Furthermore. and to minimize the dangers of a rebellion by the nobles and of rural discontent. on the other hand. Talent and loyalty were the only criteria by which c Al¯ ’ al-D¯n judged the men of the armed forces. who was thrice sent to subdue the three kingdoms. to equalize the burden of taxation on the various sectors of the rural population. the Rajahs were left free to manage their internal affairs. . the sultan increased the pressure on the peasants to produce more. While devising a plan. he lightened the tax burden on the peasants. the expense of the salaries for an army with such a large cavalry element would soon have exhausted the treasury. met with unqualified success au and c Al¯ ’ al-D¯n’s policy of establishing imperial hegemony. However. this largely replaced the rule of sharing theproduce. but for a reign of twenty years. Furthermore. Clearly. he increased the rate of the state’s demand to 50 per cent of the calculated produce. over a ı the distant Deccan proved eminently successful. The general Malik K¯ f¯ r. thereby ensuring the preparedness of the troops. to 475. Being a realist. he did not suffer from the constraints which Balban had imposed in order to limit the strength of the cadre of commanders. he made the rules of annual muster more stringent. he did not impose the rule of aı measurement on the entire realm. which was still ruled a ı by Balban’s descendants.000 well-equipped troops who were paid directly from the treasury. In effect. First of all.

it increased the authority wielded by the state over the bureaucracy and the nobility. treated with marked severity. . . or iqt¯ c (sometimes simply a portion of the land a revenue). they also gained some advantages. The evidence is a ı the fact that. as well as other grants. Within five without fulfilling their obligations. the lag between collections and deposits was reduced. but was now restricted to special cases in which the sultan wanted to emphasize the executive authority of a minister who had been entrusted with an important and difficult task. The sultans of Delhi prior to c Al¯ ’ al-D¯n had followed this convenient and simple a ı method. a ı years of his accession. Its main disadvantage. ¯ IQTAc S (ASSIGNMENTS OF LAND) In lieu of salary. The muqtac s (executive heads of provinces responsible for the collection of revenues) and the staff of the d¯w¯ n-i wiz¯ rat (revenue department) ı a a were.ISBN 978-92-3-103467-1 Contents ¯ Jalal al-D¯ F¯ uz Khalj¯ (1290–6) . As a result. during the two decades of the sultan’s reign. a Financial benefits aside. Thus although the peasants lost under c Al¯ ’ al-D¯n. if found guilty of laxity or dishonesty in the fulfilment of their duties. in ir ¯ i muqaddam and chaudhr¯) to pay their taxes themselves rather than pass the burden on to ı the peasantry. It saved the administration from having to keep ready cash for the monthly salary payments. and substantially reduced the amount of paperwork. that the practice of giving iqt¯ c s was not completely a abandoned. It also provided loopholes for recipients to enjoy the benefits of the iqt¯ c s a c Al¯ ’ al-D¯n strongly disliked the system. and third. account for the absence of articulated a ı discontent. an assignment of land. and not to rural malcontents. second. As a result. they were no longer in a position to oppress the peasantry at will. He also abolished all the tax exemptions that they had previously enjoyed. however. It seems. This was a far-reaching change. a and their inclusion into kh¯ lisa (state-administered lands). however. but recorded cases of harsh treatment and punishment under his administration mostly refer to urban political rebels and corrupt administrators. he issued orders for the withdrawal of iqt¯ c s. even governors were not spared physical beatings. the peasants were left enough of their produce to enable them to survive from one year to the next. however. was that it enabled the recipients of large iqt¯ c s a to gain extensive personal influence and thus become an impediment to the operation of state power. no rebellion occurred in the rural areas. c Al¯ ’ al-D¯n’s strong rule alone cannot. the village people were saved from the extortions of the revenue staff. the collections became effective and regular. In any case. first. 280 Copyrights . was granted to state employees.

The prices of wheat and other commodities were fixed and elaborate arrangements were made to ensure adequate supplies in the markets and to maintain huge reserves.ISBN 978-92-3-103467-1 Contents Income levels and scholarly élites MARKET-CONTROL REGULATIONS One of c Al¯ ’ al-D¯n’s most important measures – and one which has attracted a great deal a ı of attention – was the control of prices. Of all the requisites of the troops. the nobles continued to enjoy the benefits reaped from the iqt¯ c s. other features a ı supported the system. we learn that prices were so fixed as to ensure a fair margin of profit for the producer/seller. large areas and entire provinces were assigned to the nobles. The other three sectors of price control were: (a) horses. c Al¯ ’ al-D¯n also made sure to appoint men of honesty and a ı impartiality to the hisba (market control) staff. the main beneficiaries of the system were men of modest income and of the lower salary group in the capital. The muqtac s (assignee-governors of these territories) tended to wield a wide range of powers. Income levels among the ruling and scholarly élites During the initial phase of conquest. the most important single item was food. ponies. Aside from the firmness of c Al¯ ’ al-D¯n’s administration. and (c) articles for domestic consumption and personal use. ranging from 7 to 8 j¯tals per man (except during periods of famine). 13 kg). greatly contributed to the stability of c Al¯ ’ al-D¯n’s market-control arrangements. Both these features. In addition. the sultan took a ı care to ensure that the market was never short of supplies. During periods of scarcity. Apart from the troops stationed in Delhi. From the days of Balban to the reign of ı Fir¯ z Sh¯ h Tughluq towards the end of the fourteenth century. namely the approximation of the fixed price to the normal price and the allowance of profit to the producer. prices were only fixed after very careful consideration and were generally reasonable. Second. cattle and slaves. The prices of the various items in the four sectors were not changed during the rest of the sultan’s reign. prices were kept steady at the fixed rate. even under famine conditions. Out of the revenues collected from the a 281 Copyrights . The price of the most important item. Iltutmish rectified the situation by bringing the provincial governors under the central authority and subjecting them to a certain financial control. in order to collect revenue and consolidate the sultan’s hold on the territory. the price of wheat remained u a stable. Through these devices. (b) cloth and fruit. First. wheat. was fixed at 7-1/2 j¯tals per man (1 man of 14 seers = approx. in ı another controlled sector. But in general. rationing was enforced. This explains the concentration within Delhi of a large number of scholars. craftsmen and men of the various professions. It therefore constituted the first of the four sectors of price control. It was introduced for the purpose of employing a larger army on a lower scale of pay.

Agrarian conditions in the fourteenth century The evolution of agrarian conditions during the thirteenth century and the agrarian reforms of c Al¯ ’ al-D¯n Khalj¯ have already been noted. the system of iqt¯ c s was revived. At the beginning of the thirteenth century. Khalj¯. and the amirs. It took F¯r¯ z Sh¯ h Tughluq (1351–88) six years to survey the entire land and prepare new estiıu a mates of revenue. Land not given in assignment and reserved for the state treasury was known as kh¯ lisa.000 tankas. Muhammad b. By making a substantial addition to the water supply through canals and innumerable wells. Subsequently. Tughluq’s (1325–51) experiments with the agrarian economy. Specific amounts a of land were assigned for the sultan’s personal and household needs. who received 30–40.ISBN 978-92-3-103467-1 Contents Agrarian conditions . used another portion towards maintaining his contingent of troops and sent the balance (faw¯ dil) a to the central exchequer. Ghiy¯ th al-D¯n Tughluq (1320–5) reverted a ı ı a ı to the ‘produce-sharing’ method which. The nobles lived in great luxury and style. . as in other sectors. the muqtac kept a portion for himself and his household. He lowered the rate of state revenue demand and abolished several agrarian excesses. but when it was a a a found that they converted the land into milk (private property). the nobles were no longer given iqt¯ c s but cash salaries. was lost in the plethora of revolts. who were paid 1 lac of tankas. Tughluq left only confusion and anarchy. but some a restrictions were introduced. in the agrarian sector. such as the sudden increase of the rate demanded in the Do’ab. assignments of cultivable land and assignments on the jizya (poll tax on non-Muslims) of a particular locality. the muqta ı and in general. who were paid 50–60. territories assigned to him. He too decided to adhere to the ‘produce-sharing’ method. His short reign probably brought considerable relief to the rural population. . he made an enormous contribution to gardens and cultivable land and thus ensured a substantial increase in the supply of cereals and fruit. Payment to c ulam¯ ’ and mash¯ yikh was made in various forms: regular a a stipends. By the time of c Al¯ ’ al-D¯n a ı c s had been made fully accountable to the central revenue department. as noted earlier. the Maliks. but were not treated as royal property. He mitigated the harshness of c Al¯ ’ al-D¯n’s measures concerning the k¯ ts. the practice was gradually discontinued. They comprised three main grades: the Khans. even soldiers (called iqt¯ c -d¯ rs) were given iqt¯ c s. assignments of ‘dead land brought to life’. the rotation of crops and the granting of loans to the peasants. a under the Tughluqids (see Part Two below). the muqaddams and a ı u the muqtac s. favoured the peasantry. The muqtac ’s obligations included maintaining military contingents and placing them at the sultan’s service when needed. 282 Copyrights . The impact of Muhammad b.000 tankas.

the sultans steadily gathered more and more powers. thereby weakening the a state financially. when the Delhi Sultanate was formally founded. especially in financial matters. The impression of overall prosperity – in which the village peasants were also beneficiaries – is due to the notable and sustained increase in production and to the long period of general peace. during which nobles and officers would misappropriate public funds. The most important departments were those of religion and justice. Depending upon the circumstances. For administrative purposes. Two interesting u ¯ pieces of evidence are the constantly increasing size of the congregational mosques and the organization of regular transportation into the city of Delhi. the governors. fail to pay dues and thus become rich and powerful at the expense of the state. some were tempted to declare independence. these inevitably diminished the kh¯ lisa lands. continued apace during the following century. which had begun in the thirteenth century. which was looked after by the most important minister. The political structure of the state Dynastic monarchy was a structure with which Indians had long been familiar.ISBN 978-92-3-103467-1 Contents Social and economic developments Fir¯ z Sh¯ h made extensive assignments to the nobility. tended to assume more powers and run their provinces autonomously. etc. The sultan was assisted by a body of ministers who managed their respective departments under royal orders. and men and institutions u a of learning and piety. The process reached its climax under c Al¯ ’ al-D¯n a ı Khalj¯. of the intelligence service and the imperial post. however. When the government at Delhi was weak. of the army. it can fairly be stated that a sultan was generally a more powerful ruler than a Hindu ruler of earlier centuries. crafts. His powers were considerable. The trend towards urbanization. especially those of the distant provinces. it was also a period of lax administration. Tughluq. a rebel governor might face the gallows or become the founder of a new provincial dynasty. Both the state chronicles and the accounts of foreign visitors such as the Moroccan c alim (scholar) and traveller Ibn Batt¯ ta confirm this. Social and economic developments in the fourteenth century: urbanization. and of finance and revenue. the sultanate was divided into provinces. who effectively controlled the empire and ran it as if it were a village. went too far and suffered a set-back. with fixed charges from and 283 Copyrights . At the same time. Muhammad ı b. yet limited by the central government. the vizier. From 1210. with the executive head of each province serving as governor. officers.

ironware. leatherware and sugar-making. Many other industries and crafts are mentioned in the context of the royal workshops or of the taxes imposed on the industries. The ı ı merchants. who distributed large quantities of grain all over the land and a a a are continually mentioned in chronicles and in Am¯r Khusraw’s historical mathnaw¯s. the most notable groups were the karw¯ niy¯ n (banj¯ ras). The increase in population and the growth of a large number of cities led to the development and diversification of industries and crafts. Diy¯ ’ a al-D¯n Baran¯ mentions that c Al¯ ’ al-D¯n Khalj¯ employed as many as 70. Indian hardware achieved great fame. E. silken stuffs. Part Two THE DELHI SULTANATE. the latter indicate the growth in the size of the city. his Hindu convert slave Khusraw Khan Barw¯ ri. for example. The increased pace of production led to certain technological advances. 1316–1526 (C. with its mention of 21 varieties a a a of rice and 65 varieties of sweets. who were concerned with internal as well as foreign trade. contributed to the expansion of the textile industry. producing damascened steel which had a worldwide reputation. but in the entire Islamic East. also played an important role. The scale of diversification of food production can be grasped from Ibn Fadl All¯ h’s Mas¯ lik al-abs¯ r.000 craftsmen ı ı a ı a for the construction of his buildings. The introduction of the true arch. Of particular importance were cotton fabrics. woollens. Ibn Batt¯ ta declared u that Delhi was the largest city not only in India.ISBN 978-92-3-103467-1 Contents The Tughluqids (1320–1412) to various points. dome and vault facilitated the construction of large buildings. The introduction of the cotton-carder’s bow and the spinning wheel. Bosworth) The Tughluqids (1320–1412) With the murder of Qutb al-D¯n Mub¯ rak Sh¯ h in 1320. and his assassin. carpets. the line of the Khalji sultans of ı a a Delhi came to an end. In trade and commerce. The s¯ has (bankers). a 284 Copyrights . the Multani moneya ı a lenders and the sarr¯ fs (money-changers) provided banking services which greatly facila itated commercial transactions in the country. They organized the import of fine cloth for c Al¯ ’ al-D¯n’s Saray-i c Adl market. especially the famous Multani merchants.

Tughluq (1325–51). who had risen to prominence a under the Khaljis. Thus on his death in 1325. 35–6.. Hardy. consummated this work of a ı consolidation and expansion during his long reign. Habib and Nizami. The line of sultans which he inaugurated a ı is conveniently referred to as the Tughluqids. p. yet Professor K. Nizami has written of him: His reign of twenty-six years is a fascinating but tragic story of schemes and projects correctly conceived. although N¯ sir al-D¯n’s failure had stemmed from his personal incapacity a ı to rule rather than from outraged Islamic sentiment. although Tughluq was almost certainly a personal name of Gh¯ z¯ Malik rather than a Turkish ethnic or tribal name. who a ı a ascended the throne as Ghiy¯ th al-D¯n (1320–5). He could never establish that rapport and mutual understanding with his subjects.1 a ı Ghiy¯ th al-D¯n thus came to power posing as the saviour of the faith from Hindu threats a ı to subvert Islam. p. utilizing resentment against the ascendancy of the Hindus in the state under Khusraw Khan: in 1320 N¯ sir al-D¯n was defeated and killed by Gh¯ zi Malik. governor of Dipalpur in Panjab. These he achieved by recovering land grants (iqt¯ c s. pp. which was so necessary for the implementation of his schemes.ISBN 978-92-3-103467-1 Contents The Tughluqids (1320–1412) ascended the throne as Sultan N¯ sir al-D¯n. the sultanate had been once more consolidated and its frontiers extended considerably beyond those of Khalji times.4 Ghiy¯ th al-D¯n’s son. He is certainly one of the great figures of medieval Indo-Muslim history. Ibid. His ingenious mind was as quick in formulating new plans as it was slow in understanding the psychology of the people. pp. Muhammad b. Yet Muhammad was in fact a vigorous commander and man of 1 2 3 4 5 Habib and Nizami. a ı is less enthusiastic because of the new ruler’s differences with the Chisht¯ mystic Niz¯ m ı a al-D¯n Awliy¯ ’. Ibid. 484. 1960.5 Historians such as c Is¯ m¯ and Baran¯ adopted hostile attitudes to him and stigmatized him a ı ı as an impractical visionary. p.. and under him the Delhi Sultanate reached its greatest extent. A. or a j¯ g¯rs) which had been lavishly distributed by his predecessor. his reign marks a watershed in the history of the sultanate. 285 Copyrights .3 Ghiy¯ th al-D¯n’s main tasks were to restore internal order and to pull ı a a ı together the empire after the financial chaos and the centrifugal administrative forces at work during the previous reign. 460–83. 460. Hence Diy¯ ’ al-D¯n Baran¯ presents a ı ı 2 although the Sufi hagiographic tradition Ghiy¯ th al-D¯n as the paragon of Islamic rulers. 1970. by campaigning against a ı the Hindu rulers of Orissa and Mac bar (Madura) (this last province conquered in 1323) and by securing the vassalage of the Muslim sultanate of Bengal in 1324. 1970. 482. But his reign was cut short by the rebellion a ı of Gh¯ zi Malik Tughluq. badly executed and disastrously abandoned.

a vague term in Indo-Muslim usage of the times. a reaction set in and in the latter part of his reign. at all events. Bengal and Mac bar (Madura) regained their independence. he apparently planned a more activist policy within the Deccan. 1975.6 In 1327 he embarked on one of his most controversial and innovatory actions.ISBN 978-92-3-103467-1 Contents The Tughluqids (1320–1412) action. and contingents of Turco-Mongols appeared in the Tughluqid army later in his reign. the Mongol forces entered Panjab ıı and reached the Jumna. the policy speedily proved a failure and the division of central authority within the sultanate has been criticized by later historians as having had. Jackson. and. renamed Dawlatabad. 1970. 1960. the Tughluqid army raided Peshawar and the mountains beyond. from this new military base. pp. above all. 17–19. the founding of a second capital of the sultanate in Deogir. the new policy towards the Deccan clearly failed when c Al¯ ’ ala D¯n Hasan Bahman Sh¯ h constituted the Bahmanid sultanate there after 1347. Barani speaks of a campaign against the ‘Qar¯ ch¯l mountains’. unsuccessful. Under their Tarmash¯r¯n Khan. 1964. pp. It seems to have been this raid which in c.8 After a certain number of successes. Multan. A. an adverse effect on the sultanate’s unity and effectiveness. 286 Copyrights .7 Soon after Muhammad’s accession. Hence at ı a 6 7 8 Hardy. but Muhammad seems to have entertained the grand design of attacking the Chaghatayids in ‘Khurasan’. Ahmad. whose territories in the North-West Frontier region and eastern Afghanistan had just been threatened. Sind and Gujarat were disaffected. 36–9. One side-effect of Muhammad’s policy vis-à-vis the Chaghatayids was that his realm became a haven for many Turco-Mongol chiefs and soldiers fleeing from Tarmash¯r¯n’s strongly anti-Muslim measures within the ıı Khanate. Habib and Nizami. in the northern Deccan (near modern Awrangabad in Maharashtra province). in which many members of the Muslim administrative and religious élites of Delhi were willy-nilly resettled. in the longer term. however. which a ı has often been taken to refer to the Himalayan regions of Garwhal and Kumaon but which might well refer to Kashmir. Peace was made. In this way Muhammad parted company with the Khalji policy of exercising suzerainty over the Deccan from outside. at that time considered to be within the Chaghayatid sphere of influence. 498–500. Whether this was his express intention or not. 1329–30 provoked the last major invasion of India by the Chaghatayids. 1970. 506–15. the venture was. but had to retire because of the lack of food and fodder there. These involved the permanent loss to the sultanate of several provinces. pp. Muhammad had to deal with no fewer than twenty-two rebellions in different parts of the empire. Habib and Nizami. pp.

pp. p. even bloodthirsty ruler. pp. pp. 1970. 1985. A. 115–20. 1970. both classes ever jealous of their own positions and a interests. 679–82. who reached India in 1333 u and the Delhi court in the following year (as an outsider himself. 1936. pp. 33–6. pp. 515–19.11 Of more immediate damage to Muhammad’s image as a divinely mandated ruler were. 671.9 The causes of this decline are various. 8–9. but the caliphate was by this time such a pale and ineffectual shadow of its former self that c Abbasid approval does not seem to have brought Muhammad any tangible benefits in the eyes of his contemporaries. pp. his general reputation as a stern. pp. Habib and Nizami. pp. 695–706. Nizami. 537–8. 12 Ibn Batt¯ ta. 523–37. 562–5. second. 1985. to reform the coinage by introducing a low-denomination copper and brass coinage (perhaps in response to heavy drains of precious metal resulting from military campaigning and/or to some economic crisis not made explicit in the sources)13 and to establish a secure base for the Islamization of the Deccan at Dawlatabad show him as a man of some vision who was trying to follow a Habib and Nizami. first. the sultan of Delhi possessed no authority in central and southern India beyond the Vindhya range. receiving their emissaries and placing their names on his coins. 11 Qureshi. whose anger and violence did not spare recalcitrant religious scholars and Sufis – as Ibn Batt¯ ta notes in a fair-sized list of those executed by u the sultan. presumably in the hope of strengthening the aura of Islamic legitimacy for his rule. Siddiqui. pp. 10 9 287 Copyrights . 1922. 200–1. He further admitted converts from Hinduism – as of course had his predecessors – and this was resented by the old Muslim Turkish families and by the c ulam¯ ’. u 1971. Ibn Batt¯ ta.10 Muhammad was keen to establish links with the c Abbasid fainéant caliphs now living in Cairo under the tutelage of the Mamluks. 1970. Muhammad had clearly aroused discontent in the state by his policy of opening the doors of the army and the administration to new sectors of talent. he did. Habib and Nizami.ISBN 978-92-3-103467-1 Contents The Tughluqids (1320–1412) Muhammad’s death. he benefited greatly from it). 1971. 27–8. The sultan’s policy of attracting strangers to India and of honouring them for their capabilities was approved by Ibn Batt¯ ta (mentioned above). Habib and Nizami. especially in the wake of a disastrous famine in the Delhi– Do’ab region in 1335–6. pp. Ahmad. his strained relations with the religious classes of India (although the accounts by contemporary chroniclers of a decline in religious life at Delhi as a consequence of the move to Dawlatabad are clearly much exaggerated) and. In pursuit of this broadening of his power base. as mentioned above. pp. Wright.12 But Muhammad’s attempts to encourage agriculture. u 1992. Nizami. u 13 Brown. 1971. Ibn Batt¯ ta. 1970. 1958. encourage dissident Mongol amirs to come to his court. 1964.

An invitation from discontented elements in the Bahmanid sultanate to intervene in the Deccan was. He attacked Hindu rulers in Orissa and at Nagarkot-Kangra and led a long and costly campaign against the Samm¯ a chiefs of Thatta on the Indus and lower Sind and against Gujarat (in 1365–7). Habib and Nizami. 562–600. 288 Copyrights . Habib and Nizami. as the state could no longer threaten to withhold salaries in the case of military unpreparedness or inadequate 14 15 16 17 See on his reign in general. on F¯r¯ z Sh¯ h’s accession. pp. Tughluq’s reign. 1970. the door was open to extortion. i. but the whole enterprise was later regretted by the sultan for the losses in manpower and treasure involved. and aimed at restoring the control lost by Delhi over the provinces. 1958. In general. on the advice of the sultan’s veteran vizier. Fir¯ z Sh¯ h showed himself more concerned with the arts of peace. a reversal of previous practice. of what Baran¯ calls ıu a ı siy¯ sat. 576–7. 1960. Tughluq.e. Fir¯ z Sh¯ h. His two invasions of Bengal (in 1353–4 and 1359–61) gained virtually nothing. granted extensive hereditary iqt¯ c s to u a a the army commanders rather than paying them in cash. however. oppression and corruption throughout the countryside. Husain. the infliction of harsh punishments and torture which the severe and blooda thirsty Muhammad had used with such abandon as instruments of state policy. Qureshi. Hardy.ISBN 978-92-3-103467-1 Contents The Tughluqids (1320–1412) coherent policy but was held back by inadequate resources. 37–8. 136 et seq. refractory human material and personal failings. Qutb ala ı ı D¯n Mub¯ rak Sh¯ h and Muhammad b. the Kh¯ n-i Jah¯ n Maqb¯ l.15 The new sultan was nevertheless by no means averse to military glory and success. Unfortunately. he lacked military skill and the ruthlessness required of a great commander.17 The system had been rigorously upheld by such sultans as c Al¯ ’ al-D¯n Khalj¯. 1970. 1938. pp. and since the troops now collected their salaries directly from the cultivators. when military efficiency had been the ı a a criterion for financial rewards. wisely refused and F¯r¯ z Sh¯ h henceforth abstained from a a u ıu a 16 military adventures.14 Muhammad’s nephew F¯r¯ z Sh¯ h (1351–88) had a more pacific and conciliatory temıu a perament and his thirty-seven-year reign gave India a period of general relaxation and peace after the storm and stress of Muhammad b. it was on ı a the basis of performance on these occasions that salaries and allowances were issued. pp. and this u a inevitably led to a decline in the organization and fighting qualities of the army during the last twenty years or so of his reign. asserting the suzerainty of Delhi there. their weapons and their mounts by the official entitled the r¯ wat-i c ard. Much of the army’s preparedness and military effectiveness had rested on the periodic reviews (c ard) of the cavalry. pp. The standards attained were recorded a in the registers of the d¯w¯ n-i c ard (military department) of the administration. This newfound tranquillity was signalled by the prohibition.

