HATPAT AM) OEDO

A S t u d y o f t h e way o f l i f e , a n d m i l i t a r y
o r g a n i z a t i o n o f t h e K h i t a n Emperors, a n d t h e i r p e o p l e

By Eu L o »huan

School o f O rien ta l and A frican S tu d ies, London U n iv e r s ity .

 ProQuest Number: 10752658

All rights reserved

INFORMATION TO ALL USERS

The quality of this reproduction is d e p e n d e n t upon the quality of the copy subm itted.

In the unlikely e v e n t that the a u thor did not send a c o m p le te m anuscript

and there are missing pages, these will be noted. Also, if m aterial had to be rem oved,
a n o te will ind ica te the deletion.

uest
ProQuest 10752658

Published by ProQuest LLC(2018). C opyright of the Dissertation is held by the Author.

All rights reserved.

This work is protected against unauthorized copying under Title 17, United States C o d e
M icroform Edition © ProQuest LLC.

ProQuest LLC.
789 East Eisenhower Parkway
P.O. Box 1346
Ann Arbor, Ml 4 8 1 0 6 - 1346
 F u

A bstract o f
"Katpat and Ordc % A Study o f the way o f l i f e and m ilita r y
o r g a n isa tio n o f the Khitan Emperors and th e ir people*

The p resen t t h e s is i s a o f the emperors o f

the Khitan*Liao dynasty aha i t s in flu e n c e on the Liao i n s t i t u ­
tio n s * -in p a rticu la r* the Shu-mi Yuan* the dual C hancellery
a d m in istra tio n system* A fter t h e ir conquest o f a p o rtio n o f
China, the Liao emperors continued t o pursue t h e ir o r ig in a l
nomadic way o f l i f e * spending the whole o f each year in sea so n a l
camps* or na-po ( n a t p a t ) ~ a s they were c a lle d a t th a t time*
For the a d m in istra tio n o f t h e ir Khitan and Chinese 8ubJects*who
le d d if f e r e n t ways o f li f e * the Liao r u le r s e s ta b lis h e d two
C han celleries* one f o r th e ir Khitan su b je c ts and the oth er fo r
the Chinese* Thus* contrary to the g en era l assum ption th at the
Khitan were s in ic iz e d * the K hitan-Liac Empire a c tu a lly c o n siste d
o f two n a tio n s o f d if f e r e n t cu ltu res*
The study o f the i n s t it u t io n s o f the Liao na-po throws lig h t
not on ly on the Liao a d m in istra tio n but a ls o on the l i f e o f the
r u le r s and in s t it u t io n s o f the su cceedin g Jurchin-Chin* Mongol
Yuan* and Banchu-Chfin g d yn asties*
The main body o f the t h e s is d is c u s s e s a number o f problems
each o f %hich i s examined in g r ea ter d e t a i l in a subsequent
sectio n * "Some remarks on the o f f i c e o f the Shu-mi Shih" tr a c e s
the r is e and development o f th a t o f f i c e which has so fa r been
m istakenly taken a s an organ concerning m erely w ith m ilita r y
a ffa ir s * I t was a ctu a lly * in the f i r s t sta g e o f i t s develop­
ment* a p ost comparable to th a t o f c h ie fm in ia te r . "The theory
o f leg itim a cy * e x p la in s the reasons why the h is to r y o f the
non-Chinese d y n a stie s have been n eg lected by the Chinese people*
The s e c tio n on Peking* e x p la in s the r o le played by Peking in
Chinese h is to r y as the lin k between the Chinese arid the non-
Chinese worlds* The s e c tio n *Ordc " i s a st^dy o f the Khitan
m ilita r y organ isation * A ll th ese have eith er^ b een d e a lt u ith
b efore or not been adequately explained*
 PK01A CE.

The p r e s e n t work i s p a r i o f a n a t t e m p t t o s t u d y some

of t h e im p o r ta n t n o n -C h in ese a s p e c t s o f C hinese h i s t o r y .

By ” C h i n e s e ” we mean t h e h a n - j t n , i . e . the a g r ic u ltu r a l

p e o p l e s o u t h o f t h e G r e a t W a l l who fo rm e d t h e n u c l e u s of

t h e ’’m i d d l e Kingdom” a n d who c o m p r i s e t h e o v e r w h e l m in g

m a jo r ity of t h e C hinese p o p u la tio n . By ” n o n - C h i n e s e ”

we mean t h o s e who fo rm t h e r a c i a l m i n o r i t i e s i n v a r i o u s

o u t l y i n g r e g i o n s of C hina, and, in p a rtic u la r, i n so f a r

a s t h e f o l l o w i n g p a g e s a r e c o n c e r n e d , t h o s e who l i v e d

t o t h e n o r t h o f t h e G-reat W a l l .

C h in a was r e p e a t e d l y c o n q u e r e d a n d r u l e d w h o l l y o r

i n p a r t by s u c h n o n - C h i n e s e p e o p l e s , w hose d e s c e n d a n t s

h a v e e i t h e r b e e n a b s o r b e d i n t o t h e C hinese, p o p u l a t i o n ,

o r l i v e s i d e by s i d e w i t h t h e h a n - 3 § n w i t h i n t h e b o u n d a r i e s

of C hina. The s t o r y o f t h e s e p e o p l e s , th erefo re, co n stitu t

a n e s s e n t i a l p a r t o f my c o u n t r y ' s h i s t o r y . Under th e

i n f l u e n c e o f t h e t h e o r y of l e g i t i m a c y , or e h in g -t' ung,

th e C hinese p e o p le have been p re v e n te d from a p p r e c i a t i n g

f u l l y t h e p a r t p l a y e d by t h e s e n o n - C h i n e s e p e o p l e s .

T h e i r o r i g i n a l ways o f l i f e a r e l i t t l e known a n d t h e
 11

in stitu tio n s of t h e i r d y n a s t i e s rem ain m o s tly o b s c u re .

O r i g i n a l l y a s t u d e n t o f t h e Sung p e r i o d ( 9 6 0 -1 2 .7 9 ) ,

1 w ork e d on t h e p o l i t i c a l r e f o r m s c a r r i e d o u t by Wang

A n-shih (1021-86), t h e g r e a t n o r t h e r n Sung s t a t e s m a n .

I r e a l i z e d t h a t t h e s e re fo rm s , w e r e t o a c o n s i d e r a b l e

d e g r e e a d i r e c t r e s u l t o f t h e s u b m i s s i o n of S u ng t o i t s

contem porary n o n -C h in ese d y n a s ty t o t h e n o r t h , th e K h itan -

L i a o d y n a s t y (907-1125)*- I n t r y i n g t o d i s c o v e r more o f

t h e b a c k g r o u n d o f t h i s kingdom , I was f i r s t i n t e r e s t e d

— a s t h e m a t e r i a l c o n c e rn in g t h e Liao i s so s c a n ty —

in th e i t in e r a r i e s o f t h e Sung en v o y s s e n t e a c h y e a r t o

th e L iao c o u r t . As a r e s u l t o f my work on t h e r o u t e s

t r a v e l l e d by t h e s e en v o y s a c r o s s t h e G-reat W a l l , I

e v e n t u a l l y came t o a s p e c i a l s t u d y o f t h e K h i t a n p e o p l e .

t h e L i a o d y n a s t y was f o u n d e d by t h e K h i t a n t r i b e who

in h a b ite d th e u p p er re a c h e s o f th e L iao R iv e r i n c e n tr a l

Jeh o l. t h r o u g h o u t t h e f a n g d y n a s t y ( 6 0 8 -9 0 7 ) t h e y

con stan tly c r e a t e d d i s t u r b a n c e s a lo n g C hina*s n o r t h e r n

fro n tiers. I n 907 A p a o k i , a K h i t a n c h i e f , a f te r p u ttin g

a n end t o t h e K h i t a n r u l i n g h o u s e an d s u b j u g a t i n g t h e

su rrounding t r i b e s , u n i f i e d th e re g io n s n o rth of th e

G re a t W all and p ro c la im e d h i m s e l f em peror. I n 937 h i s

 iii

s u c c e s s o r annexed th e lo n g s t r i p o f Chinese, t e r r i t o r y

on t h e s o u t h e r n s i d e of t h e W a ll — i n c l u d i n g P e k i n g t o -

t h e e a s t a n d T a - t ’u n g t o t h e w e s t .

D e s p ite th e a n n e x a tio n of th e s e C hinese la n d s w ith

t h e i r p re d o m in a n tly C hinese p o p u l a t i o n , th e Liao r u l e r s

c o n t i n u e d t o p u r s u e , t h e i r n om adic way o f l i f e , fhey

in tr o d u c e d th e C hinese governm ental sy stem f o r t h e

a d m i n i s t r a t i o n of t h e C h i n e s e p o r t i o n o f t h e i r d o m a i n s ,

w h ile keeping th e t r i b a l o r g a n iz a tio n f o r t h e i r n a tiv e

lan d . I h e d u a l a d m i n i s t r a t i v e s y s t e m , w h i o h t h u s came

in to ex isten ce, t h r o w s l i g h t on t h e d e v e l o p m e n t of t h e

t h r e e s u b s e q u e n t n o n - C h i n e s e d y n a s t i e s *— the. J u r c h e n - C h i n

(1115-12.34) i M ongol-Yuan (1 2 0 6-1368) a n d M anchu-C h*ing

( 1 6 4 4 - 1 9 1 1 ) ? a s w e l l a s o f t h e lu o - p a Wei w h ic h h a d

e x i s t e d s e v e r a l c e n tu r ie s e a r l i e r (386-534)*
V

I h e K h i t a n c h o s e P e k i n g a s one of t h e f i v e c a p i t a l s

th ro u g h w hich th e y c o n t r o l l e d t h e i r s e d e n t a r y C hinese

a n d Poha;i ( t h e s e t t l e d p e o p l e o f M a n c h u r i a ) s u b j e c t s .

P h i s was t h e f i r s t ch ap ter in th e h is to r y of P e k i n g a s

a n a t i o n a l c a p i t a l — a p o s i t i o n w h ic h h a d u n t i l t h e n

b e e n h e l d p r e - e m i n e n t l y by Ch! a n g - a n ( S i a n ) . I t was a n

e v e n t o f su p rem e i m p o r t a n c e f o r t h e f o l l o w i n g m i l l e n i u m
 iv

of C hinese h i s t o i y ,

My work c o n s i s t s o f a s e r i e s o f s i x e s s a y s , each o f

w hich, th ou gh com plete i n i t s e l f , i s r e la te d to a l l th e

o th ers. I h e f i r s t two p a r t s a r e a s t u d y o f t h e ways of

l i f e and i n s t i t u t i o n s w h i c h p r e v a i l e d u n d e r t h e l i a o

d y n a s t y , a n d , t o a l e s s e r e x t e n t , u n d e r t h e C h in , Yuan

an d Ch* i n g w h i c h s u c c e e d e d i t . t o g e t h e r t h e y fo rm t h e

b asis fo r th e th ird p a r t, t h e s e c t i o n on P e k i n g , in

w h ic h 1 h a v e t r i e d t o show t h e p l a c e t h e s e d y n a s t i e s

o cc u p y i n t h e p e r s p e c t i v e o f C h i n e s e h i s t o r y . She l a s t

t h r e e p a r t s d e a l , i n g r e a t e r d e t a i l , w i t h some o f t h e

p r o b l e m s b r o u g h t o u t i n the. f i r s t t h r e e p a r t s .

Ihe f i r s t p a r t , on n a - p o , i s a re su m e o f my a r t i c l e

t h e L i a o - t a i s s . u - s h i h n a - p o k » a o w h ic h was f i r s t p u b l i s h e d ,

i n 1941> i n t h e B u l l e t i n o f t h e I n s t i t u t e of H is to r y

a n d P h i l o l o g y o f t h e A cadem ia S i n i c a . My v i e w s h a v e

not s i n c e changed.

Many i m p o r t a n t c o n t r i b u t i o n s i n t h i s f i e l d of s t u d y

h a v e b e e n made i n r e c e n t y e a r s by C h i n e s e , J a p a n e s e an d

European s c h o l a r s , f o r e m o s t among t h e E u r o p e a n w o rks

a r e D r . Owen L e t t i m o r e ’ s I n n e r A s i a n f r o n t i e r s of C h in a

an d D r . K a r l A. W i t t f o g e l a n d Mr. tf&ng G h i a - s h S n g * e j o i n t
 V

work H i s t o r y o f C h i n e s e
u <nfn i iHMTrinir > n rn iim->iirf MWii n^m n>d*nn [ « «i>ra< m Ttmm» iiYTn > n
S o c ie ty , L iao,
u wi— <m im i n im t niiwiuM
in general I

ag re e w ith D r. l a t t i m e r e ' s co n clu sio n , h u t d i f f e r fro m

h im i n my a p p r o a c h . He h a s b a s e d h i s work m a i n l y on h i s

e x p e r i e n c e s d u r i n g e x t e n s i v e t r a v e l s b ey o n d t h e G-reat

W all, w h ile m ine i s t h e r e s u l t o f r e s e a r c h i n t o l i t e r a r y

sources.

I h e e x h a u s t i v e a n d m on um ental a c c u m u l a t i o n o f m a t e r i a l

o f D r . W i t t f o g e l and Mr. f § n g h a s p r o v e d a n i n v a l u a b l e

so u rce of in fo rm a tio n , t h o u g h 1 h a v e on many i s s u e s b e e n

u n a b l e t o agree, w i t h t h e i r c o n c l u s i o n s , p a r t i c u l a r l y i n

r e g a i 'd t o t h e s u b j e c t s d e a l t w i t h i n t h e f o l l o w i n g p a g e s .
 C 0 N T E M T S

P reface i

(1 ) Na-po; A S tudy of th e L i f e o f t h e L iao

E m p e ro r s and i t s i n f l u e n c e on t h e
L iao i n s t i t u t i o n .

I . A. G e n e r a l S u r v e y ............... 1

II. D e t a i l e d S t u d i e s o f the n a-p o

( a ) t h e HS p r i n g W a te r" ................... 22
(To) t h e ”Autumn M o u n t a i n s " ..................... 41
( c) t h e Summer n a - p o and t h e
W i n t e r n a - p o ..................... 46

III. N a-po i n t h e l i f e o f t h e E m p e r o r s of
t h e C h in , Yuan and Oh1i n g ................... 51

IV. N a-po and t h e L i a o P o l i t i c s .............................. 77

(2) The L i a o Ordo

( a) The Mongol Ordo .................................................. 104

(b) I he L i a o Ordo ................ 109
( c) I h e o r g a n i z a t i o n o f t h e o rd o ................... 120

(3) P e k i n g —- t h e L i n k "between t h e C h i n e s e a n d t h e
N o n-C h in ese. W o r l d s .

I. f h e p a r t p l a y e d by P e k i n g i n C h i n e s e
H i s t o r y ............ 129

II. The S t r a t e g i c v a l u e o f t h e n a t u r a l
b a r r i e r t o t h e n o rth of P e k in g
and i t s l o s s by China .............................. 145

III. P eking a f t e r i t s cession to the K h ita n 156

IV* "From f r i b e s t o E m p i r e s ’* — I
I h e p o s t - L i a o Shu-m i Yuan s y s t e m s
and t h e p o s t - L i a o D u a l a d m i n i s t r a t i o n 166
V. "Prom T r i b e s t o E m p i r e s 1’ ~ I I
The c o n t r i b u t i o n s made by C h i n e s e
i n t e l l e c t u a l s tow ards th e f o u n d a t i o n
o f d y n a s t i e s i n China by t h e nomads . 178
(4) Ch&ng—t 1u n g Lun ( t h e f h e o r y o f L e g i t ima c y )
and n o n - C h i n e s e d y n a s t i e s i n C h i n e s e
h isto ry ................ 205

(5) Some r e m a r k s on t h e O f f i c e of Shu«*mi S h i h . . . . . 2 33

( 6) Some Exam ples o f r e p e t i t i o n i n t h e t e x t o f

t h e L i a o S h i h ................... 244

B ib lio g ra p h y .
 I. NA-PO

A S t u d y o f t h e L i f e o f t h e L i a o E m p e ro r s a n d i t s
i n f l u e n c e on t h e L ia o i n s t i t u t i o n s .

I. A' G e n e r a l S u r v e y

II. D etailed s t u d i e s o f the na-po

(a) th e ’’S p r i n g W a t e r ”
(b) th e ’’Autumn M o u n t a i n s ”
( c) t h e Summer n a - p o and t h e W i n t e r n a - p o

III. N a-p o i n t h e l i f e o f t h e E m p e ro r s o f t h e
C hin, Yuan and Oh1i n g

IV . N a-po an d the, L i a o P o l i t i c s .

I.
A G eneral Survey.

N a-po r e p r e s e n t s i n C hinese t r a n s c r i p t i o n a

K h i t a n w ord u s e d o r i g i n a l l y t o d e n o t e t h e a c t u a l camp

s e t . up by t h e L i a o em perors, d u r i n g t h e i r h u n t i n g . L ater,

i n t h e C h in a n d Yuan d y n a s t i e s , i t was u s e d t o d e n o t e

t h e p l a c e s where, t h e C h in and Yuan e m p e r o r s s t a y e d on

t h e i r way t o h u n t o r t o some o t h e r d e s t i n a t i o n . As t h e

Liao em perors, d u r i n g t h e i r w ho le l i f e tim e, sp en t every

se a so n of ev ery y e a r i n th e na-po, t h e n a - p o was t h e i r

home, o r p a l a c e , t h e c e n tr e o f t h e i r a c t i v i t i e s and t h e

H e a d q u a rte rs of Liao p o l i t i c s . In th e o f f i c i a l h is to r y

of th e L iao d y n a s ty , t h e L i a o - S h i h , c o m p i l e d i n 1344?
 2.

t o w a r d s t h e en d o f t h e Yuan d y n a s t y , th ere is a sp ec ia l

s e c t i o n d e v o te d , t o t h e d e s c r i p t i o n o f t h e n a - p o . The

authors., a l t h o u g h C hinese, liv e d , u n d er a n o n -C h in e se

r u l i n g h o u s e an d w e r e t h u s a b l e t o a p p r e c i a t e t h e i n f l u e n c e

o f n a t u r e i n p r o d u c i n g d i f f e r e n t modes o f l i v i n g i n t h e

r e g i o n s t o t h e n o r t h a n d t h e s o u t h o f t h e G-reat W a l l .

In th e in tr o d u c tio n to t h i s s e c tio n , they rem arked:

"To t h e s o u t h o f t h e G r e a t W a l l , t h e c l i m a t e i s w e t

an d h o t . The i n h a b i t a n t s l i v e by t i l l i n g an d so w in g ,

d e p e n d i n g f o r t h e i r c l o t h i n g on m u l b e r r y and f l a x .

They l i v e i n h o u s e s and a r e s u b j e c t t o t h e g o v e r n m e n t

of w a lle d c itie s .. In th e D esert, it i s , h o w e v e r,

cold and sto rm y . T h e r e , p e o p l e l i v e by s t o c k - b r e e d i n g ,

h u n t i n g a n d f i s h i n g and make t h e i r c l o t h e s fro m

anim al-skins.. They s h i f t t h e i r a b o d e a c c o r d i n g t o

t h e change o f s e a s o n s , a n d h o r s e - e a r t s s e r v e th em a s

homes.. Such a r e t h e e f f e c t s o f n a t u r a l environm ent

i n th e South andth e H orth.

The L i a o [ e m p e r o r s whose]] e m p i r e e m b ra ced t h e w ho le

G reat D e s e rt and t h e r e g io n s a d j o i n i n g t h e G re at W all,

r u l e d t h e i r em pire w i t h r e g a r d t o t h i s s p e c i a l

environm ent. D u r i n g autum n and w i n t e r , th ey avoided

t h e c o l d a n d d u r i n g t h e s p r i n g a n d summer, t h e y
 3 .

avoided th e h e a t. (They moved i n s e a r c h o f w a t e r a n d

grass, o r went h u n tin g o r f i s h i n g . S u ch was t h e i r

y early ro u tin e- Bor e a c h one o f t h e f o u r s e a s o n s ,

th e y had a s p e c i a l h s i n g - t s a d 4^ H&. w h i c h was

c a lle d a n a -p o .”^ ^

A c o n t e m p o r a r y Sung w r i t e r h a s a l s o commented; "Ihe

K h ita n c a l l t h e p l a c e where t h e i r em peror r e s i d e s n a - p o .

fh e residences., f o r t h e f o u r se a so n s a r e a l l s o - c a l l e d .

F o r e x a m p le , £the s p rin g re sid e n c e i s c a lle d ] th e sp rin g

na-po. I t i s a K h i t a n w ord m e a n in g s o m e t h i n g l i k e t h e

h s in g - ts a i.. " ^^

H s i n g - t s a i i s used, by b o t h w r i t e r s a s t h e C h i n e s e

eq u iv alen t of na-po. By t h e C h i n e s e e x p r e s s i o n h s i n g - t s a i

( 11t r a v e l - s t o p s " ) i s m eant t h e p l a c e w h e r e a n e m p e r o r

stay ed tem p o rarily , i n c o n t r a s t t o his. p e r m a n e n t r e s i d e n c e

a t th e palace, i n th e c a p i t a l . A h s i n g - t s a i may be a

p l a c e i n w h ic h t h e e m p e r o r s t a y e d j u s t a few moments, or

a. few d a y s o r m o n th s , or years - - in sh o rt, i t ap p lies

t o a n y p l a c e w h e re t h e e m p e r o r s t a y e d on h i s j o u r n e y away

^^ L iao S h ih, c h . 32, l a .

P ’ a n g Y u a n - y i n g s W e n -c h ’ a n g t s a - l u .
 4.

( 1)
fr o m h i s p r o p e r p e r m a n e n t d w e l l i n g ^ ' . I t is n atu ral

t h a t t h e Yuan s c h o l a r s who c o m p ile d t h e L i a o H i s t o r y

sh o u ld have used t h i s term to t r a n s l a t e t h e K h ita n n a-p o .

Y et many o f t h e m i s u n d e r s t a n d i n g s a b o u t t h e h i s t o r y o f

t h e L iao tim e m ight have been a v o id e d i f th e e a r l y s t u d e n t s

o f L i a o h i s t o r y h a d r e a l i s e d t h a t h s i n g - t s a i does, n o t

e x a c tly correspond to na-po. The two w o r d s hav e q u i t e

d i f f e r e n t s o c i a l backgrounds, The L i a o e m p e r o r s who

r u l e d o v e r t h e K h i t a n e m p ir e b e l o n g e d t o a r a c e o f nomads.

Ha-po i s a. K h i t a n word d e n o t i n g t h e m o v a b l e r e s i d e n c e

o f a n e m p e r o r who, b e i n g a nomad., h a d no f i x e d p e r m a n e n t

r e s i d e n c e , w h i l e h s i n g - t s a i i s a C h i n e s e w ord d e n o t i n g

t h e t e m p o r a r y r e s i d e n c e o f a n e m p e r o r who i s n o t a nomad
,> W M

^ ^ The p l a c e w h ic h b o r e t h e name h s i n g - t s a i f o r t h e
l o n g e s t p e r i o d i s p r o b a b l y Hangchow, t h e c a p i t a l of t h e
S o u t h e r n Sung d y n a s t y . When t h e Sung w ere d r i v e n o u t
o f K * a i - f i n g f t h e y moved f i r s t to H a n k in g a n d t h e n t o
H angchou w h ic h r e m a i n e d t h e i r c a p i t a l f o r some 130 y e a r s .
The f i r s t e m p e r o r n e v e r g a v e up h o pe o f r e c o v e r i n g
Kf a i ' f e n g , t h e o r i g i n a l c a p i t a l o f t h e Sung d y n a s t y . He
r e g a r d e d Hangchou a s h i s h s i n g - t s a i ~ h i s t e m p o r a r y
s t o p p i n g p l a c e ~ an d none o f h i s s u c c e s s o r s e v e r a b a n d o n e d
t h e u s e o f t h i s name, f o r t o do so w ould h a v e b e e n a n
a d m issio n of f i n a l d e f e a t .
I n t h e T r a v e l s o f Marco P o l o , Hangchow a p p e a r s a s
Q u i n s a y . E a r l i e r co m m en tato rs o f P o l o ' s w o rk t h o u g h t
Q uinsay r e p r e s e n t e d t h e C hinese term C h in g -s h ih
i . e . ca p ital c ity . T h i s was r e j e c t e d by P r o f . A. 0. Moule
( JRAS. 1 9 1 7 ) . Kuwabara h a s s u g g e s t e d t h a t i t was p r o b a b l y
fro m h s i n g - t s a i t h a t Q u i n s a y was d e r i v e d . ((J i t s u s o f K u w a b a r d \ :
On P 1u Shou-k&ng: ) t ] -
 5-

b u t who f r o m t i m e t o t i m e c e a s e s m oving a b o u t an d g o es

back to l i v e i n h i s perm anent r e s i d e n c e i n th e c a p i t a l ,

f o r a nomad, n a - p o f u l f i l l s the f u n c t i o n s b o th o f a

h sin g -tsai a n d o f a- f i x e d r e s i d e n c e i n t h e c a p i t a l .

The t r a n s l a t i o n o f n a - p o a s h s i n g - t s a i s u g g e s t s t h a t

t h e r e was a c a p i t a l i n w h ic h t h e L i a o e m p e r o r s h a d t h e i r

perm anent d w e llin g , and i n t h i s co n n ectio n th e e x is te n c e

o f t h e f i v e C a p i t a l s i n th e L iao em pire has a l s o been a

source of m isunderstanding. T hese f i v e C a p i t a l s w ere

e s t a b l i s h e d t o s e r v e a s t h e H e a d q u a r t e r s fb r t h e g o v e r n m e n t

o f t h e C h i n e s e s u b j e c t s o f t h e empire., a n d t h e o c c a s i o n a l

v i s i t s w h ic h t h e L ia o e m p e r o r s p a i d t o one o r o t h e r o f

them w e re i n no way c o m p a r a b le t o t h e r e t u r n o f a C h i n e s e

e m p e r o r fro m h i s h s i n g - t s a i t o h i s p e r m a n e n t a b o d e i n

the c a p i t a l . The p e r m a n e n t a b o d e o f a L i a o e m p e r o r was

h i s n a - p o an d when he w e n t t o one o f t h e f i v e C a p i t a l s

he was i n f a c t g o i n g t o a t e m p o r a r y r e s i d e n c e . S cholars,

b o t h C h i n e s e and w e s t e r n , h o w ev e r, h a v e i m a g i n e d , q u ite

w rongly, t h a t th e s e o c c a s io n a l v i s i t s , to th e f i v e C a p ita ls

a r e evidence of th e a d o p tio n of C hinese m anners.

T h i s t r a n s l i t e r a t i o n was a l s o u s e d by t h e two d y n a s t i e s

su cceed in g L iao, t h e C h in a n d t h e Yuan. I t was a l s o

 6.

w r i t t e n i n s u c h v a r i o u s fo rm s a s fK na-pa^1^ ,

l a - p o ^ 2 ^, na-p o^ ^ and ^ na-pao^^ .

I n a n c i e n t C h in e se , na-po i s pronounced n & t-p at . In

(51
t h e M o n g o l - J a p a n e s e D i c t i o n a r y of Yanagawa H e i s u k e v ' ,

t h e r e i s a w ord " n a n d i - b a t " ( S a n s k r i t ,!n a n d i - p a d a ) w i t h

th e m eaning (1 ) a p l e a s a n c e , p l a c e o f r e c r e a t i o n , (2)
( 61
p r o p e r name o f a p a l a c e *. The s e c o n d m e a n i n g i s

c e r t a i n l y d e r i v e d fr o m one o f t h e o l d n a - p o l e f t b e h i n d

Ma. K’uo* M a o - c h a i t z u - h s u ( % B ) *
Q u o ted i n Iisu M e n g - h s . i n 's S a n - c h ' a o p e i - m e n g h u i - p i e n
ch. 1 5 . Ma KPuo was t h e Sung envoy who n e g o t i a t e d p e a c e
t e r m s w i t h A k u t a , t h e f o u n d e r o f t h e C h in d y n a s t y , i n
h i s n a - p o i n t h e v i c i n i t y o f I e k i n g w h i c h he had r e c e n t l y
tak en , over from t h e K h ita n .

^ ^ Y u - w S n Mao-chaos l a - c h i n k u o - c h i h , ch. 11, 6b, (A H i s t o r y

o f t h e G-reat C h in Kingdom) .

^ ^ I n t h e e d i c t o f t h e e m p e r o r S h u n - t i o f Yuan, p r e f a c e d
t o t h e P o - n a e d i t i o n o f t h e Chih S h i h .

^^ Y a n g Y u n -fu i L uan-ching t s a - y u n g .

J a p a n e s e War O f f i c e s MQkogo D a i j i t a n ( M o n g o l - J a p a n e s e
D i c t i o n a r y .)

^ 1 owe t h i s i n f o r m a t i o n . t o D r . A r t h u r W a le y . In h is
l e t t e r t o me (D e b . 18, 1 9 4 9 ) , he adds.: "The u s u a l m e a n i n g
o f n a n d i - p a d a i n S a n s k r i t , h o w ev e r, a s D r . M a s t e r s t e l l s
me, i s f o o t p r i n t o f N a n d i , t h e name, o f a p a t t e r n
s o m e t i m e s s t a m p e d on c o i n s . 11

r v ..
 by one o f t h e K h i t a n , o r Mongol ( o r p o s s i b l y o f J u r c h e n )

ru le rs^ ^ .

D e s p i t e t h e i m p o r t a n c e o f t h e r o l e p l a y e d by t h e n a - p o

in the l i f e o f th e L iao em perors, the s e n te n c e s quoted

a t th e b e g in n in g of t h i s a r t i c l e a r e t h e f i r s t h a l f of

t h e only p a s s a g e i n t h e o f f i c i a l L iao H i s t o r y i n which

th e term na-p o i s found. For th e c o n te m p o ra rie s , na-po

was a commonplace and t h e s o u r c e s f o r t h e L i a o H i s t o r y

pro b ab ly considered i t u nnecessary to g iv e any f u r t h e r

acco u n ts of i t . As t i m e w e n t on, h o w e v e r , and t h e mode

o f l i v i n g w h i c h t h i s i n s t i t u t i o n r e p r e s e n t e d became l e s s

and l e s s f a m i l i a r to p e o p le o f l a t e r g e n e r a t i o n s , the
tm !■ wi l l — . n m ■« . ^ ■'■nrnr'rth-THfV ■-Thwrir-fr-ir1rf»tT~t~Tlr^H“ti-rm-rYrfcrTi-h'<«iiiii*Vi i i r f '“>*—r - Ttii I ■'■I |h.mtrfMwr<H»T‘imrM*;iwiB.<--f—j imrn"M

( 1)
I n t h e Qh1i n - t i n g s a n - s h l h k u o - y u c h i e h , c o m p ile d
u n d e r t h e a u s p i c e s o f t h e e m p e r o r Gh’ i e n - l u n g i n 17 81 ,
d evoted to th e r e c o n s t r u c t i o n of th e in d ig e n o u s term s
f o u n d i n t h e L i a o , Ghin an d Yuan H i s t o r i e s , n a - p o i s
e x p l a i n e d a s t h e e q u i v a l e n t o f " p a - n a 11 o f t h e Manchu,
w h i c h means a p l a c e . Ch’ i e n - l u n g h e l d t h a t t h e t e r m had
b e e n w r o n g l y t r a n s l i t e r a t e d and t h e o r d e r o f t h e s y l l a b l e s
h a d b e e n t r a n s p o s e d , a n d , t a k i n g t h i s a s a n e x a m p le , he
c r i t i c i s e d th e ig n o ra n c e of th e C hinese p e o p le of th e
n o n - C h i n e s e l a n g u a g e s . He h i m s e l f was w ro n g i n t h i s c a s e .
S h i r a t o r i EuralcL chi h e l d t h a t H a-po i s a t r a n s l i t e r a t i o n
o f ,!n u t u k - b a u , form ed by c o m b in in g t h e Mongol " n u t u k 1',
m ea n in g a camp o r d w e l l i n g p l a c e a n d t h e Manchu J jp a",
m e a n in g a p l a c e . A l t h o u g h t h e m e a n in g o f " n u t u k i s
r a t h e r s i m il a r to t h a t of na-po, y e t p h o n o lo g ic a lly t h i s
d e r iv a tio n i s im p o ssib le. (lo._ko M in ^ o k u -k o , S h i g a k u
Z a a s h i , V o l . 24, p p . 1 9 - 2 0 ) .
m ean in g o f t h e t e r m became i n c r e a s i n g l y obscure. I t had

become a p u z z l e - - b e c a u s e t h e C h i n e s e c h a r a c t e r s co n v e y ed

no m e a n in g w h a t e v e r . The l a c k o f e x p l i c i t i n f o r m a t i o n

ab o u t th e na-po and th e m is le a d in g t r a n s l a t i o n of t h e

wox»d, com bined w i t h t h e o c c u r r e n c e o f a num ber o f

s u p e r f i c i a l i n d i c a t i o n s o f t h e s i n i c i z a t i o n of t h e L i a o

em pire in p a rtic u la r, t h e e x i s t e n c e of t h e f i v e C a p i t a l s

h a v e l e d . t o a mis c o n c e p t i o n o f t h e r e a l n a t u r e o f t h e

L iao d y n a s t y , T h i s may be s e e n i n t h e w.rong i n t e r p r e t a t i o n s

o f t h e K h i t a n c u l t u r e by a number o f m o d e rn a u t h o r i t i e s ,

b o th E uropean and C hinese, q u o ted below .

H o w o rth , commenting on t h e h i s t o r y of t h e L i a o , says:

11The c o n t a c t o f t h e K h i t a n s an d t h e C h i n e s e was. f o l l o w e d ,

a s seems t o b e u n i v e r s a l l y t h e c a s e t h e r e , by t h e g r a d u a l

w e a n i n g o f t h e r a c e o f s o l d i e r s fro m t h e i r o l d h a b i t s

and t h e a c q u ire m e n t o f t h e e f f e m i n a t e m anners w hich

p re v a il in E astern co u rts.

Y u le s a y s ; "The K h i t a n e m p ire s u b s i s t e d f o r two

c e n tu rie s..... The same c u r i o u s p r o c e s s t o o k p l a c e w h ic h

seems a l w a y s t o h a v e f o l l o w e d t h e i n t r u s i o n o f T a r t a r

H o w o rth , H. H.s H i s t o r y o f Mongo l s , I , p-2.

co n q u e ro rs i n t o C hina, The. i n t r u d e r s t h e m s e l v e s a d o p t e d

Chinese m anners, cerem onies, lite ra tu re ., and c i v i l i z a t i o n

a n d g r a d u a l l y l o s t t h e i r e n e r g y and w a r - 1 i k e c h a r a c t e r . ,,v( 1 )1

P e l l i o t s a y s : 11I t h a p p e n e d t o t h e K h i t a n as. t o a l l

t h e nomads who s e t t l e d down i n C h in a , a s v i c t o r s , th at,

hy t h e i r o n y o f f a t e , t h e y w ere s o o n c o n q u e r e d by t h e

C hinese C i v i l i z a t i o n . At t h e e n d o f a few g e n e r a t i o n s ,

t h e K h i t a n h a d become c i v i l i z e d an d s i n i c i z e d . 11N '

P r o f e s s o r C h ' i e n Mu s a y s : "The K h i t a n f o u n d e d t h e

fiv e C ap itals. They h a d a l s o p r e f e c t u r e s a n d ..........

co u n ties. In sh o rt, t h e n a t u r e of t h e , K h i t a n Kingdom

was d i f f e r e n t fr o m t h a t o f t h e H s i u n g - n u i n t h e F orm er

Han d y n a s t y , o r t h a t o f t h e T u rk s d u r i n g t h e T ' a n g . It

was v i r t u a l l y a n o f f - s h o o t o f t h e Chinese. M i d d l e Kingdom."^

A ll th e s e s c h o la r s thoug ht t h a t th e K hitans w e re

sin icized lik e o th er T a r ta r conquerors. It is true th a t

s u c h n o n - C h i n e s e d y n a s t i e s as. t h e C h in a n d Oh1i n g w e re

" c o n q u e r e d by t h e C h i n e s e c i v i l i z a t i o n . " The c a s e o f

^ Y u l e . H . : C ath ay a n d t h e Way T h i t h e r , P r e l i m i n a r y
' ifajJUfHinillilH Himill iftr h iiihi I m >1 m mil rnfnMiir r ^ m n n i r n w ‘-tH«im*TJ~ T n r~iiiii 1'" ill. i i ^ W

Dssay, p . U 7 »
run iwwwtinm

' 2h e l l l o t , P . : La. Haute. A s i e , p p . 2 1 - 2 2 .

Ch.' ie .n Mu: K u o - s h i h l a - k a n g , v o l.l, p . 364-

L i a o , h o w e v e r, w as d i f f e r e n t . The K h i t a n p e o p l e n e v e r

e n t e r e d C h in a p r o p e r . They l i v e d on t h a i r h o m e la n d an d

c o n t i n u e d t o p u r s u e t h e i r o r i g i n a l way o f l i f e a s nom ads.

A lthough, f o r r u l i n g ev er t h e i r C hinese s u b j e c t s , the

L i a o e m p e r o r s a d o p t e d a number o f C h i n e s e m a n n e r s ,

e s s e n t i a l l y th ey rem ained K h ita n .

I n t h e i r r e c e n t w o rk , D r . K. A. W i t t f o g e l and Mr. F ^ng

C hla-shSng s t a t e t h a t " c o n t r o l l i n g a p a r t l y p a s t o r a l ,

p a r tly a g r ic u ltu r a l p o p u latio n , t h e L i a o e m p e r o r s had.

f i x e d c a p it a l s , and c i t y p a l a c e s i n t h e c l a s s i c C hinese

manner. B ut t h e e m p e r o r s , p e r p e t u a t i n g t h e n o m a d ic

h a b it of t h e i r a n c e sto rs, s p e n t much t i m e i n t h e i r s e a s o n a l

camps, t h e n a - p o , " an d t h u s show g r e a t e r i n s i g h t i n t o

th e Liao c u l t u r e . But t h e i r s ta te m e n ts t h a t every year

" s h o r t l y a f t e r h i s ( t h e L i a o em pero r) r e t u r n ( f r o m the.

s p rin g h u n tin g place) t o t h e c a p i t a l ( i t a l i c m in e) he

s e t o u t a g a -in ," a n d t h a t " I t i s a l s o p o s s i b l e t h a t t h e

l a t e r e m p e r o r s s p e n t more t i m e i n t h e c a p i t a l s t h a n d i d
( 1)
th e f i r s t ru lers of th e s t a t e ," ' i n d i c a t e t h a t they

still c o n s i d e r t h e c a p i t a l s t o h a v e b e e n t h e more o r l e s s

^■^K, A. W i t t f o g e l a n d F en g C h i a - s h S h g : H i s t o r y o f
C h i n e s e S o c i e t y , L i a o , p p . 1 3 1 -3 4 an d 436*
 11

r e g u l a r r e s i d e n c e o f t h e L i a o e m p e r o r s and h a v e f a i l e d

to a p p r e c ia te th e tr u e n a tu re of th e na-po.

i n th e t e x t of th e L iao H is to r y , one. f r e q u e n t l y comes

a c r o s s two e x p r e s s i o n s , t h e ” s p r i n g r i v e r 1* c h * u n - s h u i

a n d ”a u tu m n m o u n t a i n 11, c h ’ i u - s h a n ^ . P uzzled

by t h e f a c t t h a t t h e y c o n t a i n s u c h g e o g r a p h i c a l t e r m s

a s 51river** ( o r r a t h e r 1*water**) and " m o u n t a i n ” , one i s

t e m p t e d t o t h i n k t h a t t h e y a r e g e o g r a p h i c a l p r o p e r names,

and m o d ern s t u d e n t s o f L i a o h i s t o r y h a v e t r i e d t o i d e n t i f y
( 1)
th e ir lo catio n s . They a r e , h o w e v e r, n o t r e a l p r o p e r

nam es. O r i g i n a l l y th§y w e re u s e d t o d e n o t e t h e m ost

i m p o r t a n t s p r i n g h u n t i n g l a k e w h e r e sw a n s , or w ild geese,

w ere c a u g h t , an d t h e m ost i m p o r t a n t a u tu m n h u n t i n g p l a c e s ,

t h e m o u n ta in s where d e e r abound. L u rin g th e Liao tim e ,

t h e m ost i m p o r t a n t s p r i n g h u n t i n g p l a c e was Y u - e r P o ,

w h ic h was n o t f a r fr o m O h ang -ch *u n Chou on t h e e x t r e m e

n o r t h - e a s t e r n f r o n t i e r o f L ia o ( n o r t h o f p r e s e n t Ch’ a n g

( V\
v Ike-uchi H o r i s h i l . :f h e S p r i n g H i v e r of t h e L i a o D y n a s t y
i n floyo g a k u h d , v o l . V l ’, n o . 2 ; "Tsuda" S o k i c h i : On t h e p o s i t i o n
o f t h e L i a o c i t y l a - l u - k u (M ansen c h i r i - r e k i s h i Kenkyu
h o k o k u , h o . 2) an d f h e P r e f e c t u r e o f O h ' a n g - c h ' u n o f t h e
L i a o Dyna s t y ( i?5yo g a k u h o , v o l . V I I , k o . i . )
i i i P l i - W i i X i i B f t i i n . i nwiTiiri h im i i n m m i n r nw nn—
Oh1un) a n d t h e m o s t i m p o r t a n t autum n h u n t i n g g r o u n d s w e r e

t h e m o u n t a i n s t o t h e w e s t o f Oh* i n g Chou t o t h e e a s t , of

w h i c h was t h e Supreme. C a p i t a l ( n e a r p r e s e n t l i n - h s i

of Je h o l) . Ch1u n - s h u i and Ch* i u - s h a n o r i g i n a l l y a p p l i e d ,

t o Y u - e r Po an d t h e m o u n t a i n s t o t h e w e s t o f Ch’ i n g Chou

resp ectiv ely , a n d u s u a l l y h a d t h e s e m e a n i n g s i n t h e L ia o

H istory. L e tte r, t h e m e a n i n g of b o t h t e r m s w id e n e d , and

t h e y w e r e u s e d t o a p p l y t o a n y ponds, w h e r e t h e p r i n c i p a l

s p r i n g h u n t i n g f o r swans, o r a n y p l a c e s w h e r e t h e p r i n c i p a l

autum n h u n t i n g f o r d e e r w ere h e l d . F in ally , "sp rin g

w a t e r ” and 11au tu m n m o u n t a i n s ” w e re used, a s a l t e r n a t i v e

e x p r e s s i o n s f o r t h e s p r i n g an d autum n h u n t i n g s t h e m s e l v e s .

A- Sung c o n t e m p o r a r y o f t h e l a s t L i a o e m p e r o r , T ! i e n - t s o ,

s p e a k i n g o f t h e t r o u b l e c a u s e d by t h e m a n u f a c t u r e of a

c e r t a i n k i n d o f w in e w a n t e d by 1‘*i e n - t a o , w h i c h p r a c t i c e

h e c o n s i d e r e d a s one of t h e r e a s o n s t h a t l e d t o t h e f a l l

of t h e L iao d y n a s ty , said : "The. t r o u b l e t h a t i t b r i n g s

ab o u t i s n e x t only to t h a t c a u s e d by t h e " s p r i n g w a t e r ”

( c h !u n - s h u i ) , an d t h e " a u tu m n m o u n t a i n s ” ( c h 1i u s h a n ) .

I n t h e s e c t i o n on d a i l y costum e i n t h e c h a p t e r on

" c h a r i o t s and costum es” i n t h e o f f i c i a l Chin H i s t o r y , it

is stated : "The c o s tu m e s w h i c h t h e y w e a r w h i l e f o l l o w i n g

t h e E m p e ro rs t o " s p r i n g w a t e r " a r e u s u a l l y d e c o r a t e d
w i t h d e s i g n s o f f a l c o n s c a t c h i n g swans a g a i n s t a b a c k g r o u n d

of f lo w e r s and g r a s s - I h e co s tu m e s w h i c h t h e y w e a r w h i l e

e s c o r t i n g t h e e m p e r o rs t o "autumn, m o u n t a i n " a r e u s u a l l y

d e c o r a t e d w i t h d e s i g n s o f b e a rs ., d e e r , f o r e s t s and

m ountains.. B o th k i n d s o f c o stu m es a r e o n l y l o n g enough

t o r e a c h t h e m i d d l e o f t h e s h i n bone f o r t h e c o n v e n i e n c e

o f r i d i n g . 11^ ^

I n t h e C h in and Yuan d y n a s t i e s , both term s continued

t o be us.ed. They o c c u r f r e q u e n t l y i n t h e l i t e r a t u r e of

th o se p erio d s.. In n e a rly a l l cases, th ey a r e used in

the w id est sense. In the p a s t, s c h o l a r s who c o n s i d e r e d

them a s p r o p e r g e o g r a p h i c a l names f o u n d d i f f i c u l t y i n

e x p l a i n i n g th em s a t i s f a c t o r i l y . //'J?he d e v e l o p m e n t of t h e

m e a n in g o f " s p r i n g w a t e r 11 and " a u tu m n m o u n t a i n s " p r o v e s

t h e p o p u l a r i t y o f t h e s p r i n g a n d au tu m n h u n t i n g s am on g st

t h e L i a o emperors..

W h i l e s p r i n g a n d au tu m n w e r e t h e s e a s o n s d u r i n g w h i c h

t h e L i a o e m p e r o rs w e r e i n m o t i o n , summer a n d w i n t e r w ere

th e seasons, d u r i n g w hich t h e y rem ained s e t t l e d . In the

^ C h i h S hih, c h . 43, 9 a -
 14

summer t h e y w e n t t o m o u n t a i n r e g i o n s , w h i c h w e r e t h e i r

summer r e s o r t s a n d i n t h e w i n t e r t h e y c h o s e w arm er p l a c e s

f o r th e cold days.

Surveying th e y e a r ly a c t i v i t i e s o f t h e L i a o emperors.?

t h e a u t h o r s o f t h e L i a o H i s t o r y give, a n a c c o u n t o f t h e

na-po i n th e f o u r sea so n s;

"The S p r i n g n a - p o was c a l l e d Duch R i v e r L a k e . In

t h e f i r s t d e c a d e o f t h e f i r a t moon? t h e E m peror moved

h is tent? a n d a r r i v e d , a t £ t h e Lake} a b o u t s i x t y d a y s

la te r. B e f o r e t h e coming o f t h e swans., h e e r e c t e d

h i s t e n t on i c e . He made h o l e s i n t h e I c e i n o r d e r

to catch f i s h . When t h e i c e had m e l t e d , h e r e l e a s e d

f a l c o n s t o c a t c h swans a n d w i l d g e e s e . He w en t o u t

i n t h e m o r n i n g and came b a c k i n t h e e v e n i n g , occupying

h i m s e l f w.ith f i s h i n g a n d h u n t i n g . Thus.? catch in g

b i r d s an d h o o k i n g f i s h t h e s t a y e d , h e r e ) u n t i l t h e

end o f s p r i n g when he r e t u r n e d .

" F o r t h e Summer n a - p o t h e r e was no f i x e d p l a c e .

U s u a l l y i t was i n T u - e r M o u n t a i n . . . . I n t h e second

d e c a d e o f t h e f o u r t h moon? t h e E m p ero r moved h i s t e n t ,

and c h o s e a n a u s p i c i o u s p l a c e f o r a summer r e s . o r t .

I n t h e l a s t d e c a d e o f t h e f i f t h moon, or th e f i r s t

d e c a d e o f t h e s i x t h moon, he a r r i v e d t h e r e . He s t a y e d
 15

f o r f i v e decades and d is c u s s e d s t a t e a f f a i r s w ith

o f f i c i a l s f r o m t h e N o r t h e r n and t h e S o u t h e r n ( R e g i o n s ) .

I n days of l e i s u r e ? he h u n t e d . I n th e m iddle o f t h e

s e v e n t h moon he d e p a r t e d .

" I h e Autumn n a - p o was c a l l e d V a n q u i s h i n g l i g e r

F o rest. I n t h e m i d d l e o f t h e s e v e n t h moon? t h e i m p e r i a l

t e n t was moved f r o m t h e summer r e s o r t t o t h e m o u n t a i n

re g io n s in o rd e r to hunt d e e r. E v e r y y e a r when t h e

Em peror came,? a l l th o s e , i n a t t e n d a n c e , f r o m members.

o f t h e r o y a l h o u s e down, s c a t t e r e d a l o n g s i d e t h e po n d s

w a i t i n g u n t i l n e a r l y m i d n i g h t when d e e r came up and

drank th e s a l t y w a te r . H u n t e r s . w e re o r d e r e d t o blow

h o r n s i m i t a t i n g t h e so u n d o f d e e r . When d e e r g a t h e r e d ?

t h e y w e re s h o t , f h i s was c a l l e d " s a l t - l i c k i n g d e e r 11
( 1)
or " c a llin g d eer"v / .

" f h e W i n t e r n a - p o was c a l l e d K u a n g - p 1 i n g l i e n ..........

H e r e i t was f l a t and was s u r r o u n d e d i n d i s t a n c e by

sandbanks I he r e was p l e n t y o f s a n d . I t is ra th e r

warm i n t h e w i n t e r ? and t h e em pero r u s u a l l y s p e n t h i s

^ H ere t h e a u t h o r s o f t h e L i a o H i s t o r y m i s t a k e n l y
m ix e d up " s a l t - l i c k i n g d e e r " and " c a l l i n g d e e r " w h i c h
w e r e two q u i t e d i f f e r e n t means f o r h u n t i n g d e e r .
S ee p . 41 f f .
 w i n t e r days. h e r e . He h e l d p o l i t i c a l co u n c ils w ith high

o f f i c i a l s f r o m t h e n o r t h e r n and t h e S o u t h e r n (^Regions} .

S om etim es he went o ut h u n t i n g o r t o o k p a r t i n m i l i t a r y

exercises.. (.In t h i s n a - pcQ t h e E m p e ro r r e c e i v e d

p r e s e n t s a n d t r i b u t e from t h e Sung a n d o t h e r n a t i o n s

(2^
I n t h e Liao H is to r y t h e r e i s a c h r o n o lo g ic a l t a b l e ' '

d e v o t e d t o the- r e c o r d i n g o f e v e n t s c o n n e c t e d w i t h the.

ac tiv itie s o f t h e L i a o emperors.. I t in clu d es accounts

o f t h e i r s p o r t s . , h u n t i n g and. t r a v e l l i n g . I f i t had been

w e l l done, i t would s e r v e a s a m o s t u s e f u l key t o t h e

a c t i v i t i e s of t h e L iao em perors th r o u g h o u t t h e y e a r .

U n fo rtu n ately , i t was n o t c a r e f u l l y p r e p a r e d . Even t h e

d a t a c o n t a i n e d i n o t h e r p a r t s of t h e L i a o H i s t o r y i t s e l f

— th e A nnals, f o r i n s t a n c e — have n o t a l l been in c lu d e d .

1 have t r i e d to i n c o r p o r a t e such d a t a , a s w e l l as t h a t

o b t a i n e d e l s e w h e r e — i n p a r t i c u l a r f r o m t h e w o rk s o f

I»iQ° S h i h , ch . 32, l b - 3 b . T his i s t h e second h a l f o f

th e p a ssa g e quoted a t th e beginning o f t h i s s e c t i o n .

Liao S h ih , ch. 68.

c o n t e m p o r a r y Sung w r i t e r s i n a. r e v i s e d e d i t i o n o f t h e

T a b le * We h a v e now a more or l e s s com plete p i c t u r e of

th e a c t i v i t i e s o f t h e L ia o e m p e ro rs an d a r e a b l e t o t e l l

t.o a c e r t a i n e x t e n t t h e . e x a c t p l a c e s w h e r e t h e L i a o

e m p e r o r s s t a y e d i n e a c h m o n th .

(1*)
v ' A f t e r t h e p e a c e t r e a t y b e t w e e n Sung an d L i a o i n
1004? t h e s o v e r e i g n s o f b o t h s t a t e s e a c h a g r e e d t o s e n d
envoys t o t h e c o u r t o f t h e o t h e r t w i c e e v e r y y e a r , once
t o c e l e b r a t e t h e o t h e r 1s b i r t h d a y and t h e o t h e r t i m e t o
g r e e t t h e Hew Y e a r ' s L a y . The L i a o e m p e r o rs r e c e i v e d
t h e Sung en v o y s i n t h e i r v a r i o u s n a - p o . A f t e r r e t u r n i n g
fro m t h e L i a o C o u r t , t h e Sung envoys a l w a y s s u b m i t t e d
t o t h e i r e m p e r o r s m e m o r i a l s , w h ich w e r e c a l l e d , a t t h a t t i m e
y u -lu , i n w hich t h e y r e l a t e d what th e y had s e e n
on t h e j o u r n e y an d w h at t h e y had done i n t h e K h i t a n
co u rt. L o r t h e m o s t p a r t t h e Sung envoys w e r e members
o f t h e H an -1 i n Academy? o r t h e i r e q u a l s . Most of them
a c h ie v e d high p o s i t i o n s e i t h e r i n th e p o l i t i c a l sp h ere
o r i n s c h o l a r s h i p . Apart, fro m t h e y u - l u w h i c h t h e y had
t o p r e s e n t o f f i c i a l l y t o t h e em perors? t h e y a l w a y s w r o t e
poems as. w e l l a s b r i e f n o t e a t o d e s c r i b e t h e h a p p e n i n g s
w h i c h i n t e r e s t e d them on t h e i r j o u r n e y t o L i a o . Some
o f t h e y u - l u an d many o f t h e works o f t h e env o ys i n w h i c h
t h e s e poems a n d n o t e s a r e i n c l u d e d a r e p r e s e r v e d t o t h e
p r e s e n t day. These a r e i n v a l u a b l e m a t e r i a l f o r s u p p l y i n g
t h e m i s s i n g k n o w le d g e n e c e s s a r y f o r t h e s o l u t i o n o f some
of t h e pro b lem s c o n c e rn in g L iao g e o g rap h y . The Sung
embassy c o n s i s t e d o f a num ber o f p e r s o n s , h e a d e d by a n
a m b a s s a d o r and a v i c e - a m b a s s a d o r ? one o f them s e l e c t e d
fro m t h e c i v i l s e r v i c e ? t h e o t h e r a m i l i t a r y o f f i c e r *
U s u a lly th e c i v i l s e rv a n t a c te d as th e am bassador. In
t h e a b o v e , by envoys we mean t h e c i v i l a m b a s s a d o r s .
( S e e Lu? L o -h u a n : S u n g - j i n S h i h - l i a o H a i n g - o h f&ag K 'a .o ,
i n K u o -h s u e h Chi-k* a n , v o l.Y ? H o . 4 ) .
 18-.
( 1)
R e l y i n g on t h e r e v i s e d e d i t i o n o f t h e 1 r a v e l f a b l e '

we c a n s a f e l y c o n c l u d e t h a t t h e p i c t u r e d ra w n by t h e

a u t h o r s o f t h e L i a o H i s t o r y on the. L i a o e m p e r o r s ’ l i f e is

ju stifie d . I t is. a s k e l e t o n p i c t u r e of t h e i r y e a r l y

a c tiv itie s.. I f t h e y h a d some s p e c i a l a c t i v i t i e s , it

means, t h a t t h e p e r i o d t h e y s p e n t i n one p a r t i c u l a r n a - p o

w o u ld be s h o r t e n e d . A l t h o u g h t h e a b o v e - m e n t i o n e d camps

f o r t h e f o u r se a so n s were no t n e c e s s a r i l y th e only p l a c e s

w h e r e t h e na~po w ere p i t c h e d , t h e y w ere c e r t a i n l y t h e

m o st i m p o r t a n t , f o r f u l l e r d iscu ssio n s of th e geographical

asp ects of th e na-po se e n ex t s e c t i o n .

f o r p o l i t i c a l o r o t h e r reasons., t h e r o u t i n e c o u l d be

changed. B u t w h at was. ch an g ed was o n l y t h e g e o g r a p h i c a l

p o s i t i o n o f t h e n a - p o , t h e p l a c e w h e re t h e new n a - p o was

f o u n d w o u ld be of t h e same n a t u r e a s t h e o l d one — t h a t

i s to say, i t w ould s t i l l be s u i t a b l e f o r t h e s p e c i a l

programme o f t h e , s e a s o n c o n c e r n e d . As t h i s p r a c t i c e was

c a i ’r i e d o u t y e a r a f t e r y e a r , a l l t h e c o n t e m p o r a r i e s knew

about I t . I t i s not s u r p r is in g , th erefo re, th a t q u ite

d i f f e r e n t so u rces g iv e n e a r ly i d e n t i c a l accounts of th e

^ ^ Pu L o-hu an s L i a o - s h i h y u - h s i n g - p i a o c h e n g - p u ( B u l l e t i n
o f t h e I n s t i t u t e o f H i s t o r y an d P h i l i l o g y o f t h e Academi a
S l n i c a , v o l . X , n o .2 „)
life of th e L iao em perors,

"Every y e a r , in the f i r s t decade of th e f i r s t

moon, t h e K h i t a n ( em p ero r) w e n t o u t h u n t i n g f o r s i x t y

days. f h e n he w ent t o T a - l u R i v e r a n d c a u g h t f i s h

by c u t t i n g h o l e s i n t h e i c e and t h r o w i n g h o o k s . A fter

t h e i c e h a d m e l t e d , h a r e l e a s e d f a l c o n s t o c a t c h swans

an d w i l d g e e s e . I n t h e summer he r e s i d e d i n C a rb o n

M ountain, o r w e n t up i n t o t h e Cool P a s s t o a v o id , t h e

h ea t. I n t h e f i r s t d e c a d e o f the. s e v e n t h moon, he

w ent i n t o m o u n t a i n s t o h u n t d e e r . At m i d n i g h t h u n t e r s

w e r e o r d e r e d t o blow h o r n s i m i t a t i n g t h e s o u n d o f d e e r .
( 1)
When t h e d e e r g a t h e r e d , he s h o t t h e m . " '

"When t h e IC hitan e m p ero rs were r u l i n g t h e r e w as a

l o n g p e r i o d o f p e a c e and t h e y h a d few a f f a i r s t o d e a l

w ith. Every s p r i n g th e y r e l e a s e d ( s h o u ld read "c a u g h t")

swans, in the sp rin g w ater, and caught, f i s h by hooks

i n H u n g -t'u n g R iv e r. I n summer, t h e y h e l d summer

r e s o r t i n Yung-An M o u n t a i n . I n au tu m n t h e y h u n t e d

d e e r i n t h e "a u tu m n m o u n t a i n s " — B l a c k M o u n t a i n

I h e r e ought t o be a p a s s a g e a b o u t h i s w i n t e r
h u n tin g a c t i v i t i e s w hich is m is s in g i n t h i s t e x t .
 20 .

i n Oh 1 i n g Chou. In w inter, they hu n ted t i g e r s i n

H s i e n Chou. H a v in g no f i x e d , d w e l l i n g d u r i n g t h e f o u r

seasons, th e y in d u lg e d i n t r a v e l l i n g and h u n tin g ."

The f o r m e r p a s s a g e fo rm s p a r t of t h e s e c t i o n on t h e
(1 )
K h i t a n i n t h e Sung N a t i o n a l H i s t o r y ^ J , a n d t h e l a t t e r

i s q u o t e d fr o m the. H i s t o r y o f t h e G-reat C h in Kingdom.

't h e r e a r e s l i g h t d i s c r e p a n c i e s b e t w e e n t h e s e p a s s a g e s

a n d t h a t q u o t e d ab o v e fro m the. H i s t o r y —. a s a r e s u l t

o f the; d i f f e r e n c e o f t h e e x p e r i e n c e o f t h e r e p o r t e r s ,

or of m i s in f o r m a tio n o r m i s - r e c o r d i n g . A d esc rip tio n

o f t h e i n d i v i d u a l a c t i v i t i e s i n e a c h s e a s o n w i l l be g i v e n

i n t h e next, s e c t i o n .

Ju dging* fr o m t h e p o i n t of view o f p e o p l e o f a s e d e n t a r y

so ciety , t h e C h i n e s e c o n t e m p o r a r i e s of Lia.o a lw a y s s p e a k

of t h i s state of a f f a i r s i n a to n e of condem nation. This

a t t i t u d e was, o f c o u r s e , w ro n g . .Hor i s i t rig h t to

d e s c r i b e these, a c t i v i t i e s , as " t r a v e l l i n g s " . They fo rm

^ ^ K u Q -s h ih chi i ~ f a n Chuan, q u o t e d i n L i T ' a o ' s A n n a ls

o f t h e N o r t h e r n Sung, t h e Hsu T z u - o h l h t 1u n g ~ c h i e n c h 1a n g -
p i e n , c h .110. T h i s s e c t i o n o f the. Sung n a t i o n a l H i s t o r y
was one o f t h e m o s t i m p o r t a n t s o u r c e s on t h e K h i t a n on
w h ic h T eh l u n g - l i ' s H i s t o r y o f t h e K h i t a n Kingdom, t h e
Oh* i - t a n - ~ k u o - c h i h , was b a s e d . R u d o l f S t e i n h a s g i v e n a n
a b r i d g e d v e r s i o n i n P r e n c h o f Y e h ’ s work ( I 1 Q-ung P a o , v o l . 3 5 ) .
t h e d a i l y l i f e , i t s e l f o f th e Liao em p ero rs. Chang S h u n -m in ,

a Sung env oy who v i s i t e d L i a o t w i c e , i n 1094 an d 1 1 0 1 ,

h a s p r o p e r l y a p p r e c i a t e d , t h e r e a l s i g n i f i c a n c e of t h i s

p ra c tic e . He s a y s : "The n o r t h e r n e r s ( t h e K h i t a n s ) h u n t

{^various t y p e s o f game} i n d i f f e r e n t p l a c e s i n t h e . s e v e r a l

seasons, j u s t a s t h e S o u t h e r n e r s , ( t h e C h i n e s e ) sow
( l')
£d i f f e r e n t crops} i n t h e d i f f e r e n t s e a s o n s of t h e y e a r . " v '

The a u t h o r s o f t h e L i a o H i s t o r y , in th e ir in tro d u ctio n

to th e T ra v e l-T a b le , have a ls o r i g h t l y s t a t e d :

"As a g r i c u l t u r e i s e s t e e m e d by t h e C h i n e s e , so s t o c k -

b r e e d i n g and h u n t i n g a r e t h e l i v e l i h o o d of t h e p e o p l e

of th e G reat D e s e r t. P o r a l l t h e i r means o f s u b s i s t e n c e
( 2)
a r e d e r i v e d f r o m th e m ." '

^ Chang S h u n -m in : S h i h L i a o Lu

^^ L iao S h ih , ch .68, la .
 22 .

II

D e t a i l e d s t u d i e s o f t h e na.«~po

(a) th e "S p rin g W ater".

I n the. f o r e g o i n g s e c t i o n , we h a v e t r i e d t o r e v i e w t h e

L i a o emperors* y e a r ly a c t i v i t y as a w hole. Dow l e t us

study in d e t a i l t h e i r a c t i v i t i e s i n each of t h e f o u r

seasons.

I n t h e s p r i n g th e re , were two c h i e f o c c u p a t i o n s ~~ t o

c a t c h f i s h by c u t t i n g i n t o t h e i c e and. t h r o w i n g h o o k a

a n d t o c a t c h swans w i t h f a l c o n s . the. f i s h s e a s o n was

t h e f i r s t moon, a n d t h e swan s e a s o n was t h e end o f t h e

s e c o n d moon, or th e beginning of th e t h i r d . As t h e

f i s h i n g s e a s o n came e a r l i e r , i t happened t h a t th e accounts

o f f i s h i n g i n t h e L i a o H i s t o r y a lw a y s come f i r s t t o t h e

re a d e r's n o tic e . B e c a u s e o f t h i s and f o r v a r i o u s , o t h e r

reasons, s t u d e n t s of th e Liao H i s t o r y have h e ld t h a t

f i s h i n g was t h e p r i m a r y a c t i v i t y o f t h e s p r i n g h u n t i n g .

I n f a c t t h e moat i m p o r t a n t aim o f s p r i n g h u n t i n g was

swans. I t was so n o t o n ly i n t h e L i a o t i m e , but a ls o

i n t h e Ohin and the. Yuan d y n a s t i e s .

t h e h u n t o f sw ans was a lw a y s h e l d a t a l a k e , tow ards

t h e end o f s p r i n g , sw a n s a n d w i l d g e e s e a p p e a r e d . In
 23

h u n t i n g them t h e h a i - t u n g - c h 1i n g ( t h e " b l u e b i r d fro m t h e

e a s t of th e s e a " ) a s p e c i a l kind o f f a lc o n caught i n the

a r e a o f t h e e s t u a r y o f S u n g a r i , were e s s e n t i a l ,

A. v i v i d d e s c r i p t i o n o f c a t c h i n g t h e sw ans i n t h e s p r i n g

n a - p o a t Duck R i v e r L ake^"^ i s g i v e n i n t h e L i a o H i s t o i y .

" E v e r y t i m e when t h e E m p e ro r a r r i v e s a t the. l a k e ,

h is atten d an ts, a l l d r e s s e d i n d a r k g r e e n , and e a c h

eq u ip p e d , w i t h a hammer, a bowl o f f a l c o n - f o o d and a

d a g g e r f o r k i l l i n g s w an s , s t a n d r o u n d t h e l a k e , f iv e to

seven paces a p a r t. The Em peror, w e a r i n g a " w r a p p e r "

on h i s h e a d and c l o t h e s s u i t e d t o the. s e a s o n , w i t h a

jade g i r d l e round h i s w a i s t , s t a n d s w a t c h i n g on t h e

sh eltered , s id e of the la k e . W h e re v e r swans a r e f o u n d ,

f l a g s a r e r a i s e d and th e n l o o k - o u ts r i d e q u ic k ly to

inform th e o t h e r s . Drums a r e b e a t e n a r o u n d t h e p o n d an d
*
t h e swans a r e s t a r t l e d i n t o “f l i g h t . The h o r s e m e n t o t h e

r i g h t a n d l e f t a l l wave t h e i r f l a g s a t t h e m .

" R a i s i n g t h e f a l c o n s ( h a i - t u n g - c h 1i n g ) p e r c h e d on

t h e i r arm s the. f a l c o n e r s , w u - f a n g , bow t o t h e E m p e ro r

a n d h a n d th e m t o him . The Em peror l e t s th e m go up i n t o

the a i r . A f t e r c a t c h i n g t h e s w a n s , the, f a l c o n s f a l l

(■O S ee p . 29.
 24.

exhausted* Tiie a t t e n d a n t s who s t a n d n e a r e s t k i l l t h e

swans w i t h t h e i r d a g g e r and f e e d t h e f a l o o n s w i t h t h e

swan’ s b r a i n s . Phe men who r e s c u e t h e fa lc o n s., w i l l be

r e w a r d e d w i t h s i l k and s i l v e r .

"When t h e Em peror o b t a i n s t h e E i r s t Swan, he cf f e r s

it to the a n c e s t r a l tem p le. O f f i c i a l s each a ls o offer

w in e a n d v i a n d s . M usic i s p l a y e d , Phcs e who h a v e t a k e n

p a r t c o n g r a tu la te each o th e r . E v e l y o n e makes m e r r y by

f i x i n g a f e a t h e r to h i s head. Phe E m p eror g iv e s , w in e

to a l l h i s follow ers., and d i s t r i b u t e s a l l th e f e a t h e r s

o f t h e swan among t h e m . ” Cl}

v '

Phis. a c c o u n t i s p a r t i c u l a r l y i n t e r e s t i n g b e c a u s e i t

i s c o r r o b o r a t e d by Marco P o l o ’ s d e s c r i p t i o n of K h u b ila i* s

sp rin g hun tin g . 4 f t e r h a v i n g s p e n t h i s w i n t e r . i n Cambaluc

( P e k i n g ) , K h u b i l a i s t a r t e d o f f on t h e f i r s t of March

toward, t h e Ocean S e a t o h o l d h i s s p r i n g h u n t i n g . He t o o k

w i t h him ” 1 0 , 0 0 0 f a l c o n e r s , and some 500 g e r f a l c o n s ,

b esides p e rg rin e s, s aik er, and o t h e r hawks i n g r e a t

num ber; a n d goshaw k s t o f l y a t t h e w a t e . r - f o w l . ”

Liao S h ih , c h . 32, l b ~ 2 a 0
 25-

"'And l e t me. t e l l y o u , " P o l o c o n t i n u e s , "when h e ( K h u b i l a i )

goes, t h u s a - f o w l i n g w i t h h i s g e r f a l c o n s and o t h e r haw ks,

he i s a t t e n d e d by f u l l 1 0 , 0 0 0 men who a r e d i s p o s e d i n
( ±)
c o u p l e s , and t h e s e a r e c a l l e d t o s c a o l v i , w h i c h i s a s

much a s t o s a y " W a t c h e r s " . And t h e name d e s c r i b e s t h e i r

bu sin ess, fhe.y a r e p o s t e d f r o m s p o t t o s p o t , a l w a y s i n

c o u p le s , and th u s th e y cover a g r e a t d e a l of ground.

E v e r y man o f them i s p r o v i d e d w i t h a w h i s t l e and a hook

ao a s t o be a b l e t o c a l l i n a hawk a n d h o l d i t i n h a n d .

And t h e E m p e ro r makes.- a c a s t , t h e r e i s no n e e d t h a t he

follow i t up, f o r t h o s e men I s p e a k o f k eep so good a

look out t h a t th e y nev er lo s e s i g h t o f th e b ir d s , and

( 2)
i f t h e s e have need of h e lp th e y a re re a d y to r e n d e r i t . " v

One c a n s e e t h a t a l t h o u g h t h e ways o f sw an h u n t i n g

h a d u n d e r g o n e some c h a n g e s d u r i n g t h e p e r i o d b e t w e e n L i a o

an d Yuan, i n b r o a d o u t l i n e t h e y w e re t h e s a m e .

By t h e l i r s t Swan i s p r e s u m a b l y m e a n t t h e f i r s t

caught. I n t h e Song o f K h i t a n by a Sung p o e t C h ia n g

Kuei^ ^ , i t is stated , "One who f i r s t c a u g h t t h e Swan

^ ^ A c c o r d i n g t o Y u l e , t o s c a o l i s l u r k i , m e a n i n g "G -ardien,
s u r v e i l l a n t de l a r o u t e ; Yifachter, Wache, W e g e h u t e r . "

^^ Y u l e , H . : f r a y e l s o f Marco P o l o , V o l . l , p . 402-03.