19 It is true that ıı the more deleterious effects of the new trends in military organization and payment were delayed by the abilities of F¯r¯ z Sh¯ h’s ministers. from Brahmans. the Delhi Sultanate’s military and financial resources were totally inadequate a for opposing him. pp. A. He deferred to the c ulam¯ ’. the central administration in Delhi could not collect its own share of the iqt¯ c s. c Al¯ ’ al-D¯n Khalj¯’s time half a century or so before (see Part One above). 1970. 1970. a a a u The adverse effects of the new system took time fully to emerge. he destroyed newly erected Hindu temples. pp. although one consequence of them seems to have been a spread of corruption in the administration once fears of draconian punishment had disappeared. of maks.Qur’anic taxes). 609–12. and his ıu a amelioration of the harsh and oppressive policies of the preceding reign. F¯r¯ z Sh¯ h’s relaxation of central control in several spheres of state activity. he exacted the jizya. Ibid. hitherto exempt. In religion. centrally a paid. father and son. 579–81. salaried army meant that assignees of lands often had inadequate military force with which to collect the revenues from their iqt¯ c s in the face of rebellious provincial govera nors. for example. 20 Qureshi. recalcitrant Hindu chiefs. and others.18 The sultan. Whether the price of provisions remained stable and affordable during his reign has been disputed by modern historians. were meritorious measures. although it is reasonable to assume that. albeit at a low rate. Ahmad. 9–10. 619. 1958. who included men of high calibre such ıu a as the two Kh¯ n-i Jah¯ ns. and he abolished muk¯ s (pl.000. as had u always happened on previous occasions when these were abolished.ISBN 978-92-3-103467-1 Contents The Tughluqids (1320–1412) training. 578–9. 19 18 289 Copyrights . 600–1. It was only after F¯r¯ z ıu Sh¯ h’s death in 1388 that it became apparent that the decay of a highly trained. the state soon found itself unable to do without the revenue and the old taxes and abuses crept back in. the bandag¯ n-i F¯r¯ z-Sh¯ h¯: their numbers stationed in a ıu a ı the capital and in the provinces were implausibly put by c Af¯f¯ at 180. It a ı ı Habib and Nizami. pp. buttressed his personal authority by the acquisition of a large body of personal slaves.20 The sultan’s pacific policies may have brought some beneficial results for the masses of the population. For the same reason. if only because of the decreased need to finance military campaigns. 244–7.. he persecuted the extremist Shic ites and the Ismac ilis. he was the last Delhi a sultan to receive formal investiture from the puppet c Abbasid caliph in Cairo. pp. and c Ayn-i M¯ hr¯ . 1964. that proportion which was kept back a from the assignees for the expenses of running the state. Habib and Nizami. 36–7. 129–30. meanwhile. non. pp. Hence when the Turco-Mongol conqueror Timur (Tamerlane) appeared in India from Central Asia a decade after F¯r¯ z ıu Sh¯ h’s death. prices were certainly much higher than they had been in. the sultan held strictly orthodox Sunni views.

based on its capital Mandu. and within the city he completed a Friday mosque and the Madrasa-yi F¯r¯ z-Sh¯ h¯ in 1352. 585–9.21 After F¯r¯ z Sh¯ h’s death in 1388. held a ı a u a ıu a c s had achieved virtual independence. 1970. He sheltered the fugitive Tughluqid sultan Mahm¯ d Sh¯ h II when Timur invaded India in 1398. in a state of disintegration. many of the muqta The Bahmanid sultanate had flourished under its able second ruler. Malik Mub¯ rak. The progeny of his adopted son and successor. Muhammad Sh¯ h I a (1358–75). which was to endure for over a century until conquered by the sultans of Gujarat. By this time. u o ı In Gujarat. N¯ sir al-D¯n a ı Mahm¯ d Sh¯ h II (1394–5. The Hindu ruler of Vijayanagar in the south-eastern tip of the Deccan had already succeeded in extinguishing the petty Muslim principality of Mac bar (Madura) soon after 1378. he extended his power over most of the Ganges valley east of Delhi. was in 1394 sent to Jawnpur to quell disafa fected Hindus there. as an independent ruler. the eunuch commander of the sultanate. but in 1401 proclaimed u a his independence. power at Firuzabad. In 1359 F¯r¯ z Sh¯ h founded the city of Jawnpur. He reigned in 21 Habib and Nizami. and he further built a a new city in the Delhi district. but first his son Tat¯ r Khan assumed power in 1403 and then Zafar Khan himself in 1407 – a at a time when the Tughluqid dynasty was largely impotent. including Bihar. in fact. 1399–1412) ruled for more than two or three years. pp. none save one of the last. The governor of Malwa in central India. N¯ sir al-D¯n Nusrat Sh¯ h (like Mahm¯ d Sh¯ h a grandson of F¯r¯ z Sh¯ h). Malik Sarwar. 601–16. racked by disputes over the succession and the allocation of power. possibly named after his ı ıu a kinsman Muhammad b. the sultanate commander Zafar Khan had been sent to restore order there. the remaining twenty-five years of Tughluqid rule ıu a were filled with a series of ephemeral sultans. Thesulu a tanate was. however. thus in 1395 Mahm¯ d Sh¯ h II was ruling in Delhi while u a his rival. ceased to forward any tribute to Delhi after 1392. Hasan Dil¯ war a Khan. the sultans not having minted coins for six years – assumed independent authority as Sultan Muzaffar I. he laid out many gardens and orchards. Tughluq’s pre-accession title of Jawn¯ Khan. it did not. who already held the title of sult¯ n al-skarq (Ruler of the East). In Jawnpur. thus inaugurating the powerful sultanate of Malwa. 290 Copyrights .ISBN 978-92-3-103467-1 Contents The Tughluqids (1320–1412) was as a builder of public buildings and endower of charitable institutions that the sultan achieved particular fame. as well as ıu a ı a Sufi kh¯ naq¯ h-cum-madrasa (convent-cum-college) for the noted Sayyid Najm al-D¯n a a ı Samarqand¯. and his successors. named Firuzabad after himself. founded the principality of the Sharq¯ sultans which was to last for some a ı eighty years until Sultan Bahl¯ l L¯ d¯ reincorporated Jawnpur within the Delhi Sultanate. survive the Timurid onslaught soon afterwards. Around Delhi.

620–9. Khidr Khan defeated and killed Mall¯ at Ajodhan. but the 22 23 24 Husain. The former north-western provinces of the empire. Habib and Nizami. was in 1414 a to seize power at Delhi and inaugurate the shortlived Sayyid line of rulers there. often against petty rebels and chieftains who had witheld taxation. with its four members only. may be Timur’s earlier appointment of Khidr Khan as his governor in Delhi. Khidr Khan could u a make no headway. The period of the Sayyids was full of military campaigns. Djawnp¯ r. in its favour.24 It is not easy to characterize the Sayyid dynasty. which reduced Tughluqid control virtually to the Delhi region alone. was Timur’s invasion of 1398–9. Shark¯s. Mac bar. reigned in Delhi. but the sultan’s death provided him with an opportunity. EI2 . with strong tendencies to particularism and regionalism and a much reduced role of Delhi in Indo-Muslim political and military affairs. real power in Delhi lay not so much in the hands of the restored Tughluqid Mahm¯ d Sh¯ h II as in those of u a his Afghan minister. who had since the early 1390s governed the province of Multan and had maintained himself there against Mall¯ Iqb¯ l Khan when the latter was governor u a of Lahore and Panjab. Delhi was then captured by Sayyid Khidr Khan. pp. given Timur’s special regard for the descendants of the Prophet. 1986. suggesting that he was regarded as a sayyid. 1963. u a a a ı Roemer. Whether Khidr Khan really was a sayyid (descendant of the Prophet) is doubtful. 69–70. u As long as a legitimate Tughluqid. 635–6. in 1405. Sayyids. 291 Copyrights .23 When the Turco-Mongol armies at last withdrew. now. The growth of the claim may have been encouraged by Khidr Khan’s undoubtedly benevolent rule (1414–21) and his skill as a military commander. Gudjar¯ t.22 The catalyst for all these losses and secessions from the empire. The Sayyids (1414–51) Mahm¯ d Sh¯ h II died in 1412. but early fifteenth-century Muslim India clearly shows the transition from a strong centralized rule by the early Delhi Sultanate dynasties to a more diffused system of government. EI2 . u a including Panjab and Multan. 1970. after which his descendants enjoyed power for almost two centuries until the Mughal conquest of Akbar the Great in 1583.ISBN 978-92-3-103467-1 Contents The Sayyids (1414–51) Gujarat until his death in 1411. The reference to this status in the near-contemporary T¯ r¯kh-i Mub¯ rak Sh¯ h¯ of Yahy¯ S¯rhind¯ aı a a ı a ı ı is at best vague. so that it became a capital city without an empire. 1970. Mahm¯ d Sh¯ h II. Mall¯ Iqb¯ l Khan. M¯ lw¯ . pp. and there was a two-year interlude during which power in u a Delhi was held by a former Tughluqid commander. however. Sayyid Khidr Khan. gave their allegiance to Timur and then to his successor Sh¯ h Rukh. pp. Habib and Nizami. which culminated in the sack of Delhi and the flight of the sultan. The governor of the western frontier region. Dawlat Khan.

Like certain other previous rulers in Delhi. he faced much the same problems. and against rebellious Turkish troops of the sultanate. 292 Copyrights . 1970. and in relieving pressure on Lahore. The Sayyids were themselves conscious. He was successful in repelling incursions of ¯ Turco-Mongols from Kabul. previously having been content to restamp the coins of F¯r¯ z Sh¯ h Tughluq and his successors.. and with the Timurid monarch’s permission. a a It is clear that he felt himself in a stronger position than his father from the fact that he adopted the title of sultan. Mubarakabad. The provincial Muslim kings of India were now strong and ambitious enough to challenge Delhi. the Hindu convert Sarwar al-Mulk. and with further campaigns required against Katahr. did Khidr Khan add his own name to the coinage. the Turk-bachchas. in the northern Indian plain and on its fringes: against Hindu Rajahs in Katahr (in the later Rohilkhand). and also on the rulers’ ability to control a powerful and ambitious Turkish military nobility which had benefited from the power vacuum at the centre under the last Tughluqids to increase its own influence. pp. Mewat and Gwalior – on more than one occasion.26 Khidr Khan’s son and heir. Ahmad I (1411–42). son of Zafar Khan Muzaffar I. however. and with the Sharq¯ ruler of Jawnpur. 641–58.27 25 26 27 Wright. Khidr Khan ruled as a Timurid vassal and Sh¯ h Rukh was recognized in the a khutba (Friday worship oration) and on the coinage of Delhi. against all of these places. Only after 1417. Khidr Khan’s seven-year reign was full of campaigns localized. Even so. Gwalior. Ibid.ISBN 978-92-3-103467-1 Contents The Sayyids (1414–51) Sayyid rulers showed little vision in extending their power beyond the vicinity of Delhi. with additional challenges from the Khokars of Panjab (in 1421–2 and 1428). instigated by Sh¯ h Rukh’s governor there. who ı ı a ı was threatening Bada’un and Itawa. in 1428. the upper and middle Do’ab. Mub¯ rak Sh¯ h (1421–34). Masc ud M¯rz¯ . Shams al-D¯n Ibr¯ h¯m (1402–40). with a more tenuous authority over Panjab and Multan. and Mub¯ rak a Sh¯ h clashed with Alp Khan H¯ shang of Malwa (1405–35). of enjoying a lesser status and prestige than their predecessors. 630–40. Habib and Nizami. who was menacing Gwalior.25 ıu a Nor did he ever claim the exalted title of sultan but only that of r¯ yat-i ac l¯ (Most Exalted a a Standard-[bearer]). was the ablest ruler of his line. Itawa (in the Kanawj region) and Mewat (in Rajasthan). 1936. placed his own name in the khutba and issued coins. in a ı a concert with their Khokar allies (in 1431 and 1433). pp. Thus the amount of revenue available to the state depended largely on the success or failure of these punitive expeditions and holding operations. in 1433. it seems. but his plans were cut short when he was assassinated in 1434 by partisans of his discontented vizier. in repelling an attack on Nagawr by the sultan of Gujarat. a u in 1423. Mub¯ rak Sh¯ h had the idea of founding a new a a city on the banks of the Jumna.

regarded as the instigator of Mub¯ rak Sh¯ h’s murder. the Afghan Bahl¯ l L¯ d¯. They played a role in political and military affairs under the Khaljis and Tughluqids second only to the predominant Turks in the forces of these ethnically Turkish 28 Habib and Nizami. his son c Al¯ ’ al-D¯n c Alam Sh¯ h (1443–51) was recoga a ı ¯ a nized in Delhi. Chapa ı ter 8). 1970. Since c Alam Sh¯ h was content with the paru o ı a gana of Bada’un. Even before the rise to fame in the eastern Iranian lands of these Shansab¯ n¯ Maliks of Ghur (see above. Bahl¯ l left him there in peace until the former Sayyid ruler died in 1476. In 1440 the ruler of Malwa. his inability to control any territories beyond those within a 30-km radius of Delhi led to the witticism. but with even less power than his father. Panjab and parts of the Do’ab. Bahl¯ l L¯ d¯. 659–63. and the ‘Af¯ ghina’ are mentioned among the troops a of Mahm¯ d of Ghazna (see above. The military leaders then took over power and in 1451 offered the throne to the most vigorous figure in ¯ the now truncated sultanate. 293 Copyrights . (az Dihl¯ t¯ ı a c Alam) [c Alam Sh¯ h’s rule extends only from Delhi to Palam] (Palam ¯ a P¯ lam/p¯ dsh¯ h¯ Sh¯ h ¯ a a a ı a being the site of the modern international airport of Delhi). Chapter 5). marched almost u a ı to the gates of Delhi and was only defeated and repulsed with the aid of the governor of Sirhind in Panjab. abandoning Delhi. a a Muhammad Sh¯ h ruled over a reduced. In 1448 he decided to withdraw to Bada’un. Bahl¯ l’s power was increased by the grant u o ı u to him of Lahore and Dipalpur. but was not given full allegiance by the great men of the state until Sarwar al-Mulk. When Muhammad Sh¯ h died. pp. had himself been killed. notable only as a further stage in the disintegration of the Delhi Sultanate. The ı a Sayyid dynasty thus came to an end after a somewhat unremarkable thirty-seven years. The constituting of the Ghurid empire. disordered realm with powerful rival princes on a its fringes.28 ¯ ı The Lod¯s (1451–1526) The L¯ d¯s sultans represent the first Afghan dynasty ruling in Delhi – the heart of Indoo ı Muslim authority in northern India – since the time of the Ghurid sultans (originally from Ghur in central Afghanistan) some three centuries previously. brought in its wake large numbers of Afghan soldiers of fortune to India. and in the last two years of Muhammad Sh¯ h’s reign he a rebelled and at one point even besieged Delhi. Mahm¯ d Sh¯ h I Khalj¯ (1436-69). tranu sient though it was. attracted by prospects of rich plunder. with especial areas of concentration in the middle Indus valley.ISBN 978-92-3-103467-1 Contents ¯ ı The Lod¯s (1451–1526) The dead sultan’s adopted son was raised to the throne in Delhi as Muhammad Sh¯ h a (1434–45). u when Bada’un was briefly annexed to Jawnpur by the Sharq¯ Husayn Sh¯ h (1459–79). where he had previously been governor. Afghans had taken part in the Muslim raids and forays down to the Indian plains.

Sult¯ n Sh¯ h a a L¯ d¯ aided the founder of the Sayyid line of Delhi sultans. Moreover. and Bahl¯ l u had to take this into account.ISBN 978-92-3-103467-1 Contents ¯ ı The Lod¯s (1451–1526) sultans. as recorded above. Jawnpur was now reunited with the Delhi Sultanate after an independent existence of nearly ninety years. Nevertheless.e. as in large measure heirs of the Sayyids in northern India. in any case. During the Timurid invasions of India. there are. there was still a representative of the Sayyid family at Bada’un as a possible focus of discontent. Afghans fought on both sides. His success attracted considerable numbers of Afghan troops from Roh (i. and when in 1440 Sultan Mahm¯ d Sh¯ h I Khalj¯ of Malwa attacked Delhi (see above). receiving in return the title Kh¯ n-i a Kh¯ n¯ n. pp. plus the title of Isl¯ m Khan. 664–72. The death of Sayyid Muhammad Sh¯ h and the accession of the even weaker c Al¯ ’ a a al-D¯n c Alam Sh¯ h facilitated the fulfilment of his ambitions. the first and second of whom enjoyed o ı what were by contemporary standards long reigns. and after a a o ı Sult¯ n Sh¯ h L¯ d¯ was killed. Bahl¯ l managed to fight a a o ı u u off an attack by Sayyid Muhammad Sh¯ h’s army and was diplomatic enough to conciliate a the ruler in Delhi and thereby to retain Sirhind and its adjuncts. Bahl¯ l’s position as sultan was by no means firm. Bahl¯ l inflicted a series of defeats on Husayn u Sh¯ h in 1479. culminating in the expulsion of the Sharq¯ ruler from Jawnpur to Bihar and a ı Bengal. This success allowed Bahl¯ l to mount an invasion of Malwa and to u 29 Habib and Nizami.29 Initially. Bahl¯ l provided a force of u a ı u 8. withdrawn from his own folk.000 Afghans and Turco-Mongols to ward him off. against Mall¯ Iqb¯ l o ı u a Khan and was rewarded with the governorship of Sirhind and its dependencies in Panjab. so that ı ¯ a in 1451 Bahl¯ l was able to ascend the throne in Delhi as Abu ’l Muzaffar Bahl¯ l Sh¯ h u u a (1451–89). Bahl¯ l shortly afterwards revealed his own designs on Delhi and a a u the heart of the sultanate. especially as the Sharqis in Jawnpur. a During the reign of Sayyid Mub¯ rak Sh¯ h. The tribal and social tradiu tions of his Afghan supporters favoured a more diffused allocation of powers in the state rather than a centralized monarchy on the Khalji or early Tughluqid pattern. the North-West Frontier region and the adjacent mountain regions of eastern Afghanistan). Khidr Khan. fruitlessly besieging the city and assuming for himself the title of sultan. He u gained an access of prestige from defeating a Sharq¯ invasion at Narela outside Delhi in ı 1452 and hostilities with Mahm¯ d Sh¯ h (1440–57) and Husayn Sh¯ h (1458–79) were to u a a fill the greater part of his reign. 1970. It thus behove Bahl¯ l to proceed with caution. the L¯ d¯ power base was extended. and with these. 294 Copyrights . whose territories marched with those of Delhi. because of matrimonial links with the Sayyids. no indications that Bahl¯ l wished to u be an autocrat. his younger son Bahl¯ l inherited this. and he handled with care the body ofpermanently ambitious nobles and military commanders around the Delhi court. viewed themselves. the first in a line of three L¯ d¯ sultans.

Habib and Nizami. It was Niz¯ m a Khan who finally emerged on his father’s death as head of the L¯ d¯ family. 689–701. Husayn Sh¯ h a (1494–1519). placed L¯ d¯ authority on a firm footing. by his crafty u diplomacy and military skill. he twice successfully attacked Rajah M¯ n Singh of a Gwalior (in 1501 and 1506). In the direction of central India. Habib and Nizami. 1936. he left behind a prosperous kingdom with a considerable degree of internal security. Among the most tangible legacies of his reign was his re-foundation in 1504 or 1505 of the ancient town of Agra and his decision to turn it into his capital city and military headquarters. near Benares in 1494 and by humbling the latter’s ally. by defeating the dispossessed Sharq¯ ı of Jawnpur. a Ac zam Hum¯ y¯ n received Lucknow and Kalpi. which remained current until the time of uı Akbar. His most formidable task was to make his rule acceptable to his numerous relatives. The latter a had originally been assigned the governorship of the former kingdom of Jawnpur in a 30 31 Wright. This he achieved by campaigns which reduced his relatives to submission. pp. Sikandar was tempted in 1513 to intervene on a ı a behalf of a rival to N¯ sir al-D¯n’s successor Mahm¯ d Sh¯ h II (1511–31) and his Rajput a ı u a adviser M¯ din¯ R¯ ’¯.30 Before his death. many of whom had their own ambitions for the throne. 1970. and so on. but he achieved little beyond the capture of Chanderi (on the borders e ı a ı of Malwa and Bundelkhand). 295 Copyrights . pp. a billon tanka. the bahl¯ l¯. Husayn.ISBN 978-92-3-103467-1 Contents ¯ ı The Lod¯s (1451–1526) humble various Hindu princes at Gwalior and in the middle and lower Do’ab.31 Sikandar’s eldest son Ibr¯ h¯m (1517–26) succeeded him. Being himself a poet in Persian. Bahl¯ l had allocated various parts of his realm as appanages for his u sons and other Afghan relatives and connections. but he could only make firm a ı his power after a succession struggle with his brother Jal¯ l Khan of Kalpi. Thus his son B¯ rbak received Jawnpur. When Malwa was racked by succession disputes on the death there in 1511 of Sultan N¯ sir al-D¯n Sh¯ h. with the takhallus (nom de plume) of Gulrukhi. Occupied as he was o ı with frequent wars. he was also a patron of scholars and literary men. sultan of Bengal. Delhi and the upper and middle Do’ab. he seems to have been content to let the adminstrative and revenuecollecting system run on the same lines as those of later Tughluqid and Sayyid times. and to the Afghan military classes at large. 673–88. Kh¯ n-i Jah¯ n received Bada’un. taking the regnal o ı name of Sikandar and ruling for nearly thirty years (1489–1517). these successes enabling him to take over the province of Bihar. such as the ruler of Itawa. but he did introduce. When Bahl¯ l died in 1489 he had reigned for thirty-eight years and had. When Sikandar died in 1517. Niz¯ m a u a a a Khan was given Panjab. 1970. at a time when gold and silver for minting had already become scarce under the Sayyids.

It was eventually to be replaced by the Mughal empire created. he had a reputation for fierce Sunni orthodoxy and intolerance towards the Hindus. Ibr¯ h¯m had already lost much prestige and military matériel in a disa a a ı astrous conflict with the Rajput potentate of Mewar. despite the fact that his own mother was a Hindu. Various rebellions of the a a a Afghan commanders now erupted.33 32 33 c Habib and Nizami. who provided the military basis for the regime. a a Further. eventually to be captured and killed. apprehensions strengthened by such arbitrary acts as the sultan’s arrest and imprisonment of the respected religious leader Miy¯ n Bhu’¯ . EI2 . outside the Muslim ruling class. He had temples torn down. Sikandar had a particular interest in music. inviting a him to invade India. some of whom attained a high degree of proficiency in that language. 1970. B¯ bur occupied Lahore and came to face Ibr¯ h¯m on the battlefield at a a ı Panipat (the first of three important battles in Indian history there) in April 1526. was thereby lost. which entailed a wider learning of Persian by its Hindu officials. including the translation into Persian of Sanskrit works. 1961. Ibr¯ h¯m’s overbearing behaviour a ı soon aroused the fears and resentment of the military nobility. son of Ac zam Hum¯ y¯ n Sarw¯ n¯. a a u a ı was subdued. the only Delhi sula ı tan thus to die. half a century or so later. B¯ bur’s effective use of his cavalry and of a protective laager a of linked carts carried the day and Ibr¯ h¯m was killed on the field. was to endeavour to establish a greater community of interest between rulers and ruled. but a focus of opposition arose around Bah¯ dur Khan Nuh¯ n¯ in Bihar. 702–9. he is said to have had idols broken up and the pieces used as butchers’ weights.32 a a u The L¯ d¯ sultanate had provided prosperity and stability until Ibr¯ h¯m’s failure to work o ı a ı with the Afghan nobility. He had encouraged the Persianization of the administration. The chance of securing more general support for the sultanate in northern India. where a a ı Bah¯ dur Khan himself assumed the title of Sult¯ n Muhammad and minted his own coins. after some ı vicissitudes. It was to be the Mughal Akbar who. On the other hand. brought about military defeat and the dissolution of the whole sultanate. L¯ d¯s. by B¯ bur’s son Hum¯ y¯ n and his successors. R¯ n¯ S¯ nga. driving Jal¯ l Khan into a ı a Gwalior and Malwa. pp. Despite an inferiority in numbers. That of Isl¯ m Khan. the commanders of Panjab wrote to the Mughal B¯ bur at Kabul in 1525. and erected in their place mosques and other buildings or else he turned them into caravanserais. The Delhi Sultanate accordingly expired. with the ending of the Afghan line of the L¯ d¯s (although Afghan domination in northern India was to be briefly revived o ı by the Sur¯s). There had been a considerable renaissance of learning during Sikandar’s reign. o ı 296 Copyrights .ISBN 978-92-3-103467-1 Contents ¯ ı The Lod¯s (1451–1526) power-sharing agreement which Ibr¯ h¯m speedily abrogated. Abdu ’l-Halim. At Nagarkot.

The Period of the Ghaznavid and Ghurid Sultanates (eleventh and twelfth centuries) . . . . . SOCIAL AND ECONOMIC SETTING* N. . . 5 and 7. . . . . 297 Copyrights . . MULTAN AND KASHMIR: THE HISTORICAL. . . . . IR * See Map 4. . . . . . Rafiqi Contents THE RULERS OF SIND. A. . . . . . . . . 432–3. . . . 430–1. . . . pp. ¯ KASHMIR UNDER THE SULTANS OF THE SHAH M¯ DYNASTY . . Q. . . BALUCHISTAN. . . . . . . . . Baloch and A. . . . . . . 437. . . . . . . . . . . 15 THE REGIONS OF SIND. . . . . The era of the local independent states . . . .ISBN 978-92-3-103467-1 Contents THE REGIONS OF SIND . BALUCHISTAN AND MULTAN (750–1500) . . . The c Abbasid 298 298 301 304 310 period and the Fatimid interlude (mid-eighth to the end of the tenth century) . . . . . .

During the third phase –from the thirteenth to the early sixteenth century – they partly became dominions of the Sultanate of Delhi. independent. Sind. beginning with the conquests of the caliph al-Mans¯ r’s u (754–75) energetic governor. three phases are discernible in the political history of these regions. from the eighth century onwards. which was in itself an extension into the subcontinent of the Central Asian power base. Sind proper (including Kachh) and Multan (southwestern Panjab). Baluchistan and Multan – with the exception of the interlude of pro-Fatimid ascendency in Multan during the last quarter of the tenth century – all remained politically linked with the c Abbasid caliphate of Baghdad. During the first phase. the explosion of Mongol power in Inner Asia had repercussions in these regions. The cAbbasid period and the Fatimid interlude (mid-eighth to the end of the tenth century) When the c Abbasids supplanted the Umayyads in 750. originally non-Muslim dynasties. Hish¯ m b. Besides. BALUCHISTAN AND MULTAN (750–1500) (N. the easternmost province of the caliphate. c Amr al-Taghlib¯. which had increasing political contacts with the Muslim rulers of Sind and Khurasan. by the local. Simultaneously. Later. 298 Copyrights . Hish¯ m achieved several victories. local sultanates independent of Delhi also emerged. A. Throughout the early c Abbasid period.ISBN 978-92-3-103467-1 Contents The c Abbasid period Part One THE RULERS OF SIND. Further expansion and consolidation followed. included Makran and Turan and Qusdar (western and central Baluchistan). (Kashmir was ruled.) During the second phase – the eleventh and twelfth centuries – all these regions came within the sphere of influence of the powers based in Ghazna and Ghur. During his six-year tenure of a ı power (768–74). from the mid-eighth until the end of the tenth century. a Sind continued to receive regular governors and the province enjoyed internal peace. Baloch) From 750 to 1500. Sind.

central c Abbasid authority broke down earlier than in Mansura and Multan. the power of the dynasty began to be eroded due to ‘Carmathian’ (i. Khaf¯f. the two westernmost divisions of Sind. Muhammad b. as confirmed by the geographers who visited it. c Imr¯ n al-Barmak¯ was the last a ı c Abbasid governor who. had led his forces from 299 Copyrights . which remained unchallenged for over a century. who had allegedly settled in ‘Kashmir’ a a ı (sic) as far back as 712–14 and whose descendants had reportedly continued to flourish there. He and his successors gave allegiance to the c Abbasids and recited the khutba in the caliph’s name. around 861–4. Turan and Qusdar. c Umar.e. who claimed to be of Qurayshite stock. c Abd al-c Az¯z alı Habb¯ r¯ emerged victorious. In Mansura. Thus c Umar became the founder of the Habb¯ r¯ dynasty. as confirmed by the reports of al-Istakhr¯. After the middle of the tenth century. prestige and prosperity to Multan. In 854 al-Mutawakkil appointed him as governor and he held aı this position during the caliph’s reign. but in the wake of the disorder following the death of al-Mutawakkil in 861.ISBN 978-92-3-103467-1 Contents The c Abbasid period the authority of the caliphate grew weaker. though continuing to read the khutba (Friday worship oration) in the name of the c Abbasid caliph. Multan. According to a report recorded by al-B¯r¯ n¯. al-Q¯ sim attained prominence in the later ninth century and wrested a power. the capital of the Habb¯ r¯s continued to flourish. During the tenth century. Ibn Hawqal aı ı and al-Maqdis¯. During their long dynastic rule. He probably a belonged to the house of Jahm b. under the caliph al-Muc tasim (833–42). who all visited it. u ı ¯ THE BANU MUNABBIH AMIRATE OF MULTAN The Ban¯ Munabbih. u In Turan– Qusdar and Makran. He. when ı aı Sultan Mahm¯ d of Ghazna overthrew their last ruler. pro-Fatimid) propaganda. Munabbih established himself in Multan after his victory there. the Habb¯ r¯ dynasty lasted until 1025. probably from a rebel deputy of the c Abbasids. his son c Abd All¯ h aı a (who was ruling in 883) and his grandson c Umar (who was in power at the time that al¯ ı Masc ud¯ visited Sind in 914–15) were effective rulers. Caravan routes from eastern Persia led to Mansura and further on into the subcontinent. one Muhammad u ıu ı b. S¯ ma al-Sh¯ m¯. leading to the establishment of some five independent Arab principalities in Mansura. al-Q¯ sim b. established himself as an independent ruler in Mansura. Ibn Rusta was the first to report on the well-established rule of the Ban¯ Munabbih in Multan. Makran and Mashkey. ¯ I THE HABBAR¯ AMIRATE OF MANSURA In the strife that erupted in Sind in 841–2. the Ban¯ Munabbih u brought power. At the opening aı of the tenth century. Thus it seems that the rule of the Ban¯ Munabbih came to an end during the years 982–5. the local chief c Umar b. had established themselves u in Multan at about the same time that the Habb¯ r¯s had done in Mansura. which was gaining momentum.

emerged as independent entities. was governed by the Habb¯ r¯s of Mansura until the end of the ninth century. These hard-pressed sectarians had sought refuge in the far-away fringes of the caliphate ever since al-Muhallab b. without recognizing the c Abbasid caliph. The Kharijites occupied Qusdar in about 971. aı the chief Mugh¯ra b. The fact that soon afterwards. with its capital at Qusdar (Khuzdar). they succeeded in establishing themselves in the regions between south-eastern Iran and Sind. But c Imr¯ n was killed a in Mansura in 842. From the ninth century onwards. his deputy. Ahmad established himself independently in Turan. Qusdar and Makran. ‘Makran is the land of the lawless Kharijites. THE RULERS OF TURAN Turan (central Baluchistan). Ab¯ Sufra had expelled them from Iraq and southı ern Iran. Coastal Makran had trade links with the aa 300 Copyrights . the administration was far from satisfactory. Mugh¯ra did not recognize the supremacy of the Habb¯ r¯s ı aı since he read the khutba ‘only in the caliph’s name’. set up their own principality and ruled independently. Then. these ‘kings’ changed their capital from Kalat to Qusdar is confirmed by al-Maqdis¯. Abu ’lQ¯ sim al-Basr¯. Ahmad.ISBN 978-92-3-103467-1 Contents The c Abbasid period Mansura to Qusdar and asserted his authority in that turbulent region. egalitarian sect of the Kharijites occupied the region soon afterwards. the anonymous author of the Hud¯ d al-c alam [The Limits of the World] observed that the residence of u ¯ the ‘king of Turan’ was in Kijkanan (Kalat). who ruled during the time in which Ibn Hawqal wrote (mid-tenth cenı tury). changing its capı ital from Qusdar to Kijkanan (Kalat). had appropriated all powers – administrative. Writing in 982. Makran fell into their hands and the ruler c Is¯ b. ¯ ¯ THE BANU MAc DAN DYNASTY OF MAKRAN The Kharijites apparently became significant in Makran towards the end of the ninth cen¯ ı tury so that al-Masc ud¯ observed. During his reign. 994). Mugh¯ra was succeeded by his brother ı Muc¯n b. according to which a a ı u ı u ı Kharijite ‘caliph’ was ruling the country from Qusdar. early in the tenth century. but no dates. That these just ı sovereigns were Kharijites who were then being called ‘caliphs’ is borne out by a contemporary report recorded by the q¯ d¯ Ab¯ c Al¯ al-Tan¯ kh¯ (d. a fertile district producing grapes. which was at that time (before 994) a stronghold of the Kharijites. judicial and military – and a ı under these circumstances the radical. and the third smaller one of Mashkey (see below). the provincial administration collapsed and the two amirates. pomegranates and other winter fruit. Mac d¯ n was a called by the Indian title Mah¯ r¯ j by the people.’ Soon ¯a afterwards. in about 951.

This accordingly happened in 1011. the Mac d¯ nid ruler accepted Buyid a suzerainty. The Period of the Ghaznavid and Ghurid Sultanates (eleventh and twelfth centuries) Under pressure from the strongly orthodox Sunni new powers of the Ghaznavids and then the Ghurids in what is now Afghanistan (see above. Later. however. with the decline in power of the Buyid dynasty and when Sebüktegin had attacked and annexed Qusdar. when the Buyid c Adud alDawla’s military power prevailed in Tiz and Makran. Mudar b. Mac d¯ n soon u a involved himself in the politics of Central Asia. c ¯ a thus became a notable member of the independent Ban¯ Mac d¯ n dynasty that ruled Is¯ u a Makran from Kiz/Kej (Kech) for at least a century and a half. neither the Kharijite rulers of Makran and Qusdar (who recognized no sovereign but God) nor the Multan rulers (who came to recognize the Fatimids of Egypt) were able to continue their sectarian independence much longer. from Saffarid to Ghaznavid times. read the khutba only in a the name of the c Abbasid caliph. stipulating that Mac d¯ n would a rise in rebellion against Ghazna when the Karakhanid invaded Khurasan. entered into a secret pact with the ruler of Qusdar. Mac d¯ n transferred his allegiance to a the Ghaznavids. laid siege to the town of u Qusdar and seized the ruler. his younger son c ¯ a usurped power. On Mac d¯ n’s death in 1025. In 971. forcing the elder u Is¯ ¯ son Abu ’l-c Askar Husayn to flee to Sistan. Obviously. In return. The Karakhanid conqueror of Bukhara. the Ilig Nasr.ISBN 978-92-3-103467-1 Contents Ghaznavid and Ghurid Sultanates Period Indian towns of the littoral and the fact that Mah¯ r¯ j meant ‘Supreme Sovereign’ led the aa Kharijite ruler to assert his independence by taking this exalted Indian title. when al-Maqdisi was writing. After 977–8. Raj¯ ’. the sultan allowed him to retain his principality as a vassal of Ghazna. Its independent ruler. the petty principality of Mashkey existed in the middle of the tenth century. they compromised by submitting when vanquished. However. MASHKEY Situated between Kirman and Makran. the principality seems to have been annexed by the ruler of Makran and to have become a part of the administrative district of Panjgur. In 1031 Sultan Masc ud sent a powerful army 301 Copyrights . who now paid tribute and delivered fifteen elephants and a substantial indemnity in cash. by about 985–6. but then reasserted their independence when left to themselves. first to Sebüktegin and then to Sultan Mahm¯ d. Chapters 5 and 8). his being recognized as ‘Great King’ contravened the c Abbasid caliph’s position as sovereign. but Sultan Mahm¯ d marched against him.

he seems to have proceeded slowly. Vol. power was still in the hands of the ‘ Qurayshite ruler of the Ban¯ S¯ ma’ (i. but u a was reciting the khutba in the name of the Fatimid caliph. Jalam attacked. one might assume that the Kharijite faction would have reasserted its power. paralysis). and also confirms that the famous Multan idol in the temple of the sun god was still there. the Ban¯ Munabbih).ISBN 978-92-3-103467-1 Contents Ghaznavid and Ghurid Sultanates Period against c ¯ a. It was some time after 985 that Jalam destroyed the idol. 1910. Shaykh aı 1 Al-B¯r¯ n¯. This is to be inferred from the following statement of alu a Maqdis¯: ‘They read the khutba in the name of the Fatimid and do not do anything except ı by his order. In order to gain sufficient power to fight back in case the destruction of the idol brought avenging forces from Kanawj and other Hindu states against him. ıu ı 302 Copyrights . MULTAN: THE FATIMID INTERLUDE Ismac ili propaganda was introduced into Sind and Hind from Yemen in 883. According to the report in the Hud¯ d al-c alam.1 It is not known how long Jalam governed Multan. According to the report preserved by al-B¯r¯ n¯: ıu ı Jalam broke the idol into pieces. extended his power and read the khutba in Masc ud’s name. In Sind it did not become effective while the Habb¯ r¯s were ruling there. who was killed. He ruled Makran successfully and for a long time. In 965 al-Muc izz wrote an encouraging letter and sent seven mission flags to the d¯ c¯ Jalam. This prince was a man of learning. After his death. one can assume that he soon died or was eliminated by rival d¯ c¯s. In Multan. but subsequently the Ghurid sultan Ghiy¯ th al-D¯n Muhammad (1173–1203) a ı attacked and annexed Makran. Subsequently. which stood on an elevated platform. and ordered the old J¯ mic Mosque to be a a shut down. converted the temple mansion. eschewed Is¯ ¯ Kharijism.’ He makes no mention of the Qurayshite/Ban¯ S¯ ma/Ban¯ Munabbih ruler in u a u Multan. the Fatimid aı d¯ c¯s (propagandists) sent by al-Muc izz (952–75) succeeded by the middle of the tenth aı century. from hatred against anything that had been built under the Umayyads. but there being no further mention of him in any record. until a date beyond 1058(?). Jalam’s next target was this temple of Aditya. 116.e. 1. during 982–5. defeated and killed the Ban¯ S¯ ma ruler. p. and wrote a treatise on left-side hemiplegia (i. compelling the ruler to change allegiance from the c Abbasids to the Fatimids. killed its priests. By then the pro-Fatimid forces under Jalam had presumably come to dominate. who now succeeded him.e. At the aı u time when Ibn Hawqal was writing. putting an end to the local dynasty. u a u u ¯ by about 982 the Qurayshite ruler of the Ban¯ S¯ ma dynasty was still ruling in Multan. into a new J¯ mic Mosque. Abu ’l-c Askar Husayn. well-versed in medicine. who subsequently gradually subverted the power of the Ban¯ Munabbih.

a ı made some attempts to reinvigorate pro-Fatimid elements in Multan through Bah¯ ’ al-D¯n a ı al-Muqtan¯ .e. Thus on the death of Sultan Masc ud in 1041. D¯ w¯ d al-Akbar and others. warning him not to be misled. though some remained underground and continued to foment the occasional rebellion. and in 1034. against ı a u a ı Sultan Mahm¯ d of Ghazna. The city elders in Multan sued for peace on payment of the tribute. who was possibly heading a less intransigent faction. with the disappearance of al-H¯ kim in 1017. urged him to rise and a u play an active role. but the elements led by D¯ w¯ d a u the Younger remained active underground and rose in open rebellion when they found the ¯ local administration weak. rose to power and won the ı confidence of Sebüktegin. to an island in the Indus. a u Sultan Mahm¯ d’s two expeditions had broken the power of the pro-Fatimid elements u in Multan. But his grandson(?) D¯ w¯ d b. Nasr a u b. Ham¯d later aligned himself with Anandp¯ l. al-Muqtan¯ found it opportune to revive a u a contacts. who left him to rule Multan. Chapter 5). captured D¯ w¯ d. imprisoned him and annexed Multan to the Ghaznavid sultanate. the power of the a Fatimids was shaken and consequently the strength of their agents in distant Multan also declined. Ibn Sumar’s response is not recorded. founded by Hamza b. who then stormed Multan in 1006. On Sultan Mahm¯ d’s death in 1030. However. ‘the a nephew of the Shah’ (of Kabul). ‘R¯ jp¯ l a a son of Sumar’. they succeeded for a while in capturing the fort of Multan. Al-H¯ kim’s partisans of the Druze faction. which was granted. during the period of the Ghurid sultanate. as disturbances flared up again. the Hind¯ sh¯ h¯ ruler of Wayhind. Masc ud. Thereupon. so that the Younger D¯ w¯ d a u (al-Asghar) was granted a pardon and freed from prison on Ibn Sumar’s recommendation. D¯ w¯ d returned to Multan and wrested the fort a u from Sukhp¯ l. with his u a u treasure. a u Subsequently. but fled before the forces dispatched by the new Sultan Mawd¯ d.ISBN 978-92-3-103467-1 Contents Ghaznavid and Ghurid Sultanates Period Ham¯d. In his letter. ı 303 Copyrights . the Carmathians (pro-Fatimid elements) were not spared and their mosque was razed to the ground. u a u But Ibn Sumar’s faction had already dissociated itself from pro-Fatimid elements and had ¯ gained the confidence of the new Ghaznavid sultan. and. of the house of Abu ’l-Fut¯ h or Abu ’l-Fat’h D¯ w¯ d (see above. D¯ w¯ d escaped. Multan remained peaceful except for one rebellion attributed to the Carmathians. as his governor and he himself hurried back to Khurasan to repel the Ilig Khan’s invasion. addressed a letter to the influential local chief Ibn Sumar (i. c Al¯ in 1017. Back in Egypt. Early in 1011–12. The sultan appointed Sukhp¯ l. against whom Sultan Muc izz al-D¯n Muhammad took action in 1175 and delivered Multan from their hands. The people of Multan surrendered the fort and agreed to perform the u khutba in the names of the c Abbasid al-Q¯ dir and of the Ghaznavid Mawd¯ d. al-Muqtana praised Ibn Sumar and reminded him of the fidelity of his elders. Sultan Mahm¯ d attacked a u Multan.

He ruled successfully. The rulers actively promoted maritime commerce. With the integration of Makran and Qusdar. a ı ı The foundation for the emergence of the Makran sultanate was laid in the twelfth century by Malik Hasan. The references in the court poet Sir¯ j¯ ’s panegyrics to the four sons of Sultan T¯ j alaı a D¯n and the two sons of Sultan Nusrat al-D¯n indicate that the line of successors probably ı ı continued. the sultans of Makran were able to inflict a crushing defeat on the invading Oghuz. after the death of Muc izz al-D¯n in a ı ı ı 1206 assumed the title of sultan and ruled jointly for a long period. T¯ j al-D¯n Ab¯ Mak¯ rim of Makran u a ı a a ı a ı u a is referred to as a Malik of the two Ghurid sultans Ghiy¯ th al-D¯n and Muc izz al-D¯n. became independent. On Sultan Qutb al-D¯n’s death in 1210. and Makran was soon compared to Khurasan. emerged out of the Ghaznavid/Ghurid dependencies of Makran and Qusdar by the turn of the twelfth century and included both the former amirates. ¯ ¯ MULTAN UNDER NASIR AL-D¯N QABACHA (1206–28) ı After its annexation to the Ghurid sultanate. No one drank wine. the learned Ab¯ Is’h¯ q of Makran settled at Pasai in Sumatra.e. with Kej as its capital.e. and he succeeded in blocking the Mongol inroads 304 Copyrights . Both the Persian and the ‘Makrani’ (?Baluchi) languages were used. Among others. N¯ sir al-D¯n ı a ı Qab¯ cha. With the Baluch as the backbone of their military power. The a latter’s own two sons T¯ j al-D¯n and Nusrat al-D¯n. a strong power emerged with maritime and commercial trade links and the pastoral resources from the vast hinterland. like Sind. extended his a power and consolidated the kingdom. According to one tradition. who was succeeded by his son Abu ’l-Mak¯ rim Khusraw Shah.ISBN 978-92-3-103467-1 Contents The era of the local independent states The era of the local independent states (thirteenth to early sixteenth century) THE SULTANATE OF MAKRAN The sultanate of Makran. The religious base of the society was ¯ apparently now orthodox Sunni. but both the c Ids and the Nawr¯ z u festivals were celebrated with enthusiasm. the governor of Multan. gateway to Java. This victory added to the power and prestige of the Makran rulers. In J¯ zj¯ n¯’s Tabaq¯ t-i N¯ sir¯. Thus Makran. i. the main port became popularly known as ‘Jawadar’ (Gwadar). and merchants and mariners from Makran reached the east Asian shores. of Makran and then of Pasai). cona a ı aı tributed to the early commercial and cultural contacts between the region and South-East Asia. there is nothing to show that Makran was under any other rulers up to the fourteenth century. Multan became an administrative province of the succeeding Sultanate of Delhi. where he became known as Ab¯ u a u Is’h¯ q al-Makr¯ n¯ al-F¯ s¯ (i.

his grandson a a aa Mahm¯ d was killed when the ruler of Sind. who had long been settled in south-western Sind had. Sh¯ h Hasan Argh¯ n. However. the chief of the Baluch tribe of the L¯ ng¯ h. Timur’s sack of Delhi in 1398 shook the sultanate and led to the collapse of the central administration and the province of Multan passed into the hands of the L¯ ng¯ hs and the whole of Sind was possessed by the sultans of Sind. who a besieged the Multan citadel for forty days but failed to occupy it. ¯ ¯ THE LANGAH SULTANATE OF MULTAN (1437–1525) With Ilutmish’s victory. a bringing peace and prosperity to the country during the thirty years of his reign (1469–98). the rule of the L¯ ng¯ hs came to an end. and some of the earliest Persian works in the subcontinent. He expelled the kh¯ n-i kh¯ n¯ n. but Qab¯ cha stood firm until a the sultan left for Sind on his way to Iraq. his court a became a rendezvous for the learned. occupied the fort. In 1222 Qab¯ cha faced the Mongols. u a He ruled for sixteen years and laid the foundations of the L¯ ng¯ h sultanate. Sh¯ h Husayn increased his military power by inviting and settling in his territory a cona siderable body of Baluch. During Qab¯ cha’s reign (1206–28). On his death in 1469. assembled his force at a a Uchch and invaded Multan. Multan became a province of the Delhi Sultanate and remained so for the next two centuries. Multan was once again a annexed to Delhi. invaded Multan in 1525: u a u having lasted for almost ninety years. a a There is much confusion in the sources about the identity of the L¯ ng¯ hs and the begina a ning of their rule in Multan. education developed and colleges were founded. a a ¯ ¯ SUMARA RULE IN SIND (c. and then withdrew. aı ı Budhan Khan of Sind. In 1228 Sultan Iltutmish of Delhi attacked Qab¯ cha. such as c Awf¯’s literary anthology Lub¯ b al-alb¯ b and c Al¯ K¯ f¯’s Fat’h-n¯ ma on ı a a ı uı a Sind history (translated from Arabic) were produced. his ı son Sh¯ h Husayn ascended the throne and became the most illustrious ruler of the line. through their frateru a nization and alliance with the Ban¯ Tam¯m Arabs in Sind.ISBN 978-92-3-103467-1 Contents The era of the local independent states into Multan which commenced with their pursuit of Sultan Jal¯ l al-D¯n Khwarazm Sh¯ h a ı a in 1222. gained political influence under u ı 305 Copyrights . His prestige rose when he repelled the invasion of Multan by the Delhi forces under B¯ rbak Sh¯ h and T¯ t¯ r Khan. the author of the T¯ r¯kh-i Haqq¯ (written in 1592–3). 1050–1360) The S¯ mar¯ s. His son Sultan a a Qutb al-D¯n succeeded him and further consolidated its power. The Khwarazm Shah wanted a foothold in Multan. with the decline of the power of the sultans of Delhi. He wrested the principality of Shorkot from Gh¯ z¯ Khan and a ı extended his control up into Chiniot. took the title a a a of Mahm¯ d Sh¯ h in 1437 and became the first ruler of the independent state of Multan. and on the latter’s death in that same year. According to the historian c Abd al-Haqq.

The fall of the S¯ mar¯ s was mainly due to their dwindling economic base. son of Doda. adversely affecting the agricultural prosperity of the S¯ mar¯ lands. He first rose in revolt in Shewan in 1333–4. u a On the other hand. For u a most of this period the S¯ mar¯ s held southern Sind and the territories east of the Indus. their rule is said to have extended up to Marwar in the south-east and to the boundaries of Gujarat in the south. and included the western part of Bikaner and Cutch in the south. Their prosu a perity had depended on the waters of the Puran channel. According to later histories and u a traditions. u a The exact chronology of the S¯ mar¯ rulers is obscure. who was ruling Daybul (in southern a ı Sind) in 1224 when Jal¯ l al-D¯n Khwarazm Shah passed through Sind. the earliest S¯ mar¯ ruler whose u a name figures in history was Sin¯ n al-D¯n Chanesar. The S¯ mar¯ period was one to which Sind tradition traces the origin of u a some of the great romances and stories. Sind aı aı ı came under Ghaznavid rule. intervened in the S¯ mar¯ s’ internecine disputes. the volume of water in the Puran diminished. the changed course brought prosperity and power to the Samm¯ s who a supplanted them. They chose a leader called S¯ mar¯ as their first ruler. The last S¯ mar¯ a ı u a ruler. u a which extended northwards and halfway to Multan. Composed in different versions and narrated by professional minstrels over the centuries. As the Indus began to flow along a more westerly course. but no unanimity exists concerning their regnal periods. during the reign of Ham¯r ı I. At the peak of their power. In general. This is confirmed by the tradition which is epitomized in the epic of Dodo Chanesar. the S¯ mar¯ s met together in their stronghold of ı u a Thari (in the present Badin district) and declared their independence. Ham¯r. ı a The S¯ mar¯ amirate of Sind lasted for more than three centuries (c. it may be counted among the world’s most famous epics. who controlled Sind’s northern provinces of Bakhar and Siwistan and. which became the pillars on which the edifice of classical Sindhi poetry and literature rests. ¯ THE SAMMA SULTANATE OF SIND (1350–1520) The sultanate was founded by the Samm¯ chief Unnar. on occasion. which was then the main course of the Indus. a few days before Ibn Batt¯ ta’s u 306 Copyrights . Sind under u a the S¯ mar¯ s remained independent and the people united in resisting outside interference u a even when their rulers were at odds with each other. though effective authority was not maintained. During the reign of Sultan c Abd al-Rash¯d (1049–52). an erstwhile functionary of the a Delhi Sultanate. With the fall of the last Habb¯ r¯ ruler Khaf¯f in 1025. The later S¯ mar¯ rulers remained under constant pressure from u a the sultans of Delhi. 1050–1360). was killed by the Samm¯ s some time before 1365 (see below). As verified by external sources.ISBN 978-92-3-103467-1 Contents The era of the local independent states the Habb¯ r¯ rulers of Mansura. there were between nine and twenty-one rulers.

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arrival. Later, he assumed the title of Sultan Fir¯ z al-D¯n and became the undisputed ruler u ı of Thatta after Sultan Muhammad b. Tughluq of Delhi died while attacking Thatta in 1351, so that the imperial army returned to Delhi. To preserve their independence, the Samm¯ a rulers now had to contend with pressure from both Delhi and Central Asia. Unnar was jointly succeeded by his son Sadr al-D¯n Sh¯ h B¯ nbhnia and his brotherc Al¯ ı a a a ’ al-D¯n Sh¯ h J¯ na. In order to weaken the authority of Delhi, which was exercised through ı a u the governor in Multan, B¯ nbhnia aligned himself with the Mongols who were attacking a Multan from the north. He also remained on the offensive internally against the S¯ mar¯ s u a who ruled eastern Sind (i.e. the territory to the east of the Indus). He finally attacked and killed Ham¯r, son of Doda and last S¯ mar¯ ruler, who was supported by the governor of ı u a Multan on orders from Delhi. In 1365 Sultan F¯r¯ z Sh¯ h of Delhi marched against Thatta, ıu a but a political settlement was reached when B¯ nbhnia surrendered in 1366. The sultan a agreed that the Samm¯ s could rule Sind as his vassals, but he held B¯ nbhnia and later a a his son Tam¯ chi as hostages in Delhi. On F¯r¯ z Sh¯ h’s death in 1388, however, Delhi lost a ıu a control over the Sind province and an independent sultanate of Sind became a reality. Beginning with Unnar, fifteen Samm¯ ‘community chiefs’ (j¯ ms) ruled as sultans of a a Sind from Thatta.2 Tam¯ ch¯, who returned from Delhi in 1388 (B¯ nbhnia having died on a ı a the way), ruled with the title of Sultan Rukn al-D¯n Sh¯ h. The next illustrious ruler was ı a J¯ m Tughluq J¯ n¯ (1428–53), who, in order to counterbalance Delhi, entered into matria u a monial relations with the neighbouring sultans of Gujarat. The alliance between the two littoral sultanates gave an impetus to maritime trade. Numerous allusions in the classical Sindhi poetry of the seventeenth and eighteenth centuries show that Sindhi merchants and mariners frequented Java and penetrated beyond Perlak, the capital of the Samundara state in eastern Sumatra. The last illustrious ruler of the line was Sultan J¯ m Niz¯ m al-D¯n Sh¯ h. a a ı a During his long reign (1462–1508), education spread and commerce and agriculture progressed; and under the commander-in-chief Dary¯ Khan, a scion of the L¯ sh¯ r¯ (Baluch) a a aı community, who enabled the bulk of the Baluch soldiery to become the backbone of the army, the sultanate became militarily strong. The political events in Central Asia during the latter half of Sultan J¯ m Niz¯ m al-D¯n’s a a ı reign had an impact on the affairs of Sind. In the wake of the Thirty Years’ Rind- L¯ sh¯ r¯ a aı War, the Sind army had occupied Sibi while the Argh¯ ns from Kandahar had reached u Shal (Quetta) and had made incursions through the Bolan pass. The battle of J¯ l¯ g¯r (in au ı the Bolan pass), during which Muhammad Beg, brother of Sh¯ h Beg Argh¯ n, was killed, a u proved decisive and the Argh¯ ns never again attacked Sind during the lifetime of Sultan u J¯ m Niz¯ m al-D¯n. After his death in 1508, however, the situation changed. Hard-pressed a a ı
2

See Baloch, 1954.