^^ O h ian g Kue.i; P o - s h i h ia , o ~ j£ n S h i h - c h i .
 26.

was r e w a r d e d w i t h a h u n d r e d t a e l s of g o l d . " T h i s may

p e r h a p s serve, t o p r o v e t h e a b o v e p o i n t . I t has a l s o been

(11
i n t e r p r e t e d a s m e a n in g t h e l a r g e s t o r t h e b e a t sw an. '

D u r i n g t h e L i a o , C h in and Yuan p e r i o d s , , swan w e r e

c o n s i d e r e d t h e moat p r e c i o u s d i s h , a n d i t w as a common

p r a c t i c e , d u r i n g t h e s e , d y n a s t i e s t h a t t h e ' f i r s t Swan s h o u l d

be o f f e r e d to th e a n c e s t r a l tem p le.
( 2)
I n t h e "Guide. t o t h e I m p e r i a l D i e t " v ' d ev o ted , to

t h e d e s c r i p t i o n o f t h e Yuan e m p e r o r s 1 d i e t , swans were

l i s t e d f i r s t among t h e c a t e g o r y o f b i r d s . f h i s book i s

i l l u s t r a t e d a n d we; are. a b l e t o r e p r o d u c e ' t h e p i c t u r e

o f t h e swans h e r e . ( f i g . 1 ) .

^^ littfo g e l, op. c i t ., p . 1 3 2 .

^ H u S s u - h u i : Y i n - s h a n Ch&ng-yao ch. 3
 Hames o f swans are given In th e t e x t both in Mongol and. in
C h in ese:(1) top r ig h t:* b ig golden-headed swan";(2) bottom r ig h t:
•sm a ll golden-headed sw an*;(3) top le f t : " t h e swan th at has no cry*
and (4) bottom le f t : * s p o t t e d swan,*
The ex p la n a tio n reads:*[The f l e s h o f} the swan has a sweat
fla v o u r , I tr i s hot (a tim u la tin g )a n d has no bad e f f e c t s . I t
is* good fo r th% bowels and the nervous system . There are 3 or 4
grades o f swans. The b e s t kind i s the [b ig} golden-headed; h ext
the sm all golden-headed, [Then come} the sp o tted swans [and
f in a ll y } another c la s s which makes no cry^vhich b eats i t s wings
n o i s i l y in f l i g h t . I t s f le s h has a* s l i g h t l y f is h y fla v o u r , Kone
o f [th e se l a s t three} comes up to the [b ig} golden headed swan.
 27 .

I n 3 6 5 ? F o r e s t e r S h a - l a - t i e h r e c e i v e d the. p u n i s h m e n t

of t h e " h o t p i l l a r ” and t h e “ i r o n comb” ? b e c a u s e h e had

m is ta k e n ly f o r e t o l d th e d a te of th e appearance of th e

swan ( I')' . I n 1080 a m i n i s t e r who c a u g h t t h e F i r s t Swan

( 2)
was a w a r d e d t h e h i g h e s t h o n o r a b l e t i t l e r ' . B o th e v e n t s ?

a s w e l l a s t h e p r a c t i c e s o f o f f e r i n g t h e F i r s t Swan t o

t h e a n c e s t r a l t e m p l e a n d a w a r d i n g s i l v e r t o t h e man who

caught i t ? show how h i g h l y t h e swans were, e s t e e m e d .

f o h u n t swan? f a l c o n s ( h a i - t u n g - e h *i n g ) a r e e s s e n t i a l .

I n t h e L i a o tim e ? t h e r e was a s p e c i a l o f f i c e i n c h a r g e

of th e r e a r i n g of f a l c o n s . I n Mongol h i s t o r y t h e r e a r e

many r e f e r e n c e s t o s i m i l a r o f f i c e s - - w h ic h w e re t h e n

much more n u m e ro u s .

Falcons? however? were, n o t f o u n d w i t h i n t h e b o u n d a r i e s

o f L ia o m a i n l a n d . The m ost i m p o r t a n t s u p p l y came fro m t h e

t r i b e s o u t s i d e K h i t a n 1a n o r t h - e a s t e r n f r o n t i e r — e s p e c i a l l y

fro m t h e Wu-kuo t r i b e s w h e r e t h e b e s t falco ns., a b o u n d e d .

E v e r y y e a r a f a l c o n - h u n t i n g e x p e d i t i o n was d i s p a t c h e d

by t h e L i a o c o u r t t o Wu-kuo. The o f f i c e r s of t h i s e x p e d i t i o n

^ l i a Q S h i h , c h . 7? 2 a .

L i a o S hih? c h . 24? l a .
 28 .

had t o cross th e re g io n of Jurchen, t h e t r i b e s w h ic h w e r e

more o r l e s s s u b j e c t t o L iao and whose, l a n d s t r e t c h e d

b e t w e e n L ia o and Wu-kuo. One c a n i m a g i n e t h e t r o u b l e s

c a u s e d by t h e e x p e d i t i o n f r o m a r u l i n g s t a t e t h r o u g h
( 1)
th e t e r r i t o r y o f one o f i t s v a s s a l s * M o re o v e r, the

p e o p l e o f Wu-kuo s o m e tim e s r e f u s e d t o g i v e t h e f a c i l i t i e s

n e c e s s a ry f o r the ca tc h in g of the f a l c o n s , f r o o p s had

a l s o t o be r e c r u i t e d f r o m J u r c h e n t o e n s u r e t h e
( 2^
success of the e x p e d itio n s.. L o th m a t t e r s a g g r i e v e d

the Ju rc h e n c o n s i d e r a b l y . E v e n tu a lly th e h u n tin g of

f a l c o n s was one o f t h e two c h i e f r e a s o n s f o r t h e r e v o l t

o f t h e J u r c h e n a g a i n s t t h e L i a o . ( 3)i

^ 5.hih_ S h i h , ch .2 , 3.a.

^^ Hsu M & ig -h ain , op . c i t . , ch . 3 •

^ ^ Yang Pin.., who v i s i t e d N i n g - k u - t * a , e a s t o f K i r i n ,

( t h e l a n d w h e r e t h e Wu-kuo t r i b e s l i v e - i n e a r l y Oh1i n g
d y n a s t y g i v e s an a c c o u n t o f t h e ways by w h i c h t h e h a i -
t u n g - c h 1i n g w e r e c a u g h t . He s a y s : " E a g l e s abound e a s t
o f t h e L i a o R i v e r e s p e c i a l l y i n N i n g - k u - t ' a w h ere t h e r e
a r e e i g h t e e n men whos..e j o b i s t o h u n t e a g l e s . Every y e a r
t h e y s t a r t h u n t i n g d u r i n g t h e t e n t h moon, c o n c e n t r a t i n g
t h e i r a t t e n t i o n u p o n t h e h a i - t u n g - o h 1i n g w h ic h i s c o n s i d e r e d
t h e m o at v a l u a b l e o f a l l t h e e a g l e s . Those o f p u r e w h i t e
a r e t h e b e s t , t h o s e w h ic h a r e m a i n l y w h i t e b u t s p e c k e d
w i t h o t h e r c o l o u r s come n e x t , a n d a f t e r th em t h o s e w h ic h
a r e g r e y . I f t h e h u n t e r s m eet w i t h s u c c e s s , t h e y s t o p
work a t t h e end o f t h e e l e v e n t h moon. O t h e r w i s e t h e y go
on h u n t i n g . I f , h o w e v e r, by t h e t w e n t i e t h o f t h e t w e l f t h
moon t h e y a r e s t i l l u n s u c c e s s f u l , t h e y do n o t c o n t i n u e
 29 •

A c c o r d i n g t o t h e s p e c i a l s e c t i o n on t h e na-po quoted

a b o v e t h e m o s t i m p o r t a n t l a k e on w h ic h swans w e r e c a u g h t

was Duck R i v e r L ak e . T h is Lake a p p e a r s , h o w e v e r , i n t h e

t e x t o f t h e L i a o H i s t o r y u n d e r a n o t h e r name, Y u - e r Po

(F is h L ake). Ts'ao T1i n g - c h i eh, a Ch* i n g s c h o l a r ,

i d e n t i f i e s . X u - e r Po w i t h t h e Moon L ak e, X u e h - l i a n g Po,

Ak M w h i c h i s a b o u t 1 5 0 m ile s, t o t h e n o r t h - w e s t o f

K irin , the c a p i t a l o f K i r i n P r o v i n c e . ( 1 )1

I n 1845 M. de l a B r u n i e r , t h e ‘F r e n c h m i s s i o n a r y ,

t r a v e l l e d a c r o s s t h e r e g i o n s a l o n g t h e Atiur and U s u r i —

n o t f a r fro m t h e p l a c e w h e r e t h e L i a o emperors.' ch ief

s p r i n g h u n t i n g l a k e was s i t u a t e d . He r e m a r k e d t h a t i n

t h i s a r e a " t h e swan, t h e s t o r k , the. g o o s e , t h e d u ck ,

t h e t e a l a p p e a r e a ch y e a r i n t h e month o f May i n n u m b e r l e s s

f l o c k s , a t t r a c t e d by t h e p r e y w h i c h i s e a s i l y h a d and i n

a b u n d a n c e ; and t h e b i r d s , a r e t h e m ore d a r i n g , a s no one

C o n t i n u a t i o n o f t h e n o t e on l a s t p a g e :
fu rth er.
"The e a g l e s , a r e f o u n d i n t h e t h i c k woods i n t h e v a l l e y s
alw ays c o n f in e d to c e r t a i n p l a c e s . T h o se who a r e s k i l l e d
a t h u n t i n g u s e s o m e t h i n g t o mark t h e s e p l a c e s . They go
t h e r e e v e r y y e a r and n e v e r f a i l t o f i n d th e m . B ut i t
i s n o t e a s y t o c a t c h th e m . They w a t c h w h e re t h e e a g l e s
come o u t and go i n and t h e r e t h e y t i e a l o n g p i e c e of
r o p e a n d l a y a w id e n e t . Then t h e y l i e i n w a i t f o r them
day and n i g h t i n t h e l o n g g r a s s . They c a n n o t move, b e c a u s e
any movement w ould s c a r e away t h e b i r d s . " ( L i u - p i e n c h i - l i o )

^^ Ts*a o T ' i n g - c h i ehs T u n g -s a n -s h & n g y i i - t i t »u s h u o .

d is tu rb s t h e i r repose- The n a t i v e s do n o t seem t o v a l u e

w i l d fo w l.* 1( 1 } He d i d n o t know, h o w e v e r , t h e r e had been

a t i m e when swans w e re h i g h l y e s t e e m e d .

A p a r t fr o m Y u - e r Po t h e r e w ere many s p r i n g h u n t i n g

la k e s of secondary im portance- Two o f th em on t h e s o u t h e r n

f r o n t i e r a re w orthy of s p e c i a l m ention- One i s Y e n - f a n g

T i e n Lake n e a r P eking, and t h e o t h e r Y u a n - y a n g Po

Lake, s o u th of L o lo n n o r, t h e im p o r ta n t M ongolian

t.own-

For p o l i t i c a l or m i l i t a r y re a s o n s , t h e Liao em perors

h a d som etimes, t o come and s t a y f o r a t i m e i n t h e s o u t h e r n

p a r t of t h e i r e m p i r e . They w e r e c o m p e l l e d , f o r th e .

moment, t o a b a n d o n h u n t i n g i n t h e u s u a l p l a c e s . , b u t t h e y

did n o t s to p h u n tin g a l t o g e t h e r . In th e e a rly y ears of

th e r e i g n of S h S n g -tsu n g (983-1030)* a p e r io d d u r in g

w h ic h L i a o and Sung w ere a t w ar, S h e n g -ts u n g s p e n t most

o f h i s t i m e i n v a r i o u s p l a c e s on h i s s o u t h e r n f r o n t i e r ,

lie ch o s e new p l a c e s f o r s w a n - h u n t i n g , a n d f o u n d , among

o t h e r p l a c e s , Y e n - f a n g T i e n Lake an d Y u a n - y a n g Po L a k e .

Q u o te d f r o m t r a n s l a t i o n f r o m F r e n c h w h i c h fo rm s t h e
a p p e n d i x D o f t h e Long W h ite M o u n t a i n , by H. E . M. J a m e s .
 31.

Y e n - f a n g ' l i e n Lake i s a b o u t 90 l i ( 30 m i l e s ) east

o f t h e S o u th e r n C a p i t a l of Liao (P e k in g ) . I t rem ained

one o f t h e i m p o r t a n t s p r i n g h u n t i n g l a k e s t h r o u g h o u t t h e

Ohin a n d Yuan p e r i o d s . I n t h e o f f i c i a l Yuan H i s t o r y ,

one f r e q u e n t l y comes., a c r o s s a c c o u n t s o f t h e Yuan e m p e r o r s ’

h u n t i n g i n e i t h e r "W illo w F o r e s t " ( L i u - l i n ) or

Kf uo P r e f e c t u r e ( K ’u o Ghou irt ), o r " t h e W illow

F o r e s t o f Kf uo P r e f e c t u r e . " A l l o f t h e s e r e a l l y mean

t h e l a k e by t h e W illow F o r e s t o f K’ uo P r e f e c t u r e . The

Yuan H i s t o r y s t a t e s ? " ( I n 1330) S o l d i e r s w ere d ra w n from

th e G arriso n s i n th e C apital f o r b u i l d i n g t h e banks of

t h e l a k e by t h e W illow F o r e s t i n E fu o P r e f e c t u r e ," ^ ^

The K 'u o P r e f e c t u r e d u r i n g t h e Yuan p e r i o d was o r i g i n a l l y

t h e K* u o - y i n C ounty ( K1u Q - y i n h s i e n ) o f L i a o ; an d t h e

L i a o K1uo-»yin C ounty grew o u t of a s m a l l town by t h e

Y e n - f a n g T i e n Lake w h e r e t h e L i a o e m p e r o r s h e l d t h e i r

sp rin g h u n t i n g ^ .

I n P o l o ' s T r a v e l s , one f i n d s a n i m p o s i n g d e s c r i p t i o n

o f H h u b i l a i ’ s s p r i n g h u n t i n g a t Ca c h a r Modun* E a rlie r

c o m m e n ta r ie s on t h e T r a v e l s d i s a g r e e d on t h e i d e n t i f i c a t i o n

^^ Yuan S h i h ,
f — TfT— T— ■
ch.34-, 8 a .

L iao S hih, c h . 4-0, 3b.

 32

■( 1 )
of i t s g e o g r a p h i c a l p o s i t i o n - ' A cco rd in g to Y ule,

C a c h a r Modun i s p r o b a b l y Mongol; K a t z a r m e a n in g " l a n d " ,

( 2)
"reg io n ", and modun m ean in g ’’wood11 o r ' M r e e 11 h ; T h is

is in p e rfe c t c o n f o r m i t y w i t h t h e "W illow F o r e s t " . There

i s no d o u b t t h a t C a c h a r Modun i s t h e W illo w F o r e s t i n

t h e Yuan H i s t o r y and t h e Y e n - f a n g T i e n l a k e i n t h e L ia o

tim e.

Y u a n - y a n g Po l a k e i s t h e A n g u l i n o r t o t h e n o r t h w e s t

o f K a l g a n , t h e c a p i t a l o f C h ahar- I t w o u ld seem t h a t t h e

L i a o e m p e r o r s , w h i l e s t a y i n g on t h e i r s o u t h e r n f r o n t i e r ,

a t f i r s t p r e f e r r e d Y en-fang T ien l a k e , but l a t e r th e y

p r e f e r r e d Y u a n - y a n g Po l a k e . In th e second h a l f of th e

L i a o , t h e y t o u r e d t h i s p a r t o f t h e i r e m p i r e once e v e r y

f iv e or s i x y ears, and t h e n n e a r l y a l w a y s h e l d t h e i r

s p rin g hunting h e r e ­

i n 1872 W. 8 • B u s h e l l v i s i t e d t h i s r e g i o n o f I n n e r

M ongolia.. He n o t i c e d t h a t on t h e l a k e s he p a s s e d " t h e

^ ^ M a rsd e n and P a u t h i e r i d e n t i f y C a c h a r Modun w i t h

T c h a k i r i Moudou i n t h e e x t r e m e e a s t o f M a n c h u r i a , b e t w e e n
t h e K h in g a Lake a n d t h e S e a . I t i s m ore t h a n 900 m i l e s
f r o m P e k i n g a,a t h e crow f l i e s , a n d i s t h e r e f o r e o u t o f
q u e s t i o n . P a l l a d i u s i d e n t i f i e s i t w i t h H o-ai-w u betw een
P e k i n g and T i e n t s i n . T h i s h a s a l s o b e e n r e j e c t e d by
C o r d i e r on a c c o u n t o f t h e p o s i t i o n o f I t o - s i - w u . ( T r a v e l s
of P o l o , I , 4 0 8 ).
The o f f i c i a l C hin H i s t o r y ( c h . 21) r e c o r d s ; " ( I n 1164)
t h e Timperor ( C h a n g -1 s u n g ) o r d e r e d w i l l o w t r e e s t o b e '
p l a n t e d f o r one hundred, l i a l o n g t h e r o a d s o u t s i d e e a c h g a t e
c o n t.o v er^
 33

w a t e r was b l a c k w i t h w a t e r f o w l , w h i c h r o s e i n d e n s e f l o c k s ,

and f i l l e d t h e a i r w i t h d i s c o r d a n t n o i s e s . . Swans, geese

and d u ck s p r e d o m i n a t e d , and t h e t h r e e d i f f e r e n t s p e c i e s
>; ( 1 )
o f cran e s were d i s tin g u is h e d .. '

A nother im p o rtan t a c t i v i t y o f t h e L i a o e m p e ro rs i n

t h e s p r i n g was f i s h i n g , The L i a o H i s t o r y , g iv e s , no

a c c o u n t o f t h e m e th o d s o f f i s h i n g p r a c t i s e d by t h e K h i t a n ,

t h o u g h i t was one o f t h e m o st i m p o r t a n t f e a t u r e s of t h e i r

life . We h a v e , how ever, two c o n t e m p o r a r y a c c o u n t s w h i c h

e n a b l e u s t o fo rm a f a i r l y good i d e a o f t h e ways by w h i c h

th e f i s h were caught. One o f t h e s e was g i v e n by Sung

Shou , t h e Sung a m b a s s a d o r t o t h e L i a o c o u r t i n

1020.

A c c o r d i n g t o Sung Shou, ” The K h i t a n a r e f o n d o f f i s h i n g

by t o r c h l i g h t . They b u i l d a t e n t on t h e i c e and c a r e f u l l y

c l o s e up t h e o p e n i n g . They t h e n make a h o l e i n t h e i c e ,

an d h o l d a t o r c h to i t . A t t r a c t e d by t h e l i g h t , th e f is h

Con t i n u a t i o n ..of n o t e on p r e v i o u s p a g e :
of t h e c a p i t a l ( P e k i n g ) . ” I su s p e c t t h a t .h ere l i e s th e
o r i g i n f r o m w h ic h t h e name W illow F o r e s t i s d e r i v e d .

^ ^ W. S . B ushe 11: Notes, o f a. J o u r n e y o u t s i d e of t h e G r e a t

Wal l of C hina y p . 15 4- •
g ath er a t th e illu m in a te d spot. The K h i t a n drop t h e i r

lin es, and s e l d o m f a i l t o c a t c h t h e f i s h . 11^*^

A n o t h e r was g i v e n by Oh*£hg T a - c h ’ an g a

S o u t h e r n Sung w r i t e r ( m i d d l e cf 12 t h c e n t u r y ) . Oh1 Sng

T a -c h 'a n g h im s e lf d id not v i s i t L ia o . He m u s t h a v e

b a s e d h i s a c c o u n t on e a r l i e r r e p o r t e r s .

Mf o f i s h t h e niu-_yu, o r cow f i s h ? on t h e R i v e r T a l u

i s one o f t h e i m p o r t a n t f e s t i v a l s of th e K hitan. But

i t i s w ith b ig hooks, not th e o rdinary fish -h o o k s, th at

the f i s h are caught.. The R i v e r T a lu w h i c h f l o w s e a s t w a r d s

t o t h e s e a , u s u a l l y f r e e z e s i n t h e f i r s t moon and t h e i c e

m e l t s i n t h e f o u r t h moon. When t h e f i s h i n g i s i n p r o g r e s s ,

th e K h ita n emperor and h i s m other b o th e r e c t t h e i r t e n t s

on t h e i c e . A t t e n d a n t s have p r e v i o u s l y b e e n o r d e r e d t o

^ ^ T his a c c o u n t is p a r t o f t h e m em orial, t h e y u - l u ( s e e
p . 17) p r e s e n t e d t o t h e Sung em peror by Sung S h ou . The
m e m o r i a l was i n c o r p o r a t e d i n t o t h e S e c t i o n on t h e K h i t a n
i n t h e Sung N a t i o n a l H i s t o r y , fro m w hich L i T 'a o had
d raw n h i s i n f o r m a t i o n on t h e K h i t a n , i n c l u d e d i n h i s
Iisii T z u - c h i h t 1ung~ c h l e n c h 1a n g - p i e n . The s e c t i o n on
t h e K h i t a n i n Ma T u a n - I i n * s W e n - h s i e n t 1u n g - k 1a.o i s a l s o
d e r i v e d fro m t h i s s e c t i o n o f t h e Sung R a t i o n a l H i s t o r y .
I t i s on Ma’ s w ork t h a t Ed. O h a v a n n e s 1 t r a n s l a t i o n o f Sung
S h o u ’ s I t i n e r a r y i s b a s e d . (V o y a g e u r s C h i n o i r s chez l e s
K h i t a n e t l e s Hout ch e n .) R e l y i n g on a c o r r u p t e d i t i o n of
t h e W&n-hai e n t 1u n g - k 1a o , Ohavannes m i s t a k e n l y g i v e s Sung
S h o u ’ s names a s Sung Huan * ‘A . •
 35 .

l a y n e t s a c r o s s t h e s t r e a m a t a d i s t a n c e o f t e n lji b o t h

u p - a n d d o w n - s t r e a m i n o r d e r t o p r e v e n t t h e f i s h fr o m

e s c a p i n g and h a v e t h u s b e e n a b l e t o c o n c e n t r a t e them a t

t h e s p o t w h ere t h e t e n t s a r e p i t c h e d -

,fl n f r o n t o f t h e camps f o u r h o l e s c a l l e d 'ic e -e y e s *

are cut- One i n t h e m i d d l e i s cut r i g h t th ro u g h to th e

w ater l e v e l - The o t h e r t h r e e e n c i r c l i n g i t a r e n o t d ug

s o deep? b u t o n l y so a s t o make i t s u f f i c i e n t l y t h i n .

The t h i n n e r h o l e s a r e used, t o o b s e r v e t h e m ovements o f

t h e f i s h w h i l e t h e o pen h o l e i s f o r t h r o w i n g t h e h o o k s .

A lthough f i s h l i v e p r i m a r i l y u n d e r th e s u r f a c e of th e

w ater? i f t h e y a r e s h u t i n by a l a y e r o f i c e f o r a n y

l e n g t h o f t i m e t h e y w i l l come, when t h e y c a n , to th e

su rfa c e i n o rd e r to b re a th e . T herefore, f r o m t h e open

h o l e one w i l l c e r t a i n l y be a b l e t o c a t c h t h e f i s h .

"When t h e f i s h come? t h e l o o k - o u t s i n f o r m t h e K h i t a n

em peror who t h r o w s , t h r o u g h t h e o pen h o l e , a hook w h ic h

is a tta c h e d to a rope. He n e v e r m i s s e s . H a v in g hooked

t h e f i s h t h e em p e ro r l o o s e n s t h e r o p e a n d p l a y s t h e f i s h .

When i t g e ts tired ., t h e n h e p u l l s i n t h e r o p e and h a u l s

t h e f i s h out of th e w a te r . T his i s called, th e ca tc h in g

of the. f i r s t f i s h .

" A fte r catch in g th e f i r s t f i s h he and h is. f o l l o w e r s

 36

l e a v e t h e i c e t e n t and go t o a n o t h e r t e n t i n w h ic h t h e y
(
p l a y m u s i c and make m e r r y . '

Of t h e m e t h o d s d e s c r i b e d by Oh*&ng T a - c h ' a n g and Sung

Shou* a p p a r e n t l y O h 'e n g T a - c h ' a n g ' s was t h e m o re p o p u l a r ,

f o r th e L iao H i s t o r y alw ays s p e c i f i c a l l y r e f e r s t o f i s h i n g

w ith hooks.

I t i s i n t e r e s t i n g t o f i n d t h a t b o t h m e th o d s a r e s t i l l

p r a c t i s e d by p e o p l e t o d a y - - f o r i n s t a n c e , th e G oldi, or

Y u-p' i - t a - t z e ( l i t e r a l l y " fis h -s k in T artars", fro m t h e i r

w e a r i n g d r e s s e s made o f s a l m o n s k i n ) , on t h e l o w e r r e a c h e s

of th e S u n g a ri o The G-oldi a r e one of t h e few n a t i v e

t r i b e s w h ich have n o t y e t been a b s o rb e d i n t o th e Chinese

p o p u latio n . They lead , a l i f e more o r l e s s t h e same a s

t h a t of t h e i r a n c e s t o r s i n th e L iao tim e , and c a t c h f i s h

i n a l m o s t e x a c t l y t h e same way a s t h e K h i t a n .

I n 19 33 D r . Owen L a t t i m o r e p a i d a v i s i t t o t h e G-oldi.

He h e a r d from th em t h a t " I n t h e w i n t e r t h e y f i s h w i t h

l i n e s t h r o u g h a h o l e i n t h e i c e and a l s o t h e y f i s h a t

n i g h t by h o l d i n g t o r c h e s o v e r a hole, i n t h e ice. and

( 2)
harp o o n in g th e f i s h t h a t a r e a t t r a c t e d to th e g l a r e . ' '

^ Oh’ eng Ta—ch' a n g : Y e n - f a n l u , ch . 3 •

^ 2 ^ Owen l a 1 t i m e r e ; The* G-oldi T r i b e 1F i s h S k i n T a r t a r s 1 of
t h e Lower S u n g a r i . A m ore d e t a i l e d a c c o u n t o f t h e f i s h i n g
o f t h e G-oldi i s g i v e n by L i n g C h 'u n - s h S n g who
C o n t. o v e r .
 37.

De l a B r u n i e r e r e p o r t s t h g t i n U s u r i a n d i t s sm all

trib u ta rie s, th e r e i s a kind of f i s h c a l l e d Iluam -yu

C o n t i n u a t i o n o f n o t e on p r e v i o u s p a g e :
v i s i t e d t h i s a r e a i n 19 30. He w r o t e Sung-~h.ua-c h i a n g
h s i a - y u - t i H e - c h e - t s u , t h e G o l d i on t h e Lower R e a c h e s
o f th e S u n g a r i, i n w hich he d e s c rib e s« w h e n th e S u n g a ri
freezes, to th e th ic k n e s s of f o u r t o f i v e f e e t th e fisherm an
makes a f o u r f e e t s q u a r e h o l e i n th e i c e . He t h e n b u i l d s
a a t raw s h e d o v e r i t and no l i g h t i s l e t i n . Then he
s i t s b e s i d e t h e h o l e l o o k i n g u p - s t r e a m . When t h e f i s h
comes t o t h e d a r k s p o t , i t moves s l o w l y , o r e v e n s t o p s .
The f i s h e r m a n can e a s i l y c a t c h i t w i t h h i s h a r p o o n .
A g a i n , L i n g d e s c r i b e e s -T h e S u n g a r i R i v e r f r e e z e s i n
t h e n i n t h moon. I n t h e f o l l o w i n g moon, t h e G o l d i s e t
n e ts to catch f i s h . On t h e f r e e z i n g o f t h e r i v e r , a s
a t i t s th aw , t h e f i s h g a t h e r i n t h e s h a l l o w s , w h e r e t h e
current is le s s ra p id . The. f i s h e r m e n now make two b i g
h o l e s i n t h e i c e ab o v e t h e s h a l l o w , 5 f e e t by 3 f e e t i n
s i z e , and some 600 f e e t a p a r t . T h e s e two h o l e s , f o r m t h e
ends o f a n e l l i p s e , t h e s h a p e b e i n g c o m p l e t e d by 120
f u r t h e r h o l e s , 3 f e e t by 2 f e e t , and a b o u t 10 f e e t a p a r t ,
one f r o m a n o t h e r . A l l t h e s e c u t t i n g s m u s t be f i n i s h e d
w i t h i n t h e d a y , an d f o r t h i s p u r p o s e t w e l v e f i s h e r m e n a r e
needed.
The n e t s a r e s e t n e x t d a y . 12 o r 15 f i s h e r m e n , u s i n g
v e r y l o n g ro p e s., a t t a c h t h e n e t t o two p o l e s , e a c h 12 f e e t
long. These p o l e s a r e t h e n i n s e r t e d i n t o th e b ig h o le
f a r t h e s t dow nstream . U sin g a t h i r d p o l e , w hich i s c r o tc h e d ,
t h e f i s h e r m e n t h e n p u s h th e m u n d e r t h e i c e t o t h e f i r s t
o f t h e s m a l l h o l e s , one p o l e t o e a ch s i d e o f t h e e l l i p s e .
At t h i s s t a g e , p a r t of t h e l o n g rope, a t t a c h i n g t h e n e t
and t h e p o l e i s l i f t e d abo ve t h e i c e , a n d h e l d t h e r e .
T h is p r o c e s s i s r e p e a t e d , u n t i l t h e two p o l e s r e a c h t h e
o t h e r l a r g e h o l e , u p s t r e a m , and a t e a c h s m a l l a p e r t u r e a
p a r t o f t h e ro p e i s l e f t above th e i c e . N e t s a r e now s e t
a t t h e d o w n strea m h o l e , and a s t h e n e t i s g a t h e r e d up fro m
t h e u p s t r e a m end a l l t h e f i s h w i t h i n t h e e l l i p s e of s m a l l
h o le s , c a n be c a u g h t , ( p . 8 6 ) .
The f o r m e r seems t o be a n o t h e r v e r s i o n o f t h e me.thod o f
u s in g v a r i a t i o n of l i g h t to c a tc h f i s h , w hereas t h e l a t t e r ,
t h o u g h d i s s i m i l a r t o t h e p r o c e s s d e s c r i b e d by Ch! gng T a -
c h ’a n g , o f f e r s a u s e f u l i n f o r m a t i o n o f f i s h i n g u n d e r n e a t h
the ic e .
unknown “bo E u r o p e . Be h a s s e e n some w h i c h w e ig h more t h a n

1 ,0 0 0 l b s . , a n d was a s s u r e d t h a t t h e r e w e r e some o f 1 , 8 0 0

t o 2,000 l b s . I ts flesh , " p e r f e c tly w hite and very te n d e r,

makes me p r e f e r i t t o a l l o t h e r f r e s h - w a t e r f i s h . " '( 1 )'

Be l a B r u n i e r e * s I l u a m y u seems t o b e t h e h u a n g - y u

d e s c r i b e d by H. E. M. James, who v i s i t e d M a n c h u r i a as. f a r

as S an~hsing , a t t h e co n flu en ce of th e S ungari

an d t h e H u r k a . A c c o r d i n g t o James, the huang-yu, l i t e r a l l y

’yellow f i s h ’ , w hich abounds i n th e r i v e r s o f S a n - h s in g ,

( 2)
w eighs 1 ,3 0 0 l b s . He i d e n t i f i e s i t w i t h t h e s t u r g e o n .

S c h o l a r s have g e n e r a l l y a c c e p t e d t h a t t h e s t u r g e o n i s t h e

c o w - f i s h o f t h e L ia o t i m e . ^ ^

t h e Long W h ite M o u n t a i n , p .435 •

^ H. E. M. Ja m e s : o p . p i t . , p . 333.

I n h i s a d d i t i o n a l n o te s , t o P o l o ’ s t r a v e l s , V o l . l , p . 4 0 8 .
O o r d i e r q u o t e s fro m P a l l a d i u s : " I n t h e Q o re a n h i s t o r y . . . . .
u n d e r t h e y e a r 1 267, i t i s r e c o r d e d - t h a t i n t h e g t h month,
envoys of t h e Khan ( K h u b i l a i ) w i t h a l e t t e r t o t h e K in g
a r r i v e d i n C orea. K h u b ila i ask e d f o r th e s k i n of A kirno
munho, a f i s h r e s e m b l i n g a cow. t h e envoy was i n f o r m e d
t h a t , a s t h e Khan s u f f e r e d from s w o l l e n f e e t ( g o u t ) , i t
would b e u s e f u l f o r him. t o w e a r b o o t s made o f t h e s k i n
of t h i s an im al."
A c c o r d i n g t o Yang P i n g the., n i u - y u i s c a l l e d by t h e
n a t i v e s h s u n g - y u . Only p e o p l e fr o m C h in a p r o p e r s t a y i n g
i n t h i s a re a c a l l i t n iu -y u - - s o c a l l e d because i t s head
looks, r a t h e r l i k e t h a t o f t h e cow. E ac h one w e i g h s s e v e r a l
h u n d r e d c a t t i e s , and e v e n up t o a t h o u s a n d c a t t i e s . It
f l o u r i s h e s i n t h e H u n - t ' u n g Ohiang ( Lower S u n g a r i ) , H e i - l u n g
C h ian g a n d H urka r i v e r s , and i s r a t h e r d i f f i c u l t t o c a t c h .
W henev er a n i u - y u i s c a u g h t t h e n a t i v e s g a t h e r t o s h a r e i t .
I t s f l e s h is., v e r y o i l y . " (Yang. P.in$ op ■c i t , ch. 3 - )
 39.

The m o s t i m p o r t a n t r i v e r s i n w h i c h t h e L i a o emperors,

held t h e i r s p rin g f i s h i n g and the an n u a l F i r s t - F i s h

F e s t i v a l was t h e Luck r i v e r ( Y a - t z e Ho ) ? w h ic h

was. r e n a m e d i n 1024- H u n - t ' u n g C h ian g - - though

t h e o l d name was s t i l l in use l a t e r . I t i s th e

p a r t o f t h e S u n g a r i w h ere t h e l a t t e r i s j o i n e d by t h e Hon

R iv e r? t o t h e n o r t h - w e s t o f Gh» a n g - c h ' u n . As t h i s p l a c e

was c l o s e t o t h e r e g i o n s i n h a b i t e d by t h e J u r c h e n , th ere

was a p r a c t i c e t h a t w han t h e F e s t i v a l was h e l d , a l l t h e

J u rc h e n c h i e f t a i n s w i t h i n a r a d i u s o f one th o u s a n d l i

w ould come f r o m b ey o n d t h e b o r d e r t o p a y homage t o t h e

L iao em peror. At t h e F e s t i v a l o f 1112; A g u t a , who was

d e s t i n e d t o b e t h e f i r s t em p e ro r o f t h e J u r c h e n - O h i n

dynasty, f i r s t showed h i s t e n d e n c y t o w a r d s i n d e p e n d e n c e

fro m t h e L i a o r u l e — by r e f u s i n g t o d a n c e a t t h e r e p e a t e d

r e q u e s t o f t h e L i a o e m p e r o r .^ " ^

Commenting on t h e i m p o r t a n c e o f t h e f i s h i n g o f t a m a r a

to the l i f e o f t h e Yu-p* i - t a - t z e ( G - o ld i) , d a l a B r u n i e r e

r e m a r k s : "Towards, t h e e n d o f S e p t e m b e r , a t t h e a p p r o a c h

of w in te r, a n o th e r k in d of f i s h c a lle d tam ara ap p ears i n

^^ L iao S h ih , ch. 2 9 , 6b. Of. p . 263.

 40

t h e Amur and U s u r i . It comes fro m t h e s e a i n s h o a l s of

s e v e r a l thousand, and w e i g h s fro m t e n t o f i f t e e n p o u n d s .

Its shape, and e s p e c i a l l y th e fla v o u r of i t s flesh , gives

me r e a s o n t o s u p p o s e i t a k i n d o f s m a l l s a l m o n , To t h e

l u - p 1 i - t a - t z e t h e f i s h i n g of t h e t a m a r a i s o f t h e same

i m p o r t a n c e as. t h e g a t h e r i n g i n o f t h e h a r v e s t is. t o ou r

r u r a l d i s t r i c t s and c i t i e s ; a d e f i c i e n c y i n one o r t h e

o t h e r w i l l b r i n g a fam ine a lo n g w ith i t . " ^ ' T h i s may

t h r o w some l i g h t on t h e o r i g i n o f t h e F i s h F e s t i v a l

among t h e K h i t a n .

^ 1 ^ I&e Lon g W h ite M o u n t a i n , p . 4 3 6 .

 41.

II.

D eta iled stu d ie s of t h e na-po

( b) f h e ’'Autumn M o u n ta in s "

I n au tu m n , the o th e r g r e a t h u n tin g season, the L iao

e m p e r o r ' s c h i e f a c t i v i t y was. d e e r - h u n t i n g . Lhe L i a o

H i s t o r y d e s c r i b e s t h e h u n t i n g o f d e e r by t h e m ethod

of th e " s a l t - l i c k i n g deer" or " c a l l i n g deer*" (See

a b o v e , p . 15 ) The " s a l t - l i c k i n g ’ d e e r " an d " c a l l i n g

d e e r " w e r e i n f a c t two d i f f e r e n t m e th o d s u s e d by t h e

K hitan. The a u t h o r s of th e Liao H i s t o r y m i s ta k e n l y to o k

them a s two p a r t s of one s i n g l e p r o c e s s .

To c a l l d e e r , the h u n ters clad th e m se lv e s i n d e e r s k i n

an d blew a h o r n t o make a sound l i k e - t h a t o f d e e r w h ic h

were, t h e n a t t r a c t e d t o t h e p l a c e s w h ere t h e h u n t e r s l a y

h i d d e n and were, r e a d y f o r t h e k i l l . I n the* L ia o c o u r t ,

t h e r e were p r o f e s s i o n a l d e e r - c a l l e r a . I n 9 6 8 th e L iao
( IV
e m p ero r "bes.tow ed on I - l a - k e t h e d e e r - c a l l e r named P ' u - k u . " '

I t seems t h a t d e e r - c a l l i n g was a n a r t " e s p e c i a l l y

c u l t i v a t e d by t h e J u r c h e n , and m ost o f t h e L i a o d e a r -

c a l l e r s came fro m th e m . As e a r l y a s t h e m i d d l e o f t h e

^^ L iao S h ih, c h . 7, 4b.

 42

(1)
l O t h c e n t u r y , Hu Gh’ i a o ^ ' rep o rted : "T he J u r c h e n a r e

good a r c h e r s ............ They make a s o u n d r e s e m b l i n g t h a t o f

t h e d e e r t o b r i n g th e m t o c l o s e r a n g e . Then t h e y s h o o t

t h e m . 1’ A Sung w r i t e r re m a r k e d : " The J u r c h e n . . . make

h o r n s o u t of b i r c h b a r k , an d blow them, m ak in g a s o u n d

s i m i l a r t o t h a t of a d e e r . £When t h e d e e r come3 t h e y

s h o o t them w i t h arrow s . "

( 2 )' The L i a o H i s t o r y a l s o

records: " ( I n 991) t h e J u r c h e n c h i e f t a i n s s e n t dee.r~

c a l l e r s - (a s. t r i b u t e ) . 1'

U n t i l r e c e n t l y t h e G-oldi s t i l l u s e d s u c h m eth o d s f o r

deer h u n tin g . L in g C h ' u n - s h e n g s a y s : "The G-oldi u s e d t o

h u n t r o e - d e e r w i t h a r r o w s made o f b o n e . Owing t o t h e

i n t r o d u c t i o n o f f i r e a r m s , a r r o w s w ere r e c e n t l y r e p l a c e d

^ ^ Hu Ch 1 i a o was o r i g i n a l l y a C h i n e s e o f f i c i a l
u n d e r a K h i t a n g e n e r a l who l e d one o f t h e K h i t a n array
u n i t s w h ic h o v e r r a n n o r t h C h i n a . A f t e r t h i s g e n e r a l
r e t u r n e d t o K h i t a n , he was a c c u s e d by h i s w i f e of p l a n n i n g
c o n s p i r a c y , and was e x e c u t e d by t h e K h i t a n a u t h o r i t i e s .
Hu C h ' i a o was t h u s l e f t h e l p l e s s a n d d e s . t i t u t e d . He >'
d r i f t e d h e re and t h e r e i n v a rio u s p a r t s of K h ita n f o r
s e v e n y e a r s . A t l a s t , i n 953?, h e m anaged t o r e t u r n t o
C h i n a . He w ro te , t h e H s i e n - p e i c h i d e s c r i b i n g h i s e x p e r i e n c e s ,
i n K hitan. T h i s w ork h a s b e e n i n c o r p o r a t e d by Ou-yang
H s i u i n t o h i s Hew, H i s t o r y o f t h e H iv e D y n a s t i e s . A- D re n ch
t r a n s l a t i o n h a s b e e n g i v e n by C havannes (Chm vannes, o p . c i t ,
Journa1 A s ia tiq u e , p p . 390- 412 )

Hsu K ' a n g - t s u n g : H s u a n - h o i - s s K f fen g - s h i h h s i n g - c h 1 & n g -lu

( c f . C h a v a n n e s , op. c i t . J o u r n a l A s i a t i q u e , I 8 9 8 , p p . 3 6 1 - 4 3 8 ) .
by g u n s . I n fo rm e r tim e s t h e huntsm en c la d th e m s e lv e s

i n d eer s k in s and (u s e d w h i s t l e s ) t o make a l o w i n g sound

s i m i l a r to t h a t of t h e r o e - d e e r . When t h e d e e r came and

saw t h e s k i n s , th ey to ssed t h e i r heads, g ru n te d and r a n

away q u i c k l y . Then t h e h u n t s m e n s h o t th e m w i t h t h e i r

arro ws. "Tw o k i n d s o f w h i s t l e s u s e d by t h e G-oldi f o r

t h i s p u r p o s e i n c l u d e d i n L i n g ’ s book a r e r e p r o d u c e d below:

( P i g . 2)

H ere A and D a r e d e e r w h i s t l e s .
A i s 61 cm. l o n g , an d t h e d i a m e t e r
of th e opening a t th e bottom i s
8.4- cm.; D i s 46 cm. l o n g , t h e
d ia m e te r o f t h e opening a t th e
b o t t o m i s 7 . 2 cm. They a r e made
by r o l l i n g up s t r i p s of b i r c h b a r k
The d i a m e t e r o f t h e a p e r t u r e a t
t h e to p of e a c h o f t h e s e i s 1 cm.
T h re e n a i l s a r e u s e d t o h o l d t h e
end t o g e t h e r . When one blows i t ,
he must f i r s t d i p i t i n t o w a t e r
s o t h a t no l e a k a g e of a i r i s
p o s s i b l e and i t i s e a s i e r f o r him
t o make a s o u n d . I t gives a
low ing n o te , l i k e t h a t o f ro e -b u c k
I t is u sed to c a l l th e w ild d e e r .
B and C a r e r o e - d e e r w h i s t l e s .
Each o f th em i s 2 cm. l o n g . They
a r e v e r y e a s y t o make. Take a
p ie c e of b irc h bark, then fo ld i t
A B C D
i n t h e m i d d l e . Cut w i t h s c i s s o r s
i n t o the shape of the to n g u e.
Pig. 2. Then f a s t e n t h e l o w e r end w i t h a
t h r e a d o f f l a x o r s i l k . Blow t h e
hollow p a r t i n th e m id d le . I t w i l l
( 1 ) L i n g C h 'u n - s h e n g , g i v e a m urm u ring s o u n d , s i m i l a r t o
o p . c i t ., p . 8 8 . t h a t made by f a w n s . I t i s u s e d t o
a ttr a c t roes.
 44

L i n g Ch 1u n - s h § n g g i v e s a n a c c o u n t o f G -oldif s h u n t i n g

o f d e e r by s e t t i n g t r a p s and s p r e a d i n g s a l t . T h is may

p e r h a p s i l l u s t r a t e t h e s a l t l i c k i n g m e th o d p r a c t i s e d by

th e K hitan.

L i n g says, t h a t on f l a t f i e l d s i n t h e m o u n ta in s ., on

the o u t s k i r t s o f a. f o r e s t o r a t t h e f o o t o f a m o u n t a i n ,

t h e G-oldi h u n ts m e n f i r s t draw t h e s p o o r o f d e e r , and t h e n

on t h e p a t h a l o n g w h i c h t h e d e e r p a s s t h e y d i g a p i t m ore

t h a n t e n f e e t d e e p , e i g h t f e e t lo n g and f i v e f e e t w i d e .

The p i t i s covered w ith b irc h , over w hich i s s p re a d e a r t h

m ix e d w i t h s a l t . The w h o le i s c o v e r e d o v e r w i t h s t r a w

or dry le a v e s . When i t r a i n s t h e s a l t d i s s o l v e s i n t h e

earth . As d e e r a r e f o n d o f s a l t y s u s t a n c e s , they l i c k

t h e e a r t h , g e t on t o t h e t o p o f t h e t r a p an d f a l l h e a d

f i r s t in to the p i t .

I f t h e t r a p i s s e t i n t h e s e v e n t h o r e i g h t h moon

(A ugust or Septem ber) of t h e y e a r , it c a n n o t be u s e d t h a t

year. As t h e d e e r h a s a. v e r y a c u t e sen se, o f s m e l l i t i s

a b l e t o p i c k up t h e s c e n t l e f t ' by a man fro m h u n d r e d s

o f p a c e s away, and e v e n i f i t s h o u l d come c l o s e t o t h e

t r a p i t w o uld s t i l l a v o i d i t . Only a f t e r t h e t r a p h a s

b e a n washed, by r a i n and blown by wind an d t h e r e i s no

t r a c e o r s c e n t of t h e h u n ts m e n l e f t w i l l i t b e e f f e c t i v e #
 45 .

And s o t h e y h a v e t o w a i t u n t i l t h e f o l l o w i n g y e a r / ^

(1 )
 46,

( c) I h e Summer Ha~po a n d t h e W i n t e r R a - p o .

The summer a n d w i n t e r months w ere s e a s o n s d u r i n g w h ic h

th e L iao em perors r e s i d e d i n th e n a -p o . L u ring th ese

p erio d s? fro m t h e f o u r t h o r t h e f i f t h moon t o t h e s e v e n t h ,

t h e y s p e n t m o st o f t h e i r t i m e " i n d o o r s ” i n o r d e r t o a v o i d

th e ex cessiv e h eat, and, fro m t h e n i n t h o r t e n t h moon t o

th e t w e l f t h to avoid th e s e v e re co ld . H ere t h e y h e l d

t h e i r s e m i - a n n u a l Supreme P o l i t i c a l C o u n c i l w i t h t h e

h i g h o f f i c i a l s fro m t h e n o r t h e r n and S o u t h e r n R e g io n s t o

d e c i d e t h e i m p o r t a n t a f f a i r s , o f s t a t e . ( 1)' In a sense,

th erefo re, t h e n a - p o was t h e a c t u a l c a p i t a l o f t h e L ia o

sta te .

I n t h e summer t h e L i a o e m p e r o r s o m e tim e s p l a y e d c h e s s

a n d t h e " d o u b l e - s i x e s " , a c h e s s - l i k e C h i n e s e game, or

went o u t t o a deep v a l l e y t o " o b s t r u c t e a g l e s " . How t h e

e a g l e s w ere " o b s t r u c t e d " i s n o t known, s i n c e t h e h i s t o r i e s

p r o v i d e u s no i n f o r m a t i o n on t h i s s u b j e c t .

I n th e w i n t e r th e y h e ld to u rn am en ts and m i l i t a r y

ex ercises. O c c a s i o n a l l y t h e y went o u t t o h u n t t i g e r s .

( 1)
' S e e p . 14 & 16.
 47

They r e c e i v e d envoys and t r i b u t e s fro m f o r e i g n c o u n t r i e s

i n c l u d i n g t h e a m b a s s a d o r s from t h e Sung, whose d e s c r i p t i o n s

of t h e i r e x p e r i e n c e s on t h e i r j o u r n e y s p r o v i d e u s w i t h

in v a lu a b le in fo rm a tio n concerning th e K h ita n ,

The two m o st i m p o r t a n t s i t e s o f t h e summer n a - p o

w ere Mount Y u n g -a n t h e w e s t o f Ch' i n g - c h o u on

t h e n o x ^ t h - w e s t e r n b o r d e r o f J e h o l , and t h e G a rb o n M o u n t a i n ,

p r o b a b l y t h e m o u n t a i n a t t h e w e s t e r n en d o f t h e B l a c k

D ra g o n M o u n t a i n Range i n s o u t h - e a s t e r n C h a h a M 2 ' . Mount

Y u n g -a n waa by f a r t h e more i m p o r t a n t ( 3 )

f ( 1 '*
[ 1 Y a n a i W a t a r i : MokQ shi k e r k y u , p . 823 f f .
! ( 3 '1
\ K ' ' I n 1023? d u r i n g h i s s o j o u r n i n t h e summer n a - p o a t
I Mount Y u n g -a n , t h e s i x t h L i a o e m p e r o r , 3 h § n g ~ t s u n g ,

I
a t t r a c t e d by t h e b e a u t y o f t h e m o u n t a i n s c e n e r y , o r d e r e d
t h a t he s h o u l d be b u r i e d t h e r e a f t e r h i s d e a . . t h ^ g | , . Thus
h i s tomb, w h i c h was c a l l e d Oh’ i n g L i n g , was a f t e r w a r d s
b u i l t t h e r e . H i s two i m m e d i a t e s u c c e s s o r s , H s i n g - t s u n g
{ and T a o - t s u n g , f o l l o w e d h i s exam ple, a n d e a c h had h i s
tomb e r e c t e d on t h i s m o u n t a i n . The u n c o v e r i n g o f t h e s e
t h r e e i m p e r i a l tombs i n t h e t w e n t i e s o f t h i s c e n t u r y
>' f a c i l i t a t e d t h e i d e n t i f i c a t i o n o f some o f t h e c i t y r u i n s
j l e f t b e h i n d by t h e L i a o - C h i n e s e and t h e P o h a i p e o p l e i n
1 t h i s p a r t of I n n e r M o n g o l i a . The f r e s c o e s on t h e i n n e r
' w a l l s o f the. tombs and o t h e r c u l t u r a l r e m a i n s th ro w much
l i g h t on t h e c u l t u r e o f t h e L i a o d y n a s t y . M o re o v e r t h e
i e p i t a p h s of t h e e m p e r o rs and t h e i r w i v e s d i s c o v e r e d i n
t h e s e tombs o f f e r e x c e l l e n t s p e c i m e n s of t h e K h i t a n
j s c r i p t w h ic h h a d l o n g b e e n t h o u g h t t o h a v e b e e n l o s t —
I though th e d e c i p h e r i n g of t h i s s c r i p t s t i l l rem ains a
| d i f f i c u l t ta s k f o r e x p e rts,d u e to th e d isa p p e a ra n c e of th e
\ K hitan language.
M %>
J- Of. J o s e p h K u l l i e , Les a r i c i e n n e s v i l l e s de 1 ! e m p ire d e s
g r a n d s Leao au r o y au me m ongol de B a r i n . ( t t oung; Pa o , V o i . 21 p.
190.)
 48

The w i n t e r n a - p o was m o s t f r e q u e n t l y p i t c h e d i n Kuang-

p ’ in g T ien, o r O u -s s u T i e n a s i t was c a ll e d * by t h e K h i t a n

i n t h e i r own l a n g u a g e / I t was n e a r t h e c o n f l u e n c e o f

t h e r i v e r s S i r a - m u r e n an d L o -h a i n n o r t h - e a s t e r n J e h o l .

^ ^ A lthough K uang-p’ in g T ien M i s g i v e n a s one o f

t h e m a j o r n a - p o by t h e L i a o H i s t o r y ( s e e a b o v e p . 1 5 ),
t h i s name a p p e a r s o n l y once i n t h e t e x t . P urther in v e s tig a t­
i o n r e v e a l s t h a t t h e p l a c e r e p r e s e n t e d by t h i s t e r m was a l s o
known by a number o f o t h e r names — a f a c t t h e c o m p i l e r s o f
t h e H i s t o r y f a i l t o make c l e a r . The name moat f r e q u e n t l y
u s e d i s O u-ssu T ien The. t e r m K u a n g - p ’ i n g T i e n ( i t
s h o u l d be p r o n o u n c e d a s ”Kuang P ’ i n g - t i e n ” ) i s C h i n e s e ,
m e a n i n g wide-meadow. O u-ssu i s a p p a r e n t l y a non-C hineee
t e r m , t h e m ea n in g o f w h i c h is. n o t c l e a r . However, we
a r e t o l d t h a t t h e C h i n e s e e q u i v a l e n t of t h e ordo of t h e
H s i n g - t s u n g , t h e A - s s u Ordo, i s T ' a i - h o P a l a c e
( t h e P a l a c e o f Clemency) an d t h a t t h e m e a n in g o f t h e K h i t a n
t e r m A- s s u i s w id e o r v a s t . ( I S 31> 8a) As t h e s o u n d o f
A-ss.u i s s i m i l a r t o t h a t o f O u - s s u , w h i l e i t s meaiiing i s
i d e n t i c a l w i t h k u a n g , i t seems s a f e t o c o n c l u d e t h a t b o t h
A - s s u a n d O u - s s u a r e d i f f e r e n t v e r s i o n s o f t h e same K h i t a n
w o rd , and t h a t K u a n g - p ’ i n g T i e n was a C h i n e s e t r a n s l a t i o n ■
o f t h e K h i t a n p l a c e name O u -s s u T i e n . ( I n the ex p ressio n
O u - s s u T i e n , t i e n i s C h in es e'. We h a v e many L i a o —- and
a l s o C h i n and Yuan — p l a c e names w h i c h a r e fo rm e d by
co m b in in g a n o n - C h i n e s e e x p r e s s i o n an d a C h i n e s e g e o g r a p h i c a l
term .)
I n f a c t O u - s s u T i e n was n o t a c t u a l l y a. p r o p e r name. If
one t h i n k s o f t h e m e a n in g o f t h e t e r m — t h e ’’v a s t meadow” —
t h i s c a n e a s i l y be u n d e r s t o o d . The nomads w e r e n o t
a c c u s t o m e d t o naming a l l t h e p l a c e s w h e r e t h e y s t a y e d . On
t h e v a s t w i l d e r n e s s o f t h e a t e p p e w h e r e no c i t i e s o r towns
were t o be f o u n d , i t was h a r d l y p o s s i b l e f o r th em t o name
th e p l a c e s where th ey s t a y e d . Thus t h e K h i t a n c a l l e d t h e
w id e s t r e t c h o f s a n d y p l a i n n e a r t h e c o n f l u e n c e o f m o d ern
S i r a - m u r e n and L o -h a t h e " V a s t Meadow” , Ou-s.su T i e n .
H r. W i t t f o g e l s u g g e s ts t h a t A -ssu has a f f i n i t y w ith th e
T u r k i c j a s y m e a n in g ” l a r g e , p l a i n , e x t e n t . ” ( p . 5 4 6 ) , w h ic h
i s i n a c c o r d a n c e w i t h t h e ab o v e a r g u m e n t .
 49
sfa =j* k£ i sja

We h a v e ‘b a l k e d much a b o u t t h e n a - p o . What was i t

re a lly lik e? The L i a o H i s t o r y g i v e s t h e f o l l o w i n g p i c t u r e

of t h e w i n t e r n a - p o a t K u a n g - p ’ i n g l i e n .

11The i m p e r i a l camp was ^ s u r r o u n d e d by"! a s t o c k a d e made

of sp e a ra jo in e d to g e th e r w ith ro p e s. B eneath £ th e p o i n t

of} e a c h s p e a r t h e r e was a b l a c k f e l t u m b r e l l a t o p r o t e c t

t h e g u a r d s fro m t h e w i n d a n d snow. O utside th e spears

t h e r e was. a r i n g o f s m a l l f e l t t e n t s . I n e a c h t e n t were

f i v e men? e a c h o f whom c a r r i e d a r m s . T his £ c i r c l e of

s m a l l t e n t s } was t h e F o r b i d d e n E n c l o s u r e .

” On t h e s o u t h was t h e H s i n g - f a n g H a l l , a b o u t two l i

t o t h e n o r t h o f w h i c h was t h e S h Q u -n in g H a l l , B o t h w ere

b u i l t w i t h wooden p i l l a r s and bamboo r a f t e r s . The r o o f s

were o f f e l t . 1'he p i l l a r s w e r e p a i n t e d . The w a l l s w ere

covered w ith brocade, em broidered i n d ark r e d a t t h e t o p .

Y e llo w c l o t h e m b r o i d e r e d w i t h a d r a g o n d e s i g n s e r v e d a s

a ca rp et f o r the f l o o r . The window c u r t a i n s , a l l made,

o f f e l t , w e re l i n e d w i t h y e l l o w s i l k . The f o u n d a t i o n s

w e r e m ore t h a n a f o o t h i g h . The v e r a n d a h o n b o t h w in g s

was a l s o c o v e r e d w i t h f e l t b u t t h e r e was, no d o o r .

” To t h e n o r t h o f t h e H s i n g - f a n g H a l l was t h e B e e r - a k i n

T e n t , an d n o r t h o f t h e T e n t was t h e U n i v e r s a l H a l l .
 ’’To t h e n o r t h o f t h e S h o u - n i n g H a l l was. t h e E v e r l a s t i n g y

T ent. £ l h e s e h a l l s and t e n t s } w ere p r o t e c t e d by a

sto ck ad e.

" F o u r t h o u s a n d K h i t a n s o l d i e r s ' 'w e re employed t o g u a r d .

t h e i m p e r i a l camp, w i t h one t h o u s a n d t a k i n g t u r n on d u t y

each d a y . They i n s e r t e d t h e i r s p e a r s [ I n ground}

o u t s i d e t h e F o r b i d d e n E n c l o s u r e t o fo rm a £ t e m p o r a r y ]

stockade. I n t h e n i g h t t h e y removed t h e s p e a r s and p u t

them a r o u n d t h e i m p e r i a l s l e e p i n g t e n t .

"Beyond t h e a n t i - h o r s e b a r r i e r , o u t p o s t s w e r e e s t a b l i s h e d -■
( 1)
i n o r d e r t o pass, on t h e a l a r m - b e l l i n t h e n i g h t . *

T h i s camp seem s s m a l l and i n s i g n i f i c a n t i n c o m p a r i s o n

(2)
w i t h t h e S i r a Ordo o f t h e Mongol r u l e r s . ' B ut t h e

owners o f t h i s camp r u l e d o v e r n o r t h e r n C h i n a i n a d d i t i o n

t o t h e i r v a s t t e r r i t o r y b eyond t h e G r e a t W a l l f o r o v e r

two h u n d r e d y e a r s .

The s y s t e m o f h a v i n g f o u r team s o f s o l d i e r s s e r v i n g i n

r o t a t i o n a s t h e g u a r d s o f t h e s e nomad r u l e r s seem s t o h a v e

been* t h e f o r e r u n n e r o f t h e k e s h i k g u a r d s o f C h i n g h i s .

^^ L i a o S h i h , c h . 32, 3h*

For O g o ta i’ s "g o ld en t e n t " , t h e S i r a Ordo, s e e b elo w ,

£’ 59.
 51

U a-po i n t h e l i f e o f t h e em p e ro rs o f t h e C hin,
Yuan and Ch1i n g d y n a s t i e s .

A lthough th e term s u s e d v a r i e d , th e i n s t i t u t i o n of

seaso n al dw ellings, t h e L i a o " n a - p o 11, p r e v a i l e d a l s o i n

t h e C h in a n d Yuan d y n a s t i e s , throughout th e fo llo w in g

©

s e c t i o n we s h a l l u s e t h i s t e r m t o d e n o t e t h e i n s t i t u t i o n

in gen eral, t h e e x p r e s s i o n s 11s p r i n g w a t e r " ( c h !u n - s h u i )

a n d " a u tu m n m o u n t a i n " ( c h ' i u - s h a n )

' u n m n i iii«inHi»nwjj 1,'irw.iw.wwiini *
c o n t i n u e d t o he u s e d

f o r th e h u n ts. I n s te a d of being u s e d t o d e n o te th e c h ie f

im p e ria l seaso n a l dw ellings, na-po ( o r r a t h e r " la -p o "

o r " n a ~ p a o " ? a s i n i t s . C hin an d Yuan t r a n s l i t e r a t e d f o rm s ) ^

was now u s e d m e r e l y t o d e n o t e t e m p o r a r y i m p e r i a l s t o p p i n g -

places. The s e a s o n a l d w e l l i n g s w e r e d e s i g n a t e d i n t h e

C h in by the. C h i n e s e c h a r a c t e r kung (p alace), and in

Yuan by t h e Mongol t e r m o r d o , w h i c h t h e Mongols h a d t a k e n

over from th e K h ita n .

W h i l e t h e L i a o emperors, l i v e d " p e r m a n e n t l y " i n t h e

na-po, t h e C h i n and Yuan r u l e r s , ex cep t th o se of th e e a r ly

|[[[ | miiK_jn i"“ iuj nji't iin n r i _jJL-~ itt^I i ~ i iin inmu ~n r "ri r —i~nn '*11 T '* 1 —■
—— *

(' 1 )' oSee. p • 6.

 52

p e rio d of both d y n a stie s? l i v e d i n t h e i r na~ po f o r o n l y

a few m o nths i n e a c h y e a r . But th ey s t i l l c a u g h t swans

e v e r y s p r i n g ( f i s h i n g seems t o h a v e c e a s e d ) ; i n summer

t h e y w en t t o summer r e s o r t s , i n au tu m n t h e y h u n t e d d e e r ,

a n d i n w i n t e r t h e y r e m a i n e d i n t h e w arm er p l a c e -— t h e

c a p ita l. Ihe. m ain d i f f e r e n c e b e t w e e n t h e i r s t y l e of

n a - p o an d t h a t of t h e L i a o was t h a t t h e y s h o r t e n e d t h e

s o j o u r n i n t h e s p r i n g camp and. s p e n t t h e w h o le o f t h e

w in te r i n the c a p i t a l .

Even up t o t h e Oh*ing d y n a s t y , a l t h o u g h t h e t e r m

n a - p o was no l o n g e r i n u s e , its. t r a c e s were s t i l l

n o ticeab lec E P a n g - h s i ( 1 6 6 2 - 1 7 2 1 ) b u i l t t h e Summer

P a la c e a t Je h o l as a base f o r ” c a llin g d e e r” and l a t e r

Oh*ing r u l e r s b u i l t p a l a c e s i n t h e v i c i n i t y o f P e k i n g

a s summer r e s o r t s . Only i n t h e l i g h t o f t h e h i s t o r y o f

t h e i n s t i t u t i o n o f n a - p o c a n t h e s i g n i f i c a n c e of t h e s e

a c t i o n s be p r o p e r l y a p p r e c i a t e d .

B'ow l e t u s t r y t o r e v i e w t h e i n s t i t u t i o n o f n a - p o i n

these d ynasties one by o n e .

(I) fh e Ju rch en -O h in dynasty (1115-1234)•

As f a r a s n a - p o i s concerned., t h e one h u n d r e d and

t w e n t y y e a r s o f G h in r u l e may be d i v i d e d i n t o t h r e e p e r i o d s
 53

i
( 1 ) 111 5-11 4 9? t h e p e r i o d d u r i n g w h i c h C h in h a d t h e i r

c a p i t a l i n H u i-n in g ^ If (modern A -e h ’§ng, s o u t h - e a s t

of H a r b i n ) . i h i s p e r io d covered t h e r e ig n s of th e f i r s t

t h r e e C h in e m p e r o r s , A g uta ( I 1a d - t s u , 1 1 1 5 -2 3 )> W u - c h ' i - m a i

( 1 1a i - t s u n g , 1 1 2 3 -3 5 ) a n d H s i - t s u n g ( 1 1 3 5 - 4 9 ) •

(2) 1153-1214? t h e p e r i o d d u r i n g w h i c h Chin, h a d t h e i r

c a p it a l i n P eking. f h i s p e r i o d may be s u b d i v i d e d i n t o a

f o r m e r a n d a, l a t t e r p e r i o d <, f h e f o r m e r covered, t h e r e i g n s

o f t h e 4 t h a n d t h e 5 t h C h in e m p e r o r s , I i a i - n i n g ( 1 1 4 9 - 6 1 )

and S h ih - t s u n g (1 1 6 1 -8 9 ); th e l a t t e r covered th e r e ig n

o f t h e 6 t h an d t h e 7 t h C h in emperors., C h a.n g -tsu n g ( 1 1 8 9 - 1 2 0 8 )

a n d W e i-S h a o Wang ( 1 2 0 8 - 1 2 1 3 ) *

(.3) 1214 -12 3 4? t h e p e r i o d d u r i n g w h i c h C h in h a d t h e i r

c a p i t a l i n K’ a i - f e n g , H onan, i h i s p erio d covered t h e

r e i g n s of t h e l a s t t h r e e Chin e m p e r o rs •

I n t h e f i r s t period? t h e e a r l y Chin em perors i m i t a t e d

t h e L i a o r u l e r s ’ p r a c t i c e and had t h e i r s e a s o n a l n a - p o

i n c l a s s i c a l lih ita n manner. I n 1125 Hsu K ' a n g - t s u n g ?

t h e f i r s t Sung envoy t o v i s i t J u r c h e n ? saw A g u ta i n

( I')
M a o - l i H a-po • Shis, i s t h e e a r l i e s t
*iW»n.rti.Wrtli.l ill .1■
!4nll^ iW
«.1.iW.^ l.i»i.»Ml4tfii..il ■
I>nwi.ilw
.nm wp.r. ''W i. —n
h

^ Hsu K’ a n g - t& u n g : op. c i t .

o c c u rre n c e of th e term na-po i n h i s t o r i e s concerning th e

C h in d y n a s t y . I n s p e a k in g of th e l i f e of H s i-ts u n g , the

t h i r d C h in em p e ro r, t h e H i s t o r y o f t h e f a C h i n Kingdom

records? ( I n 114-3) t h e S o v e r e i g n £ o f t h e Chin} o r d e r e d

h i s D e p a r t m e n t o f A f f a i r s o f S t a t e ( S h a n g - s h u ShSng)

t h a t ., ” f o l l o w i n g t h e example of the. K h i t a n , We a r e t o

t r a v e l and hunt i n th e f o u r seasons - - to fo llo w th e

p r a c t i c e o f Ma p r i n g - w a t e r ” a n d na u tu m n ~ m o u n t a i n ” and o f

s t a y i n g i n t h e n a - p o i n b o t h w i n t e r an d summer. ( 1 )
I h e g r e a t Sung s c h o l a r Chu H s i said? "The Chin

b a r b a r i a n s used, to l i v e i n H u i-n in g . D uring t h a t p e r io d

t h e y moved a b o u t i n t h e f o u r s e a s o n s . In sp rin g they

h un ted, on t h e Y a - l u R i v e r i n summer, t h e y went

t o a m o u n t a i n , where, i t was e x t r e m e l y c o l d , to av o id the

h ea t; i n t h e a u tu m n t h e y w e n t t o a c e r t a i n m o u n t a i n f o r

some p a r t i c u l a r a c t i o n unknown; a n d i n t h e w i n t e r t h e y
( 2)
w ent h u n t i n g t i g e r s i n a m o u n t a i n . ”

A l t h o u g h t h i s a c c o u n t of t h e a c t i v i t i e s o f t h e C h in

ru lers, if one may j u d g e fr o m t h e e x a m p le s o f t h e L iao

 55

tim e, i s not q u ite a c c u ra te , it g i v e s more s u p p o r t t o t h e

a s s u m p t i o n t h a t t h e e a r l y Chin' r u l e r s l e d a l i f e i n the

K h itan m anner•

Yet u n l i k e t h e K h i t a n who w ere 11r e a l " nomad, t h e

J u r c h e n d e p e n d e d f o r t h e i r l i v i n g h a l f on a g r i c u l t u r e and

h a l f on p a s t o r a l nomadism. T h e i r l i f e made i t easier fo r

them t o a c c e p t t h e C h i n e s e c i v i l i z a t i o n . The n a - p o ,

an i n s t i t u t i o n only s u i t a b l e t o n o m ad ic, or a t l e a s t

s e m i - n o m a d i c , peoples,., became l e s s an d l e s s p r a c t i c a b l e

f o r t h e C hin r u l e r s a s t h e y became more a n d more s i n i c i z e d .

On t h e o t h e r h a n d , p e r h a p s one can i n f e r t h e g r a d u a l

s i n i c i z a t i o n o f t h e J u r c h e n fro m t h e s t a g e s o f t h e i r

g r a d u a l g i v i n g up o f t h e i r l i f e in th e na-po.

The f o u r t h C h in e m p e r o r, H a i - n i n g , a man w i t h a s t r o n g

i n c l i n a t i o n f o r C h i n e s e c u l t u r e , who was e a g e r t o be t h e

s o l e s o v e r e i g n of t h e w h o le C h in e s e w o r l d , removed h i s

c a p i t a l f r o m H u i - n i n g t o P e k i n g i n 115 3*

We h a v e l i t t l e in f o r m a ti o n abo u t the h u n tin g a c t i v i t i e s

of H a i- n in g , e x c e p t t h a t i t i s s t a t e d t h a t he was fo n d

of h u n tin g , and, as th e la n d i n th e v i c i n i t y of Peking

was c u l t i v a t e d d u r i n g t h r e e o f t h e f o u r s e a s o n s , h e was

com pelled to h u n t only i n w i n t e r . W henever he h u n t e d ,

 56

h i s h u n t i n g a c t i v i t i e s a l w a y s l a s t e d f o r a t l e a s t one

month o H i s w i f e an d c o n c u b i n e s a s w e l l a s p r i n c e s a n d

entourage a l l fo llo w ed h i m .^ ^

A f t e r H a i - n i n g came S h i h - t s u n g . He b u i l t t h e C h in g -m in g

Kung '% , t h e p a l a c e i n C h in -1 i e n Oh*uan ^ , b ey on d

t h e G-reat W a ll i n C h a h a r , and s p e n t p a r t o f t h e y e a r i n

h i s c a p i t a l a t P e k i n g and t h e o t h e r p a r t i n t h i s P a l a c e .