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by B¯ bur in Kandahar, Sh¯ h Beg Argh¯ n decided to attack Sind. After successful initial a a u raids and the occupation of Sibi, Bakhar and Sehwan, he conquered Thatta in 1521. With Argh¯ n’s victory, the sovereignty of the Samm¯ s in Sind comes to an end. The ruler J¯ m u a a F¯r¯ z surrendered, but Argh¯ n allowed him to rule southern Sind from Thatta. In 1528, ıu u however, J¯ m F¯r¯ z fled to Gujarat and sought refuge with Sultan Bah¯ dur Sh¯ h. a ıu a a

THE BALUCH PEOPLE, THEIR MIGRATIONS AND THEIR PRINCIPALITIES (750–1500) There are no written records concerning the origin of the Baluch people or the chronology of their migrations. Indirect evidence comes partly from the later histories but mainly from Baluch ethnography and their oral tradition, particularly as embodied in their classical poetry, although this imaginative material must obviously be used with caution. The Baluch are not mentioned in Islamic geographic and historical sources until the tenth century, and then shortly afterwards, in Firdaws¯’s Sh¯ h-n¯ ma; they are usually linked ı a a with the K¯ fich¯s or Qufs as predatory peoples, apparently still pagan, living in the mounu ı tains of south-eastern Persia, from which they preyed on Muslim caravans. The Buyid and Ilyasid rulers of Fars and Kirman led punitive expeditions against them, and from then onwards they probably gradually became Islamized. In the eleventh century, they must have moved eastwards into what is now Baluchistan, doubtless after the stronger power of the Seljuqs took over Kirman and reduced the opportunities for raiding and banditry, i.e. after 1040. Since the central highlands of Baluchistan were by the eleventh century occupied by the non-Indo-Aryan, Dravidian Brahuis, the Baluch tended to bypass this region and make for the Indus valley, towards Sind, Multan and Panjab. Linguistic evidence shows that Baluch was originally a northern dialect of Iranian, placing the homeland of the Baluch people somewhere south of the Caspian Sea; their migrations into south-eastern Persia may have been due to pressure from the warfare of the later Sasanians with the Hephthalites which racked eastern Persia, although this is wholly undocumented. The last phase of substantial Baluch migrations took place at the turn of the twelfth century and continued into the wake of the upheavals caused by the Turkish–Mongol invasions from Central Asia. According to one tradition, forty-four b¯ l¯ ks (clans) moved. In ua effect, this was a mass exodus, from Sistan and Kirman to their main concentration in Makran. On the one hand, the Baluch strength there became the backbone of the sultanate of Makran, and on the other, the increase of the Baluch population in Makran led to an extensive migration south-eastwards. According to tradition, five main sub-stocks from the progeny of Jal¯ l Khan, namely Rind, L¯ sh¯ r¯, Kora’¯, Hoat and Jatoi, became identifiable at a a aı ı
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this stage, and from their power base of the sultanate of Makran they sought new pastures and new horizons. THE PRINCIPALITY OF KALMAT The Hoat, who were the first to leave, followed a twofold movement; those who went southwards, along the coastal belt, established their principality in the central littoral region, with Kalmat as their capital. They actively participated in sea trade, and Kalmat became a prosperous state and served as a supporting base for the onward advance of the later Kalmati group into the Habb and Indus valleys. PRINCIPALITIES OF THE DERAJAT The other Hoat sub-stocks of the Dod¯ ’¯s and the Chandi¯ s, as also the Kor¯ ’¯s and the aı a aı Jatois, migrated north-eastwards. Avoiding the colder highlands of Kalat, they descended from the Mullah pass into the plains of Kachchi-Gandava and from Harbab and other passes into the Indus valley. The Dod¯ ’is, migrating further north, eventually reached and occua pied the eastern slopes of the Sulayman mountains. By the end of the fifteenth century, under their chief Suhr¯ b Khan Dod¯ ’i, they were powerful enough to form the core of the a a military power of the L¯ ng¯ h sultanate of Multan (see above). They also vigorously devela a oped the settled areas and founded the flourishing market towns of Dera Ghazi Khan (1494) and Dera Ismac il Khan, the capitals of their two principalities, which the Hoat-Dod¯ ’i clan a ruled for some two centuries. THE PRINCIPALITY OF KALAT Leaving Makran a century after the Hoat, the clans of the Rind-L¯ shar¯ confederacy reached a ı central Baluchistan by the middle of the fifteenth century. Kalat was already a Baluch principality, having been conquered by the early migrating Baluch tribes. It was then ruled by M¯r c Umar, son of Miro of the Mirwarri dynasty of the Brahuis. When M¯r c Umar blocked ı ı the Rind–L¯ shari advance, he was killed in the ensuing battle and Kalat was thus occua pied and ruled by the Rind–L¯ shar¯ confederacy. Because of its cold climate and meagre a ı resources, inadequate to sustain the bulk of its people, the confederacy does not seem to have stayed in Kalat for long. The Rind and allied clans descended into the plains of Sibi through the Bolan pass, while the L¯ shar¯s and their allied clans, passing through the Mula ı lah pass, spread into the plains of the Kachhi–Gandava country. There the Rinds, led by M¯r ı Ch¯ kar, and the L¯ shar¯s, led by M¯r Gw¯ hr¯ m, quarrelled in a dispute concerning horse a a ı ı a a racing. This resulted in the long-drawn-out battles of the Thirty Years’ War, which became
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KASHMIR UNDER THE SULTANS . . .

the main theme of classical Baluch poetry. The Rinds sought help from the Timurids of Herat, and M¯r Ch¯ kar or his emissary is said to have visited the court of Sultan Husayn ı a Bayqara (1469–1506). The L¯ shar¯s received support from the Samm¯ ruler of Sind, J¯ m a ı a a N¯z¯ m al-D¯n (1462–1508), whose commander-in-chief Dary¯ Khan, alias Mub¯ rak Khan, ı a ı a a was a scion of the L¯ shar¯ family. The Thirty Years’ War sapped the energies of the once a ı powerful Rind-L¯ shar¯ confederacy. The Argh¯ ns, who ruled Kandahar on behalf of Herat a ı u and were supporting the Rinds, found it opportune to extend their power into the plains of Sibi and eventually into Sind. Under pressure, the Rinds and the L¯ shar¯s disengaged, the a ı L¯ shar¯s going to Thatta and thence to Gujarat and M¯r Ch¯ kar leading his people to the a ı ı a Multan region.

Part Two

¯ KASHMIR UNDER THE SULTANS OF THE SHAH M¯ DYNASTY (1339–1561) IR
(A. Q. Rafiqi)

It is probable that before the first Muslim sultanate – known as the Sh¯ h M¯r dynasty a ı – was established in Kashmir, Muslims had already settled the area, but the process only accelerated after the establishment of the dynasty in 1339. The Muslim invaders, first Arabs and then Turks, had invaded Kashmir on many occasions, but failed to conquer it. In 713, when the Arab general, Muhammad b. al-Q¯ sim, occupied Multan, he was said to have a marched against ‘the frontiers of Kashmir, called Panj N¯ hiyat’, but any putative threat to a Kashmir was removed when Muhammad was recalled by the caliph al-Wal¯d I (705–15) ı to his court. Later, some time after 757, Hish¯ m b. c Amr al-Taghlib¯, the Arab governor of a ı Sind, in vain attempted to conquer the valley of Kashmir. Although the mountains proved barriers to would-be conquerors, they did not prevent adventurers and refugees from entering Kashmir. c Al¯ b. Ham¯d al-K¯ f¯, for example, states ı ı uı in the much later source of the Chach-n¯ ma that Muhammad Al¯ f¯, an Arab mercenary who a aı had served Dah¯r (d. 712), the ruler of Sind, sought refuge in Kashmir. The ruler of Kashı mir, Chandr¯ p¯da, received him well and bestowed on him the territory of Shakalbar. After a ı Al¯ f¯’s death, his estate was inherited by one Jahm, who, according to al-K¯ f¯, built many aı uı
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mosques there. This account, if true, would imply that there were a number of Muslims already in Kashmir by that time. We do not, however, find concrete contemporary information regarding Muslim influence until the early eleventh century. Sultan Mahm¯ d of Ghazna invaded Kashmir on two u occasions, in 1014 and 1016, but his efforts to penetrate the valley were defeated by the strong fortresses of Loharkot and a timely snowfall. According to the Ghaznavid historian, Abu ’l-Fadl Bayhaq¯, however, Mahm¯ d – while in pursuit of Narojaip¯ l (Trilochanp¯ l), ı u a a who had received military assistance from Samgr¯ mr¯ ja, the ruler of Kashmir (1003–28) a a – plundered one of the valleys to the south of Kashmir and converted a large number ofits people to Islam. Kalhana’s twelfth-century metrical chronicle of Kashmir, the R¯ jatarang¯n¯, also describes this invasion, but does not speak of a conversion to Islam. a ı ı The statement of Bayhaq¯ is doubtless an exaggeration. ı It is, however, possible that some of Mahm¯ d’s soldiers, finding it difficult to cross the u mountains towards the plains of India, stayed behind and settled in Kashmir. It is after these Turkish invasions that Kalhana refers, for the first time, to the presence of Turkish Muslim soldiers in Kashmir when describing the reign of Harsa (1089–1111); later rulers also employed Turkish mercenaries. From the account of the Venetian traveller, Marco Polo, it appears that by the end of the thirteenth century, there was a colony of Muslims in Kashmir, for he says, ‘The people of the province [Kashmir] do not kill animals nor spill blood; so if they want to eat meat they get the Saracens who dwell among them to play the butcher.’3 The Hindu rulers of Kashmir seem to have been munificent and hospitable to the Muslim soldiers of fortune, who continued to enter the valley until the establishment of Muslim rule; it was one of these Muslim adventurers, Sh¯ h M¯r, who established the first Muslim a ı sultanate in Kashmir. The Kashmiri and Mughal historians recount different legends about the ancestry of Sh¯ h M¯r. According to Jonar¯ ja, Sh¯ h M¯r was the descendant of P¯ rtha a ı a a ı a c All¯ m¯, Niz¯ m al-D¯n and Firishta also state (Arjuna) of Mah¯ bh¯ rata fame. Abu ’l-Fadl a a a ı a ı that Sh¯ h M¯r traced his descent to Arjuna, the basis of their account being Jonar¯ ja’s a ı a R¯ jatarang¯n¯, which Mull¯ c Abd al-Q¯ dir Bad¯ ’¯ n¯ translated into Persian at Akbar’s a ı ı a a au ı orders. It is likely that either Jonar¯ ja, in order to glorify the family of his patron (Zayn a ¯ ı al-c Abid¯n, a direct descendant of Sh¯ h M¯r: see below), or Sh¯ h M¯r, after coming to the a ı a ı throne, worked out an apocryphal genealogy connecting himself with the legendary heroes of the past; this was a common practice with rulers and dignitaries of those days. According to some Persian chronicles of Kashmir, Sh¯ h M¯r was a descendant of the rulers of a ı Swat, but it is more probable that his ancestors were of Turkish or Persian origin and had
3

Yule and Cordier, 1903, p. 167.

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migrated to Swat. Sh¯ h M¯r arrived in Kashmir in 1313, along with his family, during the a ı reign of S¯ hadeva (1301–20), whose service he entered. In subsequent years, through his u tact and ability, Sh¯ h M¯r rose to prominence and became one of the important personalities a ı of the time. Later, after the death in 1338 of Udayanadeva, the brother of S¯ hadeva, he was u able to assume the kingship himself and thus laid the foundation of permanent Muslim rule in Kashmir. Dissensions among the ruling classes and foreign invasions were the two main factors which contributed towards the establishment of Muslim rule in Kashmir. Because of the long period of weak reigns and internal troubles, the Lavanyas and D¯ maras (the a local chiefs) had become the most powerful element in the valley; they continually rose in rebellion and prevented the growth of a strong centralized government. S¯ hadeva seems to u have played off these chiefs against each other and thereby established his authority over the whole of Kashmir. But at the same time, he alienated the Brahmans, the traditional class of officials, by imposing taxes on them. Meanwhile, in 1320, Zulj¯ or Dhu ’l-Qadr Khan invaded Kashmir at the head of a large u army. The sources regarding the origin of Zulj¯ are not unanimous. According to Jonar¯ ja, u a he was a ‘commander of the army of the great King Karmmasena’ (who is unidentified). Elsewhere, however, Jonar¯ ja calls Zulj¯ ‘the king of the mlechchhas’, meaning that he a u was a Muslim. The Mughal historian Abu ’l-Fadl c All¯ m¯ holds that Zulj¯ was the ‘chief a ı u commander’ of the ruler of Kandahar, and Niz¯ m al-D¯n and Firishta call him the m¯ra ı ı bakhsh (paymaster-general) of Kandahar. The Persian chronicles of Kashmir assert that Zulj¯ was a Mongol from Turkistan, which could be correct since the Mongols had not only u repeatedly invaded Kashmir prior to this time, but, if we believe Rash¯d al-D¯n, had even ı ı succeeded in temporarily subjugating the country. The chiefs did not come to the aid of S¯ hadeva and he was left alone to face the invader. He tried to save his kingdom by paying u the Mongols a large sum of money to withdraw from the country; but Zulj¯ ’s appetite u for plunder merely increased. S¯ hadeva himself fled to Kishtwar, leaving the people at u the mercy of the invader. The Mongols plundered and enslaved the people, burnt down buildings and destroyed crops. After a stay of eight months, Zulj¯ left the valley through u the Banihal pass, where he perished along with his prisoners in a heavy snowfall. Famine was the natural consequence of the wholesale destruction of the stores of grain and of standing crops by the invading army. Zulj¯ ’s invasion proved to be a turning-point in the history of Kashmir and contributed u towards the establishment of Muslim rule there, for Rinchana rose to power in its aftermath. He was originally from Ladakh, where his father had been chief. Fearing an attack on his life, Rinchana had sought refuge in Kashmir, where he was employed by S¯ hadeva’s u commander-in-chief, who had shut himself up in the fort of Lar during Zulj¯ ’s invasion. u
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After Zulj¯ ’s departure, this commander, R¯ mchandra, tried to establish his own authority, u a but Rinchana treacherously had him murdered and his family imprisoned, and seized power himself. The fact that Rinchana was able to rise from the position of a refugee to that of a sovereign clearly demonstrates the state of anarchy and discord which prevailed in Kashmir at the time. Rinchana, however, proved an able ruler and restored peace and prosperity to the country. The most important event of his reign was his conversion to Islam, which has been variously recorded. According to Jonar¯ ja, Rinchana wanted to become a Hindu, but, a on the grounds that he was a ‘Bhotta’ (Tibetan Buddhist), the Brahman Devasv¯ m¯ refused a ı to initiate him into Hinduism. This story seems to have been invented by Jonar¯ ja, however, a resentful that Rinchana had accepted Islam, for, if Rinchana had wished to become a Hindu, there should have been no difficulty for him, especially since he was a king. According to a popular version of the story, supported by most of the medieval Muslim scholars of Kashmir, Rinchana accepted Islam because of ‘divine grace’. It is said that after Rinchana came to the throne, he held discussions with both Hindu and Buddhist priests, in order to ascertain the ‘Truth’, but none could satisfy him. Finally, he decided to accept the religion of the first person whom he should see the next morning. That person was Sayyid Sharaf al-D¯n, a Suhraward¯ Sufi saint, who at the time was offering prayers near the royal palace. ı ı Rinchana immediately went to him, and, after inquiring about his religion, accepted Islam. In reality, it is more probable that Rinchana’s conversion to Islam was prompted by political reasons. In the absence of co-operation from the Hindus, only the Muslims in Kashmir would support Rinchana’s newly acquired kingdom. It is not, therefore, unlikely that Sh¯ h M¯r, who, according to Jonar¯ ja, was ‘a lion among men’, persuaded Rinchana a ı a to accept Islam. Abu’l-Fadl c All¯ m¯, who made a careful study of the history of Kashmir, a ı confirms the fact that Rinchana accepted Islam because of his intimacy and association with Sh¯ h M¯r, whom he appointed his minister. His decision to embrace Islam might a ı also have been influenced by the penetration of Islam into the countries outside Kashmir, particularly with the conversion to Islam of the Mongol Il Khanid Ghazan Khan in Persia in 1295. Whatever the truth, Rinchana’s conversion to Islam must be seen in a wider context, and not just as the result of either a Hindu refusal to take him into their fold or of a chance meeting with Sayyid Sharaf al-D¯n. Rinchana (or Sadr al-D¯n, the Muslim name which ı ı he adopted) died in 1323. Soon after his death, Hindu rule was once again established in Kashmir under Udayanadeva, the brother of S¯ hadeva, who nevertheless bestowed the u territory of Kramar¯ jya and other districts on Sh¯ h M¯r’s two sons, c Al¯ Sh¯r and Jamsh¯d. a a ı ı ı ı Meanwhile, Kashmir was once again threatened by a foreign invasion. According to Jonar¯ ja, the invader was ‘Achala’, supported by ‘the lord of Mugdhapura’, whom it is not a
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possible to identify. The Persian chronicles assert, however, that it was an army of the Turks (lashkar-i turk). Modern scholars have not identified the Turks of these chronicles, but it seems likely that they were Turco-Mongols who had previously, and on several occasions, invaded the valley. The incompetent Udayanadeva fled to Ladakh, leaving his wife Kot¯ a R¯ n¯ to face the invader. With the help of Sh¯ h M¯r and Bhikshana, a Hindu noble, she a ı a ı repulsed the enemy. After the enemy had withdrawn, Udayanadeva returned and regained the throne, but his cowardly flight had greatly impaired his prestige. His relations with Sh¯ h M¯r did not remain cordial and he began to suspect his loyalty. Because of his heroic a ı stand against the invader, Sh¯ h M¯r had become exceedingly popular among the people. a ı As a result, he became politically ambitious and, according to Jonar¯ ja, he ‘did not deem a the king even as grass’. He had already taken steps to win over the leading chiefs to his side. He bestowed on them his daughter and granddaughters in marriage and made large gifts to them, waiting for an opportunity to assume the kingship himself. It came soon, in 1338, as Kot¯ R¯ n¯ took the reins of government into her own hands after the death a a ı of Udayanadeva. Realizing the extent of Sh¯ h M¯r’s ambition, she raised Bhikshana to a ı prominence as a counterpoise to him and transferred the capital from Srinagar, where Sh¯ h a M¯r had a considerable following, to Andarkot. ı The rise to power of Bhikshana was an open challenge to Sh¯ h M¯r. He did not, however, a ı make his feelings public, but feigned illness and soon removed his political rival by having him assassinated. Later, Sh¯ h M¯r sent a proposal of marriage to Kot¯ R¯ n¯, which she a ı a a ı rejected, perhaps thinking it beneath her dignity to marry a man who had been in her service. After Sh¯ h M¯r, with the help of the chiefs, successfully besieged her, however, a ı she surrendered and accepted the proposal of marriage. Even so, as she had married him under pressure, Sh¯ h M¯r suspected her loyalty and imprisoned her. He ascended the throne a ı himself in 1339, under the title of Sultan Shams al-D¯n. ı Sh¯ h M¯r’s coup firmly established Muslim rule in Kashmir. The details of the admina ı istrative machinery that he created are not known, but drastic changes cannot have been made at that time. The Muslim community of Kashmir was a minority, with no outside contacts or support. Power remained, as before, in the hands of the Hindu chiefs, with whose help Sh¯ h M¯r had established himself on the throne. In order to increase the numa ı ber of his supporters and to check the ambitious chiefs, who had been the main cause of confusion and disorder in the preceding reigns, Sh¯ h M¯r patronized the families of the a ı Chaks and Magres, who were of indigenous origin. According to Jonar¯ ja, Sh¯ h M¯r made a a ı gifts to certain chiefs; it seems that, following the pattern of the Turkish sultans of Delhi, Sh¯ h M¯r assigned iqt¯ c s (land grants) to his supporters. a ı a

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Sh¯ h M¯r was succeeded in 1342 by his eldest son, Jamsh¯d, who had gained considera ı ı able experience in the art of administration during the reigns of his father and Udayanadeva. However, in the field of statesmanship he was no match for his younger brother, c Al¯ Sh¯r, ı ı who won over a number of important nobles and deposed him within a year (1343); he died two years later. c Al¯ Sh¯r styled himself Sultan c Al¯ ’ al-D¯n. He ruled for about twelve ı ı a ı years, but very little is known about his reign. From Jonar¯ ja’s account, it appears that he a c Ala’ al-Dinpora, now a part of Srinagar, was a just and able ruler. He founded the town of and made it his capital. He died in 1355 and was succeeded by his son Shivasvamika, who assumed the title of Shih¯ b al-D¯n. Shih¯ b al-D¯n was one of the ablest rulers of the Sh¯ h a ı a ı a M¯r dynasty. From a military point of view, his reign has been described as the most gloriı ous epoch in the history of Kashmir. He not only curbed the growing power of the feudal chiefs and consolidated his position, but also undertook military expeditions. After Lalit¯ ditya (724–61), Shih¯ b al-D¯n was the first ruler of Kashmir whose army a a ı campaigned outside the kingdom. Jonar¯ ja and the Persian chronicles of Kashmir have a given a highly exaggerated account of his conquests; the Kashmiri chroniclers implausibly attribute to Shih¯ b al-D¯n the conquest of territories such as Pakhli, Swat, Sind, Multan, a ı Kabul, Ghazna, Kandahar, Badakhshan and some parts of Transoxania. It is much more feasible that he conquered and annexed to his kingdom (as is also claimed) Baltistan and Ladakh. His most memorable campaign, however, is said to have been launched against F¯r¯ z Sh¯ h Tughluq of Delhi, with an encounter on the banks of the Sutlej in which ıu a neither side secured a decisive victory: the peace agreement allotted the territories from Sirhind to Kashmir to Shih¯ b al-D¯n, and the rest, lying to the east, to F¯r¯ z Sh¯ h; and mara ı ıu a riage alliances were also contracted. The Kashmiri chronicles do not corroborate, whether directly or indirectly, Shih¯ b al-D¯n’s supposed external conquests. Moreover, bearing in a ı mind the geographic location of Kashmir and the limited resources and numerical strength of its army, such vast conquests were impossible. In fact, the chronicles magnified his military exploits, which must have been limited to Gilgit and Baltistan in the north, Ladakh in the east and Kishtwar, Jammu and other hill states in the south. Shih¯ b al-D¯n was undoubtedly a great ruler who governed his kingdom efficiently. In a ı 1360 the valley suffered badly from a devastating flood. The sultan provided prompt relief and, in order to prevent similar future calamities, built a new town on higher ground near Kohi-Maran, which he named Lakshminagar, after his queen Lakshmi. However, some of his measures were less conducive to the welfare of his people; thus he ordered h¯ nj¯s a ı (boatmen) to serve him gratis for seven days every month. Towards the end of his reign he came under the influence of Lasa, the daughter of Queen Lakshmi’s sister, who succeeded

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. a headed by M¯r Muhammad Hamad¯ n¯ (1372–1450). Sikandar showed great maturity as a statesman.’ When Timur invaded India in 1398. Qutb al-D¯n died in 1389 and was succeeded by his son Sikandar (who was a minor). Hindus were prevented from applying the tilak (religious mark) on their foreheads and the custom of sati (immolation of a Hindu widow on her husband’s funeral pyre) was banned. She appears to have been a woman u of courage and ability. Queen S¯ ra. but by the time Sikandar took over the reins of government.ISBN 978-92-3-103467-1 Contents KASHMIR UNDER THE SULTANS . a ı Shih¯ b al-D¯n was succeeded by his younger brother Qutb al-D¯n (Hind¯ l). M¯r Muhammad’s arrival in Kashmir marked a turning-point in its hisı tory. These followers established kh¯ naq¯ hs (dervish convents). relations between Qutb al-D¯n and Sayyid c Al¯ did not remain cordial. The last days of Shih¯ b al-D¯n were not happy and he died in 1373. a a which led to the emergence of a whole network of centres for the preaching and teaching of Islam. who was a ı ı a an efficient and highly cultured ruler. he sent an envoy to Timur 316 Copyrights . who arrived in ı a ı ı Kashmir in 1393. It was during Sikandar’s reign that another wave of Sufi saints and c ulam¯ ’ arrived. left the valley in 1385. the majority of the Kashmiri ı ı people were non-Muslims and high government officials were also Hindus. Thus Jonar¯ ja writes. acting as regent. the son of Sayyid c Al¯. Thus political exigency demanded that the sultan should follow a policy of conciliation towards his nonMuslim subjects. However. . music and gambling were prohibited and the jizya (poll tax) on non-Muslims was imposed for the first time. The selling of wine. Sikandar had followed the policy of tolerance towards non-Muslims as practised by his predecessors. however. ‘The good fora tune of the subjects left them and the king forgot his kingly duties and took delight. ı his attitude changed and a strictly orthodox policy was introduced. the latter marched against him and R¯¯ Magre was aı captured and imprisoned. ı with the latter’s mother. It was during his reign that the great Persian saint and scholar Sayyid c Al¯ Hamad¯ n¯ (1314–85) arrived in Kashmir in 1381 and was. with a ı a ı large number of his followers. (public) dancing of women. but after the arrival of M¯r Muhammad. ı Because of their different attitudes towards non-Muslims. and finding that the ı sultan was not responsive to his teachings. in breaking images. not only in alienating the sultan from his queen. Sayyid c Al¯ travelled widely ı in the valley and asked a number of his prominent disciples to settle in places that were great Hindu centres of the time. but also managed to have the sultan’s two sons exiled. warmly received by the sultan. In order to avert the invasion of his kingdom. Thus Sayyid c Al¯ ’s arrival gave a great impetus to the spread of Islam in Kashmir. The intransigent Sayyid c Al¯ did not approve of this. In the early years of his reign. however. At the time. day and night. his chief minister R¯¯ Magre had grown ambitious and powerful and soon openly challenged aı the authority of the sultan.

became chief minister. In c Al¯ Sh¯ h’s absence. 317 Copyrights . He also celebrated the Hindu festivals and banned the slaughter of cows.ISBN 978-92-3-103467-1 Contents KASHMIR UNDER THE SULTANS . Although he followed his religious duties strictly and showed great respect for Muslim saints and scholars. Sikandar again started out from Srinagar. entrusting the reins of government to Sh¯ h¯ Khan. When Timur came to hear of this. which had been imposed by Sikandar.000 durusts of gold. . Sikandar left Srinagar. persuaded him to return to his kingdom. his eldest son M¯r Khan ascended the throne with ı the title of c Al¯ Sh¯ h. who had accepted Islam at the u ı hands of M¯r Muhammad during the reign of Sikandar. But upon a ı reaching Jammu. Zayn al-c AbiD¯n thus proved to be the most tolerant ı and benevolent Muslim ruler in the history of Kashmir.¯ ı ¯ ı Zayn al-c Abid¯n was undoubtedly the greatest of all the Muslim sultans of Kashmir. His concern for his people’s welfare and development led him to lay out a large number of canals which helped not only to reclaim marshy lands for cultivation. Aware that the government needed broad-based support. The jizya. hence he returned to Srinagar. but on reaching Baramulla. its ruler. All Hindus who had left the valley during the reign of Sikandar were encouraged to return to Kashmir and the ¯ Brahmans were given rent-free lands. c Al¯ Sh¯ h was very religious and decided to give up the throne to perı a form the pilgrimage to Mecca.000 horses and 10. and shortly afterwards Sh¯ h¯ Khan. he reprimanded his ministers for having demanded a tribute far beyond the capacity of the Kashmiri ruler’s resources. assuming the title of Zayn a c Abid¯n. al. he allowed complete freedom of worship to all his non-Muslim subjects. a ı ı a Like his father. providence having saved Kashmir from a great scourge. professing submission. but also to provide irrigation facilities for parched areas. but upon reaching Jabhan. Upon receiving this message. who was his father-in-law. Accordingly. c Al¯ Sh¯ h was ignorant of the art of government and was domı a ı a inated by his chief minister. . He offered high positions to able and meritorious non-Muslims in the administration. Sh¯ h¯ Khan had revealed his own ambition: he defeated c Al¯ ı a a ı ı Sh¯ h at Thana in 1420. was reduced from 2 pales to 1 nominal m¯ sh¯ and then dropped altogether. Other taxes which had been a a imposed only on non-Muslims in previous reigns were also abolished. He informed Sikandar that he should merely present himself to the conqueror on the banks of the Indus. he did not allow this to interfere with the administration of the country. and at Srinagar declared himself sultan. After the death of Sikandar in 1413. he learnt that Timur had already crossed the Indus. and he returned to Kashmir to collect the items demanded. But S¯ ha Bhatta soon died in 1417 ı u c Al¯ Sh¯ h’s younger brother. S¯ ha Bhatta (Sayf al-D¯n). Timur was satisfied with this and directed the envoy to ask Sikandar to join him at Dipalpur. Timur’s ministers demanded a contribution of 30.

. in Srinagar). was his palace at Rajdan (Nawshahr. ‘In Kashmir one meets with all those arts and crafts’. In 1472. papier mâché. a leading and powerful Sayyid. such as Poonch. inviting teachers and craftsmen from Persia and Central Asia to train local artists and artisans. Similarly. while in ¯ ı Kashmir they are even abundant. for the convenience of traders and travellers. had fallen out of favour when he revolted ¯ ı against his father in 1459. He provided his subjects with a code of laws. another son. with himself u 318 Copyrights . to which students came not only from India but also from Kabul and Tranaı ı soxania. He took a keen interest in the spread of education. Bahr¯ m. Prince Hasan Khan. when Haydar Sh¯ h died after a a brief reign. hence on Zayn al-c Abid¯n’s death in 1470. according to M¯rz¯ Haydar Dughl¯ t. had ı a a ‘twelve storeys. Corrupt judges were severely dealt with and venality among the officials was rooted out. Prince Hasan was asked to proceed against the rulers of these states and successfully subjugated them. ascended the throne with the title of Haydar Sh¯ h. as heir a apparent. Rajauri and Jammu. as chief minister. He not only revived traditional arts and crafts. however. paper-making. and his own son. His most magnificent edifice. writes M¯rz¯ Haydar. . One of the famous centres of learning was the seminary of Shaykh Ism¯ c¯l Kubraw¯. In order to strengthen his position. some of which contain fifty rooms. Yet Haydar Sh¯ h ı a soon succumbed to pleasure and drinking and neglected the administration of the kingdom.’ ¯ ı It is. ‘which are in most cities uncommon . the minister Malik Ahmad Yatt¯ declared Prince Hasan as ruler. he married Prince Hasan to Hay¯ t Kh¯ t¯ n. The sultan was a great builder: among his works were bridges and rest-houses. Haydar Sh¯ h appointed his a a younger brother. and silk. halls and corridors. In order to prevent fraudulent property transactions. Kashmir became a ‘smiling garden of industry’. H¯ jj¯ a ı Khan. Adam. The whole of this lofty structure is built of wood. but also introduced a number of new ones. As a result of his liberal patronage. crime was ruthlessly put ¯ ı down.ISBN 978-92-3-103467-1 Contents KASHMIR UNDER THE SULTANS . shawl and carpet weaving. Zayn al-c Abid¯n introduced a system of registration of important documents. these are nowhere to be met. The sultan was a great patron of learning. One of them. The prices of commodities were also inscribed on copper plates and placed in public markets. which. a au the daughter of Sayyid Hasan Bayhaq¯. which he had engraved on copper plates placed in villages and towns for the information of the general public. The country made significant progress in wood-carving. .’ ¯ The sultan had four sons. He extended royal patronage to both Persian and Sanskrit scholars. This resulted in internal unrest and the declaration of independence of the tributary states. . establishing a translation bureau in which Sanskrit works were translated into Persian and vice versa. however. The sultan also reformed the administrative system. except in Samarkand and Bukhara. In the whole ı a of Transoxania. This is all due to Zayn al-c Abid¯n. for Zayn al-c Abid¯n’s encouragement of arts and crafts that his name has become immortal.

Sultan Hasan Sh¯ h was a heavy drinker. who had arrived in Kashmir durı ing the reign of Sultan Sikandar. chief minister of Hasan Sh¯ h. The Bayhaq¯ Sayyids. soon after their arrival in Kashmir. In retaliation. on the other. T¯ z¯ Bhatt now became the leading figure in the anti-Sayyid campaign. who was now succeeded ı in this office by his son Sayyid Muhammad. a ı The sultan. to the sister of Jah¯ ng¯r Magre. Fat’h Khan. and with the help of these. on the one hand. u a was over-ambitious. Warmly received by the rulers. existed in the valley. but soon succumbed to internal discord with a series of intrigues and coups. The Kashmiri nobles soon reorganized and made another attack on the Sayyids. including Sayyid Hasan. a bitter struggle for power between the a Kashmiri nobility and the Bayhaq¯ Sayyids.ISBN 978-92-3-103467-1 Contents KASHMIR UNDER THE SULTANS . involving virtually the entire nobility. they obtained important positions in the administration and also took an active part in the intrigues and rebellions which followed ¯ ı the death of Zayn al-c Abid¯n. Kashmir witnessed. M¯r a ı ı ı Muhammad – and their disciples were mainly teachers and preachers and sought the help of the sultans and their nobles to spread the faith of Islam. 319 Copyrights . in 1484. The new sultan (known as Hasan Sh¯ h) began his reign well. a civil war between Muhamı mad Sh¯ h and a rival claimant. the chief minister. who now enjoyed absolute power. Sayyid Hasan Bayhaq¯ placed his own 7-year-old grandson. For over a quarter of a century. With the accession of Muhama a au mad Sh¯ h. ı but eventually the Bayhaq¯ Sayyids were recalled from Delhi and Sayyid Hasan Bayhaq¯ ı ı became chief minister. as chief minister. Muhammad Sh¯ h ı a (the son of Hasan Sh¯ h and Hay¯ t Kh¯ t¯ n). . had secured a commanding position in the state administraa tion. Like his father. After the accession of Sultan Qutb al-D¯n in 1373. T¯ z¯ Bhatt. on the throne. although very loyal to the sultan. defeating them and forcing them to leave the country once again. killing fifteen Bayhaq¯ Sayyids. Malik Ahmad Yatt¯ strengthened his position by u marrying his adopted son. because of their ı relationship with Hasan Sh¯ h. When the sultan died. complete a confusion and anarchy. . on 19 a April 1484. the commander-ina ı a ı chief of the army. and. But the Bayhaq¯ Sayyids genı erally focused their energy on establishing family ties with the ruling house and the high government officials. Malik Ahmad Yatt¯ . exiled all the leading members of the Bayhaq¯ family. who. began to harass the prominent ı Kashmiri nobles. they made matrimonial alliances with the royal family. But before taking on the Sayyids. a large number of saints and scholars ı had started to pour into Kashmir from Persia and Central Asia. The Hamad¯ n¯ Sayyids – Sayyid c Al¯ and his son. but power a struggles among the various groups of the nobility started as soon as he had come to the throne. these immigrants included the Bayhaq¯ Sayyids. fearing an open revolt. He in time turned against the Bayhaq¯ Sayyids. the nobles made a surprise attack.

making M¯ sa Raina chief minister in his place. Fat’h Khan (who ruled as Fat’h Sh¯ h) became sultan of Kashmir. In 1514 Fat’h Sh¯ h was deposed and Muhammad Sh¯ h came to the throne for the third time. . He only lasted until 1530. in 1532. In 1537 Sultan Muhammad Sh¯ h died and his second son. Shams al-D¯n soon died and Ism¯ c¯l. successfully invaded Kashmir and was briefly hailed a as sultan. ı a a c¯d of Kashghar to conquer Ladakh. Kashmir was attacked from the north-east by M¯rz¯ Haydar Dughl¯ t. Disgruntled nobles used a aı Fat’h Sh¯ h’s three sons against K¯ j¯ Chak. a but died in exile shortly afterwards. conquered a u ı Kashmir without much resistance. already on his way to Kashmir. . Muhammad Sh¯ h appointed K¯ j¯ Chak as chief minister. Thus religious differences were added to the mêlée of personal conflicts. Since he had. the third and only surviving son of Fat’h Sh¯ h. released Muhama mad Sh¯ h from prison and enthroned him as nominal ruler again. with the leading nobles a dividing the kingdom among themselves. In 1528–9. Shams al-D¯n II. many Sunni nobles turned against him and he was killed while trying to flee ı a ı from the valley.ISBN 978-92-3-103467-1 Contents KASHMIR UNDER THE SULTANS . a aı N¯ z¯ k Khan. Muhammad Sh¯ h. another son of Sultan Muhammad ı aı Sh¯ h. One group called for help from M¯rz¯ Haydar. M¯rz¯ Haywho. actually a for the second time in 1505. became sultan. M¯ sa u u Raina was an able administrator. a a He had only ruled for one year when the Chak nobles. Ambitious nobles continued to quarrel among themselves. Eventually. Fat’h Sh¯ h now became sultan for the third time in 1515. was a warmly received and declared sultan for the fourth time in 1517. in 1533. Although the civil war between Muhammad Sh¯ h and Fat’h Sh¯ h had thus come to an a a end. entering it without much resistance in January 1533. The Mughals were given gifts and requested to leave. headed by K¯ j¯ Chak. M¯rz¯ Haydar prevailed on Hum¯ y¯ n to let him proceed ı a a u 320 Copyrights . wasena ı throned. was deputed by Sultan Sa ı ı a dar occupied Ladakh and then proceeded to Kashmir. But once again power struggles between the different groups of the Kashmiri nobility began. but since he had been converted to Shic ism by M¯r Shams ı al-D¯n c Ir¯ q¯. For some three months the ravages of M¯rz¯ Haydar’s army continued ı a relentlessly until the c ulam¯ ’ encouraged the Kashmiris to defend themselves by issuing a a decree which proclaimed that fighting against the invaders was not only permissible but obligatory. but were unable to overthrow him. for Abd¯ l Magre. But rivals procured Shams Chak’s murder. Their attacks soon wore down M¯rz¯ Haydar and his troops: he made peace ı a with the Kashmiri nobles and in May 1533 he left Kashmir by the same route as he had come. the chief minister. with the support of a Mughal a u a army supplied by the emperor B¯ bur. peace still eluded the country. Soon afterwards. and appointed Shams Chak as his chief minister. dethroned him aı and caused him to flee to Panjab. who had entered the a ı a service of Hum¯ y¯ n after the death of Sultan Sac¯d.

to Kashmir once again. was replaced by 321 Copyrights . To ı ı a ı uproot the influence of the Chaks. with the place of the Brahmans taken over by newly arrived Muslims. During the period of the Sh¯ h M¯r dynasty. Hindu influence. Shaykh D¯ niy¯ l. to unseat it and assume the reins of government. leading to his fall and blinding. who were mainly Shic ites. This led to a revolt in which he was killed in October 1551. he was not only a brave soldier but also a great patron of culture. a history of the Mughals of Central Asia. he was largely responsible for the revival of arts and crafts. Meanwhile. a succession of weak and worthless rulers had exposed the country to internal ¯ ı alrevolts and external invasions. hitherto dominant in the court. . thereby laying the foundations of the Chak a ı a ı a dynasty. ı a N¯ z¯ k Sh¯ h was allowed to continue as sultan. aı a ı a u In the beginning. Gh¯ z¯ Chak became chief minister. ı a However. M¯rz¯ Haydar embarked upon an anti-Shic ite policy. artisans and fortune-seekers immigrating from Persia and Central Asia inevitably influenced Kashmiri society.ISBN 978-92-3-103467-1 Contents KASHMIR UNDER THE SULTANS . M¯rz¯ Haydar claimed ı a that no one now openly dared to profess Shic ism as a result of his policy of persecution. he began to neglect the local nobility and became increasingly dependent on the support of his own followers. he managed to arouse jealousy within his own family. changes of far-reaching significance took a ı place in the life and conditions of the people of Kashmir. without encountering any resistance. the rule of the Sh¯ h M¯r dynasty had thus ended. Many elements of Persian and Central Asian culture were introduced into the life of Kashmiris and the continuous waves of Muslim missionaries. After Zayn a ı c Abid¯n. it was in Kashmir that he composed the most famous of his works. whom he appointed to responsible positions in the administration. M¯rz¯ Haydar showed great respect for the Kashmiri nobles. He entered Srinagar on 22 November 1540. the ı a c Ir¯ q¯ was razed to the ground and his son. now began to decline. but the real power was in the hands of his a u a chief minister. the son of Muhammad Sh¯ h. Sanskrit. . Out of regard for the Chak nobles. which had been languishing after the death of ¯ ı Zayn al-c Abid¯n. the T¯ r¯kh-i Rash¯d¯. he visited the tomb of M¯r Shams al-D¯n c Ir¯ q¯ at Zadibal in Srinagar. but relations soon became strained. which had received royal patronage for many years. aı ı ı M¯rz¯ Haydar’s death did not bring an end to the scramble for power among the nobles. especially ı a the Chaks. for the second time. The Sh¯ h M¯r dynasty only paved the way for a powerful a ı faction of the nobility. After some 222 years. the Chaks. was tomb of M¯r Shams al-D¯n a ı ı ı a a beheaded on the grounds that he had reviled the first three caliphs. Dawlat Chak secured the ascendancy and in late 1552 deposed N¯ z¯ k Sh¯ h a u a and enthroned Ibr¯ h¯m Sh¯ h. There is no doubt that M¯rz¯ Haydar’s intolerant policies brought untold misery upon the people of Kashmir. and Sultan Ism¯ c¯l Sh¯ h fled to seek help from Sh¯r Sh¯ h S¯ r in Delhi. a ı eliminated various members of the ruling dynasty and in 1561 himself assumed the title of Sultan N¯ sir al-D¯n Muhammad Gh¯ z¯ Sh¯ h. Although a ı a a Dawlat Chak tried to win over other factions of the nobility.

Srivara ascribes the misfortunes of the people of Kashmir to their acceptance of changes in their way of life. Bhattavatara. from the ancient Hindu system to a Persianized form of Islamic society. but formed endogamous groups. who were called K¯ rkun (the class of officials). 322 Copyrights . Hindu society was split into two groups: the Persianspeaking Hindus. Sanskrit continued to be the literary language of the Hindu élite. who was enamoured of Firdaws¯’s Sh¯ h-n¯ ma. in the course of time. the attitude of the Sh¯ h M¯r dynasty towards its subjects was one of cona ı sideration. Besides dress. the diet of the Kashmiris also underwent a change. on the whole. However. a scholar of Zayn al-c Abid¯n’s time. Srivara translated J¯ m¯ ’s Y¯ suf u Zulaykh¯ and entitled it Kathaa ı u a Kautuka. in the words of Srivara. composed the Jainavil¯ sa. several of them in Srinagar. in general. Lamenting these changes. which contains ı a a a the sayings of the sultan. Hence. Hindus too had adopted Muslim a dress. but the administration did not. one of peaceful change. as a result. Persian. The Bayhaq¯ Sayyids. ‘As the wind destroys the trees. who included the Pandits (religious scholars). Although Sultan Qutb al-D¯n had refused to promote the missionary activities of Sayyid c Al¯ Hamad¯ n¯. The intolerant attitudes adopted by Sultan Sikandar and M¯rz¯ Haydar Dughl¯ t were exceptional rather than usual for rulers in Kashmir.’ Similarly. the influence of Persian and Central Asian culture continued to increase day by day. . culturally. which encouraged the dissemination of Islamic spiritual and intellectual values. and the locusts the shali crop. Non-Muslims embraced Islam for various reasons and under various pressures. Jonar¯ ja remarks. The ı a a period was. But these protests were in vain. On the whole. Kashmir became part of the Persian and the Central Asian world. ‘neglected men ı [who were] learned in the vernacular and in Sanskrit’. by the time of Sikandar. create a situation in which the people felt forced to abandon their former way of life. and the Sanskrit-speaking a Hindus. From Jonar¯ ja’s account.ISBN 978-92-3-103467-1 Contents KASHMIR UNDER THE SULTANS . it appears that. who wielded great influence in the court. although non-Muslims found that their prospects of employment and promotion were enhanced by a knowledge ¯ ı of Persian and so started to learn it. The Persianization of the administration had a cultural counterpart. The immigrants from Persia and Central Asia were also responsible for establishing madrasas. . ı ı a ı he nevertheless followed his advice and gave up dressing in the Hindu fashion. The families of Sanskrit-studying and Persian-studying Hindus did not intermarry. a so did the Yavanas [Sayyids] destroy the usages of Kashmira.

. . . . . . in addition to Transoxania and Khwarazm. crafts and trade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Z. Timur’s military campaigns . . . . . . Into this empire were incorporated. . . . . . . . . . . . . . . . Relations with west European rulers . . . . . . . . . . . The succession struggle . . . . . . . . . . . . . . . . . . Reorganization of Timur’s army . . . . . . . . . . Urban development. . . . . . . . . . . . . . . part of the southern Caucasus. . . . . . . . . . . . . . . . . . . . . . . Ashrafyan Contents Formation of Timur’s empire . . . . . 323 Copyrights . . . . . . . In their * See Map 8. . The heart of the empire was Transoxania. Socio-economic conditions under Timur . . . . . Iraq. . .ISBN 978-92-3-103467-1 Contents CENTRAL ASIA TIMUR 1370 16 CENTRAL ASIA UNDER TIMUR FROM 1370 TO THE EARLY FIFTEENTH CENTURY* K. . . . . into the appanage of Chaghatay. . . . . . Iran. . . . . . . . . . . . . . . At the beginning of the fourteenth century. . . . . . and the territory of present-day Afghanistan and northern India. . The Sarbadar movement . . . . . . . . . . . . . . . the fruit of his long years of campaigning and the resultant destruction of many towns and regions. . . . . . . . . . . . and under the terms of the arrangements made by him. . . . . . . . . . . . . . . . . . . . the regions around the Caspian Sea. incorporated after the death of Chinggis Khan. bitter disputes arose between the princes of the other territories of the former Mongol empire and the Chaghatay Khans. . . . . . . . . . . . . . . . . 325 326 327 330 332 339 342 345 346 One of the most extensive military empires in the medieval Islamic East was that of Timur. . Balkh and Samarkand under Timur . . . . . . . . . . . .

the Khans sought support not only among the leaders of the Mongol tribes and clans (leaders known as noyans in Mongolian. p. The upholder of the ‘settler tradition’. Kebek Khan (1318–26). begs in Turkish). This gave rise to a new wave of dissatisfaction on the part of the nomadic Mongols. similar independent leaders established themselves. In Shiburghan. ‘10. together with the town of Balkh. and ruled on behalf of the titular Khan of Chinggis’s line. names some of them. An important step in the acceptance of local cultural tradition by some of the Mongols was the adoption of Islam by Tarmash¯r¯n (1328–34). In 1358 Kazagan was killed by one of the noyans of the Khan of Moghulistan. t¯ m¯ n). or tümens (in Persian orthography. Kazagan’s power did not extend beyond Transoxania. The holdings of many local landowners became tümens. 15. Kazan Khan. a palace (qarshi in Mongolian) around which the town of Karshi later grew up. The remainder of this region a belonged to the head of the Sulduz tribe.ISBN 978-92-3-103467-1 Contents CENTRAL ASIA TIMUR 1370 struggle to increase their power. in imitation of that of the II Khanid ruler of Iran. in the valley of the Kashka Darya river. built himself. Badakhshan and Khuttalan. Kebek Khan divided Transoxania into military-administrative districts.000’ (the original meaning being a group of 10. settling. here the military-nomadic aristocracy of the Mongol tribes held undisputed sway. according to the historian. the Zafar-n¯ ma [Book of Victories] written on Timur’s instructions and a during his lifetime. brother and successor of Kebek ıı Khan. Their dissension and strife. Kutlugh Timur. brought the seat of the Khanate back to Transoxania only to be killed in a battle in 1346 against one of the Mongol leaders. of the house of Hülegü. a ı a ı 324 Copyrights . Transoxania was now divided into a few mutually hostile fiefs. contrary to nomadic custom. The remainder of the disintegrating ulus of Chaghatay (Semirechye and East Turkistan) came to be called Moghulistan. in Transoxania. Ghazan Khan (1295–1304). Tarmash¯r¯n was killed and the headquarters of the Khanate was transferred to Semiıı rechye.1 1 Niz¯ m al-D¯n Sh¯ m¯. and the landowners themselves hereditary governors. did not assume the title of Khan.000 u a fighting men or a territory providing that number of warriors). and the last Chinggisid of the Chaghatayulus (domains in Mongolia). not being a Chinggisid. Niz¯ m al-D¯n Sh¯ m¯. Kazagan’s grandson Amir Husayn ruled part of the wil¯ yat (region) of Balkh. The monetary system he introduced. 1937–56. under the leadership of Khans of the Dughlat clan. Kish and its region were under the sway of H¯ jj¯ a ı Barlas. belonging to the leaders of the Mongol and local nobility. that is. sowed confusion in the affairs of Transoxania. was designed to extend trade relations and curb the abuses of officials and swindlers. but also among the local feudal landowners and to some extent the urban notables. at a distance of 2 farsakhs (about 12 km) from Nakhshab (Nasaf). In accordance with Mongol tradition. author of the earliest of the better-known accounts a ı a ı of Timur’s life. the amir Kazagan. Kazagan.

The official histories of Timur – written at his command by Niz¯ m al-D¯n Sh¯ m¯. campaigned in Transoxania. who had been left as ruler in Transoxania. a o Now that he was a ruler and amir of a rich tümen.3 The historian Ibn c Arabsh¯ h. pp. ambassador of the king of Castile. he feasted with his followers’. the chieftain of Balkh. by a ı a ı Ghiy¯ th al-D¯n c Al¯. 238–9. but not wealthy. and with them ‘he began to scour the countryside. and had no more than 2 or 3 horsemen in his service. adopting their religion (Islam) and gradually giving up its own nomadic ways. One of his followers was the future ‘conqueror of the world’. intermingling with the Turkish population. Timur made contact in 1361 with one of the pretenders to power in Transoxania. 325 Copyrights .ISBN 978-92-3-103467-1 Contents Formation of Timur’s empire Formation of Timur’s empire In 1360 and 1361 the Khan of Moghulistan. But Timur soon broke off relations with the Khan of Moghulistan and his son Ily¯ s Kh¯ ja. for himself and his followers. According to Ruy González de Clavijo. Timur of the Barlas tribe. Timur’s capital. a ı ı Clavijo. who lived at the court of Timur’s son and successor ı ı ı Sh¯ h Rukh – say nothing about his early years.2 This Mongol tribe had settled as early as the beginning of the fourteenth century in the valley of the Kashka Darya. as the authors of eulogistic histories dubbed their hero. Timur had approximately the same number (‘4 or 5’) of hired horsemen. Amir Husayn. thanks to Timur’s bravery and ‘magnanimity’. 133. Tughluq Timur. and when he was able. the author of the Journal of Timur’s Campaign in India. the amirs carried out predatory raids on the territories of their neighbours. a force of as many as 300 grew up around him. Tughluq Timur heaped ‘all manner of attentions and kindnesses’ on Timur. At the head of their troops. the ‘second Alexander’. 139. robbing and stealing all he could. During one of these they were taken prisoner by the Javuni-Qurbani Turkmens and escaped by a lucky 2 3 Ghiy¯ th al-D¯n c Al¯. he also travelled the roads robbing merchants’. like a number of other Mongol tribes in Transoxania. the father of the ‘Emperor of Samarkand’ (el Emperador de Samarcante) was a notable personage (home fidalgo). writes that his father was a a shepherd. in 1404. 183. pp. Gradually. the next day a cow. 1881. sealing the relationship by marrying his sister Ulday Turkan-aga. who is extremely hostile to Timur. although it is known that he was born a in 1336. With their help he seized from his neighbours ‘one day a sheep. The Kashka Darya tümen of the fugitive H¯ jj¯ Barlas was bestowed a ı on him in 1361. After the attack on Transoxania. and by the a ı ı historian Sharaf al-D¯n c Al¯ Yazd¯. 1915. who visited Samarkand.