P h i s com prom ise o f m a i n t a i n i n g t h e n a - p o on t h e one hand

an d r u l i n g a a a C h i n e s e on t h e o t h e r , became t y p i c a l f o r

t h e e m p e r o rs t h r o u g h o u t t h e Yuan d y n a s t y , and a l s o f o r

some of t h e C h ' i n g r u l e r s . The e m p ero r u s u a l l y s t a r t e d

h is . j o u r n e y f o r t h e C h in g -m in g Kung i n t h e f o u r t h o r t h e

f i f t h moon and s t a y e d t h e r e f o r some f o u r o r f i v e m o n th s,

and w o u ld n o t r e t u r n t o P e k i n g b e f o r e t h e e i g h t h o r t h e

n i n t h moon. I n t h i s P a l a c e he a v o i d e d t h e h e a t , and

c a r r i e d on t h e t r a d i t i o n a l a r t o f c a l l i n g d e e r . He

sp en t th e r e s t of t h e y e a r i n P e k in g . I n t h e s p r i n g he

h u n t e d swans i n one o f t h e l a k e s n e a r P e k i n g .

I n t h i s p e r io d th e C hinese d e s i g n a t i o n kung ( p a l a c e )

was u s e d i n s t e a d o f n a - p o , w h ic h now a p p l i e d o n l y t o

^ Yu-w/^n M ao-chao, op . c i t . , c h . 36, 3a.

 57

m i n o r s i ops o f t h e way t o t h i s Kung.

S h i h - t s u n g d i e d i n 1189- H is g r a n d s o n O h a n g - t s u n g

succeeded. He s t o p p e d the. p r a c t i c e e s t a b l i s h e d by h i s

g r a n d f a t h e r o f v i s i t i n g t h e Q hing-m ing Kung o u t s i d e t h e

G-reat W a l l . He s p e n t h i s . summer a n d e a r l y autu m n m onths

i n t h e W a n -n in g Kung ? a p a la c e n o r th of P eking,

w h i c h was o r i g i n a l l y b u i l t by S h i h - t s u n g i n 1179 (known

p r e v i o u s l y a s T ' a i - n i n g Kung, S h o u - n i n g Kung and Shou-»an

Kung) .

F o r t h i s , p e r i o d , G-. N. K a t e s ’ a r t i c l e on t h e d a t e f o r

th e o r i g i n s of th e F o rb id d e n C ity p ro v id e s u s e f u l i n f o r m a tio n .

A c c o r d i n g t o K a t e a , fro m l i g o , the y e a r fo llo w in g th e

d e a t h of S h i h - t s . u n g , 11I t ( t h e W a n -n in g P a l a c e ) became

a c u s t o m a r y p a la .c e o f s o j o u r n ; a n d fro m t h e n onwards

w i t h o n l y a few e x c e p t i o n s , we f i n d t h e c o u r t summering

th ere constan tly , d u r i n g C h a h g - t s u n g ' s w h o le r e i g n of

tw enty y e a r s , r e m a i n i n g o f t e n b e t w e e n f o u r t o f i v e m on th s

a t a t i m e . 1’ And i t was on t h e r u i n s o f t h i s P a l a c e t h a t

K h u b ila i's re sid e n c e , th e p re d e c e s s o r of th e F o rb id d en

C i t y , was b u i l t . ( 1 )'

^^ G. K a t e s : A. Hew P a t e f o r t h e O r i g i n s o f t h e
F o rb id d en C i t y , p p .180-202.
 58

The J a d e - f l o w e r I s l a n d a t t h e s o u t h e r n end of t h e

l a k e i n t h e w e l l known H o r t h - S e a P a r k i n m o d e rn P e k i n g

was one o f t h e c h i e f f e a t u r e s i n t h e W a n -n in g P a l a c e . We

are ab le, th erefo re, t o i n f e r t h e p o s i t i o n of t h e Pala.ce.

The e i g h t h C hin r u l e r , H s u a n - t s u r g ( 1 2 1 3 - 1 2 2 3 ) moved,

u n d e r t h e t h r e a t o f Mongol i n v a s i o n , f r o m P e k i n g t o

K’a i - f e n g , w h e r e h e a n d t h e l a s t two C h in r u l e r s h e l d

t h e i r co u rt, ho h u n t i n g a c t i v i t i e s of th e s e r u l e r s a re

recorded. The n a - p o l i f e o f t h e C hin TJmperors ended w i t h

t h e r e m o v a l o f t h e i r c a p i t a l fxom P e k i n g .

II. The Mongo 1-Yuan p e r i o d (1 2 0 6 - 1 3 6 8 ) .

The- n a - p o i n t h e M ongol-Yuan d y n a s t y may a l s o be

d ivided in to two p e r i o d s * (1 ) t h e p e r i o d d u r in g w hich

t h e Mongols r e m a i n e d i n t h e i r hom elan d on t h e s t e p p e ,

and (.2) t h e p e r i o d d u r i n g w h i c h t h e Yuan emperors, r u l e d

i n T a-tu ( P e k in g ) . The f o r m e r p e r i o d c o v e r e d t h e r e i g n s

o f t h e e a r l i e r Mongol s o v e r e i g n s b e f o r e K h u b i l s i . The

l a t t e r p e r i o d c o v e r e d t h e r e i g n s o f a l l t h e Yuan r u l e r s

fro m I C h u b i l a i onwards ( 1 2 6 0 - 1 3 6 8 ) .

A good exam ple o f t h e n a - p o o f t h e f o r m e r p e r i o d w i l l

b e f o u n d i n t h e a c c o u n t g i v e n by D 'Q h s s o n , b a s e d on t h e

P e r s i a n w r i t e r A l a i - e d - d i n A tta -m u lk D jouvieni., of the

 59

life of O gotai (12 2 9 -4 1 ) , t h e s o n and s u c c e s s o r o f C h i n g g h i s

(1206-27) .

"W h ile h i s army was i n v a d i n g K o re a , ravaging the cen tre

o f C h i n a , d e v a s t a t i n g R u s s i a , P o l a n d and H u n g a ry , and

s p r e a d i n g t e r r o r i n w e s t e r n E u ro p e , O gotai i d l y sp e n t

h i s t i m e h u n t i n g and f i s h i n g a s was h i s w o n t . D uring th e

s p r i n g h e s t a y e d i n K arakorum f o r o n l y one m onth, and

spent the r e s t of th e season i n a p a la c e s i t u a t e d i n a

p l a c e named K e r ta .c h a g a n , w h ic h was one d a y ' s journey

fro m t h e c i t y . I t was b u i l t by P e r s i a n a r c h i t e c t s , who

t h o u g h t t o r i v a l i n t a l e n t t h e C h i n e s e b u i l d e r s who h ad

b u i l t t h e p a l a c e a t K arak o ru m . A fter le a v in g th is country

s e a t O g o t a i p a s s e d a few days, i n t h e c i t y w h i c h he had

founded. Then he s e t t l e d f o r t h e w h o le summer i n a p l a c e

named O rm e k to u a . He h e l d h i s c o u r t t h e r e i n a C h i n e s e

m a rq u e e made o f w h i t e f e l t d e c o r a t e d i n a n i n t e r e s t i n g

way w i t h g o l d e m b r o i d e r y . The t e n t w.ould h o l d one

t h o u s a n d p e r s o n s and i t was c a l l e d S i r a . O rd e o u . I n autum n

he l i v e d f o r a b o u t f o r t y d a y s n e a r Lake K euche, f o u r

d a y s 1 j o u r n e y f r o m K a ra k o ru m . And fro m Keuche h e w ent

t o O n g - k i , w h ere h e s p e n t ' t h e w i n t e r -— t h e g r e a t h u n t i n g
s e a s o n . ”» ( 1 )'

I1h i a a c c o u n t can be u s e d to make up t h e o m i s s i o n s from

th e l i f e o f O g o t a i i n t h e o f f i c i a l Yuan H i s t o r y . The
( 2}
A n n a ls f o r t h e p e r i o d o f O g o t a i i n t h e Yuan H i s t o r y '

r e c o r d t h a t O g o t a i h e l d h i s s p r i n g h u n t i n g i n t h e Lake
( ^
Obielvch]eh-ch, a - h a ^ ' w h i c h , no d o u b t , i s L j o u v e i n i 1s

C herchagan. The names o f o t h e r p l a c e s a r e n o t m e n t i o n e d .

I n th e A nnals, h o w e v e r, f o r th e p erio d of H sien -tsu n g

(lVIangu j 1 2 5 1 - 5 9 ) > who h a d f o l l o w e d 1 1i n g - 1 s u n g (Kuyuk^

1 2 4 6 -5 0 ) th e s u c c e s s o r of O gotai, t h e r e a p p e a r t h e names

o f h i s s e a s o n a l d w e l l i n g s a t Y u e h - e r - m i e h - . e h 1i e h - t ’u

H s i-la - ou-lu -to % &*| 70%• ^ and W a n g -c h i 1%% \ v h i ch

c o r r e s p o n d w i t h D j & u v a i n i ' s Ormektoua, S i r a Ordeou and

O n g -k i r e s p e c t i v e l y .

D1Ohs so n; H i s t o i r e des M o n g o ls , V o l . I I , p . 8 4 -8 5

^^ Yuan S h i h , C h . 2 .

^ ^ T h i s p l a c e a l s o a p p e a r s i n t h e Yuan H i s t o r y i n s u c h
o t h e r fo rm s a s 'j£ C h i a - c h i e n - d h ' a - h a n (YS 58? 21b)
and t&H, yJtj Ch'iel^ch' i e n - c h ' a - h a n ( YS 3) •

Yuan S h i h , Ch. 3a. ,

 61

Chang f<s~hui ^^ who v i s i t e d K h u b i l a i 1s H e a d q u a r t e r s

n e a r K arakorum i n 1 248, t w e l v e y e a r s b e f o r e K l i u b i l a i

ascended the th ro n e , d e sc rib e s the l i f e o f t h i s Mongol

P rinces

" .... S e t t i n g out fr o m t h e n o r t h - w e s t o f t h e v a l l e y

o u t s i d e o f K arak oru m , we t r a v e l l e d one s t a t i o n t o t h e

H o r s e Head M o u n t a i n . We went a l o n g t h e n o r t h s i d e of

t h i s m o u n t a i n , and t h e n ' t u r n e d s o u t h - w e s t . a nd went p a s t

t h e Red 33ar M o u n t a i n . From t h e r e we w e n t n o r t h - e a s t one

s t a t i o n to t h e " M iles to n e ” . We w en t t h r e e s t a t i o n s i n

P r i o r t o h i s a s c e n s i o n t o t h e t h r o n e , K h u b i l a i was
e n t r u s t e d by Mangu Khan w i t h t h e a d m i n i s t r a t i o n o f t h e
r e g i o n s o u t h of t h e G-reat D e s e r t -— C h i n a . He r e a l i z e d
t h e im p o rta n c e of w inning o v er th e c o - o p e r a t i o n o f t h e
C h i n e s e an d summoned a num ber o f l e a d i n g C h i n e s e
i n t e l l e c t u a l s to h is c o u rt. Chang T e - h u i was one o f
t h o s e who w e re summoned. He w r o t e a b r i e f a c c o u n t o f
h i s j o u r n e y i n M o n g o lia w h i c h was i n c l u d e d i n t h e c o m p l e t e
w orks o f Wang i u n & 1*^ , ( Qh 1i u - c h i e n h s i e n - s h § n g t a - c h ' u a n
c h i ,;- c h . 100,) who l i v e d a l i t t l e , l a t e r them Chang l § - h u i .
A R u s s i a n t r a n s l a t i o n o f Chang G^-hui's m em oirs,' w i t h
commentary, by F a t h e r P a l l a d i u s was p u b l i s h e d i n t h e
Memoirs o f t h e S i b e r i a n S e c t i o n o f t h e I m p e r i a l R u s s i a n
G eographical S o c ie ty . E. S c h u y l e r g i v e s a n E n g l i s h
v e r s i o n of t h i s R ussian t r a n s l a t i o n i n th e G eo g rap h ical
M a g a z in e ( J a n . 1875)* fhe q u o ta tio n i n th e te x t th a t
fo llo w s i s a b r id g e d from S c h u y l e r 's v e r s i o n . 1 have
c h e c k e d i t w i t h t h e o r i g i n a l a n d made a number o f c o r r e c t i o n s .
 62

a s o u t h - w e s t e r l y d i r e c t i o n to t h e R iv e r Tang-ku. To t h e

w est of th e R iv e r th e r e is a range of m o u n ta in s. T h e re

a r e many p i n e t r e e s on t h e n o r t h e r n s i d e o f t h e r a n g e .

On t h e s o u t h e r n s i d e o f t h e m o u n t a i n i s the P r i n c e 's

royal te n t- p a la c e . T h is i s h i s summer r e s i d e n c e .

" I t was, n o t u n t i l a f t e r t h e m i d - a u t u m n f e s t i v a l t h a t

th e P r in c e s e t out a g a in . We p r o c e e d e d e a s t w a r d a l o n g

t h e p o s t r o a d , p a s s e d t h e M i l e s t o n e a n d re a ic h e d t h e Red

E ar M ountain. Prom t h e r e we z i g z a g g e d n o r t h - e a s t i n t o

th e h e a r t of t h e m ountains . T h e n c e f o r w a r d we went on

by f i t s and s t a r t s , n e v e r g o i n g more t h a n one s t a t i o n i n

a d a y and n e v e r s t o p p i n g more t h a n two n i g h t s a t t h e same

p lace. On t h e " d o u b l e 'Ninth" t h e P r i n c e w en t w i t h h i s

f o l l o w e r s t o t h e Grand Ordo £o£ t h e Grand Khan} t o t a k e

p a r t i n t h e l i b a t i o n o f w h i t e m a r e ' s m i l k —- t h e c u s t o m a r y

s a c r i f i c e a t t h a t tim e.

" D u r i n g t h e m i d d l e d e c a d e o f t h e t e n t h moon, we r e a c h e d

a p l a c e w h ic h was p r o t e c t e d a g a i n s t t h e w in d by m o u n t a i n s

on i t s . f o u r a i d e s e x c e p t t h e s o u t h . T h e r e we s p e n t t h e

v/in ter. H ere t h e r e w e r e t r e e s i n a b u n d a n c e . The w a t e r

e v e r y w h e r e was c o m p l e t e l y f r o z e n an d we a l l h a s t e n e d to

p r o v i d e o u r s e l v e s w i t h f u e l and w a t e r b e f o r e t h e c o l d
 63

came o n «

11On t h e l a s t day o f t h e y e a r . t h e P r i n c e moved h i s

camping g r o u n d e l s e w h e r e t o r e c e i v e t h e homage of h i s

v a s s a l s i n c o n n e c t i o n w i t h t h e New Y e a r c e l e b r a t i o n s .

T h r e e d ay s l a t e r t h e P r i n c e p r e s e n t e d New Y e a r C o n g r a t u l a t i o n

t o t h e Grand Khan by g o i n g t o h i s Grand Ordo t o pay homage.

"On t h e l a s t day o f t h e f i r s t moon, we w en t b a c k t o w a r d s

the so u th -w est. Y/e a r r i v e d a t t h e Red E a r M o u n t a i n i n

t h e m i d d l e de.cade o f t h e s e c o n d moon. Then we w e n t

e a s t w a r d u n t i l we r e a c h e d H o rs e Head M o u n t a i n . Por in th e

" s p r in g w ater" i n the v i c i n i t y of th e m ountain th e P r in c e

h u n t e d £ w i l d d u c k s w i t h g e r f a l c o n s .3

"On t h e n i n t h d a y o f t h e f o u r t h moon, t h e P i i n c e a g a i n

w e n t w i t h h i s f o l l o w e r s - t o t h e Grand Ordo t o t a k e p a r t

i n th e l i b a t i o n of w h ite m a re ’s m ilk .

"On t h i s d ay we b e g a n o u r r e t u r n journey along th e

p o s t r o a d t o t h e s o u t h - w e s t t o the. summer r e s i d e n c e of

the P rin c e .

"G en erally , a t t h e a p p r o a c h of summer, t h e P r i n c e

moves, t o t h e h i g h e r a n d c o o l e r r e g i o n s , a n d , in the

w inter, to places, w hich a r e b e t t e r p r o t e c t e d a g a i n s t t h e

w in d a n d g e t more s u n s h i n e and where f u e l an d w a t e r a r e

e a sily o b tain ab le. At o t h e r t i m e s d u r i n g t h e y e a r t h e y

t r a v e l a b o u t fro m one p l a c e t o a n o t h e r . They may s p e n d

one day on t h e move, and t h e w h o le o f t h e n e x t d a y i n

one p l a c e *— s t o p p i n g w h e re t h e y f i n d w a t e r a n d g r a s s

t o f e e d t h e i r h e r d s and f l o c k s . "

K h u b i l a i came t o t h e t h r o n e , i n 12 6 0 , i n h i s n e w l y -

fo u n d e d c i t y K ' a i - p ' i n g on t h e s o u t h e r n edge o f t h e

steppe, n e a r m o d e rn D o l o n n o r . The same w i n t e r h e v i s i t e d

P e k i n g w h e re he r e s i d e d u n t i l n e x t s p r i n g ( 1 ) . Then he

r e v i s i t e d K’ a . i - p ! i n g . Prom t h a t y e a r onw ards i t became

a p r a c t i c e f o r him t o r e s i d e i n P e k i n g i n l a t e autum n,

t h e w h o le w i n t e r a n d e a r l y s p r i n g , a n d s p e n d t h e l a t e

sp rin g , t h e w h o le summer an d e a r l y a u tu m n i n K’ a i - p ’ i n g .

He g a v e K’ a i - p ' i n g t h e name of Supreme. C a p i t a l , Shangtu

^ ^ The Yuan H i s t o r y ( c h . 58, 2a) a s s e r t s t h a t K h u b i l a i

moved h i s c a p i t a l fro m K’ a i - p ’ i n g t o P e k i n g i n 12 67.
T h i s p r o b a b l y r e f e r s t o t h e f o u n d a t i o n o f t h e new c i t y
w a l l o f P e k i n g . E a r l i e r , a s we h a v e j u s t p o i n t e d o u t ,
K h u b ila i had a l r e a d y r e s i d e d i n P e k in g and t h e
governm ental o f f i c e s had a ls o been f u n c t i o n i n g t h e r e .
 65

(M arco P o l o ’ s Chandu)^*^ and P e k i n g , t h e G-rand

( 2}
C ap ital, T a - t u ( P o l o ’ s Cambaluc) . I t was d u r i n g t h i s

p e rio d t h a t t h e V enetian t r a v e l l e r s th e P olos p a id t h e i r

( 3}
v i s i t to C athayv ' .

Marco g i v e s a n a c c o u n t o f K h u b i l a i ' s y e a r l y r o u t i n e

as fo llo w s:

"On a r r i v i n g a t h i s c a p i t a l of C am baluc, he s t a y s i n

h i s p a l a c e t h r e e days a n d no m ore; d u r i n g w h ic h t i m e he

h a s g r e a t c o u r t e n t e r t a i n m e n t s and r e j o i c i n g s ? a n d makes

m erry w i t h h i s w iv e s. He t h e n q u i t s h i s p a l a c e a t Cambaluc,

a n d p r o c e e d s t o t h a t c i t y w h ich he h a s b u i l t , as I to ld

^ ^ I n 1798 C o l e r i d g e w r o t e :
I n Xanadu ( S h a n g t u ) d i d Kubla Khan
A s t a t e l y pleasure-dom e decree:
Where A lp h , t h e s a c r e d r i v e r , r a n
Thro ug h c a v e r n s m e a s u r e l e s s t o man
'JDown t o a s u n l e s s s e a .
So t w i c e f i v e m i l e s o f f e r t i l e g r o u n d
W ith w a l l a a n d t o w e r s were g i r d l e d r o u n d
And h e r e were, g a r d e n s b r i g h t w i t h s i n u o u s r i l l s ,
Where b l o s s o m e d many a n i n c e n s e - b e a r i n g t r e e ;
And h e r e w ere f o r e s t s a n c i e n t a s t h e h i l l s ?
E n f o l d i n g s u n n y s p o t s of g r e e n e r y .
( 2)
I n 12 64. K h u b i l a i f i r s t g a v e P e k i n g t h e name o f Chung-tuf^f
the "C en tra l C a p ita l" . I n 1272 i t was ren am ed T a - t u .
(YS? 58, 2a.)
( 3^
v ' A.Ccording t o P e l l i o t an d P r o f . M oule, Marco P o l o saw
K h u b i l a i i n P e k i n g i n 1275 *
 66

you b e f o r e , and w hich i s c a l l e d Chandu w h e r e h e h a s t h a t

g r a n d p a r k a n d p a l a c e o f c a n e , an d w h ere he k e e p s h i s

g e r f a l c o n s i n mew T h e r e he s p e n d s t h e summer t o

escape th e h e a t, f o r t h e s i t u a t i o n i s a v e r y cool one.

A f t e r s t o p p i n g t h e r e fr o m t h e b e g i n n i n g o f May t o t h e

2 8 t h o f A u g u s t , he t a k e s h i s d e p a r t u r e ( t h a t i s t h e t i m e

when t h e y s p r i n k l e t h e w h i t e m a r e s ' m i l k a s I t o l d y o u ) ,

a n d r e t u r n s t o h i s c a p i t a l Cam baluc. T h e r e he s t o p s a s

I h a v e t o l d you a l s o , t h e month o f S e p t e m b e r t o k e e p h i s

B i r t h d a y B e a s t , and. a l s o t h r o u g h o u t O c t o b e r , Hovember,

D ecem ber, J a n u a r y and F e b r u a r y , i n w h i c h l a s t m on th h e

k e e p s t h e g r a n d f e a s t of t h e new y e a r , w h i c h t h e y c a l l

t h e W h i t e B e a s t , a s you h a v e h e a r d a l r e a d y w i t h a l l

p a rtic u la rs. He t h e n s e t s o u t on h i s m a rc h t o w a r d s t h e

Oceans S e a , h u n t i n g a n d h aw k in g c o n t i n u e s o u t fro m t h e

b e g i n n i n g o f March t o t h e m i d d l e o f May; a n d t h e n comes

b a c k f o r t h r e e day s o n l y to t h e C a p i t a l , d u r i n g w h ic h

h e m akes m e r r y w i t h his. w i v e s an d h o l d s a. g r e a t c o u r t

and grand e n t e r ta in m e n ts . In tru th , ' tis som ething

asto n ish in g , t h e m a g n i f i c e n c e d i s p l a y e d , by t h e Em peror

i n t h o s e t h r e e days.; a n d t h e n he s t a r t s o f f a g a in as

you k n o w .

"Thus h i s w ho le y e a r i s d i s t r i b u t e d i n t h e f o l l o w i n g
 67

m an n er: s i x m onths a t h i s c h i e f p a l a c e i n t h e r o y a l c i t y

o f Cambaluc, t o w i t , S e p t e m b e r , O c t o b e r , November,

1a n u a r y , P e b r u a r y ;

"T h e n on the. g r e a t h u n t i n g e x p e d i t i o n t o w a r d s t h e s e a ,

Ma r ch., Ap r i l , May;

” Then o f f t o t h e c i t y o f Chscn&u w h i c h h e h a s b u i l t ,

a n d w h e r e t h e Cane P a l a c e i s , w h ere h e s t a y s J u n e , July,

A ugust;
(1)
11Then b a c k a g a i n t o h i a c a p i t a l c i t y o f C a m b a l u c . u ' 1

A c c o r d i n g t.o t h e o f f i c i a l Yuan H i s t o r y , h o w e v e r , K h u b i l a i

u s u a l l y l e f t P e k i n g a t t h e end of t h e f i r s t moon, or
(2)
e a r l y i n th e second, f o r t h e W illow f o r e s t / to hunt

sw ans. Ee s t a y e d i n t h e W illo w f o r e s t f o r o n l y a few

d a y s an d t h e n w e n t b a c k t o P e k i n g . In the l a t t e r h a lf

of t h e second, o r d u r i n g t h e t h i r d , moon, h e s t a r t e d f c r

S h a n g t u w h ere he s t a y e d u n t i l t h e e i g h t h , or th e n in th ,

moon. I f one. t r i e s , t o w ork o u t t h e e q u i v a l e n t d a t e s

a c c o r d i n g t o t h e G -reg o rian c a l e n d a r , i t w i l l be f o u n d

Y ule, ed.s Tr a v e l s o f Marco P o l o , V o l *1, p . 410-11*

^^ See p . 31.
 68

t h a t K h u h ila i a c t u a l l y (1) held h i e s p r in g h u n tin g a t

t h e end o f F e b r u a r y , o r i n March? ( 2 ) w e n t t.o S h a n g t u

e a c h A p r i l o r May and ( 3 ) r e s i d e d i n P e k i n g f o r t h e r e s t

of th e y e a r, phe a c c o u n t g i v e n by Marco i s n o t q u i t e

accu rate, though i t i s not e n t i r e l y w rong.

K h u b i l a i 1s. r o u t i n e was f o l l o w e d by t h e o t h e r Yuan

r u l e r s throughout th e d y n asty . Phey s l i g h t l y d e l a y e d t h e

d a t e o f l e a v i n g P e k i n g f o r S h a n g t u t o t h e f o u r t h moon

(M ay), and came b a c k a l i t t l e ea rlie r? i n t h e e i g h t h moon

( S e p t e m b e r ) (v 1 )' . I n t h i s period? t h e t e r m o rd o was u s e d

(1)
' 1A f t e r t h e l a s t Yuan em pero r S h u n - t i ? P oghon Pernour, was
d r i v e n from h i a t h r o n e : i n P e k i n g , h e f l e d v i a t h e K u - p e i Kou
Pass t o h i s hom eland i n t h e s t e p p e . . He l a m e n t e d t h e
l o s s o f b o t h h i s c a p i t a l s i n t h e songs
,!My v a s t a n d n o b l e c a p i t a l , my D a i t u , my s p l e n d i d l y
adorned
And Phou my c o o l a n d d e l i c i o u s S u m m a r-sea t? my
S hang tu-K eibu ng .
Ye? a l s o ? Y ellow P l a i n o f S h a n g tu ? D e l i g h t o f my
godlike s i r e s .
I. s u f f e r e d m y s e l f t o drop i n t o d re a m s —* a n d l o my
Empire, was g o n e .
Ah Phou my D a i t u ? b u i l t o f n i n e p r e c i o u s s u b s t a n c e s
Ah my S h a n g t u - K e i b u n g ? U n i o n o f a l l p e r f e c t i o n
Ah my l a m e . Ah my g l o r y , a s Khagan a n d L o rd of t h e B a r t h .
When I u s e d t o awake b e t i m e s and l o o k f o r t h , how t h e
b re e z .e s blew l o a d e d w i t h f r a g r a n c e .
And t u r n w h i c h way I would a l l was g l o r i o u s p e r f e c t i o n
of B eauty

A l a s f o r my i l l u s t r i o u s name a s t h e S o v e r e i g n o f t h e w o r l d .
A l a s f o r my D a i t u , s e a t o f S a n c t i t y , G l o r i o u s work o f
t h e Im m o r t a l K h u b i l a i
A l l , a l l i s r e n t fro m me." __ S ana S e -t z e n .

CV.it'*
 6g

to denote th e c h ie f im p e ria l s e a so n a l t e n t - d w e ll i n g s , and

na~po was o n l y u s e d t o a p p l y t o t h e s t o p s on t h e j o u r n e y .
S^S

The Yuan d y n a s t y e n d e d i n 1 36 8 . The t y p i c a l C h i n e s e

Ming d y n a s t y came, t o p o w e r . Two h u n d r e d a n d s e v e n t y - s e v e n

y e a rs l a t e r a n o th e r non-C hinese d y n asty , t h e M anchu-C h’ i n g ,

was e s t a b l i s h e d , a n d we. see. a n o t h e r v e r s i o n o f t h e n a ~ p o .

(Ill) The M anchu-C h1i n g D y n a s t y ( 1 6 4 4 - 1 9 1 1 ) -

The Manchus w e re d e s c e n d e n t s o f t h e J u r c h e n who

f o u n d e d t h e Ghin d y n a s t y . They s t i l l p r e s e r v e d t h o s e

a rts o f c a l l i n g d e e r i n w hich t h e i r G h in a n c e s t o r s h a d

sp ecia lize d . The em peror Oh’ i e n - l u n g composed two l o n g

\
rhymed e s s a y s on c a l l i n g - d e e r . In th e i n t r o d u c t i o n to

one o f t h e s e , he. r e m a r k s : “ F o r m e r l y my g r a n d f a t h e r was

fond o f c a l l i n g - d e e r . When I was v e r y y ou ng , I o f t e n

f o l l o w e d him a n d l e a r n e d much a b o u t i t . B u t i t was n o t

u n t i l r e c e n t l y t h a t I m y s e l f t r i e d t o do i t . 11 The " g r a n d f a t h e r

C o n t i n u a t i o n o f n o t e fro m p r e v i o u s p a g e :
T h is i s q u o t e d fro m Y u l e ’ s t r a n s l a t i o n of S c o t t ’ s amended
German v e r s i o n o f t h e M ongol. I h a v e c h e c k e d i t w i t h t h e
C hinese v e r s i o n . T h e r e a r e a number o f d i s c r e p a n c i e s .
H ow orth h a s a l s o g i v e n a t r a n s l a t i o n w h i c h i s much
c l o s e r t o t h e C h i n e s e v e r s i o n . (How o r t h , o p . c i t . , I , 334-)°
 70

r e f e r r e d t o was t h e g r e a t em p e ro r K * a n g - h s i ( 1 6 6 1 - 1 7 2 2 ) ,

t h e s e c o n d a n d one o f t h e a b l e s t o f t h e C h’ i n g r u l e r s t o

r u l e o v e r C hina. K1a n g - h s i made h i s f i r s t journey to

J e h o l i n 1.677, an d a f t e r 1.683 he went t h e r e once e a c h

y e a r — a l w a y s i n summer m o n th s . I n 1703 he f o u n d e d t h e r e

t h e famous Summer P a l a c e , c o m p l e t e d i n 1708» The m a i n

p u r p o s e s , o f the. f o u n d i n g o f t h e P a l a c e w e r e a s summer

r e s o r t a n d f o r h u n t i n g d e e r i n t h e autumn? o r we may s a y

to s a t i s f y th e non-C hinese elem ents i n h i s b lo o d . Prom

t h e C h i n e s e p o i n t o f v ie w , h o w ev e r, t h e s e a c t i v i t i e s seem ed

■to be i n c o m p a t i b l e w i t h t h e r a n k of a n e m p e r o r . T herefore,

i n h i s n o t e on t h e f o u n d a t i o n o f t h e P a l a c e a d d r e s s e d t o

h is C hinese s u b je c ts ., t h e E m p ero r b e g a n by b e g g i n g h i s

p e o p l e 's p a rd o n and w ro te;

" S e v e r a l t i m e s h a v e I v i s i t e d t h e banks, o f t h e Y a n g t z e

R iver, and I a p p r e c i a t e t h e b e a u t y o f t h e s c e n e r y o f t h e

S outh. Twice h a v e I b e e n t o Chl i n a n d l u n g ( i . e . S hen-si

and Kansu) w here fro m I h a v e l e a r n e d s o m e t h i n g more a b o u t

h i s t o r y o f t h e W e s t. To t h e n o r t h 1 h a v e c r o s s e d t h e

D ra g o n Sand ( t h e G r e a t D e s e r t ) , and to th e e a s t 1 have

t r a v e l l e d a c r o s s t h e Long W h ite M o u n t a i n ( M a n c h u r i a ) .

The g r a n d e u r o f t h e m o u n t a i n s a n d r i v e r s , a n d t h e h o n e s t y

a n d s i m p l i c i t y o f t h e i r p e o p l e c a n n o t be f u l l y d e s c r i b e d .
 71

—■ Y et n one o f t h e s e p l a c e s h a s a t t r a c t e d me,

11I t i s J e h o l w h i c h p l e a s e s me m o s t . As i t is not far

fro m t h e Holy C a p i t a l ( P e k i n g ) , i t t a k e s no m ore t h a n

two d a y s t o come and* go. I t is a broad s t r e t c h of w ild

c o u n t r y , a n d you can u n d e r s t a n d t h a t t h e c h o i c e o f s u c h
( 1 )/
a p l a c e w o u ld n o t l e a d me t o n e g l e c t a f f a i r s o f s t a t e . MV

O b v i o u s l y t h e p r i m e a im was t o s a t i s f y h i s own d e s i r e .

A b y - p r o d u c t o f t h i s a c t i o n was t h a t i t b r o u g h t a b o u t a

c l o s e r r e l a t i o n s h i p w i t h t h e Mongol p r i n c e s . I t w o u ld

seem t h a t s.ome s c h o l a r s h a v e p r e s s e d t h i s p o in t a l i t t l e

too f a r i n s a y i n g t h a t "We may b e q u i t e c e rtain th at it

was n o t done f o r h i s own p l e a s u r e and w e l l - b e i n g , or

b e c a u s e he h a d a. p a s s i o n a t e l o v e f o r t h e co untry round

Jeh o l, b u t from m o tiv e s of c l e v e r s ta te s m a n s h ip and

( 2)
f a r ~ s i g h t e d n e s s . 11 '

P r i o r t o t h e b u i l d i n g o f t h e Summer p a l a c e a t J e h o l ,

K 'a n g - h s i r e s t o r e d a ^ r d e n (c .1 6 7 8 ) n e a r P e k in g , w hich

had once b e l o n g e d t o a Ming n o b l e , g iv in g i t t h e name

C h ' a n g - c h ' u n Yuan 1 an<i J°^xeTe ■

tae °^'fcen s p e n t s e v e r a l

^ Q u o t e d i n th e o f f i c i a l l o c a l his.tory of J e h o l, J e - h o C hi,
c h . 25-
( 2 ) S v e n H e d in : J e h o l , C i t y o f E m p e ro r s , p . 1 4 4 *
 72

m onths i n e a c h y e a r . I t was i n t h i s g a r d e n t h a t f o r

s e v e r a l y e a rs he s tu d ie d m athem atics w ith th e J e s u i t

M i s s i o n a r i e s t o whom he g r a n t e d a r e s i d e n c e n e a r b y . It

was als.o t h e r e , t h a t t h e R u s s i a n embassy h e a d e d by I z m a i l o v

was s e v e r a l t i m e s e n t e r t a i n e d ( 1 7 2 0 - 2 1 ) ( 1 ) .

P e r h a p s few* of t h e E u ro p e a n v i s i t o r s to P e k in g have

m i s s e d t h e Summer P a l a c e a t I - h o Yuan a nd t h e

ruins, of i t s p r e d e c e s s o r s , t h e Yuan-m ing Yuan (§[] [If]

nearby. A. r e v i e w o f t h e h i s t o r y of both p a la c e s s e rv e s

t o show t h e p a r t p l a y e d by t h e n a - p o i n t h e l i f e of th e

l a t e r Oh1i n g r u l e r s .

She Y uan-m ing Yuan was o r i g i n a l l y a c o u n t r y v i l l a

g i v e n t o Y u n g -c h e n g ( 1 7 2 3 - 3 5 ) ? t h e t h i r d Oh’ i n g r u l e r ,

by h i s f a t h e r K’ a n g - h s i . Y ung-chSng d i d n o t f o l l o w h i s

f a t h e r ’ s example of v i s i t i n g J e h o l , I n s t e a d he r e s i d e d ,

a f t e r a b o u t 1725? i n t h i s v i l l a s e v e r a l months ea ch y e a r .

O h ' i e n - l u n g ( 1 7 3 6 - 9 6 ) , who s u c c e e d e d Y u n g -c h £ n g , p a i d

h i s f i r s t v i s i t t o J e h o l i n 1741 and t h e n e v e r y o t h e r

y e a r during th e next te n y e a rs . Prom 1751 o n w ard s, he

w ent t h e r e a n n u a l l y a n d h e l d t h e a n n u a l au tu m n h u n t i n g a t

^ A . . W. Hummel e d . s Im m in e n t C h i n e s e o f t h e Ch’ i n g p e r i o d ,
" p .330.
lVIulun ( p r e s e n t W e i-C h 1 an g c o u n t y , J e h o l , The C h i n e s e

e x p r e s s i o n w ^ ^ c h ^ n ^ i . meana 1 h u n t i n g g r o u n d 1 ; Mulu n i s

Manchu m e a n i n g t o c a ll deer) * I t was d u r i n g one o f h i s

sojourns in Jeh o l, i n 1793, t h a t Ch 1 i e n - l u n g r e c e i v e d

L o rd M a c a r t n e y , th e f i r s t B r i t i s h Ambassador to C h in a .

B e s i d e s h i s p a l a c e s i n P e k i n g and i n J e h o l , Ch 1 i e n - l u n g

made t h e Yuan-m ing Yuan h i s t h i r d m a i n r e s i d e n c e . He

o ften resid ed th ere, e s p e c i a l l y i n the l a t e r p a r t o f h i s

lif e.

The Arrow War o f 1 8 5 7 - 6 0 l e d t o t h e o c c u p a t i o n o f

P e k i n g by t h e a l l i e d E n g l i s h and F r e n c h f o r c e s . In

O ctober, I 8 6 0 , Y'uan-ming Yuan and o t h e r i m p e r i a l g a r d e n s

i n t h e n e i g h b o u r h o o d w e r e b u r n t an d p i l l a g e d . I n 1886,

h o w ev e r, t h e Em press Dowager ( 1 8 3 5 - 1 9 0 8 ) b u i l t on t h e

s i t e o f C h ' i n g - i Yuan, one o f t h e d e s t r o y e d

gardens, t h e new Summer P a l a c e , I ~ h o Yuan. The r e b u i l d i n g

was f i n a n c e d , by f u n d s ea r-m a rk e e l f o r the c o n stru c tio n

o f a. n a v y . I t s r e b u i l d i n g d e p r i v e d t h e c o u n t r y o f a.

much n e e d e d n a v y . The E m press Dowager s t a y e d , i n t h i s

P a l a c e a f t e r h e r nr e t i r e m e n t 11 i n 1889-

Nowadays, v i s i t o r s of P e k in g adm ire t h e b e a u ty of t h i s

P alace. Yet few o f th e m can p e r h a p s i m a g i n e t h a t h e r e

l i e the tra c e s of th e a n c ie n t na-po one o f t h e

 74

m a n ife sta tio n s o f th e non-Chinese a s p e c ts in Chinese

h is t o r y .

Looking hack over th e e v o lu tio n o f th e na-po throughout

the. fo u r d y n a s tie s , L iao, Chin, Yuan and Ch*ing as a

w hole, th e fo llo w in g phases of i t s development can he

d i s t in gu ish ed s
(1 ) C la s s ic a l periods,:

(a ) 906-1125, namely the w hole o f th e K hitan-

Liao dynasty;

(h) 1 1 15-52. Th i s covers th e e a r ly p eriod of

Jurchen-Ohin up to th e removal o f t h e ir

c a p ita l from H ui-ning to P ek in g.

C h ie f. f e a t u r e s : hunting in sp rin g and autumn,

a v o id in g h ea t and cold in summer and w in te r .

(2 ) Periods, o f m o d ific a tio n :

(a ) 1153-1189. 93his was th e f i r s t h a lf o f th e

p erio d during which th e Jurehen-Chin had

t h e ir c a p ita l in Peking;

(h ) 1260-1368, namely th e whole o f th e Yuan from

K huhilai;

(c) The r e ig n of K*ang h s i and p a rt o f th e reig n

o f Ch1ie n -lu n g in th e C h'ing d yn asty.

 75

C hief fe a tu r e : b u ild in g o f aummer p a la c e s o u tsid e

th e G-reat Wall*

(3 ) P erio d s of d e c lin e and d isu se :

lig o - 1 2 1 4 > namely the l a t t e r h a lf o f the p eriod

w h ile Jurchen-Ghin had t h e ir c a p it a l in Peking

and th e whole o f the Ch* in g d yn asty, except th e

p eriod o f K 'ang^hsi and p a rt o f th e r e ig n of

Ch* ie n -lu n g .

Ih e p ic tu r e i s in s t r u c t iv e , fh e l i a o and Yuan, who were

"true" nomads, m aintained the i n s t i t u t i o n o f na-po r ig h t

to th e end o f each d ynasty, w ith th e d is t in c t io n th a t

Diao n ever entered China- and thus m aintained th e na^-po

in it s . c l a s s i c a l form throughout, whereas th e Yuan, a f t e r

coming to r u le over China, adopted a m od ified v e r sio n o f

th e n a-p o. The. Chin and Oh* in g , who were s e m i-a g r ic u ltu r is ts ^

and semi-nomada, could not even keep up th e m odified

v e r s io n o f th e na-po.
' ■]
On th e problem o f a c c u ltu r a tio n o f th e s e non-Chinese
' 'f r -

d y n a s tie s , Dr. W ittfo g e l h as a ls o n o tic e d th e d is t in c t io n

between two ty p es o f 11conquest s o c ie t y 11 created by two

d i f f e r e n t ty p es o f conquerors - - herders,, on the one hand

and, on th e o th er, herd-owning a g r i c u l t u r i s t s . Por th e

, in ­

former, th e Liao and Yuan, th ere was on ly lim ite d

a c c u ltu r a tio n , w h ile fo r th e l a t t e r , th e Chin and Ch* in g ,
 76

t h e r e was g r e a t e r c u l t u r a l f u s i o n . 11E v i d e n t l y , the

p re d o m in an tly a g r i c u l t u r a l conquerors o f f e r e d l e s s resistan ce;.

to th e 'h ig h e r* C h i n e s e c i v i l i z a t i o n w h i c h t h o u g h more

com plex, was a l s o a g r i c u l t u r a l , than did th e C h 'i - t a n

and t h e Mongols who m a i n t a i n e d a b a s i c a l l y d i f f e r e n t way

( 1)
of l i f e . ” * Our s u r v e y o f t h e d e v e l o p m e n t o f t h e n a - p o

f u r t h e r i l l u m i n a t e s t h i s h i s t o r i c a l them e.
 77

IV .

NA-PO AM IHH LIAO POLITICS.

If, as s t a t e d above, t h e Liao em perors s p e n t t h e i r

w h o le l i f e in the na-po, some i m p o r t a n t q u e s t i o n s a r i s e :

How d i d t h e y manage, t o g o v e r n t h e i r e m p i r e , and i n

p a rtic u la r, to re g u la te the a f f a i r s of t h e C hinese s u b j e c t s

a n d w h a t w ere t h e r e a l f u n c t i o n s of t h e f i v e c a p i t a l s

w h ic h h a v e b e e n c o n s i d e r e d a s t h e c h i e f 'sym bols of t h e i r

sin lcizatio n ? We l e a v e t h e p r o b l e m o f t h e f i v e c a p i t a l s

f o r l a t e r d i s c u s s i o n an d f i r s t c o n s i d e r t h e p r o b l e m of

how t h e L i a o a d m i n i s t r a t i o n w o rk e d .

A cc o rd in g t o t h e Liao H i s t o r y , th e Liao em peror

d i s c u s s e d s t a t e a f f a i r s tw ic e each y e a r , once d u r i n g h i s

s o j o u r n i n t h e summer n a - p o and once i n t h e w i n t e r n a - P ° ,

w i t h o f f i c i a l s f r o m b o t h t h e N o r t h e r n and t h e S o u t h e r n

R e g i o n s ( s e e a b o v e , P«14?1 6 ) ° I h i s means t h a t f o r e v e r y

h a l f y e a r th e L iao em peror h e l d w ith t h o s e h ig h o f f i c i a l s

a s u prem e p o l i t i c a l c o u n c i l i n w hich i m p o r t a n t n a t i o n a l

a f f a i r s w ere d e c i d e d . Which o f f i c e s fo rm e d t h e o f f i c i a l d o m

o f t h e N o r t h e r n R e g i o n and w h i c h fo rm e d t h a t of th e

S o u t h e r n ; w h at w ere t h e c h i e f f u n c t i o n s of o f f i c i a l s of

b o th R egions? W h ile t h e suprem e c o u n c i l was t h e o r g a n

 78

w h ic h d e c i d e d t h e i m p o r t a n t a f f a i r s , haw was t h e r o u t i n e

b usiness tra n sa c te d ? A l l t h e s e seem t o be m a in p r o b l e m s

o f t h e L i a o p o l i t i c s w h i c h m u s t be d i s e n t a n g l e d b e f o r e a

f a i r u n d e r s ta n d in g of t h e L iao a d m i n i s t r a t i o n i s p o s s i b l e .

Ih e d i v i s i o n of t h e L iao o f f i c i a l d o m i n t o S o u th e rn

and N o r t h e r n R e g io n s w h i c h c h a r a c t e r i z e d L i a o p o l i t i c s ,

n atu ra lly came t o be n o t i c e d by t h e c o n t e m p o r a r y Sung

statesm en. One o f t h e Sung envoys t o t h e L i a o c o u r t ,

Yu C h in g r e p o r t e d :

"For th e b a r b a r ia n (L iao) o ffic ia ls, th o s e i n charge

of a f f a i r s co n cern in g the K h itan a re d re s s e d i n b a r b a r ia n

(K hitan) co s tu m e s and a r e c a l l e d t h e " K h i t a n o f f i c i a l s " .

(Che C h a n c e l l o r ( Shu-m i S h i h ’Fl&'fofc) and t h e C h i e f m i n i s t e r

a r e known a s t h e N o r t h e r n C h a n c e l l o r a n d t h e N o r t h e r n

C hief M i n i s t e r . (Chose i n c h a r g e o f a f f a i r s concerning

th e C hinese, even i f th ey a r e b a r b a r ia n s ( K h ita n ) , are

d r e s s e d i n C h i n e s e c o s tu m e s and a r e c a l l e d " C h i n e s e

o ffic ia ls", and t h e h i g h e s t o f them a re known a s t h e

S. out h e r n C h i e f M i n i s t e r and t h e S o u t h e r n C h a n c e l l o r . " ^ )

^ ^) Yu Ching ^ %% a c t e d t h r e e t i m e s a s t h e Sung a m b a s s a d o r
t o L i a o (1 0 4 3 , 1044 an d 1 0 4 5 ) -
 79

The s e c t i o n on t h e K h i t a n i n t h e Sung N a t i o n a l H i s t o r y

rem arksi

uAs. f o r t h e i r ( t h e K h i t a n ) o fficiald o m , t h e r e w ere

th e K h ita n C h a n c e lle ry , ( Oh' i - t a n S h u -m i Yuan )

a n d t h e S u p e r l n t e n d a n c y of (th e K h i t a n s u b j e c t s u n d e r )

t h e Ordo * These form t h e a d m i n i s t r a t i o n of

th e N o rth e rn R egion, so c a l l e d b e c a u s e t h e s e o f f i c e s a r e

s i t u a t e d t o t h e n o r th of t h e i m p e r ia l t e n t . This R egion

is e n t r u s t e d w i t h t h e a d m i n i s t r a t i o n of a f f a i r s concerning

the b a rb a ria n s . A gain, t h e r e a r e t h e C hinese C h a n c e lle ry

( H a n - j e n Shu-m i Yuan 'fj ) , an d t h e G rand I m p e r i a l

S e c r e t a r i e s ( Chung*~shu ShSng '%%M ) a n ^ ^ le S u p e r i n t e n d e n c y

of ( t h e C hinese s u b j e c t s under) t h e Ordo •

These form t h e a d m i n i s t r a t i o n of t h e S o u t h e r n R e g i o n ,

so c a l l e d b e c a u s e t h e s e o f f i c e s a r e s i t u a t e d t o t h e s o u t h

of t h e i m p e r i a l t e n t . T h is R egion i s i n charge o f a f f a i r s

concerning th e C hinese."

R oth s t a t e m e n t s c o rro b o ra te , th e a c c o u n t of t h e s e o f f i c e s

g i v e n by t h e L i a o H i s t o r y i t s e l f i n w h i c h i t is sta te d :

"A fter T 'a i - t s u n g 's c o n q u e s t o f China ( i n 9 4 7 ) , £the i i a o

o f f i c i a l d o m ] was d i v i d e d i n t o a N o r t h e r n a n d a S o u t h e r n

[ R e g i o n ] w i t h a view t o g o v e r n i n g t h e K h i t a n , w i t h o ld
 80

K h ita n u s a g e s and th e C hinese w ith t r a d i t i o n a l C hinese

(3 )
3 y s t ein o f go v e rn m en t <." '

'from i n f o r m a t i o n s o f a r a v a i l a b l e , one cam s e e t h a t

the h i s t o r y o f t h e d e v e lo p m e n t o f L ia o o f f i c i a l d o m d i v i d e d

i t s e l f in to two c h i e f p h a s e s w i t h t h e y e a r 947 s e r v i n g

a s the d iv id in g l i n e . B e f o r e 947 i t was p r e d o m i n a t e l y

trib al. A f t e r 947 t h e r e e x i s t e d t h e d u a l a d m i n i s t r a t i o n

o f n o r t h e r n a n d S o u t h e r n R e g io n s g o v e r n i n g a f f a i r s concerning

t h e K h i t a n and t h e C h i n e s e r e s p e c t i v e l y . ‘T he o f f i c i a l d o m

of th e n o r t h e r n R egion co m p rised th e K h ita n C h a n c e lle ry

e tc ., an d t h e o f f i c i a l d o m of t h e S o u t h e r n R e g i o n c o m p r i s e d

th e C hinese C h a n c e lle r y e t c . Here we d i g r e s s f o r one

moment f r o m o u r d i s c u s s i o n o f t h e N o r t h e r n a n d t h e

S o u t h e r n Regions, t o a b r i e f s t u d y of t h e f u n c t i o n o f t h e

C h a n c e l l o r ( S h u -m i S h i h ) whose o f f i c e h a s h i t h e r t o

b e e n m i s t a k e n l y t a k e n by s t u d e n t s o f C h i n e s e p o l i t i c a l

h i s t o r y t o be a p o s t c o n c e r n e d m e r e l y w i t h m i l i t a r y

a ffairs. W i t h o u t knowing t h e r e a l f u n c t i o n o f t h e S hu-m i

S hih, it is d i f f i c u l t to a p p r e c ia te p ro p e r ly th e a c tu a l

s i t u a t i o n of th e d ual a d m in i s tr a t iv e system .
,n , i m m ii ~ir r — .......................................... — — — ----------- ■«
-

L iao s h ih , c h . 45, la.

 81

The e v o l u t i o n o f t h e o f f i c e o f S h u -m i S h i h , fro m i t s

f i r a t a p p e a r a n c e i n Chinese, h i s t o r y i n 765 down t o 1368

when t h e t i t l e was l a s t u s e d , can he d i v i d e d i n t o two

p erio d s. The f i r s t covers th e f i r s t two h u n d r e d y e a rs .,

e n d i n g i n 9 6 0 when t h e f i r s t Sung em p ero r came t o the

th ro n e. The s e c o n d p e r i o d c o v e r s t h e r e m a i n i n g f o u r

hundred y e a r s .

I n t h e f i r s t p e r i o d we s e e i t a s a m i n o r p o s i t i o n h e l d

hy e u n u c h s . I t s m ain f u n c t i o n was m e r e l y t o r e c e i v e

m e m o r i a l s and b r i n g th e m t o t h e eyes o f t h e e m p e ro r i n

t h e I n n e r C o u r t , and t o p r o c l a i m t h e e m p e r o r ' s d e c i s i o n . ,

to th e c h ie f m in is te r s fo r ex ecu tio n . G ra d u a lly its.

pow er i n c r e a s e d . Towards t h e en d o f t h e n i n t h c e n t u r y ,

t h e S h u -m i S h i h b e g a n t o e n c r o a c h u p o n t h e pow er o f t h e

c h i e f m i n i s t e r s an d t r i e d t o c o n t r o l p u b l i c a f f a i r s t h r o u g h

i n t e r f e r e n c e w i t h d o c u m e n ts . I n t h e b e g i n n i n g of t h e

te n th cen tu ry , lite ra ti, i n s t e a d of eunuchs, were

a p p o i n t e d t o t h i s p o s t a n d t h e y b e g a n t o u s u r p t h e power

of t h e e x i s t i n g c h i e f m i n i s t e r s . I n t h e p e r i o d 9 0 7 -9 2 3

t h e t i t l e was. changed t o C h 'u n g - c h e n g S h i h % (and

t h e o f f i c e a t t a c h e d t o t h i s p o s t became t h e Ch' u n g - c h i n g

Yuan ) . In th e second p e r io d , f r o m 9 60 t o 1368,

 82

as th e h ig h e s t o f f i c e g overning m i l i t a r y a f f a i r s , it

became one o f t h e two h i g h e s t g o v e r n m e n t a l o r g a n s , riv allin g

the c h ie f m i n i s t e r - s h i p .

She c o u r s e o f e v o l u t i o n o f t h i s o f f i c e w i l l be d e a l t
( x)
w ith in a separate, s e c tio n . ' H e r e we m e r e l y t r a n s l a t e

one p a s s a g e f r o m O u-yang H s i u , t h e fa m o us Sung' h i s t o r i a n :

11I n t h e c o u r s e o f h i s t o r y , we h a v e f r e q u e n t l y fou n d

ex a m p le s o f o f f i c e s l o s i n g t h e f u n c t i o n i m p l i e d by

th eir t itle s . I h a v e had t h e o p p o r t u n i t y o f r e a d i n g

the d r a f t s of t h e im p e r i a l e d i c t s of t h e p e r i o d o f

9 0 7 —923 ( t h e Latear L i a n g o f t h e F i v e D y n a s t i e s ) , when

Ohing H s i a n g and L i Ch'en were th e

C o m m is s io n e rs o f t h e Ch' ung~ch£ng Yuan. D uring t h a t

p erio d , i m p e r i a l e d i c t s w e r e p a s s e d by t h e Com missionex^

to th e C hief M in is te r s f o r e x e c u tio n . When t h e C h i e f

M in is te r d e s ire d to ask fo r th e im p e ria l approval

a t t i m e s o t h e r t h a n thee e f i x e d f o r t h e r e g u l a r a u d i e n c e

o r t o c o n f i r m t h e i m p e r i a l d e c i s i o n s w h i c h t h e y had

receiv ed , t h e y p r e p a r e d a n o t e to. t h e C o m m is s io n e rs

who w o u ld i n f o r m t h e e m p e ro r o f i t s con ten t. A fter

^ S ee S e c t i o n V.
 83

t h e e m p e r o r had made t h e d e c i s i o n s i t was a l s o t h r o u g h

t h e C o m m is s io n e rs t h a t t h e s e d e c i s i o n s were p a s s e d on

to t h e C hief m i n i s t e r s , The C o m m i s s i o n e r s o f t h e

Ch1u n g - c h e n Yuan o f t h e L i a n g p e r i o d w e r e t h e S hu -m i

S h i h o f t h e f a n g t i m e , whose f u n c t i o n was t o hand

down t h e i m p e r i a l d e c i s i o n s o r t o r e c e i v e m e m o r i a l s

fro m m i n i s t e r s * L u r i n g t h e 1 1a rig p e r i o d t h e p o s t of

S h u -m i S h i h was f i l l e d by eunuchs* The L i a n g d y n a s t y ,

w h i c h l e a r n e d i t s l e s s o n s fr o m t h e d i s a s t e r s caused

by t h e f a n g eunuchs, a p p o in te d l i t e r a t i to th is, post*

A l t h o u g h t h e C o m m is s io n e rs o f t h e Ch’u n g - c h e n g Yuan

had s e r v e d a s a d v i s o r s o f t h e e m p e r o r s i n t h e I n n e r

P alace, t h e y had s t i l l no p r o p e r pow er o f t h e i r own

i n th e court* I t was. n o t u n t i l t h e p e r i o d ( 9 2 3 - 3 6 ,

t h e L a t e r C h i n ) , when An Ch’u n g - h u i a n d Kuo

Ch1ung - 1a.o h e l d t his, o f f i c e , t h a . t t h e t i t l e

was once a g a i n c h a n g e d t o S hu-m i S h i h , a n d i t s power

became c o m p a r a b le t o t h a t of t h e c h i e f m i n i s t e r * In

l a t e r tim e s ( t h e Sung), t h e u s e of t h i s t i t l e continued

b u t i t s . p ow er was d i v i d e d i n t o tw o —— t h e c i v i l m a t t e r s

b e i n g e n t r u s t e d t o t h e c h i e f m i n i s t e r and t h e m i l i t a r y

t o t h e S h u -m i S hih* As t h e p o s t o f t h e Shu-m i S h i h
 84

became i n c r e a s i n g l y i m p o r t a n t , so t h e p o w e r of t h e

c h i e f m i n i s t e r was. g r a d u a l l y r e d u c e d . " (1}'

I t was. d u r i n g i t s e a r l i e r s t a g e of developm ent t h a t t h e

o f f i c e o f S hu -m i S h i h , i n i t s f u l l y d e v e l o p e d fo rm ( t h e

p o s i t i o n h o l d i n g t h e a c t u a l power o f t h e c h i e f m i n i s t e r )

was a d o p t e d by t h e K h i t a n i n t h e i r e m p ir e - Throughout

t h e l i a o d y n a s t y , and i n t h e e a r l y p e r i o d o f t h e Ghin,

d e s p i t e th e e x i s t e n c e of th e p o s ts w hich b o re th e

tra d itio n al title s fo r ch ief m in is te rs , i t was t h o s e who

h e l d t h e o f f i c e o f S h u -m i S h i h who w ere a c t u a l l y r e s p o n s i b l e

f o r th e a f f a i r s of s t a t e .

I n t h e f i r s t moon o f 947 t h e s e c o n d L i a o e m p e ro r

Y e h - l u T e - k u a n g m arc h ed i n t o P i e n - l i a n g ( K * a i - l S n g ) ,

th e C hinese c a p i t a l a t t h a t tim e . I n t h e f o u r t h moon he

d i e d 0 x1 h i s way b a c k t o K h i t a n and t h e t h i r d L i a o e m p e r o r,

S h ih -tsu n g , came t o t h e t h r o n e . T h is y e a r i a to be

r e g a r d e d a s t h e d a t e o f i n a u g u r a t i o n o f t h e d m 1 S h u -m i

Yuan s y s t e m , w h ic h p r e v a i l e d t h r o u g h o u t t h e L ia o t i m e a s

w e l l as. i n t h e e a r l y y e a r s o f t h e C h i n . I n the e ig h th

O u-yang H s u i , Kew H i s t o r y o f t h e F i v e D y n a s t i e s ,
c h . 24, 1 5 b .
moon o f t h i s yea r* S h i h - t s u n g ,!f o r t h e f i r s t t i m e e s t a b l i s h e d . ,

t h e o f f i c e , o f t h e N o r t h e r n S h u -m i S h i h an d An !E'uan was

a p p o i n t e d to i t . ” S h o rtly afterw ard s, 11Kao Haun was.

a p p o i n t e d t o t h e p o s t o f t h e S o u t h e r n S h u -m i S h i h *11(I'}
v '

I h e a d o p t i o n o f t h i s s y s t e m was a. s o l u t i o n o f a l o n g

s t a n d i n g problem f o r th e L iao a d m i n i s t r a t i o n , th at is,

how t h e i r s u b j e c t s , of two e n t i r e l y d i f f e r e n t cu ltu res,

t h e no m ad ic K h i t a n and o t h e r t r i b e s on t h e one h a n d , and

t h e s e d e n t a r y Chinese, a n d P o - h a i p e o p l e s on t h e o t h e r ,

w e r e t o be g o v e r n e d * I h e p o l i t i c a l s i t u a t i o n i n 94-8

t h a t l e d t o t h e a d o p t i o n o f t h i s m e a s u r e n e e d s a word

of e x p la n a tio n *

A f t e r t h e c o l l a p s e o f t h e L ’ a n g d y n a s t y i n 907, C h in a

p r o p e r was r u l e d s u c c e s s i v e l y by f i v e epherm eral d y n a s tie s j

(907-59)* I t h a p p e n e d a t t h e end o f t h e s e c o n d o f t h e

f i v e d y n asties,, t h a t one o f i t s g e n e r a l s , S h i h C h i n g - t 1a n g 1

? r e c e i v e d m i l i t a r y a s s i s t a n c e fro m K h i t a n

and o v e r t h r e w t h e d y n a s t y . He made h i m s e l f em p e ro r o f

h i s newly e s t a b l i s h e d s t a t e ( t h e t h i r d o f t h e f i v e

D y n a s t i e s ) w t t h t h e name o f C h i n . As a r e q u i t a l , S hih

l i ao S h i h , ch. 5, lb~-2a.
 86

G h i n g - t * a n g c e d e d s i x t e e n p r e f e c t u r e s on h i s n o r t h e r n

f r o n t i e r t o K h i t a n i n 937° ( A l l t h e s e p r e f e c t u r e s , were

l o c a t e d i n th e a r e a of p r e s e n t H o p ei, S h a n si and C hahar,

i n c l u d i n g P e k i n g t o the, east, and OHa ~ t 1u ng t o t h e w e s t , ( 1 )' )

A part, f r o m t h i s , S hih C h i n g - t fang p a id K h ita n a n n u a l t r i b u t e

and p r o c l a i m e d h i m s e l f v a s s a l and s o n i n l e t t e r s a d d r e s s e d

to t h e K h ita n em peror.

On the., o t h e r h a n d , s i n c e t h e e a r l y y e a r s o f A p a o k i ,

t h e f o u n d e r o f t h e L i a o d y n a s t y , a l a r g e number o f C h i n e s e

had been i n c o r p o r a t e d in t o the K h ita n s t a t e , S-ome o f them

w ere c a p t i v e s , c a r r i e d o f f f r o m C hina p r o p e r and some of

them w ere i m m i g r a n t s who f l e d fro m t h e m i s r u l e o f t h e

Chinese, g o v e r n o r on t h e f r o n t i e r p r o v i n c e s a d j o i n i n g

K hitan. A d o p t i n g t h e a d v i c e o f one of h i s c a p t i v e s who

l a t e r became one, o f h i s m i n i s t e r s , A p a o k i a l l o w e d t h e s e
( 2)
C h i n e s e t o c o n t i n u e t h e i r s e d e n t a r y way o f l i f e . A

number o f C h i n e s e c i t i e s , and tow ns a r o s e i n t h e K h i t a n

(3^ ~
w orld 1. For th e a d m in is tr a tio n of the.se. C h i n e s e

O f. t h e s e c t i o n on P e k i n g .
( 2 ) bc e e p . 184#

^ ^ The r u i n s , f o u n d by J o s e p h M u l l i e i n C e n t r a l and n o r t h e r n
J e h o l a r e t h e re m a in s of s u c h c i t i e s . M ulX ie, J . : o p . c i t .
s u b j e c t s Apaoki e s t a b l i s h e d a Chinese Board ( )

a b o u t w h i c h we h a v e no d e t a i l e d i n f o r m a t i o n .

She c e s s i o n o f t h e s i x t e e n p r e f e c t u r e s g r e a t l y

a u g m e n te d t h e a l r e a d y s i g n i f i c a n t C h i n e s e e l e m e n t i n t h e

K hitan p o p u la tio n . C h i n e s e had now become one o f t h e two

e s s e n t i a l f a c t o r s form ing' the. K h i t a n e m p i r e .

I n o r d e r t o cope w i t h t h e new p o l i t i c a l s i t u a t i o n ,

I” a i - t s . u n g Y e h - l u f § - k u a n g made one o f h i s newly a c q u i r e d

s i x t e e n p r e f e c t u r e s th e S o u th e rn C a p i t a l (m odern P e k in g )

a n d c h a ng ed t h e n o m e n c l a t u r e o f &. number o f t h e t r a d i t i o n a l

K h ita n o ffic e s , in to C hinese e q u i v a l e n t s . ” 1'he £ K h i t a n ]

o ffic ia ls, b o t h t h e h i g h a n d t h e low o n e s , ” a. C h i n e s e

s o u r c e commented on t h e L i a o p o l i t i c s a t t h i s p e r i o d ,

" a r e p a t t e r n e d on t h e C h i n e s e m o d e l a n d C h i n e s e f i n
( 1)
a d d i t i o n t o the. K h i t a r n } a r e a p p o i n t e d t o t h e s e . p o s t s . ”

Y et ho?/ f a r t h i s r e o r g a n i s a t i o n had g on e i t i s im p o ssib le

to t e l l . ( A c c o r d i n g t o t h e H i s t o r y of t h e K h i t a n Kingdom,

a S hu -m i S h i h w^s a p p o i n t e d i n t h i s y e a r . [This, ho?/ever

i s n o t c o r r o b o r a t e d by t h e L ia o H i s t o r y . )

S h i h C h i n g - I 1' ang, who ce d e d t h e s i x t e e n p r e f e c t u r e s ,

d ie d i n 942. H i s nephew s u c c e e d e d . The new C hin em p e ro r

was u n w illin g t o ca rry out th e agreem en t rea ch ed by h i s :

u n cle w ith th e K hitan. He t r ie d to omit r e fe r r in g to

h i m s e l f as, a v a s s a l i n h i s l e t t e r t o th e K h ita n emperor

who was i r r i t a t e d by t h i s a c t i o n ^ . War broke out i n

943 and continued u n t i l t h e end o f 9 4 6 , when th e second

( 2}
Chin em peror s u r r e n d e r e d . '

E arly in 947 th e K hitan emperor en tered E ie n -lia n g

( K 'a i- f in g ) , th e c a p ita l o f th e Chin. Ihe surrendered

Chin emperor and h is fa m ily were a l l se n t to the in t e r io r

o f K hitan. Y eh-lu ifi-kuang now ru led as th e s o le so v e r e ig n

o f both h is t r i b a l kingdom and th e C hinese Empire. He

changed the name o f h is s t a t e from K hitan to th e Great

X iao. He took over the w hole a d m in is tr a tiv e system o f

Chin and ap p oin ted th e Chinese o f f i c i a l s who had surrendered ^

to new p o s t s . Among th e f i r s t appointm ents he made was

th e o f f ic e o f the Shu-mi S h ih . XiySung^^ who had held 1

t h is o f f i c e under the l a t e r Chin was a p p oin ted to t h is p o st ;

w ith j u r is d ic t io n over th e K hitan emperork^ newly conquered ■:

C h in ese s u b j e c t s . ___________ ______ ___________________ ___________

C f. Yang X ie n -s h e n g : A Bosthumoua l e t t e r from th e Chin
Emperor to t h e K h ita n Emperor in 9 4 2 . CEJAS, V o l .X . , Ho s . 3/4)
^ Iti^Q S h ih , ch.4> 9h> ff*
^ I t i s perhaps in t e r e s t in g to n o te th a t 4 n the S t e in
C o lle c tio n o f th e lun-huang m anuscripts in th e B r it is h
Museum th ere i s a lon g s c r o l l (NQ. S 4473) which I have
id e n t if i e d a s p a rt o f th e c o lle c t e d works o f l i Sung.
co n t. over.
 Being unable to w ithstand th e clim a te o f China, Y eh-lu

$£-kuang sta y e d only th r e e months in K1a i - f eng b efo re

h e s ta r te d h is journey back t o K hitan * He died: one and

a h a lf months l a t e r in Luan-ch* e'ngf (n ear S h ih -ch ia-ch u an g,

Hopei) b efo re he had reached th e K hitan border.

She s ix t e e n p refectu res, which K hitan had form erly

gained from th e Later Chin remained in t h e ir hands- and

became a permanent p a rt o f the Great Liao Umpire. She

t e r r it o r y to the South o f th e se p r e fe c tu r e a which had

r e c e n tly been conquered was q u ick ly recovered by anoth er

C hinese dynaaty, th e L ater Han (947-950) which had

succeeded th e L ater Chin.__________________________ , ■_______ _

C ontinuation o f n ote from p reviou s p a g e:

I t co n ta in s (1 ) L i Sung's e le g ia c essa y t o th e emperor

K ao-tsu o f Chin ( i . e . Shih Ching-t* a n g ); (2 ) a d r a ft o f
th e "posthumous l e t t e r 11 from Shih O h in -t'an g to th e
Khitan emperor Y eh-lu l§-k uan g; (3 ) an essa y su g g e stin g
th e posthumous t i t l e w ith which th e emperor JCao-tau should
b e cannonized; (4 ) s i x s u c c e s s iv e memorials o f L i Sung to
th e new emperor o f Chin and fou r r e s c r ip ts to him from
th e emperor r e p ly in g to th e f i r s t fou r o f h is memorials:
and O)- L i Sung's " le tte r " to h ia dead m other, ( f i g . 3 ) .
Dr. L io n el G ile a has. taken these- to be unconnected
a r t i c l e s ( ! • G ile s: Bated Chinese m anuscripts in _ th e _ S te in
C o lle c tio n , i n th e Bu l l , of Sch. o f Or. & A fr.. S_td.» VQl.X,
p t .2) . Dr. Yang L ien-shdng, who r e l i e d on th e in form ation
g iv e n in Br. G ile s 1 a r t i c l e s has d is c u s s e d th e s ig n if ic a n c e
o f item (2 ) (Yang, L .S .: Q g .c it .)
 90

A f t e r Y e h -lu Te-kuang* s d e a th , h i s nephew who had

fo llo w e d him i n h i s a o u th e r n cam paign, came t o th e th r o n e

as. th e. t h ir d L ia o em peror, known as S h ih - t s u n g . One o f

h is . f i r s t , a c t io n s a f t e r he had r e tu r n e d t o K h ita n was

th e e s ta b lis h m e n t o f t h e o f f ic e s , o f S hu -m i S h ih i n K h ita n
(1^
te r r ito r y * '
She K h ita n had a t r a d i t i o n o f d iv id in g t h e i r o f f i c e s *

B e f o r e t h e a d o p tio n o f t h e Shu-m i Yuan sy ste m , th e

N o rth ern and S o u th e rn C h ie f M in i s t r i e s w ere t h e h i g h e s t

organ s r e s p o n s ib le f o r t h e i r n a t io n a l ( t r i b a l ) a f f a i r s .

Other m inor o f f i c e s w ere a l s o each d iv id e d i n t o N o rth ern

and S o u th e rn s e c t i o n s . ( A f t e r th e a d o p tio n o f t h e Shu-m i

Yuan s y s te m , a l l t h e s e o f f ic e s - s t i l l e x i s t e d and were

a l l s u b j e c t t o t h e c o n t r o l o f th e N o rth ern C h a n c e lle r y .)