However. Expelled a o from Transoxania after the death of Tughluq Timur. in which the horses of the allied forces stuck fast. History of the Sarbad¯ rs. In those days. On the banks of the River Chirchik near Tashkent. the Sarbadars in 1337 set up their own state with its centre at Sabzavar which survived until 1381. inevitable. a battle was fought that has gone down in history as ‘the battle in the mud’. The Sarbadar movement Meanwhile. with its varied composition – it embraced artisans. a host of jete (bandits). pp. An active role in the organization of the defence of the city was played by the townspeople themselves. won many ı adherents in Sabzavar and preached for some time not only in Khurasan but also in Central Asia. Having ousted Mongol power from a number of towns and districts. he was proclaimed his successor in Moghulistan and in 1365 reappeared in Transoxania with a large army. appeared in the vicinity of Samarkand. as the Mongol nomads were called in Transoxania. rendered by European writers as Tamerlane. among whom the ideas of the Sarbadars had spread (see further. The Sarbadar movement. The increase in power of amirs Husayn and Timur threatened Ily¯ s Kh¯ ja. According to the fifteenth-century historian H¯ fiz-i Abr¯ . it is not impossible that participants in uprisings were called ‘gallows-bait’ by their opponents. Sarbadar (in Persian. But the Mongols spread large pieces of felt under their horses’ hooves.ISBN 978-92-3-103467-1 Contents The Sarbadar movement chance. and their cavalry. Heavy rains had turned the ground into a bog. 20–1. peasants and small landowners and contained messianic Shic ite elements – had originated in Khurasan. Shaykh Khal¯fa.4 In a later battle in Sistan – where the local prince had invited the amirs to help fight his enemies – Timur received arrow wounds in the arm and leg. it seems. Lamed for life. it is known that the ideologue of the Sarbadar movement. The historians also gave the name ‘Sarbad¯ rs’ to the citizens of Samarkand who had a taken the control of the city into their own hands. below). a ı a ı 326 Copyrights . a u no longer extant. 1937–56. The ideas of the Sarbadars were evidently propagated secretly in Transoxania too. who considered that the ‘rebels’ deserved the gallows. Their leaders were the madrasa 4 Niz¯ m al-D¯n Sh¯ m¯. A Sarbadar state also sprang up in Mazandaran (1350–92). The amirs fell back towards Samarkand and then retreated across the Oxus (Amu Darya). the city was unfortified and its capture was. author of the anonymous. he was given the nickname Timur-Leng (literally ‘Iron Cripple’). literally ‘head in the a noose’ or ‘gallows-bait’) was the name adopted by the members of anti-Mongol popular movements who were ready to die in the cause of deliverance from tyranny. manoeuvring freely. the urban poor. carried the day.

retired. Only in the spring of 1366. Meeting at the village of Baghlan. If the historian c Abd alRazz¯ q Samarqand¯ is to be believed. equal rights to property and repeal of taxes that were contrary to the shar¯c a. but an epidemic broke out and many of their horses died. Gafurov.’ implores Sharaf al-D¯n c Al¯ Yazd¯. In the words of Khw¯ ndam¯r. It is not impossible that the Sarbadar faction (representing the democratic elements of the population) attempted to put into effect their doctrines. but the others were executed. the headman of the cotton-scutchers’ district Ab¯ Bakr. nicknamed ‘the archer’ and known as a brave man of respec a a aı ted lineage. the Sarbadars were seized and put to death. pp. which were similar to those popular among the Sarbadars of Khurasan. who hastened to inform Amir Husayn. where the conflict among the various social groups seems to have intensified. alarmed them. the Sarbadars ‘followed the path a ı of wickedness and sedition and laid avaricious hands on the property of the citizens’. On the following days they renewed their onslaught. Anticipating no easy victory. unused to street fighting. The Mongols. Through their agents they established contacts with the ‘Samarkand gallows-birds’. showering them with arrows. Entering by this route. 327 Copyrights . Hence. and a a a u Mawl¯ n¯ Khurdak-i Bukh¯ r¯. The Mongols were therefore compelled to leave the environs of Samarkand.’ ı ı ı News of the retreat of the Khan of Moghulistan’s troops from Transoxania reached Timur. the citizens of Samarkand worked to fortify the alleyways of the town. bearing gifts. But the allies did not march immediately on Samarkand. whose ‘extreme audacity’. the indignation of the historians at the actions of ı the Samarkand Sarbadars. Timur interceded for Mawl¯ n¯ -z¯ da and saved him a ı a a a from the gallows. 1949. no doubt.5 Balkh and Samarkand under Timur Amir Husayn established himself in Samarkand. ‘O God. welcomed them with gifts and noble apparel and issued a document in the name of Amir Husayn recognizing the Sarbadar leaders as lawful chieftains. stones and sticks. several months after the Mongols’ departure from Transoxania. Timur took control of Kish (Shahr-i Sabz) and Karshi. Night and day. in the words of Khw¯ ndam¯r. assuming the rulership of Balkh also. did Timur and Husayn march on Samarkand. Unable to claim victory. 477–81. they dug in around the city for a long siege. the a ı amirs worked out a plan of action. 1972. On their arrival. they resorted to treachery and invited the Sarbadar chiefs to meet them at the village of Kani Gil. ‘let not a beggar become a respected man. Their alliance quickly soured and 5 Stroeva. erecting barricades and leaving only the main artery open to free passage.e. i. which remained in the hands of the Sarbadars.ISBN 978-92-3-103467-1 Contents Balkh and Samarkand under Timur student Mawl¯ n¯ -z¯ da. the Mongol horsemen found themselves in a trap: the townsmen attacked them from all sides.

1937–56. especially the ordinary people. a descendant of Chaghatay. 57–8. To the title of amir was added the honorific Güregen. pp. and the signature of the Khan appeared on the yarlighs for raising armies and announcing campaigns. 59–60. the historian-panegyrist tells how Timur became the sole ruler of Transoxania. it seems. but was captured and killed by one of Timur’s allies. a descendant of Chinggis Khan. 1881. a u When this Khan also died in 1402. After the capture of Balkh. a ı ı Ibid. the city was taken. Timur named no successor and continued to mint coins bearing the name of Sult¯ n Mahm¯ d. These tribes were called Chaghatays. Timur besieged Balkh: the fortifications were breached and on 10 April 1370. 55. both the nobility and the mob were pacified under the generous and kindly protection of the Khan. Each saw the other as the one resolved to strike the first blow. He ‘brought under his sway the whole of Transoxania’ and ‘set in order the affairs’ of the region so that ‘there was no room for rebellion there’.. as Khan. 240. which also received a share of the rich treasury seized from Husayn.7 The fortress was demolished and the city sacked by the army. 125. 54. He proclaimed Soyurghatmish.8 After Soyurghatmish’s death in 1388.9 In 1370 Timur made Samarkand his capital. his name was also commemorated in the khutba (Fria u day worship oration). ‘this king of Samarkand was not loved by his subjects. home of the Khans. another Chinggisid. and. 328 Copyrights . since Timur married one of Husayn’s widows. Timur summoned. Mulk-kh¯ num (B¯b¯-kh¯ num). pp. pp. although they did not belong to 6 7 8 9 10 Niz¯ m al-D¯n Sh¯ m¯. in the city itself. who was the a ı ı a daughter of the Kazan Khan. 1937–56. since they inhabited the ulus of Chaghatay. Husayn tried to hide in one of the minarets beyond the fortress wall. The main prop of Timur’s administration was the warlike nomadic and semi-nomadic Mongol nobility of Transoxania (particularly the Barlas). Niz¯ m al-D¯n Sh¯ m¯. 1915. In deference to Mongol tradition. ‘the residence of the sultans. homeland of the dervishes or Sufis and capital of the learned’. p. a ı a ı Clavijo. was appointed titular Khan by Timur. pp. In the words of Clavijo. Timur. dwelling of the saints.’10 In these words. 17–18. handed a ı a ı over control of the state to the house of Chaghatay and restored their ‘rights’. the city-dwellers and some notables’. in the words of Niz¯ m al-D¯n Sh¯ m¯. 126. a kurultay (meeting of the military chiefs and nobles of the tribes).ISBN 978-92-3-103467-1 Contents Balkh and Samarkand under Timur turned to enmity. ‘The people became prosperous. a ı a ı Ghiy¯ th al-D¯n c Al¯.6 It would seem that a contributing factor in Timur’s success was Husayn’s unpopularity with the inhabitants of his domains. 65. Sult¯ n Mahm¯ d.

Sayyid Baraka. p. It is not by chance that the historians portray Timur as an enthusiastic defender of Islam (which quite possibly he was not). a gh¯ z¯ (fighter for the faith). Timur’s Chaghatay soldiers. children and herds anywhere. they are free and pay no tribute to the king. were served). contrary to Muslim law. And let it not be thought that they leave their wives. pp. pp. Clavijo saw cornices with representations (contrary to the precepts of the shar¯c a) of figures from Timur’s vicı tories. and sometimes gave banquets themselves. grandsons and amirs. winter or summer. 132. 1972. wearing their pigtails. 214.. his sons.16 11 12 13 14 15 16 Clavijo. 195–6. where Islam held undisputed sway. a ı ı ı ı Clavijo. 153 et seq. even in conquered countries. pp. seemed k¯ firs (unbelievers. feasts were held with copious entertainment. 201. sow crops and settle anywhere they wish. 1881. 1915. Nevertheless. Ghiy¯ th al-D¯n c Al¯.ISBN 978-92-3-103467-1 Contents Balkh and Samarkand under Timur his house. Ibid. legend has it. they can go everywhere they want with their herds. Sharaf al-D¯n Yazd¯. According to Clavijo: These Chaghatays are especially favoured by the king [Timur]. he forbade the pillage of the property of Muslim religious institutions and severely punished anyone guilty of it.14 As his spiritual adviser he chose the descendant of the Prophet Muhammad. hence ‘savages’). as Clavijo correctly notes. Ibid. p. 1881. or fermented mare’s milk. Köksaray. 289–90. graze them. On the walls of Timur’s court at Samarkand. princesses and queens were present at the banquets.. Official correspondence was carried on in Persian.15 At the weddings of princesses only a few elements of Mongol ceremony were observed (for example. 241–2. 1915. who. whether they go to war or move from place to place. foretold his victories.11 The Mongols’ contemptuous name for them was qaraunas (half-breeds). 329 Copyrights . for they serve him in war when he calls on them. When he sacked a town. neither paganism nor Mongol custom was completely superseded. they take with them everything they have. but among the clerks whom Timur kept by him there were ‘some clerks.13 It is well known aı that Timur was generous to the representatives of the Muslim clergy. a ı ı Ghiy¯ th al-D¯n c Al¯. To orthodox Muslims. cups of koumiss. At Timur’s a court. the urban notables and the Muslim clergy. pp. in Timur’s kingdom.12 Conscious of the need to broaden his social base. who read and can write in Mongol characters for all his purposes’. wine and merriment. This trend was reflected in his predilection for Islam and the shar¯c a even to the detriment of the Yasa of Chinggis ı Khan. p. Timur sought the support of the local landowning nobility.

121. both large and small (the arrows being kept in quivers of plate metal). The infantry was recruited from the settled peoples (t¯ j¯ks). the foot-soldiers would form up in front of their troop. 1915. though they do not make them strong enough and do not know how to temper iron [properly]’. battering-rams and other siege-engines aı used in the storming of cities. More popular. In these ı ı ı wars – a source of wealth and booty – the military nobility of the tribes. and clubs. 1937–56. recruited from the tribal population. all the weapons and armour used during the time he had been away from the town. Clavijo saw carried in front of the amir. 330 Copyrights . pp. At that time Timur gave out armour and helmets to ‘knights and other individuals’ (a los caballeros y otras personas). Its basic striking force was the cavalry.17 who were assigned to work the catapults. lined with close rows of metal 17 18 19 Ghiy¯ th al-D¯n c Al¯. but still only affordable by the captains. build defensive shields and screens. Among other items there were ‘3. The soldier’s equipment included shield.19 The coat of mail – an expensive article – was obviously worn only by the amirs and Timur himself. For close combat the soldiers used swords. ı firearms began to make their appearance in the Near East. ‘Not the whole inhabited part of the world is valuable enough to have two masters’ are the words attributed to him by the historian Sharaf al-D¯n c Al¯ Yazd¯. decorated with fine cloth. 168. curved sabres (shamsh¯rs). To defend themselves against the enemy. a protective cloak of velvet. dig ditches. two fingers in breadth. 212. and under cover of these would shoot arrows and throw spears at the foe. There were also many helmets ‘round and tall’. On the occasion of Timur’s triumphal entry into his Samarkand palace (el castillo). By the second half of the fourteenth century. that descended to the wearer’s brows and protected the face against sideways strokes. Attached to the helmet was a plate. at his command. were deeply involved in support of Timur. 1881.000 suits of body armour. and the tribes themselves. was the kayak. Both the tribal military nobility and the urban patricians – the local landowning nobility who were engaged in trade and the town’s leading traders and money-lenders – took part. 159. But the purpose of the war was not only to win booty but also to gain control of the major trade routes linking Europe and western Asia to India and China. body armour and helmet. p. pp. but nothing is known of their use in Timur’s armies. The instrument of conquest was the army. of very fine workmanship.ISBN 978-92-3-103467-1 Contents Reorganization of Timur’s army Reorganization of Timur’s army Timur saw in the waging of uninterrupted wars of conquest the principal means of increasing his power. throwing spears. a ı ı Niz¯ m al-D¯n Sh¯ m¯.18 The basic weapons of pitched battle were bows. 293. a ı a ı Clavijo.

The army had two wings. To storm fortress walls. the division of spoils among the warriors. which were often the first to engage the enemy. blue. the warriors used siege-ladders and ropes. The various formations had different coloured clothing. and large defensive works (chapars). 331 Copyrights . which they threw over the projections of the walls. When fortifications were to be stormed. 1881. as the fighters were accompanied by their families. linked carts (arabas) were also used as well as screens. p. set off immediately with all their belongings. as well as mobile towers.’21 20 21 Ghiy¯ th al-D¯n c Al¯. It was encumbered by a large baggage-train. and onluks (tens). which after the river had been crossed were usually demolished. and so on. or borgah) and a vanguard. their wives and children. Small formations (up to 500 men) were called khoshuns in Transoxania. surrounded by outposts (kanbuls). The army was divided into tümens (‘ten thousands’). Before battle was joined.ISBN 978-92-3-103467-1 Contents Reorganization of Timur’s army plates. They were skilled at building pontoon bridges. 191. ‘These folk. 154. for example. was to be found the headquarters. The air reverberated with the soldiers’ war cries. siege-engines were used. white. Sharaf al-D¯n c Al¯ Yazd¯ says that ı ı ı there had not been so large an army since the days of Chinggis Khan. thousands.’ says Clavijo. the assignment of sectors for digging of defensive ditches around the camp. mingliks (in Mongolian) or haz¯ rs (a a Persian word that came into use early among the Mongols and Türks). The army camp. 1915. they had other important functions as well. tunnels were dug under them and fires started in the tunnels. The kalima. The larger formations were commanded by amirs and princes (m¯rz¯ s). and by means of catapults or ballistas breaches were made in the walls. yüzlüks (hundreds). if it was pitched close to the enemy’s position. ‘There is no God but Allah’. the kettledrums sounded and the trumpets blown. The sources give inflated numbers for Timur’s army. were erected.000 fighting men. The army was accompanied ı by porters (kachars). etc. Those ı a dispatched to raise armies in the provinces were known as the tavachis. ‘wherever they are called to war by their king. fastened in such a way that the cloak retained its elasticity and did not hamper the wearer’s movements. the centre (here. the king’s great drum and the war drums were beaten. In the campaign against China in 1404. was heard and the thunderous cry of ‘Allah is great’ ‘made the hearts of the huge lion and the mighty elephant shrink’. a ı ı Clavijo. p. their flocks. Scouts (khabarg¯rs) reported on enemy movements. the army allegedly numbered 200. In extreme cases.20 The decimal system traditional among the Mongols was adopted by Timur also. The yüzlüks and the mingliks were commanded by yüzbashis and minbashis. that is to say. was surrounded by entrenchments. red. as a rule.

and bakers. Timur’s regular inspections of the army helped to maintain the men’s fighting spirit and tighten up discipline. which occupied the territory from the region of Yangi-Talas to the borders of Kashghar. whose task it was to set up the yurts and lay out the encampment ‘in accordance with accepted rules’. This division stemmed from the way in which the Mongol forces had originally been organized: the Golden Horde manned the right flank. or corps) ‘in such a way that no one had ever seen or heard the like’. 332 Copyrights . According to Sharaf al-D¯n Yazd¯. when ı ı Timur was preparing for his decisive encounter with Toktamïsh in 1391. Timur. the other part of which consisted of the Golden Horde. p.22 and a whole ‘army’ of traders and artisans. all located in their separate streets. leaving the baggage-train behind. hot baths. with cauldrons inside for storing and heating water. 233–4. while the local magnates of Transoxania were also drawn into supporting him by the prospect of the advantages to be gained. selling boiled and roasted meat. especially when it had to transport booty and drive along captives. qualities that were responsible for the success of many of their military undertakings. the White Horde broke away and came under the rule of its own Khans. a ı ı Clavijo. and others who sell barley and fruit.23 Because of this cumbersome baggage-train. though mainly continuing Mongol military traditions. that is. And that is not all. he disposed his forces (seven traditional kuls. 159. and everything needful. who set up their ovens. Timur devoted his own time as ruler to constant and pitiless wars of conquest. 1915.ISBN 978-92-3-103467-1 Contents Timur’s military campaigns In the baggage-train were the yurtchis. Whatever artisans or craftsmen are needed can be found in the horde. the army moved slowly. build houses for the iron. knead and sell bread. who set up stalls. Timur’s military campaigns Believing two rulers for the inhabited world to be one too many. the White Horde the left. pp. introduced certain innovations in the dispositions and tactics of his army. As time went by. Urus Khan (1364–83) became so powerful that he attempted to unite both parts of the ulus of Jöchi under his 22 23 Ghiy¯ th al-D¯n c Al¯. The Turco-Mongol military chiefs who were Timur’s mainstay were the chief beneficiaries of the seizures of ever more lands and riches. wherever the army goes they take with them baths and bath attendants. According to Clavijo: In this horde [of Timur’s] there are always butchers and cooks. No sooner had Timur consolidated his hold on Samarkand than he advanced against the White Horde. who were constantly raiding Turkistan and Transoxania. 1881. The White Horde formed part of the ulus of Jöchi (the eldest son of Chinggis Khan). The soldiers therefore carried out raids lightly burdened.

25 As a result of the subjugation of Khwarazm. had made Khwarazm its base in the 1350s and early 1360s. in 1388 and overthrew the S¯ f¯ dynasty. 30. He ordered the inhabitants to uı move to Samarkand and had the plundered and devastated city razed to the ground and its site sown with barley. 1972. who withdrew his allegiance to Timur. a ı ı Sharaf al-D¯n Yazd¯. of Khiva and Kath in southern Khwarazm. In 1380–1 Toktamïsh was victorious over Mamai. Only a handful of fine buildings remained of what had been a great city. all the lands of Central Asia with the exception of Semirechye and the lower reaches of the Syr Darya fell into the hands of Timur. The S¯ f¯ dynasty of the Kunuı grat tribe. In 1387–8 Toktamïsh invaded Transoxania. but found in him a strong and wily adversary. the ruler of Khwarazm led a revolt stirred up by Toktamïsh. 1245). he advanced into Khwarazm. This was of great concern to Timur. who laid claim to the whole ulus of Chaghatay. p. Timur mounted a second campaign against Khwarazm (1373–4). His successor. Y¯ suf S¯ f¯. The founder of this local dynasty was Rukn al-D¯n (d. the capital of Khwarazm. Toktamïsh. who fought repeatedly against the White Horde. entered into peace talks with Timur but u uı after the latter had left Khwarazm. In 1388. Southern Khwarazm passed into the hands of Timur. thus uniting the White and Golden Hordes under his own rule. the founder of the dynasty. 1915. had succeeded after several reverses in routing Urus Khan and gaining control of the White Horde in 1379. with Timur’s support. demanded the return of the captured territories. p. When this was refused. acting in collusion with the ruler of Khwarazm. which formed uı part of the ulus of Chaghatay. he retook Kath. however. ı ı 333 Copyrights . who had been appointed ruler ı 24 25 Ghiy¯ th al-D¯n c Al¯.ISBN 978-92-3-103467-1 Contents Timur’s military campaigns own authority. In 1391 Timur ordered the restoration of Urgench. Timur. 32. but no actual fighting took place because Y¯ suf S¯ f¯ offered u uı his apologies.’24 In 1372 Timur launched a campaign against Khwarazm. Timur had been hoping to establish a vassal relationship between himself and Toktamïsh. but only one part of the city was rebuilt. which had joined forces with the White Horde. Kath was captured and Husayn S¯ f¯ shut himself up in the fortress of Urgench. The son of an amir of the White Horde who had ruled over Mangi’shlak and was slain by Urus Khan for insubordination. Timur seized Urgench. ‘He [Timur] frequently did battle with them [the Mongols] of the White Horde. The pretext for the campaign was the seizure by Husayn S¯ f¯. the Khan of the Golden Horde (who had just been defeated by Prince Dimitri Donskoy of Moscow at the battle of Kulikovo). until finally they chose the right path and accepted the role of cringing servility and expressions of submission. uı where he soon died. In 1381 Timur unleashed his forces on the Kart principality in northern Afghanistan.

since he had ı to remain in constant attendance upon Timur. Herat at that time was a major trading and crafts centre. terrified by Timur’s successes. they proceeded to besiege it. Timur entrusted the task of putting down the revolt to his son Mïr¯ nsh¯ h. 1. Shortly afterwards he was executed on Timur’s orders even though he had made no attempt to forswear his allegiance. a ı ı ı withdrew into the citadel. pp. Timur now turned his attention to subduing the Sarbadarid amirate. Vol. became vassals of the II Khanids. Timur left Herat for Kalat in Khurasan. pp. irrigation systems were gradually restored and towns and villages rose again from the ruins. In early 1381 Timur’s forces appeared beneath its walls. Ghiy¯ th al-D¯n P¯r c Al¯. realizing his helplessness. p. Concealed beneath ı uı the mystical doctrine – with Shic ite overtones – that they preached was a call to throw off the yoke of the II Khans and the powerful Iranian nobles who supported them. The collapse of the II Khanid state shortly after the death of Ab¯ u c¯d (1318–35) enabled the Karts to gain their independence. The followers of this teaching called themselves the Sarbadars (see above). and their rebellion was supported by strong detachments of fighting men from Ghur. 334 Copyrights . submitted to him. nicknamed Gh¯ r¯bachcha (Son of uı Ghur). but it was a nominal appointment only. They were led by a native of Ghur. the Kart rulers. 82–4. 24–5.28 Taking the bulk of his army with him. In 1248 Herat had become the capital of the much strengthened principality of the Karts.26 Although. After the havoc wrought Sa ı by the Mongols. When the II Khanids established themselves in Iran. a ı a I. who had previously been subordinate to the Great Khans in Karakorum. The ruler of Herat. Merv and several other cities. The officials appointed by Timur to administer Herat were driven out and the troops garrisoned there were slaughtered. Bartol’d. who routed the contingent from Ghur at the battle of Herat and overran the a a city.27 Such was the oppression imposed by the conquerors that in 1382–3 the citizens of Herat rose in rebellion. 1918. 1964. but the townsfolk did not support him and took no active part in the defence of the city – no doubt because of Timur’s promise to spare the lives and property of those who did not resist. whose spiritual leaders were Shaykh Khal¯fa and subsequently his pupil Hasan J¯ r¯. Timur confirmed Ghiy¯ th a al-D¯n’s position as ruler of Herat. the same fate befell Herat as other captured towns. Having cut it off from Ghur and other Kart possessions. at the latter’s insistence.ISBN 978-92-3-103467-1 Contents Timur’s military campaigns of Ghur by Chinggis Khan. 29. The rulers of Kalat. Niz¯ m al-D¯n Sh¯ m¯ 1937–56. An uprising broke 26 27 28 Masson and Romodin. A heavy tribute was imposed on it and many leading citizens were deported to Transoxania. the ruler came to Timur’s tent and threw himself on his mercy.

Seizing power in 1364. a local uı landowner called c Abd al-Razz¯ q. invited by Tughay Timur Khan to his encampment at Gurgan. he conquered Gurgan. In alliance with Amir Wal¯. From the west he was threatened by one of the Mongol amirs. however. became their headquarters. under the leadership of the Darv¯sh Rukn ı al-D¯n. In the war with the Kart ruler he lost the eastern lands of the Sarbadars. having pacified the ‘rebels’ of Sabzavar.000 people were walled up alive in the towers. c Al¯ Mu’ayyad put down the revolt. Two years later. town-dwellers and the peasantry of the surrounding countryside. one c Al¯ Mu’ayyad laid claim to the ı supreme authority. As time went by. Wali. the fortunes of war fluctuated. 2. In 1338 W¯ jih al-D¯n Masc ud. As the struggle for power intensified. ı ı There were even periods when the adversaries became allies. he inflicted a crushing defeat on the Sarbadars representing the rank and file of the population. Amir Wal¯ besieged Sabzavar. whereupon c Al¯ Mu’ayyad ı ı took a step that was to prove fatal. there were increasing divergences between the radical wing of the Sarbadar movement. including Nishapur. ı 335 Copyrights . In 1381 he appealed for help to Timur. which was taken by ¯ the Sarbadars. but enmity soon ı ı ı sprang up again between them. and the waz¯r was captured and put to death. Timur annexed Kandahar and a number of other towns and districts in Khurasan and Afghanistan. That same year. Sabzavar. assumed the title of sultan. under their ruler Yahy¯ Qar¯ bi. who was quick to take advantage of this convenient pretext for interfering in the affairs of the Sarbadarid state. He was allowed to retain ı his title. The punitive expedition mounted by the II Khanid waz¯r a ı of Khurasan was defeated by the rebels. as a result of the revolt of the radical wing of the Sarbadars in Sabzavar in 1378. while one of Timur’s lieutenants was appointed to Sabzavar. thereby putting an end to the reign of Amir Wal¯. The loss of their support weakened his own position. Shortly afterwards.ISBN 978-92-3-103467-1 Contents Timur’s military campaigns out in 1337 in Bashtin (Khurasan) under the leadership of a follower of Hasan J¯ r¯. the town’s fortress was demolished and. but was invited to the conqueror’s headquarters. It was mercilessly a u aı put down. In the conflict between c Al¯ Mu’ayyad and Amir Wal¯. the Sara a badars wrested Tus and Mashhad from the Mongols and on 13 December 1353. they took control of the Mongol camp and executed the II Khan. on the orders of Timur. c Al¯ Mu’ayyad met Timur in Sabzavar as his humble vassal. a Towards the middle of the fourteenth century. the successor of a ı c Abd al-Razz¯ q. The ı uprising spread to other towns and villages of Khurasan. who had consolidated his position in Astarabad. c Al¯ Mu’ayyad was stealthily slain on the ı orders of his new overlord. in 1388. an uprising against Timur took place in Sabzavar and the surrounding area under the leadership of Shaykh D¯ w¯ d Sabzav¯ r¯. represented by craftsmen. and such moderate elements as small local landowners. The following year.

which had come into being in the 1340s during the mass uprising against the Mongols. Sultan Ahmad Jal¯ yir. a a I. which a comprised the bulk of Persian Iraq with the cities of Hamadan. Timur’s son Sh¯ h Rukh was made vicegerent of the region. By 1392 Timur’s hordes had conquered the Sayyid state in Mazandaran. In 1387 Timur captured their capital Isfahan. while his brother Mir¯ nsh¯ h became the vicegerent of western Iran. fled. Sharaf al-D¯n Yazd¯. Timur’s next victims were the Muzaffarids (1313–93). Its ruler was Sayyid Qaw¯ m al-D¯n. Turkic-speaking nomadic tribes were brought in from Central Asia to settle in northern Iran and Azerbaijan. a city that had been laid waste by Toktamïsh the previous year.ISBN 978-92-3-103467-1 Contents Timur’s military campaigns Between 1386 and 1404 Timur’s hordes repeatedly raided the Trans-caucasian countries from northern Iran. p. captivity. The Golden Horde. Qazvin and Sultaniyya. leaving his domains to their fate. was stationed astride the trade routes leading from Europe and Asia Minor to 29 30 Thomas of Metsopc . p. indescribable tortures and inhuman treatment they [Timur’s hordes] turned the populous Armenian province into a desert. 1. The purpose of Timur’s conquests was not merely to acquire loot but to gain control of the lucrative major international trade routes. subordinate to Toktamïsh. and in social structure and ideology it a ı differed very little from the Sarbadars. comprising a Khurasan with Gurgan.000 slaughtered citizens. The conquest of Iran was completed by 1393 and the country was divided into two vicegerencies. Armenia and Arabian Iraq. but Tiflis fell to him and in 1404 King George VII was compelled to acknowledge Timur’s suzerainty. The main insurgents were the craftsmen and the poor. had gone into decline under the rule of Turk and Kurd nomadic tribal overlords and Timur’s invasion proved to be a fresh calamity for the country. Niz¯ m al-Din Sh¯ m¯ 1937–56. 320. with its centre in Herat. including Azerbaijan and Armenia. and minarets were built with the heads of 70. as well as Kurdistan. Georgia put up a stiff resistance to Timur.’29 In 1386 Timur captured Tabriz in southern Azerbaijan. Armenia. ı ı 336 Copyrights . led by a blacksmith. Vol. 105. 1957. Karabagh. with a a its centre in Tabriz. which had gained its political independence after the death of II Khan Ab¯ Sac¯d in 1335. The kingdom of Georgia.30 The struggle with the Muzaffarids in southern Iran continued until 1393. 1972. who crossed its borders with his troops seven times. An eyewitness describes events as follows: ‘By hunger. the ruler of the Jalayirid lands. The exactions of the tax-collectors appointed by him caused the city to rebel. which had lost its own statehood and become part of the Jalayirid principality. was witnessing a period of economic u ı and cultural expansion. p. southern Azerbaijan. Mazandaran and Sistan. 58. They were mercilessly suppressed: historians recount that Timur’s soldiers received orders to deliver a prescribed number of severed heads. the sword.

Toktamïsh fled to Bulghar on the Volga and. 136.ISBN 978-92-3-103467-1 Contents Timur’s military campaigns Central Asia. which were controlled by Timur and the Timurids. Timur ordered the execution of all prisoners held by his armies – the sources speak of 100. The defeat inflicted on the Golden Horde by Timur was a blow from which it never recovered. Moscow. the capital of the Golden Horde. 1940. 119. 1391 and 1394–5. Toktamïsh succeeded in winning over the princes of Nizhniy Novgorod and Ryazan to his side and in 1382 attacked Prince Dimitri. laying waste north-eastern Russia. Bukhara and Samarkand. a ı ı 337 Copyrights . p. Mongolia and China. his forces headed for the capital. mentioning P¯r ı 31 32 Nasonov. Before the decisive battle on the banks of the Jumna (17 December 1398). .31 The struggle between Timur and Toktamïsh was a long and stubborn one. Chapter 14. at that time ‘a great and wondrous city at the height of its wealth and glory’. His chief adversary was Prince Dimitri Donskoy. Toktamïsh put an end to the rivalries that had torn it apart. In 1394 N¯ sir al-D¯n a ı Mahm¯ d was put on the throne by one of the noble factions. He put a great deal of effort into maintaining the Horde’s dominion over the Russians. During the last of these campaigns Timur destroyed Astrakhan and other towns along the Volga. Iran. The battle for Delhi was bloody: ‘The battlefield was piled high with mountains of dead and wounded . After seizing control of the Golden Horde inA 1381. In September 1398 Timur himself crossed the Indus. and ravaged the Crimea with fire and the sword. On 18 December the khutba was read out in the mosques of Delhi. fought with other contenders for the throne of the Golden Horde until his death in 1406 or 1407. Delhi. Towards the end of the fourteenth century. P¯r Muhammad. in 1389. For the next three decades or thereabouts.’32 Sultan N¯ sir al-D¯n Mahm¯ d fled to a ı u Gujarat. blood flowed in streams. who overran and looted ı this wealthy city. Part Two). Reducing towns and fortresses to ‘heaps of ashes and debris’ as they went. p. the Delhi Sultanate. after Timur’s departure. Following the death of Sultan F¯r¯ z Sh¯ h Tughluq (1351–88). Timur’s Indian campaign was heralded by the appearance under the walls of Multan of the forces commanded by his grandson. once a powerful state. was captured by Toktamïsh and put to the torch. Dimitri Donskoy was forced to pay tribute to the Khan. 1915. that the Golden Horde was finally crushed. whose policy consisted in unifying the Russians around Moscow. Ghiy¯ th al-D¯n c Al¯. trade between the Mediterranean and Asia was confined to routes passing through Iran. entered a period of decline. including Berke Saray. but his real power extended u no further than the district round the capital and some adjacent regions (see above.000 captives – fearing that they would side with the Sultan of Delhi during the fighting. As the chronicler Nikon records. ıu a the heirs of the house of Tughluq battled successively for the throne. . It was only after three major campaigns.

which together with Egypt was ruled by the Mamluk sultans. They were defeated in battle near Aleppo. Timur. In response. including Mirath (Meerut) and Kangra. Leaving Transoxania by northern Iran. who were looting and pillaging. Timur demanded the sultan’s submission. nicknamed a a ı Yïldïrïm (‘the Thunderbolt’) because of his lightning military successes. seizing prisoners and killing: ‘Hindu heads were piled as high as they could go and their bodies became food for wild animals and birds. It was sacked and set on fire. Timur recrossed the Indus in March 1399 and had soon left India behind. besieging the city for six weeks and sacking it savagely. Damascus threw itself on the conqueror’s mercy. while the Mamluk state became weakened by factional strife between the sultan and the great amirs. turned northwards. having been triumphant in Syria. Sharaf al-D¯n Yazd¯. Timur entered Asia Minor. 1972. ı ı 338 Copyrights . In September 1399 he rode out of Samarkand at the head of his armies on a new western campaign. Timur lost many of the cities he had previously seized. As a result of the wars of conquest of the Turkish sultans Mur¯ d I (1361–89) and his son B¯ yaz¯d I (1389–1402). Lahore and Dipalpur he appointed Khidr Khan Sayyid. B¯ yaz¯d marched against him.’ It took several days to escort the captives out of the city. pp. ravaged Azerbaijan. B¯ yaz¯d I had completed the subjugation of Macedonia. he led his horde across the Trans-caucasus. After taking several more Syrian cities. As his vicegerent over Multan. the betrayal of the sultan by the levies from 33 34 Ibid.34 Heading northwards. the Ottoman state had become the most powerful in Anatolia and the Balkans by the beginning of the fifteenth century.ISBN 978-92-3-103467-1 Contents Timur’s military campaigns Muhammad by name. Failing to receive assistance from the Mamluk sultan Faraj (1399–1412). invaded Asia Minor and reached Ankara. with the result that only the amirs of Syria opposed Timur. 127–9. 262–3. including stonemasons whom Timur intended to use for the construction of mosques in Samarkand.33 On 1 January 1399 the warriors began to leave the city. Factional strife among the latter prevented the military forces of the two provinces from uniting. Armenia and Georgia and made for Syria. in 1401 turned eastwards to deal with the Jalayirid capital Baghdad. among them were several thousand master craftsmen. which was captured and laid waste. including Baghdad and Mosul. pp. Bulgaria and Asia a ı Minor (except Cilicia and the Greek empire of Trebizond). but Timur’s hordes. Timur laid siege to Damascus in January 1401. Timur did not stay long in Syria. who mounted the throne in ruined Delhi in 1414 and founded the short-lived Sayyid dynasty. The inhabitants of the city resisted the intruders. meanwhile. While his Indian campaign was in progress. In a ı the decisive battle of Ankara on 20 July 1402.. but left the province in a ruinous and devastated condition so that it was several years before the land recovered. They overwhelmed and pillaged several further provinces and towns in north-western India.

gifts of clothing. money.36 Timur. 190. Instead it gave rise to the extremely widespread practice of bestowal as soyurghals of regions and districts upon members of the ruling house. while the territory that remained in the possession of the Ottomans was divided up among B¯ yaz¯d’s four sons. The invasion by Timur had serious consequences for the Ottoman state. The peoples inhabiting them belonged to a variety of civilizations and represented various stages of socioeconomic evolution. learning that Timur intended to carry him off to Samarkand. but this was interrupted by the death of the ‘conqueror of the world’ in 1405. and they sow their grain and cotton . in exchange for 35 36 Petrosyan. weapons. literally ‘gift’ in the widest sense of the word. possess only their tents and they wander summer and winter over the plains. and the king with his whole army wanders the plains summer and winter alike. The Ottoman army was routed and B¯ yaz¯d a ı sought safety in flight. . became the ruler of a great empire of which the component parts possessed no uniformity of economic and cultural life. 339 Copyrights . The nomadic way of life showed remarkable stability. as well as those common soldiers who had distinguished themselves in war. his retainers and military commanders. who live in tents and other shelters. 1881. 25–8. the traditions of centuries-old Islamic Persian government structures with loose Turco-Mongol systems of state organization in the process of growth. In summer they go where water is to be found.ISBN 978-92-3-103467-1 Contents Socio-economic conditions under Timur the former Asia Minor amirates (which had been defeated by the Ottomans and incorporated into their sultanate) tipped the balance. Clavijo writes: These folk. aged 70. 1990. This in turn prevented the growth of a centralized system of government and the establishment of effective control by the state over the territories included within its boundaries. among whom internecine warfare soon broke out. Clavijo. The soyurghal (in Mongol. but he was taken prisoner together with his two sons. p. he dismembered it.35 Timur’s last great military undertaking was to have been his projected campaign against China. the fall of a ı Constantinople to the Ottomans was thus postponed for half a century. In order to weaken it. pp. Well-developed relationships of dependence existed side by side with disintegrating tribal ones. In the spring of 1403. rank. viz. the sons and grandsons of Timur. and regions of ancient urban and farming culture with the nomadic life of the steppe. he took his own life. Socio-economic conditions under Timur Timur’s empire was a conglomeration of states and tribal territories. privilege) in the form of a grant of land. restoring the independence of seven out of the ten amirates of Asia Minor. a tribal chieftain. .

Unlike the soyurghals. 379–80. as was the other form of ownership of the waqf type by the Muslim religious foundations – 37 38 39 Petrushevsky. the owner enjoyed immunity from taxation.e. practices of land transfer inherited from the past were preserved. they remained a form of servile landholding under the aegis of the state. In Transoxania. the mulk exempt from taxes. with the sanction of the state in fifteenth-century documents. p.38 Yet in spite of the substantial rights enjoyed by the holders of soyurghals. into khar¯ j (land tax) and c ushr. the aml¯ k were generally subject to state taxation and were a divided. Timur singled out. mulk-i kh¯ lis or mulk-i hurr wa kh¯ lis) became widespread.39 a a Under Timur. 53. pl. p. a From being. In addition to these lands. 340 Copyrights . a non-hereditary ‘grant of support’ or tenure of land with the right to appropriate a part of the taxes due to the state. to judge from narrative sources. aml¯ k were both peasant (i. that is. was analogous to the later iqt¯ c of the Mongol period. a In the second half of the fourteenth century and the early part of the fifteenth. pp. 123. based on private labour) and landlord holda ings. such grants were quite frequent in his time and the recipients enjoyed the rights enumerated above. known as mulk-i hurr. Nevertheless. The order was given: that they be not hindered from approaching his greatness. not a single document attesting to a grant in soyurghal by Timur has been preserved. 1366/1987. favoured and rewarded all those who had displayed bravery and ordered them to be exempted from taxes. aml¯ k). as in other neigha bouring lands.e. pp. linked to the hereditary ownership of lands and irrigation installations. a ı a ı ı ı Makhmudov. in the pre-Mongol period.37 u a Unfortunately. in its capacity as the supreme proprietor of the lands conveyed. the iqt¯ c no later than the a beginning of the fourteenth century became de facto a military fief. 1966. Niz¯ m al-D¯n Sh¯ m¯ reports that in 1390–1. that their horses be not taken for fulfilment of transport obligations (ulagh) and that they be considered exempted and discharged of all obligations (takalluf). the state and the sovereign had at their disposal state or crown lands (kh¯ lisa-yi mamlaka). according to their area. These rights were enjoyed by the holder of the soyurghal not only de facto but de jure. 1937–56.ISBN 978-92-3-103467-1 Contents Socio-economic conditions under Timur service (often military) to the state. that they and their children be immune from prosecution for up to ten misdemeanours. particularly the 1417 charter of the Ak Koyunlu Kara Y¯ suf given in the Sharaf-n¯ ma chronicle. It was only at the end of a the Timurid period that the ‘unencumbered’ mulk (i. appreciable landed properties remained at the disposal of private individuals and represented their private holdings (Arabic-Persian mulk. see also Sharaf al-D¯n Yazd¯. at a a ı a ı the time of the campaign in the Dasht-i Kïpchak against the Golden Horde. 233–4. 1949. Individuals enjoying tax exemption were known as tarkh¯ ns. Niz¯ m al-D¯n Sh¯ m¯.

the waqfs evidently enjoyed tax exemption. p. and a communal institutions. women and children. in the sense of a legally sanctioned peasant status. but nothing is known of any governa a ment rescripts fixing its level. as well as in the trades. or two parts a a in six) was levied. Of peasant rac iyyat (land tenure) in the time of Timur. In addition to the khar¯ j. is a waqf conveyance drawn up. possibly because of the absence of private estates of great landowners. though practically extinct in the preMongol period. and so on. in Iraq and Azerbaijan. From indirect data it may be assumed that there already existed in Transoxania a rural community. ‘the land of a specified community’ (zam¯n-i jam¯ c at-i muc ayyan) and ‘land at the disposal of a village’. among the lands bordering on the landed properties being transferred in the waqf. when those in whom the waqf was vested collected their share from the property conveyed as waqf. the peasants paid other a 40 41 Chekhovich. O. the frontier guards demanded a certificate showing whence and for what purpose the traveller was leaving the confines of ‘the kingdom of Samarkand’. serfdom. 1915. m¯ l or khar¯ j. prisoners continued to be led out of the city gates for several days: ‘Each warrior led out of the city 150 men. after Timur’s capture of Delhi. so that the least of the soldiers found himself with 20 captives. little is known from authentic sources. At times of political instability. a ı ı 341 Copyrights . Entry into the capital area was free. 129. but under his successors a different practice obtained. at the passage across the Oxus (Amu Darya). It is known from Clavijo’s journal that. In India. madrasas. D. p. considering them [his] prisoners. according to Sharaf al-D¯n Yazd¯. in the opinion of its editor. since Timur made every effort to populate that region.’41 We do not know to what extent the Yasa of Chinggis Khan forbidding the nomads to leave the il (large tribal grouping) of their leader spread among the settled population of Transoxania. Nevertheless. obtained a new lease of life during the Mongol conquest and the conquest by Timur. 59. known in the Muslim East by the Arabo-Persian name of jam¯ c at. Chekhovich. 1951. The basic tax was the land tax. Under Timur. however. was unknown in Transoxania. This appears to have been the offia a cially established rate in Timur’s empire. no later than 1383. as in many other countries of the East. In the waqf deed mentioned above.40 ı a Slave labour for cultivation. Ghiy¯ th al-D¯n c Al¯. the donor names. a one of the most widespread types of waqf was the waqf-i awl¯ d¯ (family or hereditary a ı waqf). Tens and hundreds of thousands of prisoners (bardas) were enslaved. which in ı ı Timur’s time were governed by his son Mir¯ nsh¯ h. in particular. maz¯ rs (burial shrines). The only document of Timur’s reign that has come down to us. the peasants were bound to the land by the burden of taxation. A khar¯ j at the rate of one-third (two d¯ ngs. However.ISBN 978-92-3-103467-1 Contents Socio-economic conditions under Timur mosques.

the undisguised robbery that followed his conquests enabled him to spend large sums on the beautification of his capital. and raise no objection . envoys. the mushrif¯ n and others. Samarkand. hid them and also fled. in addition to material wealth. Timur could not but be aware that the volume of revenue collected by the state was directly dependent on the condition of agriculture. the more or less regular inflow of tribute from the conquered territories governed by his deputies. everyone must keep silent. 342 Copyrights . considered to be formally ‘illegal’ since they were not prescribed by the shar¯c a. but also whenever anyone is on royal business. would take to flight. 189. and guessing that they were the bearers of some royal command. the d¯ r¯ gh¯ n. and those who were in their shops selling their wares. Urban development. craftsmen and scholars. poets and painters. Samarkand became a great centre of craftsmanship and trade. the a a muhassil¯ n. . . 42 43 Clavijo. as if pursued by the devil.42 The jurisdiction of the central d¯w¯ n (council) extended only over Transoxania. that it is a marvel. Bartol’d. finally. for that reason the emperor (Señor) is so feared throughout the whole country. for they knew already that with the coming of envoys black days were in store for them. crafts and trade taxes. . .43 The fifteenthcentury historian and geographer H¯ fiz-i Abr¯ gives a list of twenty canals. Clavijo was witness to the cruel treatment of the population by the knights (caballeros) accompanying the embassy of the king of Castille: Those who saw them on the road and realized that they were royal servants. 1881. and they would flee as if the devil were at their heels. 1914. and passers-by would say to one another. for whatever someone on royal business does. They act thus not only towards (foreign) ambassadors. elchi. perhaps the builders of the canals in question. nine of which a u bore the names of high officials of Timur’s government. This was the reason for the measures taken during his reign for the repair and construction of irrigation works. crafts and trade The huge receipts flowing into Timur’s treasury from taxes in Transoxania.ISBN 978-92-3-103467-1 Contents Urban development. which is to say. . ı Fifteenth-century writers refer to levies by a whole army of officials – the d¯ bit¯ n. The rulers ı a appointed by Timur in the conquered regions had their own staff of officials.. Extensive irrigation works were carried out on the Mughan steppe and in the Kabul valley. to which were relocated. a particularly heavy burden u ı a was the ulagh (literally ‘beast of burden’). pp. locking themselves in their houses. 190. the heavy taxes laid upon the subject populations and. Other taxes that seem to have been a au a a levied were a capitation tax (d¯ d¯) and a poll tax (sar-shum¯ r). the obligation to provide government couriers with relay horses and also to furnish heavy transport.

So rich and abundant are the town and its surroundings that one can only marvel. leather-workers.e. In particular. was restored. this work would be considered very beautiful. Urgench. Clavijo considered the interior apartments of the palace. all kinds of implements.. in the towns lived and worked cotton-carders. p. and all made such a noise day and night that they seemed very devils. According to Clavijo. The employment of artisans from a variety of countries for building work contributed in no small degree to the blending on Transoxanian soil of the artistic and architectural styles of the various peoples of the East. confectioners and other tradesmen. especially cotton. . In Kish. 343 Copyrights . with the help of apprentices and members 44 45 Clavijo. still others did the building. copper vessels. bakers. the most important branch of urban handicrafts. The craftsmen were a heterogeneous group. which served as the raw material for weaving. . 209. finished in gold and azure and faced with glazed tiles. The fortress of Samarkand was completed.’44 Essential to the growth and productive activity of the cities was a rich agricultural hinterland: This land [writes Clavijo of the region around Samarkand] is rich in all things: grain. palaces surrounded by immense gardens were erected in the town and its environs and work was started on the construction of the Shah-i Zinda necropolis. Across the whole city was laid ‘a very wide street’. ‘where there are past masters. fruit and various meats . They were organized in guilds and worked in their own shops. The towns produced a variety of metal articles: weapons. carpet-makers. at fixed intervals reservoirs were situated. cooks. so that the work went on uninterruptedly day and night: Some broke down houses [i. jewellers. and there is no end to the rice available. destroyed by Timur in his battle with the Khan of the White Horde and sown with barley.ISBN 978-92-3-103467-1 Contents Urban development. others levelled the ground. with shops on either side. and so on. There was a widely varied production by wood-workers. bread is as cheap as it could possibly be. The bulk of urban craftsmen were free tradesmen. 1881. to be ‘astonishing work’. 279 Ibid. and surrounding settlements were drawn upon to enhance the greatness of the capital. pp. stone and alabaster carvers. 285. those situated on the roadway].’ he adds. Construction also began on several other cities of Transoxania. since many of them hailed from distant towns and countries and had been brought to Transoxania as captives. ‘Even in Paris. potters. a complex of mausoleums of the feudal aristocracy and the family of Timur. crafts and trade medieval learning and culture. In less than 20 days so much had been done that it was a marvel.45 To the city from its hinterland came not only foodstuffs but also industrial crops. the mosque and palace of Ak-Saray were built. the builders worked in relays.

the craftsmen might engage ancillary workers. from India were brought spices. nutmeg. 28. cloves. Shihnas (municipal officials with specific police powers as well as other functions) were appointed by Timur himself or his local representatives. The development of the external caravan trade involved not only merchants but the Turco-Mongol nomadic and semi-nomadic tribal nobility and many representatives of the local landowning aristocracy. p. from China silken stuffs. considered to be the best in the world’. which in the Mongol period came to replace the zak¯ t. Through them passed the most important trade arteries. bows and arrows. Timur kept his treasury. a ı ı which had previously been ‘impassable’ because of ‘the depredations of thieves and bandits’. lands. 1915. In a a Köksaray. The craft and trade guilds. Their headmen.46 Samarkand and a series of other Transoxanian towns became major centres of international trade. caravanserais and other lucrative property. though they took decisions in matters relating to production and some everyday social questions concerning their members. Tolls were exacted from travelling merchants at river crossings and in mountains passes. To Samarkand came ‘from Rush [Rus] and Tartary hides and linen. the shar¯ c a-sanctioned tax tradia ı tionally levied in Muslim countries on such activities. were non-existent in Transoxania. which had grown up in Europe. working the year round’. helmets. especially armourers. and especially satins. These owned houses. The power of the ruling interests was especially manifested in a variety of levies upon the trading and artisan population. There were also craftsmen of royal workshops (k¯ rkh¯ nahs). pp. cinnamon and ginger. the cities of Transoxania remained completely in the power of the ruling lords.ISBN 978-92-3-103467-1 Contents Urban development. A special tax levied on craft and trade was the tamgha. among them the Muslim clergy. which in that country are made better than anywhere else. Here ‘the emperor kept about 1. If Ghiy¯ th al-D¯n c Al¯ is to be believed. one of the villages on the outskirts of Samarkand. Representative institutions of citizens and a civil law. Ghiy¯ th al-D¯n c Al¯.000 captive craftsmen. surrounded by a deep ditch and to all intents and purposes impregnable. crafts and trade of their families. who were responsible for the collection of taxes and the discharge of obligations. ‘a great revenue’ was derived from 46 47 Clavijo. were often subjected to physical coercion and other forms of oppression on the part of the ruling powers. linking China and India with Europe and the Near East. making armour. 289–90. Cities and country localities alike were handed over by the monarch as gifts to the princes and amirs. a ı ı 344 Copyrights . during Timur‘s reign were made safe and merchants traversed them freely. 1881. had no political rights whatever.47 Despite the high level of development of their craftsmanship and trade. the trade routes. For heavy or dirty work.

pp. to whomever they might belong. after winning a victory on the plain of Kosovo in Serbia. collected up their goods and everything they had and fled. the Genoese ruler of Galata (the Frankish suburb of Constantinople) and the French king Charles VI Valois appealed to Timur for help against the Turks. apparently. 1881. An example was the laying. The princes (m¯rz¯ s) in charge of the project: ı a started the works and began to demolish the houses. Umnyakov. laid on the townsfolk themselves. 278–9. For his part. At all events. The expense of building the trade road was. 345 Copyrights . situated in the places where the sovereign (Señor) had ordered the road to be laid. this correspondence did not lead to the establishment of systematic diplomatic relations. customs. who as early as 1402 sent envoys to the East with orders to collect information ‘about the mores. for they saw of the ‘Tartar conqueror’ a possible counterpoise to the growing military strength to the Ottoman Turks.50 A letter in like vein was addressed by Timur to the English king Henry IV. of a commercial highway from one end of Samarkand to the other. Relations with west European rulers Timur’s wars of conquest drew the attention of west European rulers..48 The arbitrariness of the authorities was a source of great distress to the townsfolk. 179 et seq. The emperor of Byzantium. who as early as 1389. Timur sent an embassy (its details are unknown) with gifts to Genoa and Venice. seeing their houses being demolished. pp. laws and strength of these far-off nations’. by Timur’s order. he informed Charles VI in a a ı letter of 1 August 1402 of the ‘deposition’ of the sultan and proposed that merchants from the realms of both rulers should visit each other’s countries. a ı ‘aroused in us a feeling of great solace and great joy’. pp. king of Castile. religion. ‘our enemy and yours’. 1969. with the great distances involved. Timur’s warlike activity was attentively observed by Henry III. One reason for this was the death of Timur and the incipient feudal quarrels among his successors.ISBN 978-92-3-103467-1 Contents Relations with west European rulers the tolls at the famous ‘Iron Gates’ on the caravan route from India to Samarkand. However. seized that country along with Bulgaria and were threatening Hungary and Constantinople. together. so that the owners. of course. Clavijo states that ‘the people working here received payment from the town’.49 As the fancy took him. In reply. Ibid. 204–5. After his victory over Sultan B¯ yaz¯d In 1402. 201. ‘for peace is strengthened by trade’. Timur would force the townsfolk to take part in the triumphal celebrations he held. This embassy was received 48 49 50 Clavijo. the king wrote that the news of the victory over B¯ yaz¯d.