^ ^ The Shm-mi S h ih a p p o in te d by Y e h -lu T&-kuang d u r in g

h i s s t a y i n Ki'Sri-f'J&ng was among th e h ig h o f f i c i a l s who
w ere s e n t back to K h ita n when Ie -k u a n g l e f t K iex U f !M \ng.
They w er e, h ow ever, r e le a s e d b e fo r e c r o s s in g th e C h in ese
fr o n tie r .
The c r e a t i o n o f t h e d u a l ' SJau-ini Yuan was t h e r e f o r e
n a t u r a l i n t h e d e v e lo p m e n t o f Liao o f f i c i a l d o m — a
f u r t h e r a p p l i c a t i o n of t h e i r t r a d i t i o n a l p r a c t i c e .
Borne w o r k e r s on L iao h i s t o r y hav e h e l d t h a t t h e r e a s o n
why t h e K h i t a n ch o se t o u se t h e te rm s ' ' n o r t h e r n " and
" s o u t h e r n " t o d e n o t e t h e d i v i s i o n o f t h e s e o f f i c e s was
b e c a u s e o f t h e r e l a t i v e g e o g r a p h i c a l p o s i t i o n s of t h e
two main c u l t u r a l g r o u p s i n th e L iao e m p i r e : th e K h i t a n
(1 )
i n t h e n o r t h and t h e Chinese, i n t h e s o u t h .
. T h e r e h T i s , h o w ev e r, a n o t h e r p o s s i b l e e x p l a n a t i o n o f th e
d i v i s i o n i n t o n o r t h and south* Bubruclc h a s d e s c r i b e d t h e
way i n w h ic h t h e t e n t s o f - t h e Mongol g e n e r a l B a t u a n d , h i s
f o l l o w e r s were p i t c h e d * The c h i e f t a i n ' s t e n t was p i t c h e d
i n t h e m i d d le w i t h th e o p e n i n g f a c i n g s o u t h w h i l e th e
t e n t s o f h i s f o l l o w e r s stre tc h e d i n two d i r e c t i o n s on
( 2)
e ith e r ,sid e. The I h u t a n p e o p l e , h ow eve r, l i k e a
number o f . o t h e r n o r t h e r n t r i b e s o f C h in a , had a t r a d i t i o n
o f h o n o u r i n g t h e e a s t and. t h e i r t e n t s were a lw a y s p i t c h e d
w ith th e opening f a c i n g e a st# - I f t h e K h i t a n ^royal t e n t
l i k e t h a t o f th e Mongol c h i e f t a i n was e r e c t e d i n t h e

( l ) W i t t f o g e l and ffeng, op c i t » p* 4 3 4 - 3 5 .
m i d d l e , t h e n a s t h e o p e n i n g would f a c e e a s t , the t e n t %
o f h i s f o l l o w e r s would s t r e t c h i n two wings on e i t h e r
side of i t , one t o t h e n o r t h and t h e o t h e r to t h e th e
south. One w onders w h e t h e r t h i s may s e r v e a s an a l t e r n a t i v e
e x p l a n a t i o n of t h e o r i g i n o f t h e " n o r t h e r n " and
" s o u t h e r n , " so f r e q u e n t l y used i n t h e t e r m i n o l o g y of. t h e
L iao o f f i c i a l d o m ? t/e a r e .in- f a c t t o l d b y t h e Sung
h isto rio g rap h ers ( p . 79) t h a t t h e N o r t h e r n and t h e yh
S o u t h e r n C h a n c e l l e r i e s were so c a l l e d b e c a u s e o f t h e
p o s itio n ' of t h e - t e n t s o f . these o f f i c e s in r e l a t i o n to .
- . (1) .

the K h itan ro y a l t e n t #
The r e a s o n why I have s p e n t so much tim e on t h e o r i g i n
o f t h e o f f i c e o f t h e Shu-mi S h ih i s t a t t h e a c c o u n t o f ., ■ .
th ese im p o rta n t o f f i c e s given in the p assag e s sio eca illy
d e v o t e d to them i n th e c h p t e r s on o f f i c i a l d o m o f t h e ^ K
- .v - . -v ; ; (2 ) ^ *■ r : ;
L iao H i s f c o r y : i s e n t i r e l y wrong ,

( l ) S p e a k i n g o f t h e c o m p o s i t i o n o f t h e Ordos f e d e r a t i o n ,
one o f t h e Mongol f e d e r a t i o n s l i v i n g on t h e , G r e a t Bend o f
t h e u p p e r Y ello w R i v e r , Dr* Wv E b e r h a r d , i n h i s r e v i e w ' o f
A, M o s t a e r t ' s F o l k l o r e Ordos-. , s a y s : "The t r i b e s ( o f Ordos)
a r e u n i t e d i n t h e f e d e r a t i o n o f t h e G r e a t Temple. T h is --
f e d e r a t i o n i s s p l i t i n t o a l e f t wing With t h r e e " b a n n e r s " ,
and a r i g h t w i t h f o u r , t h u s r e p e a t i n g a tw o f o l d s y stem .
t y p i c a l o f most o f t h e s e nomadic f e d e r a t i o n s from th e tim e
o f t h e H unn ish and- T 'u -c.hu elr E m p ires o n . " (J I o f Amr Or.
So g « v o l , 6 9 , i f o 2 ) The t w o f o l d s y s te m had b e e n and s t i l l
are~common among t h e n o r t h e r n p e o p l e s o f C hina
L iao , S h i h , c h . 45 .,
 93

Lhe L i a o H i s t o r y a s s e r t s t h a t t h e r e w e r e two C h a n c e l l e r i e s

(S h u -m i Y u a n ) , one K h i t a n and one C h i n e s e , and t h a t th e

K h i t a n C h a n c e l l e r y i t s e l f was a g a i n s u b d i v i d e d i n t o a

n o r t h e r n an d a S o u t h e r n C h a n c e l l e r y . A c t u a l l y t h e t e rm s

K h i t a n C h a n c e l l e r y a n d C h i n e s e C h a n c e l l e r y w e re u s e d by

contem poraries as e q u iv a le n t to th e n o r th e r n and t h e

S o u t h e r n C h a n c e l l e r y w h i c h g o v e r n e d - t h e K h i t a n and t h e
( 1) '
C hinese r e s p e c t i v e l y i » th e m istaken s ta te m e n t i n the

Liao H i s t o r y c o u p le d w i t h th e o b s c u r i t y of t h e f i r s t

p h a s e o f t h e d e v e l o p m e n t o f t h e S hu-m i S h i h h a v e c o n f u s e d

many s t u d e n t s o f L i a o h i s t o r y . 1 do n o t d i s c u s s h e r e

( 1)
v * fsu d a S o k ic h i h as a l s o n o t i c e d t h i s e r r o r i n th e L iao
H istoryo I n h i s D u a l A d m in is t r a t i v e S y s t e m o f t h e L i a o
d y n a s t y h e p o i n t s o u t : nl h e n o r t h e r n C h a n c e l l e r y was t h e
h i g h e s t o r g a n o f t h e n o r t h e r n R e g io n , end t h e S o u t h e r n
C h a n c e l l e r y was t h a t of. t h e S o u t h e r n R egion* Ihe .s o - c a lle d
•C hinese C h a n c e lle r y 1 i s n o th in g but th e ‘S o u th e rn
C h a n c e l l e r y ’ . H ( Mansen c h i r i r e k i s h f k e n k y u h o k o k u , H o . 5 . )
Chang L i a n g - t s *a i T S ^ ^ T h i s p r e p a r e d a l i s t o f t h e
n o r t h e r n and S o u th e r n C h a n c e llo r s w hich i s appended t o h i s
a r t ! c l e A S tu d y o f th e C h in ese C h a n c e lle r y i n th e Liao
d y n a s t y ( B u l l e t i n o f t h e H o r t h - E a s t e r n U n i v e r s i t y , Ho. 1 , 1 9 4 1 )
tfUf-Bii 1 .*■! i . . i. n«i * til I I -||«M11 IH I HNWI uni mnii-i. . * * ..1 1 ,iihm m i ■■■«■1■■■■11 i i i i . i inn in iiii — ■■■•■iMUiaMJHlLaini -ri_iJL-nim.lcS«« (

A l t h o u g h h i s a r g u m e n t s a b o u t t h e n a t u r e of t h e C h i n e s e
C h an cellery a r e not r i g h t , the l i s t p ro v id e s u s e f u l d ata
s e r v i n g t o p r o v e t h e p o i n t t h a t t h e r e e x i s t e d no K h i t a n and
C h i n e s e C h a n c e l l e r i e s as. d i s t i n c t fro m t h e S o u t h e r n a n d t h e
n o rth e rn C h an ce llerie s -
B a s e d on t h e m i s t a k e n a c c o u n t s o f the. L i a o H i s t o r y , Dr*
W i t t f o g e l and Mr. BCng C h i a - s h ^ n g ’ s e x p l a n a t i o n o f t h e s e
o f f i c e s h a v e m i s s e d t h e p o i n t . ( W i t t f o g e l , o p . c i t . , p . 435
an d p p . 4 4 0 - 5 0 . )
 94

t h e r e a s o n s why t h i s m i s t a k e was m a d e . '( 1 )

«t}5 l |] | ^ *|S

lo w t o come b a c k t o o u r d i s c u s s i o n o f t h e L i a o

ad m in istratio n . I n t h e s e m i - a n n u a l su p re m e p o l i t i c a l

C o u n c i l , h e l d once i n t h e summer n a - p o a n d once i n t h e

w in te r na-po, t h e L iao em perors d e c id e d t h e i r s t a t e

a ffa irs, 'the C o u n c i l c o n s i s t e d o f t h e o f f i c i a l s fro m t h e

N o r t h e r n and t h e S o u t h e r n R e g i o n s , i.e . t h e n o r t h e r n and

the S outhern C h a n c e lle r ie s . I n 1050 a r e t i r e d n o r t h e r n

C h a n c e l l o r was a s k e d " t o come each w i n t e r and summer t o

th e na-po ( o r i g i n a l t e x t h a i n g - t a a i ) i n o rd e r to ta k e
( 2)
p a r t i n t h e d i s c u s s i o n o f n a t i o n a l a f f a i r s . 11 Ih is

shows t h a t , a p a r t fro m o f f i c i a l s in o ffic e , o th e r im portant

men w e r e a l s o i n v i t e d t o the. C o u n c i l .

'the s u p rem e p o l i t i c a l C o u n c i l w as, of course, th e organ

w h ic h d e c i d e d o n l y t h e m ost i m p o r t a n t a f f a i r s . How were

t h e r o u t i n e w ork s t r a n s a c t e d ? lo t h i s q u e s t i o n t h e Liao

H i s t o r y g iv e s , a f a i r l y c le a :r a n s w e r .

"When t h e e m p e r o r made h i s s e a s o n a l t o u r ( i . e . w e n t t o

one n a - p o o r a n o t h e r ) , a l l th e K hitan o f f i c i a l s , both

^ See S e c t i o n 7 1 .
( 2)
K } L iao S h ih , 93? 3 a .
 95

h i g h an d low* as. w e l l a s i n n e r and O u t e r , the a t t e n d a n t s ,

(1)
a n d t h e o f f i c i a l s b e l o n g i n g to t h e C h i n e s e H a u a n - h u i Yuan '

a c c o m p a n ie d him* from th e C hinese C h a n c e lle r y and th e

Grand I m p e r i a l S - e c r e t a r i m t , t h e r e w e r e c h o s e n o n ly one

C hief M in is te r , two C h a n c e l l e r y Oh* ^ h g - c h i h , jg the

c h i e f and t h e d e p u t y (who w ere i n c h a r g e o f i m p e r i a l

ed icts), t e n C h a n c e l l e r y c l e r k s an d cne c l e r k o f t h e

S ecretariat; f r o m t h e C e n s o r a t e one p e r s o n was a l s o chosen

to tak e p a r t .

uE v e r y y e a r , i n t h e f i r s t d e c a d e o f t h e f i r s t moon,

when t h e emperox* s t a r t e d ( f o r t h e s p r i n g n a .- p o ), o ffic ia ls

f r o m t h e c h i e f m i n i s t e r down r e t u r n e d t o t h e C e n t r a l
( 2)
C apital^ *, w here t h e y r e m a i n e d , d e a lin g w ith a f f a i r s

concerning th e C hinese. A ppointm ents of o f f i c i a l s were

made on a. t e m p o r a r y b a s i s by a memorandum f r o m t h e

S ecretariat. I m p e r i a l a p p r o v a l w ou ld be s o u g h t an d

o ffic ia l c e rtific a te s o f a p p o i n t m e n t w ou ld b e i s s u e d i n

t h e n e x t s e s s i o n o f t h e Supreme P o l i t i c a l C o u n c i l *

A p p o in tm en ts, o f c i v i l p o s t s fro m t h e r a n k of m a g i s t r a t e

(IN
v i h e H s u a n - h u i Yuan was t h e o f f i c e i n c h a r g e o f t h e
court e tiq u e tte *

^^ Modern T a - n i n g Gbfeag i | *$£ i n C e n t r a l Jehol*

 96

and d i s t r i c t - s e c r e t a r y down o o u l d Toe made by t h e S e c r e t a r i a t

w ith o u t in fo rm in g t h e em peror. But a l l m i l i t a r y a p p o i n t m e n t s

( 1)
h a d t o he r e p o r t e d . 1^ '

H e r e i n we f i n d t h e e s s e n c e o f t h e d u a l C h a n c e l l e r y

system . A f t e r a n o v e r w h e lm in g C h i n e s e p o p u l a t i o n h a d

b een i n c o r p o r a t e d i n t o t h e i r em pire, t h e L iao em perors,

who w e r e on t h e one hand u n a b l e t o c o n v e r t t h e s e C h i n e s e

s u b j e c t s t o t h e i r own way o f l i f e and on t h e o t h e r

u n w i l l i n g t o g i v e up t h i s way of l i f e , could not r u le

d i r e c t l y over th e s e C hinese. Ihey t h e r e f o r e in tro d u c e d

th e system of e n t r u s t i n g th e governm ental b u s in e s s r e l a t i n g

to th e C hinese to a s p e c i a l organ, th e S o u th e r n (C h in e s e )

C h an cellery . I t was. t h e S o u t h e r n C h a n c e l l e r y w h i c h was

r e s p o n s i b l e f o r t h e h a n d l i n g of t h e r o u t i n e a f f a i r s

concerning th e C hinese. I t was a l s o t h e S o u t h e r n

C h a n c e lle r y w hich a p p o i n t e d C hinese o f f i c i a l s , f o r ranks

fro m t h e m a g i s t r a t e down ev en w i t h o u t t h e n e c e s s i t y o f

inform ing th e c o u rt. I t was a c t u a l l y t h e S o u t h e r n C h a n c e l l o r s

who r u l e d o v e r t h e C h i n e s e w i t h i n the. Liao, U m p ire.

(i)
L iao S hih, 33, 3b .
 As f o r t h e a f f a i r s c o n c e r n i n g t h e K h i t a n -■» a l t h o u g h

t h e y w ere a l s o e n t r u s t e d t o a C h a n c e l l e r y ( t h e N o r t h e r n

C h an cellery ), t h e s i t u a t i o n was. d i f f e r e n t . As t h e K h i t a n

o f f i c i a l s a l l accom pan ied, the. L ia o emperors, on t h e i r t o u r s

th e y e a r r o u n d , t h e L iao em perors w ere i n a p o s i t i o n to

h andle t h e i r t r i b a l a f f a i r s p e r s o n a lly a s t h e y h ad

b efo re the i n t r o d u c t i o n of th e C h an ce llery system .

A l t h o u g h t h e N o r t h e r n and the. S -o u th e rn C h a n c e l l o r s

h e l d t h e same r a n k , t h e y d i d n o t h a v e the. same p o w e r ,

f h e n o r t h e r n C h a n c e l l o r e x e r t e d s. much g r e a t e r p o w er t h a n

h is S outhern c o u n te r p a rt. I n 1120? w h i l e Tso O h ' i - k u n g

was h o l d i n g t h e o f f i c e o f A c t i n g S o u t h e r n C h a n c e l l o r s

"The C h i n army o c c u p i e d t h e Supreme C a p i t a l . The

n o r t h e r n C h ancellery? f e a r i n g t h a t t h i s news would

d i s p l e a s e t h e L i a o em peror? d i d n o t i n f o r m him i n

due t i m e . A c c o r d i n g t o t h e L ia o p r a c t i c e ? a ll m ilita ry

a f f a i r s h a d f i r s t t o be r e p o r t e d t o t h e n o r t h e r n

C h a n c e l l e r y w h ic h w ould t h e n i n f o r m t h e L ia o e m p e r o r .

Ch* i - k u n g l e t t h e e m p e r o r know d i r e c t l y . The L i a o

em peror s a i d : ’ M i l i t a r y a f f a i r s w ould seem n o t t o be

w i t h i n t h e r a n g e of y o u r d u t y . ’ G h 'i-k u n g r e p l i e d :

'T h e B m pire has. come t o s u c h a p a s s , how d a r e I co n fo rm

C
t o t h e o l d p r a c t i c e a n d c o n s i d e r o n l y my own i n t e r e s t ? ’ "
( 1 ) C h i n S h i h , 75? 4 a ~ T ~ ~ ~ ~ — — . _
 98

M i l i t a r y a f f a i r s were, t h e r e f o r e e n t i r e l y co n tro lled

by t h e N o r t h e r n C h a n c e l l e r y .

The N o r t h e r n C h a n c e l l o r s h i p s w e r e h e l d e x c l u s i v e l y

by t h e K h i t a n . (Among them was one C h i n e s e , who

h a d , h o w e v e r, b e e n 1n a t u r a l i z e d ' a s a K h i t a n and who

had r e c e i v e d th e s p e c i a l fa v o u r of th e r u l i n g Liao

sovereign, t h e E m press Dowager C h ' e n g - t 1i e n . ) The

S o u t h e r n C h a n c e l l o r s h i p s were h e l d by C h i n e s e d u r i n g

t h e f i r s t h a l f o f t h e p e r i o d w h i l e t h e o f f i c e was

in existence, a n d c o n j o i n t l y by C h i n e s e a n d K h i t a n i n

t h e s e c o n d h a l f . ( 1 )' The members o f t h e s t a f f o f t h e

N o r t h e r n C h a n c e l l e r y was c h i e f l y K h i t a n a n d thos.e o f

t h e S o u t h e r n C h a n c e l l e r y w ere C h i n e s e . The w h o l e

body of o f f i c i a l s b e lo n g in g to t h e S o u th e r n R egion

and t h e L i a o e m p e r o rs t h e m s e l v e s w h i l e r e c e i v i n g envoys

(3-) fjiJne a c t u a l s i t u a t i o n o f t h e a p p o i n t m e n t o f t h e
o f f ic e of S o u th ern C h an cello rs i s as fo llo w s:
947 - 951 C hinese
9 5 4 -1 0 3 0 C hinese
1031-1064 ' K hitan
1 0 6 6 -1 0 8 4 C hinese
1086-1094 K hitan
1102-1104 C hinese
1 1 1 4 -1 1 1 9 C hinese
The g a p s w e r e p e r i o d s , d u r i n g w h i c h t h e h o l d e r s o f
t h e o f f i c e , a r e unknown.
 99

4r~ fro m o t h e r c o u n t r i e s ? o r on o t h e r s t a t e o c c a s i o n s —-
4
w e r e d r e s s e d i n C h i n e s e manner? and. t h e o f f i c i a l s o f

t h e n o r t h e r n R e g i o n w e re a l l d r e s s e d i n K h i t a n

costum es^ .

One may p e r h a p s d e s c r i b e t h e l l a o Empire, by s a y i n g

th at i t p ra ctic ally c o n s i s t e d , o f two n s t a t e s 11 ? one

K h i t a n a n d one C h i n e s e - M either d id th e K h ita n

c o n v e r t t h e i r C hinese, s u b j e c t s , nor d id th e C hinese

s i n i c i z e t h e i r K h ita n conquerors,.

I n 1043? H s i a o H s i a o - c h u n g who w a s h o l d i n g t h e

o f f i c e of th e n o r t h e r n C hancellor? su g g ested : nfhe

r e a s o n f o r t h e d i f f e r e n c e o f t h e c u s to m s o f £ o u r

K h i t a n a n d Chinese, s u b j e c t s } i s t h e e x i s t e n c e o f t h e

two C - h a n c e l l e r i e . s . Ih e c o u n tr y w ould b e n e f i t g r e a t l y
( 2)
i f t h e y were, m e r g e d i n t o o n e . ” ' B e f o r e an y a c t i o n

was t a k e n i n t h i s d i r e c t i o n ? H s i a o - c h u n g d i e d .

I n t h e s t o r y o f t h e L i a o C h a n c e l l o r s we f i n d a l s o

th e e x p la n a tio n f o r the r e la tio n s h ip th a t e x is te d

b e t w e e n L i a o and S u n g. U n d e r t h e s e c o n d Sung e m p e r o r

f\ who w a n t e d t o r e g a i n t h e s i x t e e n p r e f e c t u r e s l o s t by

(O S ee p. 7 8 .

^^ i i a o Shih, c h . 81, 2 b .
 100

Chin? t h e r e was some c o n f l i c t b e t w e e n t h e two s t a t e s .

But f r o m t h e p e a c e t r e a t y o f 1004? down t o 1115? L i a o

a n d Sung m a i n t a i n e d a sm ooth d i p l o m a t i c r e l a t i o n s h i p

r a r e i n C hinese h i s t o r y . One w o n d e r s why t h e K h i t a n

r u l e r s —- s i n c e t h e y had p o s s e s s i o n o f t h e s i x t e e n

p r e f e c t u r e s w h ich c o n t a i n e d t h e s t r a t e g i c r e g i o n w h i c h

s e r v e d a s a n a t u r a l b a r r i e r d i v i d i n g C hina fro m t h e

n o r t h e r n b a r b a r i a n w orld^"^ — c o n t e n t e d th e m s e lv e s

w i t h t h e i r s t a t u s quo and made no f u r t h e r a t t e m p t t o

advance. The r e a s o n i s s i m p l e . they d i d n o t w a n t

to . th e y d id not even l i k e t o b o th e r th em selv es w ith

r u l i n g t h e i r own C h i n e s e s u b j e c t s .

When t h e s e c o n d L i a o emperor? Y e h - l u T t - k u a n g ,

was l a u n c h i n g h i s s o u t h e r n c a m p a ig n a g a i n s t t h e C h in

i n 943? h i s m o t h e r a s k e d : "Do you t h i n k i t p o s s i b l e

t o a p p o i n t a C h i n e s e t o r u l e o v e r o u r c.ountry?"

"Im possible!" T £ -ku a ng r e p l i e d . "T h u s , ev en i f you

c o n q u e r China? yo u w .i l l n o t be a b l e t o r u l e o v e r i t .

E v e n t u a l l y i t w i l l p r o v e t o be a d i s a s t e r ? and i t

(1 )
K See p . 145 f f .
 10 1

(1)
would be t o o l a t e f o r y o u to r e g r e t ; The d e s i r e

f o r r e v e n g e i n d u c e d Te~-kuang t o c a r r y o u t h i s p u n i t i v e

expedition,. Oliin was o v e r t u r n e d . But as h i s m o th er

h a d f o r e t o l d he d i d n o t r u l e o v e r i t l o n g . A fter a

s h o r t s t a y i n P i e n - l i a n g h e summoned h i s C h i n e s e

( t h e C h in ) o f f i c i a l s and s a i d t o them ; " I t i s g r o w i n g

h o t. 1 cannot s ta y here lo n g er. I w ant t o p ay a

t e m p o r a r y v i s i t ' t o my h o m elan d i n o r d e r t o s e e my
( 2)
m o th er."v i Then he a b a n d o n e d h i s n ew ly a c q u i r e d

P i e n - l i a n g and s t a r t e d h i s j o u r n e y home.

A f t e r h a v i n g c r o s s e d , t h e Y e llo w R i v e r T ^ k u a n g

sa id to one o f h i s f o l l o w e r s "When I was. i n my

h o m e la n d , I t o o k p l e a s u r e i n h u n t i n g a n d e a t i n g game.

A f t e r 1 came t o C hina I a lw a y s f e l t u n h a p p y . If I

am a b l e t o go b a c k t o my h o m elan d , even i f I d ie ,. I

s h a l l h a v e no r e g r e t s . " ( 3)'

H e r e I § ~ k u a n g and h i s m o t h e r e x p r e s s e d t h e view

on C h in a t y p i c a l of t h e nom ads. As n o n e of T e - k u a n g ’ s

O u-yang H s iu s Hew H i s t o r y o f t h e f i v e D y n a s t i e s,,

c h . 73? 6b.
^ ' S.su-ma Kuang, o p . c i t . ch. 2 8 6 .

^ O u-yang E s i u , i b i d ., c h . 72, 1 9 a .
- s u c c e s s o r s e v e r t r i e d , t o a b a n d o n t h e n o m a d ic way o f

l i f e t h i s p o i n t o f view, c o n t i n u e d t o p r e v a i l . It

i s n o t s u r p r i s i n g t h e r e f o r e t h a t t h e d u a l S hu-m i Yuan

s y s t e m p e r s i s t e d down t o t h e e n d o f t h e i r d y n a s t y .

The c r e a t i o n o f t h e d u a l S hu-m i Yuan s y s t e m

i l l u s t r a t . e s . t h e p r o b l e m w h i c h f a c e d a l l t h e n om adic

s t a t e s , o u t s i d e t h e G-reat W a ll i n f o u n d i n g d y n a s t i e s

i n C hina. When a n o m a d ic power h ad coxae t o t h e s t a g e

o f e m b r a c i n g p a r t o f C hina p r o p e r i n i t s realm , t h e r e

arose, f o r i t s nomad r u l e r s , t h e p r o b l e m o f how t o

a d a p t t h e m s e l v e s , t o t h i s new. p h a s e o f t h e i r d e v e l o p m e n t .

S in ce o b v io u sly t h e i r o r i g i n a l g o vernm ental sy stem

c o u ld n o t be a p p l i e d t o China, t h e p ro b le m w hich

a r o s e w as n o t w h e t h e r o r n o t t h e y s h o u l d a d o p t t h e

C h i n e s e s y s t e m o f g o v e r n m e n t, b u t t o what e x t e n t th e y

should, o r w o u ld , a d a p t t h e m s e l v e s , t o i t . W hile t h e

L i a o r u l e r s who w e r e u n w i l l i n g t o g i v e up t h e i r

o r i g i n a l way o f l i f e ( o r , p e r h a p s , t h e p a r t of C hina

u n d e r t h e i r c o n t r o l w aa n o t b i g en o u g h t o a t t r a c t

them) f o u n d t h e s o l u t i o n o f t h i s , p r o b l e m ' i n t h e d u a l

S h u -m i Yuan s y s t e m , t h e th ree * s u b s e q u e n t n o n - C h i n e s e
 103

d y n a s t i e s .., t h e C h in , Yuan a n d C h ' i n g , came s o u t h of

t h e G r e a t W a l l and m l e d as. i f t h e y w e r e C h i n e s e . ^

^ ^ f o r f u r t h e r d i s c u s s i o n s , of t h e p r o c e s s of t h e
f o u n d a t i o n o f d y n a s t i e s i n C hina by t h e s e nomads, s e e
t h e s e c t i o n on P e k i n g .
 I I , T H E LIAO GRDO

(1) The. Mongol Ordo

(2) The L i a o Ordo
(3) The O r g a n i z a t i o n o f t h e L i a o O rdo.

(1) The Mongol Ordo.

The a c c o u n t g i v e n by t h e P e r s i a n h i s t o r i a n L j o u v i e n i

of O g o ta i's . grand t e n t , t h e S i r a Ordo, h a s a l r e a d y

been quoted, (p-59) We o b t a i n f u r t h e r i n f o r m a t i o n

a b o u t t h i s t e n t i n t h e r e p o r t s of a S o u t h e r n Sung envoy,

P ' e n g T a - y a , who v i s i t e d O g o t a i ’ s c o u r t a b o u t 1 2 3 1 .

"The t e n t o f t h e T a r t a r s o v e r e i g n f a c e s s o u t h an d i t

a l o n e i s p i t c h e d i n t h e f r o n t row.. H ex t come t h e t e n t s

.o f h i s w o m e n f o lk . F u r t h e r b e h in d a r e t h o s e of h i s o ffic ia ls

" E v e r y p l a c e i n w h i c h t h e t e n t of t h e T a r t a r s o v e r e i g n

i s p i t c h e d w h i l e h e g o e s o ut h u n t i n g i s c a l l e d a W o - l i - t 1o

(ordo). Only t h e " g o l d t e n t " (so c a lle d because i t s

p o l e s a r e made, o f g o l d ) , w h ic h i s i n h a b i t e d by h i s w i v e s

and c o n c u b i n e s and w h i c h i s p i t c h e d a l o n g w i t h h i s f o l l o w e r s

i s known as. t h e Grand W o - l i - t ' o ( o r d o ) . I t i s alw ays

e re c te d in re cesses, i n the h i l l s in o rd e r t o avoid th e

f o r c e o f t h e w ind. I t i s som ething l i k e th e im p e r ia l

t e m p o r a r y r e s i d e n c e s o f C h i n e s e emperors..,. Q jike th e
 105

o r d i n a r y w o - l i - t 1 o] i t h a s no f i x e d l o c a t i o n and i s moved

m o n t h ly o r a t t h e c h a n g e o f s e a s o n s . ” ( 1 )'

Two m e d i e v a l E u r o p e a n t r a v e l l e r s , a l s o p r o v i d e u s w i t h

v a l u a b l e a c c o u n t s o f t h e o rd o o f two i m p o r t a n t Mongol

no b les.

I n 1 24 6, B r i a r J o h a n n e s de P l a n o G a r p i n i was s e n t a s

a m b a s s a d o r by P o p e I n n o c e n t I V t o t h e c o u r t of Kuyuk.

A f t e r e n t e r i n g th e t e r r i t o r y of t h e " b la e k e K ythayans”

( K a r a - K h ita i) 9 he t r a v e l l e d a lo n g t h e s o u t h e r n bank of

a lake? p r o b a b l y m o d e rn A la K u l, and came u p o n t h e

ordo o f Ordu, son of J u j i , t h e e l d e s t s o n of C h i n g h i s

and b r o t h e r of B atu .

" I n t h i s l a n d e d w e l l e t h Ordu, whome w e e . s a y d e t o b e e

a u n c i e n t v n t o a l l t h e T a r t a r i a n dukeso And i t is th e

Orda o r c o u r t o f h i s f a t h e r w h ic h h e e i n h a b i t e t h , an d one

of h i s w i u e s b e a r e t h r u l e t h e r e . Bor i t i s a cu s to m e

among t h e T a r t a r s , t h a t t h e C ourts of P r i n c e s or o f n o b le

men a r e n o t d i s s o l u e d , b u t a l w a y e a s.ome women a r e a p p o i n t e d

t o k e e p e and g o u e r n e them, v p o n whom c e r t a i n g i f t s a r e

bestow ed, i n l i k e s o r t as. t h e y a r e g i u e n v n t o t h e i r L o r d s -

ISL.M— iitoiH lnm i i ■ 11IH. IIW . — fcailifcajr vii HIII1111*111M.II 11^ 11I tu iiw i 1 ■wi ■! IIMII' — trnm 1■*>■*! up nffci .i f di ■nllWi'i * | W lIMi" I II I -PT0PW P»IIM H ^I| 1 +

P ' §ng l a . - y a : M &ng-t’ a p e i - l u ( s e e n o t e on p . 194 )

 106

And s.o a t l e n g t h we a r r i u e d a t t h e f i r s t c o u r t of t h e

E m p e ro u r, w h e r e i n one o f h i s w iu e s d w e l t o,,v( 1 )'

Seven y e a rs l a t e r ? i n 1253? a n o t h e r f r i a r ? W i l l i a m •*_

R u b r u k , , was s e n t by t h e E r e n c h R i n g L o u i s t o t h e c o u r t

of Mangu Khan. A f t e r Rubruk/xn? had c r o s s e d t h e V o l g a ^ ^

he f o u n d t h e o rd o o f B a t u , t h e Mongol C o m m a n d e r - i n - C h i e f

who o v e r r a n E a s t e r n E u r o p e .

" M o r e o u e r , when I f i r s t b e h e l d t h e c o u r t of B aatu ? I

was a s t o n i e d a t t h e s i g h t t h e r e o f ; f o r h i s h o u s e s o r

t e n t s seemed a s t h o u g h t h e y h a d ben e some h u g e and m i g h t y

citie, s t r e c h i n g o u t a g r e a t way i n l e n g t h , th e p eople

r a n g i n g up and downe a b o u t i t f o r t h e spa-ce of some t h r e e

o r fo u r© l e a g u e s . . . . .

nWhere.~upon t h e c o u r t i s c a lle d i n t h e i r language

( 3^
H o rd e , w h i c h s i g n i f i e t h , th e m i d s t ; N * because the

g o u ern o .u r o r c h i e f t a i n e among them d w e ls a l w a l e s i n t h e

m iddest of h i s peo p le: ex c ep t onely t h a t d i r e c t l y tow ards

t h e S o u t h no s u b i e c t o r i n f e r i o u r p e r s o n p l a c e t h h i m s e l f © ,

^ " ^ B e a z l e y , C. R . e d . : She t e x t s an d v e r s i o n s o f J o h n de B l a n o '

Ga r p i n i and W i l l i a m de R u b r u q u i s , P » 1 3 4 °
^ ^ R u b r u q u i s c r o s s e d t h e V olga b e t w e e n K az an and S i m b i r s k ,
below t h e c o n f l u e n c e o f t h e Kama and t h e V o lg a i n e a s t e r n
R u ssia.
^ ^ A c c o r d i n g t o S h i r a t o r i , o rd o was o r i g i n a l l y k o r d u or
m n in i ir ~ii ■■ t ~

x o r d u , t h e r o o t o f w h i c h , x o r o r k o r , h a s t h e m e a n i n g 11 c e n t r e ”.
b e c a u s e t o w a r d s t h a t r e g i o n t h e c o u r t g a t e s a r e s e t open;

b u t y n to th e r i g h t hand, and t h e l e f t h a n d t h e y e x t e n d

t h e s e l v e s as. f a r r e a s t h e y w i l l a c c o r d i n g t o t h e

con u en ien cie of p la c e s , so t h a t t h e y p l a c e n o t t h e i r

h o u s e s d i r e c t l y o p p o s i t e a g a i n s t t h e c o u r t . 1 ( 1 )j

From t h e s e Mongol ordo a r e d e r i v e d s u c h v a r i o u s t e r m s

a s " h o r d e " an d i t s e q u i v a l e n t s i n many E u r o p e a n l a n g u a g e s ,

r e m i n i s c e n t o f t h e o n e - t i m e su p re m a c y o f Mongol po w er i n

E a s te rn Europe. I n C h in a i t g i v e s t h e name t o t h e t r i b e

w h ich h a s i n h a b i t e d t h e G r e a t Bend o f t h e Y e l l o w E i v e r

beyond t h e G r e a t W a l l s i n c e t h e s e c o n d h a l f o f t h e 1 5 t h
( 2)
cen tu ry . I n I n d i a t h e name o f one of i t s two c h i e f

languages, t h e U rd u, i s a l s o i n d i r e c t l y d e r i v e d fro m t h i s

w o rd .

The f i r s t known a p p e a r a n c e o f t h e t e r m i s i n t h e

C o n t i n u a t i o n o f n o t e f r om p r e v i o u s p a g e:
I n p r e s e n t day T u r k is h , o r d u , o r t a a l s o h av e t h e m eaning of
cen tre. As t h e camp o f t h e nomad r u l e r s was a lw a y s
p i t c h e d i n t h e m i d d l e o f t h o s e o f h i s f o l l o w e r s , o rd o
came t o be u s e d t o d e n o t e t h e r e s i d e n c e , o r p a l a c e , o f
t h e s e nomad r u l e r s . ■ ( S h i r a t o r i , op . ci t .)
 108

i n s c r i p t i o n on one o f t h e S i n o - A L t a i c b i l i n g u a l m onum ents,

w h ic h was. e r e c t e d i n a b o u t 723, by t h e O rkhon R i v e r i n

O u t e r Mongolia,, Thomsen t a k e s t h e t e r m i n t h a t context

(1 )
t o m ean a camp o r c a p i t a l ' ' and. i t is, th erefo re, alread y

u s e d i n t h e same s e n s e a s i n l a t e r a g e s - Several experts

have t r i e d to f i n d e a r l i e r r e f e r e n c e s i n C hinese l i t e r a t u r e .

A, c o m p a r a t i v e s t u d y o f t h e Mongol ordo a n d t h e L i a o

n a - p o shows t h a t t h e y w e r e e s s e n t i a l l y s i m i l a r i n n a t u r e .

The f o u r g r a n d Mongol o rd o p l a y e d t h e same p a r t i n t h e

life o f t h e Mongol Khans a s t h e f o u r p r i n c i p a l n a - p o i n

th at o f t h e L i a o emperors. — s e r v i n g i n b o t h c a s e s a s t h e

r e s i d e n c e o f t h o s e nomad r u l e r s a n d t h e c e n t r e of t h e i r

p o litic s. N e v e r t h e l e s s , t h e y d i f f e r e d frOm one a n o t h e r

i n many w a y s . The L i a o n a - p o i n . e a c h s e a s o n was a lw a y s

i n h a b i t e d by t h e e m p e r o r a c c o m p a n ie d by a l l h i s w i v e s .
v( 2)
The' Mongol g r a n d ordo ( u s u a l l y f o u r , s o m e t i m e s m o r e ) ' '
Y '- C o n t i n u a t i o n o f t h e n o t e s on p r e v i o u s page
^ 'T h e t r i b e o r i g i n a l l y l i v e d a b o u t one o f t h e o r d o o f
C h i n g h i s ( p r o b a b l y t h e one f o r t h e w i n t e r ) a c r o s s t h e
D e s e r t f a r t o t h e n o r t h of t h e i r p r e s e n t t e r r i t o r y . H o w o r t h , ..
a c c e p t i n g S c h m i d t ' s v ie w , h o l d s t h a t i t "was. p r o b a b l y fro m
t h e body o f Mongols, who, a f t e r t h e d e a t h o f C h i n g h i s , h a d
t h e s p e c i a l d u t y o f p r o t e c t i n g t h i s o rd o t h a t t h e t r i b e
e v e n t u a l l y r e c e i v e d i t s name. (H o w o rth , I , 4 0 1 . C f . a l s o
A M o s t a e r t ; T e x t Or&ux O r d u s , p . l .
(1 j f i l h e l m Thomsens I n s c r i p t i o n s d e 1* Ork h o n , p .1 1 3 *

^ ^ C f . Y a n a i : A s t u d y o f t h e ord o o f t h e Yuan d y n a s t y .
( Y an a.i, op . b i t ■, p . 6 6 3-7 6 8 .)
w e re e a c h managed hy one o r more o f t h e Mongol " q u e e n s 11

who w e re v i s i t e d i n t u r n by t h e Khan r n d i f f e r e n t s e a s o n s .

The L i a o n a - p o was g i v e n up a f t e r t h e d e a t h o f i t s ow ner.

The Mongol ordo c o n t i n u e d t o e x i s t an d was i n h a b i t e d by

t h e widows, o f t h e Khan.

P a r t i a l e x p la n a tio n f o r t h e d i f f e r e n c e s betw een th e s e

two i n s t i t u t i o n s i s t o be f o u n d i n t h e e x i s t e n c e o f a n o t h e r

L i a o i n s t i t u t i o n — t h e L i a o ordo s y s t e m w h i c h we s h a l l

d e a l w i t h i n this, s e c t i o n .

(2) The L i a o Ordo.

I n t h e Lia.o d y n a s t y , fro m i t s f o u n d e r A p a o k i onwards

to th e l a s t of i t s r u l e r s T ' i e r i - t s o , each of th e n in e

e m p e r o r s had a n o rd o t o w h i c h t h e L i a o H i s t o r y g i v e s

a s e q u i v a l e n t t h e C h i n e s e term, kung ( " p a l a c e 1' ) . In a d d itio n ,

two p o w e r f u l e m p r e s s e s and a y o u n g e r b r o t h e r cf one of

t h e e m p e r o r s e a c h h a d a n o r d o , a s h a d one h i g h o f f i c i a l

who h a d o b t a i n e d t h e s p e c i a l f a v o u r o f one o f t h e s e

e m p r e s s e s . ‘ The ordo o f t h i s o f f i c i a l was known a s t h e

" P r i n c e l y M a n s i o n " , a s d i s t i n g u i s h e d from t h e i m p e r i a l

"p alaces". Thus, a t t h e end of t h e L i a o d y n a s t y , th ere

w e r e a l t o g e t h e r t w e l v e o n Crdo ( " P a l a c e s " ) an d one " P r i n c e l y

 110

M an sio n ,M

I h e L i a o H i s t o r y i n c l u d e s a. s p e c i a l s e c t i o n d e a l i n g

s p e c i a l l y w ith th e g u ard s of t h e s e p a l a c e - o r d o . A gain,

i n t h e s e c t i o n d e v o t e d t o t h e L ia o arm y, i t g iv es, f o r e m o s t
( l)
a t t e n t i o n t o t h e o rd o c a v a l r y ' . As a r e s u l t , later

r e a d e r s h a v e "been t e m p t e d t o assu m e t h a t i t was e s s e n t i a l l y

a n o r g a n c o n c e r n e d w i t h t h e arm y .

As b o t h t h e meng~an a n d mu-lc* o s y s t e m o f t h e C h in
(2}
p e r i o d a n d t h e B a n n e r s y s t e m of t h e Oh’ i n g d y n a s t y ' ' ---

w hich, i n s p i t e o f t h e i r o u tw a r d m i l i t a r y f e a t u r e s , w ere

not so le ly m ilita ry o r g a n i z a t i o n s — so t h e L i a o ordo.

s h o u l d n o t be c o n s i d e r e d a s a. p u r e l y m i l i t a r y s y s t e m ,
t h e ordo g u ard
a l t h o u g h / j e t f o r m e d an i m p o r t a n t p a r t of t h e L i a o arm y.

The L i a o ordo, i n b r i e f , was t h e i m p e r i a l camp, i n

w h i c h was h o u s e d t h e o f f i c e i n c h a r g e o f t h e L i a o e m p e r o r s ’

p e r s o n a l dom ain — n am ely t h e K h i t a n a n d o t h e r t r i b a l

u n i t s a n d t h e C h i n e s e a n d P o h a i c i t i e s , a n d towns w h ic h ,

D r , W i t t f o g e l and Mr, 3T@ng C h i a - s h e n g h a v e t r a n s l a t e d

m o st of t h e i m p o r t a n t p a s s a g e s i n t h e s e two s e c t i o n s
( W i t t f o g e l a n d B§ng, o p . c l t . , p .54-0-548) .

I ' o r t h e m ^ n g -a n an d rnu-k ’ o and t h e eight - B a n n e r s y s t e m s ,

s e e p . 163 & 1 7 5 .
 I ll

i n s t e a d o f ‘b e l o n g i n g t o t h e L ia o s t a t e , w e r e owned by

th e em perors th e m s e lv e s . From s u c h t r i b e s a n d c i t i e s

w e re d ra w n the., t r o o p s a n d t a x e s w h i c h formed, t h e p r i v a t e

army an d p e r s o n a l incom e o f t h e em perors.. The a u t h o r s

o f t h e L i a o H i s t o r y l a i d s t r e s s on t h e m i l i t a r y a s p e c t

o f t h i s s y s t e m ; t h e C h in H i s t o r y m e n t i o n e d i t a s t h e

e q u i v a l e n t o f a t r i b e ( 1 ) , t h e Sung c o n t e m p o r a r i e s o f t h e

L i a o sa.w I t a s a n o f f i c e s i m i l a r t o t h e C h i n e s e i m p e r i a l

HI n n e r t r e a s u r y ’1 .

t o e x p l a i n t h e r i s e a n d d e v e l o p m e n t of t h i s , s y s t e m we

h a v e t o go b a c k to t h e h i s t o r y o f t h e e a r l y y e a r s of

the K h itan s t a t e , or r a th e r , trib e.

I n 9 0 6 t h e l a s t Khan o f t h e Y i a o - n i e n . House of t h e

K hitan s t a t e d ied . The f o l l o w i n g y e a r , 9 0 7 , A p a o k i a ss u m e d

t h e k h a n a t e a n d thus, m a r k e d t h e b e g i n n i n g o f t h e K h i t a n -

L iao d y n a s ty , as i t a p p e a re d i n C hinese h i s t o r y . By

t h a t tim e th e K h ita n s t a t e , com prised t h e c o n f e d e r a tio n

Lhe C h i n H i s t o r y ( c h . 65,16)’g i v e s t h e names o f a number

o f L i a o t r i b e s w h i c h s u r r e n d e r e d , t o t h e J u r c h e n on t h e
Liao s o u th - w e s te r n f r o n t . Among o t h e r t r i b e s i t m e n t i o n s
” t h e t r i b e o f C hang-m ing Kung” , i . e . t h e o rd o o f t h e
f i f t h Liao em peror, C h in g -ts u n g .
 112

o f ' t w e l v e t r i b e s ( w h i c h may be d e s c r i b e d a s t h e K h i t a n
( Z)
proper) ? .a n um ber o f new ly s u b j u g a t e d t r i b e s a d j a c e n t

t o K h i t a n , a n d one o r two c i t i e s n o r t h of t h e G r e a t W a ll

f o u n d e d by t h e C hinese, whom A p ao k i h a d b r o u g h t back from

h i s c a m p a ig n s a g a i n s t C h i n a .

Among t h e tw.eitte t r i b e s o f t h e K h i t a n p r o p e r / t h e r e

was t h e I - l a t r i b e w h i c h h a d s e r v e d a s t h e p e r s o n a l t r i b e ?

o r body-guard? o f t h e Y i a o - n i e n Khan t h r o u g h o u t t h e i r
(2)
d y n a s ty ^ ' . This. t r i b e was t h e most, p o w e r f u l o f a l l the-

in n er tr ib e s of K h itan . Ihe a n c e s t o r s o f Apaoki had

h e l d s u c c e s s i v e l y t h e p o s t, o f i - l i - d h i n , or ch iefta in ?

of t h i s , t r i b e . E ventually? i t w as f r o m h i s p o s t a s t h e

i - l i - o h i n of t h e I - l a t r i b e t h a t A p a o k i r e p l a c e d t h e

Y a o - n e i n House,.

A f t e r h is . a c c e s s i o n ? h a v i n g r e l i n q u i s h e d h i s c h i e f t a i n s h i p

of th e I - l a , A p a o k i r e a l i n e d t h a t he; h a d no p e r s o n a l

guard, t o m e e t t h i s n e e d he s e l e c t e d more t h a n two 5

t h o u s a n d men f r o m v a r i o u s t r i b e s an d f o r m e d a " b e l l y an d

^ I h e L ia o H i s t o r y ( c h . 32. ? 8 a ) g i v e s t h e number o f t r i b e s
as tw enty. I h i s is. c l e a r l y a. m i s t a k e . S e a P . 255 f f .

Of. Oh’ an Shu : Qh 1 i - t a n S h i h - h a u a n Kfeto. ( B u l l ,

of I n s t , o f H i s t , an d P h i l . , V o l. 8 , Ho. 2 ) .
 113 , ;

( 3)
h e a r t c o r p s " t o s e r v e a s h i s p r i v a t e army*

L ater? a f t e r e n la r g in g t h i s c o r p s by a d d i n g a few

p r e f e c t u r e s .and c o u n t i e s i n h a b i t e d o r f o u n d e d by h i s

P o h a i an d C h i n e s e w a r c a p t i v e s , he e s t a b l i s h e d a n ordo

t o manage, i t s affairs. S peaking of th e c r e a t i o n of

Apaoki* s S u a n Ordo, t h e L i a o H i s t o r y s t a t e s . :

nThe, S u an Ordo was. e s t a b l i s h e d by T ' a i - t a u ( A p a o k i ) .

I n th e n a tio n a l. (K hitan) language? s u a n means ,fh e a r t

a n d b e l l y 11 and ordo means, 11p a l a c e ’1 . I t is, known

£ i n C h i n e s e ] a s H u n g - i Kung? t h e " P a l a c e o f L o y a l t y " .

I t was c r e a t e d , w d t h t h e p e r s o n a l g u a r d ( o f 1 *a i - t s u ) ?

to w hich were added t h e war c a p ti v e s ta k e n fro m P o h a i

and t h e ((C hinese] h o u s e h o l d s i n t h e p r e f e c t u r e o f

C h in g -c h Q u . f h e o rd o was s i t u a t e d i n L i n - h u a n g ( t h e

Supreme C a p i t a l ) . Lhe m ausoleum was s i t u a t e d 20 11

to th e s o u th -e a s t of the p r e f e c tu r e fsu -ch o u .

" T h i s ordo h ad 8 ? 0 0 0 " r e g u l a r h o u s e h o l d s " a n d

7 ,000 b a r b a r i a n and C hinese " t r a n s f e r r e d h o u s e h o ld s ."

( 2)
I t p r o v i d e s 6 ? 0 0 0 . h o r s e m e n . 1^ J

^^ L i a o Shih? M
c h . 73, 3a*
( 2 ) L i a o S hih?
* * T-^ H .i.l.iii Hi ■MU m n nin li 11 i ■ iif.ill i l
ch. 31, 2 a .
 114

The c o u r s e of d e v e l o p m e n t o f t h e o rd o s y s t e m "becomes

even c l e a r e r i f one knows o f t h e L i a o t f o u - h i a s y s t e m ^ ^

t h r o u g h o u t t h e L i a o d y n a s t y i m p o r t a n t n o b l e s and

o f f i c i a l s had t h e i r p r i v a t e c i t i e s and to w ns - - w h a t

v^ere c a l l e d t h e 11m a n d a t o r y 11 p r e f e c t u r e s , and c o u n t i e s , ( t h e

t* Q u -h aia. chcu churi 'Jj? ) .

11t h e m a n d a t o r y p r e f e c t u r e s and c o u n t i e s were ( t h e

c i t i e s a n d tow ns w h i c h w e re ) fousaded by p r i n c e s ,

members o f t h e f a m i l i e s of th e ro y a l' .co n so rts, h ig h

o ffic ia ls, and [ [ c h ie f ta in s of] v a r io u s t r i b e s i n o rd e r

to r e s e t t l e , t h e i r w ar captives* and th e s l a v e s th e y

had ma.de. Those p r i n c e s b e l o n g i n g t o t h e " S u p r e m e -

( 2)
t e n t s v ' f brothers, of ro y a l c o n s o rts and p r in c e s s e s

w e re a l l o w e d t o b u i l d c i t y w a l l s . O th ers were not

a l l o w e d t o do s o . i h e C ourt r e t a i n e d th e r i g h t t o

name t h e p r e f e c t u r e ox-* c o u n t y . [/Ihe g o v e r n o r ] ? i f

o f t h e r a n k o f c h i e h - t u - s h i h , was t o be a p p o i n t e d

D r. W i t t f o g e l i d e n t i f i e s t h e t e r m t» o u - h s i a w i t h
t h e Mongol n o u n t i i s i - y a ( s u p p o r t ) d e r i v e d , f r o m t h e
v e r b a l s t e m t u s i - , m e a n in g " t o r e l y on, t o t r u s t . 1*
( W i t t f o g e l , p . 65).
r n\ fath er
^ } The d e s c e n d a n t s o f A p aok fS /b elo ng ed t o th e 11Supreme
T ents" ( h§ng-chang ). T h i s t e r m means l i t e r a l l y
the h o riz o n ta l te n ts . H e r e we. f o l l o w C h in Y i i - f u 1s
i n t erp re t a t i o n .
 115

by t h e C o u r t , but i f of t h e r a n k o f t a 18 - s h i h he

was. a p p o i n t e d ( b y t h e l o r d ) from among h i s r e t a i n e r s .

The t a x e s l e v i e d , on o f f i c i a l s f r o m the. n i n t h r a n k

down a n d on the. t r a d e r s w ere a l l r e t a i n e d by t h e

m andatory l o r d . Only the. t a x on w i n e was p a i d o v e r

(
t o t h e B o a r d o f S a l t - a n d - I r o n i n t h e Supreme C a p i t a l . H ■

The m a n d a t o r y p r e f e c t u r e s and c o u n t i e s w e re o n l y one of

t h e two s id e s , o f t h e t !t o u - h s i a s y s t e m . It can be i n f e r r e d

t h a t t h e r e were a ls o t r i b a l u n i t s w hieh were "m an d ato ry ” * :

krom t h e s e m a n d a t o r y t r i b a l u n i t s and c i t i e s , t h e Liao

n o b le s p r o v i d e d th e m s e lv e s w ith p r i v a t e a r m ie s w hich th e

L i a o g o v e r n m e n t c o u l d " b o r r o w ” i n c a s e o f need.,. The. L i a o

Hi s t ory s t a t e s :

"The L i a o p r i n c e s a n d h i g h o f f i c i a l s , t r e a t e d , t h e

s t a t e a s i f i t were- t h e i r f a m i l y . I n campaigns.

£ c a r r i e d on by t h e g o v ernm ent} t h e y o f t e n p r o v i d e d

p r i v a t e arm ie s to a s s i s t th e governm ent. The l a r g e r

Cof t h e s e a r m i e s } c o m p r i s e d up t o a t h o u s a n d o r m o re

h o rs e m e n a n d t h e s m a l l e r s e v e r a l h u n d r e d h o r s e m e n .

^ Liao S h ih , c h . 37, l i b .
 116

They were, r e g i s t e r e d by t h e g o v e r n m e n t . Thus, when

t h e s t a t e u n d e r t o o k any m i l i t a r y a c t i o n i t could

borrow, f r o m t h r e e , t o f i v e t h o u s a n d h o rs e m e n a s needed*

The r e m a i n i n g h o r s e m e n were k e p t back t o s e r v e a s

t h e nu c l eu s o £ t h e t r i b a s . t1^ ^

T h e r e f o r e the., o r do was. a. fo rm o f t h e t ' o u - h s i a sy stem *

( I n t h e Mongo 1-Yuan d y n a s t y , t h e t 1Q u ~ h sia s y s t e m a l s o

ex isted* B ut we- s h a l l n o t e x p l a i n i t h e r e i n d e t a i l * )

Knowing t h e b a c k g r o u n d o f t h e r i s e of t h e o rd o

s y s t e m , we. c a n more, e a s i l y f o l l o w t h e a c c o u n t s g i v e n by

the. L i a o H i s t o r y o f t h i s i m p o r t a n t i n s t i t u t i o n *

11A f t e r T ' a i - t s u a s c e n d e d t h e t h r o n e t h r o u g h [ h i s

ch iefta in sh ip of] t h e I - l a t r i b e , he s p l i t th is

t r i b e , i n t o t h e [ . t r i b e s , o f} t h e f i v e D i v i s i o n s and t h e

S ix D iv is io n s , t h e c o n t r o l of w h i c h was e n t r u s t e d

t o members of t h e r o y a l fa m i l y * By so d o i n g he

d e p r i v e d h i m s e l f o f h i s p e r s o n a l gu ard * T h e r e f o r e he

e s t a b l i s h e d t h e s y s t e m o f ordo*

T h i s was a s y s t e m by w h ic h p r e f e c t u r e s a n d c o u n t i e s ,

and h o u s e h o l d s an d i n d i v i d u a l s , were, s e p a r a t e d [ f r o m

^ ^ L i a o Shih, ch *35, 7 a.
 117

t h e r e g u l a r a d m i n i s t r a t i o n j an d p l a c e d u n d e r t h e o rd o

w i t h a view t o s t r e n g t h e n i n g ( t h e a u t h o r i t y o f) t h e

t r u n k ( t h e Crown) a t t h e e x p e n s e o f t h e b r a n c h e s

( the at a t e ) . file i n s t i t u t i o n o f t h i s s y s tam p r o v e d

an i n v a l u a b l e le g a c y to h i s s u c c e s s o r s : each f o llo w in g

e m p e r o r e s t a b l i s h e d f a n ordo of h i s own t o g e t h e r w i t h ]

a n o rd o g u a r d t o p r o t e c t him i n h i s r e s i d e n c e , to

accom pany him when g o i n g o u t , and. t o g u a r d h i s

m au so leu m a f t e r d e a t h - I f an y m i l i t a r y o p e r a t i o n

h a d t o be u n d e r t a k e n , th e C ontrol O ffic e s of th e

o r d o , t h e t 1i - h s i a - s s u , i n t h e f i v e C a p i t a l s a n d two

p r e f e c t u r e s , i s s u e d o rd e rs , f o r t h e a s s e m b l y £ o f

troo ps} • I h e r e s u l t was t h a t b e f o r e i t was n e c e s s a r y

t o draw a n y t r o o p s f r o m e i t h e r t h e p r e f e c t u r e s a n d

c o u n t i e s o r t h e t r i b e s and s u b - t r i b e s f u n d e r t h e

governm ent}, t h e r e w ere a l r e a d y a h u n d r e d t h o u s a n d

c a v a l r y m e n r e a d y t o go i n t o a c t i o n . 1 hey w e re

p e r s o n a l l y l o y a l t o t h e e m p e ro r, w e l l e q u i p p e d an d

thoroughly tra in e d . f h e cream o f t h e army o f t h e

e m p ir e was. t h u s k e p t i n t h e b e l l y and. h e a r t ( u n d e r

t h e c o n t r o l of t h e Crown) . th e f e e l i n g of l o y a l t y

grew w i t h time, and [ t h e number o f l n e w r e c r u i t s in cre ased

 118

w i t h t h e a c c e s s i o n o f e a c h new- e m p e r o r . (This was

( 1)
in d e e d a fine, m i l i t a r y sy ste m ." J

H e r e we s e e t h a t t h e c o m p i l e r s o f t h e L i a o H i s t o r y d e p i c t

t h e ordo f r o m a p u r e l y m i l i t a r y p o i n t o f v i e w .

B u t to t h e e y e s o f v i s i t o r s t o K h i t a n f r o m s e d e n t a r y

regions? t h e s y s t e m o f o rd o con v ey s a d i f f e r e n t i m p r e s s i o n .

The Sung envoy t o K h i t a n ? Yd C h in g, r e p o r t s :

11Krom A p a o k i onwards-, ea ch of th e . l i a o ru lers, on

ascending th e th ro n e, ha.d a p a l a c e ( o r d o ) estab lish ed

and a p p o i n t e d t o i t a g o v e r n o r whose f u n c t i o n i t was t o

a d m i n i s . t e r t h e s l a v e s p r e s e n t e d t o h im e a c h y e a r by h i s

v a s s a l s a n d t h e b o o t y b r o u g h t b a c k fro m e x p e d i t i o n s

a g a in s t f o r e i g n n atio n s.. B ach p a l a c e h a d i t s own r e t a i n e r

h o u s e h o l d s , an d re v en u es., w h i c h p r o v i d e d f o r t h e p r i v a t e

ex p en d itu re of th e b a r b a r ia n ( lia o ) em peror. I t was

som ething lik e , th e im p e r i a l In n e r T re a s u ry £of C hina}.

( 2)
The. r e t a i n e r s of t h e t e n palaces/* ' s t y l e them selves

h a ia Q -ti ( " s e r v a n ts " ) . T heir s t a t u s i s s i m i l a r to t h a t

o.f t h e g o v e r n m e n t s l a v e s i n C h i n a . "

^ l i a Q. .8 h i h ? c h . 35? l b .

Yu Ching v i s i t e d th e Liao covirt in 1043-45 ( s e e p . 78)

T h e r e w e r e o n l y t e n ordo e x i s t i n g a t t h a t t i m e .
 119

The Sung N a t i o n a l H i s t o r y ? b a s e d p r o b a b l y on t h e r e p o r t

of a d if f e r e n t envoy, g iv e s , a. s i m i l a r i m p r e s s i o n s

"W h enev er a new CLiao} s o v e r e i g n comes t o t h e t h r o n e ?

he g a t h e r s t o g e t h e r t h e p e o p l e ? h o r s e s ? ca ttle, g o l d an d

s i l k w hich he has captured? t h e p r i s o n e r s p r e s e n t e d by

h i s v a s s a l s a n d p e r s o n s who h a v e b e e n made s l a v e s , a s

p u n i s h m e n t f o r crim es ? an d s e t s up a s e p a r a t e p a l a c e

( hsing-kung) t o g o v e r n th e m . C under t h e a u t h o r i t y o f

t h i s p a l a c e ^ he e s t a b l i s h e s p r e f e c t u r e s an d c o u n t i e s and

appoints o f f i c i a l s . When he dies-? a b i g t e n t i s s e t up

and a g o l d e n im age of h i m s e l f i s m ade. On t h e f i r s t and

f i f t e e n t h d ay s o f e a c h moon, and on t h e day of h i s d e a t h ,

s a c r i f i c e s , are-m ade. A- p l a t f o r m more t h a n t e n f e e t h i g h

is b u ilt, on w h i c h s a c r i f i c i a l f o o d i s b u r n t - - a p r a c t i c e

known by them a s " b u rn i n g - - ! o o d " .

" B ac h o f t h e t e n p a l a c e s h a s i t s . own h o u s e h o l d s and

provides, i t s own t r o o p s and h o r s e s . " ( 1 )' -

Only by c o m b in in g t h e s e , a c c o u n t s g i v e n by t h e s o u t h e r n

c o n t e m p o r a r i e s o f t h e K h i t a n w i t h t h a t of t h e l i a o H i s t o r y

can a more o r l e s s com plete p i c t u r e of t h i s i n s t i t u t i o n

be r e c o n s t r u c t e d .

^ The s e c t i o n on t h e ordo i n c l u d e d i n t h e H i s t o r y of t h e
K h i t a n Kingdom ( c h . 23? 3 b - 4 a ) i s b a s e d on t h i s p a s s a g e .
( O f . S t e i n ' s , t r a n s l a t i o n i n 1* oung P.ao? 194*0) *
 120

(3) f h e o r g a n i z a t i o n o f t h e O rdo,

As i n t h e L i a o s t a t e i t s e l f , i n e a c h o rd o t h e r e w e re

members o f t h e two d i f f e r e n t s . e c t i o n s o f t h e p o p u l a t i o n ,

th e t r i b a l and t h e s e d e n t a r y , The Suan Ordo, t h e ordo

of A paoki, for in stan ce, inclu d ed ;

(A) in th e sed en tary se c tio n ;

(a) 5 p r e f e c tu r e s
(b ) 1 county
( c) 4 C o n t r o l O f f i c e s , t» i - h . s a a - s s u

(B) i n the. t r i b a l s e c t i o n :

(a) 2 sh ih -lieh
( b) 4 w a-li.
( c) 4 m o -li ( or m i~ li)
( d) 2 te -li
( e) 7 cha~sa

Among t h e s e d e n t a r y u n i t s , t h e f u n c t i o n o f t h e t 1i - h s i a - s s u

( w h i c h we h a v e r e n d e r e d , a s " C o n t r o l O f f i c e ' 1) n e e d s some

ex p lan atio n . C o n tro l O ff ic e s were e s t a b l i s h e d i n f o u r

of th e f iv e ca p itals., ( S o u t h e r n , W e s t e r n , ' C e n t r a l and

S u p r e m e ) / i n t h e two p r e f e c t u r e s , P § n g ~ sh § n g Chou and

P ’ ing-chou, b o t h on t h e s . o u t h e r n f r o n t i e r w h e r e t h e

C h i n e s e p o p u l a t i o n was. m o st d e n s e , Ihe f u n c tio n of the

t 11 - h s i a - s s u , i f we may j u d g e fro m .a s i m i l a r ,of f i c e i n

t h e Yuan d y n a s t y ) was t o c o n t r o l t h a t p a r t of t h e p o p u l a t i o n

of t h e c i t y w h ic h b e l o n g e d t o some p a r t i c u l a r o r d o , Ihus
 121

' o f t h e 13 o r d o , XI had a t 1i - b h i a - s s u i n t h e

S outhern C a p ita l, 8 i n th e W estern, 2 in th e C entral-and

and A
1 m t h e S u p r e m e , / 9 i n P e n g - s h e n g Chou and 9 i n P ’ i n g

Chou. P his e x p la n a tio n i s a p p r o p r ia te to th e s t a t u s of

*^i e i 1i - h s i a - s s u ? w h i c h i n t h e t e x t o f t h e L i a o H i s t o r y

a r e alw ays m entioned a f t e r t h e p r e f e c t u r e s and c o u n t i e s

b e lo n g in g e n t i r e l y to t h e ordo.

H e re we d i f f e r fro m H r . W i t t f o g e l a n d Mr. PSng C h i a - s h e n g

who c o n s i d e r t h i s o f f i c e (w hich th e y t r a n s l a t e as t h e

" C o n t r o l Base?. 5) a s t h e o r g a n w h ich a c t u a l l y h e l d c o n t r o l

of t h e m i l i t a r y a f f a i r s of th e ordo. I n view -of t h e

d u a l a d m i n i s t r a t i v e n a t u r e o f t h e l i a o p o w e r and t h e

t r a d i t i o n of t h e L i a o army, i t i s im p o ssib le fo r th e

t 1i - h s i a - a s u e s t a b l i s h e d i n t h e c i t i e s , i n h a b i t e d by t h e

Chinese, to e x e r c i s e c o n t r o l over t h e m i l i t a r y affairs of

the K h itan t r i b e s . M o r e o v e r , had t h e s e o f f i c e s b e e n of

such im p o rta n c e , t h e y w ou ld n o t h a v e b e e n r e l e g a t e d t o a

p l a c e e v e n below t h a t of t h e counties..

As q u o te d , above., t h e L i a o H i s t o r y s t a t e s t h a t i f t h e r e

w e r e an y m i l i t a r y o p e r a t i o n s , "th e C ontrol O ffices of

t h e ordo, t h e t 1i - h s i a - s s u , issu e d o rd e rs f o r th e assem bling

of tr o o p s " ( p . 117). I b i s r e f e r s o n l y t o t h e t r o o p s dra w n

 122

f r o m t h e o rd o r e t a i n e r s i n t h o s e cities- She c o m p i l e r s

of th e H is to r y a re h ere d e s c r ib in g o n l y one of t h e a s p e c t s

of t h e o rd o arm y s y s t e m m erely c o n c e rn in g them selv es

w i t h t h e c a p i t a l s w ith w hich, as l i t e r a t i , th e y were

more f a m i l i a r . T h is o v e r - s i m p l i f i e d , a c c o u n t of t h e

m o b iliz a tio n procedure o f t h e ordo can by no means be

u s e d a s a b a s i s f o r a d i s c u s s i o n o f t h e w h o le o rd o army

s y s t e m . U )'
.

Among t h e t r i b a l u n i t s , t h e s h i h - l i - e h was t h e most

im p o rtan t su b d iv isio n under the t r i b e . U s u a lly each t r i b e

c o n t r o l l e d two s h i h - l l e h — a l t h o u g h o c c a s i o n a l l y th ree,

four, o r e v e n m ore a r e r e c o r d e d u n d e r one t r i b e . I t is

n o t e a s y t o s a y how many p e o p l e fo rm e d a s h i h - l i e h . We

know t h a t , h o w e v e r, when t h e J - l a t r i b e was d i v i d e d i n t o

two p a r t s b e c a u s e o f i t s ex p ansion, its fiv e sh ih -lie h

fo rm e d t h e new Dive D i v i s i o n s I ' r i b e an d i t s s i x chap

fo rm e d t h e S i x D i v i s i o n s T r i b e . The t e r m chao i s a p p a r e n t l y

a n o t h e r u n i t o f a s i z e s i m i l a r t o t h a t cf t h e s h i h - l i e h ■
(2)
The g l o s s a r y a t t a c h e d , t o t h e H i s t o r y ' ' d e f i n e s chao a s

^ "bV. W i t t f o g e l , op. c i t . , p .5 1 4 -

l i a o S hih, c h . 116, 21 b .
 123

" h u n d r e d 11 . We. c a n n o t t e l l d e f i n i t e l y how much l i g h t

t h i s t h r o w s on o u r prob lem *

Ihe m o~li ( m l - l i) w a s a s m a l l e r u n i t t h a t th e s h i h - l i e h .

I n s t a t i n g t h e o r i g i n o f A paoki, the L iao H i s t o r y r e c o r d s

t h a t he was b o r n " i n t h e m i - 1 1 c a l l e d Y e h - I i i of t h e s h i h -

L i eh, o r h s i a n g , c a l l e d H s . i a - l a i - i o f t h e I - - l a i r i b e *" ( 1 );

I n t h i s p a ssa g e th e co m p ilers equated t h e K h ita n term

sh_ih ° ~ lie h w i t h t h e C h i n e s e te rm h s l a ng , w h i c h means v i l l a g e .

From t h i s we may i h f e r t h a t m i - l i i s e q u iv a le n t t o t s ' un,

"h am let"* In ano th er passage, how ever? s h i h - l ie h i s

e x p l a i n e d as b e i n g e q u a l t o h s i e n , county*.

W a - l i was t h e t e r m a p p l i e d t o t h e s p e c i a l u n i t s in

vtfhich w ere p l a c e d t h e f a m i l i e s of members o f t h e L i a o

ro y a l house, of r e l a t i v e s of t h e r o y a l c o n s o r t s , and of

high o f f i c i a l s , who hod c o m m i tt e d c r i m e s and had b e e n

enslaved* a n d c h a - s a w ere two o t h e r d i f f e r e n t t r i b a l

u n i t s th e s i z e and n a tu re of w hich a r e unknown.

From t h e d a t a g i v e n by t h e L i a o H i s t o r y , we c a n p r e p a r e

a tab le o f t h e ordo.. t h r o u g h o u t t h e w h ole d y n a s t y .