On 8 September 1404 they were received by Timur. For the chronology of the Timurids. Several months later P¯r Muhama ı mad died at the hand of an assassin. A serious rival to Sh¯ h Rukh appeared in the person of Khal¯l Sult¯ n (Timur’s grandson a ı a and the son of M¯r¯ nsh¯ h). governing a large domain that included Khurasan and the Herat region. quickly began to disintegrate. 1996. conflict broke out among the members of his house. see Bosworth. The advancement 51 52 Umnyakov. Sh¯ h Rukh a (1405–47) declared himself an independent ruler. in February 1406 he managed to defeat. pp. he suddenly died. Meanwhile. This unexpected turn of events was brought about by the start of preparations for a new invasion. proved fatal for the aging conqueror and. 1969. where Timur’s army arrived on 27 November. Khal¯l Sult¯ n’s position a ı a was made more complicated by raids by the Khans of the Golden Horde. was sent back to Spain with them to deliver the letter from ‘Lord Tamurbeg’. with the intention of supporting Khal¯l ıa a ı Sult¯ n. He had the support of several ıa a powerful amirs and grandees of Samarkand.51 The great army raised by Timur set out. who had taken Khwarazm and marched as far as Balkh. 190–5. The succession struggle52 After Timur’s death. as Clavijo calls Timur’s envoy. but the severe winter of 1404–5. 346 Copyrights . who handed over to him the keys of the city. lacking a single economic base and resting on the sole authority of Timur as military leader and on his despotic power supported by methods of terror. just a few days after the departure of the Spaniards from Samarkand. a ı The amir lavished gifts on the envoys. M¯r¯ nsh¯ h. the fortress and Timur’s rich treasury. the rulers of the state domains and the provincial governors. in a battle fought near Karshi. but there quickly came an order for them to quit Timur’s court and return to their country. the position of Khal¯l Sult¯ n in Samarkand had appreciably worsened and ı a he did not have enough troops to undertake further military conquests. 270–2. ı Timur’s grandson. on arrival at Utrar in February 1405. the army of P¯r Muhammad and Ulugh Beg (son of ı Sh¯ h Rukh). this time of China. Nevertheless. whence they travelled overland through Iran to Samarkand. They refused to accept P¯r Muhammad. the former ruler of Tashkent. pp. The envoys were shown marks of respect. who had named himself Timur’s successor. who had concluded an alliance against him. A return embassy led by Clavijo left Spain by sea on 25 May 1403 for Constantinople and Trebizond. The empire. ‘Mahomet al-Kazi’. marched on Samarkand from Iran at the head of his army.ISBN 978-92-3-103467-1 Contents The succession struggle by Timur during the festivities held by him to celebrate his victory over B¯ yaz¯d In 1402.

governed in Timur’s reign by his son M¯r¯ nsh¯ h (killed ıa a in battle in 1408). In 1446 Sh¯ h a 347 Copyrights . a they raised a rebellion and. They were allowed to keep their own courts. Sistan and the region of Herat. unwilling to recognize the authority of Ulugh Beg. Sh¯ h Rukh marched on Samarkand. Gurgan and Astarabad. the Jalayirids established themselves in power with the help of the Kara Koyunlu (the ‘Black Sheep’ Turkmens). The Chaghatayid Khans of Moghulistan. Kashan and Rayy. they defeated Ulugh Beg and his regent. Sh¯ h Rukh. Hamadan.ISBN 978-92-3-103467-1 Contents The succession struggle of new men under his rule annoyed Timur’s amirs. Ibrah¯m Sult¯ n. strove to take control of Ferghana and Turkistan. Ulugh Beg (1409–49) became in effect the sole ruler of Transoxania. although at the demand of Sh¯ h Rukh he contributed troops to his campaigns. a A series of military operations by Sh¯ h Rukh were directed against two nomadic states a that had sprung up to the north and north-west of Timur’s disintegrating empire. Kandahar and Kabul. Sh¯ h Rukh’s efforts were also directed against the rebellious scions of the house of a Timur. But it was only in 1410 that the Jalayirid Sultan Ahmad died in battle against his former allies. From time to time. the Afghan tribes rebelled. their subjection to Sh¯ h Rukh was in many cases purely a nominal. One of them. he appointed Ulugh Beg ruler of Samarkand and another of his sons. Khud¯ yd¯ d. his own grandsons. Learning a a of his approach. as ruler of Balkh. and on the coinage and a in the khutba Sh¯ h Rukh’s name appeared along with that of Ulugh Beg. Mazandaran. to whom he had granted fiefs in soyurghal. A considerable threat was posed by the Uzbek nomads. Leaving the city. to the west of Samarkand near Kïzïl Arvat. In 1414–15 Sh¯ h Rukh’s a grandson Iskandar was deprived of his soyurghal that included Isfahan. Sh¯ h Rukh put down the a a rebellion. Khud¯ yd¯ d left the city. Armenia and Arab Iraq then passed into the hands of the Kara Koyunlu dynasty. waged several wars against the Kara Koyunlu. the Uzbeks carried out predatory raids against Transoxania. but had to hand over part of their revenues to Sh¯ h Rukh and a fulfil certain other feudal obligations on pain of punishment. Luristan and Fars. In the spring of 1410. Returning to Transoxania. Other Timurid princes also received fiefs in Transoxania ı a from Sh¯ h Rukh. whose state arose out of the fragments of the Golden and White Hordes. Amir Malik Sh¯ h. in 1414 Husayn Bayqara was evicted from Qum. whose effective a power extended over Khurasan and Gurgan. His next campaign in 1435 brought him victory and Jah¯ nsh¯ h Kara Koyunlu (1436–67) acknowledged himself a a to be Sh¯ h Rukh’s vassal. On 13 May 1409 a a ı a Sh¯ h Rukh entered Samarkand and dealt severely with the amirs of the warring groups a there. a In western Iran and Azerbaijan. Power over Azerbaijan. taking Khal¯l Sult¯ n with him. although occupied with internal disturbances. took Khal¯l a a ı Sult¯ n prisoner and occupied Samarkand.

miniaturists and bookbinders. a ı a u In 1441–2 c Abd al-Razz¯ q Samarqand¯ went to India on Sh¯ h Rukh’s orders. to whom he had once awarded a large fief. Through his efforts. calligraphers. one can discern clear signs of weakness. 32. In the following year. scholars and historians lived and worked there. his capital Herat became a great centre of commerce. He had close ties with the Muslim clergy. Under the outward brilliance of the state. the ı library was founded there.ISBN 978-92-3-103467-1 Contents The succession struggle Rukh mounted what was essentially a punitive expedition against his grandson. in 1420 Sh¯ h Rukh sent to China envoys of his own. The customs and standards embodied in the Mongol Yasa and observed in Timur’s time were. In it worked scholars and philologists. 1914. in the Friday mosque of Herat. 348 Copyrights . particularly the civil bureaucracy. the common ownership of land and other property and a Utopia of social equality. above all the growth of popular rebellion. among whom was the artist a Ghiy¯ th al-D¯n. Sh¯ h Rukh relied for support mainly on the settled a Tajik Persian landowning nobility. The peasants and craftsmen failed to make common cause with the small local landowners. but also foreign embassies. Khurasan and India. an attempt was made on the life of Sh¯ h Rukh. he put to death for a variety of offences against his authority. 1433). Its ruler sent a return embassy to Herat. who was gravely wounded in the stomach. a similar uprisa ing engulfed Mazandaran. Some of them. In his efforts to increase his power. in Sh¯ h Rukh’s reign.53 ı During Sh¯ h Rukh’s reign. Their activities were encouraged by Sh¯ h Rukh’s son and effective co-ruler. who preached. In his histora ı a ical work he describes the route from Hurmuz to India and gives a vivid account of many cities in the south Indian state of Vijayanagar. To Herat came not only merchants from many countries. To this. p. Baysuna qur (d. most notably from China. As early as 1405 a Sarbadar uprising took place in Sabzavar and was suppressed by Sh¯ h Rukh. In return. who officially occupied the post of chief waz¯r. At the same time he was severe with his amirs. Many outstanding poets and painters. this conflicts with the known facts. The attacker was a 53 Bartol’d. His diary of the journey to China was used by the historian H¯ fiz-i Abr¯ . relegated to a oblivion and the law of the shar¯c a achieved unconditional supremacy. in particular. particularly the shaykhs of the Sufi order of the Naqshbandiyya. he owed the reputation of being the ideal Muslim ruler. including several of the most prominent. Herat was embellished by architectural monuments bearing the stamp of the influence of Samarkand at the end of Timur’s reign. Although Sh¯ h Rukh’s historians describe his reign as a time when the rac iyyats a (peasants) were ‘freed from cares’ and found ‘tranquillity’. The ideological underpinning of their action was provided by the doctrines of the ‘extremist’ Shic ite sects. however. Sultan Muhammad (son of Baysunqur). as had happened in the fourteenth century. with a view to increasing trade between Transoxania. crafts a and culture. On 21 February 1427.

349 Copyrights .ISBN 978-92-3-103467-1 Contents The succession struggle a pupil of Fadl All¯ h Hur¯ f¯. a uı the Hur¯ fiyya. Fadl All¯ h Hur¯ f¯ had earlier been banished by Timur to Azerbaijan. Jah¯ nsh¯ h Kara Koyunlu. says c Abd al-Razz¯ q Samarqandi. were there ‘several p¯ dish¯ hs’. the founder of one of the extremist Shic ite sects in Khurasan. ı a Towards the end of Sh¯ h Rukh’s reign. his state presented a picture of political fragmena tation. seized the a a a a region of Astarabad and Sabzavar. where u a uı Timur’s son M¯ransh¯ h had put him to death with his own hands. a a a the p¯ dish¯ h (king) of Azerbaijan and both Iraqs. In Khurasan alone.

. . . . . . . Timur’s sons and grandsons who had governed the provinces strove for independence. 350 Copyrights . . . . . . . . . . . . . . . livestock and hunting . . . . . . . . . overthrown by Timur. . . . In 1406 he was killed. . . . . . a The power struggle following Sh¯ h Rukh’s death . . . . . . . . . . . . . . . . . . . . . . * See Map 8. Agriculture. . . . . . . . . Towns. . Landownership and taxation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . were not slow to take advantage of the situation. . . . . . . . . . .ISBN 978-92-3-103467-1 Contents The aftermath of Timur’s death 17 THE TIMURID STATES IN THE FIFTEENTH AND SIXTEENTH CENTURIES* R. . . The Dasht-i Kïpchak at the end of the fifteenth century and the beginning of the sixteenth 350 351 353 354 356 357 361 364 364 The aftermath of Timur’s death The great empire of Timur had been maintained by force of arms and by Timur’s skill as a ruler and military leader. . . . . . . . . Revolts . . . . . . . . . . attempts to lead the realm by Timur’s grandson P¯r Muhammad (designated ı by his grandfather as his successor) failed. . . The representatives of former dynasties. . . . . the unity of the realm collapsed. . . . . . . . . . . . . . . . . . . . . The realm divides . . . . With his death in February 1405. . G. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . handicrafts and trade . . . . Mukminova Contents The aftermath of Timur’s death . . . The rule of Ulugh Beg . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Sh¯ h Rukh temporarily debarred him from the government of Transoxania. his eldest a son. who a had constantly to put down the revolts of governors. and money was also coined a in his name. In May 1409 he was able to occupy Samarkand. he mounted a campaign against the Dasht-i Kïpchak and suffered a defeat. then aged 15. Some time a later. From a a late 1405 to early 1406. his nephew. Khujand and Ferghana were in the hands of Amir Khud¯ yd¯ d. c Umar Shaykh b. Armenia and western Persia. did Sh¯ h Rukh make their ruler his vassal (see above. in 1435. at some time. 1405–9). the state of the Kara Koyunlu (1410–68) was established. Timur (who had ruled over Ferghana) and. at Ulugh a Beg’s insistence. later by the Uzbek sultans. Ulugh Beg mainly pursued a policy that was independent of Herat. Khal¯l Sult¯ n. 351 Copyrights . However. The most important questions were solved by Ulugh Beg only with the consent of his father. Ulugh Beg had the title of Güregen because he was the Khan’s son-in-law and under him there remained some Chinggisid fainéant Khans to whose names labels were issued. was made to surrender. a Chapter 16). Khwarazm was ruled by Edigü of the Golden Horde. Thus Ulugh Beg assumed power over Ferghana in 1414 and Kashghar in 1416. the power-loving Sh¯ h Malik was recalled to Herat in 1411. and appointed Sh¯ h Malik (d. He also tried. Samarkand was seized by Khal¯l Sult¯ n ı a (Timur’s grandson and the son of M¯r¯ nsh¯ h. with the assistance of his father. Khwarazm was handed over to him as a soyurghal (land grant). its rulers pursued a policy hostile towards the Timurids.ISBN 978-92-3-103467-1 Contents The rule of Ulugh Beg As a result of a long struggle in Azerbaijan. Ulugh Beg’s real name was Muhammad Taraghay. ‘Ulugh Beg ruled independently over Samarkand and Transoxania for a forty years. When.’ Ulugh Beg made a number of attempts to unite the separate areas of the Timurid realm. in 1427. Only later. by diplomatic means. According to Dawlat Sh¯ h. a Nevertheless. who had been captured by Khud¯ yd¯ d some time ı a a a earlier. Tashkent. 1426) as his tutor. The name of the sovereign Sh¯ h Rukh was mentioned in the khutba. but from his youth he had been called Ulugh Beg (Great Prince) and it is under this name that he has gone down in history. The rule of Ulugh Beg Sh¯ h Rukh handed over the government of Turkistan to Ulugh Beg (1409–49). Khurasan with its adjacent regions was ruled by Sh¯ h Rukh (1405–47). but in fact he did not control even ıa a the whole territory of Transoxania: the steppes and Sawran were in the hands of Amir Berdi Beg. to recall this same Ahmad from Kashghar (where he had tried to consolidate his power) to Herat. He was able to banish Ahmad b. Like his grandfather. A bitter struggle raged throughout Transoxania.

the participants in the campaign loaded special carts with pieces of nephrite which Timur had previously tried to bring back and. The defeat at Sïgnak. played a decisive part in his subsequent political activity. departed on a campaign against Moghulistan. separated from it in the mid-fourteenth century. he advised him to protect landholders from violence and unfairness and to keep the army ready for action. it was necessary to establish a strong central government. embarked on a campaign u ı to the north. when Sh¯ h Rukh handed over a ı a the government of Transoxania to Ulugh Beg. having consulted with his father and received his support in the person of his brother J¯ q¯ (d. the rulers of Moghulistan. a In February 1425 Ulugh Beg. His monetary reform of 1428 played a role in encouraging internal 1 The north-eastern part of the Chagatayid ulus. Ulugh Beg’s forty-year reign was marked by a relative stability that contributed to the economic growth of his state. with India and China in particular. On their way home. having delivered them to Samarkand. 1444–5). Ulugh Beg took measures to develop both domestic and foreign trade. paying the soldiers’ wages on time.ISBN 978-92-3-103467-1 Contents The rule of Ulugh Beg but unsuccessfully. But as noted above. who refused to recognize the supreme power of Sh¯ h Rukh. Meanwhile. at the head of a force assembled at Tashkent. Despite the attempts of various amirs to increase their own power. Shortly after having come to power with Ulugh Beg’s support. in order to protect villagers and town-dwellers alike. From that time onwards he never again mounted a campaign in person. not infrequently uniting with forces hostile to both Ulugh Beg and Sh¯ h a Rukh. According to the historian c Abd al-Razz¯ q Samarqand¯. However. to maintain the irrigation system. Baraq Khan. For example. together with an attempt to close the Samarkand gates to Ulugh Beg and his temporary removal from power. although troops belonging to the chiefs of nomadic Uzbeks and amirs of Moghulistan more than once attacked the areas subjected to him. Hence in 1427 Ulugh Beg. these tribal rulers became his political opponents. the Moghuls were able to attack Andijan and Kanibadam with impunity. the conquerors penetrated into Transoxania and ravaged many towns and villages. laid claim to the towns along the Syr Darya. alleging that before Timur’s time these areas had belonged to Jöchi’s descendants. one of Urus Khan’s grandsons. at Sïgnak his army was crushed. During Ulugh Beg’s last years.1 struggling against Ulugh Beg. 352 Copyrights . Ulugh Beg was unable to establish good relations with the nomads of the steppe bordering the northern regions of his domains. used them for Timur’s tomb. who with his support had been enthroned in the ulus (domain) of the Dasht-i Kïpchak. more than once formed a unified front with the rulers of Badakhshan. to defend his territories from raids by the nomadic tribes. The campaign was successful and a record of it was inscribed at the Jilanut gorge. to prevent officials from robbing the subjects and to guard the boundaries of the realm. Pursuing the Timurid army.

he left for ı the pilgrimage to Mecca. 1905.’3 After 1427 Ulugh ı ı a Beg mainly gave himself up to scientific studies. crushed c Abd All¯ h’s a a army and seized Samarkand. d. the weight of the new coins was also altered in order to regulate the circulation of money. Ulugh Beg’s army suffered a defeat and. Literary figures such as Lutf¯. trading premises. Ibrl¯ him a a c¯d (son of Mir¯ nsh¯ h. the struggle for succession raged mainly between c Abd All¯ h b. 1451–69). Mainly with support from the tribal chiefs. Sh¯ h Rukh and Ab¯ Sa ı a u a a u ı by the forces of Abu ’l-Khayr Kh¯ n. On his way. erected madrasas. p. he himself ı was to reign for only six and a half months. and the putting into circulation of new ones. a 353 Copyrights . lying at the crossing of the six main roads through Samarkand. though at the end of Ulugh Beg’s life. 1437). Samarkand became a centre of scientific thought and here. a garden was laid out. The china was delivered from China by one man. Muc in al-D¯n K¯ sh¯ n¯ and c Al¯ ’ al-D¯n Ab¯ ’l-Hasan c Al¯ u ı a ı ı ı a a ı a ı u a Q¯ shch¯. Khay¯ l¯ and others wrote their works u ı ı a ı aı there – Ulugh Beg was fond of poetry and music. he was killed on 25 (or 27) October 1449 at the instigation of c Abd al-Lat¯f. at the observatory built under his guidance. who went down in history as a patricide. was buried in Timur’s mausoleum. brought back by him. His reform of the coinage and organization of the circulation of copper money resulted in a ban on the old coins in 1420. was forced to return to Samarkand. The power struggle in Herat contributed to the breaking-off of relations between Ulugh Beg and his son c Abd al-Lat¯f. near Samarkand. on the orders of c Abd al-Lat¯f. 1965. It was called ch¯n¯kh¯ na. leader of the nomadic Uzbeks. Bukhara was later granted the monopoly of striking copper coins. p. In 1451 Ab¯ Sac¯d. Subsequently. unable to consolidate his power in Herat. In autumn 1449 at Dimashq. there was a clear decentralization of the minting of coins. In it there was a pavilion: ‘the whole lower part of its walls was made of china.2 It was in the time of Ulugh Beg that the Registan Square. there was a battle between the two ı men. was laid out.ISBN 978-92-3-103467-1 Contents ¯ The power struggle following Shah Rukh’s death trade. Hundreds of local master craftsmen and workers. Sh¯ h a Rukh’s body. bath-houses and bridges a ı a u ı at Samarkand. B¯ bur. Ghiy¯ th al-D¯n Jamsh¯d. worked Q¯ d¯-z¯ de a ı a R¯ m¯. Saqq¯ q¯. Bukhara and Ghijduwan. as well as those who had been collected by force from all regions at the time of Timur’s reign. 10a. On Ulugh Beg’s orders. Ab¯ Sac¯d then u ı 2 3 Davidovich. supported b. the heir apparent Ulugh Beg won the dynastic struggle a but. near Samarkand. mausoleums (including the mausoleum of the astronomer Q¯ d¯-z¯ de R¯ m¯. ¯ The power struggle following Shah Rukh’s death After Sh¯ h Rukh’s death in 1447. 298.

he was the initiator of a peace deal at Shahrukhiyya between Sult¯ n Ahmad. Y¯ nus Khan (d. Ush. without Ab¯ Sac¯d. leader of the Naqshbandiyya Sufi order and a o a later a powerful political figure. Sult¯ n Ahmad M¯rz¯ was considered the nominal governor of Transoxania. In 1454 and 1470 Kh¯ ja Ahr¯ r organized the defence of o a Samarkand. some disgraced Timurids sought the protection of the rulers of the Ak Koyunlu. almost every town with its province had its own independent governor. Sult¯ n c Al¯ M¯rz¯ (killed in 1501) was in Bukhara. u ı he made Herat the capital of his realm and assigned Transoxania to his eldest son. with its 4 B¯ bur. Ab¯ Sac¯d mounted a campaign into Azerbaijan early u ı in 1469. The realm divides With Ab¯ Sac¯d’s death. who subsequently had to yield his posia tion to c Ubayd All¯ h Kh¯ ja Ahr¯ r (1404–90). But though he held power for twenty-five years. Askhi and Kasan. for nearly forty years. the Timurid realm finally split into two sections. Tashkent. Khujand. who had all been at u a u war with each other. pp. 1494). 1487). his capture and execution. ‘his will was in the hands of the Beg’. a c Umar Shaykh b. great influence was exerted on state affairs by the Shaykh al-Isl¯ m of Samarkand. Jah¯ nsh¯ h (1436–67). Marghelan. however. According to the agreement with the ruler of the Kara Koyunlu. After the second conquest in 1458–9. with a few intervals. with the towns of Andijan. Subsequently.4 Under him. with Herat as its capital. Sayram.ISBN 978-92-3-103467-1 Contents The realm divides struggled against various pretenders. Thus Transoxania and Khurasan with the adjacent provinces formed the Timurid realm. with their adjacent provinces. Mans¯ r’s son. Sultan Ahmad (d. who had replaced that of the Kara Koyunlu. For some time. Timur and Mahm¯ d Kh¯ n b. Ab¯ Sac¯d was able to seize Khurasan twice. he ruled the country. was also part of his dominions. the fourth son of Ab¯ Sac¯d. among whom was Sult¯ n Husayn Bayqara. went to Sult¯ n Husayn Bayqara (1469–1506). Ab¯ Sac¯d tried to consolidate his power through gaining u ı the support of the religious classes: under his rule. and Khujand (attributed by some u ı historians of that time to Ferghana). was assigned to c Umar Shaykh. Timur. Power in Khurasan. the great central Persian desert (Dasht-i Kavir) was recognized as a a a border between their realms. 1905. 19a. a future a ruler of Khurasan (see below). being able to achieve his aim of the u ı formation of a centralized state. Afraid of increasing the power of the Ak Koyunlu. Samarkand was not the recognized capital of Transoxania. Isfara. Khurasan and u ı Transoxania. Khujand and Ura-tübe. Fera ı ı a ghana. and the great-grandson of a u c Umar Shaykh b. a 354 Copyrights . but this ended in the defeat of his forces. a ı a he was able to subjugate Tashkent. 24a.

was ruled by the Khan of Moghulistan. Internecine wars had been occurring in the south as well. When Sult¯ n c Al¯ learned ı a a ı of this action. even during the reign of his father. Struggling to gain influence over the Timurids. In 1496 the u a o o o a Tarkh¯ n Begs suffered a defeat. the ı a Andijan Begs decided to take advantage of the situation. all occurring during the space of a year. Termez. they bided their time. the eldest son of Sult¯ n Mahm¯ d M¯rz¯ : his most powerful opponent was Khusraw Mas ¯ a u ı a Sh¯ h. Qunduz and Badakhshan – were assigned to Mahm¯ d Sult¯ n (d. Kh¯ ja Ahr¯ r’s sons. Khuttalan. they opposed the old aristocracy. contrasted sharply with the nobles’ splendid garments. they set off to conquer Samarkand. Sult¯ n a a Husayn Bayqara also had to restrain his sons’ aspirations for independence. After Sult¯ n Ahmad’s death. But with the deaths of Ahmad. Sult¯ n Husayn was compelled to cede Balkh and the a a 355 Copyrights . with opposition against Sult¯ n a c ud. The resultant wrecking of the economy and the a ı destruction of the foundations of the state were noted by contemporaries. The rulers of these provinces were often at war with each other. another of Ab¯ u a u c¯d’s sons. Badic alı a Zam¯ n came out against his father. most notably his eldest son Bad¯c al-Zam¯ n. but continued to play a decisive part in state affairs until a Shayb¯ n¯ Khan’s seizure of power in 1500. In the spring of 1497 Baysunqur M¯rz¯ engaged in a counter-attack against Bukhara. Although power was more centralized in Khurasan. Sultan Al¯ M¯rz¯ left Bukhara on a campaign against ı ı a Samarkand. The young Timurid Baysunqur M¯rz¯ ’s coming to power in Samarkand roused ı a the governors of other provinces. Kh¯ ja Ahr¯ r. having occupied the surrounding c Abd mountains and valleys. Ab¯ ’l-Mak¯ rim and Kh¯ jagi Kh¯ ja b. Putting the young B¯ bur at the a head of their forces. and the deaths of many of the poor. The lands along the upper Oxus (Amu Darya) – Hisar. upon state affairs. However. preferring to enthrone the weakest of them. 1495). The richest amirs tried to make use of the child Timurids. gold and silver plates and dishes. Meanwhile. Mahm¯ d Sult¯ n moved to a u a Samarkand and reigned there for some five or six months. but the inhabitants of the city put up a fierce resistance. starvation and poverty. reportedly attempting to regulate the collection of taxes and strengthen his army. including Ahmad Kh¯ ja Beg (who protected c Al¯sh¯r Naw¯ ’¯ when the lato ı ı aı ter was in Samarkand). the Tarkh¯ n Begs came to exert a great influence a local groupings competing among themselves for power. Mahm¯ d u and c Umar Shaykh. he went towards Baysunqur M¯rz¯ at the head of an army. the local amirs of these provinces Sa ı also pursued an independent policy. civil strife intensified. the ruler of Qunduz. and seemingly infinite numbers of sheep and thoroughbred horses. took an active part in the struggle for Samarkand.ISBN 978-92-3-103467-1 Contents The realm divides surrounding area. leading a o a At the end of the fifteenth century. Kh¯ jagi Kh¯ ja (Kh¯ ja o a o o o All¯ h) and Kh¯ ja Yahy¯ . Chaghaniyan. Objecting to a redistribution of lands in 1497.

Special varieties of grapes. henna etc. Karakul pelts were exported from the Bukhara and Karshi regions. as elsewhere in the East. the Tashkent oasis. Wheat. 1857. The great number of horses. The manufacture of various cotton fabrics in all areas led to the spread of the cotton plant.) were obtained. livestock and hunting Farming in the Timurid realm. Qubadiyan. The leaves of the mulberry tree served as food for silkworms. was based on artificial irrigation. Hisar. Khuttalan and Badakhshan) controlled by Khusraw Sh¯ h. the ‘golden peaches’ of Samarkand had been sent to the Chinese emperor. the weakening of central power and the breaking down of the realm into separate domains were clearly discernible processes. livestock and hunting territory from the Oxus to the Murghab to him. the name of a c al-Zam¯ n was included in the khutba and inscribed on coins. were prized. shows the level of horse-breeding. the Surkhan Darya and Kashka Darya regions. camel-breeding was also widespread. The Zarafshan valley was the main farming region of Transoxania.ISBN 978-92-3-103467-1 Contents Agriculture. The attempts by some Timurids to consolidate the central power had no lasting success and merely stimulated further internecine warfare which eventually resulted in the conquest of Transoxania by the Shaybanids. was played by the great author a a c Al¯sh¯r ı ı Naw¯ ’¯ . Termez. Corn. Suburban gardens sprang up all around Samarkand and Tashkent. a sixteenth-century document mentions ghuza-puli. 5 Khw¯ ndamir. with the break-down of the state and the increased frequency of nomadic raids. Plants from which dyes (madder. apples and plums. monetary taxes on cotton. in the fifteenth century and early in th