^ L i e o S h i h , ch „1 , l a .
 |X p— "v,
H
H
Hi
—
p.
H
O
HI
PI
O 0Hj ro£H HpH£PI oH rapp |
O
H
p
p-
^
CD p
0.3 ^
CO CD> O
H £J g
O £
- H
^
CO £ '
o
co £ '
VJ1 |
CQ
CO £*■ CO
IV)
Hi
-
01
CD
H| H
jo .
v n £ t-ci
)3 CO
P>
S-3
-
j.M
hi
CD
p,
*d
£
K3 O CD CJl 1 OH H h-1 pl £ Oi £
OV I-1-
CO £ 1—1 c-l-
h

1OTI)
O CD> Id -VI £■ -VI p- CoQtj Id OV H' (fa CD
o cn
O
c rb
pi
1
DO
id
1
d- H
1
£
c-b
fD
c n c-i
ct5> ^0 \ O1
H Hi o
CD
1 (fa
H 1
O trl-
CD £ CD
• ^ ( f a ro
1 03
1 (fa
co i
DO c l
1 E2
ov £
CO £
1 I
cn h -
1
-P-
OV
1
C-I-
01
I
c-b
- C
O
(D
ro
I
IO
I
C-1-
id
i-p
£
m
p, ■*L O 03
cn IQ H id vn ro CD> Co CO <r[- P - - '( f a £ ^ £ p . -O'i *2
£ CD Pi
—* o O Cfa s—' £ hi H £ H* £ CD £ £
O £ P P- p i
OtJ (fa £
£
(fa
(fa (fa id

O |P ' o fj=» O ~-£i, o P -1 g O H O O tel O M o o O H3 o H O N O Hi 03

hi
p j
I
(~ j
hi 1
P i 03
hi O
£■ 1
£* hi £ hj
P I
CDT £ J
-
id £ ;
p |
id £
p |
hi £J
p p-
Id O Id CD
p , |y
Id P
P o
id -
P -£ d (
£
m
O£ o l«
£C
o <rl
£ (fa
' H-
£ a1:3 roH
£
o hd p -
CD> 1 £
o ^
ffi>
O CD
£
PH I
o H
l-|'
O t O I
pi
O TO
£
£
*cj
PI
cd o £ CQ
£
H
H5 .1 I
hd
£
k
I
£ i O
id I
£ CD H- pi pH CD
CD> O pi CD o 03
£ Hb Id £
O
M£i-<j PI'd K3-
P W K
£ CD
h£o£H3 piW p:
ro
Dcj o
so p
H O
pi £T
hi K HI
SO
Q
£'
W kj 0 W K
Hj

H £ H pi
p m
H
£ I
|d H
Pi
£
I
H H
P-i £ tn
PI £t
H P)
Pi CD
H
D £( H
pi
H
I
Pi £
l-o ]d
SB Oil
.
d
P Cfa !U
£J
-
pi £
j—1 Id
pi Ufa
O
id
Pi pj
o o o g o (fa O £ O Ufa o o o p O I O id o I o DO
CD p ' CD p ro I CD (fa 01 I CD £ CD £* CD £ CD (fa CD H* .4^
1 g ro 1
H crb H- P H'
CD> CD)1 £ P
£ £ (fa (fa
(fa

ted
Ui c- (D
E
CO o o |_j -p. -P IV) -p -P £CD Hj
CD
xa o ra
* <H” CD
I pi
CD
Id
c+
pi
Id
p
o o O O o o H rc o H
pi
0

H-
1
o o fd
Hj O
Hj £
p . c !.
H Co -1=-' -P o £
CD O
CD H

K>
Co M DO (V) Co ro H DO
H

cT
rV) oo 03 O OV —0 —3 -P 00 •P 03 •d
•p> p.
o'
P3
I- 4
CD
CO 03 “VI o ho CO Pi
o\ CO
ipa
, p

H*
id
ro

H
CO ho

03
|_J
oo
«#
o o O £*
o o o o
o o |d £
ci- cn
•d CD
P H Oid*
Oj c-|-
H O
pj hi 03 pj pj
ro o J Id CD P j
‘r UH -0 9P03CH
D
j P OQ

o o o o id
o o o 1^ Id
o o o H- CD
£ Pi

pj »idp |fo
o o hi
ov *4 CD
H- CD
o
o
o
o
Pig
CD CD
o o P £
 125

T herefore, a t th e end o f th e l i a o d yn asty, th e v a rio u s

ordo j o in t ly h e ld under t h e ir co n tro l

(A) 38 p r e fe c tu r e s , 10 counties, and 41 c o n tr o l o f f ic e s ;

(B) 23 S h ih - lie h , 74 w a - l i , 9 8 , m o - li, 2 t S - l i
and 1 9 ch a -a a .

which to g e th e r had 81,000 regu lar K hitan h ou seh old s and

12.4,000 barbarian (probably Pohai) and Chinese households

C1}
and p rovided 101,000 horsemen* The l i a o H is to r y 's

statem en t t h a t th e ordo provided one hundred thousand

horsemen ( p .117) r e fe r s th e r e fo r e on ly to th e c lo s in g

yearn o f th e dynasty*

Gut o f a t o t a l o f 1 5 6 p r e fe c tu r e s and 209 co u n ties ^^

(3 )
and 5 2 t r ib e s ' ' w ith in th e boundaries, o f th e l i a o s t a t e ,

th e ordo a c t u a lly co n tro lled , from a f i f t h to a j s ix t h of

th e sed en tary p o p u la tio n o f the s t a t e and about a quarter

o f th e t r i b a l * T h e Superintendant o f th e ordo (H aing-

ktrng to -p u shu) was under the c o n tro l o f th e Northern

^ ^These estim ated f ig u r e s s l i g h t l y d i f f e r from th e data

p rovided by th e l i a o H istory which g iv es, th e number o f th e
r e g u la r h ouseholds a s 8 0 ,0 0 0 , o f th e barbarian and Chinese
tr a n s fe r r e d h ou seh old s as 1 2 3 ,0 0 0 and o f th e horsemen as
100,000*
^ l i a o S h ih , c h .37, 2 a .
^^ l i a o S h ih , c h .33, 1 ff*
^ T e n t a t i v e l y w.e estim a te th e p o p u la tio n under th e 40
C ontrol O ffic e s as eq u iv a len t to th a t o f 10 p r e fe c tu r e s ,
and th a t of th e 23 s h i h - l i e h and o th er t r i b a l u n its as
eq u iv a len t to 15 t r i b e s .
 126

C h a n c e lle r y . 1 She ordo, a lth o u g h th e y w ere th e

thus
p r i v a t e p r o p e r ty o f th e L iao r u l e r s , w a r e /h o t a l t o g e t h e r

in d ep en d en t o f th e g o v ern m en ta l a d m in is t r a t io n , n e v e r t h e le s s

by s e p a r a t in g su ch a h ig h p r o p o r tio n o f p o p u la t io n from

th e r e g u la r a d m in is t r a t io n , and p u t t in g i t u n d er more

p e r s o n a l c o n t r o l, t h e l i a o r u le r s f e l t th e m s e lv e s i n a

more s e c u r e p o s it io n in th e ir s t a t e .

* * * . *

A lth o u g h th e ordo guards w ere th e p r i v a t e army o f t h e

l i a o r u l e r s , th e y fo u g h t a lo n g s id e t h e o th e r army u n it s

o f th e s t a t e . In 994 t h e tr o o p s o f t h e Y u n g -h a in g P a la c e

( i . e . th e ordo o f {£* a i- t a u n g ) and th e Eu-kuo and o th e r

t r i b e s o f t h e N o r th -w e ste r n R oute w ere d is p a tc h e d " to

(X)
p a c i f y th e w e s t e r n f r o n t ie r s ' ^ In 1015 th e v a r io u s

ordo and th e Supreme and th e C e n tr a l c a p i t a l s w ere ord ered

t o s e l e c t 55,GOO s o l d i e r s t o p r e p a r e f o r t h e cam paign

a g a in s t K o rea ^ ^ . I n 1 0 8 3 , in th e war a g a in s t t h e

M o-ku-sau (M o n g o ls), i n w h ich t h e l i a o army was d e f e a t e d ,

"m ost o f th e s o l d i e r s o f t h e two S h ih -w e i t r i b e s , th e

"N orth ern King" th e le -m e n , th e H o r s e -r e a r in g U n it s and

'*■ (3 )
o f th e Ordo w ere ca p tu r e d by t h e en em y."v 1

E ven th e 4 ,0 0 0 K h itan s o l d i e r s who guarded th e im p e r ia l

s e a s o n a l n a -p o w ere n o t e n t i r e l y drawn from t h e ordo g u a rd s.

(^ ) L iaQ S h ih , oh . 1 3 , 5 a . ( 2 ) l i a o S h ih , oh . 1 5 , 9 h .
(3 ) l i a o -£ h lh , c h . 2 5 , 5a*
 127

The t r i b e s o f t h e N o r t h e r n and S o u t h e r n K i n g s p r o v i d e d

a n o th e r source . Yu C h in g s a y s ? ,,rfhe. t r o o p s , w h i c h a c c o m p a n i e d

the b a rb a ria n ( i . e . t h e l i a o Em peror) w ere c o n t r o l l e d

by t h e S u p e r i n t e n d e n t o f t h e ord o who was a p p o i n t e d fro m

among t h e m o s t i n t i m a t e members, o f t h e r o y a l f a m i l y ,

f h e s o l d i e r s w e r e draw n fro m t h e s u b j e c t s o f t h e t r i b e s

o f t h e N o r t h e r n a n d the. S o u t h e r n Kings, an d t h o s e o f t h e

t e n P a l a c e s ( QrdOi ) ."

A ll t h i s su g g ests th a t the lia o ru le r s regarded th e

ordo t r o o p s a s a p r i v a t e hrmjyej d e v e l o p i n g n a t u r a l l y out

o f t h e i r r e g u l a r t r i b a l system , r a t h e r th a n as a shock

b a t t l e u n i t as has been su g g e ste d .

Ih e ordo, t h e camp, i t s e l f , was e s t a b l i s h e d d u r i n g

th e lif e tim e of th e lia o r u l e r in a d e fin ite , p la c e . It

was f o r t h i s reason th a t t h e c o m p ile rs , o f the.. H i a t o r y

d e s i g n a t e i t a s t h e kung ( p a l a c e ) i n d i s t i n c t i o n f r o m

h a i n g - y i n g ( t r a v e l l i n g camp - - t h e n a - p o ) w h ic h c o n s t a n t l y

changed i t s l o c a t i o n . A f t e r the. d e a t h o f t h e r u l e r on

whose a c c o u n t t h e o rd o was e s t a b l i s h e d , i t was. r e - e r e c t e d

n e a r h i s m au so leu m . f h i a seems t o h a v e b e e n t h e f o r e r u n n e r

of t h e Mongol o rdo w h i c h was p r e s e r v e d i n t a c t a f t e r t h e

d e a t h o f t h e Mongol Khan. ..............-,

 128

'The L i a o H i s t o r y g i v e s no d e s c r i p t i o n o f t h e s t r u c t u r e

o f th e ordo. We r e p r o d u c e h e r e a m e d i e v a l P e r s i a n

p a i n t i n g o f t h e i n t e r i o r of a Mongol o rd o ( f i g . 4) and a

p h o t o g r a p h o f a m o dern Mongol t e n t , ( f i g . 5)*

F ig. 4.

C h in g h is i n one of h i s o r i o .
A P e r s i a n p a i n t i n g ( i n th e
B ib lio th eg u e R a tio n a le )
128 a

F ig - 5.
(A)

Mongol t e n t i n c o u r s e o f
cons t r u e t i on

c o m pleted t e n t .
(From L . F o r b a t h :
i\rew M on go lia)
 129

III. EEKING — THE LINK BETWEEN THE CHINESE AND

\

THE H0H-0H1HESB WORLDS .

(1) The p a r t p l a y e d by P e k i n g i n C h i n e s e h i s t o r y .

( 2) The. s t r a t e g i c v a l u e o f t h e n a t u r a l b a r r i e r t o t h e
n o r t h of P e k i n g a n d i t s . l o s s by C h i n a .

(3) P eking a f t e r i t s ce ssio n to th e K hitan.

(4) "Prom T r i b e s t o E m p ire s " I.

The p o s t - L i a o S h u -m i-Y u an s y s t e m s a n d t h e
p o s t - L i a o Dual A d m i n i s t r a t i o n .

(5) "Prom T r i b e s t o E m p ire s " II.

The c o n t r i b u t i o n s made, by C h i n e s e i n t e l l e c t u a l s
t o w a r d s t h e f o u n d a t i o n o f d y n a s t i e s i n C h in a
by t h e nom ads.
 S *
I

; ‘*.v

*>■
* ’y v _>•■■•«•’t
.i.
tX iK * \fc V^**!;.

©
 130

(I) The P a r t p l a y e d by P e k i n g i n C h i n e s e h i s t o r y .

Among t h e c i t i e s , w h i c h h a v e serv e d, a s c a p i t a l s o f

C h in a , 0h!ang-an (S ia n ), Loyang and P e k i n g a r e t h e m o st

im p o rtan t. Ch’- a n g - a n was t h e c a p i t a l of th e f i r s t h a l f

o f t h e Chou ( 1 1 2 2 - 7 7 1 B . C . ) , Oh’ i n ( 2 5 6 - 2 0 7 B . Q . ) ,

t h e l o r m e r Han ( 2 0 6 B . C . - 2 4 A..D. ) , th e S u i (581-618)

and t h e f ’ an g ( 6 1 8 - 9 0 7 ) - l o y a n g was t h e c a p i t a l of th e

s e c o n d h a l f o f t h e Chou ( B . C . 7 7 0 - 2 5 6 ) , t h e l a t e r Han

(A .I).25-220) , th e W e s t e r n C h in ( 2,65-316) a n d t h e L a t e r

f ’ang (923-9 36 ). P e k i n g was t h e c a p i t a l o f t h e l u r c h e r -

C.hin — e x c e p t d u r i n g i t s b e g i n n i n g a n d c l o s i n g y e a r s ,

- - 115 3 - 1 2 1 4 , t h e M ongol-Yuan ( 1 2 6 4 - 1 3 6 8 ) , t h e Ming

( e x c e p t d u r i n g i t s . e a r l y y e a r s ) 1 4 2 1 - 1 6 4 4 a n d t h e Manchu-

Oh*ing ( 1 6 4 4 - 1 9 1 1 ) * There were o t h e r c a p i t a l s of m inor

i m p o r t a n c e s u c h as. H a n k in g , P i e n - l i a n g ( K f a i - f & n g ) and

Hangchow., H a n k in g was. t h e c a p i t a l o f t h a Wu o f t h e T h r e e

k ing do m s ( 2 2 2 - 2 8 0 ) , t h e E a s t e r n C h in ( 3 1 7 - 4 2 0 ) , th e four

S outhern D y n a stie s (420-589), t h e e a r l y years, o f t h e

Ming ( 1 3 6 8 - 1 4 2 0 ) o K’ a i - f e n g was t h e c a p i t a l of fo u r

o f t h e E i v e D y n a s t i e s ( l a t e r L i a n g , 9 0 7 - 2 3, L a t e r C h in ,

9 3 6 - 4 6 , L a t e r Han, 9 4 7 - 5 0 , L a t e r Chou, 9 5 1 - 5 9 ) ? ‘^he

n o r t h e r n Sung ( 9 6 0 - 1 1 2 6 ) and t h e c lo s in g y e a rs of th e
 131

J u r c h e n - G h i n ( 1 2 1 4 - 1 2 34-,)° Hangchow was t h e c a p i t a l o f

t h e S o u t h e r n Sung (112*7-1279)- We may p a s s o v e r s e v e r a l

o ther c a p ita ls of even l e s s s i g n i f i c a n c e .

G e o g r a p h i c a l l y t h e s e c a p i t a l s f a l l i n t o two groups,?

th o s e i n th e north? i n t h e Y e llo w R i v e r p l a i n ? and t h o s e

i n t h e s o u t h i n t h e Yangtze. R i v e r v a l l e y * I'o t h e f o r m e r

g r o u p b e l o n g Clu a n g - a n , L o -y a n g , IV a i - f § n g an d P e lc in g .

I’o t h e l a t t e r ? b e l o n g R a n k i n g and Hangchou* It is strik in g

t h a t when t h e c a p i t a l was i n t h e n o r t h ? t h e e m p ire was

n e a r l y alw ays u n ite d ? b u t w h i l e i t was. .In t h e ’ s o u t h ? th e

e m p i r e was. n e a r l y a l w a y s d i v i d e d * L i a n g Oh1i - c h 1ao h a s

c a l c u l a t e d t h e number o f y e a r s d u r i n g w h i c h e a c h of t h e s e

cities serv e d as c a p i t a l * A ccording to h i s c a lc u la ti o n ?

C-h1a n g - a n h a d 9 70 years., l o - y a n g 843 y e a r s ? K1a i - f eng

205 y e a r s ? P e k i n g 718 y e a r s an d 1 sinking 366 y e a r s . L i a n g

has. f u r t h e r a d d e d : " I h e p e r i o d d u r i n g w h i c h t h e c a p i t a l

r e m a i n e d i n t h e n o r t h w h i l e no o t h e r c a p i t a l e x i s t e d i n

t h e s o u t h a m o u n ts t o n e a r l y 2000 y e a r s . Hie p e r i o d d u r i n g

w h ic h t h e c a p i t a l rem ained i n th e s o u t h w h ile no o th e r

i - c h ! ao : On t h e P o l i t i c a l G eo grap hy
w h i c h s e r v e s , as. a n a p p e n d i x t o h i s B i o g r a p h y
 (It
c a p i t a l e x i s t e d i n t h e n o r t h amounts m e r e l y t o 35 y e a r s ’1 7

(i.e. t h e e a r l y y e a r s o f t h e M ing,) ( S e e P l a n ? Map and

D iag ram 1 . I n t h a t D ia g ra m I omit t e d t h e Chou p e r i o d

and s t a r t e d f r o m t h e u n i f i e d Oh1i n . ih e t o t a l y ea rs of

Ch1a n g - a n ? L o -y a n g a nd P e k i n g a r e 619 ? 333 a n d 718

r e s p e c t i v e l y .)

(-0 L i a n g Oh1i - c h 1a 0 h a s f a i l e d t o t a k e i n t o co n sid eratio n

th e e a r l y p a r t o f t h e r e i g n o f Y ung-10 .
 133

P lan .
Year D ynasty Cap i t s i

L122- 771 B.O . Ghoa (W.) Oh 1 ang ~ an ( S i

7 7 0 - 2 5 6 B.C. Chou ( S . ) lo-y an g
2 5 6 - 207 B.C. Oh 1 i n Oh 1 a n g - a n
20 6 B . C. - 2 4 A..D. Han ( F o r m e r ) Oh ang-^an
25- 220 Han ( l a t e r ) lo-yang
220 - 2 8 0 H iree. Kingdoms
2 2 0 - 2 65 Wei L o -y a n g
221-263 Shu Ch*£ng-tu
2 2 2 -2 8 0 Wu Banking
2 65-316 O h in (W.) lo -y an g
317-420 Chin ( S . ) B anking
42 0 -5 8 9 Ih e S outhern &
K o rth e rn D ynasties.
( a ) H ie S o u t h e r n D y n a s t i e s
42 0 -4 7 9 Sung hanking
4 7 9 -5 0 2 Oh* i h ank in g'
5 02 -5 57 L ian g hanking
. 557-589 Ch* &i hanking
( h ) l i ie n o r t h e r n D y n a s t i e s
386-493 H o - p a Wei l a - t ’u n g
49 4-53 4 I11 o - p a Wei lo-yang
5 3 4 -5 5 0 E a s t e r n Wei Yeh
550-577 h o r t h e r n Oh1i Yeh
5 3 5 -5 5 7 W e s t e r n Wei Chf a n g - a n
55 7-581 n o r t h e r n Chou Ch 1 a n g - a n
5 8 1 - 618 Sui Ch 1 a n g - a n
618- 907 1 ’ang Ch 1 a n g - a n
9 0 7 - 959 P ive D y n asties
907-923 l a t e r Liang K* a i - f 6 ng
923-936 L ater H ang lo-yang
g 3 6 -9 4 6 l a t e r C hin K1a i - f t n g
9 4 7 -9 5 0 L a t e r Han K* a i - f &ig
9 5 1 -9 5 9 l a tax'* Chou K’ a i - f § n g
9 6 0 -1 1 2 6 Sung ( I . ) K’ a i - f £ n g
9 0 7 -1 1 2 5 K hitan-L iao Ling-~h.ua ng
1 1 2 7 -1 2 7 9 Sung ( S . ) Hangchou
1 1 1 5 -1 1 5 3 Jurchen-C hin H ui-ning
( A - c h 1 §ng)
1 1 5 3 -1 2 1 4 J u r ehen-C hin P eking
1 2 1 5 -1 2 3 4 J u r c h a n - Ohin K* a i - f § n g
1 2 0 6 -1 1 6 0 M ongol-Yuan K arak o ru m
( E rdenidsu)
( C o n t d .)
 134 -

P lan (C o n tc L )
Year D ynasty C apital

12 64-1368 Mongo1-Yuan Peking

1 3 6 8 -1 4 2 0 Ming Banking
1421-1644 Ming P eking
1616-1644 Manchu-C.il1i n g Mukden
,1644-1911 Manchu-Ch' i n g Pekirg
 I3*

CH'IN

* 2 6 A.D.

LATER HAN

SH U -H A N cC M gN G T ujV l

E.CHIN
I I ■ • ■ ' t I I

T77 - ' c UNGi

X T'O -PA WEI
u An'G
N. CHOU

TANG

FI VE

LIAO
HSI ( h u a n g )
HSIA
NG•A
feHOLlJ
M 27
(HUI-NING) NVX \ ' \ N^NV
\W vV v"v\ V v \
/ / / / / ' /. U"' vov. \ vc \
CHIN JNvvVn^n' vvv s.
\ nnxn S U NvvG. vsvvn' v vVvg
' vn\\\\''v
nn
12 3 4 (K A R A K O R U M ) s \ \\N vNXWX'^V
1279
"TTTTZ '

YUAN
I I I I I I i i I | I i I I i I i i I I I I I
/////////'
I I I I I I I I I i I i I I I i I I I I i I I I I i I I | | l ( I I I 2
1368
I I I I I I I I I I I I I l l l l l l I I I I I I I I I I I I I I I I I I I I I I I M I I I I I I I I I I I I I I ,

M ING

616
1644

1911
CHAN&-AN LO-YANG PEKING J KAI-F^NG
(SIAN)
i ii i i i •\XNIVM
N \ X\
TA-T'UNG i ii i i i NANKING HANG-CHOU OTHER CITIES
i ii i i i
 135.

Among t h e n o r t h e r n c a p i t a l s ? Ch* a n g - a n a n d l o - y a n g may

be r e g a r d e d a s one s u b - d i v i s i o n ( i n w h i c h may be i n c l u d e d

K1s i - f ^ x i g ) a n d P e k i n g a s a n o t h e r * Up t o t h e b e g i n n i n g

of th e 1 2 th century? t h e c a .p ita .ls of u n i f i e d China were

a l m o s t c o n f in e d , t o c i t i e s of t h e Oh* a n g - a n - l o - y a n g

d i v i s i o n — w i t h Oh1a n g - a n r e p r e s e n t i n g p e r i o d s o f power

an d g l o r y and L o -y a n g r e p r e s e n t i n g p e r i o d s o f d e c a d e n c e *

A l t h o u g h P e k i n g had b e e n a n i m p o r t a n t f r o n t i e r c i t y ? it

was n o t u n t i l t h e se.cond h a l f o f t h e 1 3 t h c e n t u r y t h a t i t

a c t u a l l y t o o k t h e p l a c e f o r m e r l y h e l d by Ch’ a n g - a n * ( 1 )1

I t h a s b e e n g e n e r a l l y h e l d by t h e C h i n e s e t h a t P e k i n g

was a k e y p o i n t fr o m w h i c h C hina d o m i n a t e d t h e b a r b a r i a n s

n o r t h o f t h e G r e a t Wall* I t is tru e that? h isto rically ?

P e k i n g was a n i m p o r t a n t p l a c e commanding t h e ‘ g a r r i s o n s

a g a i n s t t h e n o r t h e r n nomads, and i t s e r v e d a s t h e c a p i t a l

o f t h e Ming d y n a s t y —~ f r o m i t s t h i r d e m p e r o r Y u n g - l o

^ The g e o g r a p h i c a l p o s i t i o n s o f Oh1'a n g - a n and l o - y a n g

a s w e l l ass t h e s i g n i f i c a n c e o f t h e s h i f t e a s t w a r d s o f
t h e s e a t o f t h e p o l i t i c a l p o w er o f China, h a v e b e e n d e a l t
w i t h by P r o f * Toynbee i n h i s d i s c u s s i o n of t h e '‘M arches
a n d I n t e r i o r " a s one o f t h e a s p e c t s o f t h e s t i m u l u s to
p r e s s u r e w ith w hich he p ro v e s h i s p r i n c i p l e of c h a l l e n g e -
a n d - r esp o u se;. (Of* A* J* T oynbee, A. S t u d y o f H i s t o r y ,
V o l.II, p . 118-20).
 136

onwards.. Y ung-1 o was. one o f t h e s o n s o f t h e f o u n d e r o f

t h e Ming d y n a s t y and was o r i g i n a l l y t h e P r i n c e e n f i e f e d

a t Yen, or P e k in g . As t h e s e c o n d Ming e m p e r o r t r i e d t o

re d u c e .the power o f t h e p r i n c e s i n th e v a r i o u s p a r t s of

t h e e m p i r e , Y ung-1o r e b e l l e d . He d e f e a t e d t h e i m p e r i a l

army and made h i m s e l f t h e t h i r d Ming e m p e r o r ( 1 4 0 3 - 1 4 2 5 ) •

He f i r s t r u l e d i n H an k in g a s h i s two p r e d e c e s s o r s h ad

done. A f t e r w a r d s he moved, t o P e k i n g ( 1 4 2 1 ) . B efore h is

re m o v a l, h e o r d e r e d ( 1 4 1 6 ) h i s o f f i c i a l s t o ' d i s c u s s "the

m atter. T h e i r r e p o r t , shows t h e o p i n i o n a b o u t P e k i r g a t

t h a t tim e *

" P e k i n g i s t h e p l a c e f r o m w hich Your M a j e s t y a r o s e .

To t h e n o r t h i t l i e s ., a g a i n s t t h e Ohu-yung Kuan P a s s

? "k° w e s t f a c e s t h e 1 1a i - h a n g M o u n t a i n

Range ;i n t h e e a s t c o n n e c ts w i t h t h e S h a n -

h a i Kuan ^fyp ; and i n t h e s o u t h o v e r l o o k s t h e

C en tral P la in . (A ro u n d it) s t r e t c h a thousand l i

of f e r t i l e l a n d . The s t r a t e g i c p o s i t i o n s t h a t are

o f f e r e d by t h e s u r r o u n d i n g m o u n t a i n s a n d r i v e r s enable

i t t o d o m i n a t e t h e b a r b a r i a n s on M l s i d e s an d c o n t r o l

t h e w h o le E m p i r e . I t is: a n i d e a l ca p ital city fo r

e m p e r o rs t h r o u g h o u t a l l a g e s . ’*( 1 )

h t h ' §n Ho •- Ming C hi , O h . 9, 21a.

 137

The d o m i n a t i o n of t h e b a r b a r i a n s was c e r t a i n l y a n i m p o r t a n t

f a c t o r a c c o u n t i n g f o r t h e re m o v a l* In fa c t, b e f o r e he

moved t o P e k i n g , Y ung-1o had o f t e n r e s i d e d t h e r e and

c a r r i e d out two i m p o r t a n t e x p e d i t i o n s a g a i n s t t h e Mongol

t r i b e s (1409? 1414)» A f t e r t h e rem oval, t h r e e tim es

a g a i n ( i n 1 4 2 2 , 1423. and 1424) he l e d h i s army deep i n t o

th e D esert* He r e a c h e d a s f a r n o r t h a s t h e Qnon E i v e r

and t h e H u - l u n L a k e .

, n e v e r t h e l e s s , p r i o r t o t h e Ming, P e k i n g h a d s e r v e d

a s one o f t h e f i v e c a p i t a l s o f t h e Liao , a n d a s t h e c h i e f

cap ital o f b o t h t h e Ohin a n d t h e Yuan* A f t e r t h e Ming,

i t was a grain c h o s e n as- c a p i t a l by t h e Oh1i n g . A ll th ese

w e re d y n a s t i e s f o u n d e d by n o n - C h i n e s e . Yiew.ing fro m

o u t s i d e t h e Or e a t W a l l , t h e n o n - C h i n e s e p e o p l e s , a l s o fo un d

P e k i n g an i d e a l p l a c e t o c o n t r o l China* We s t i l l remember

t h e o c c a s i o n on w h i c h P a - t u - l u , whose f a t h e r M u - h u a - l i

commanded t h e Mongol army t o c o n g a e r C h in a and who h i m s e l f

t o o k p a r t i n a number o f cam paigns a g a i n s t C h in a , s u g g e s t e d

t o K h u b i l a i t h a t he s h o u l d choo.se P e k i n g a s h i s cap itals

11The. r e g i o n a b o u t P e k i n g i s s o m e t h i n g l i k e a. ' c o i l e d

dragon' o r a 1s q u a t t i n g t i g e r ' s I t i s so s t r a t e g i c a l l y

s i t u a t e d t h a t t o t h e a o u t h i t d o m i n a t e s t h e K iang
 138

( Y a n g t z e ) and t h e H u a i ( R i v e r ) and t o t h e n o r t h i t

o f f e r s easy a c c e ss to th e N o rth ern D e s e rt. M oreover,

t h e em p e ro r s h o u l d r e s i d e i n a c e n t r a l p l a c e t o

r e c e i v e t h e homage of h i s v a s s a l s fro m e v e r y corner

of t h e E m pire. I f Your H i g h n e s s r e a l l y w i s h e s to

e x e r c i s e c o n t r o l o f th e w hole em pire, I can t h i n k ;

o f no. c i t y w hich i t w o u ld he more s u i t a b l e f o r you

t o l i v e i n t h a n P e k i n g( 1. )'

P h i s s u g g e s t i o n was made w h i l e K h u b i l a i was s t i l l a

p rin ce, b u t h a d b e e n e n t r u s t e d by Mangu Khan w i t h t h e

a d m i n i s t r a t i o n of t h e R e g io n s s o u t h o f t h e D e s e r t , ch iefly

China.. O b v i o u s l y P e k i n g was a n e q u a l l y co nv enien t p o in t

f o r th e non-C hinese to r u l e th e C h in ese. I do n o t know

w h e t h e r t h o s e who h a v e h e l d t h e o p i n i o n t h a t P e k i n g was

th e key f o r d o m in a tin g t h e b a r b a r i a n s h ave o m itte d to

t a k e i n t o a c c o u n t the p e r i o d s d u r i n g # i i c h P e k i n g s e r v e d

th o s e non-C hinese d y n asties., o r w h eth e r th e y have counted

th e non-C hinese d y n a s t i e s , in th is co n n e ctio n , as C hinese.

I n r e c e n t y e a r s a. few m o d ern C h i n e s e h i s t o r i a n s h a v e

b e g u n to r e a l i z e t h a t i n s t e a d of b e i n g t h e c a p i t a l w h ich

^ Yuan S h i h , c h .119 ? 8 a •
 139

d o m i n a t e d t h e b o r b a r i a n s , P e k i n g was t h e c i t y through

w h ic h t h e b a r b a r i a n s c o n t r o l l e d t h e C h i n e s e . N evertheless,

t h e t r a d i t i o n a l m isc o n c e p tio n i s s t i l l w idely h e ld i n

C hina»

F o r w e s t e r n s c h o l a r s , h o w e v e r, who h a v e t h e a d v a n t a g e

of n o t b e i n g i n f l u e n c e d by t h e t r a d i t i o n a l C h i n e s e p o i n t

o f v iew , t h e s i t u a t i o n h a s b e e n e a s i e r t o a p p r e c i a t e .

P rof. Toynbee h a s r i g h t l y commented:

"When t h e K i n ( C h i n ) had c o n q u e r e d N o r t h e r n C h i n a , t h e y ,

h ad e s t a b l i s h e d t h e i r c a p i t a l on t h e s i t e , o f th e m od ern

P e k i n g on t h e b o r d e r l i n e b e t w e e n t h e b a r b a r i a n p o r t i o n

o f t h e i r d o m in io n s t o t h e n o r t h of t h e G r e a t W a ll and

t h e C h in ese p o r t i o n t o t h e south o f i t . The same s i t e

commended i t s e l f , f o r t h e same g e o g r a p h i c a l r e a s o n , to

Q u b ilay ( K h u b i l a i ) ; and i n h i s r e i g n P e k i n g became t h e

c a p i t a l n o t m e r e l y o f a, r e - u n i t e d C h i n a , b u t o f a u n i v e r s a l

s t a t e w hich extended from t h e P a c i f i c c o a s ts of A sia r i g h t

a c r o s s , t h e c o n t i n e n t a s f a r a s t h e P e r s i a n G u l f and th e

E u p h r a t e s and t h e C a r p a t h i a n s a n d t h e B a l t i c and t h u s
( 1)
em braced t h e w h o le c i r c u m f e r e n c e o f t h e E u r a s i a n S t e p p e . "

Toynbee, op . e l f ° , V o l . I I , p. 121.
 140

sfa ■ £|s cjs ^

l o one who h& s n o t b e e n t h e r e , it is perhaps d i f f i c u l t

t o i m a g i n e t h e s t r i k i n g c o n t r a s t b e tw e e n t h e " b a r b a r i a n 11

and C hinese p o r t i o n s o f t h e C h i n e s e w o r l d d e f i n e d by

t h e G r e a t W a ll w h i c h l i e s j u s t t o t h e n o r t h of th e c i t y

of P e k i n g * We h a v e p r e v i o u s l y q u o t e d t h e Yuan s c h o l a r s 1

view o f t h e c o n t r a s t b e t w e e n t h e s e two p o r t i o n s o f C hina

(p. 2 ) - H e r e are. t h e r e m a r k s on t h e same s u b j e c t by

a m od ern E u r o p e a n t r a v e l l e r *

"From t h e t o p o f one o f t h e s e t o w e r s ( o n t h e

G r e a t W a l l ) , s t a n d i n g a t a n e l e v a t i o n o f 3400 f e e t

ab o v e t h e l e v e l o f t h e s e a , t h e r e i s a m a g n i f i c e n t

and c h a r a c t e r i s t i c view .......... t o w a r d s t h e n o r t h t h e

eye r a n g e s over a p r a i r i e w i t h l o n g wavy u n d u l a t i o n s ,

the f i r s t of t h e g r a s s - c o v e r e d M o n g o l i a n s t e p p e s * On

t h e f i x e d n c t u r ...1 l i n e o f d e m a r c a t i o n b e t w e e n a

s e t t l e d a g r i c u l t u r a l p e o p l e a n d n o m a d ic t r i b e s , fro m

a re g io n of lim e - s to n e , co al-m easu res and g r a n i t e ,

one of t h e t e r t i a r y and r e c e n t v o l c a n i c d e p o s i t s ?

we w e r e p a s s i n g fro m t h e f e r t i l e ? w ell-w ooded v a lle y s

of n o r th e r n C h ih li? r i c h in corn and f r u i t , to a

11l a n d o f g r a s s 11, t h e s u p p o r t of i n n u m e r a b l e f l o c k s

and h e r d s ? w h ere no t r e e i s v i s i b l e i n a w e e k ’ s
 141
$

journey? and " a r g o l " , t h e dung of c a t t l e ? i s th e only

fuel ,

" T h e r e l a a. c o r r e s p o n d i n g d i f f e r e n c e i n c l i m a t e ,

a n d a c o l d b i t i n g n o r t h - w e s t wind r e m i n d e d u s

f e e l i n g l y of t h e w ide v a r i a t i o n of te m p e r a tu r e a
(1)
few hours.' j o u r n e y had b r o u g h t a b o u t < > J

I n a d d i t i o n to th e c o n t r a s t t h a t i s o f f e r e d by n a t u r e ?

C hinese, s t a t e s m e n c o n t r i b u t e d t o make t h e d i v i s i o n s t i l l

sharper- The b u i l d i n g o f t h e G r e a t W a l l a s a b a r a g a i n s t

t h e n o r t h e r n nomads i s s f a c t t h a t h a s b e e n commonly

known* Modern s c h o l a r s ? however? h a v e r e a l i z e d , t h a t i t

s e r v e d a l s o as a. b o r d e r to l i m i t th e a c t i v i t i e s of the

C hinese- A f t e r h a v i n g made a j o u r n e y a l l a l o n g t h e Wall?

W. fh C e i l a s k s :

"Was t h e W all? t h e n ? sim ply e r e c t e d t o d e f i n e th e

C h i n e s e H o l y Land? s o t h a t a l l w i t h i n i t s h o u l d be

b l o s s o m s o f t h e f l o w e r y Kingdom? w h i l e beyond w e r e

( 1)
B u s h e l 1: A. J o u r riey ou t s i d e of t he Gre a t Wa 11 ? p *15 3 •
The s e c t i o n of t h e W e l l w h ic h B u s h e l l d e s c r i b e s h e r e
i s n o r t h of K a l g a n . I n t h e C h in a n d Yuan d y n a s t i e s ?
w h i l e v i s i t i n g t h e i r summer r e t r e a t s i n C h i n - l i e n
C h ' u a n o r C hangtu? th e C h in and Yuan r u l e r s u s u a l l y
t o o k t h e same r o u t e - A number c£ Yuan w r i t e r s who
f o l l o w e d t h e Yuan e m p e ro rs t o S.hangtu r e c e i v e d t h e
same i m p r e s s i o n s a s B u s h e l l h a d e x p e r i e n c e d . They a l s o
 142 t -a:,

m e r e weeds and t h i s t l e s of the w ild ern ess? I t is

awkward t o h a v e no l i m i t , t o s e e a., g r a d u a l s h a d i n g o f f t

o f to w n i n t o country, o f u s e f u l l a n d i n t o d e s e r ts ,

o f k in g d o m i n t o kin g d o m . P e rh a p s, t h i s W a ll was j u s t

p u t up d £x d c l e a r d e f i n i t i o n w h e r e C h in a ended, as

M a tu re g a v e no h i n t i n t h i s d i r e c t i o n . - . . - Was t h e

W a l l j u s t t o show w h e r e t h e d e s e r t , was. t o he l e f t

b e h i n d , w i t h d e s e r t m a n n e r s , w h i l e c i v i l i z a t i o n was.

to begin?

T h a t i s , v i e w i n g i t fro m t h e n o r t h , look in g a t th e

h in t i t g av e t o t h e b a r b a r i a n s outsid e- But w a lls

h a v e two s i d e s , and t h e W all may be a b o u n d ary t o

re m i n d t h e C h i n e s e o f h i s p r i v i l e g e s , a n d t o p r o m o t e

his p a tr io tis m . ''W i t h i n t h i s r i n g i s y o u r home, t h e ‘'1:

a b o d e of a r t a n d l e a r n i n g s b eyond i s t h e o u t e r d a r k n e s s v;

w i t h w h i c h no s o n o f t h e P I owe r y , Kingdom h a s aught. •• d;

( 1) 1
to d o .' Was t h a t t h e s u g g e s t i o n o f t h e W a ll?" y

A fte r h is keen a n a ly sis o f the n ature of t h e C hinese 1

and. t h e S t e p p e S o c i e t i e s , D r . Owen L a t t i m o r e , re fe rrin g 1

C o n tin u atio n note, on p r e v i o u s p a g e :

n o t i c e d t h e wi-de v a r i a t i o n o f t e m p e r a t u r e t h a t was b r o u g h t ,.w
a b o u t i n a few h o u r s ' j o u r n e y .

( } } W. E. G-eil: The G r e a t W a l l o f C h i n a , p p . 206-7* . u

 143

t o t h e o r i g i n s , o f t h e Wall* concludes; Hf h e G-reat W all

may t h e r e f o r e be d e s c r i b e d a s a n e f f o r t on t h e p a r t o f
( l) an d t o l i m i t t h e p r o p e r
th e s t a t e to f i x t h i s F r o n tie r

field o f Chinese, a c t i v i t y a s w e l l a s t o e x c l u d e t h e
( 2)
p e o p l e s o f t h e s t e p p e • 11

f h u s ? by n a t u r e ? th e p o r t i o n s to th e n o r th and th e

s o u t h o f t h e G-reat W a ll o f C hina a r e d i f f e r e n t , a n d t h i s ,

d i f f e r e n c e h a s b e e n e m p h a s i z e d by a r t i f i c i a l m e a n s »

P e k i n g was. n o t p r e c i s e l y " on t h e b o r d e r l i n e " betw een

these, tw.o p o r t i o n s * I t f e l l w i t h i n t h e t h r e s h o l d o f the.

C h i n e s e domain* The i m p o r t a n c e t o t h e C hinese of h o ld in g

P e k i n g w aa n o t m e r e l y t h e c o n t r o l o f a. s i n g l e c i t y , but

s u c c e s s o r f a i l u r e i n m a i n t a i n i n g th e . t r a d i t i o n a l Chine s e

p o l i c y o f s e p a r a t i n g t h e i r a g r i c u l t u r a l so cje.ty from

t h e n o r t h e r n nomads* I n one s e n s e ? a s th e l o s s by C hina

o f t h e t r a d e p o r t s , was t o m odern i n d u s t r i a l i z e d powers?

By t h i s he means, t h e b o r d e r on the. m a r g i n t e r r a i n
betw een th e t r u e s te p p e and th e t r u e C hin ese en v iro n m en ts,
Hd e t e r m i n e d by a com plex b a la n c e , of c u l t u r a l , economic?
s o c i a l a n d m i l i t a r y f a c t o r s w h ic h C h i n e s e i n d i v i d u a l s
and c o m m u n i ti e s c o u l d n o t c r o s s w i t h o u t p a s s i n g beyond
t h e i n f l u e n c e , of C h in a and becom ing i n f l u e n c e d by the.
3 1eppe.„11 (0* l a t t i m o r e ; I n n e r A s i a n F r o n t i e r s of C h i n a ?
p . 470.)
^^ 0 oLattim ore? o p . c i t .? p .4 7 0 - 7 1 *
 14-4

so was t h e l o s s o f P e k i n g t o t h e n o r t h e r n nom ads.

B e f o r e p r o c e e d i n g t o f u r the. r d i s c u s s i o n s of t h e h i s t o r y

of P ek in g , it i s n e c e s s a r y t o know t h e s t r a t e g i c v a l u e

of t h e b e l t of m o u n t a i n r a n g e s w h ic h r u n s f r o m e a s t t o

w est to the n o r t h o f t h a t city * I t was b e c a u s e cf t h e

e x i s t e n c e of t h i s b a r r i e r t h a t t h e p a r t p l a y e d by P e k i r g

wa a imp o r t a n t .
 145

(II) The s t r a t e g i c v a l u e o f t h e n a t u r a l t e r r i e r t o
t h e n o r t h o f P e k i n g a n d i t s l o s s by C h in a *

P e k i n g i t s e l f s t a n d s , on t h e n o r t h e r n edg e o f t h e g r e a t

N o r t h C h in a P l a i n w h i c h i s s e p a r a t e d , on t h e n o r t h - w e s t

fro m t h e I n n e r M o n g o l i a n P l a t e a u "by the. C h u n - t u

M o u n t a i n R ange, on t h e n o r t h fro m t h e J e h o l m o u n t a i n o u s

r e g i o n by t h e W u -lun g > 1 ! , ^ M o u n t a i n R ange, on t h e n o r t h ­

e a s t a n d t h e e a s t fro m J e h o l and. th e L i a o Rjv er v a l l e y

by t h e Y e n - s h a n M o u n t a i n R ange. I t was. on t h e

r id g e o f t h e s e continuous ra n g e s t h a t t h i s s e c t i o n of

t h e G-reat W a ll was b u i l t . To t h e o u t e r w o r l d b ey o n d t h e

W a l l , P e k i n g w a s a c c e s s i b l e o n ly t h r o u g h a few " p a s s e s ' 1,

kuan % The Chu-yung Kuan P a s s t o the

n o r t h - w e s t ( a b o u t *^0 m i l e s fr o m P e k i n g ) , t h e K u - p e i K1 ou

P a s s -fe. i-Vs. <z. t o t h e n o r t h ( a b o u t 70 m i l e s ) , th e H s i - f 6 n g

K' ou P a s s a ‘to t h e n o r t h - e a s t ( a b o u t 120 m i l e s )

a n d t h e S h a n g h a i Kuan P a s s t o t h e e a s t ( a b o u t 150 m i l e s ) .

A l t h o u g h m o dern arms h a v e m in im ize d , t h e v a l u e cf n a t u r a l

defence, t h e s e P a s s e s s t i l l h a v e some m i l i t a r y s i g n i f i c a n c e ,

a s c a n be s e e n f r o m t h e r e c e n t S i n o - J a p s n e s e w a r . Throughout

h i s t o r y i t has o ffe re d an im portant n a tu r a l b a r r i e r i n

t h i s p a r t of C h in a a g a i n s t t h e n o n - C h i n e s e p e o p l e s t o

the n o rth .
 146

Important as the b a rrier was, I t was l o s t to China

by o v e r s ig h t. I t was included w itn in the area o f tne
16 p r e fe c tu r e s an ten*. :» which Snih
C h in g -t9ang ceded to tne Khit&n in return fo r the h elp
U)
he receiv ed from them in e s ta b lis h in g h is dynasty,
Bhih Chin-t'&ng a Sha~tfo Turk by birth# N aturally
he was le s s concerned than were the Chinese w ith tne
consequences of the c e s s io n of t h is b a rrier to a f o r e ijn
n a tio n .
Although I do not share e n tir e ly Ch*tn X’ in& 's opinion
(see below) th at a l l the subsequent Jurohen and Mongol
in v a sio n s were due to the s e s s io n of t a ls b e lt of lan d,
i t i s h ig h ly probale th a t, in view o f tne ch aracter of
the Liao emperors— *ho were never in te r e s te d in ru lin ^
d ir e c t ly th e ir Chinese su b je c ts— i f the s ix te e n
p re fe c tu r e s had not been d e le i to t i &m9 tney would not
have crossed the Great a l l to s e iz e tnem by fo r c e . 1 doubt

in that case whether *Cat hay11..ou ll ever nave been used as an

(1) See pp. &5*£6.

 147

a l t e r n a t i v e e x p r e s s i o n t o d e n o t e China.'

‘W ith t h e c e s s i o n o f t h e s i x t e e n p r e f e c t u r e s ? however?

China, was d e p r i v e d o f h e r n a t u r a l n o r t h e r n b a r r i e r . d

Thus? t h e K b i t a n s h a r e d ' c o n t r o l o f t h e g r e a t N o r t h C hina

P l a i n w i t h t h e s u c c e s s i v e cont em poraiy C h i n e s e d y n a s t i e s

w h i c h had t h e i r c a p i t a l i n P i e n - l i a n g , j u s t t o th e south

o f t h e Y e llo w R iv e ro B e tw e e n P e k i n g an d t h e n o r t h b an k
( 2)
o f the. R i v e r ? t h e r e e x i s t e d , no r e l i a b l e n a t u r a l d e f e n c e . '

^ The L i a o H i s t o r y makes a v a i l a b l e t h e f i g u r e s ? i n
t e r m s o f m i l i t i a r e g i s t e r s . ? of t h e s e d e n t a r y p o r t i o n o f
t h e p o p u l a t i o n o f the. L i a o s t a t e . The n um b ers p f t h e , „
m i l i t i a r e g i s t e r s of tw.o o f t h e t h r e e , o ld l / i r c u i t Un' s
Supreme and t h e E a s t e r n C a p i t a l C i r c u i t s ? w e r e 1 6 7 ? 2Q0
an d 4-1? 400 r e s p e c t i v e l y - T hese i n c l u d e b o t h t h e C h i n e s e
and t h e P o h a i - Ho d ata, a r e a v a i l a b l e f o r t h e t h i r d of t h e
t h r e e old C i r c u i t s ? th e C e n t r a l C a p i t a l C i r c u i t . The
n u m b e rs o f t h e m i l i t i a r e g i s t e r s of t h e two new. C i r c u i t s ?
th e S o u th e r n and th e W estern C a p i t a l C i r c u i t s ( b o t h w ere
e s t a b l i s h e d w i t h t h e 16 p r e f e c t u r e s g a i n e d fro m S h i h
C h i n g - t ' a n g ) w e r e 5 6 6 ,0 0 0 a n d 3 2 2 ,7 0 0 r e s p e c t i v e l y . These
w ere p u r e l y C h i n e s e . ( LS ? 36? la~9t>) *
T h e s e f i g u r e s , shew t h a t t h e a n n e x a t i o n o f t h e 16
p r e f e c t u r e s a t l e a s t t r i p l e d t h e C h i n e s e s u b j e c t s who
w e re u n d e r t h e L i a o r u l e .

^ The T ’a n g ch o se Oh' a n g - a n a s i t s . W e s te rn ? and p r i n c i p a l ?

c a p i t a l and L o - y a n g i t s e a s t e r n ? and s e c o n d a r y ? c a p i t a l .
Owing t o t h e g r a d u a l d e t e r i o r a t i o n of t h e ec o n o m ic c o n d i t i o n s
o f t h e a r e a s a r o u n d Ch.’ a n g - a n ? a n d t h e i n c r e a s i n g i m p o r t a n c e
o f t h e p a r t p l a y e d by t h e Y a n g t z e R i v e r v a l l e y i n t h e
n a t i o n ’ s econom ic l i f e ? i n t h e l a t e r p a r t of t h e f i r s t h a l f
o f t h e T ’a n g d y n a s t y ? w h e n e v e r t h e h a r v e s t was bad t h e
T’ an g em pero rs? b e in g u n a b l e t o f i n d enough s u p p l y n e a r
a t hand t o s u s t a i n t h e i r c o u r t a t Ch’ ang~an? f r e q u e n t l y
t e m p o r a r i l y m oved t o L o - y a n g i n o r d e r t o ’’s e e k f o r fo o d
 The. e f f o r t made by t h e Sung a u t h o r i t i e s to re c o v e r

t h i s , b e l t and t h e m e a s u r e s t h a t t h e y u n d e r t o o k —. a f t e r .

t h i s a t t e m p t h a d p r o v e d a f a i l u r e - - t o c o n s t r u c t some

a r t i f i c i a l b a r r i e r s a g a i n s t t h e K h i t a n horsemen? serve

t o show how i m p o r t a n t t h i s b e l t was to t h e s a f e t y o f China

Q .o n t i n u a t i on o f n o t e on p r e v i o u s p a g e :
i n t h e F a s t e r n Cap i t a l . n
L o - y a n g had t h e a d v a n t a g e of e a s i e r a c c e s s t o th e
w e s t e r n end of t h e Grand C a n a l , l i e n Ho? o r P i e n R iv er.,
b u i l t by t h e e m p e ro r Yang o f t h e S u i d y n a s t y t o l i n k up
the low er Y angtze w ith th e c e n tr a l p l a i n . In the l a t e r
h a l f o f t h e T’ ang? i t was a c t u a l l y oii "th e w e a l t h o f t h e
Lower Y a n g t z e t h a t t h e T’ ang g o v e rn m e n t r e l i e d . As. t h e
P i e n R i v e r became t h e v i t a l ' l i n e of c o m m u n i c a t i o n t o t h e
c e n t r a l governm ent, t h e p o s i t i o n of P i e n ( o r P i e n - l i a n g ) ?
s i t u a t e d n e a r t h e j u n c t i o n o f t h e C a n a l and t h e Y e llo w
R i v e r ? had become i n c r e a s i n g l y i m p o r t a n t . The L a t e r
L i a n g ■(907-923) ? f i r s t one of t h e R iv e D y n a s t i e s . ,
w h ic h r e p l a c e d - t h e T’ ang? f i r s t r a i s e d P i e n - l i a n g t o
honour? m aking i t t h e i r p r i n c i p a l c a p i t a l ? and g i v i n g i t
t h e name of ul a s t e r n C a p i t a l " , w h i l e ■L o - y a n g became t h e
"Wfestern" and s e c o n d a r y c a p i t a l . T h e r e a f te r ? C h 'a n g -a n
ceased, t o h a v e t h e s t a t u s of c a p i t a l .
The L a t e r T ’a n g ( 9 2 3 - 3 6 ) w h ic h r e p l a c e d t h e L a t e r
Liang? made l o - y a n g t h e p r i n c i p a l c a p i t a l a n d P i e n - l i a n g
the se c o n d a ry . The Later* T’ a n g was i n t u r n r e p l a c e d by
t h e L a t e r C h in ( 9 3 6 - 4 6 ) w h ich once a g a i n r e v e r s e d t h e
r e l a t i v e s t a t u s o f P i e n - l i a n g and L o - y a n g .
From t h e Chin? t h r o u g h o u t t h e L a t e r Han ( 9 4 7 - 9 5 0 )
and t h e L a t e r Chou ( 9 5 1 - 6 0 ) ? t h e l a s t two o f t h e F i v e
D y n a s t i e s ? u n t i l t h e end of t h e n o r t h e r n Sung ( 9 6 0 - 1 1 2 7 ) }
P i e n - 1 i a n g was C h i n a ’ s p r i n c i p a l cap i t a 1 .
The f i r s t Sung em p ero r r e a l i z e d t h e m i l i t a r y d e f e c t s
o f P i e n - l i a n g an d had t h e i n t e n t i o n o f moving to L o - y a n g .
H i s p o l i c y of c e n t r a l i z a t i o n w hich l e d him. t o k e e p t h e
l a r g e s t p a r t of t h e army i n t h e c a p i t a l ( i t was s a i d t o
h a v e a m o u n te d t o 800?000 s o l d i e r s ) made i t i m p o s s i b l e t o
c a rry out such a p la n .
 3-49

Ejs sjs sjs

The f i r s t Sung e m p ero r d i e d i n 9 7 6 , b e f o r e he had f i l l y

accom plished h i s ta s k of b r in g in g a b o u t th e r e - u n i f i c a t i o n

of t h e empire, w h i c h had r e m a i n e d i n f r a g m e n t s s i n c e t h e

c o l l a p s e of th e f a n g ( 9 0 6 ) . I n t h e - s o u t h some p e t t y

s l a t e s s t i l l r e m a i n e d i n Che-ckLiang a n d F u k i e n , and i n t h e

n o r t h t h e N o r t h e r n Han h e l d i t s c o u rt i n t h e a r e a of

S hansi* I t was. n o t u n t i l 979? t h a t Chao I £ u a n g -i, the

s e c o n d Sung e m p ero r, l e d h i s army t o ai-y u an , the c a p ita l

o f t h e N o r t h e r n Han, w hich w as t h e l a s t s t a t e t o be

c o n q u e red * A f t e r a s h o r t s e i g e , N o r t h e r n Han s u r r e n d e r e d

( i n t h e f i f t h moon o f t h a t y e a r ) *

N e a r l y t h e w h o l e o.f t h e empire., t h e t r a d i t i o n a l C h i n e s e

w o r l d , was now u n i t e d , w i t h o n ly one o f t h e c o r n e r s m i s s i n g

—- t h e r e g i o n o f t h e 16 p r e f e c t u r e s * Chao ICuang-i

i m m e d i a t e l y d i v e r t e d his. arm y fro m f a i - y u a n t o P e k i n g *

A f t e r some m i n o r v i c t o r i e s he r e a c h e d ( i n t h e s i x t h moon)

t h e s o u t h e r n s u b u r b o,f P e k in g * I n t h e b a t t l e o f Kao~~liang

H iver ( i n t h e s e v e n t h moon), t h e Sung army was

r o u t ed *

I n s p i t e o f t h i s f r u s t r a t i o n , C hao-K uang-i d i d n o t g i v e

up h i s i n t e n t i o n * He c o n t i n u e d to make e v e r y k in d of
 150

p r e p a r a t i o n an d num erous m i n o r e n g a g e m e n t s i n t h e f o l l o w i n g

years are recorded. I n 983 he e v e n made p l a n s a b o u t w h at

was t o be done a f t e r t h e l o s t l a n d had b e e n r e c o v e r e d .

11( I n 983) t h e Em p ero r s a i d t o t h e C h i e f M i n i s t e r s :

'T h e f o u r s i d e s o f Yu Chou ( t h e c i t y o f P e k i n g ) a r e

a l l f l a t lan d . T h e r e i s no s t r a t e g i c p o s i t i o n t o be

re lie d on, and i t i s d i f f i c u l t t o d e f e n d . I n the

f u t u r e , w h e n we r e c o v e r Yen and Ohi ( t h e r e g i o n s

a r o u n d and t o t h e e a s t o f P e k i n g ) , we . s h a l l h a v e o n l y

t o p o s t g u a r d s a n d b u i l d f o r t s on a few. o f t h e i m p o r t a n t

p o s i t i o n s fro m t h e K u - p e i Kuo P a s s down, an d t h e

(I')
b a r b a r i a n s s o u t h w a r d s i n v a s i o n s w i l l be ended }
r"s

And, fro m h i s s .o r r o w f u l comment on t h e a c t i o n of $ h i h

C h in -f'a n g , one sees, how e a g e r was t h e e m p e r o r ’ s w is h t o

r e c o v e r t h i s p i e c e of l a n d .

51( I n 9 85 )? t h e E m peror s a i d to t h e C h i e f M i n i s t e r s :

*1 r e a d i n t h e h i s t o r y t h a t S h i n C h i n g - t ' a n g , in

a s k i n g f o r a s s i s t a n c e , from t h e K h i t a n , served [the

E h i t a n emperor} a s i f he w e r e h i s f a t h e r . M o reo v e r

he ce d ed l a n d t o th e m . Thus m i l l i o n s o f [ C h i n e s e }

s u b j e c t s f e l l u n d e r t h e r u l e of b a r b a r i a n s .... The

b a r b a r i a n s were a v a r i c i o u s , Th^r c o u l d be e n t i c e d

( 1 ) l i T’ a o : op c i t . ch XXIV*
 151

by money, To c e d e l a n d t o them was a , ;b a d p o l i c y .

W h e n ev er 1 t h i n k ' o f t h i s 1 c a n n o t "but f e e l g r i e v e d . " ^

A c c o r d i n g l y ; i n 9 8 6 , he made a n o t h e r s e r i o a s a t t e m p t . He

ag ain f a il e d . E a r l y i n t h e n e x t y e a r ( 9 8 6 - 7 ) he i s s u e d

h i s M essage o f C o n d o l e n c e t o h i s p e o p l e . T his bro u g h t

a n end t o h i s t e n y e a r l o n g e f f o r t t o r e c o v e r t h e l o s t

lan d .

Chao ICuang-d died, i n 997« I n 1004? i n t h e r e i g n of

h i s s o n O h& a-tsun g , t h e l o n g p e a c e f u l r e l a t i o n s h i p b e t w e e n

Sung and. L i a o was e s t a b l i s h e d - .

>^i8 *$3 sja

The re co -v e ry o f t h e l o s t l a n d p r o v e d t o be i m p o s s i b l e .

But t h e r e p e a t e d i n c u r s i o n s of t h e K h i t a n h orsem e n

r e n d e r e d more o b v i o u s t h e v u l n e r a b i l i t y o f t h e Sung

n o rth ern f r o n tie r . The Sung r u l e r s tried c e r t a i n expensive?

but ra th e r in e ffe c tiv e , d e v ic e s to s e r v e a s a r t i f i c i a l

b a r r i e r s a g a i n s t th e K h ita n horsem en.

The n o r t h e r n f r o n t i e r o f Sung s t r e t c h e d fr o m t h e

e a s t e r n s l o p e o f t h e T* a i - h a n g M o u n t a i n r a n g e w hich d i v i d e s

(1)
L i f-’ a o i op , c i i . ch .XXVI.
 152

t h e N o r t h Ghina P l a i n and t h e S h a n s i h i g h l a n d , to th e

w e s t e r n s h o r e o f t h e G hina s e a , n e a r p r e s e n t l a - k u - B a r ,

ea st of T ientsin* f o r more t h a n 100 l i a t t h e w e s t e r n

end t h e l a n d was. e l e v a t e d and f o r t h e r e m a i n i n g o v e r

300 l i i t was f l a t . I n t h e e a s t e r n s e c t o r t h e r e w e r e many

r i v e r s , and l a r g e swamps to hundreds of l a i n c irc u m f e re n c e .

( j&ven t o d a y , some o f t h e s e swamps s t i l l r e m a i n . ) The

Sung a u t h o r i t i e s , m aking u s e o f the. r i v e r s and swamps,

c o n s t r u c t e d , t h e 11sw am p -sy stem ” , w h ic h was c a l l e d t h e

T’ a n g P ' o • ' T h i s p o l i c y was s u g g e s t e d i n 9 ^ 9 . \

hy Ho Oh.’ e n g - c h u , g o v e rn o r of th e p r e f e c t u r e H aiu n g -ch o u ^/H ,

t h e m ost i m p o r t a n t f r o n t i e r c i t y on t h e e a s t e r n s e c t o r .

’’ I f we d i v e r t t h e B i v e r 1 . . . . . an d allow i t s w a t e r t o

f l o w e a s t t o t h e s e a , and i n a n a r e a e x t e n d i n g e a s t t o

w e s t f o r o v e r 300 l i and n o r t h and s o u t h f o r 50 t o 70 l i ,

we make u s e o f t h e r i s e s , and swamps t o c o n s t r u c t d i k e s

and dam up t h e w a t e r so a s t o convert i t in to m ilita ry

a g r i c u l t u r a l c o l o n y w h ic h w i l l he a b l e t o b a r t h e g a l l o p i n g

enemy h o r s e m e n . W i t h i n a y e a r or s o , a s s o o n a s a l l the
( I')
swamps, s o u t h o f t h e P a s s . e s v 1 h a v e b e e n dammed u p , we can

^ The ’’p a s s e s 1' h e r e r e f e r to t h e t a - c h * i a o Kuan,

I - t s i n Kuan a n d - Y u - k 1ou Kuan on t h e n o r t h e r n f r o n t i e r o f
the Sung. t e r r i t o r y .
 15 3

sow them w i t h r i c e . I n t h e f r o n t i e r p r e f e c t u r e s and s u b -

p refectu res, i n t h e n e i g h b o u r h o o d of t h e swamped area?

we n e e d o n l y ' r e t a i n tro o p s to g a r r is o n th e c itie s ? and

n e e d n o t t r o u b l e t o d i s p a t c h s o l d i e r s t o g u a r d w id e a r e a s .

i h u s n o t o n l y we e x p l o i t t h e n a t u r a l r e s o u r c e s t o p r o v i s i o n

th e border? but also s e t up s t r a t e g i c b a r r i e r s t o d e f e n d

( 1)
th e f r o n t i e r . H /

Ho Ch! £ n g - c h u ' s p o l i c y was a d o p t e d and was m a i n t a i n e d

u n t i l t h e e n d o f t h e n o r t h e r n Sung d y n a s t y (v 2}' . A la te r

document i n d i c a t e s t h a t t h e swamps were c o n s t r u c t e d t o

r
such a d ep th t h a t t h e y were 11n e i t h e r p a s s a b l e by f o o t

n o r n a v i g a b l e by b o a t . 11
( 3)
The Sung H i s t o ay ' ' g i v e s t h e f o l l o w i n g f i g u r e s about

t h e d i m e n s i o n s o f t h e swamps.

^ S u n g S h i h , c h . 273? 3b.

W h ile Ho Oh1 e n g -ch ii o r i g i n a l l y a i m e d a t b o t h s e t t i n g

up a s t r a t e g i c b a r r i e r and so w in g r i c e t o p r o v i s i o n t h e
b o r d e r ? i t w ou ld seem t h a t o n l y t h e f o r m e r a i m was t o
any e x te n t a c h ie v e d . Prom t h e f a c t t h a t t h e i n h a b i t a n t s
o f a r e a s a d j o i n i n g t h e swamps c o m p l a i n e d t h a t t h e swamps
e n c r o a c h e d u p o n t h e i r land? we can s e e t h a t t h e aim o f
p l a n t i n g r i c e was a f a i l u r e . A p p a r e n t l y t h e swamps w ere
t o o deep t o a l l o w t h e g r o w i n g o f r i c e .

^ Sang S h i h? 9 5 ? . 4b . The f i g u r e s g i v e n i n p a r e n t h e s i s
show d a t a ? d i f fejicnig f r o m t h e Sung S h i h ? p r o v i d e d by t h e
W u -c h in g t s u n - y a o ? ( 0 h . l 6 A , 32b~35a?) a m i l i t a r y .han d b o o k
com piled u n d e r th e a u s p i c e s o f th e em peror J § n - t s u n g o f
Sung i n 10 4 0.
 154

W id th ( i n l i ) Length ( i n l i ) D epth ( i n f e e t )
(1) 12 0 9 0 -1 3 0 5
(2) 11Q ( 1 2 0 ) 3 0 -5 0 f r o m o v e r 10 down
to 6 or 7
(3 ) 70 &-15 6 or 7
(4) 27 8 8 o r 9 (6)
(5i) 60 10-25 (15-2^ ) ' 10 down t o 6
■( o v e r 10 o r 8 , 9 )
( 6) 70 3 0-45 ( 30-40^ 1 3 down t o 10
( o v e r 10 down t o
6? 7 )
( 7) 30 150 5 - 3 ( o v e r 10 down
to 2 ,3 .)
(8) 30 ( 2 0 ) 10 (104*) 5-3
(9) p 10 10 5 down t o 3

T h e s e swamps f e l l r o u g h l y w i t h i n t h e a r e a s o u t h o f

T i e n t s i n n o r t h of Oh* i n g H s i e n 4^ arid e a s t of P a o - t i n g

At* '1L. ? i n c e n tr a l H o-pei.

The swamp s y s t e m was a p p l i c a b l e o n l y t o t h e e a s t e r n

secto ro On t h e w e s t e r n s e c t o r w here t h e l a n d was e l e v a t e d

o t h e r k i n d s o f d e f e n c e were d e v i s e d . I n 1033 L i u P ’ i n g

s u g g e s t e d b u i l d i n g tfs q u a r e - f i e l d s t . "Along e a c h f i e l d - w a l l

d i g d i t c h e s t e n f e e t w id e a n d t w e n t y f e e t d e e p , i n t e r s a c t i n g

l i k e t h e s c a l e s of a f i s h . B e tw e e n each, two d i t c h e s ?

h a v e a n a r r o w z i g z a g p a t h t o a l l o w t h e p a s s a g e of f o o t —

so ld iers only. T hen d i v e r t the. r i v e r s n e a r - b y i n t o t h e

 155

ditchw orks. I f th e land is t o o h ig h ? th e n use the w a te r-

/ ( 3^
w heels t o r a i s e th e w ater*

A p a r t fro m t h e swamps s y s t e m and s q u a r e - f i e l d s m e a s u r e ,

t h e r e w ere a l s o o t h e r s u g g e s t i o n s s u c h a s t h e p l a n t i n g

o f elm s, w i l l o w s , m u l b e r r y an d d a t e t o form a n a r t i f i c i a l

fo rest, o r t h e m aking o f t h o u s a n d s of c h a r i o t s t o form

a b a r r i c a d e a g a i n s t g a l l o p i n g K hit& n h o r s e m e n . The

l a t t e r m e a s u r e s , h o w e v e r, seemed n e v e r t o h av e b e e n p u t

in to p r a c tic e .

tfc .rfi«wanM Pa-n

( 1)
Sung S h i h , c h . 95, 5b
 156

(III) P eking a f t e r I t s cessio n to th e K h ita n .

When th© K h i t a n a c q u i r e d t h e 16 p r e f e c t u r e s t h e y made

one o f them, P e k i n g (known u n d e r t h e L i a o a s Y e n - c h i r i g ) ,

th e S outhern C a p ita l, an d , a t t h e l a t e r d a t e , t h e y made

another, la-fu n g , th e W estern C a p i t a l . A lo n g w i t h

th ree o rig in a l c a p ita ls o u t s i d e t h e G-reat W a l l , the. L i a o

Em pire had f i v e cap itals, w h ich c o n j o i n t l y s e rv e d , a s

c e n t r e s f o r t h e g o v e r n m e n t of t h e i r s e d e n t a r y C h i n e s e

and p o h a i p o p u l a t i o n . A l t h o u g h t h e Supreme. C a p i t a l ,

L i n - h u a n g 3?u on t h e b a n k o f the: u p p e r r e a c h e s

o f t h e S i r a - m u r e n i n t h e h e a r t o f t h e K h i t a n w o r l d was

o f f i c i a l l y the p r i n c i p a l c a p i t a l , P e k i n g was e c o n o m i c a l l y

a n d c u l t u r a l l y more i m p o r t a n t .

I n 943, w i t h P e k i n g a s h i s b a s e , t h e sec o n d L iao

em p e ro r, Y e h - l u Tfi-lcuang, c a r r i e d o u t h i s ca m p a ig n a g a i n s t

t h e Chin ( s e e above, p . 8 8 ) . He c r o s s e d t h e Y e l l o w

H iver, b eseig ed P ie n - lia n g (946), c a p t u r e d t h e C h in

e m p e r o r and c a r r i e d him o f f t o t h e i n t e r i o r o f K h i t a n

te rrito ry .

The p e r i o d o f h o s t i l i t i e s b e t w e e n t h e L i a o and t h e

Sung ended, w i t h a p e a c e t r e a t y b e t w e e n those, two c o u n t r i e s

w h ic h was c o n c l u d e d i n 1004* T h ereafter a p eacefu l

 157

r e l a t i o n s h i p was m a i n t a i n e d f o r o v e r one h u n d r e d y e a r s

(1004-1115 « See. a b o v e , p . 17 )«

I n 1114? t h e J u r c h e n ' c h i e f t a i n A guta r e v o l t e d a g a i n s t

t h e Liao r u l e . R e a l i s i n g t h a t t h e L i a o w ere g o i n g t o

l o s e t h e w ar t h e Sung r e v i v e d , t h e i r d e s i r e o f r e g a i n i n g

the l o s t lan d - Ihey a l l i e d th e m se lv e s w i t h th e J u rc h e n

( 1 1 2 0 ) a n d c a r r i e d on s e v e r a l c a m p a ig n s ( 1 1 2 2 ) a g a i n s t

the. L i a o — b u t a l l o f th e s e , f a i l e d - When t h e J u r c h e n

had c o m p l e t e l y d e s t r o y e d the. L i a o , a f t e r l o n g and h a r d

b a r g a i 11i n g , t h e Sung s u c c e e d e d i n g e 1 1 i n g b a c k f rom them

p a r t of th e l o s t la n d , t h e p r e f e c t u r e s w hich were to t h e

e a s t of t h e 1 1a i - h a n g M o u n ta in r a n g e t h a t d i v i d e s p r e s e n t

H o p ei a n d S h a n s i - P e k i n g vms i n c l u d e d i n t h e r e g i o n s

retu rn ed - f h i s l a n d .was r e t u r n e d i n t h e 4 t h moon o f 1 1 2 3 *

fwo and a h a l f y e a r s l a t e r , h o w e v e r, i n t h e 1 2 t h moon of

112 5 , t h e J'trcbm r e cap t u r e d i t -

I n 1127; t h e J u r c h e n t r o o p s p u s h e d s o u t h w a r d s f r o m

P e k i n g and l a - t * u n g . f h e y e n t e r e d K* a i - f § h g a n d c a r r i e d

o f f t h e l a s t two n o r t h e r n Sung e m p e r o r s -

L i k e t h e L i a o t h e C h in f i r s t made P e k i n g t h e i r S o u t h e r n

C ap ital- I n 1 1 5 3 ; t h e f o u r t h C h in e m p e r o r , H a i - n i n g ,

moved h i s c a p i t a l fro m H u i—n i n g t o P e k i n g and, g a v e i b

 158

t h e name o f C h u n g - t u ? the C e n tr a l C a p i t a l . It

r e m a i n e d t h e c a p i t a l o f C h in u n t i l 1214- when t h e y moved

t o K1a i - f & n g , t h e f o r m e r Sung c a p i t a l , u n d er the

th reat o f Mongol i n v a s i o n . I n 1215 C h i n g h i s t o o k P e k i n g .

Prom 1 2 1 5 -1 2 60, P e k i n g s e r v e d t h e Mongols, a s t h e i r b a s e

f o r o p e r a t i o n s a g a i n s t n o r t h e r n C hina. I n 1260, K h u b i l a i

a s c e n d e d t h e t h r o n e i n K1a i - p ' i n g . Phe same w i n t e r he

came s o u t h o f t h e G r e a t W a ll and r e s i d e d i n P e k i n g . Prom

t h a t y e a r (1 2 60) onwards., he d i v i d e d h i s t i m e i n t h e y e a r

b e t w e e n t h e s e two c a p i t a l s ( c f . a b o v e , p . 1 7 ) .

A l t h o u g h S h a n g t u r e m a i n e d t h e 11Supreme C a p i t a l 11

t h r o u g h o u t t h e Yuan d y n a s t y ? i t was t h e "G ran d C a p i t a l "

( l a - t u , P e k i n g ) which was t h e a c t u a l c a p i t a l " n o t m e r e l y

of t h e r e - u n i t e d C h in a , b u t o f a. u n i v e r s a l s t a t e w h i c h

embraced, t h e w h o le o f t h e E u r a s i a n s t e p p e . "

I n 12 6 7 / t h e l a s t Sung e m p ero r i n Hangchou s u r r e n d e r e d

t o t h e Yuan a r m y . He. was c a r r i e d o f f v i a P e k i n g t o

S h a n g t u w here h e was o r d e r e d by K h u b i l a i t o become a

monk and s e n t f u r t h e r i n t o t h e i n t e r i o r o f M o n g o l i a .

P e k i n g r e m a i n e d t h e c a p i t a l o f t h e Yuan u n t i l 1368?

when t h e y w e r e d r i v e n o u t by Hung-wu, t h e f o u n d e r o f t h e

Ming d y n a s t y .
 159

th erefore, fro m i t s c e s s i o n by S h i h C h i n g - t ' a n g t o

t h e ICh.ita n i n 937 down t o 1368 when i t was r e t a k e n by

t h e Ming? t h e l a n d a r o u n d P e k i n g was i n t h e h a n d s o f

C h i n e s e f o r o n l y two an d a h a l f y e a r s . For t h e r e s t of

t h i s p e r i o d , i t had b e e n u s e d s u c c e s s i v e l y f i r s t by t h e

K h i t a n and t h e J u r c h e n t o c o n t r o l a p a r t o f C h in a an d

f i n a l l y by t h e Mongols t o d o m i n a t e t h e w h o l e o f t h e

C hinese w o r ld .

P o r t h e n e x t f i v e and a. h a l f c e n t u r i e s : ( 1 3 6 8 - 1 9 1 1 ) ,

P e k i n g was e q u a l l y s h a r e d b e t w e e n t h e C h i n e s e (Ming?

1368-164-4) and t h e Manchus ( C h ' i n g , I 6 4 4 - I 9 I I ) .

Chf T 1i n g was a Ming s c h o l a r who vms b o r n i n

C h e-K ia n g and f l o u r i s h e d i n t h e s e c o n d h a l f o f t h e 1 5 t h

cen tu ry . He w a s f o r one p e r i o d t h e s u p e r v i s o r o f e d u c a t i o n

fo r th e p ro v in ce of S h a n si. H is k n o w le d g e o f f r o n t i e r

h i s t o r y was p r o b a b l y o b t a i n e d w h i l e he. h e l d t h i s o ffic e.

l i k e m o st C h i n e s e s c h o l a r s he showed s t r o n g p r e j u d i c e

a g a i n s t th e n on-C hinese peoples,. But u n l i k e m ost of them?

he to o k th e t r o u b le t o - t h i n k ab o u t non-C hinese m a t t e r s .

H is o p in io n ab o u t th e f u n c t i o n of th e G re a t W all i n

C hinese h i s t o r y i s of p a r tic u la r in t e r e s t . He. t r a c e d .

t h e o r i g i n o f a l l t h e K h i t a n , J u r c h e n a n d Mongol i n v a s i o n s

o f C h i n a t o t h e c e s s i o n o f t h e 1.6 p r e f e c t u r e s . . . He

com pared t h i s p e r i o d w i t h t h e p e r i o d d u r i n g w h ic h B o r t h

C h in a w aa u n d e r c o n t r o l o f t h e P i v e - B a r l b a r i a n S t a t e s

and t h e o -p a Wei^ ^ and I t s su c c e sso rs ( 304-581).

He t r a c e d t h e o r i g i n of t h e t r i u m p h o f t h e n o n - C h i n e s e

p e o p l e s i n t h a t p e r i o d t o t h e a c c e p t a n c e o f t h e Han

e m p e ro r, i n t h e m id d le p a r t of t h e f i r s t cen tu ry a f t e r

C h rist, o f t h e s u r r e n d e r of t h e E s i u n g - n u t r i b e s and t h e

p e r m i s s i o n w h i c h he gav e them t o s e t t l e down w i t h i n t h e

C hinese re a lm . He saw a n a n a l o g y i n t h e d e v e l o p m e n t of

t h e s e two p e r i o d s - Each s t a r t e d w i t h m ismanagem ent on

the, p a r t of t h e C h i n e s e a u t h o r i t i e s i n l e t t i n g n o n - C h i n e s e

i n t o t h e C h i n e s e world., an d e a c h r e s u l t e d i n t h e o c c u p a t i o n

o f p a r t o r t h e w ho le o f C hina by t h e n o n - C h i n e s e .

I h e i m p o r t a n c e o f h i s v iew , t o my mind,, i s t h a t he

was a b le , t o a p p r e c i a t e t h e d i f f e r e n c e b e t w e e n t h e s o c i e t i e s

w i t h i n a n d w i t h o u t t h e G r e a t W a l l and, the. f u n d a m e n t a l

^ ^ I n t h e c a s e o f t h e 1 1 o-pa. Wei, l a - t 1u n g p l a y e d t h e
same, r o l e a s d i d P e k i n g i n t h e L i a o , C h in , Yuan d y n a s t i e s .
 161

d an g e rs: t h a t m i g h t e n s u e i f one w e r e a l l o w e d t o s e t t l e

on the. s o i l o f t h e o t h e r .. I n h i s o p i n i o n ? a a one c a n

d e d u c e f r o m h i s e s s a y t r a n s l a t e d below? h a d th e s e . n o n -

C h i n e s e p e o p l e s b e e n k e p t o u t o f China? t h e y would h a v e

re m a in e d l a r g e l y i g n o r a n t of t h e nature- and im p o rtan ce

o f t h e Chinese, w o r l d and o f how t o d e a l w i t h C h i n e s e

affairso I n t h i s , r e s p e c t he f o r e s h a d o w s t o a c e r t a i n

e x t e n t t h e o p i n i o n s held, by m odern s t u d e n t s o f f r o n t i e r

h i s t o r y o f China. *

,MI h e S h i h H u a n g - t i o f t h e Chf i n b u i l t t h e G r e a t

f a l l t o keep out th e b a r b a r i a n s * A lth o u g h i t p u t a n

o n e r o u s b u r d e n on t h e p e o p l e a t t h e t i m e ? y e t t h e

W a l l was s u b s e q u e n t l y u s e d t h r o u g h o u t t h e a g e s t o

s e p a r a t e t h e C h i n e s e from t h e b a r b a r i a n s a n d t o ■

d i s t i n g u i s h n a t i v e from fo re ig n * i t i s t h e r e f o r e .- a

work w h ic h s h o u l d n o t be t o t a l l y condemned.

’‘A f t e r t h e a d o p t i o n by t h e Han d y n a s t y of t h e p o l i c y

of m arriag e a llia n c e ? l a t e r H siung-nu c h i e f t a i n s

u s u a l l y r e q u e s t e d t h e same f a v o u r * H enceforth? the

u g ly c r e a t u r e s of b a r b a r i a n r a c e c o n s id e r e d t h a t

t h e y had t h e r e l a t i o n o f b r o t h e r h o o d o r o f s o n - i n - l a w

t o t h e Han emperor* A num ber of c h i e f t a i n s f o u g h t

among t h e m s e l v e s f o r t h e r i g h t o f s u c c e s s i o n , , One

o f them, f i n d i n g h i m s e l f i n d i f f i c u l t i e s , , cam a and

p a i d homage a t t h e Han c o u r t (v 1 ) * When J i h ~ c h u t o o k

r e f u g e i n Han, t h e ' n o r t h e r n H s iu n g ~ n u moved f a r t h e r

n o rth . t h e Han c o u r t , in ste a d of ta k in g t h i s op p o rtu n ity

t o a n n i h i l a t e , them, e n t r u s t e d , them w i t h t h e g a r r i s o n i n g

o f t h e f r o n t i e r a n d a llo w e d , them t o l i v e i n t h e

n o r t h e r n t e r r i t o r y where, t h e y w e r e a b l e , t o r a i s e

t h e i r f a m i l i e s a n d become d o m i c i l e d .

" A f t e r t h e f a l l o f t h e Han, t h e t h r e e Kingdoms

contended f o r suprem acy. One c a n im ag in e, t h a t t h e s e

b a r b a r i a n s had. l o n g c o v e t e d power., t h e C h in d y n a s t y

was p o w e r l e s s an d c o u l d n e i t h e r c o n t r o l them n o r

remove them ([from C h i n e s e t e r r i t o r y } • the r e b e llio n

( 2)
of th e F iv e - B a r b a r ia n t r i b e s ensued^ . Encouraged

by t h e s u c c e s s o f t h e i r f e l l o w s , t h e l1f o - p a , a t r i b e

f r o m b eyond t h e f r o n t i e r , c o n q u e r e d t h e C e n t r a l Domain.

^"^By t h i s h e m e a n t t h e s u r r e n d e r o f t h e H u - h a n - y e h
S-hanyu t o t h e Han i n 56 BIO.

t r a d i t i o n a l C hinese h i s t o r i e s c o n s id e r e d th e
r e b e l l i o n s of th e F iv e -B a rb a ria n tr ib e s , as f o r e ig n
in v asio n s. P r o f . Oh1a n Y i n - k o h h a s r i g h t l y p o i n t e d
o u t t h a t t h e y s h o u l d be r e g a r d e d a s c i v i l w a r s .
 163

I h e l a n d o f C h i n a ’ s, a n c i e n t k i n g s t h u s f e l l i n t o t h e

h a n d s o f b a r b a r i a n s . f o r more, t h a n one h u n d r e d y e a r s -

N evertheless* the l e g i t i m a t e l i n e of s u c c e s s i o n was

still c a r r i e d on on t h e l e f t ( s o u t h e r n ) b an k o f t h e

Y angtze R iv e r- So we c a n s a y t h a t C h in a had, n o t

be en comp1 e t e 1 y l o s t .

” F o r t u n a t e l y * u n d e r t h e S u l and. f ’ a n g d y n a s t i e s *

C h in a was once a g a i n u n i f i e d - S hih C h in g - t'a n g , in

h i s d e s i r e t o s e i z e t h e throne,* n o t o n l y gave t h e

s tr a te g ic p o sitio n s o f C hina t o t h e b a r b a r i a n s by

c e d i n g t h e d i s t r i c t o f Yu and Chi t o t h e K h ita n *

b u t a l s o a c k n o w le d g e d h i m s e l f a v a s s a l and p a i d

trib u te- He a c c e p t e d e n t h r o n e m e n t f r o m t h e K h i t a n

a n d s e n t them m e m o r i a l s - - r e g a r d l e s s of t h e e s t a b l i s h e d

o r d e r by w h ich C h in a s h o u l d s t a n d a b o v e t h e b a r b a r i a n s

as th e head above th e f e e t - .

"When S h i h C hing~-t’ a n g i n v i t e d K h i t a n t o h e l p him

t o t h e t h r o n e * h e h ad a l r e a d y a r o u s e d t h e c o v e t o u s n e s s

of th e K hitan- C h ' u - t i [ o f t h e C h in ] d i d n o t

f u l f i l h i s d u tie s as a sovereign* and i m p r o p e r l y

commenced, h o s t i l i t i e s - fhe K h ita n tr o o p s pushed

£^0 0 p i n t o C hina a n d t h e C r i n ecu I d no t» ch e ck o h e i r

 164

advance• A f t e r C h in w as o v e r t u r n e d t h e e m p ire was i n

th e ir grasp.

nA f t e r w a r d s ? i n s p i t e of h i s t a l e n t s a n d b r a v e r y ?

( D ' a i - t s u n g o f Sung was u n a b l e t o r e c o v e r t h e l a n d o f

Yen and Yun. Okie S o u t h and t h e N o r t h o o - e x i s t e d f o r

o v e r one hundi^ed y e a r s , l u c k i l y th e Liao d y n a s ty

collapsed? b u t t h e C hin r o s e r n t h e i r s t e a d . Wath

th e f a l l o f t h e Chin? t h e Yuan d y n a s t y f o l l o w e d ,

th r o u g h o u t , t h e s e p e rio d s.? t h e o b l i g a t i o n s t h a t t h e

C h i n was. a s h e d t o e x e c u t e by t h e IC hitan s u c h as. t h e

p a y in g of t r i b u t e ? th e ce d in g of land? the accep tan ce

o f v a s s a l a g e by C h in a a n d t h e r e c e i v i n g of e n t h r o n e m e n t

from b a r b a r i a n s w e r e a l l demanded f r o m t h e Sung i n

o r d e r t o h u m i l i a t e C hina.

11I n t h e p e r i o d o f c h i h - y u a n f l i h u b i l a i l p u t a n end

t o t h e Sung? a n d i n h e r i t e d t h e l i n e of succession,

f h u s he r u l e d o v e r t h e whole e m p i r e . I’h e t r a d i t i o n a l

r e l a t i o n s h i p ^ b e tw e e n C hina a n d t h e b a r b a r i a n s ] } was

o v ertu rn ed . (There was d a r k n e s s o v e r t h e e a r t h , lire

c a l a m i t y had o v e r t a k e n t h e w o r l d a n d C hina had

undergone a profound change. I f one t r i e s t o l o o k

f o r t h e o r i g i n o f t h i s d i s a s t e r ? i t w i l l be. fo u n d i n
 165

t h e c e s s i o i i of l a n d by S h i h v C h i n g - t ' a n g . 1 have

alw ays h e ld t h a t f o r t h e b u ild in g of th e G re a t W all,

S h i h H u a n g - t i of t h e C h in s h o u l d be g i v e n t h e c r e d i t

of w arding o ff the b a rb a ria n s i n subsequent g en eratio n s?

whereas. S h i h O h i n g - t ’ ang* s i n v i t a t i o n t o t h e K h i t a n

was t h e g r e a t e s t o f a l l t h e c r i m e s w h i c h w e r e r e s p o n s i b l e

fo r the b a rb a ria n s ' i n v a s i o n s of C h in a t h r o u g h o u t

the ages U ) .

^ ^ Oh' &i I ' i n g L i a n g - s h a n M Q-t 1 a n ? c h . 8 ? p . 7 0.

(This ess.ay c a n be r e a d i n c o n j u n c t i o n w i t h S h an g L o ' s
p r e f a c e to the S upplem entary e d i t i o n of th e f 'u n g - c h i e n
Kang-mu ( s e e . p . 227 ) B o t h o f th e m show s t r o n g
i n f l u e n c e o f t h e c h e n g - t 1ung t h e o r y .
 166

(17) "Prom T r i b e s t o E m p ire s " - - I .

The p o s t - L i a o S h u -m i Yuan s y s t e m s a n d t h e
p o s t-L ia o Dual A d m in is tr a tio n .

So f a r we h a v e c o n c e r n e d o u r s e l v e s c h i e f l y w i t h th e

h i s t o r y o f P e k i n g fro m t h e p o i n t o f v iew o f t h e C h i n e s e .

L e t u s now t u r n t o t h e o t h e r s i d e o f t h e G r e a t W a l l a n d

t r y t o view i t fr o m t h e s t a n d p o i n t o f t h e nomads.

We h a v e s e e n t h a t t h e l o s s of P e k i n g by t h e C h i n e s e

m eant n o t m e r e l y t h e l o s s o f a s i n g l e c i t y , but th e

d e f e a t o f t h e a g r i c u l t u r a l s o c i e t y by t h e n o m ad s. Y et,

if one v i e w s i t fro m a d i f f e r e n t a n g l e , t h i s is. o n l y h a l f

tru e. I t may a l s o be s a i d t h a t t h e a c q u i s i t i o n , o f P e k i n g

by t h e nomads m a rk e d t h e t u r n i n g p o i n t o f t h e i r t r i b a l

s t r u c t u r e and th e b e g in n in g of th e lo n g p r o c e s s of t h e i r

compromise w i t h o r c o n q u e s t by C h i n e s e c i v i l i z a t i o n .

H ith erto , a l t h o u g h t h e nomad c o n q u e r o r s m i g h t h a v e

i n c l u d e d i n t h e i r s t a t e a l a r g e number o f C h i n e s e , th ey

h ad b e e n p r e d o m i n a n t l y t r i b a l . H e r e a f t e r t h e C h in e s e

elem ents began to r i v a l , or ra th e r, t o overwhelm , t h e

t r i b a l elem ents. At t h i s s t a g e o f d e v e l o p m e n t came t h e

i n t r o d u c t i o n of t h e S hu -m i Yuan s y s t e m w h ic h e n t r u s t e d

t h e a d m i n i s t r a t i o n o f t h e o v e r w h e l m in g C h i n e s e p o p u l a t i o n
 167

to an o r g a n iz a t io n r i v a l l i n g th e c o n tin u in g t r i b a l system .

W.e h a v e a l r e a d y f o l l o w e d t h e s t o r y o f how Y e h - l ii I § - k u a n g

and h is s u c c e s s o r , S h ih -1 su n g , a f t e r a c q u ir in g Peking,

c r e a t e d t h e S h u -m i Yuan s y s t e m w h i c h was m a i n t a i n e d

t h r o u g h o u t t h e L i a o d y n a s t y '( 3 )i .

I n t h e Chin d y n a s ty , th e Ju rch en conquerors, afte r

an n e x in g t h e la n d s o u th of th e G reat W all, a l s o in tr o d u c e d

t h e S hu -m i Yuan s y s t e m . But u n l i k e i t s L i a o c o u n t e r p a r t ,

t h e C h in S hu-m i Yuan h a d o n l y a n e p h e m e r a l l i f e . Its

f u n c t i o n s w e re s u b s e q u e n t l y t a k e n o v e r by t h e J u r c h e n

r u l e r s , i n p a r s o n , who, b e i n g d ra w n i n t o t h e s p h e r e o f

th e C hinese p o r t i o n o f t h e i r s t a t e , became now r u l e r s

•of t h e C h i n e s e " d y n a s t y an d t h u s t h e i r h i s t o r i c a l t a s k

o f f o u n d i n g a d y n a s t y i n C h in a was c o m p l e t e d .

I n t h e Yuan d y n a s t y , a s i m i l a r c o u r s e of d e v e l o p m e n t

c a n a l s o be n o t i c e d , t h o u g h t h e t e r m S hu -m i Yuan was

n e v e r u s e d i n t h e same s e n s e .

Ih e a n n e x a tio n o f Peking, t h e r e f o r e , fro m th e p o i n t

o f view o f t h o s e homads who r e m a in e d i n t h e hom eland —

though i t m arked t h e i r triu m p h o v er t h e C hinese meant

^■0 gee a b o v e , ( p p . 8 4 ff . & 102 )•

 168

t h a t t h e i r l e a d e r s b e g a n t o be d ra w n away fro m th em an d

i n t o t h e s p h e r e o f the. C h i n e s e .

A b r i e f s u r v e y o f t h e e v o l u t i o n o f t h e Oh i n an d Yuan

Shu-m i Yuan s y s t e m s may h e l p t o e x p l a i n t h i s s i t u a t i o n , ,

!he Jurchen-C hin s t a t e o r i g i n a l l y c o n s i s t e d of a number

of t r i b e s , t h e c h i e f t a i n s o f which w e r e known as. b e l - c h i n ?

( t h e Manchu b e i l e , p rin ce), fhe o f f i c i a l s in the Jurchen

c o u r t w e re d e s i g n a t e d by v a r i o u s r a n k s of b ei-eh i-JL ieh

(a v a r ia ti o n of b ei~ ch in ) . A g u ta , t h e f o u n d e r of t h e

Ohin d y n a s t y , b e fo re ascending t h e t h r o n e , was known a s

t h e f u B e L ~ c h i~ ~ lie h ; W u -ch 1 i ~ m a i , A g u t a ’ s s u c c e s s o r ,

b e f o r e h i s a c c e s s i o n , was c a l l e d Am-ban B e i - c h i - 1 l . e h . (x 1 )7

I n t i m e s o f war, t h e b e i ~ c h i n c h i e f t a i n s w e r e known a s

M eng-an a n d Mu~k’ o ~ . a c c o r d i n g t o the- number of s o l d i e r s

'iiM—'Jt-Mtt wjmltjjm

t h e y had u n d e r th em . M eng-an ( m e a n i n g a t h o u s a n d i n t h e

Ju rch e n language) i s th e t i t l e f o r the head o f a th ousand,

a n d mu-k* o ( m e a n i n g a h u n d r e d ) f o r t h e h e a d o f a h u n d r e d .

L a t e r on, v a r i o u s t r i b e s came t o s u b m i t t o t h e J u r c h e n

ru le. I h e J u r c h e n a u t h o r i t i e s b e s t o w e d on a l l t h e i r

c h i e f t a i n s t h e t i t l e s Meng-an o r Mu-k’ o i n o r d e r t o

i n c o r p o r a t e t h e i r p eo p le i n t o the J u rc h e n s t a t e . Ihe

G h i n e s e who s u r r e n d e r e d were, a l s o r e o r g a n i z e d i n th e

(1) C h in S h i h , 55? l a .
 169

same w ay . On one o c c a s i o n 65 C h i n e s e f a m i l i e s who s u r r e n d e r

ed u n d e r a C h i n e s e g e n e r a l w e r e r e o r g a n i s e d i n t o a M u-k*o ,

a n d on a n o t h e r two g ro u p s , of C h i n e s e u n d e r two d i f f e r e n t
( 1)
l e a d e r s w e r e combined t o fo rm a M§ng~anv ' - ( l a t e r the

m§ng~an and m u - k * 0 became l o c a l a d m i n i s t r a t i v e u n i t s ,

h a v i n g t h e same meaning a s t r i b e s o r s u b - t r i b e s , . )

I n 1122 A g u ta c o n q u e r e d P e k i n g . He b e g a n t o employ

t h e C h i n e s e t i t l e s , f o r th e o f f i c e s t o w h ic h t h e

s u r r e n d e r e d L ia o -C h in e s e o f f i c i a l s were a p p o i n te d . In

th e fo llo w in g year, 1 1 2 3 , i n a c c o r d a n c e w i t h t h e L iao

p ra c tic e , t h e C h in r u l e r e s t a b l i s h e d a S h u -m i Yuan t o

c o n t r o l th e C hinese. I1he o f f i c i a l C h in H i s t o r y r e m a r k s :

nA f t e r t h e c o n q u e s t of Y e n - o h i n g ( P e k i n g ) I 1a i ~ t s u

b e g a n t o u s e t h e L i a o b u r e a u c r a t i c s y s t e m w h i c h was

c h a r a c t e r i z e d by d i v i s i o n i n t o S o u t h e r n an d n o r t h e r n

R egions. P o r t h i s , r e a s o n the a c t i v i t i e s of (th e

( 2)
C h a n c e l l o r s ) L iu Y e n - t s u n g an d S h i h l i - a i ' w ere

unknown t o t h e c o u r t . W henever m i 1 i t a r y cam paigns

(1) Chi n S h i h , c h . 44, l a - 2 b .

(2) B oth Liu Y en -tsu n g and S hih L i - a i h e l d th e o f f i c e
o f C h a n c e l l o r , S h u-m i S h i h , i n t h e e a r l y y e a r s o f
t h e C h in d y n a s t y . E a r t h s . r a c c o u n t s o f Y e n - t s u n g can
be f o u n d i n t h e n e x t s e c t i o n .
 170

were o y er, t h e y u n d e r t o o k t h e c o n d u c t o f g o v ern m e n t

b u s i n e s s and t h e r e g u l a t i o n o f c i v i l a f f a i r s They

a t t e n d e d t o a g r i c u l t u r e and t h e s t o r i n g o f g r a i n t o

s u p p l y t h e c a p i t a l and p r o v i d e r a t i o n s f o r t h e arm y.
( 1)
S u c h w ere t h e i r f u n c t i o n s . "

"P erhap s n o t h i n g can b e t t e r e x p l a i n t h e a c t u a l r e l a t i o n s h i p

u n d e r t h e S hu -m i Yuan s y s t e m b e tw e e n t h e C h a n c e l l o r s an d

th e co u rt, th an th e f a c t th a t th e C h a n c e llo rs' "a c t i v i t i e s

w e re unknown t o t h e c o u r t ! ”

I h e t h i r d C h in r u l e r , H s i - t s u n g , s u b s t i t u t e d C hinese

title s fo r h is t r i b a l n o m e n c l a t u r e and made many* i m p o r t a n t

re a d ju stm e n ts in his o fficiald o m . The t i t l e S hu -m i S h i h

c o n t i n u e d t o be u s e d b u t t h e power w hich was o r i g i n a l l y

v ested in th a t o f f i c e had changed. H e r e a f t e r h e became

an o f f ic e con cern ed m erely w i t h m i l i t a r y a f f a i r s .

A f t e r t h i s r e o r g a n i s a t i o n o f t h e C h in o f f i c i a l d o m

t h e p o w er o r i g i n a l l y e x e r c i s e d by t h e S h u -m i Yuan f e l l

i n t o t h e h a n d s o f t h e n e w ly e s t a b l i s h e d H s f n g - t ! a i S h a n g - s h u

C h in S h i h , c h . 78, 6 a . Compare t h i s a c c o u n t of t h e
e a r l y C h in o f f i c i a l d o m w i t h th e c a r e e r s o f Han Ch 1 i - h s i e n
g i v e n b e l o w , ( p . 188 ) *
 171

( I')
Sh 6 n g w h ich may he d e s c r i b e d a s t h e 11O f f i c e w h i c h

c a r r i e d out t h e ’F u n c t i o n s o f t h e ‘D e p a r t m e n t of A f f a i r s

of S t a t e " . B e f o r e t h e Ohin c a p i t a l was t r a n s f e r r e d t o

P eking, i t was t h i s o f f i c e which was r e s p o n s i b l e f o r

t h e a d m i n i s t r a t i o n of t h e C h i n e s e p o r t i o n o f t h e C h in

Bmp i r e .

I n 1153? t h e y e a r i n w h ic h th e f o u r t h C h i n r u l e r ?

H ai-n in g , tra n s fe rre d h is c a p i t a l f r o m H u i - n i n g t o P e k in g ?

t h e H s i n g ~ t 1 a i S h a n g - s h u S h e n g was a b o l i s h e d , I h e C h in

r u l e r was now dra w n s o u t h o f t h e G r e a t W a ll an d h i m s e l f

u n d erto o k th e d i r e c t c o n tr o l of th e C h in ese.

A3.th o u g h b o t h t h e S h u-m i Yuan and t h e I i s i n g - t 1 a i

S h a n g - s h u Shdng c o n t r o l l e d C hina on b e h a l f o f t h e C hin

emperor? th e ir n atu res d iffe re d considerably. W h ile t h e

S hu-m i Yuan was a q u a s i - i n d e p e n d e n t organ? t h e H s i n g - t *a i

Shs.ng~shu S h i n g was a n a g e n c y of t h e C h in c e n t r a l

governm ent. I'he cha n g e fro m Shu-m i Yuan t o H s i n g- t 1a i

S h a n g - s hu S h i n g m ean t t h e r e f o r e a r e m a r k a b l e s t e p i n

b r i n g i n g ' t h e C h i n e s e p o r t i o n o f t h e C h i n E m p ire u n d e r t h e

P h i s O f f i c e w as f i r s t e s t a b l i s h e d i n K & i~f§ng. L ater

i t was moved t o ‘P e k i n g .
 \ ‘ “ ' 172 . “‘ • *-

J u r c h e n c e n t r a l government*
I n t h e e a r l y y e a r s o f t h e Mongol-Yuan d y n a s t y , there

e x i s t e d t h e " O f f i c e P e r f o r m in g , t h e D u t i e s o f t h e Grand
I m p e r i a l S e c r e t a r i a t i n s u c h and s u c h an a r e a k j l t h e
H s in g Chung-shu Sheng Bhih $, )% Mu - h u a ~ l i #
th e Mongol C o m m a n d e r-in -Q h ie f, c o n t r o l l e d China ClfVu;..
i n t h e c a p a c i t y o f " P e r f o r m i n g t h e D u t i e s o f t h e Grand
I m p e r i a l S e c r e t a r i a t - i n - g e n e r a l i n t h e area- o f Yun
( T a - t 1ung) and Yen (P e k in g ) (') • T h is o f f i c e
had s i m i l a r f u n c t i o n s a s t h e H s i n g - t fa i S h an g -s h u Sheng tn i Bmni<iirr~nmmif^i\TTfiTn< jnnQTir.mimf innmnim «M■» i mu* *.....» TTrwun hTht.*r» mnf|n t«n-■^ mmtin m y-n, mi imithi TtV^rfri*rT* •• •

i n t h e C hina p e r i o d *
L a t e r , f o l l o w i n g t h e ad v an ce o f theMongol t r o o p s i n ■
*
C h in a , more H sing Chung-shu Sh£ng S h i h were c r e a t e d —
e a c h s h a r i n g p a r t o f t h e "power o f t h e C h a n c e l l o r s
( Shu-mu S h ih ) o f t h e L ia o tim es* G r a d u a l l y th e o f f i c i a l s
h o l d i n g th e H&i n g Qh u n g - s h u Sh§ng S h i h
”* ' ffn-n-ri—t Tn,Tiii1m ii>f,l‘lTi r~i n *■ *rrm rn'n *• "» . i rim.npni i iii 11. < 11
became the
TfT*inrni..(*n rr- r Trrririliii luii a.

h i g h e s t d i s t r i c t g o v e r n o r s and a c o n t r a c t e d form o f t h i s
t i t l e — h s i n g - s h € n g — was used to d e s i g n a t e th e a r e a
they c o n tr o lle d . The term now used f o r . p r o v i n c e s h ^ n g . ,
i s an a b b r e v i a t i o n o f h s i n g - s h § n g .

( l ) Yuan S h i h , 119,2b*
 173

I n t h e e a r l y days o f t h e i r d e v e l o p m e n t , t h e Manchus

f i r s t t r i e d to in c o rp o ra te th e ca p tu red or su rre n d e re d

C hinese i n t o t h e i r t r i b a l o r g a n i z a t i o n — th e B ig h t-B a n n e rs *

A s e p a r a t e C h i n e s e u n i t was. t h u s f o u n d i n e a c h Manchu

B a n n e r «.

A f t e r t h e Manchus had t a k e n S h e n g - y a n g (Mukden)? t h e

c a p i t a l o f the, Chinese, b a s i n i n M a n c h u r i a , they in tro d u c e d

t h e . C h i n e s e g o v e r n m e n t a l s y s t e m and e s t a b l i s h e d t h e S i x

M in istrie s. H e r e S h e n g - y a n g t o o k t h e p a r t p l a y e d by

P e k i n g i n t h e d e v e l o p m e n t of t h e J u r c h e n a n d Mongol

pow ers. T h e r e f o r e ? i n 1644? a f t e r t h e y had a c q u i r e d

Peking? t h e Manchus c o u l d i m m e d i a t e l y move t h e r e a n d

t a k e o v e r t h e Ming m a c h i n e r y of g o v e r n m e n t .

The end o f t h e S h u -m i Yuan s y s t e m s i n t h e l a t e r y e a r s

o f t h e Ohin? Yuan and C h ' i n g d y n a s t i e s ? was n o t t h e end

o f t h e s t o r y o f the. d u a l a d m i n i s t r a t i o n o f t h e s e c o n q u e r o r s

and t h e i r conquered C hinese s u b j e c t s .

A f t e r t h e O h in r u l e r s h ad moved t o P e k i n g ? th ey kept

^ Of. P. M i c h a e l s The O r i g i n of Manchu R u l e i n C h i n a ?

1942? p * 7 6 .
 174

t h e i r Men g - a n a n d Mu-k1 o o r g a n i z a t i o . n o In o rd e r to

s a f e g u a r d t h e m s e l v e s t h e y moved m o s t o f t h e i r M§hg-an

an d Mu~*k' o u n i t s i n t o C h in a p r o p e r ,
rifcuiw*.
Ih e Jurchen people

thus, s e t t l e d down a n d l i v e d s i d e by s i d e w i t h t h e C h i n e s e ,

n e v e r t h e l e s s , " t h e y d i d n o t l i v e i n C h i n e s e c i t i e s an d

tow ns, ih e y b u i l t f o r them selves s to c k a d e s a l o n g s i d e ¥

(I)
th e C hinese v i l l a g e s , 1 f h e y were, g o v ern ed , by t h e i r

own a d m i n i s t r a t i o n , in d e p e n d e n t of t h e C h in ese l o c a l

a u th o rities, Heed3_.ess. t o s a y , t h e Mfeig-an a n d Mu~k! o

w h ic h s t a y e d b e h i n d i n t h e i r h om eland a l s o retain ed

t h e i r o r i g i n a l organizations.

I n t h e Yuan d y n a s t y , a l t h o u g h t h e Mongol' r u l e r s came

t o t h e s o u t h o f t h e G-reat W a l l , t h e mass o f t h e Mongol

p e o p l e r e m a i n e d i n t h e i r hom elan d on the, s t e p p e , fhqy

c o n t i n u e d t o be g o v e r n e d a c c o r d i n g t o t h e . t r a d i t i o n a l

t r i b a l system ,

I h e c a s e o f t h e Manchu B annerm en is; v e r y s i m i l a r t o

t h a t of t h e M dng-an a n d M u-k1 o p o p u l a t i o n o f t h e C h in

tim es, A f t e r t h e Manchus h a d r u l e d i n P e k i n g , t h e y moved

t h e i r B annerm en i n t o C h in a p r o p e r ( j u s t a s t h e M eng-an

/ 1\
' Yu-wSn Mao-chao., op . c i t . , oh . 36, 3 a #
 175

a n d M u-k! o had b e e n moved i n t o C hina p r o p e r by t h e J u r c h e n ) * .£

I h e r e l a t i o n s h i p b e t w e e n t h e Oh1i n g - O h 1 n e s e and t h e Manchu y

B an nerm en can b e s t be shown by t h e f o l l o w i n g q u o t a t i o n hi

'r . :

fro m t h e l a t e P r o f . M§ng S h § n f s i m p o r t a n t e s s a y on t h e

E i g h t - B a n n e r system * P r o f * MSng s a y s : y

11(Throughout t h e Ch1i n g d y n a s t y , £t h e i r ru le r s '] considered h

t h e m s e l v e s a n a t i o n o f t h e Manchus who d i s t i n g u i s h e d :h

t h e m s e l v e s by b e i n g Bannermen* f h e Manchu n a t i o n ;y

was i n t h e i r view t h e h e a r t of t h e Oh' i n g Empire* y

I h e r e w as n o t a Manchu who did. n o t a t t a c h him self to y

one o r o t h e r o f t h e E i g h t B a n n e r s « I t follow s t h a t :v

t h e Oh’i n g E m pire c o n t a i n e d a n a t i o n o f t h e E ig h t :|
1 i
Banners* I n o t h e r w o r d s , t h e Oh*ing E m p ire em b ra c e d i

{1)
a Manchu s t a t e ; C h i n e s e an d Manchus n e v e r i n t e r m i n g l e d * fl ;•
sja 4“ *'•'r;

A. c o m p a r i s o n of t h e d u a l a d m i n i s t r a t i o n o f t h e f o u r y

d y n asties, th e L iao, C h in , Yuan a n d Oh1i n g , p r o v i d e s y

- ':t
a n o th e r u s e f u l i l l u s t r a t i o n of the d i f f e r e n c e betw een :t
’ V“ V iV
• • Oh':'?

t h e nomads a n d t h e sem i-n o m a d s i n r e g a r d t o t h e i r r e a c t i o n ’M

MSng ShSns, A S t u d y o f t h e E i g h t - B a n n e r s y s t e m - :y
( B u l l * o f I n s t * o f H i s t * & P h i l . , Ac* S i n . V o l . V I , l o * 3 0 y
1 -

I■^

:'V (
 176

t o t h e C h i n e s e c u l t u r e and i t s consequences }*

B o t h t h e M eng-an a n d Mu-K1o p o p u l a t i o n o f t h e J u r c h e n ,

and t h e Bannermen of t h e Manchus, a l t h o u g h k e p t u n d e r

sep arate ad m in istratio n , s e t t l e d down on t h e s o i l o f

C hina a n d q u i c k l y he came s i n i c i z e d . (therefore, a f t e r

t h e c o l l a p s e o f b o t h d y n a s t i e s , we s e a a t t h e same t i m e

t h e " e x t i n c t i o n ” o f h o t h p e o p le s :, who w e r e a b s o r b e d i n t o
( 2)
th e C hinesev J *

B o th t h e K h i t a n and. t h e Mongols r e m a i n e d i n t h e i r

h om eland and c o n t i n u e d t o p u r s u e t h e i r o r i g i n a l way o f

life . A f t e r the. f a l l o f t h e i r d y n a s t i e s i n C h in a , a

member o f t h e K h i t a n r o y a l h o u s e was n e v e r t h e l e s s a b l e

t o f o u n d t h e W e s t e r n L iao., K a r a K h i t a i , i n C e n tr a l A sia,

^ Bee p . 75.

^ D r . Owen L a t t i m o r e hois p o i n t e d o u t t h a t , u n d e r t h e
n o n - C h i n e s e d y n a s t i e s , " g a r r i s o n s o f nomad t r o o p s m i g h t
a l s o be., s t a t i o n e d i n C h i n a , e s p e c i a l l y a t f i r s t , a n d t h e s e
r a p i d l y became C h i n e s e . " ( l a t t i m o r e , op* c i t . , p *54 f )
I n f a c t , t h r o u g h o u t t h e - J u r c h e n - C h i n ap.d Manchu-Ch' i n g
d y n a s t i e s , u n d e r t h e i r n a t i o n a l c o n s c r i p t i o n system , th e
g r e a t e r p a r t o f t h e i r p o p u l a t i o n was e n g a g e d i n g a r r i s o n
d u t y i n China* Ihe g a r r i s o n s took t h e i r f a m i l i e s w ith
them* l i i u a , " t h e g a r r i s o n s of nomad, t r o o p s " u n d e r t h e s e
d y n a s t i e s w ere i d e n t i c a l w i t h t h e J u r c h e n a n d Manchu
p e o p l e s , t h e m s e l v e s a n d t h e y became, s i n i c i z e d a s a r e s u l t
o f t h e i r s e t t l e m e n t on C h i n e s e s o i l *
 177

an d a l s o t h e l a s t Yuan e m p e ro r, a f t e r h a v i n g b e e n d r i v e n
(1)
fro m b o t h h i s c a p i t a l s i n l a - t u ( P e k i n g ) a n d S h a n g t u ' ,

c o u l d s u c c e e d i n f o u n d i n g t h e N o r t h e r n Yuan d y n a s t y t o

t h e n o r t h o f t h e G r e a t D e s e rt-.

(i) See. a b o v e , p . 68 n o t e
 178

(V) "Erom T r i b e s t o E m p ires" -- II.

The C o n t r i b u t i o n s , made by C h i n e s e i n t e l l e c t u a l s
to w ard s, t h e f o u n d a t i o n o f d y n a s t i e s i n C hina by
t h e nomads *

I n t h e f o l l o w i n g p a g e s . we s h a l l , t r y t o g i v e a n

a c c o u n t o f t h e c a r e e r s o f a number o f C h i n e s e i n t e l l e c t u a l s

(among whom a r e i n c l u d e d men of C h i n e s e c u l t u r e who w e re

n o t r a c i a l l y C h i n e s a) who h e l p e d t h e nomads t o f o u n d

d y n a s t i e s i n C hina. W h i l e t h e o c c u p a t i o n o f P e k i n g by

t h e s e , nomads., may be r e g a r d e d a s t h e f i n a l s t a g e i n t h e

d e v e l o p m e n t o f t h e i r n o m ad ic pow er, i t w aa by w i n n i n g

th e c o - o p e r a t i o n of t h e s e i n t e l l e c t u a l s t h a t th e y were

able, i n some c a s e s , t o t a k e P e k i n g , and i n o t h e r s to

hold i t .

I n t h e c a r e e r s , of t h e s e men one w i l l s e e t h e d i f f i c u l t i e s

t h a t a r o s e i n t h e e a r l y p h a s e s of t h e c o n t a c t b e t w e e n t h e

nomad c o n q u e r o r s a n d t h e c o n q u e r e d C h i n e s e , and t h e s t e p s

by w h i c h t h e c o n q u e r o r s g r a d u a l l y a d a p t e d t h e m s e l v e s t o

the. c o n d i t i o n s of th e conquered — i . e . how a C h i n e s e

s y s t e m o f g o v e r n m e n t was g r a d u a l l y s e t up a l o n g s i d e t h e i r

o rig in al tr ib a l o rg a n isa tio n . W h ile t h e o r i g i n a l way cf

life o f t h e s e nomads l e n t th em t h e m i l i t a r y pow er w h ic h

e n a b le d , them t o w in t h e i r campaigns, a g a i n s t t h e C h i n e s e ,
 " 179 '

i t was t h e s e r v i c e c o n t r i b u t e d by t h e s e i n t e l l e c t u a l s

t h a t made p o s s i b l e t h e i r c o n t i n u e d r u l e ov-er t h e C h i n e s e .

I t was n a t u r a l t h a t t h o s e nomads who l i v e d , i n t h e

n e i g h b o u r h o o d o f China: c o u l d more e a s i l y a p p r e c i a t e th e

i m p o r t a n c e o f t h e c o - o p e r a t i o n of t h e C h i n e s e and a d a p t

th e m s e lv e s t o th e C hinese sy stem of g overnm ent. T h is

i s t h e r e a s o n why n e a r l y a l l t h e n o n - C h i n e s e d y n a s t i e s

o r i g i n a t e d fro m a r e a s a d j o i n i n g t h e b o u n d a r y of C h i n a .

Among t h e f o u r n o n - C h i n e s e d y n a s t i e s w h i c h we h a v e

c o n s ta n tly m entioned, t h r e e -— t h e L i a o , -Ohin a n d Ch1i n g

-— o r i g i n a t e d f r o m t h e s e a r e a s .

H ere, i n so f a r a s t h e n a t u r e o f t h e s e d y n a s t i e s i s

concerned, o u r s u r v e y , w h i c h i s b a s e d on h i s . t c r i c a l

accounts, has reach ed q u i t e in d e p e n d e n tiy c o n c lu s io n s

s i m i l a r t o thos.e o f D r. L a t t i m o r e b a s e d m a i n l y on ec o n o m ic

i nve s t i g a t i o n s .

D r . L a t t i m o r e d i s t i n g u i s h e s t h r e e type s o f s o c i e t i e s

i n C hinese h i s t o r y : (X) t h e t r u e C h i n e s e -— t h e t y p i c a l

a g ric u ltu ra l so ciety , (2) the tru e steppe, the t y p i c a l

n o m ad ic so c i t y an d ( 3 ) t h e b e l t of m a r g i n a l -lan ds o f

m ixed c u l t u r e i n b e t w e e n them . He p o i n t s o u t t h a t ,!bhe

t r u e C h i n e s e m i g h t t r y to s p r e a d t h e i r p o w e r up t o t h e
 180

I n n e r A sian f r o n t i e r , b u t n o t boyond i t , t h e t r u e nomad

m ig h t r a i d a n d p l u n d e r C h i n a , b u t t h e y d i d n o t know ho#

t o o ccup y and. r u l e i t . ux ' Only men o f t h e b o r d e r who

knew, t h e s t r u c t u r e o f po w er b o t h i n t h e s t e p p e a n d i n

China w e re a b l e t o f o u n d nomad d y n a s t i e s whose po w er

( 2)
o v e rla p p e d b o th i n t o th e s te p p e and i n t o C hina. '

I t w ould seem t h a t D r. L a t t i m o r e * s comment on t h e

a t t i t u d e o f t h e t r u e nomads t o w a r d s C hina i s a l s o a p p l i c a b l e

t o t h e nomads on h i s m a r g i n a l b e l t i n t h e e a r l y p e r i o d

of t h e i r p o w e r . D u r i n g t h a t p e r i o d t h e y knew l i t t l e of

th in g s C hinese, f h e p r i m a r y a im o f t h e i r cam paigns

a g a i n s t C h in a was m e r e l y p l u n d e r . 'I'hey a l l f i r s t t r i e d

t o i n c o r p o r a t e t h e s u r r e n d e r e d C hinese i n t o th eir trib a l

p a t t e r n — a n a t t e m p t which t h e y w e re s u b s e q u e n t l y c o m p e l l e d

to abandon.

l l ie M ongol-Y uan d y n a s t y s h o u l d be r e g a r d e d a s b e l o n g i n g

to th e tru e step p e group. H e r e we d i f f e r * w i t h D r. L a t t i m o r e

who m a i n t a i n s t h a t t h e Mongols r o s e f r o m t h e b o r d e r o f

th e step p e.^ ^ I n t h e s u c c e s s o f t h e Mongol we s e e t h a t

^■ ^0. L a t t i m o r e , op . c i t . , p . 544-*
I.HHHfTWt I !!!>■

( 2 h b i d , p . 543-

^ ' i b i d , p . 541.
 181
I

t r u e nomads c o u l d a l s o fo u n d a d y n a s t y i n C h i n a , p r o v i d e d

t h a t t h e y c o u l d a p p r e c i a t e t h e i m p o r t a n c e o f t h e co­

o p e r a t i o n of t h e C h i n e s e .

A l t h o u g h t h e nomads h a d a l r e a d y he gun t o t r y t o a d a p t

th e m se lv e s t o th e C hinese system of governm ent b e f o r e t h e y

came a c r o s s t h e G r e a t W a l l , i t w as n o t u n t i l a f t e r t h e y

h ad a c t u a l l y moved to P e k i n g t h a t t h e y c o m p l e t e d t h e

p r o c e s s o f f o u n d i n g a ’’C h i n e s e ” d y n a s t y . The L i a o 103 v e r

moved t o P e k i n g , i t m a i n t a i n e d t h e S h u -m i T u a n s y s t e m

throughout its existence, and, t h e r e f o r e , was n e v e r

t r a n s f o r m e d i n t o a p r o p e r 11C h i n e s e ” d y n a s t y . B efore i t

moved t o P e k i n g t h e C h in , and a l s o t h e Yuan a n d 0 h f i n g ,

w ere i n a s i m i l a r p o s i t i o n t o t h a t o f t h e L i a o .
ifl J4*

IChe a c c o u n t s g i v e n i n t h e f o l l o w i n g p a g e s of t h e

c a r e e x *8 o f some o f t h e s e i n t e l l e c t u a l s a r e b a s e d o n t h e i r

bio g rap h y i n th e o f f i c i a l h i s t o r i e s of t h e d y n a s tie s

concerned. For th e convenience readers, im p o rtan t

a n c i e n t p l a c e names h a v e b e e n ch a n g e d i n t o m odern o n e s .
 182

U ) QJhe K hitan-Liao period, (906-1125)

P i r s t two r u le r s :
Apaoki (1* a i - t s u , 9 0 6 - 9 2 6 )
Y eh-lu ie-k u an g ( I *ai - 1 sung, 926-947)

C a p ita l: Lin-huangv,( in n o rth -w estern Jeh ol)

Annexation o f P e k in g : ,936.

1) K'ang Hei-chijf<JiCit).

K* ang M ei-eh i was a p e t t y o f f i c i a l i n Chi-ohou ( e a s t

of Peking) . When Apaoki a tta ck ed Chi-chou, M ei-ch i was

taken p r is o n e r . Apaoki valued his. a b i l i t y and l e t him ;

remain in h i s own u n i t . He en tru sted him w ith the

s e ttle m e n t o f d is p u te s between th e k h ita n and th e C hinese.

M ei-eh i*s d e c is io n s always met w ith the emperor's approval.

As th e v a rio u s d i s t r i c t s had only r e c e n t l y been brought

under c o n tr o l, th e laws were in ad eq u ate. M ei-ch i in te r p r e te d

th e i n t e n t i o n of th e law. and then always p assed judgements

which were a p p rop riate to the c a s e s . Even the c o n v ic ts

were s a t i s f i e d w ith th e f a ir n e s s o f h i s judgements. Soon

he was appointed the l e f t Shang-shu h

When, in 9 1 8 , the b u ild in g of the c a p i t a l was s t a r t e d ,

M ei-ch i su p erv ised th e work. P eop le a l l h u rried to

a s s i s t w ith t h i s work, and in one hundred days i t was

accom p lished. In 920 he was appointed th e I - l i - p i , th e

Grand Judge of th e C a p ita l.

 183

When A-paoki l e d h i s s o u t h e r n c a m p a ig n t h r o u g h t h e

Chu-yung Kuang P a s s , M e i - c h i was o r d e r e d t o l e a d t h e

C h i n e s e C orps t o a t t a c k t h e w a t e r - f o r t r e s s a t Chf a n g - l u ,

w h e r e h e t o o k many c a p t i v e s . M e i-c h i. was among A p a o k i ’ s

( I ')
lie u te n a n ts , i n founding the dy n asty . 1

2) H an Y e n - h u i t f

Han Y e n - h u i was a n a t i v e o f A n - t s ' u c o u n t y o f Yu-chou

(P eking) . H i s f a t h e r s u c c e s s i v e l y h e l d t h e o f f i c e of t h e

p r e f e c t o f C h i , J u an d Shun p r e f e c t u r e s . Y e n - h u i was

b r i l l i a n t a s a young man. The g o v e r n o r o f Yen ( t h e

r e g i o n s a r o u n d P e k i n g ) , L i u JSn-kurg>; a p p o i n t e d him

s e c r e t a r y o f t h e g o v e r n o r* s o f f i c e . At a l a t e r d a t e L iu

ShQ u-kuang, s o n o f L i u J e n - k u n g ( and who s u c c e e d e d h i s

f a t h e r a s g o v e r n o r o f Yen\; s e n t him a s e n vo y t o t h e

K hitan c o u rt. A p a o k i d e t a i n e d him. i n a n g e r a t h i s

unsu b m issiv e m anners. The Em press S h u - l u a d v i s e d t h e

e m p e r o r t h a t Y e n - h u i 1s u n y i e l d i n g a t t i t u d e was a p r o o f

t h a t h e was a good o f f i c i a l a n d t h a t h e s h o u l d n o t t r y t o

h u m i l i a t e him . A p a o k i summoned him f o r a d i s c u s s i o n a n d

was a t t r a c t e d by h im . He i n s t a n t l y o r d e r e d him t o work

on t h e m i l i t a r y s t a f f . The s u c c e s s of t h e cam p aig ns

a g a i n s t T a n g - h s i a n g , S h i h - w e i and a num ber o f o t h e r t r i b e s

(1) L iaT ^ h ih , 7 4 ~ lb “ “ ' ’ -
 184

was l a r g e ly due to Y en -h u i's planning*

fhen Yen-hui su g g ested to Apaoki th at w a lled c i t i e s

should he b u i l t and markets and houses planned i n order to

r e s e t t l e the Chinese who had surrendered. He fu rth er

arranged f o r them to marry among them selves and had them

taught how to c u l t i v a t e th e land in order to provid e a

means of su b siste n c e * Ihe r e s u l t of h is p o li c y was that

few of them ever t r ie d to abscond.

A f te r r e s id in g among the Khitan fo r some tim e, Yen-hui

began to f e e l homesick. He composed a poem to ex p r e ss

h is emotion and returned t o jo in the i'a n g* Soon he got

in to tro u b le w ith a f a n g g e n e r a l. F earing th a t he

might g e t in to d i f f i c u l t i e s , he went to s e e h i s mother

i n Peking where he took s h e l t e r in the home of one of

h is friends.* His fr ie n d asked him where he in ten d ed to

go. Yen-hui t o ld him th a t he was going to r e tu r n to

Khitan. His fr ie n d exp ressed h is doubts as t o the wisdom

of h is d e c i s i o n . Yen-hui t o ld him th at Apaoki was as

much l o s t w ithout him as he would be i f ilia hands were

m issin g , and was th e r e fo r e c e r t a in to be gla d t o s e e him

a g a in .
When he returned to Khitan Apaoki was d e lig h te d and
■bestowed on him t h e n ick n am e h s i a - l i e h , # a i c h means i n

t h e K h i t a n l a n g u a g e 11t o come h a c k a g a i n . 11

Y e n - h u i was one o f Apaoki* s l i e u t e n a n t s i n f o u n d i n g

h i s d y n a s t y . (1}*

(B) 'JJhe J u r c h i n - C h i n p e r i o d ( 1 1 1 5 - 1 2 3 4 )

F i r s t fo u r ru lers.:
A g u ta ( f 1a i - t s u j 1 1 1 5 -1 1 2 3 )
W u - c h ' i - m a i ( i u a i ~ t s u n g , 1 1 2 3 -1 1 3 4 )
H s i - t s u n g (1 1 3 5 - 1 1 4 8 ) .
H a i- n in g (1149-1161)

O rig in a l C a p ita l: H ui-ning ( e a s t of K irin ,

M anchuria).
A n n e x a t i o n o f P e k i n g : 1125*
Removal o f c a p i t a l to P e k i n g : 1153*

1) L iu Y e n - t s u n g ^ / |^

L i u Y e n - t s u n g was a n a t i v e of w & n - p ' i n g c o u n t y o f

fa.-h sin g (P eking) . Members o f s i x s u c c e s s i v e g e n e r a t i o n s

o f the* L i u f a m i l y h a d s e r v e d t h e L i a o c o u r t a s c h i e f

m in isters.. Y en-tsung p a sse d h is c h in - s h i h ex a m in atio n

w ith second c l a s s h o n o u rs . A f te r f ’i e n - t s o , the l a s t

L iao em peror, had f l e d t o Q } 'i e n - t § , h i s u n c l e Y e h - l u Y a - l i

t h e P r i n c e o f Ch* i n - c h i n , p r o c l a i m e d h i m s e l f e m p e r o r i n

^ L iao S h ih , 74, 2 a .
 186

P e k i n g a n d Y e n - t s u n g was a p p o i n t e d t h e L i u - s h o u P ’ a n - k ' u a n

% ^ -H % • D u r i n g t h e r e g e n c y o f E m p ress Dowager

H s i a o , who r u l e d i n P e k i n g a f t e r t h e d e a t h o f Y e h - l u Y a - l i ,

Y e n - t s u n g was a p p o i n t e d A s s i s t a n t O f f i c e r i n t h e C h a n c e l l e r y

(Shu-m i Y u a n ).

When A g u ta r e a c h e d Chu-yung Kuang P a s s , t h e Em press

H s i a o f l e d v i a t h e K u - p e i Kou P a s s . The L i a o army

I n s p e c t o r Kao L i u s e c r e t l y o f f e r e d h i s a l l e g i a n c e t o A g u t a ,

who t h e n u n e x p e c t e d l y a r r i v e d , a t t h e s o u t h e r n subux*b o f

P e k i n g , and camped t o t h e s o u t h of t h e c i t y . Y en-tsung,

w i t h QJao C h * i - k u n g a n d o t h e r h i g h r a n k i n g L i a o o f f i c i a l s ,

p r e s e n t e d a m e m o r i a l a s k i n g t o be a l l o w e d t o s u r r e n d e r .

As s o o n a s A g u ta saw Y e n - t s u n g he was i m p r e s s e d by him .

He p e r m i t t e d him t o r e t a i n h i s o r i g i n a l p o s t . S o o n Y en-

t s u n g was a p p o i n t e d t h e L e f t P'u-ijM ^-fH',

W h i l e v i s i t i n g t h e Y u an -y an g Lake, A g u ta f e l l i l l a n d

s o h e r e t u r n e d t o t h e Supreme C a p i t a l ( H u i - n i n g ) . He

a p p o i n t e d t h e J u r c h e n g e n e r a l I s u n g - h a n t o command t h e

army w i t h Y e n - t s u n g t o a s s i s t him t o c o n q u e r t h e C h i n e s e

p o r tio n of th e L iao.

L a t e r , Y e n - t s u n g was p r o m o t e d t o C h i e f M i n i s t e r
 187

g iv e n c o n t r o l o v er a f f a i r s of t h e C h a n c e lle r y (Shu-m i
( I')
Yuan)' ' and g r a n t e d t h e t i t l e of S h i h - c h u n g . A fterw ards

h e was a g a i n a p p o i n t e d a s s i s t a n t t o a n o t h e r J u r c h e n g e n e r a l ,

fsung-w ang. le.ung-w ang s u g g e s t e d t o t h e C h i n e m p e r o r

t h a t as th e ca m p a ign a g a i n s t t h e Sung was t o be s t a r t e d ,

t h e a d m i n i s t r a t i o n o f t h e p r e f ectujfesand c o u n t i e s s h o u l d be

e n tr u s te d to Y en-tsung.

I n 1125 t h e e x p e d i t i o n a g a i n s t t h e Sung was s t a r t e d .

Y e n -tsu n g s u g g e s te d t e n measures* He was a p p o i n t e d t o

h o ld c o n c u r r e n t l y th e o f f i c e of Com m ander-in-C hief

o f t h e C h i n e s e a rm y .
(2)
A f t e r t h e s u r r e n d e r o f P e k i n g ' * t h e C h in e m p e r o r

i n v e s t e d Y e n - t s u n g w i t h t h e a u t h o r i t y t o a p p o i n t on h i s
( 3)
b e h a l f a l l t h e o f f i c i a l s fro m t h e f i r s t g r a d e down. '

I n t h e e a r l y p e r i o d o f t h e C hin d y n a s t y , a s i n t h e
L i a o t i m e , t h o s e who h e l d t h e o f f i c e of C h a n c e l l o r w ere
r e s p o n s i b l e f o r a f f a i r s of s t a t e .

The s u r r e n d e r h e r e r e f e r r e d t o was o f f e r e d by t h e
g o v e r n o r a p p o i n t e d by t h e Sung w h i c h h e l d P e k i n g f o r t h e
s h o r t p e r i o d f r o m 1123 t o 1125* See a b o v e p . 157*

^^ C h i n S h i h , 7.8, 1 f t .
 188

2) Han Oh’ i - h s i e n | | , f c £ j

Han O h ' i - h s i e n was. a n a t i v e o f Peking.*. One of His

an cesto rs, C hih-ku, n in e g e n e r a t i o n s e a r l i e r , h ad b e e n

C h i e f M i n i s t e r ( C h u n g -sh u l i n g ) u n d e r t h e X ia o d y n a s t y *
(I)
The f a m i l y moved t o L i u - C h ’ Sng v ' an d f l o u r i s h e d t h e r e

f o r many g e n e r a t i o n s . I n a b o u t 1 11 5 , Oh1i - h s i e n p a s s e d

h is c h in - s h lh exam ination, b u t he d i d n o t i m m e d i a t e l y

a t t a i n a high p o s i t i o n .

When t h e J u r c h e n g e n e r a l Kao c o n q u e r e d t h e C e n t r a l

C a p ita l (o f L iao ), Oh* i - h s i e n was p r o m o t e d t o a s e n i o r

p o st in th e C h an cellery . L a t e r he was t r a n s f e r r e d in t h e

o f f i c e o f C o m m iss io n e r i n c h a r g e o f t r a n s p o r t a t i o n .

I n 1128 L i u Y e n - t s u n g d i e d . O h * i - h a i e n s u c c e e d e d him

as th e C hief M in is te r (& , i n charge of th e

affairs o f t h e C h a n c e l l e r y (S h u - m i Y u a n ) .

A f t e r h i s c o n q u e s t o f P e k i n g Ag u t a em p lo y ed t h e

C hinese t i t l e s f o r t h e c h i e f m i n i s t e r s h i p t o w h i c h P se

Ch1i - k u n g a n d o t h e r s u r r e n d e r e d L i a o o f f i c i a l s w e r e

appointed. L a t e r a G ran d I m p e r i a l S e c r e t a r i a t ( C h u n g -sh u

W
fcj»i£WW^ .« n*rHT»V»ir l rn-lM-r-M.iTiiM.i^ in i^ i iwi. it! *miiiI ?■■■■» « • ■■'i «>*> ' H f I'Wft«i*«*i»''» *>!■ ' i<i*Tffi1WrT*iM irt>- i-TT-iirifci-' l l t if - - "■■■ •• * 1 1 T|,ll> l »***—* i*n*.i »>■■■■■ i n*. i n l >"*** l-*n

^ M odern L i n - y u a n i n s o u t h - e a s t e r n J e h o l .
 189

Slaving ) s n l a C hancellery ( Shu-mi Yuan) were

(1) >
e s t a b l i s h e d i n Kuang H in g ' '$frt I n h is co u rt,

h o w e v e r, th e C hief M i n is te r s t i l l bore t h e Ju rc h e n t i t l e s .

ho a t t e m p t s w ere made t o w a r d s t h e a l t e r a t i o n o f t h i s

s i t u a t i o n i n t h e e a r l y y e a r s o f t h e r e i g n o f Wu-oh* i - m a i .

I n 1124 b o t h o f f i c e s w e r e moved t o P ’ i n g - c h o u ^

and i n 1125 to P e k i n g . A l l th e f u n c t i o n s i n t h e C hinese

t e r r i t o r y s u c h a s t h e a p p o i n t m e n t of o f f i c i a l s , th e

c o n s c r i p t i o n of s o l d i e r s , and t h e l e v y i n g o f t a x e s , w e re

p e r f o r m e d by t h e s e o f f i c e s a c t i n g i n t h e e m p e r o r ' s name.

Prom t h e t i m e o f S h i h l i - a i , L i u Y e n - t s u n g t i l l t h a t of
( 3)
0hfi-h sie n , t h e d u t i e s o f t h e Chie.f M i n i s t e r w e r e s i m i l a r . '

(C) I h e Mongol-Yuan p erio d (1 2 0 6 -1 3 6 8 )

P irs t fiv e ru le rs :
Chinghia ( 1 1a i - t s u , 12G 6-1227)
O gotai ( l lf a i - t s u n g , 1 2 2 9 - 1 2 4 1 )
Kuyuk ( l i i n g - t s u n g , 1 2 4 6 -1 2 5 0 )
Mangu ( Haien-tau)fig)1251 - 1 2 59)
IChubilai ( S h ih - t s u , 1 2 6 0 -1 2 9 4 )

Modern P ei-ch S n i n s o u th -e a s te r n corner of

Manchuria., near Chin-ohou.
Modern Ch’a n g - l i to th e west o f Shanhaikuan.

C hin S h ih , 78, 5a.

 190

0 r i g i n a l C i t a l : Karak orum
Annexation o f Peking: 1215 .
Removal of C a p ita l to Peking: 12 61.

fh e Mongols emerged from th e depth o f the s te p p e .

Ihe. co n tr a st between t h e i r o r ig in a l way o f l i f e and the

Chinese c u ltu r e was sharper than one has se e n i n the

examples i n th e Liao and Chin.

1) Y eh-lu C h *u -tsfa i .

Y eh-lu C h ' u - t s ' a i was a descendant i n the e ig h th

g e n e r a tio n of th e P r in c e lu n g -ta n o f Liao (1} . When he

was th ree years o f age h is f a t h e r d ie d . His mother, Yang,

taught him. When he grew up, he had a w ide and good

knowledge of c l a s s i c s as w e ll as t h e works o f various

s c h o o ls of p h ilo s o p h e r s . lie under-stood a ls o astronomy,

geography, music, chronology, m agical c a l c u la t io n , buddhist

and f a o i s t te a c h in g s and m ed icin e. He wrote so q u ick ly

th at i t was as i f he had p r e v io u s ly had th e d r a f t prepared.

Under th e Chin he f i r s t h eld an o f f i c e in one of th e

M in istr ie s, l a t e r he was promoted t o th e p r e f e c t of

Ka.o-chou* In 1 2 1 4 the Chin emperor Hsu&n-tsung moved

from Peking to K 'a i-fS n g . Wan-yen Pu-hsing was en tru sted

^ p r in c e lu n g -ta n was the e ld e r brother of the se c o n d

l i a o emperox^ Y eh-lu 1 6 -kuang.
 191

w ith the defence o f P ek in g. On Pu~hsing1s recommendation

Q h 'u - t s 'a i was ap p oin ted th e T so-y u -ssu Y uan-w ai-lang,

a high m i n i s t e r i a l p o s t .

A fte r Ohinghis had taken Peking, he heard of Oh'u—t s ' a i ’ s

fame and summoned him fo r an in te r v ie w . Ghinghis. was

im pressed by h i s lo y a lt y to the Ghin and ordered him

to se r v e i n h i s entourage.

G h 'u -ts 1a i* s p r e d ic tio n s always came t r u e . I h ia won

Ohinghis* co n fid en ce in h i s knowledge. Once, p o in tin g

a t Oh* u-‘t s * a i , Ghinghia s a id to Ogotai: "This man i s

bestowed on our House by Heaven. You should i n fu tu re

en tr u st him w ith a l l kinds of a f f a i r s of s t a t e ."

In 1226 O h*u-ts*ai accompanied Ohinghis when he took

lin g -w u ( H in g - h s ia ) , th e c a p it a l of H s i - h s i a . Ihe

g en era ls a l l scrambled to s e i z e s la v e s or gold and s i l v e r .

O h * u -ts'a i alo n e c o l l e c t e d th e abandoned books and rhubarb

and o th er kinds of drugs, l a t e r th e s o l d i e r s s u ffe r e d

from p e s t i l e n c e which was cured by th e rhubarb.

As Ohinghis p e r s o n a lly engaged in the campaigns a g a in s t

C entral Asia., he found no tim e to s e t up r u le s f o r the

government of China. The d i s t r i c t governors could spare

or k i l l according to t h e i r whims. (They even enslaved

 192

c i v i l i a n s ’ wives, or dau gh ters, s e iz e d t h e i r p r o p e r t ie s

and annexed t h e i r la n d s . The governor i n Peking was more

covetous and c r u e l. He k i l l e d so many p eo p le t h a t th e

corpses f i l l e d th e market p la c e .

Having heard o f t h i s , C h 'u - ts ’a i wept and im m ediately

m em orialized Ghinghis th a t he should c u r t a i l the power

of the l o c a l g o vern o rs. U n le s s in stru cted , by th e e d ic t s

b earing im p eria l s e a l s , they should not l e v y t a x e s .

E xecu tion of crim in als who were s u b je c t to t h e death

p en a lty should be approved by the cou rt. Those o f f i c i a l s

who d isob eyed sh o u ld s u f f e r death.

In 1227 Ohinghis d ie d . In 1229 Ogotai came to the

throne .

During Ohinghis 1 r e ig n , meat of the o f f i c i a l s i n China

amassed fo r tu n e s th em selv es, some amounting to hundreds

of thousands, w h ile th e government’ s s t o r e s w ere empty.

B i e h - t i e h and oth ers o f O g o ta i’ s entourage su g g e ste d th a t

s in c e th e Chinese were o f no help to th e country i t would

be w e l l to g e t r i d o f them and make th e land in t o p a s tu r e .

Gh’u - t s ' a i s a id : ’’Your M ajesty i s about to b e g in the.

southern campaign. There sh ould be some p r o v is io n fo r

su p p ly in g th e arm ies. I b e l i e v e th a t i f we c o l l e c t th e

t a x e s on land and on commodities, as w e l l as th e p r o f i t s

on s a l t , wine and ir o n , and th o se from th e mountains

and la k e s , then we can ob tain annually 5 0 0 ,0 0 0 t a e l s of

s i l v e r , 8 0 ,0 0 0 r o l l s o f s i l k , and over 400,000 sh ih

of g r a in . This i s enough to supply th e arm ies. How can

one say t h i s i s no help?" Ogotai sa id : "You s h a l l attem pt

t h i s on Our b eh a lf." C h 'u - t s 'a i th en su g g este d th a t

ta x commissioners be a p p o in ted f o r Yenehing (P eking)

and n in e other p ro v in ces ( l u & ). Only Confucian

s c h o la r s were appointed as commissioners and d e p u tie s .

Their s t a f f s were composed o f men from the government

m i n is t r i e s and bureaux of the former government.

I n t h e a u tu m n o f 1 2 3 1 , O g o t a i r e a c h e d T a - t » u n g . The

ten p ro v in ces a l l subm itted t h e ir granary a cco u n ts, and

go ld and s i l k were l a i d out in the cou rtyard . O gotai,

s m ilin g , s a id to G h 'u - t s 'a i: "Without le a v in g my s i d e , you

have provided f o r th e n a tio n a l exp en d itu re. I s th ere any

m in is t e r a t the Chin court as a b le as you?" O h 'u - t s 'a i

r e p lie d : "Those a t the Chin court are a l l w o r th ie r than

I. Because I have no a b i l i t y , I was l e f t i n P ek ing and

*

was. thus enabled to se r v e your Majesty." Ogotai p r iz e d

h is modesty and o ffe r e d him wine. The same day he was

 194

4 ( 1)
appointed "C hief M in iste r H ( Chung-shu. l i n g )
A l l m atters, whether important or n ot, had to he made

known to him b efore reaching the emperor.

In 12.36 a l l th e Mongol p r in c e s came t o pay t h e i r

homage t o O gotai. Ogotai, h old in g a g la s s o f w ine,

bestowed i t on Ch’u - t s ' a i and sa id : "That I w h o le-h ea rted ly

t r u s t you to d e a l w ith s t a t e a f f a i r s i s due to the l a t e

emperor 1 s i n s t r u c t i o n . Without ycu , th e s i t u a t i o n in

China would not be what i t i s . That I am a b le to r e s t

p e a c e f u lly in bed i s due to your e f f o r t s . ”v J

N1 )1 I f t h i s account, ^given i n the Yuan H isto r y , o f th e

(

appointment of Y eh-lu O h 'u - t s 'a i to th e p o s t of c h ie f

m in is t e r i s compared w ith the contemporary rep o rts of
two Southern Sung en voys, i t becomes even more apparent
how p r im it iv e were the Mongol conquerors, even i n Ogotai* s
tim e, and how dependent on th e s e r v ic e s o f the s c h o la r -
adm inist r a te r s o f th e former regime. 12'Sng Ta-ya
who v i s i t e d O gotai .1s court in 1234 remarks: "The p r is o n e r s
taken from v a rio u s n a tio n s are s t y l e d 11 ohje f m in is t e r ” ,
" g e n e r a l” , " m in ister1’ , "governor” or whatever e l s e they
th em selves choose t o - b e *c a l le d . There e x i s t e d no such
th in g s as im p eria l e d i c t s t o s a n c tio n th e appointment
IIsu f ’ in g who v i s i t e d Mongol i n 1236 a ls o remarks:
"As f o r t h e i r o f f i c e of Chief M in ister - Y eh -lu Ch’u - t s *ai
now h o ld s i t - i t i s s t y l e d by Ch’u - t s ' a i h im self as
Chung-shu £ lin g ^ . He i s not appointed by the T artar r u le r
(For P ’ &ng Ta.-ya and Hsu T’ in g , see P . e l l i o t ’ s a r t i c l e on
Wang kuo-wei in f 1 oung P.ao, V o l . 26, 1929* P * 167)*
( 2 ) Yuan Shih, 146, p . l f f .
 195

2) L i e n Hs i - h s i e n

Lien H a i-h s le n was a Uighur. While K h u b ilai was a

pi'in ce, H a i-h s ie n served him in h is p r in c e ly o f f i c e .

Khubil&i a p p recia ted h is mariners and knowledge. H a i-h sie n

was d i l i g e n t i n stu d y in g c l a s s i c s and h i s t o r i e s . He was

never w ith o u t a book in h is hands . One day w h ile reading

Mencius he was summoned by K h u b ila i. He ca rried th e

book i n h is bosom and p resen ted i t to K h u b ila i. K hubilai

asked him what i t was about. He exp 1 aim d to him the

te a c h in g s o f Mencius. K h ubilai a p p recia ted them v ery

much and c a lle d him Lien Men-tzu (the-M encius named Lien) .

A f t e r K h u b i l a i came t o t h e t h r o n e H s i - h s i e n s e r v e d

him i n v a r i o u s c a p acitie s.

In 1275 the Xu-ch 1 &ng A lih a iy a captured C h ia n g-lin g

( c e n t r a l Hupeh), of which he made a map. He subm itted

t h i s t o th e court, and req u ested th e appointment of a

high o f f i c i a l t o s e t up an a d m in is tr a tio n . K hubilai

u r g e n tly r e c a l l e d Hs i - h s i e n and appointed him as the

Commissioner of the MO ffic e which ca rried out the fu n c tio n

of th e Department Of A f f a i r s of S t a t e '1 in the Ching-nan

area of Southern Hupeh. He perm itted him to s i t , and

t o ld him: HWe have acquired Ching-nan. We d e s ir e th a t

 196

th o se who have r e c e n tly surrendered should be made, aware

o f Cur grace, and that th o se who have not y e t come, over

should i n c l i n e towards u s . When the Sung le a r n th a t our

court has a m in is te r l i k e you, t h e i r h e a r ts w i l l be won

over. The South i s low and damp, and unh ealth y f o r you,

but now th a t 1 en tr u st you w ith t h i s important work, I

th in k you w i l l not r e f u s e . n Ha a ls o a u th orized Hs i - h s i e n

to appoint on his. b e h a lf o f f i c i a l s below th e th ir d rank.

In th e heat, of summer H s i-h a ie n h a s t i l y s e t ou t.

A rriv in g a t t h e c i t y he r e sto r e d order and s e t trade

i n m otion, promoted b e n e f i c i a l measures and removed

abuses; both c i v i l i a n s and s o l d i e r s were calmed.

F i r s t o f a l l he r e g is t e r e d the capable members of

t h e Sung s t a f f s , of the Hsusn~fu~ssu ( the o f f i c e

o f the Commissioner i n charge of d i s t r i c t m il it a r y a ffa ir s .)

and the Ghih-ohih-ssiu ( t h e o f f i c e of th e Commissioner

i n charge o f th e d i s t r i c t c i v i l a f f a i r s ) i n order to

provide a d v is o r s . From th ese he s e le c t e d more than twenty

men whom he employed accord in g to. t h e i r c a p a c i t i e s . His

f o llo w e r s were uneasy about t h i s , but H s i-h a ie n sa id ;

11Now they are a l l s u b j e c t s of our n a tio n , why b© s u s p ic io u s

of them? u
 197

A fte r th e main framework had been s e t up he sa id ;

"Education must not be d elayed." IVhen he b u i l t a number

of s c h o o ls , s e l e c t e d teachers., bought co p ies of th e

c l a s s i c s and o th er books and h im s e lf d a ily v i s i t e d th e

sc h o o ls in order to encourage the s tu d e n ts .

Afterwards, d if f e r e n t peoples- from Chlungking and other

p la c e s in the south-w est., which was s t i l l under th e

Sung c o n tr o l, crossed th e t e r r i t o r y o f th e Mongol governor

i n h is neighbourhood to o f f e r su rren d er, This came to

the ear o f K h u b ilai, who said? "Our former rulers, could

not g e t t e r r i t o r y w ithout u sin g weapons. Kow H s i- h s ie n

i s a b le t o make p eop le from hundreds o f l i away cross to

h is t e r r i t o r y to o f f e r t h e i r la n d s, t h i s shows th e s u c c e s s

of h is a d m in istr a tio n ." (1}

v '

Yuan S h ih , 126, 3a f f . I t would be a m istake to t r u s t

too much i n th e accounts, given i n t h i s p a ssa g e and to
assume th at K hubilai had adopted. Chinese, governmental
system in i t s e n t i r e t y , The fo llo w in g memorial p resen ted
to K hubilai i n 1265 by Hsu I l ' & i g , a g r e a t contemporary
sc h o la r , throws l i g h t on th e s i t u a t i o n a t the tiiae:
"From a study of the h is t o r y of p r e v io u s d y n a s t ie s , we
see th a t u n le s s the conquerors o f China who came from
the north adopted the Chinese governmental system , they
could not s u r v iv e for any le n g th of t im e . That was, why
th e f'Q -pa W-ei, the Liao and the Chin d y n a stie s l a s t e d
lo n g e s t . Those which did not adopt th is, measure f e l l
one a f t e r th e o th er. rT hia i a recorded in the h i s t o r i e s
fo r a l l to s e e . I f our n a tio n inhabited, th e northern
d e s e r t, th ere would be no need to mention t h i s . But w ith
the government as i t i s at p r e se n t, what could be more
 198

(B) The Manchu-Ch' in g p erio d ( 1 6 1 6 - i g i l )

P i r s t th ree r u le r s :
Nurhaci ( I' a i-ts .u , 1 6 1 6 - 1 6 2 6 )
Huang-1-1a i - c h i ( I 1a i- t s u n g , 1626-1643)
Shun-chili ( 1 6 4 4 - 1 6 61)

O r ig in a l C a p ital: H sin g-ch in g ( e a s t of Mukden)

Annexation of Peking: 1644*
Removal of c a p it a l to Peking: 1644•

1) Pan W6 n - c h 1^ng^-X-^f.

Pan W&n-ch' §ng was. a n a tiv e of Mukden* His g r e a t

grandfather, Pang IsJung, h eld the o f f i c e of 'far M in iste r

in the Ming dynasty*

While young Wen-ch 1 §ng was fond o f s tu d y in g . He was

c le v e r and r e s o lu t e . He and h i s e ld e r b ro th er were

both students, of the h s ie n (county) c o lle g e *

In 1618, a f t e r B'urhaei had taken Pu-shun ( t o the e a s t

of Mukden) W&a-ch'&ag and h is b roth er v i s i t e d him.

C ontin u ation o f note from previ ous p a g e:

appropriate? In order to t r a v e l by road, you should use
a ca r r ia g e , and i h order to t r a v e l by w a ter, you should
use a b oat, oth erw ise you .cannot tr a v e l* In the same
way, in order to r u le t h i s country, you must adopt the
Chinese system of government. Phis i s beyond doubt.
Yet i n view, o f th e d if f e r e n c e s of our n a tio n a l (Mongol)
customs, and the a t t i t u d e of the n ob les who have served
s u c c e s s iv e emperors, i t would be extrem ely d i f f i c u l t f o r
you to adopt overn ight the s u g g e s t io n s o f conquered
s u b j e c t s and to take over th e i n s t i t u t i o n s o f a. vanquished
n a tio n . £But t h i s can be ca rried out g r a d u a l l y YS,158,
5a) ,
 199

Impressed by W^h-ch*§hg* s great s t a t u r e , Hurhaci ta lk e d

to W&n-ch*§ng and thought him able* He learn ed th a t

W&L-ch1§ng was. the great grandson o f Pan f s 'u n g , then,

lo o k in g a t th e b e i l e (Manchu p r in c e s ) , he sa id : "He i s

the descendant of a c e leb ra ted statesman* You sh ould

t r e a t him well**’

In 1626 Huang-t 1a i - c h i came to th e th ro n e. W&n-eh'Sng

served in h is entourage* W£n-ch’ % n g d e a lt e x c l u s i v e ly

w ith th e c o n f id e n t ia l a f f a i r s o f s t a t e . Whenever he had

an audience, he would not come out u n t i l v e r y l a t e in the

n ig h t. Sometimes, he was ag ain summoned b efo re he found

tim e to eat or r e s t .

Huang-t* a i - c h i h esteems d l§n-ch* §ng* s o p in io n . Whenever

he d is c u s se d a f f a i r s o f sta te , he always sa id : "Does Pan

know about th is? " When he found an yth in g vtfiich seemed

to be not r ig h t he always sa id : 11Wiiy not d is c u s s t h i s

w ith Pan?" I f the o f f i c i a l s r e p lie d : "Pan a ls o says

so," he then always gave h is con sen t.

In 1644 Shun-chih came to the throne . P rin ce Dorgon

commenced th e campaign a g a in s t the Ming. W6 n~ch 1 6 ng

m em orialized th a t "the p eo p le in China proper, w ith

fa m ilie s , b eing sep a ra ted and l o s s o f l i v e s , had s u ffe r e d

 200

great ca la m ities. Th^r d e s i r e d ' t o f i n d a good r u l e r i n

o r d e r t h a t t h e y m i g h t be a b l e t o l i v e i n p e a c e . We h a d

p r e v i o u s l y a b a n d o n e d faung~h.ua ( a f t e r we h a v e t a k e n i t )

and m a s s a c r e d t h e p e o p l e o f Y u n g - p 1i n g . I n th o se ex p ed itio n s

we p u s h e d i n t o t h e d e p t h o f C hina an d t h e n e a c h t i m e we

w ithdrew . The C hinese' t h o u g h t we had no i n t e n t i o n of

t a k i n g C hina and d e s i r e d o n l y t o s e i z e g o ld ,, s i l v e r and

slaves* They w e r e i n two m ind s a b o u t o u r a i m s .

“f r o m now on, we s h o u l d h a v e s t r i c t e r army d i s c i p l i n e

and n o t a l l o w s o l d i e r s t o commit a n y o f f e n c e . We s h o u l d

a l s o p r o c l a i m t o t h e Ming o f f i c i a l s a n d t h e i r s u b j e c t s

t h a t we a r e g o i n g to c o n q u e r China an d t h a t o f f i c i a l s

may r e t a i n t h e i r p o s t s ; t h a t t h e p e o p l e a r e to b e h e l p e d

t o resum e t h e i r o r i g i n a l o c c u p a t i o n , f h o a e who a r e good

and a b l e w i l l b e em p lo yed an d t h o s e who a r e p o o r and

h e lp le ss w ill receiv e r e l i e f , ffhe a r e a t o t h e n o r t h of

t h e Y ellow E i v e r c a n be won o v e r by m e r e l y p a s s i n g r o u n d

t h e p r o c l a m a t i o n . 11

He f u r t h e r s u g g e s t e d t h a t 11a s t a t e w h i c h t o o k p l e a s u r e

in k illin g could n e v e r found a n em pire. I f our s t a t e

d e s i r e s only to dom inate th e r e g io n t o t h e e a s t of t h e

S h an -h ai-k u an , t h e r e i s no m ore t o b e s a i d . I f i t d esires

 201

to u n if y the whole of China i t w i l l he e s s e n t i a l t o p a c if y

th e p e o p l e . H

fhe next day he went d ir e c t to th e army. He d rafted

a p roclam ation addressed to the Ming o f f i c i a l s and t h e ir

p eo p le, sa y in g th a t th e (Manchu) army would do no harm

t o th em. The p ro c l arnat i on b or e Wen» eh' £ng 1s name and

his. t i t l e .

A fte r th e Ming c a p i t a l , Peking, had been taken, W@n-

chf 6 ng s t a r t e d a l l th e b u sin ess of government.

Iiung was th e Ming 0overnor-genera 1 o f n o r th -e a s te r n

C h ih li and L iao-tu n g ( e a s t e r n Iiopei and so u th ern Manchuria).

He co n trib u ted a g rea t d e a l i n the esta b lish m e n t o f the

Ch* in g ru le in China proper. The fo llo v d n g sto r y t e l l s

how Huang-1 1a i- c h i h won him over.

’’A fte r Sung-shan f e l l ( 1 6 4 2 ), Hung Oh1 in g - c h 1 ou was

captured. As he f e l t d eep ly in d eb ted to th e Ming emperor,

he swore th a t he would ra th er d ie th a n su rren d er. With

h i s h a ir d is h e v e lle d and f e e t bared, he cursed ( t h e

Manehus) in c e s s a n t ly from morning t i l l n ig h t . 1 ' a i - t s u n g 1s

c i v i l o f f i c i a l s t r i e d to calm him, but he refu sed to

 202

answer them, i1' e i~ tsu n g then came h im se lf to the p la c e

when Hung was s t a y in g . He took o f f h is sab le coat and,

p u ttin g i t on Hung, sa id g e n t ly ; "Don11 you f e e l cold,

S ir ? 11 Hung s ta r e d a t the emperor i n s u r p r is e fo r some

time and s a id w ith a. sig h ; "You are the tru e r u le r of

a l l the w o r ld .1' Then he kotowed and asked to be allow ed

to su rren d er. The emperor was, very much p lea sed . He

bestowed on Hung innumerable g i f t s , and arranged a hundred

kinds of entertainm ent 'bo c e le b r a te h is su rren d er. His

g e n e r a ls, however, were not very p le a s e d about t h i s .

"After a l l , Hung Oh* §ng~ch'Qu i s only a p r iso n e r ," they

asked the emperor, "why does Your M ajesty t r e a t him w ith

so much respect?" She emperor r e p lie d : "We have

■experienced a l l kinds of hardship. What i s our u ltim a te

reason f o r doing so?" 'iihe g en era ls r e p l i e d , " It i s

because we want t o s e i z e the land o f China proper."

fhe emperor sm iled and sa id : "Quite! We are l i k e t r a v e l l e r s

who a re b lin d . But we have now got a man who can act

as. our g u id e. How can I help b eing happy?" fh ai the

g en era ls were a g r e e d ." ^ )

^ H s i a Q ~ t 1j u g t z a - I u
Compare a l s o Hung's biography in th e o f f i c i a l Oh.' in g
h is t o r y , Ch 1in g Shih Kao, eh. 359 > l a
 203

To conclude our survey of th e careers of th e se

i n t e l l e c t u a l s 1 quote th e commentary n ote to the biography

of Han Yen-hui ( s e e shove) made, by the com pilers o f th e

Liao H isto ry;

"In th e e a r ly years of I ’ a i- t a u 's . r e ig n , a l l the

machinery o f s t a t e had to be r e - c r e a t e d . Such

undertakings a s the foundation o f th e c a p ita l and

o th er c i t i e s , the b u ild in g of p a la c e s , th e esta b lish m en t

of the r u le s governing the r e la tio n s h ip between

so v e r e ig n and m in is t e r s and the c r e a tio n o f d e f i n i t e

ranks of o f f i c e s — a l l of which were p ro p erly

reg u la te d , were due to Y en -hu i’ s e f f o r t s .'1

Here the 1a i - t a u *1 r e f e r s to Apaoki, the founder of

th e Liao dynasty. As t h i s t i t l e i s a l s o g iv e n to the

founders of the oth er th ree non-Chinese d y n a s tie s ( s e e

above., Aguta, Ohinghis and lurha.ci) so t h i s note might

w e ll d e s c r ib e th e ca reers of th e other i n t e l l e c t u a l s who

served th e founders of th o se non-Chinese d y n a s t ie s . It

should, however, not be thought, from the above or s im ila r

^ Q}« a t - t s u i s a t i t l e used always to apply to th e temple

of th e founder of d y n a s t ie s , b u i l t a f t e r t h e i r death by
tli©ir d es cendant s .
 204

uc counts, th a t th e s e i n t e l l e c t u a l s h elp ed the conquerors

much during t h e i r i n i t i a l e n te r p r is e s as t r i b a l le a d e r s .

But a f t e r th e s e conquerors had s u c c e s s f u l l y brought under

t h e i r c o n tr o l a la r g e number o f Chinese e i t h e r outs M e

th e G-reet Wall or in p a r t of China proper, t h e s e

i n t e l l e c t u a l s s e t up f o r them a. Chinese system o f government '

and made secu re the r u le of the conquerors over the

C hinese.

Because o f t h i s t h e s e i n t e l l e c t u a l s ware a c t in g a g a in s t

the p o l i t i c a l i n t e r e s t of t h e i r own n a tio n . T herefore,

although most of them aimed p rim a rily a t m itig a tin g the

s u f f e r in g s of the people., they were never fo r g iv e n by

the Chinese by whom, they were con sid ered n tr a ito r s” .

(Those who were not Chinese by race were n o t, of course,

blamed I n t h i s way.)

While th e Chinese h is t o r ia n s under th e in f lu e n c e of

chthig-t 1ung theory (v1 ); f a i l e d t o a p p r e c ia te the t r ib a l

elem ents of the non-Chinese d y n a s t ie s , th ey showed even

l e s s i n t e r e s t in the careers o f th e s e ^ t r a i t o r 1* i n t e l l e c t u a l s .

This i s why the h is t o r y of th e non-Chinese d y n a s tie s has

\
been n e g le c t e d .

^■0 gee S e c tio n IV.

 205

IV. CBBhG-I* V m LOT ( THE THEORY OF

LEGITIMACY) AID iGl-CRBiESE DYNASTIES XI
CHINESE HISTORY.

I f one d iv id e s the h is t o r y of China, from the

u n i f i c a t i o n by Shih-huang Xi of the ^Ch! ixi i n 221 B.C.

down to the c o lla p s e of th a Mahchu-Ch*in g dynasty in

I Q l l » in t o p erio d s of u n i f i c a t i o n and p e r io d s of d isu n io n ,

i t w i l l be found th at th e t o t a l years Qf u n i f i c a t i o n

amount to 1610 whereas th o se of d isu n io n amount to 5 2 3 •

I f one proceeds to a fu r th e r a n a ly s is , i t w i l l be found

th a t ( 1 ) during the. 1 6 1 0 years o f u n i f i c a t i o n the. non-

Chinese p eo p les r u le d over China f o r 35 6 y e a r s, approxim ately

a r a t i o of 1 to 3 ,5 compared w ith the p erio d under Chinese

ru le ; ( 2 ) n e a r ly a l l the 523 years of d isu n io n was due

to the s t r i f e between Chinese and non-Chinese; (3 ) the

northern p a rt of China proper was under non-Chinese

co n tro l f o r n early a thousand y e a r s, i . e . f o r as lozg

as i t was under Chinese c o n tr o l.

Today, apart from descendants o f th o s e non-Chinese

p eo p les who ha v e in the cou rse o f time been absorbed in t o

th e Chinese communities, (some o f them are s t i l l r e c o g n is a b le

from t h e i r s i n i c i s e d names) the non-Chinese p eo p les form

part of th e p o p u la tio n o f the Chinese R ep u b lic. The

 206

t e r r i t o r y o f the Chinese Republic i s th e j o in t property

of th e Chinese and non-Chinese, p e o p le s .

Important as th e p a rt p lay ed by th e s e non-Chinese

p e o p le s was and is? i t i s curious, to fin d t h a t th e h is t o r y

of th e d y n a stie s founded by th e non-Chinese has been very

p oorly understood by th e Chinese* Some s c h o la r s have

a t t r ib u t e d t h i s la c k o f understand!ng to th e L ite r a r y

I n q u i s i t io n , organized by Emperor Ch’ ie n ~ lu n g , in the

second h a lf o f the e ig h te e n th century, which aimed p r im a r ily

a t obscuring the a l i e n ch aracter of Manehu power. At

the same tim e, such o th er non-0hine.se d y n a s t ie s as Liao,

Chin and Yuan were th ereb y p r o te c te d from abuse, and th e

stu<|r o f t h e i r h is t o r y hampered. Consequently, "a sm all

group of s p e c i a l i s t s continued to ..study th e non-Chinese

fe a tu r e s p r e s e n t in t h e s e four d y n a s t ie s , but in g en era l

th e ban proved e f f e c t i v e . ( 1 )' Eor more than a century

11many authors and p o e ts o f China h eld th em selves i n

check, so as not to in c u r th e d is p le a s u r e o f th e r u lin g

house, or run the risk o f a ccu sa tio n by a sy co p h a n tic

^ W it t f o g e l a n d ESngt op. c i t ♦, p . 2-3*

 207

fello w countrym en." ^ f

I t i s t r u e t h a t t h e p o l i t i c a l taboo i n t h e G h 'in g

d y n a s t y p l a y e d i t s p a r t i n die c o u r a g i n g th e , s t u d y o f t h e

n o n -C h in e s e , d y n a s t i e s ; n e v e r t h e l e s s , t h e t o t a l number of

w o rk s d e v o t e d t o t h i s f i e l d o f s t u d y i n t h e Oh* i n g d y n a s t y

e x c e e d e d t h a t o f t h e p r e e e e d i n g Ming. ( D u r i n g t h e Oh1i n g

d y n a s t y , a s a r e s u l t of t h e p e a c e an d p r o s p e r i t y t h a t

p rev ailed ., e v e ry b ra n c h of s c h o l a r s h i p f l o u r i s h e d . Had

i t n o t b e e n f o r t h e b a n on a number of b o o k s r e l a t i n g

t o t h e n o n - C h i n e s e p e o p l e s a n d the. f e a r o f o f f e n d i n g t h e

p o l i t i c a l ta b o o , t h e achievem ent i n t h i s b ran ch of stu d y

w ould h a v e b e e n g r e a t e r . ) But n e g l e c t o f t h e n o n - C h i n e s e

peoples, had e x i s t e d lo n g b e f o r e t h e e s t a b l i s h m e n t of t h e

Oh1 i n g d y n a s t y , and h a s c o n t i n u e d to e x i s t e v e n s i n c e t h e

f o u n d a t i o n o f the. R e p u b l i c , ih ere are, th erefo re, some

deeper reasons to account fo r t h i s . I t is, t o my m in d ,

due. t o t h e c o n c e p t o f c h § n g - t * u n g , w h ic h may

p e r h a p s be t r a n s l a t e d a s t h e t h e o r y o f l e g i t i m a c y , and
\

t h e s p e c i a l m eth o d o f d a t i n g u s e d by t h e C h in e s e *

The t h e o r y em bodied i n t h e t e r m c h & n g - t 1u n g h a s e n a b l e d

^^ L„ C. G o o d r i c h : The l i t e r a r y ■I n q u i s i t i on o f Ch1i e n - l u n g ,
* mm wii i.m II t i t ■■^<111WW I1||IW I I « | | mi iiiw nHr ntm»minim ■ri m.w.n i ww rw hfft

p. 65.
 208

C h i n e s e h i s t o r i a n s t o show t h e i r d i s a p p r o v a l o f a number

of d y n a s t i e s i n C h i n e s e h i s t o r y . ih e developm ent o f

t h i s t h e o a y may be d i v i d e d , i n t o two p e r i o d s . I n the.

f i r s t p e r i o d ( f r o m Han t o t h e N o r t h e r n Sung — 2nd c e n t u r y

B .C . t o 1 1 t h c e n t u r y ) , i t was u s e d by h i s t o r i a n s t o c r i t i c i s e

t h o s e d y n a s t i e s w h ic h t h e y c o n s i d e r e d n o t q u a l i f i e d t o

be t h e l e g i t i m a t e h o l d e r s o f t h e m a n d a t e . I t was s o m e tim e s

a l s o u s e d by p o l i t i c i a n s t o d i s p a r a g e t h e d y n a s t i e s f o u n d e d

by t h e i r p o l i t i c a l e n e m i e s . In th e second p e r io d (from

S o u t h e r n Sung — 1 2 t h c e n t u r y — o n w a r d s ) , owing t o the

i n c r e a s i n g im portance of t h e no n-C hinese f a c t o r s in

C hinese h i s t o r y , it c h a n g e d fro m a p u r e c o n c e p t of

l e g i t i m a c y t o a n a m a l g a m a t i o n o f l e g i t i m a c y an d n a t i o n a l i s m

— th e l a t t e r f i r s t b e in g t a u g h t by C onfucius i n h i s

0h*u3i Ch’ i u a n d now r e i n t r o d u c e d and a d v o c a t e d by Chu

Hsi and h i s p u p i l s i n t h e i r w o rk t h e 1 1u n g - c h i e n

k a n g -miu el and i t s com m entaries and s u p p le m e n ts .

I t i s t h i s m o d i f i e d t h e o r y o f c h e n g - t 1u n g w h ic h h a s d o m i n a t e d

t h e mind o f t h e C h i n e s e p e o p l e and w h i c h h a s b e e n u s e d

t o d i s c r i m i n a t e a g a i n s t th e non-C hinese d y n a s t i e s .

l.he t e r m ch e n g - 1 1u n g was d e r i v e d f r o m two e x p r e s s i o n s

Ohd-chgng }% a n d i ~ t 1u n g w hich a p p e a r i n th e

Kung-yang chuan , one o f t h e t h r e e c o m m e n ta rie s

 209

t o C o n f u c i u s ’ Ch 1u n Qh*f u * By chu~ch€hg ( = t o be r i g h t f u l )

was o r i g i n a l l y m e a n t ’’( A f f a i r s ) mu8.t be h a n d l e d i n t h e

r i g h t f u l way" ( " A f f a i r s " in th is co ntext r e f e r r in g

p a r t i c u l a r l y to the q u e stio n of su c c e s sio n ) and by

i- t'u n g , " t h e u n i f i c a t i o n o f t h e e m’ p i r e . " Ch& i g—1

~|,----n -1rn,t ’u n~-gf ,
In,n11,1iT

fo rm e d by c o m b in in g t h e s e two e x p r e s s i o n s ? means t h o s e

"leg itim ate" d ynasties? w hich r e c e i v e d t h e m andate r i g h t f u l l y

and d u r i n g w h ic h t h e e m p i r e was u n i f i e d . ( 1 )' 3u S h i h

(S u l u n g ~ p f o) h a d m o st c o n c i s e l y d e s c r i b e d c h & n g -t* u n g

as. " t h e p o s s e s s i o n o f t h e e m p ire " ? and? a g a i n ? "w h ere

( 2)
th e m andate d w e l l s . ”

A d y n a s ty w hich f u l f i l l e d t h e r e q u i r e m e n t s o f oh e n g -

t ’u n g was. t h e r i g h t f u l h o l d e r of t h e m a n d a t e o f h e a v e n .
■... ikiiiHHi.u'iiWin1W m < ^

A l l t h e i m p e r i a l d e s i g n a t i o n s , w o u ld b e u s e d t o r u l e r s

o f t h i s , d y n a s t y and t h e i r r e i g n t i t l e s w o u ld be a c c e p t e d

as a c h ro n o lo g ic a l s ta n d a r d f o r r e c o r d in g e v e n ts . A

O u -yang H s i u
V
: C o m p le te Works ( C h u - s h i h Chi
' n n - n i m I ml nil imumninwm lUB. i r i Ii ifcn wiu m m i i

), c h .16, 2a.

Su S h i h a l l o w e d a f r e e r a p p l i c a t i o n o f o h & n g - t ’ung
t o t h e d y n a s t i e s . U n l i k e t h e s t r i c t s c h o o l w h ic h i n
a s s i g n i n g c h 6 n g - t * u n g , demanded t h a t a d y n a s t y f u l f i l t h e
r e q u i r e m e n t s o f b o t h c h u - c h e n g a n d i - t 1u n g , h e a s s i g n e d
c h f e a g - t ' u n g t o t h e m ost p o w e r f u l o f c o - e x i s t i n g d y n a s t i e s .
 210

d y n a s t y w h ich was n o t t h e r e . p r e s e n t a t i v e o f c h £ n g - t *u n g

was m e r e l y a s t a t e w h ich had e x i s t e d * Im p eria l d esig n atio n s

w ou ld he w i t h h e l d , t h o u g h t h e members o f t h e d y n a s t y

c o n c e r n e d m i g h t h a v e claim ed, them .

I n t h e c o u rse of h i s t o r y t h e r e w ere d y n a s tie s , w hich

f u l f i l l e d b o t h t h e r e q u i r e m e n t o f ch u -ciiS n g and t h a t o f

i - t 1u ng;* fh e y w e r e u n q u e s t i o n a b l y t h e l e g i t i m a t e

d y n asties, t h e h o l d e r s o f c h @ n g -i’u n g . f h e r e were?

h o w e v e r , p e r i o d s d u r i n g w h ich t h e e m p ire was d i v i d e d

and sevex*al s t a t e s e x i s t e d s i d e by s i d e . H isto rian s

d i f f e r e d i n t h e a s s i g n m e n t o f c h § n g - t 1u n g t o one of

these, c o - e x i s t i n g s t a t e s , an d i n whether* o r n o t ch@ng-

t *u n g s h o u l d be a s s i g n e d t o any o f them*

I n t h e case, o f t h e Ch! i n , t h e e m p ir e was u n i f i e d ,

b u t t h e r u l i n g h o u s e was c o n s i d e r e d " n o t r i g h t f u l " .

H i s t o r i a n s d i f f e r e d i n t h e r e c o g n i t i o n o r r e j e c t i o n of

th is "not r ig h tf u l" d y n a s t y w h ic h c o n t r o l l e d a u n i f i e d

em pire-

I t i s t h e e x i s t e n c e of such p e r i o d s w hich g iv e s r i s e

t o t h e p r o b l e m o f ch€fcag-tf u n g .

From t h e Han t i m e (2 n d c e n t u r y B . C . ) onwards.., we

•find e x a m p l e s i n w h i c h h i s t o r i a n s r e j e c t e d one d y n a s t y
 211

a n d a c c e p t e d a n o t h e r on v a r i o u s g r o u n d s u n d e r t h e g e n e r a l

i d e a o f c h & i g - t ’ un g . But i t was n o t u n t i l t h e m i d d l e o f

t h e N o r t h e r n Sung d y n a s t y ( 1 1 t h c e n t u r y ) t h a t Ou-yang

H s i u f i r s t s y s t e m a t i c a l l y s . t u d l e d t h e p r o b l e m o f ch§iig~

t ’u n g . O o n tem p o ra ry s c h o l a r s i n t r e a t i n g t h e f i v e

D y n a s t i e s b e t w e e n t h e 1* ang a n d Bung r e j e c t e d o n l y t h e

f i r s t ( l a t e r Liang)* w h ic h had u s u r p e d t h e p o w er o f f * a n g .

Ou-yang H s i u h e l d t h a t a l l t h e f i v e d y n a s t i e s s h o u l d be

re je cted . He w r o t e t h re e , t r e a t i s e s , on t h e t h e o r y of

c h € h g - t ’ ung i n w h ic h he made a t h o r o u g h s t u d y o f t h i s .
i

problem ,

l o o k i n g b a c k o v e r t h e w h o le p e r i o d f r o m t h e c o l l a p s e

o f t h e Ohou d y n a s t y ( B , C . 245) down t o t h e y e a r b e f o r e

t h e f o u n d a t i o n o f t h e Sung ( 9 6 q)> O u -y a n g H s i u p o i n t e d

o u t t h a t t h e r e , w ere t h r e e p e r i o d s i n w h i c h t h e e x i s t e n c e
( I 1)
of c h S h g - t ' u n g was open t o q u e s t i o n '
r iinmirirriiiiTn iii¥TiTm'ir~rrr" r~ ~ - '
, fhe f i r s t p erio d

was t h e Oh1i n d y n a s t y ( 2 4 6 - 2 0 6 B . C . ) , O h * in b r o u g h t

a b o u t t h e u n i f i c a t i o n of C h i n a , I t f u l f i l l e d the

r e q u i r e m e n t of u n i f i c a t i o n . But Ch’ i n c l a i m e d t o r u l e

^ H e r e o n l y d y n a s t i e s were c o n s i d e r e d . In d iv id u al
r u l e r s , s u c h a s Wang Mang (A ,D . 9 - 2 2 ) and Wu I s § ~ t 1men
* JH ( 6 9 0 -70 1 ) w e r e n o t i n c l u d e d *
 212

by t h e " v i r t u e o f w a t e r " . "W ater" was. n o t n e x t i n

s u c c e s s i o n of t h e F i v e ~ B l e m e n t s c y c l e by w h i c h t h e r i s e
( I')
an d d e c l i n e o f t h e d y n a s t i e s was g o v e r n e d v . Oh’ i n

was t h e r e f o r e n o t a " r i g h t f u l " dynasty. I t was a n

"in tercalary " (||n fcg ) dynasty. ( Ch§ng-ju.n was,

a n o t h e r term u s e d t o d e s c r i b e th e p ro b lem o f l e g i t i m a c y .

Cheng = r e g u l a r ( l e g i t i m a t e ) and j & n ™ i n t e r c a l a r y ,

irre g u la r (ille g itim a te ).)

fhe second p e r io d in q u e s tio n i s the p e rio d a f t e r

t h e c o l l a p s e o f t h e u n i f i e d ( W e s t e r n ) C h i n an d b e f o r e

( l'i
v ' I n t h e p e r i o d b e t w e e n t h e en d o f t h e W a r r i n g S t a t e s
and t h e F o rm e r Han ( 3 r d - 1 s t c e n t u r y B . C . ) , t h e r e was
an i n f l u e n t i a l p h i l o s o p h i c a l sc h o o l w hich h e l d t h a t each
d y n a s t y r u l e d by v i r t u e o f one o f t h e F i v e E l e m e n t s :
m e t a l , wood, w a t e r , f i r e a n d e a r t h , fh e F iv e E lem ents
s u c c e s s i v e l y " g e n e r a t e " and " d e s t r o y " e a c h o t h e r . E arth
g e n e ra te s m etal, m etal g e n e ra te s w a te r, w a te r g e n e ra te s,
wood, wood g e n e r a t e s , f i r e and f i r e g e n e r a t e s e a r t h . E arth
d estro y s w ate r, w ater d e s tro y s f i r e , f i r e d estro y s m etal,
m e t a l d e s t r o y s wood an d wood d e s t r o y s , e a r t h .
Oh* i n c l a i m e d t o r u l e by v i r t u e o f w a t e r , fhe dynasty
b e f o r e Oh* i n , t h e Chou, r u l e d by v i r t u e of f i r e w h i c h
g en erates e a rth . i1he r i g h t f u l d y n a s t y w h i c h r e p l a c e d
Chou ou g h t t o r u l e by v i r t u e o f e a r t h . Han r u l e d by
v i r t u e o f e a r t h and was t h e r i g h t f u l s u c c e s s o r t o Chou,
f h u s Chf i n was a n i n t e r c a l a r y d y n a s t y .
f h e Han s c h o l a r s , d i s l i k e d Oh* i n on a c c o u n t of t h e c r u e l
p o l i c y t h a t Ch 1 i n u n d e r t o o k a g a i n s t t h e l i t e r a t i . In
r e p r i s a l t h e y made u s e o f t h i s t h e o r y t o d e p r i v e Oh’ i n
o f i t s p r i v i l e g e o f b e i n g one of t h e l e g i t i m a t e d y n a s t i e s .
 213

th e u n i f i c a t i o n of S ui, th e p e r io d o f r i v a l r y betw een

t h e S o u t h e r n an d n o r t h e r n D y n a s t i e s ( 4 2 0 - 5 8 9 . ) . One s c h o o l

a s s i g n e d o h e n g - t 1u n g t o t h e S o u th e rn D ynasties.: th e

E a s t e r n G h in , t h e Sung, th e C h 'i, th e L iang and th e

Oh 1 § n . fhjfe E a s t e r n C h in was t h e s u c c e s s o r o f t h e W e s t e r n

Ghin, and t h e o t h e r f o u r f o l l o w e d i n s u c c e s s i o n . A nother

s c h o o l a s s i g n e d c h § n g ~ t *u n g t o t h e 1 * o - p a W ei, t h e l o r t h e r n

D ynasty, b e c a u s e f r o m one of i t s successo rs arose th e

S u i w h i c h a n n e x e d t h e Oh* @n, t h e l a s t one .of t h e S o u t h e r n

D ynasties., and b r o u g h t a b o u t t h e u n i f i c a t i o n .

f h e t h i r d p e r i o d i n q u e s t i o n was t h e p e r i o d b e t w e e n

f *ang a n d S un g , t h e p e r i o d of F i v e D y n a s t i e s . One s c h o o l

re fu s e d to a s s ig n c h ^ n g - t 1ung t o L i a n g , the f i r s t of t h e

f i v e d y n a s t i e s , b e c a u s e i t was f o u n d e d b y m u r d e r i n g t h e

I 1a n g e m p e r o r . A nother sch o o l h e ld t h a t ch6n g - t 'u n g s h o u ld

be w i t h h e l d f r o m a l l o f th e fiv e d y n a stie s, b e c a u s e none

o f th e m a c q u i r e d t h e t h r o n e r i g h t f u l l y and, m oreover,

t h e e m p i r e was n o t u n i f i e d .

f o t h e s e t h r e e p e r i o d s d i s c u s s e d by G u -y a n g H s i u , we

may a d d t h e p e r i o d b e tw e e n t h e L a t e r Han an d t h e W e s t e r n

O h in , t h e p e r i o d o f t h e I h r e e K ingdom s. One s c h o o l

a s s i g n e d c h & i g - t ' u n g t o Wei, t h e m ost p o w e r f u l one of

..... « i mm 11*11

the th r e e . A n o t h e r s c h o o l r e j e c t e d Wei, b e c a u s e i t
 214

u s u r p e d t h e po w er o f Han- 'JOhis s c h o o l a s s i g n e d c h g n g -

t* u n g t o Shu-Han w h ic h h a d a v a g u e c l a i m t o f a m i l y

r e l a t i o n s h i p w i t h t h e Han.

A g a i n s t t h e b a c k g r o u n d o f t h e s e d i f f e r e n t s c h o o l s of

o p i n i o n w i t h r e g a r d t o t h e a s s i g n m e n t o f c h g n g - t 1u n g ,

Ou-yang H s i u s e t o u t h i s own p r i n c i p l e s :

(1) Those d y n a s t i e s w h i c h w ere f o u n d e d by r i g h t f u l

means a n d d u r i n g w h i c h t h e e m p i r e was. u n i f i e d w e r e

e n title d to ch^ng-^ung.
n—" i mr t r ~ T r — i —r —r ^ T r
Such d y n a s t i e s i n c l u d e d Yao,
w *

Shun, H s i a , S h an g , Ohou, Oh 1 i n , Han and T*ang.

(2) Th ose d y n a s t i e s w h ic h w ere n o t f o u n d e d by r i g h t f u l

means b u t s u c c e e d e d i n b r i n g i n g a b o u t t h e u n i f i c a t i o n

s h o u l d a l s o b e r e g a r d e d a s ch&tig-t' u n g . S u ch d y n a s t i e s

i n c l u d e d C h in and S u i .

(3) T h e r e w e re d y n a s t i e s w h ic h e s t a b l i s h e d t h e m s e l v e s

d u r i n g a t i m e when t h e e m p i r e was i n t u r m o i l , an d no

s o v e r e i g n was i n e x i s t e n c e , and f u r t h e r , succeeded i n

c o n t r o l l i n g on ly p a r t o f t h e em pire, c o - e x is tin g w ith

o t h e r d y n a s t i e s fo u n d e d u n d e r t h e same c i r c u m s t a n c e s .

S i n c e e a c h h a d a n e q u a l c l a i m a n d i t was i m p o s s i b l e t o

d e c i d e t o w h i c h one c h f e n g - t 1ung s h o u l d b e a s s i g n e d , it

was b e t t e r t o w i t h d r a w chfeig- t 1ung f r o m s u c h d y n a s t i e s ,

 215

g s e x e m p l i f i e d by E a s t e r n C h in an d L a t e r ( t h e I * o - p a )

le i,

(4) Those d y n a s t i e s which, w e re n e i t h e r f o u n d e d

r i g h t f u l l y n o r a b le to b rin g about th e u n i f i c a t i o n of

t h e em pire, were d e f i n i t e l y n o t e n t i t l e d t o c la im o h fh g -

t 1u n g . Such d y n a s t i e s i n c l u d e d t h e l e i a n d t h e F i v e

D ynasties

O u -y a n g H s i u 1s a r g u m e n t was c r i t i c i z e d by Chang W'ang-

chih whose t h e o r y was a g a i n a t t a c k e d by Su S hih*

( 2)
We w i l l n o t d i s c u s s h e r e t h e o p i n i o n s of Chang and Su*

4*

I t was. a m i d s t t h i s c o n t r o v e r s y on t h e a s s i g n m e n t o f

c h & n g - t 1ung t h a t Ssu-ma Kuang c o m p i l e d h i s m o nu m en tal

wo rk t h e I z t f - c h i h t *u n g - c h i e n >fi A w h i ch h i s t o r i ca 1

s t u d e n t s today s t i l l consult* I n a c c e p t i n g t h e Wei ( o f

^ Gu-yang. E s i u s 1f T h r e e T r e a t i s e s on t h e t h e o r y o f
— '■**' *i mingiiii'nnTiiiiii * II•ri in** i wt »A4— jK nmwanw i' HwWU' i"

e h § n g - t fu n g f ** ( & k f o i n h i s C o m ple te Works, P t * I ,

C h a ^ i i r c E i , ch*16, pp*2-7*

^ ^ Su S h i h 1 s o p i n i o n i s g i v e n u n d e r t h e s u b j e c t : T h r e e
S u p p l e m e n t a r y T r e a t i s e s on t h e t h e o i v o f ehfoig - t !ying,
ULHMiiiim"uil»f*ui LWT i T r - r I I Qiml* nT»n—n-^iiiTLii— ■— 1t~— * C n . i THn^m nrTinrTr*liniH»i"ii*« nv*i I n* * T /

i n c l u d e d i n h i s c o m p l e t e w o r k s , f u ng- p *Q Oh 1 i - c h i .
ch*21, p p . 5 - 8 . Chang* s work h a s b e e n l o s t , b u t p a r t
o f h i s o p i n i o n c a n be s e e n fro m p a s s a g e s q u o t e d by Su S h i h .
 216

t h e T h re e Kingdoms p e r i o d ) a n d r e j e c t i n g t h e Shu-H an, Ssu-ma

Ku ung r e m a r k s s

HXn t h i s w o rk , 1 d e s i r e o n ly t o t e l l of t h e r i s e

an d d e c l i n e o f S t a t e s , and. t h e good a n d i l l fortunes,

of t h e p e o p l e , t o e n a b l e th e r e a d e r t o s e l e c t f o r h i m s e l f

t h e good and b a d , s u c c e s s a n d f a i l u r e , w h i c h may s e r v e

a s ex am p le a n d w a r n i n g . The work i s n o t i n t e n d e d t o

i m i t a t e t h e Ohfu n O h ' l u , w h i c h had. e s t a b l i s h e d s t a n d a r d s

o f c r i t i c i s m f o r j u d g i n g t h e r i g h t s a n d w rongs w i t h a

v ie w t o c l e a n s i n g s o c i e t y o f d i s o r d e r a n d r e t u r n i n g i t

to the r i g h t p a th . 1 do n o t p re su m e t o t a k e p a r t , i n t h e

d i s p u t e o f t h e p r o b l e m o f ch&ng~ j u n . X speak

only of a c t u a l a c h ie v e m e n ts.

11Chou, Oh1i n , Han, Ghin, S u i an d T*ang, a l l b r o u g h t

t o g e t h e r t h e l i n e H e g i o n s ( t h e K m p i r e ) , an d h a n d e d down

th e im p e ria l r u l e t o t h e i r p o s t e r i t y . A lthough t h e i r

d e s c e n d a n t s became weak and removed t h e i r c a p i t a l , still

t h e y m a i n t a i n e d t h e h e r i t a g e o f t h e i r a n c e s t o r s and had

t h e h op e o f r e s t o r a t i o n . M o re o v e r, a l l t h o s e who c o n t e n d e d

f o r p o w er w i t h them w e r e t h e i r f o r m e r v a s s a l s , and so,

fo r ru le r s of th ese d y n a stie s, 1 have alw ays u s e d th e

imp e r i a l d e s i gna t i o n s .
 217

11A l l t h e o t h e r d y n a s t i e s e x i s t e d i n p e r i o d s d u r i n g

w h ic h two o r m o re s t a t e s w e r e i n c o - e x i s t e n c e . Each o f

t h e s e d y n a s t i e s p o s s e s s e d o n ly p a r t o f t h e l a n d of th e

e m p ire a n d e x e r t e d o n l y p a r t of t h e a u t h o r i t y of a

s o v e r e i g n an d n e i t h e r was p o w e r f u l en o u g h t o be a b l e t o

annex th e o th e r . E ac h o f them a d o p t e d t h e i m p e r i a l

title and b e t w e e n th e m t h e r e h a d e x i s t e d no f e u d a l

re la tio n sh ip . — I have alw ays d e a l t w i t h t h e s e d y n a s t i e s

as c o - e x is tin g states.. 1 h a v e t r e a t e d t h e m e q u a l l y and '

w ith o u t b i a s . In sh o rt, I have t r i e d t o avoid d i s t o r t i n g

t h e f a c t s and t o a p p r o a c h i m p a r t i a l i t y .

11How e v e r , f o r p e r i o d s when t h e U m pire was s p l i t up

i t i s im p o ssib le to r e c o r d the sequence o f ev e n ts w ith o u t

u s in g y e a rs and d a te s ( i . e . o f one d y n a s t y o r a n o t h e r . )

nAs Han h a n d e d down t h e m a n d a te t o l e i , fro m whom

C h in r e c e i v e d i t , Ohin h a n d e d i t down t o Sung, who h a n d e d

i t down u n t i l i t came t o Oh* §n f r o m whom S u i t o o k i t .

T ' a n g h a n d e d i t down t o [ L a t e r } L i a n g u n t i l i t came t o

(L ater) Chou, from whom t h e p r e s e n t d y n a s t y , t h e G r e a t

Sung, r e c e i v e d i t . T herefore, 1 cannot but u se th e

re ig n t i t l e s of l e i , o f Sung, Ohf i , L i a n g , an d Ch*@n

(th e S outhern D y n a stie s), of L a t e r L i a n g , L a t e r T ' a n g ,

 213

l a t e r C h in , l a t e r Han and l a t e r Ohou ( t h e F i v e D y n a s t i e s )

r e s p e c t i v e l y , to re c o rd th e a f f a i r s of th e v a r io u s co­

e x i s t e n t s t a t e s of each of th e s e p e rio d s* But I have

no i n t e n t i o n o f h o n o u r i n g t h e one o r d i s p a r a g i n g t h e
( 1)
o t h e r a c c o r d i n g to t h e t h e o r y o f ch£ng~yu n . u f

The i m p a r t i a l a t t i t u d e of Ssu-ma Kuang d e s e r v e s p r a i s e ,

n ev erth eless, a l t h o u g h h e f r e e d h i m s e l f fro m t h e i n f l u e n c e

of t h e th eo ry
”
o f c h Q n g - t 1u n g , by
HjTftTf'TI I ------ - * i ^ " "■ rr-r^ft18^ ^
ad o p tin g there ig n

title s of t h e W ei, of t h e S o u th e rn D y n a stie s, and o f t h e

F i v e D y n a s t i e s t o r e c o r d e v e n t s , a n d by u s i n g t h e i m p e r i a l

desig n atio n s f o r t h e i r ru le rs , he p r a c t i c a l l y g a v e

c h § n g ~ t fung t o t h e s e d y n a s t i e s * H e r e one c a n s e e t h e

im p o rtan ce o f th e p a r t p la y e d i n C hinese h i s t o r i o g r a p h y

by t h e C h i n e s e m e th o d o f d a t i n g .

E u r o p e a n c o u n t r i . e e s i n c e t h e 6 t h c e n t u r y hav e t o d a

u n i v e r s a l s ta n d a r d f o r th e reckoning o f tim e, n a m e ly t h e

C h ris tia n era, and b e f o r e t h a t a n o t h e r a b s o l u t e s t a n d a r d

was u s e d , t h e il.U.C • - - c o u n t i n g fro m t h e f o u n d a t i o n of

Home. The Moslem w o r l d h a s a l s o i t s , own e r a , t h e H i j r a .

C hina, on t h e o t h e r h a n d , recorded ev ents i n an e n t i r e l y

^^ Ssu-ma ICuangs I z u - e h i h t ' u n g - c h .i e n , c h . 6 9 , pp . 8 - 1 0 *

 219

d i f f e r e n t w ay. A p a r t fro m t h e d y n a s t i c name a d o p t e d by

e a c h d y n a s t y , t h e s o v e r e i g n s o f e a c h d y n a s t y u s e d one o r

m ore " r e i g n t i t l e s " , nien-hao

Minnm iitnaiMniiMi n w m iw i— ii*mnm
and dates, were

c u s t o m a r i l y r e c o r d e d a s s u c h a n d a u c h a y e a r of t h e r e i g n ,

f h i s p r a c t i c e gave, r i s e t o a p r o b l e m f o r h i s t o r i a n s ,

e s p e c i a l l y when a g e n e r a l h i s t o r y was. t o he. c o m p i l e d , or

1
a lin e o f s u c c e s s i o n o f d y n a s t i e s was t o he w o rk e d o u t .

F o r t h e r e w e r e p e r i o d s , d u r i n g w h i c h C h in a was d i v i d e d

and e a c h o f t h e c o - e x i s t i n g s t a t e s u s e d t h e r e i g n t i t l e s

of i t s own r u l e x - a . H i s t o r i a n s had. t o c h o s e

as th e sta n d a rd the re ig n t i t l e s o f one o n l y o f t h e s e

c o -ex istin g d y n a s tie s . In accepting th e re ig n t i tl e s ,

o f one o f two o r more r i v a l d y n a s t i e s , t h e y had a l s o t o

f I'i
v ' OOhe n i e n - h a o , o r r e i g n - t i t l e , i s t h e name g i v e n t o
t h e p e r i o d d u r i n g w hich a p a r t i c u l a r em peror r e i g n e d ; 1
From t h e 15 t h c e n t u r y o n w a rd s , nam ely i n the. Ming a n d
O h ' i n g d y n a s t i e s , e a c h e m p e ro r had o n l y one r e i g n t i t l e ,
h u t i n p r e v i o u s d y n a s t i e s i t was n o t u n u s u a l f o r t h e
r e i g n o f one s o v e r e i g n t o h e d i v i d e d i n t o more t h a n one
n i e n - h a o . She p r a c t i c e o f a d o p t i n g a r e i g n t i t l e w a s
e s t a b l i s h e d by t h e W u - t i o f t h e F o rm e r Han d y n a s t y .
D u r i n g t h e 54. y e a r s o f h i s r e i g n ( B * 0 . 1 4 0 - 8 7 ) h e a d o p t e d
no l e s s t h a n e l e v e n s u c c e s s i v e r e i g n t i t l e s .
I n h i s C h i n e s e I m p e r i a l D e s i g n a t i o n s , P r o f . H. H. Dube
h a s s u g g e s t e d t h a t i n s t e a d o f r e i g n t i t l e , t h e te r r a
Hy e a r p e r i o d ' 1 s h o u l d be u s e d t o t r a n s l a t e t h e n i e n —h a o ,
e s p e c i a l l y when t h e s o v e r e i g n u s e d m ore t h a n one n i e n - h a o .
( J l . o f Am* O r . S o o . , Vo l . 65V* I t w o u ld seem t h a t
f o r t h e Ming and C h ' i n g p e r i o d s t h e t e r m r e i g n t i t l e w ou ld
he more s u i t a b l e .
 220

a s s ig n th e im p e ria l d e s ig n a tio n s to r u l e r s of th e adopted

dynasty. H ere, in fa ct, l i e s t h e r o o t o f t h e c l r & n g - t 'u n g

i Tfi 1—i— j"ifwP?r S i"Ti ■! — i iif in im T**1^

problem .

Ou-yaoig H s i u s a y s :

**It a p p e a r s , t o me t h a t e h g & g - t 1ung was t h e means

w h e r e b y t h e r i g h t f u l s o v e r e i g n s u n i t e d t h e p e o p l e and

r u l e d t h e e m p i r e .............- I n t h e e a r l y y e a r s , o f t h e Han

d y n a s t y t h e r e i g n s , o f s o v e r e i g n s w ere d i v i d e d i n t o e a r l i e r

and l a t e r p e r i o d s , an d t h e e m p e r o r W u - t i b e g a n t h e

p im o tlee of a s s ig n in g d i f f e r e n t r e ig n t i t l e s t o e a c h cf

these p e rio d s. The u s e o f t h e s e r e i g n t i t l e s s e r v e d a s

a sym bol t h a t t h e p e o p l e w e r e u n i t e d i n a l l e g i a n c e t o

t h e e m p e r o r and t h a t t h e e m p ire was u n d e r one r u l e .

11I n l a t e r t i m e s t h e l i n e o f t h e s u c c e s s i v e r e i g n

t i t l e s were re g a rd e d as t h e l i n e o f s u c c e s s i o n o f th e

r i g h t f u l so v ereig n s..

uI n t h e c o u rse o f h isto x y t h e r e w e r e , h o w e v e r, p e r i o d s

of u s u r p a t i o n as w e l l a s tim es of t u r m o i l . The r e i g n

t i t l e s w e r e n u m ero u s and c o n f u s e d . I t was d i f f i c u l t t o

d e c i d e w h ic h o f t h e s e r e i g n t i t l e s was t o be .a d o p t e d .

The p r o b l e m o f chfing-yfin, or th e g e n u in e n e s s or f a l s i t y

of th e r u l e r s o r d y n asties, th u s a ro s e .* '^ '^

^ ^ Ou—ya n g Hs i u , o p . c i i . , c h . 1 6, l b .
 221

Coming back t o t h e B&u-chih t* u n g -eh ien we s e e t h a t ,

by a d o p t i n g t h e re ig n t i t l e s of t h e d y n a s t i e s m entioned

a b o v e ( p . 217) Ssu-ma Kuang w orked o u t a l i n e of su c c e ssio n

i f n o t a l i n e o f c h ^ n g - t 1u n g d y n a s t i e s . —- t h e r e l a t i o n

o f w h ic h t o t h e c o - e x i s t i n g d y n a s t i e s i s shown i n D ia g ra m

IX .

I n D ia g ra m XX t h e p a r t s h a d e d w.ith l i n e s s l a n t i n g

t o w a r d s t h e l e f t shows t h e l i n e of s u c c e s s io n of th e

d y n a s tie s the r e ig n t i t l e s o f w h ic h were. used, by Ssu-ma

Kuang. B h i s is., i n f a c t , t h e l i n e of s u c c e s s io n of

d y n a s t i e s f o r t h e f i r s t h a l f o f C h i n e s e h i s t o r y commonly

known t o C h i n e s e p e o p l e , ( f o r th e co m p lete p i c t u r e of

t h e d y n a s t i e s i n C h i n e s e h i s t o r y s e e Diagram I I I . )

I n t h i s l i n e o f s u c c e s s i o n t h e Wu an d S h u-H an o f t h e

f h r e e Kingdoms p e r i o d , and t h e n o r t h e r n D y n a s t i e s ( t h e

f o-pa. Wei a n d i t s s u c c e s s o r s ) w e re " r e j e c t e d 11, a s w e l l

a a t h e S i x t e e n S t a t e s f o u n d e d by t h e Wu~Hu ( B i v e B a r b a r i a n s
f 1)
B r i b e s " ) p r e c e e d i n g t h e ln o - p a .v 1 I* o - p a Wei was f o u n d e d

^ ^ The f i r s t one o f t h e S i x t e e n S t a t e s , t h e Han, e v e r t h r e w

t h e W e s t e r n C h in i n 316. A t one. t i m e t h e r e w e re n i n e
o u t of t h e S i x t e e n S t a t e s c .o ~ -e x ia tin g . On a n o t h e r
o c c a s i o n , one of t h e s e S t a t e s , t h e C h * in , n e a r l y u n i f i e d
t h e w hole n o r t h e r n C hina. Bhese S t a t e s h a v e n e v e r b e e n
c o n s i d e r e d a s p r o p e r d y n a s t i e s . B ut t h e y r u l e d the.
n o r t h e r n h a l f o f C h i n a an d c o v e r e d a p e r i o d o f n ea rly
 Diagram II

Showing th e l i n e o f s u c c e s s i o n o f d y n a s t i e s worked out

by Ssu-ma Kuang and th e d y n a s t i e s c o n s id e r e d a s c h § n g - t 'u n g
by Cnu H s i .

V7A ## D y n a stie s th e r e ig n t i t l e s o f w hich were

* " u se d by Ssu-ma Kuang.

^ D y n a s t i e s w h ich were c o n s id e r e d a s
c h S n g - t 1ung by Chu H s i .

. . . D y n a s t i e s fou nded by n o n -C h in e s e

CHOU

han
;VVVxXh<>
A / A X X V > X _/

LATER HAN

16 STATES OF FIVE BARBARIAN TRIBES

EASTERN CHIN

v y // , ■' * s sung ; . ,:
r rri7 r.r : :.:;.T Tf jjg c
NORTHERN CHO U ”

TANG

L IA O F IV E
 222

by n o n - C h i n e s e * It co n tro lled , h o w e v e r, t h e w h o le o f

n o r t h C h i n a , and was s t r o n g e r t h a n i t s co u n terp arts,

th e S outhern D y n asties, t o t h e s o u t h o f t h e Y angtze*

By " r e j e c t e d " i t i s n o t meant t h a t th o s e d y n a s t i e s

were " t o t a l l y " re je cted . A ccounts o f th e e v e n t s w h ic h

o c c u r r e d i n t h o s e d y n a s t i e s w ere a l s o g i v e n , but ra th e r

hap hazardly, i n th e h i s to r y of t h e i r corresponding

" a c c e p t e d 11 d y n a s t i e s . Ih is, as a ls o happened l a t e r

w i t h t h e L i a o a n d C h in d y n a s t i e s , ( s e e p . 227 ) g r e a t l y

o b s c u r e d o r d i s t o r t e d t h e r e a l h i s t o r i c a l s i t u a t i o n of t h e

tim e.

A b o u t a c e n t u r y a f t e r t h e time, o f S su -m a Kuang, t h e

1 1u n g - c h i e n kang-mu was drawn up u n d e r t h e

d i r e c t i o n o f Chu H si? t h e g r e a t Sung K e o - G o n f u c i a n i s i .

A l t h o u g h the. I1’ u n g - c h i en kang-mu i s a m e r e l y i * e - a r r a n g e d

i p i c h , 11Win111■> 11 *i itlT ii *ii niiB m i null ii <i ■n n iiin > i|in * * immTr n i m i )nm

( 2. )
and c o n d e n s e d e d i t i o n o f t h e I z u - c h i h t ^ n g - c h i e n ^ * 'i n » n rf~ ri-r ■---fci m • —— — —— ^ .r r — t , 1ir — | h^ «
it

m ust be n o t e d t h a t Chu H s i d i f f e r e d e n t i r e l y from Ssu-ma

Kuang i n h i s a t t i t u d e t o w a r d s t h e p r o b l e m of o h § n g - t 1ung_.

C o n t i n u a t i o n o f n o t e on p r e v i o u s p a g e :
*■11^1 i tin n wuiMlwnrrlfrTiir-tiCi i r m - n r - n I... 11*..i.-ta.,— I
s
140 yea rs (304-439)
i 1) nor tjaeip nature, t h e i r r e l a t io n t o one an oth er
and t h e i r value as so u rces, see 0. f f r a n g k e , Das I z e - t s c h i -
t fu n g -k ie n und das 1Mu n g - k i e n Kang-mu ( S i t z . der B r e u s.
Ak* der . Wi s s . , * ^ 9 3 0 , p . 10 3.-144.)
 22 3

I f we take the development of the th eo ry of ch en g-t'u n g ............. ■■mri-i-ima.m«..

up t o t h e t i m e o f Chu H s i as. i t s f i r s t p e r i o d , the

c o m p l e t i o n o f t h e T 1u n g - o h i e n kang-m u may he d e s c r i b e d

as th e b e g in n in g of i t s second p e r io d .

Chu H s i r e a l i z e d t h a t t h e T z u - c h i h t ’u n g - c h i e n was

t o o v o l u m in o u s f o r o r d i n a r y r e a d e r s . . B ut a more i m p o r t a n t

c o n s i d e r a t i o n was t h a t , a s an o r t h o d o x C o n f u c i a n , he

c o u l d n o t a g r e e w i t h S s u - m a ' Kuang1s a t t i t u d e t o w a r d s

usurping d y n a s tie s , e s p e c i a l l y i n v iew o f t h e menace t o

Sung fro m t h e c o - e x i s t i n g n o r t h e r n d y n a s t i e s , t h e E h .ita n ­

i l s o and t h e J u r e h e n - C h i n . He c o n d e n s e d an d r e - a r r a n g e d

t h e !Ezu~chin t * u n g - c h i © n i n t h e l i g h t of t h e p r i n c i p l e s

o f t s u n - w a n g % &• a n d j & n g - i if! & l a i d down by C o n f u c i u s

i n h i s Gh’ u n Chyiu a n d w i t h t h e same i n t e n t i o n . ( l )

I n t h e T!u n g - c h i e n ka ng-mu Chu H s i a s s i g n e d c h £ h g - t 1u h g

t o t h e S hu-H an and r e j e c t e d t h e Wei (c o m p a r e p . 2 1 7 ) .

He w i t h h e l d r e c o g n i t i o n f r o m a number o f d y n a s t i e s , such

^ ^ C o n f u c i u s l i v e d i n a, t i m e when t h e c e n t r a l po w er o f t h e
Chou d y n a s t y was d w i n d l i n g . I1he p o w e r f u l v a s s a l s t a t e s
c h a l l e n g e d t h e a u t h o r i t y o f t h e Chou K ing an d w i t h i n t h e
v a s s a l s t a t e s them selves th e su b v a ssa ls ch a llen g e d th e
a u t h o r i t y of t h e i r p rin ces.. fi h e e s t a b l i s h e d s o c i a l o r d e r
was i n r u i n . Ihe b a rb a ria n s c o n sta n tly th re a te n e d th e
s e c u r i t y of t h e Em pire.
C.
C o n f u c i u s c o m p i l e d t h e C h 'u n Ch* i u
>i mu. in r-in — .........rnri ■
!i~nmwi. — .... rri

t o p r e a c h two p r e v a i l i n g i d e a s , t s u n - w a n g an d j a n g - i , ("to
h o n o u r th e s o v e re ig n " and " t o r e p e l the b a r b a r i a n s " . ) He
 224'

a s t h e S o u t h e r n D y n a s t i e s an d t h e F i v e D y n a s t i e s , to w hich

i m p e r i a l d e s i g n a t i o n s h a d b e e n g i v e n by Ssu-ma Kuang.

He e o u l d n o t a v o i d u s i n g t h e i r r e i g n t i t l e s , but he

managed t o p r e s e n t them i n s u c h a way as. t o be a b l e t o

show t h a t t h e y w e r e n o t a c c e p t e d by t h e w h o le o f t h e e m p i r e .

He made s . t r i c t d i s t i n c t i o n s b e t w e e n t h e c h f e a g - t 1u n g

d y n a s t i e s and t h e " n o n c h § n g - t *u n g ” d y n a s t i e s , a n d b e t w e e n
” >i finT um ii 'in>i .. .......nun ma m■■■ nMinww ^ it

t h e C h i n e s e and b a r b a r i a n s , in order to s u p p o rt th e

C o n f u c i a n d o c t r i n e s , t s u n - w a n g and j a n g - i .

Chu H s i 1 s T 1u n g - ohi.e n ka ng-mu c o v e r e d t h e sam e p e r i o d

a s Ssu-ma K u a n g 1 s I z u - c h i h t ' u n g - c h i e n , w i. i » m >rw

namaLy fr o m t h e

l a s t 200 y e a r s of t h e Chou d y n a s t y t o t h e en d o f t h e

Five D y n a s tie s , 431 B .C . t o 9 5 9 i u D . Soon a f t e r w a r d s

C h in l i - h s , i & n g w rote a su p p lem en tary s e c t i o n ,

c a r r y i n g t h e h i s t o r y b a c k t o t h e t i m e o f Yao , and

later, d u r i n g t h e Ming d y n a s t y , Ch 1 C h in g f%J(& w r o t e

C o n t i n u a t i o n*1 o f nH o t e 011 p r e v i o u s p a g e ;
I>*111II I * i m ili m w . .iM...t.^lin.li H
i■iiiii...I,WTih**«--—TTrTT~ rTf^W*!■Ii*. I IHIIW'T
III11 mil ri >|iH|if i~j

p r a i s e d - good an d condemned e v i l s , t h a t i s t o s a y , e v e n t s
which a re i n c o n f o r m ity w i t h o r i n o p p o s i t i o n t o t h e s e
p r i n c i p l e s , with, a v ie w t o g i v i n g e x a m p le a n d w a r n i n g ,
i n o r d e r t o 11 c l e a n s e s o c i e t y o f d i s o r d e r a n d r e t u r n i t
t o t h e r i g h t ’p a t h . "
y e t a n o t h e r s u p p l e m e n t t a k i n g i t back t o f u H s i Hj

At the d o s e o f t h e 1 5 t h c e n t u r y , 3hang~-Lo prepared

a H a u - p i e n ( S u p p l e m e n t a r y Volume) co n t i n u i n g t h e h i s t o r y

t o t h e end Of th e Yuan d y n a s t y . At t h e b e g i n n i n g o f t h e

1 8 t h c e n t u r y Chang f * i n g - y u w rote a second

Supplem ent, S a n - p i e n Z'&fa e x t e n d i n g t h e s t o r y down t o

t h e end o f t h e Ming d y n a s t y ( 1 6 4 4 ) *

I h e e n l a r g e d e d i t i o n o f 1 1u n g - c h i e n ka ng-mu,
mu i!MiniMniMiii^i i ■mi i itm
in clu d in g

th e su p p lem en ts f o r th e e a r l i e r and l a t e r p e r i o d s ,

c o v e r e d t h e w h o le o f C h i n e s e h i s t o r y down t o t h e end o f

t h e Ming d y n a s t y . I t was p o p u l a r b e c a u s e of t h e a u t h o r i t y

of Chu H s i , a n d fo rm e d one o f t h e m o st i m p o r t a n t s o u r c e s

o f h i s t o r i c a l k n o w le d g e f o r t h e C h i n e s e l i t e r a t i fr o m

Sung t i m e s o n w a r d s . A b r i d g e m e n t s o f t h i s w o rk w e r e

p r e p a r e d one a f t e r a n o t h e r i n o r d e r t o r e n d e r i t more

a c c e s s i b l e t o o r d i n a r y r e a d e r s o r s c h o o l b o y s . ( 1 )'

^ ^ On t h e c o m p l e t i o n o f Chang I 1in g -y u * s S u p p l e m e n t a r y
Volume i n 1745 Gh* ie n -lu n g * w r o t e a p r e f a c e p r a i s i n g t h e
HM ung-chien k a ng-mu a s t h e 11o n l y s t a n d a r d w o rk ” o f t h e
a n n a l s . I n 1 7 6 7 , h o w ev e r, t h e 1 1u n g - c h i e n c h i - l a n
a new g e n e r a l h i s t o r y o f C h in a , was d ra w n up by Ch* i e n - l u n g ,
i n o r d e r t o o f f s e t Chu H s i 1 a w o rk . I h i s m o t i v e , h o w e v e r ,
he d i d n o t o p e n l y a d m i t . I t i s obvious t h a t , a lth o u g h t h e
Manchu r u l e r s c o u l d demand l o y a l t y fr o m t h e i r C h i n e s e
s u b j e c t s , by m a k i n g u s e o f t h e p r i n c i p l e o f t s u n ^ w a n g ,
and by a p p e a l i n g t o t h e e t h i c a l r e l a t i o n s h i p b e t w e e n
s o v e r e i g n and s u b j e c t s t a u g h t i n t h e C o n fu c ia n t e a c h i n g
o f t h e f i v e R e l a t i o n s h i p s , t h e i d e a o f j a n g - i was n e v e r t h e l e s s
 226

f h e p e r i o d d e a l t w i t h i n S h a n g - i o ’ a H su- p l a n , t h a t of

t h e S u n g -L i& o -O h in an d t h e Yuan d y n a s t i e s , i s a t i m e of

r i v a l r y b e t w e e n t h e C h i n e s e a n d n o n - C h i n e s e , and of th e

s u b m i s s i o n o f C hina t o t h e nom ads. ' n ev erth eless,

a l t h o u g h t h e r u l i n g h o u s e s o f t h e L ia o j-C h in a n d Yuan

d y n a s t i e s w e r e n o n - C h i n e s e , t h e p e o p l e o v e r whom t h e y

r u l e d were overw helm ingly C h in ese. (The i n f l u e n c e o f

c h e n g - t 1ung an d t h e a t t i t u d e towards, t h e n o n - C h i n e s e

C o n t i n u a t i o n o f n o t e on p r e v i o u s p a g e :
c e r t a i n l y n o t s u i t a b l e t o be a l l o w e d t o s p r e a d among s u c h
s u b j e c t s u n d e r an a l i e n r u l i n g h o u s e .
S e v e r a l y e a r s l a t e r ( i n 1775) t h e e x t e n d e d e d i t i o n o f
t h e 1 1u n g - c h i e n kang-mu was r e v i s e d , p a r t i c u l a r a t t e n t i o n
b e i n g p a i d t o t h e n o n - C h i n e s e te rm s u s e d i n t h a t w o rk .
( D r . G o o d r i c h h a s g i v e n a t r a n s l a t i o n of t h e d e s c r i p t i o n
o f t h i s w ork i n t h e I m p e r i a l C a t a l o g u e ( S s u - k ' u C.h'ua-n
Shu l1i - Y a o ) ( L i t e r a r y I n q u i s i t i on, p . 1 4 1 ); •'
In th e p re fa c e to h is A u th o rize d V ersio n of th e L iao,
C h in an d Yuan H i s t o r i e s C h ' i e n - l u n g r e m a r k s : ,,ff h e t r a n s l a t i o n
i n t o C h i n e s e o f t h e K h i t a n , J u r o h e n and Mongol t e r m s was
d on e by C h i n e s e who h a d l i t t l e sy m p a th y w i t h t h e s e p e o p l e s ,
f h e y h ad a d i f f e r e n t way o f l i f e a n d u s e d a d i f f e r e n t k i n d
of la n g u a g e . DDhey p o s s e s s e d , i n a d d i t i o n , a w i c k e d
d i s p o s i t i o n t o condemn t h e s e n o n - C h i n e s e p e o p l e s i n t h e i r
c h o i c e o f w o rd s u s e d f o r t r a n s l a t i n g . 1'
I he 2?♦u n g - c h i en c h i - l a n t o a c e r t a i n e x t e n t r e p l a c e d
t h e T 1u n g - ch i e n k a n g -m u , b u t t h e T 1u n g - c h i en ka ng-mu
r e m a i n e d a n i m p o r t a n t w ork o f r e f e r e n c e .

^ A f t e r t h e p e a c e t r e a t y o f 1004, t h e Sung a g r e e d t o p a y
a n n u a l l y t o t h e L i a o g i f t s i n s i l k and i n c a s h , f o r one
p e r i o d t h e S o u t h e r n Sung p r o c l a i m e d i t s e l f a s v a s s a l s t a t e
o f t h e C h i n and p a i d t r i b u t e t o t h e m . I h e Yuan r e p l a c e d t h e
Sung an d r u l e d the whole o f C hina p r o p e r . ( S e e D i a g r a m 1 1 1 ) .
 227

d y n a s t i e s t y p i c a l o f C h i n e s e h i s t o r i a n s s i n c e Chu H s i f e

tim e, i s i l l u s t r a t e d hy t h e way i n w h i c h Shang Lo t r e a t s

th ese d y n a stie s. In h is in tro d u c tio n to h is H su-pien,

Shang Lo s a y s ;

u3)h© E h i t a n - L i a o grew o u t o f t h e a n c i e n t t r i b e of

H s i e n - p i and t h e l u r c h e n - C h i n r o s e fro m t h e t r i b e s

of P o h a i. Both b a r b a r i a n s , b ein g c r u e l and c r a f ty ,

h a d e s t a b l i s h e d t h e m s e l v e s a s s t a t e s i n t h e n e ig h b o u rh o o c

of C h i n a , f h e i r a f f a i r s were t h e r e f o r e a l s o g a t h e r e d

and re c o rd e d i n th e h i s t o i y of th e contem porary

(S u n g ) d y n a s t y .

1,rf h e c o n t r o l o v e r C h i n a by t h e Mongo 1 -Y uan was ' a

time, o f e x t r e m e m i s f o r t u n e . T his s t a t e o f a f f a i r s

was l i k e a man w e a r i n g s h o e s on h i s h e a d a n d h a t on

h is fe e t, o r t h e ( . b r i g h t ] s k y and e a r t h t u r n i n g t o

darkness, f h e I h r e e Bonds ( t h e t r a d i t i o n a l s o c i a l

o r d e r ) d e c l i n e d and t h e l i n e [ k in d s , o f] R egulations

( t h e a d m i n i s t r a t i v e s y s t e m s ) were i n r u i n , le v e rth e le ss

t h e M ongols w a r e a b l e n o t o n l y t o c o n t r o l t h e w h o l e

o f C h i n a , b u t a l s o t o hand down t h e i r r u l e f o r s e v e n

or e ig h t g e n e ra tio n s. I t i s i m p o s s i b l e t o a v o id u s i n g

t h e i r re ig n t i t l e s to record d a te s . However, we do

n o t g i v e up o u r d i s c r i m i n a t i o n b e t w e e n C h i n e s e and
 228

t e r b a r i a n s .** ( I')

In ab o rt, a f t e r Chu H s i , t h e t h e o r y of c h § n g - t 1ung

became a m i x t u r e of l e g i t i m a c y and n a t i o n a l i s m .

t o th e a v e ra g e C hinese l i t e r a t i , f r o m t h e Bung t i m e

onwards — a s few o f th em b o t h e r e d t o l e a r n f o r t h e m s e l v e s

t h e c o r r e c t m e a n in g of t h i s , t h e o r y — c h £ n g - t 1u n g h a s

b e e n u n d e r s t o o d s i m p l y ss. a l i n e o f s u c c e s s i o n of d y n a s t i e s

w h ic h o c c u r r e d i n C h i n e s e h i s t o r y , w i t h t h o s e f o u n d e d by

C h i n e s e a s ohghg- f r 1u ng and 1h o se f o u n d e d b y n o n - C h i n e s e

a s " n o n - c h § n g - t ’u n g ,!; t h e c h & n g - t ’uaig d y n a s t i e s w e re good

wh i l e t h e s e 11n o n - ch e n g - 1 1u n g 1* dy na s ' t i e s w e.r e b ad . MSng

W e n - t 1u n g h a s d e s c r i b e d t h e t h e o r y o f ch & rig-t*ung
(3)
a s the h i s t o r i c a l n a t i o n a l i s m of t h e C h i n e s e p e o p l e 7.

He i s r i g h t i n s o f a r a s t h e sec o n d p h a s e o f t h e d e v e l o p m e n t

of th e th eo ry i s concerned.

It i s owing t o t h e i n f l u e n c e of t h i s t h e o r y t h a t th e

S hang Lo: f ’ u n g - c h i e n k a ng-mu H s u - p i e n , I n t r o d u c t i o n .

^ Compare Ch'fcn l « i n g * s e s s a y on ' ff.

t h e r e a r e . s p e c i a l h i s t o r i e s d e v o t e d t o t h e L i a o , C h in
and Yuan d y n a s t i e s , t h e L i a o S h i h , C h in S h i h a n d Yuan S h i h .
B u t few C h i n e s e l i t e r a t i t a k e t h e t r o u b l e t o c o n s u l t th e m .

^ ^ B u l l e t i n of th e P u b l i c L i b r a r y of S su -c h 'u am , Oh* e h g t u ,
No . 2 .
 229

C h i n e s e . p e o p l e f r o m Sung t i m e s onwards h a v e b e e n l e s s

than ever a b le to th in k o b je c tiv e ly about an y th in g non-

C hinese, and t h a t t h e h i s t o r y o f t h e n o n - C h i n e s e p e o p l e s

has, b e e n n e g l e c t e d . I t i s a l s o owing t o th is theory t h a t

t h e C hinese, p e o p l e h a v e become t h e l e a s t **f r o n t i e r

c o n s c i o u s ’1 p e o p l e i n t h e w o r l d and t h a t t h e y r e m a i n t o

t h i s day i g n o r a n t o f t h e l a n d a n d p e o p l e s o f t h e i r p r e s e n t

day o u t l y i n g p r o v i n c e s . Ind eed , t h e d i f f i c u l t i e s w hich

a r o s e i n th e f i r s t s t a g e of the e s t a b l i s h m e n t of d i p l o m a ti

r e l a t i o n s b e t w e e n C h i n a a n d t h e w e s t e r n w o r l d may a l s o

be t r a c e d i n p a r t t o t h i s s o u r c e .

fixe a c c o m p a n y i n g D i a g r a m I I I shews t h e d y n a s t i e s , both

C hinese and n o n -C h in ese, f r o m t h e u n i f i c a t i o n o f C hina

by t h e Ch1i n down t o t h e end o f t h e Man chu d y n a s t y . A

p r o p e r h i s t o r y o f C hina ought t o g i v e a f a i r a c c o u n t o f

b o t h t h e C h i n e s e and t h e n o n - C h i n e s e d y n a s t i e s . C hinese

h isto ries, h o w e v e r, h a v e b e e n s t o r i e s o f t h e s e r i e s o f

d y n a s t i e s w hose r e i g n t i t l e s h a v e b e e n u s e d f o r t h e

chronology of e v e n ts . In th is se rie s of d y n astie s, such

n o n - C h i n e s e d y n a s t i e s , a s t h e Yuan and Ch! i n g w e r e a l s o

i n c l u d e d , b u t t h e y w e re r e g a r d e d a s nn o n - c h § n g - t *u n g M
 /

2 30

and f o r e i g n . Ih e C hinese h i s t o r i e s have e s s e n t i a l l y been

h i s t o r i e s o f t h e Han-3@n.
II«M ■.'muiriM
 aoi —
232

D ia g ra m I I I

Showing th e d y n a s t ie s from the u n i f i c a t i o n o f China by

the C h 'in down to th e end of the Ch'ing (221 B.C. - 1911 A. D. )

shows d y n a s t ie s th e r e ig n t i t l e s of
which have been u s e d .

... shows d y n a s t ie s founded by n on-C hin ese.

2 2 ) B e.
2 0 fc> a.c.

9 /M ,
HAN -

2 $ A.D.

W ////^ wu '

6 STATES OF FIVE BARBARIAN TRIBES

/ Ea
e A sSTERN
tern CHIN #'S / /
• • • : ' " ' // '' // // // // . / A/ /V / / // / / / / / / / // // /.

LIA N G
OW THERN C H 11
N O RTH ER N CHOU!

T 'A N G

’9 0 7
960

LIAO / / / / / / / IOOO

SUNG'
///////.
1127

11220 CHIN :::::

210
1234
: :////v / southe rn sung '//a

>
y YUAN

// / / / , M IN G •
W ^M
 233

(V) SOME REMARKS OH 1’EE OFFICE OF SHU-Ml SHIH.

/

T h r o u g h o u t t h e Hung d y n a s t y (9 6 0 - 1 2 7 6 ) , th e m ain

f u n c t i o n s o f g o v ern m e n t i n C h in a w e r e e x e r c i s e d by t h e

h e a d s o f two d e p a r t m e n t s o f s t a t e w h ic h w e re o f m o re or

l e s s equal im portance. T hese were t h e d e p a r t m e n t o f

11C h u n g -s h u 11 ( i . e . . the c h ie f m in iste r, or c h ie f m in is te r s ) ^

w h i c h was r e s p o n s i b l e f o r c i v i l a d m i n i s t r a t i o n , a n d t h e

Sh u-m i Yuan, i . e . t h e d e p a r t m e n t of t h e S h u -m i S h i h , w h i c h
( 2^
co n tro lled m ilita ry a f f a i r s . D uring th e s u c c e e d in g

C h in an d Yuan (12 60-1368) d y n a s t i e s , th e S h u -m i Yuan a l s o

d e a lt w ith m ilitax y affairs, though i t s s t a t u s was n o t

so high as i t s c o u n t e r p a r t i n t h e Sung p e r i o d . As a

resu lt, i t has. b e e n t h o u g h t t h a t t h e S h u -m i Yuan was n e v e r

concerned w ith a n y th in g but m i l i t a r y a f f a i r s . However,

an i n v e s t i g a t i o n of th e e a rly h is to r y o f t h i s p o e t of

^ ^ I(1n t h e f a* n g7. t i m4 e s A( bc< l8,~ 970 76h)t ChuM

Chungr s h u was S
-3hvu$he»3,
one of , ,
te»? 3WShtnQ-Shv Shew
t h e t h r e e D e p a r t m e n t s o f S t a t ^2 among w h ic h t h e p o w e r s J ~
o f t h e T s a i - h s l a n g ( C h i e f M i n i s t e r ) o f ea n c i e n t t i m e s
w e re d i v i d e d ( s e e p . 241 ) . L a t e r h i s t o r i a n s , hew e v e r ,
o f t e n u s e d ” C h u n g -s h u t t o d e n o t e t h e w h o l e c i v i l
a d m i n i s t r a t i o n . H e re t h i s t e r m i s u s e d i n t h a t s e n s e .
A c t u a l l y , i n t h e Bung d y n a s t y , a s i n t h e f a n g , C h u n g -s h u
was o n l y one o f t h e t h r e e h i g h e s t c i v i l a d m i n i s t r a t i v e o r g a n s

Bung S h i h , ch. 1 6 2 , la.

 234

Shu-mi Shih ra va a ls th a t during th e p erio d preceding

the Sung dynasty — from th e middle o f th e I'&ng dynasty,

when t h i s o f f i c e f i r s t came in to being (765)? to th e end

/
of the f'ive D y n a stie s (959) — the Shu-mi Shih had l i t t l e

to do w ith m ilit a r y a f f a i r s . Moreover, during th e f i f t y

y ears im m ediately p reced in g the Sung, the Shu-mi Shih

usurped the power o f th e c h ie f m in is t e r , whose d u t ie s

were reduced to th e performance of r e l a t i v e l y i n s i g n i f i c a n t

m a tte r s . In order to i l l u s t r a t e th e background of th e

r i s e of the L iao Shu-mi Yuan system, we in clu d e here t h i s

sh ort study o f th e e a r ly phase of th e development of t h i s

o f f i c e , . "0

S|5 SfS ifi SJS

She o f f i c e of Shu-mi Shih was f i r s t e s t a b lis h e d in

- - - ■ — _ _ _ _ _
' ' In s p i t e o f th e importance o f the p art played by the
Shu-mi Shih i n the l a t e r years o f t h e f a n g dynasty and i n
the pe.riod of th e Five D y n a s tie s, n e it h e r o f the two o f f i c i a l
h i s t o r i e s of the f a n g dynasty —- th e Old f a n g H isto r y and
the lew f a n g H isto ry — g iv e s any account of i t i n i t s
chapters on o ff ic ia ld o m . ( Qhiu 1 1ang-shu, c h . 43-45; Hain
OHa n g-sh u , ch. 3 6 -3 9 ). fhe Old H isto ry o f th e F iv e D y n a stie s
g iv e s only a very b r i e f d e s c r ip t io n o f i t ( Qhiu W u-tai S h ih ,
ch. 149 ) , whereas th e Hew H istory o f th e F iv e D y n a stie s
does not even provide a s p e c ia l s e c t i o n on o f f ic ia ld o m . I t !
is., th e r e f o r e , im p o ssib le to fin d in fo rm a tio n from the
h isto ries,, of th e p erio d s w ith which t h i s o f f i c e was most
c l o s e l y concerned. However, Me f u a n - l i n has in corp orated
the fragmentary in form ation pert& inirg t o th is, o f f i c e which
i s s c a t t e r e d in the above-mentioned h i s t o r i e s in t o the
s p e c i a l passage on t h i s o f f i c e in h is W§n-haien 1 1u n g-k 1ao
( c h . 5 8 )and i t i s to t h i s th a t we. are m ainly indebted, fo r
the f o llo w in g accou n t.
765, d u r i n g t h e r e i g n o f Emperor T a i - t s u n g % (763-779)

of t h e f a n g dynasty. I t was o r i g i n a l l y a m i n o r p o s i t i o n

h e l d by e u n u c h s . Those who h e l d t h e p o s i t i o n e v e n had

no p r o p e r o f f i c e b u i l d i n g o f t h e i r own, t h e r e b e i n g

o n l y t h r e e rooms i n w hich t h e d ocum ents w e r e s t o r e d . At

t h a t t i m e i t was known a s t h e H ei S h u -m i S h i h , t h e S h u -m i

S hih of th e I n n e r C o u rt. I t s f u n c t i o n was m e r e l y t o

r e c e i v e m e m o r i a l s and b r i n g them b e f o r e t h e e y e s o f t h e

e m p e r o r i n t h e I n n e r C o u r t , and t o p r o c l a i m t h e e m p e r o r ’ s

d ec isio n s, i f a n y , t o t h e O kung-shu an d M § n ~ h sia , t h e

chief m in iste rs, fo r ex ecu tio n .

D uring th e p e r i o d 806-824, t h e o f f i c e o f S hu -m i S h i h

was u s u a l l y f i l l e d by eunuchs who w ere r e t i r e d !<Army-

In sp ecto rs” . They s t i l l d i d n o t h a v e p r o p e r o f f i c e

a c c o m m o d a tio n o f t h e i r own.

D u rin g t h e 8S0! s , t h i s o f f i c e was h e l d by Yang F u -k u n g

a n d H s i-m § n C h i - y u a n who, b e c a u s e t h e y s o u g h t t o u s u r p

t h e p ow er o f t h e C h i e f M i n i s t e r , p r e p a r e d ” y e l l o w - p a p e r s 11

and a t t a c h e d th e m t o t h e C h i e f M i n i s t e r ' s d e s p a t c h e s .

I t was n o t u n t i l t h e n t h a t t h e S h u -m i S h i h b e g a n t o

control d ir e c tly p u b lic a f f a i r s .

In th e b eg in n in g of th e te n th cen tu ry , t h e p o w er of
 236

t h e Shu-ini S h i h i n c r e a s e d t o s u c h a n e x t e n t t h a t t h e y

c o n s t i t u t e d a t h r e a t t o t h e p o w e r of t h e C h i e f M i n i s t e r .

T h is l e d t h e e m p e r o r C h a o - t s u n g t o i s s u e t h e f o l l o w i n g

d e c r e e i n 9 0 1:

11I n r e c e n t yeax^s, w h e n e v e r t h e C h i e f M i n i s t e r h a s

r e p o r t e d i n a u d i e n c e , t h e Shu-m i S h i h i n a t t e n d a n c e

h a s a l w a y s q u a r r e l l e d w i t h him . fh e n they a l l r e t i r e d

t h e S h u -m i S h i h s a y s t h a t t h e e m p e r o r ' s i n t e n t i o n s

h a v e n o t b e e n p r o p e r l y i n t e r p r e t e d and p r o c e e d s t o

a l t e r th e d ec isio n s, thus m eddling w ith a u t h o r i t y

a n d d i s o r g a n i z i n g t h e g o v e r n m e n t. T herefore, fr o m

now on, t h e S hu-m i S h i h m u s t f o l l o w t h e p r a c t i c e

e s t a b l i s h e d d u r i n g t h e p e r i o d of T a - c h u n g ( 8 4 7 - 6 0 ) :

They may n o t come i n t o t h e a u d i e n c e h a l l t o r e c e i v e

t h e i r in stx m c tio n s u n t i l a f t e r the au d ien ce of the

C hief M in is te r has f i n i s h e d . "

I n 907 th e T 'a n g d y n a s ty c o l l a p s e d and t h e power of

t h e eun u ch s w as e x t i n g u i s h e d . But th e o f f i c e of th e

£>hu~mi S h i h t o oh on a new l e a s e of l i f e .

I n o r d e r t o a v o id a r e p e t i t i o n of t h e d i s a s t e r caused

by t h e T ' a n g e u n u c h s , Chu C h u an -c h u n g , who f o u n d e d t h e

l a t e r L ian g (907-922) i n p la c e of t h e T 'a n g , c h a n g ed t h e

 237

name o f t h e S h u -m i Yuan t o Oh1u n g - c h § n g Yuan and

a p p o i n t e d Ching H s i a n g , a s c h o l a r , as i t s C o m m is s io n e r

( S h ih ). T h i s was t h e b e g i n n i n g of t h e p r a c t i c e o f a p p o i n t i n g

l i t e r a t i to t h i s post*

1'he f u n c t i o n o f t h e Oh1u iig -e h £ n g S h i h was t o o f f e r

a d v i c e a n d make p r o p o s a l s t o t h e e m p e r o r . A lthough th e y

u s u r p e d t h e d u t i e s of t h e C h i e f M i n i s t e r s , t h e y d i d no t

a s y e t h a v e g o v e r n m e n t a l a u t h o r i t y of t h e i r own.

The s i t u a t i o n o f t h e S h u -m i S h i h o f t h i s p e r i o d i s

b e s t e x p l a i n e d by Ms f u a n - l i n h i m s e l f who r e m a r k s :

11The f i r s t em pero r of t h e L i a n g d y n a s t y l e a r n e d f r o m

t h e e r r o r s o f t h e f a n g p e r i o d and c e a s e d t o a p p o i n t

eunuchs t o t h i s p o s t . Y et h e r e a l i z e d o n l y t h a t

e u n u c h s s h o u l d n o t be a p p o i n t e d t o t h e S hu -m i S h i h ,

and d i d n o t r e a l i z e t h a t t h e v e r y e x i s t e n c e o f t h e

S h u-m i Yuan was u n n e c e s s a r y . A l l t h o s e who h e l d t h i s

o f f i c e w e r e t h e m o s t i n t i m a t e m i n i s t e r s of t h e e m p e r o r .

I t was a c a s e o f h a v i n g b e s i d e s t h e r e g u l a r c h i e f

m in isters one e x t r a c h i e f m i n i s t e r an d o f h a v i n g one

e x t r a sh§ng b e s i d e s t h e t h r e e p r o p e r sh § n g ( th e o f f i c e
iminni i t n mm niYrt nfnmin'i irn !T3i»

■ b u ild in g s o f t h e c h i e f m i n i s t e r s )

I n 9 2 3 i when t h e l a t e r L i a n g d y n a s t y was r e p l a c e d by
 2 38

the L a te r f a n g , t h e C h 'u n g - c h S n g Yuan a g a i n he came t h e

Shu-m i Yuan* Kuo Oh* u n g - t a o an d An Ch1u n g - h u i s u c c e s s i v e l y

h e l d t h e o f f i c e of S hu -m i Shih* I n t h i s p e r i o d t h e Shu-m i

S h i h e x e r c i s e d t h e r e a l pow er o f t h e C h i e f M i n i s t e r .

Commenting on t h e f u n c t i o n s o f t h e S h u -m i S h i h o f t h i s

p erio d , Ssu-m a Kuang s a y s :

ii^rom t h e r e i g n , of f a i - t s u o f the L a t e r L iang ( i . e .

Chu G h u a n -c h u n g ) , i m p o r t a n t army a n d s t a t e a f f a i r s

w e re d e c i d e d hy t h e e m p e r o r i n c o n s u l t a t i o n w i t h the

O h*ung-ching S h ih , o r Sh:U^-mi S h i h , w h i l e t h e

f u n c t i o n s of t h e C h i e f M i n i s t e r h a d b e e n r e d u c e d t o

r e c e i v i n g d e c i s i o n s w h i c h had a l r e a d y b e e n r e a c h e d ,

carry in g out (th e in s tru c tio n s co n tained in) im p e ria l

ed icts, p ro d u cin g h i s t o r i c a l e q u iv a le n ts ( of ev en ts

under d iscu ssio n ) and h a n d l i n g s e c r e t a r i a l w o rk * 11( 3)

I n 9 36 S h i h C h i n - t 1a n g f o u n d e d t h e L a t e r C h in d y n a s t y .
( 2)
fo u r years l a t e r , i n 9 3 9 , he a b o l i s h e d t h e S h u - m i Yuan' /.

Ssu-m a Kuang: T & u -c h ih 1 1u n g - c h i e n , c h . 282, 3b*

W i t h r e g a r d t o t h i s a c t i o n by S h i h O h i n g - t 1a n g , Ssu-ma
Kuang w r i t e s : ( I1a u - c h i T 1u n g - c h i e n , c h . 282, 3b) !! 1 he
Bmperor ( i . e . S h i h C h i n g - t «ang) had w i t n e s s e d t h e ...o v erbearing
c o n d u c t o f An Oh* u n g - h u i . an d Kuo O h * u n g - t a o , . ( t h e Shu-m i
S h i h ) d u r i n g t h e r e i g n o f M i n g -1 s u n g ( 9 2 6 - 9 3 3 ) of t h e
L a te r f a n g dynasty, t h e r e f o r e , when h e f i r s t came t o t h e
t h r o n e h e o r d e r e d t h a t t h e o f f i c e o f S h u -m i S h i h s h o u l d
be h e l d c o n c u r r e n t l y by San YCei-han, t h e C h i e f M i n i s t e r *
11L a t e r L i u Gh1u - c h i e n was a p p o i n t e d S h u-m i S h i h . But
 239

But i n 9 4 4 i t w as r e - e s t a b l i s h e d , th ro u g h o u t th e L a te r

Chou w h ic h f o l l o w e d t h e L a t e r Chin, t h e S h u -m i Yuan was

k e p t i n b e i n g . J ? I n 9 6 0 Chao K ' u a n g - y i n r e - u n i t e d C hina

and f o u n d e d t h e Sung d y n a s t y . He c a r r i e d out an im p o rta n t

r e f o r m o f t h e o f f i c e of S hu-m i S h i h , a l l o c a t i n g t o i t t h e

d u t y o f t h e a d m i n i s t r a t i o n of m i l i t a r y a f f a i r s o f t h e

n atio n , th en cefo rth , t h e S hu -m i Yuan nb e g a n t o h a v e i t s

p r o p e r d u t y and c e a s e d t o be a s u p e r f l u o u s o r g a n . t!

t h i r t e e n y e a r s p r i o r t o t h e f o u n d a t i o n of t h e Sung,

th e L iao em peror Y e h -lu 1 §-kuang e n t e r e d the

c a p i t a l o f t h e L a t e r C h in ( 9 4 7 ) * He t o o k o v e r t h e C h in

a d m i n i s t r a t i o n and a p p o i n t e d a Bhu-mi S h i h . th e next

year h is su c c e sso r, S hih-tsung, i n a u g u r a t e d i n h i s own

C o n t i n u a t i o n o f n o t e on p r e v i o u s pages
y >.r >T<f irn-1-||^||. - *||||||- |« init iii I.* li iHB<iiii*im If im 111 Min iininHi inmni<ii» 11.■»n > nl'»i n m n w i i''lin >' iin i" . p x m uWrflilwiinin n-yi

h i s r e p l i e s and s u g g e s t i o n s s e l d o m c o i n c i d e d w i t h t h e
e m p e r o r 1a o p i n i o n , g o , t a k i n g a d v a n t a g e o f t h e d e a t h of
L i u 1 a mo t h e r , t h e Bmp e r 0 r ah o l i s h e d t h e S h u -m i Yu a n .
I t s s e a l was s u r r e n d e r e d t o t h e C h i e f M i n i s t e r ' s o f f i c e
a n d i t s a f f a i r s w ere h an d e d o v e r t o t h e C h i e f M i n i s t e r
to d e a l w i t h . However, t h e h i g h o f f i c i a l s an d t h e
i m p e r i a l e n t o u r a g e knew l i t t l e a b o u t p o l i t i c s , fhey
w ere a c c u s t o m e d t o t h e p r a c t i c e o f h a v i n g a S hu-m i Yuan,
an d c o n s t a n t l y s o u g h t t o r e s t o r e i t .
 240

s t a t e two S h u -m i Yuan w h ic h s u r v i v e d t h r o u g h o u t t h e w h o le

o f t h e Ifao d y n a s t y and t h e e a r l y p a r t <£ t h e C h in p e r i o d .

An a c c o u n t o f t h e h i s t o r y o f t h e S h u -m i Yuan d u r i n g t h e s e
(1)
p e rio d s has been g iv e n above.

t h e r e f o r e t h e S h u-m i Yuan o f t h e L i a o a n d e a r l y Ohin

p erio d i s , i n so f a r a s i t s fu n ctio n i s concerned, a

c o n t i n u a t i o n o f t h e S hu -m i Yuan o f t h e F i v e D y n a s t i e s
( 2)
p erio d . '
\ ifr S*i d ft

The s t o r y o f t h e o f f i c e o f t h e S h u -m i S h i h i n t h e

f i r & t p h a se o f i t s developm ent p r o v i d e s a n i n t e r e s t i n g

i l l u s t r a t i o n o f an im p o rta n t te n d en c y r e c u r r e n t i n C hinese

p o litic a l h isto ry , th e g ra d u a l encroachm ent upon th e

pow er of t h e C h i e f M i n i s t e r o f a member of t h e e m p e r o r ' s

e n t o u r a g e who e v e n t u a l l y h i m s e l f becomes t h e chief

m in ister. F o r ex a m p le, t h e t h r e e $h&ng, o r D epartm ents

nLl| , ■** *"■»%iln «l»ii— m * ■im lftil r r f TH»«ir*WM i u m i imi i i mi i i'ii'ii —n —n — i ~—■ —r r r —' -"I ~ ' -Tin "ITT'—1 r - - y —-r ■
— ■• - —“ •■ ■. ■- ... | [ | . f

^ S e e a b o v e , p . 8 4 f i\) *

^ ^ I n t h e l a t e r p a r t o f t h e C hin ( a f t e r 1 1 3 8 ) , t h e
Shu-m i Yuan became a n o r g a n i s a t i o n d e a l i n g w i t h m i l i t a r y
a f f a i r s . ( S e e p . 1 7 0 ) • T h r o u g h o u t t h e M ongol-Y uan d y n a s t y ,
t h e f u n c t i o n a t ' t h e S h u -m i Yuan was s i m i l a r t o t h a t o f t h e
l a t e r p a r t o f t h e C h in d y n a s t y .
I n t h e e a r l y y e a r s o f h i s cam paign a g a i n s t t h e Mongol,
(th e f o u n d e r o f t h e Ming,) Chu Y u a n - C h a n g , ^ a l s o e s t a b l i s h e d
a Shu-m i Yuan, w h ic h H o w e v e r , was a b o l i s h e d s o o n a f t e r w a r d s ,
 241

o f S t a t e o f t h e f a n g d y n a s t y — t h e Chung-shy. S h e n g

( t h e Grand I m p e r i a l S e c r e t a r i a t ) , th e M e n -h sia Sheng ( t h e

Im p e ria l C hancellery ) and t h e S h a n g - s h u S h eng ( t h e

D e p a r t m e n t o f A f f a i r s o f S t a t e ) — among w h ic h t h e p o w e r s

of T s a i- h s i a n g ( t h e C h ie f M in is te r ) of a n c ie n t tim e s
(1)
w ere d i v i d e d , a l l had s i m i l a r o r i g i n s . '

( 1)
/ I h e S hem g-sh u was o r i g i n a l l y one o f the. s i x s h a n g -
o f f i c e r s a t t a c h e d t o th e S h a o -fu , t h e o f f i c e w hich lo o ked
a f t e r t h e p e r s o n a l a f f a i r s o f t h e e m p e r o r d u r i n g t h e Han
dynasty. The s i x Chang o f f i c e r s w e r e t h e S h a n g - i , t h e
o f f i c e r i n charge of d r e s s , Shang-kuan, th e o f f i c e r s i n
charge of h e a d - d r e s s , th e S h a n g -sh ih , th e o f f i c e r i n charge
of food, Shang-yu, th e o f f i c e r i n charge of th e b a t h ,
S h a n g - h s i , t h e o f f i c e r i n c h a r g e o f t h e b e d , and C h a n g - s h u ,
t h e o f f i c e r i n c h a r g e of w r i t i n g . They w a r e v e r y lo w
p o s i t i o n s , b u t w e re t h e n f i l l e d by l i t e r a t i .
f h e e m p e r o r W u - t i ( B . 0 . 1 4 0 - 8 7 ) , i n m a k in g h i m s e l f a n
a b s o l u t e m onarch, b y - p a s s e d th e u s u a l g o v e rn m e n ta l
c h a n n e l s and u n d e r t o o k p e r s o n a l l y t h e b u s i n e s s o f
governm ent, f h e S h a n g - s h u , a s h i s s e c r e t a r i e s , became
im p o rtan t.
I h e C h u n g -s h u a l s o o r i g i n a t e d fro m W u - t i * s t i m e . In
th e l a t e r y e a r s o f h i s r e i g n , W u-ti s p e n t a g r e a t d e a l
of tim e i n th e harem to w hich t h e S h an g -sh u w ere not
a d m i t t e d . He e s t a b l i s h e d t h e C h u n g -s h u Y e h - e h e
( a b r i d g e d t o C h u n g - s h u ) , a n o f f i c e h e l d by e u n u c h s , whose
jo b i t was t o t a k e c h a r g e o f t h e m e m o r i a l s o r i g i n a l l y
h a n d l e d by t h e S -h a n g -s h u . ( O f . If. If. D ubs: B an ICu, Vox. 2 ,
p . 14.4. She S h a n g - s h u i n t h a t book i s r e n d e r e d a s " M a s t e r s
o f W r i t i n g " and t h e C h u n g -s h u " P a l a c e W r i t e r s " . )
 242

4* =*«

f h e S h u-m i Yuan a n d s h u - m i S h i h h a v e so f a r be e n

t r a n s l a t e d " P r i v y C o u n c i l 11 and ’’P r i v y C o u n s e l l o r "

resp ectiv ely - ( G-iles, Mathews and o t h e r s ) * The S h u-m i

o

Yuan, h o w e v e r, d i f f e r s fr o m t h e ’ P r i v y C o u n c i l i n many

resp ects* W h i l e t h e S h u -m i S h i h was a p o s t h e l d o r i g i n a l l y

by a e u n u c h , t h e P r i v y C o u n c i l was composed o f a g ro u p

of p e rso n s o f high s o c ia l p o s i t i o n . W h ile t h e or i g i n a l

f u n c t i o n o f t h e Shu-m i S h i h was t o con vey m e m o r i a l s and

e d i c t s t o t h e e m p e r o r, th e f u n c tio n s of th e Curia r e g i s ,
ii in ■■ ii mi i • I im i ■mrra 1111

t h e p r e d e c e s s o r o f t h e P r i v y C o u n c i l , w e r e 11t o a d v i s e t h e

King £ o f E n g lan d } i n m a t t e r s o f l e g i s l a t i o n an d a d m i n i s t r a t e

t o see. j u s t i c e done and g e n e r a l l y e x e c u t e t h e r o y a l w i l l . "

< ~ f h e S h u-m i S h i h was e s t a b l i s h e d i n a d d i t i o n t o a n

a l r e a d y e x i s t i n g a d m i n i s t r a t i v e o r g a n h e a d e d by t h e U s a i -

h siang, o r C h i e f M i n i s t e r , w h e r e a s t h e P r i v y C o u n c i l was

t h e o r g a n fro m w h ic h t h e l a t e r C a b i n e t e v o l v e d .

I n J a p a n we f i n d a S u m i t s u I n , th e C hinese c h a r a c t e r s

f o r w h i c h a r e t h e same a s t h o s e f o r t h e S h u -m i Yuan.

One m i g h t h a v e e x p e c t e d t h a t t h i s o f f i c e h a d e x i s t e d f o r

a l o n g t i m e an d t h a t i t owed i t s o r i g i n t o C h i n e s e S hu-m i

Yuan. It is, h o w e v e r, of q u ite re cen t estab lish m en t,

 243

h a y i n g b e e n c r e a t e d o n ly i n 1 8 8 8 . ,lrDhe ( J a p a n e s e ) P r i v y

C o u n c illo rs s h a l l in accordance w ith th e p ro v is io n s f o r

th e o r g a n i s a t i o n of th e P r i v y C o u n cil d e l i b e r a t e upon

i m p o r t a n t m a t t e r s o f s t a t e when t h e y h a v e b e e n c o n s u l t e d
( 1)
by t h e E m p e r o r . ” * I t i s a p u re ly a d v is o r y organ p a t t e r n e d

on t h e l a t e r E n g l i s h P r i v y C o u n c i l , t a k i n g o n l y i t s name

fro m Chinese, h i s t o r y .

^ ^ H ir o b u m i I t o ( t r a n s l a t e d by M i y o ^ i ) : C o m m e n ta rie s on
t h e Cons 1 1 t u t i on o f t h e Imp i r e o f J a p a n . 1889? P -9 ? •
 244

V I. SOME EXAMPLES OP EEPEL1L101 I I 1H1 11X1 OP IHE

LIAO SHIH.

I h e s o u rc e m a t e r i a l s f o r t h e h i s t o r y of t h e L iao p e r io d

may he c l a s s i f i e d r o u g h l y i n t o two m a i n g r o u p s , the

n o r t h e r n an d t h e a o u t h e r n . I h e n o r t h e r n g ro u p c o n s i s t s

o f w o r k s w r i t t e n by t h e K h i t a n a , t h e most im p o r ta n t of

w hich a r e t h e o f f ic ia l;,, a n n a la of t h e L ia o d y n a s ty , the

H u a n g - e h 1ao S h i h - l u by Y e h - l u Yen the

o r i g i n a l e d i t i o n o f t h e L i a o S h i h by Ch1 e n f a - ; j £ n
( 2)
B o t h w o rk s a r e now l o s t *

I h e s o u t h e r n g ro up c o n s i s t s of w o rk s w r i t t e n by t h e

contem porary C hinese n e ig h b o u rs of t h e K h ita n , the Bung

and t h e i r i m m e d i a t e p r e d e c e s s o r s , a n d o f a ome o f t h e

w o rk s by t h e C h i n e s e s u b j e c t s o f t h e L i a o d y n a s t y , who,

a l t h o u g h l i v i n g u n d e r t h e IC hitan r u l e , w e r e more C h i n e s e

th an K h itan . 1'here a r e d i s c r e p a n c i e s b e t w e e n a c c o u n t s

o f e v e n t s g i v e n i n t h e w ork s o f t h e s e tw o g r o u p s . U s u a l l y

^ Oh* e n l a - j e n * & L i a o S h i h , a l t h o u g h c o m p i l e d i n t h e
C h in d y n a s t y , was b a s e d on m a t e r i a l h a n d e d down fro m t h e
Liao p e r i o d .

^^ Of. Feng C h i a - s h e n g , L i a o - S h i h Y u a n - l i u Kao.

 245

it i s t h e v e r s i o n o f t h e w o rks o f t h e n o r t h e r n g ro u p

w h ic h i s more t r u s t w o r t h y . U n fo rtu n ately , t h e number o f

w o rk s b e l o n g i n g t o t h i s g ro u p i s v e r y s m a ll.

Lhe p r e s e n t e d i t i o n o f t h e o f f i c i a l L i a o H i s t o r y , th e
(1)
Liao S h ih v was compiled, by t h e Yuan s c h o l a r s i n 1341

f r o m Oh1£n l a - j e n ' s L i a o S h i h an d Y eh-lu Y e n ' s Huang-ch 1.a 9

S h ih -lu ~
i.|MHHUaCTM»H*|iiHI>« lull »,■
Gh1 fen1 s work b e i n g u s e d a s t h e m a i n s o u r c e ,

M aterial, h o w e v e r, fr o m works o f t h e s o u t h e r n g ro u p was

a l s o c o n s u l t e d and i n c l u d e d .

To c o l l e c t m a t e r i a l s from d i f f e r e n t s o u r c e s an d w e l d

them, i n t o one c o m p l e t e w h o l e i s p a r t of t h e f u n c t i o n o f

h isto rian s. Y e t , when d r a w i n g i n f o r m a t i o n fr o m w ork s o f

b o t h o f t h e a b o v e - m e n t i o n e d group© i n c o m p i l i n g a h i s t o r y

of t h e Liao p e r i o d , one i s confronted w ith a s p e c ia l

d i f f i c u l t y w h i c h , u n f o r t u n a t e l y , was o v e r l o o k e d by t h e

Yuan c o m p i l e r s o f t h e L i a o H i s t o r y , C onsequently, the

p r e s e n t e d i t i o n of t h e L i a o H i s t o r y i s t h e m o s t u n r e l i a b l e

of th e " fw e n ty -fo u r H i s t o r i e s " •

I t was c u s t o m a r y i n t h e L i a o d y n a s t y f o r t h e k h i t a n

(v I ^ The f i r s t s e c t i o n o f th e L i a o H i s t o r y , t h e A n n a l s ,
h a s b e e n t r a n s l a t e d i n t o German f r o m t h e Manchu t e x t by
H. 0, v* d. Gabelentz-
n o b i l i t y t o assum e C h i n e s e names i n a d d i t i o n t o t h e i r

K h i t a n names ( d e s c r i b e d i n t h e L i a o H i e t o i y as tzu % )

and K h i t a n s t y l e ( d e s c r i b e d i n t h e L i a o H i s t o r y a s

” s m e l l nam es11, h s i a o - t z u
MiiTT— r r t u i i r r t m i r » jin-> im i i.n>i,n
) •
r
f a k i n g a s exam ples t h e

n i n e r u l e r s o f t h e L i a o d y n a s t y , we s e e t h a t t h e i r names

a re as follow s;

K hitan s t y l e s C h i n e s e names

T* a i - t s u A -pao-ohilW #: Oh1u o - l i - c h i h 1 (ii)

(9S7-26) (A paoki) *)
f 1a i - t s u n g 1 8 -chi Y ao -k u l & f ) Te-kuaxig Ujtfc)
(927-46)
Shih-tsung Wu-yu irfjfeK) Yuan (Pfu)
(947-51)
M u-tsung S hu-lu Ohing Ct-|d
(9 5 1 -6 8 )
Ching-1 sung Hsien-ning M ing- c h 1i OftjO H s i e n Cl^ h
0 6 9 -82)
S l'i8 n g -ts u n g WSia-8h/u-nu L u n g -h s u
(981-1031)
H a i n g - i^ in g I-pu-chi O h ih -k u ( f s u n g - ch€n (!%
(1031-55).
3?a o-1sung Mi eh -1 in C h a - l a C%M) H u n g - c h i 0#.% )
(1055-H O I)
fien-tso-ti Yen-ning Ah-kuo CM f - ’ Y en-hsi (
(1101-25)

Mor i s t h i s p r a c t i c e c o n f i n e d to names o f p e r s o n s a l o n e .

( 1 ) A l l t h e s e names a r e dra w n fr o m t h e L i a o H i s t o r y , fhe

H i s t o r y o f t h e K h i t a n Kingdom g i v e s H s i n g - t s u n g * s name a s
M u-pu-ku
 247

P l a c e s , t r i b e s and e v e n t i t l e s o f o f f i c e s m i g h t s o m e tim e s

a l s o h a v e two nam es.

S o u r c e s o f o u r n o r t h e r n g ro u p u s u a l l y u s e d e i t h e r t h e

K h i t a n names o r t h e K h i t a n s t y l e s , an d t h o s e o f o u r

s o u t h e r n g ro u p t h e C h i n e s e nam es. The d i f f e r e n c e s i n t h e

names u s e d , coupled w ith t h e d i s c r e p a n c i e s i n the d i f f e r e n t

accounts, s o m e tim e s make w h at i s r e a l l y one s t o r y i n t o

two a p p a r e n t l y u n c o n n e c t e d s t o r i e s . Y et, if oaie com pares

the d i f f e r e n t v e rsio n s c a re fu lly , it is, n o t d i f f i c u l t

t o d i s c o v e r w hat i s common t o b o th * T h i s was, h o w e v e r ,

n o t a p p r e c i a t e d by t h e Yuan s c h o l a r s who f i n i s h e d t h e i r

work t o o h a s t i l y . They put one v e r s i o n o f a s t o r y s i d e

by s i d e w ith a n o t h e r v e r s i o n of t h e same s t o r y i n w hich

t h e names w e re d i f f e r e n t . Thus there a r e many p a s s a g e s

whi ch a r e r e p e t i t i v e i n t h e L i a o H i s t o r y . I n the

f o l l o w i n g p a g e s we s h a l l t r y t o g i v e a few e x a m p l e s of

th is k ind.

The f o l l o w i n g e x a m p l e s a r e a r r a n g e d a c c o r d i n g t o t h e

ord er of t h e i r appearance i n t h e L iao H i s t o r y , e x c e p t

t h e f i r s t ' t w o , which seem t o me t o be t h e m o s t i n t e r e s t i n g .

The r e m a i n i n g e x a m p l e s , a l t h o u g h l e s s i m p o r t a n t , illu stra te

b e s t t h i s r e p e t i t i v e n a t u r e , an d , in fa c t, i t i s through
 248

them t h a t we a r e e n a b l e d t o das c o y e r t h e m i s t a k e s i n t h e

f i r s t two ezam ple s .

(1) f h e p a s s a g e s c o n c e r n i n g t h e o f f i c e s o f S h u-m i

S h i h i n t h e c h a p t e r s on o f f i c i a l d o m , P a i Kuan Ohih
fM u M *' ■■|i.i>fii^fci<'Miw'w«in ii*iii iNiij n M iriT njirHii m ii
.

We h av e shown t h a t f o r c o n v e n i e n c e i n g o v e r n i n g s u b j e c t s

o f d i f f e r e n t ways o f l i f e — t h e K h i t a n and o t h e r n om ad ic

t r i b e s , on one hand and t h e C h i n e s e and P o h a i on t h e o t h e r - -

th e Liao em perors e s t a b l i s h e d s e p a r a t e N o r th e r n and

S outhern C h a n c e lle rie s , ( S h u-m i Yuan)* I’he o f f i c i a l d o m

b e l o n g i n g t o t h e N o r t h e r n C h a n c e l l e r y was known a s th e

N o r t h e r n R e g io n and t h a t of t h e S o u t h e r n C h a n c e l l e r y

th e S o u th e rn R egion. Por convenience, contem pories c a ll e d

t h e N o r t h e r n C h a n c e l l e r y t h e K h i t a n and t h e S o u t h e r n

C h a n c e l l e r y t h e C h i n e s e ( s e e a b o v e , p . 78 f f ) . 9?h i s

s i t u a t i o n c a n be b e s t shown by a d i a g r a m :

P e i S h u -m i Yuan _ Oh’ i - t a n S hu-m i Yuan

( th e N o rth e rn C h an cellery ) ( t h e K h ita n C h ancellery)

Nan S h u-m i Yuan _ H a n - j S n S h u -m i Yuan

( t h e S o u th e rn C h an cellery ) ( t h e C hinese C h an cellery )

I n th e Liao H i s t o r y , t h e r e a r e f o u r c h a p t e r s (LS c h . 4 5 -4 8 )

d evoted to th e d e s c r i p t i o n of th e L ia o o f f i c e s , two c h a p t e r s

t o e a c h of t h e two R e g i o n s . I n th e p re fa c e to the ch a p te rs

on t h e N o r t h e r n R e g i o n , t h e c o m p i l e r s g i v e u s a b r i e f
 249

s u rv e y of t h e developm ent o f t h e L iao o f f i c i a l d o m i n

w h ic h i s i n c l u d e d a n a c c o u n t of t h e p o s t o f t h e S hu-m i

Shih. The p r e f a c e r e a d s a s f o l l o w s :

"The o f f i c i a l d o m o f t h e L i a o s t a t e was d i v i d e d i n t o

a N o r t h e r n and a S o u t h e r n Yuan ( C h a n c e l l e r y ) . The

N o r th e r n R egion d - e a l t w ith a f f a i r s c o n c e rn in g the

- o r d o , t h e i m p e r i a l c l a n s , t h e t r i b e s and t h e v a s s a l

states. The S o u t h e r n R e g io n d e a l t w i t h t h e c i v i l

and m i l i t a r y a f f a i r s o f t h e c i t i e s , a n d to w n s i n h a b i t e d

by t h e C h i n e s e . T h i s was a w i s e p o l i c y t o g o v e r n

t h e s e p e o p l e s o f d i f f e r e n t ways o f l i f e each i n

accordance w ith i t s own c u s t o m s .

P reviously? T 'a i - t s u d iv id ed the p o s t of X - l i - c h i n ,

the c h ie fta in s h ip of th e I - l a tr ib e , i n t o a N orthern

C r e a t K ing and a. S o u t h e r n C r e a t K in g a n d named t h e

two new t r i b e s t h e P e i Yuan and t h e Nan Yuan ( t h e

T r i b e s , o f t h e N o r t h e r n D i v i s i o n and t h e T r i b e o f t h e

S o u t h e r n D i v i s i o n :..) . The o f f i c e s o r i g i n a l l y a t t a c h e d

to th a t t r i b e , s u c h as t h e T s a i - h s a i n g , th e

S h u -m i S h i h ---- , t h e I i e u a n - h u i ^Shih) , t h e

L i n - y a down t o t h a t o f L a n g -c h iin and H u-w ei were

e a c h d i v i d e d i n t o s o u t h e r n and n o r t h e r n . But a l l

t h e b u s i n e s s t h a t t h e s e o f f i c e s d e a l t w i t h were
 250

e x c l u s i v e l y concerned w ith the 'n o r th e rn R egion. T his

B u s t h e b o r n e i n mind by t h o s e vfoo s t u d y t h e i n s t i t u t i o n s

of th e Liao d y n a s ty .

Ih e f u n c ti o n s of th e K h itan o f f i c e s , i f we t r y t o

e x p l a i n them w i t h C h i n e s e t e r m s , a re as follow s;

t h e P e i S h u-m i S h i h ( Mo r t h e m C h a n c e l l o r ) was c o m p a r a b le

t o t h e P i n g Pu ( M i n i s t e r o f W ar), t h e f a n S h u -m i S h i h

( S o u t h e r n C h a n c e l l o r ) was c o m p a r a b le t o t h e L i Pu

( M in is te r of C i v il S e r v ic e s ) , t h e Man rf a - w a n g a n d P e i

Ta-wang ( t h e S o u t h e r n a n d N o r t h e r n K i n g s ) w e r e

c o m p a r a b le t o t h e Hu Pu ( M i n i s t e r o f C i v i l A f f a i r s ) ,

t h e I - l i - p i was c o m p a r a b le t o t h e H s i n g Pu ( M i n i s t e r

o f J u s t i c e ) , t h e H s i i a n - h u i S h i h was c o m p a r a b l e t o

t h e L i P u ( M i n i s t e r o f t h e B o a rd o f R i t e s ) . fhey w ere

s u p e r v i s e d by t h e P e i f s a i - h s i a n g a n d t h e Man f s a i -

h s i a n g ( t h e M o r t h e r n and t h e S o u t h e r n C h i e f M i n i s t e r s ) ..

In th e K hitan c o u rt, th erefo re, t h e g o v e rn m e n t

a c t i v i t i e s w e re fe w , and t h e d u t i e s e r e clear-cu t.

P h i s i s t h e r e a s o n why t h e L ia o d y n a s t y a c h i e v e d p o w e r . "

A f t e r t h i s p r e f a c e t h e y g i v e a more d e t a i l e d a c c o u n t

o f t h e " Chf i - t a n M o r t h e r n C h a n c e l l e r y " a n d " Ch 1 i - t a n

S o u th ern C hancellery" as fo llo w s;

 11Gh! i - t a n P e i S hu-m i Yuan ( t h e K h i t a n n o r t h e r n

C h a n c e l l e r y ) was i n c h a r g e o f t h e a d m i n i s t r a t i o n o f

m ilitary a ffa irs, t h e s e l e c t i o n o f o f f i c e r s and

h o rseb reed in g . A l l t h e K h i t a n f o r c e s and h o r s e s

were u n d e r i t s co n tro l. As i t s " t e n t - o f f i c e ,f was

s i t u a t e d n o r t h o f t h e r o y a l camp, i t was known as

t h e n o r t h e r n C h a n c e l l e r y ( P e i S h u -m i Yuan)

Ch' i - t a n K a n ^ s h u -m i Yuan ( t h e K h i t a n S o u t h e r n

C h a n c e l l e r y ) was i n c h a r g e of t h e a d m i n i s t r a t i o n o f

civ il a ffa irs, selec tio n of o f f i c i a l s and th e t a x a tio n s

of t h e t r i b e s and i m p e r i a l c l a n s . A ll th e K hitan

c i v i l i a n s were u n d e r i t s co n tro l. As i t s te n t-o ffic e '

was s i t u a t e d s o u t h o f t h e r o y a l camp, i t was known

( 1)
a s t h e S o u t h e r n C h a n c e l l e r y (Kan S h u -m i Y u a n ) . '

A g a i n , u n d e r t h e e n t r y o f " C h i n e s e C h a n c e l l e r y 11 (Han-jtSn

S hu -m i Yuan) i n t h e f i r s t of t h e two c h a p t e r s d e v o te d ,

t o th e : S o u t h e r n H e g io n , t h e y s t a t e s

" I n t h e e a r l y y e a r s o f 1 *a i - t s u * s r e i g n , a C h i n e s e

B o a rd ( H a n - e r h - s s u ) was e s t a b l i s h e d . Han

C h i h - k u was t h e Head i n c h a r g e o f t h a t o f f i c e . A fter

^^ L iao S h ih , e h . 45, 2a-3a.

 252

1'mperor I* a i - t s u n g had e n t e r e d . P i en ( - l i a n g ) , he

a d o p t e d t h e g o v e r n m e n t a l s y s t e m o f t h e C h in a n d

e s t a b l i s h e d a S hu-m i Yuan ( C h a n c e l l e r y ) . I t was

e n t r u s t e d w i t h t h e adm inisb r a t i o n of th e m ilita r y

a f f a i r s of th e C hinese. At f i r s t i t ex ercised

co n cu rren tly the fu n c tio n s o f t h e ' S h a n g - s h u S h 8 ng

(D epartm ent of S t a t e o f A f f a i r s ) .

Prom t h e a c c o u n t s q u o t e d a b o v e , t h e Yuan s c h o l a r s 1 view

of t h e s e o f f i c e s can a l s o he shown i n a d ia g ra m s

' P e i S h u-m i Yuan

( I he N o r t h e r n C h a n c e l l e r y
Oh 1 i ~ t a n S hu -m i Yuan
(The K h i t a n C h a n c e l l e r y )
Kan S hu -m i Yuan
( fhe S o u th ern C h an cellery )

V.

Han - 3 fin S hu-m i Yuan

( l'he C h i n e s e C h a n c e l 1 e r y )

I f one com pares t h i s w i t h o u r e a r l i e r r e c o n s t r u c t i o n , it

w i l l he f o u n d t h a t i t i s w ro n g . Why w as t h i s m i s t a k e

made?

l o my m ind, t h e s e c t i o n of t h e L ia o H i s t o r y d e v o ted

t o t h e N o r t h e r n E e g i o n ( I S c h . 4-5-46) i s b a s e d on a n e a r l i e r

(i)
L i a o S h ih . c h . 47) 3 a .
 253

w o rk , p r e s u m a b l y t h e c h a p t e r on o f f i c i a l d o m i n e i t h e r

Ch 1 e n f a - g e n ’ s Liao. Sh i h o r Y e h - l u Yen* s Huang- eh* ao s h i h - l u

and t h e s e c t i o n d e v o t e d t o t h e S o u t h e r n R e g i o n ( IS *c h . 4 7 - 4 8 )

i s e n t i r e l y t h e work o f t h e Yuan c o m p i l e r s . As, f r o m

t h e p o i n t o f v iew o f t h e K h i t a n c o u r t , t h e S o u t h e r n

C h a n c e l l e r y ( t h e C h a n c e l l e r y f o r t h e C h i n e s e ) was l e s s

im p o rtan t th a n th e n o r th e r n ( t h e C h an ce llery fo r th e

K h itan ), t h e c o m p i l e r s o f t h e c h a p t e r on o f f i c i a l d o m on

w h i c h t h e p r e s e n t P a i - k u a n Ghih i s b a s e d ,
w m w i'rtlnii PI ttWMV li-vnto^lf KT U >%H>>lw.l 'I-HIIM
while, g i v i n g

a f u l l ac co u n t of the o f f i c e s b elo n g in g t o th e N o rth e rn

C h a n c e l l e r y , made no more a t t e m p t t o e x p l a i n t h e S o u t h e r n
/
C h a n c e lle r y th a n m erely m e n tio n in g i t s e x i s t e n c e in a

s h o rt p assage u n d er the t i t l e " ( Ch’ i - t a n ) Nan S h u-m i

Yuan1’ ( i . e . t h e p a s s a g e quoted, a b o v e , p . 2 5 1 ) .

f h e t e r m nOh* i- t a n " , h o w e v e r, i n t h e e n t r y "Ch* i - t a n

Nan S hu-m i Y u an", a s w e l l a s i t s c o u n te rp a rt in the

e n t r y " O h * i - t a n P e i S h u-m i Y uan", a r e b o t h i n t e r p o l a t i o n s

by t h e Yuan c o m p i l e r s . As e x p l a i n e d a b o v e , t h e N o r t h e r n

C h a n c e l l e r y was t h e K h i t a n and t h e S o u t h e r n C h a n c e l l e r y

was t h e C h i n e s e . The K h i t a n C h a n c e l l e r y i t s e l f had n e v e r

bean d i v i d e d i n t o N o rth e rn and S o u th e rn b r a n c h e s . ^ ^

See a b o v e , p . 9 3 .
 254

The d i v i s i o n , o f e a c h o f t h e o f f i c e s c£ t h e 1 - l a trib e

a f t e r i t had b e e n s p l i t i n t o -two, i n t o a s o u t h e r n a n d a

n o r t h e r n s e c t i o n , was p r o b a b l y p a r t l y r e s p o n s i b l e f o r t h e

Yuan c o m p i l e r s 1 m i s t a k e , fhey knew t h a t t h e r e was a

s p e c i a l S h u -m i Yuan f o r t h e K h i t a n and a n o t h e r f o r t h e

Chinese* A gain, th e y f r e q u e n t l y came a c r o s s t h e t e r m s

P e i S hu -m i Yuan and l a n S hu -m i Yuan, th ro u g h i d e n t i f y i n g

t h e I i a n - 5 § n S hu -m i Yuan w i t h t h e S h u-m i Yuan f o r t h e

C hinese., t h e y th o u g h t b o t h t h e P e i S hu -m i Yuan and t h e

Han S h u-m i Yuan, l i k e t h o s e d u a l o f f i c e s c r e a t e d a f t e r

the s p l i t of t h e I - l a t r i b e , m u s t be f o r t h e K h i t a n .

I h e y t h e n i n t e r p o l a t e d rt Ch» i - t a n 11 i n t h e e n t r i e s d e s c r i b e d

above.

Knowing t h a t t h e r e w as a Shu-mi Yuan f o r t h e C h i n e s e ,

a n d / f a i l i n g t o a p p r e c i a t e t h e f a c t t h a t t h e Kan S h u-m i

Yuan was the. C h i n e s e S hu -m i Yuan t h e y h a d i n m ind , t h e

Yuan c o m p i l e r s , w h i l e d r a f t i n g t h e s p e c i a l s e c t i o n f o r

t h e p o s t s b e l o n g i n g t o t h e C h i n e s e S h u -m i Yuan, l e f t t h e

a b o v e - m e n t i o n e d p a s s a g e a b o u t t h e l a n S h u -m i Yuan a s i t

stood, in ste ad of in co rp o ratin g i t i n t o t h e i r new c h a p t e r s *

f h u s t h e m i s t a k e was m ade.

I f th e above r e a d in g of th e s i t u a t i o n i s c o r r e c t , we
 255

c a n s a y t h a t the, .two c h a p t e r s on t h e S o u t h e r n R e g io n c a n
he r e g a r d e d a s a r e p e t i t i o n o f t h e e n t r y u Oh 1 i - t a n I a n

S hu-m i Yuan *1 i n c l u d e d i n t h e f i r s t c h a p t e r on t h e H o r t h e r n

R egion.

( 2) The names o f t r i b e s , i n t h e c h a p t e r s on t r i b e s ,
P u - t a u Chih-iffr&fe'
tin nail hi i nra»iin»inft—n — m '

Two c h a p t e r s i n t h e L i a o H i s t o r y acre d e v o t e d t o t h e

d e s c rip tio n of the t r i b e s . C h a p t e r (A) (LS 32) g i v e s

an account of th e fo llo w in g t r i b e s b e fo re th e fo u n d a tio n

o f t h e L i a o s t a t e by A p a o k i : ( a ) t h e A n c i e n t l i g h t T r i b e s ,

( b ) t h e f e n T r i b e s d u r i n g t h e Chine s e C u i d y n a s t y , ( c) T a-h o

li g h t T ribes, ( d) Y a o - n i e n 1 s l i g h t T r i b e s a n d ( e) t h e

Twenty T r i b e s o f Tsu-wu Khan o f t h e Y a o - n i e n H o u s e .

C h a p t e r (B) ( LS 33) g i v e s a n a c c o u n t o f t h e f o l l o w i n g

t r i b e s a f t e r t h e f o u n d a t i o n o f t h e L i a o : ( a ) t h e Twenty

T r i b e s o f T 1 a i - t s u ( A p a o k i ) and ( b) t h e T h i r t y - f o u r t r i b e s

of C h e n g - t s u n g .

A s t u d y o f t h e c o n t e n t s shows t h a t c h a p t e r (A) was

draw n m a i n l y f r o m t h e Monographs on t h e K h i t a n ( t h e

Oh 1 i - t a n Chuan ) a tta c h e d to th e v a rio u s h i s t o r i e s

of t h e p r e - L i a o C h i n e s e d y n a s t i e s , t h a t i s from m a t e r i a l

of our s o u th e r n g r o u p . O ccasionally, i n f o r m a t i o n from

 256

t h e n o r t h e r n group was a l s o u sed * C h a p t e r ( B) was d ra w n

e n t i r e l y f r o m th e : chap t e r on t r i b e s ( P u - t s u Q h ih ) o f t h e

o r i g i n a l e d i t i o n o f t h e L i a o s h i h, t h a t is., fro m m a t e r i a l

of our n o rth e rn group. P his c h a p te r i s f a i r l y t r u s t w o r t h y ,

and we s h a l l make, no f u r t h e r m e n t i o n o f i t h e r e .

I n C h a p t e r (A ) , u n d e r t h e e n t r y o f " t h e Twenty T r i b e s

of Tsu-wu Khan o f t h e Y a o - n i e n l o u s e 1' , t h e t e x t r e a d s :

’'The. Twenty T r i b e s o f Tsu-wu Khan:

Seven Y eh-lu T rib es
l i v e ShSn-mi T r i b e s
'E ig h t T rib e s '

and u n d e r t h i s h e a d i n g t h e f o l l o w i n g i s g i v e n :

"F ieh -li, w hile h o ld in g th e o f f i c e o f C hief M in is te r of

Tsu-wu Khan, d i v i d e d t h e t h r e e Y e h - l u t r i b e s i n t o

s e v e n , a n d t h e two S h§n-m i t r i b e s i n t o f i v e . T h e s e

w i t h t h e o l d ' l i g h t t r i b e s ' made a l t o g e t h e r t w e n t y .

"The t h r e e Y e h - l u t r i b e s w e r e t h e T a - h o , t h e

Y ao -n ien and th e B h i h - l i — a l l o f th e m r o y a l . The

two S h € n-m i t r i b e s , w e re t h e I - s h i h - c h i and t h e P a - l i

— b o t h o f them t h e c o n s o r t t r i b e s £ fro m w h i c h t h e

K h i t a n K h o -tu n ( em press) w ere chosen.}

"The d e t a i l s o f t h e d i v i s i o n o f t h e t r i b e s a r e

unknown. The names o f the. t r i b e s known t o u s a f t e r

the, d i v i s i o n a r e I - l a , I-sh ih , P 'in , O h u - t § , Wu-wei,

 257

T ' u - l u - p u , H i e h - l a an d l fu ~ c h u . A p a rt from t h e s e ,

we know a n o t h e r two t r i b e s - - one c a l l e d t h e " G r e a t

E ig h t T rib e" and th e o t h e r th e "G reat l e f t T rib e " .

A lto g eth er; t h e r e f o r e , we hav e t h e names o f t e n t r i b e s

an d t h o s e o f t h e two o t h e r s r e m a i n unknown.

Among t h e t h r e e Y e h - l u t r i b e s , T a - h o and Y a o - n i e n

were d iv id e d in to s i x u n i t s , w hereas th e S h i h - l i

w e r e combined, i n t o o n e . T h i s was t h e r e a s o n why

t o w a r d s t h e e n d of t h e Y a o - n i e n d y n a s t y t h e 1 - l a

(i.e . t h e S h i h - l i ) t r i b e was t o o p o w e r f u l t o be k e p t

under co n tro l."

I n t h i s p a s s a g e , t h e c o m p i l e r s s p e a k of t h e S e v e n

Y e h - l u t r i b e s a s e x i s t i n g a t t h e same t i m e as. t h e " E i g h t

T r i b e s " , m a k in g t w e n t y i n a l l . This i s a m i s t a k e . The

a c c o u n t o f t h e S e v e n Y e h - l u and l i v e S h e n - m i was h a n d e d

down f r o m t h e P u - t s u C hih of t h e o r i g i n a l e d i t i o n of t h e

Liao S h i h . T h i s c a n be p r o v e d fro m t h e c o n s i s t e n c y o f

th e term s u se d in t h i s s e c t i o n of th e L iao H is to r y w ith

th o se u sed in o th er p a r ts . The " E i g h t T r i b e s " r e f e r s t o

( 1)
th e Y ao-nien E igh t T rib e s giv en in a p re c e d in g e n t r y v
.1
J f M Mrci«i-ww<rtUiiiMWi .uj—iiipimnii^. »•
m».Kw '■i ■iwwTAihl 'W unW iM iiinl «.nwria.ii'i.. ! . ' ■ ■iiwa,nnnif>nm n,*B. i ~

The names o f t h e s e e i g h t t r i b e s a r e T a n - l i - c h i e h ,
I - s h i h - h u o , E h i h - h u o , l a - w e i , P ’ i n - m o , H a - h u i - c h i ,>
G h i - c h i e h and H s i - y u n .
w h ic h was a p p a r e n t l y draw n fro m Ou-Yang I i s i u ' s Hew H i s t o r y

of t h e 'Five D y n a s t i e s — a w ork o f o u r s o u t h e r n g r o u p ,

th erefo re, e i t h e r t h e “B i g h t T r i b e s 11 w e r e t h e a l t e r n a t i v e

names f o r e i g h t t r i b e s among t h e t w e l v e , o r t h e y must h a v e

existed, a t an e a r l i e r d a te . T h i s i s an i m p o r t a n t q u e s t i o n

i r i t h e h i s t o r y o f t h e L i a o t i m e s , w h i c h c a n n o t be f u l l y

e n l a r g e d u p o n a t t h e moment. H e r e , h o w e v e r , we c a n

say th a t, i n one s e n s e , t h e a c c o u n t of t h e “ E i g h t T r i b e s ’*

i s a r e p e t i t i o n o f t h e a c c o u n t o f t h e S e v e n Y e h - l u and

F i v e S h § n -m i T r i b e s .

(3) ”L iu Oh1§ng“ and “L i u S h S n - h s i n g 11

The I d a o Hi s t Co?y ( ch . 1 6 , 2b) r e c o r d s i

“On t h e d a y o f j e n - h s u i n t h e e l e v e n t h moon o f t h e

s e v e n t h y e a r o f K1a i ~ t * a i ( 1 0 1 8 ) , L i u Ch* £ng was

appointed p re fe c t of P a-chou. Liu S h S n -h sin g , th e

n o r t h e r n C h i e f M i n i s t e r , was a p p o i n t e d p r e f e c t of

Qhang-wu C h u n .”

L i u Ch’ eng and L i u S h £ n - h s i n g a r e a p p a r e n t l y names o f

two d i f f e r e n t p e r s o n s . We know, h o w e v e r, t h a t Ch* ang-wu

( D
Chun i s a n o t h e r name of P a - c h o u . ' It follow s th e n t h a t

^ L i a o S h i h 39, 5b.
 259

two p e r s o n s w e r e a p p o i n t e d on th e same day t o t h e seme

p ost. A s t u d y of t h e b i o g r a p h y o f L i u S h@ n-hsing i n t h e

L i a o H i s t o r y ( o h . 85) and o f o t h e r m a t e r i a l p e r t a i n i n g

t o t h e name o f L i u Ch* ®ng e n a b l e s u s t o c o n c l u d e t h a t

L i u S h @ h -h s in g i s t h e l i t e r a r y name o f L i u Ch'®ng an d t h e

s e c o n d h a l f o f the a b o v e p a s s a g e i s a r e p e t i t i o n of t h e

first.

(4) HH s i a o H u i 11 and 11ICuan B±ngu

i'he L i a o H i s t o r y ( c h . 18, 7b) r e c o r d s :

MOn t h e d a y o f ha i n - h a i i n t h e e l e v e n t h moon o f t h e

s i x t h ' y e a r o f 0 - h ' u n g - h s i ( 1 0 3 7 ) , H s i a o H u i, the

s u p e r i n t e n d e n t of th e K h ita n s u b j e c t s u n d e r the ordo

was. a p p o i n t e d S o u t h e r n C h a n c e l l o r ( S h u - m i S h i h ) .

,}0 n t h e day o f rj&n-tzS, ( i . e . th e.d ay follow ing

h sin -h ai) Kuan B i n g was. a p p o i n t e d S o u t h e r n C h a n c e l l o r . "

H e r e a g a i n , H s i a o H u i and Kuan B in g a r e a p p a r e n t l y two

persons. P a s s a g e s c o n c e r n i n g Kuan B i n g i n v a r i o u s p a r t s

o f t h e L iao H i s t o r y a s s e r t t h a t i n t h e f i f t h moon of 1037

he w as a p p o i n t e d fro m S h i h - chung t o be s u p e r i n t e n d e n t of

t h e ortio, a n d t h a t i n 1041 he h e l d t h e p o s t of S o u t h e r n

C h a n c e l l o r a n d was e n f i e f e d t h e P r i n c e of Chao, i n the

 260

t w e l f t h moon o f th at y e a r t h e e m p e r o r c o n s u l t e d w i t h him

and H s i a o Hsiao-jxm, t h e N o r t h e r n C h a n c e l l o r , on t h e

m e a s u r e s t o he t a k e n i n o r d e r t o r e c l a i m f r o m t h e Sung
( 1}
the la n d o f th e t e n h s i e n (co u n ties.) * fhere i s a lso

a b i o g r a p h y o f H s i a o Hui. (LS 93) i n w h ic h i t i s s t a t e d :

11A f t e r E m peror H s i n g - t s u n g came, t o t h e t h r o n e ( i n

1032) he was b e s t o w e d t h e h o n o r a r y t i t l e of S hih-

ehung. I n t h e s i x t h y e a r of Ch1u n g - h s i ( 1 0 3 7 ) , he

was a g a i n a p p o i n t e d Sup er i n t e n d e n t o f t h e K h i t a n

s u b j e c t s , u n d e r t h e o r d o , and was e n f i e f e d P r i n c e of

Ohao* Soon a f t e r w a r d s , he w as sip p o i n t e d S o u t h e r n

C h an cello r . n

' Ih e B iography th e n g iv e s an acco u n t of a c o n feren c e h e ld

b e t w e e n t h e E m peror, H s i a o H s ia o -m u , t h e N o r t h e r n C hancello:

an d H s i a o Hui h i m s e l f . I n t h e c o n f e r e n c e t h e E m p ero r

h e l d t h a t t h e y s h o u l d r e c l a i m t h e t e r r i t o r y l o s t t o S u n g.

H s i a o H u i was i n f a v o u r o f t h i s p o l i c y , w h e r e a s H s i a o

I l s i a o - m u was a g a i n s t i t . I t is o b v i o u s t h a t H s i a o Hui
i miOTM t i i n w ii ifnw—i II i n i— i nniLinir*i iffln mm i m iiiin imiBiriiii*>n nn Hiin Otiiin iii m - “~ ijin T‘ th—“t r - i r m r -t i ii in r ii i t 1i 1'i " 11 rr" -‘ ' ...............................r r ^ - . - . .. . t ....„ —)r

^ ^ f h e s e t e n c o u n t i e s w ere p a r t of t h e s i x t e e n p r e f e c t u r e s
ce d e d t o L i a o by S h i h Ching-~t! a n g i n 9 37. I n 959, C h 'a i
J u n g , one o f t h e e m p e r o r s o f t h e L a t e r Chou of t h e F i v e
D y n a s t i e s , r e c o v e r e d them f r o m t h e L i a o . A f t e r t h e y
r e p l a c e d t h e Chou, t h e Sung i n h e r i t e d t h i s p i e c e of l a n d .
 261

and Kuan King a r e t h e same p e r s o n . The s e c o n d h a l f o f

th e p a s s a g e quoted a t th e b e g in n in g of t h i s s e c t i o n is

a r e p e t i t i o n of th e f i r s t *

(5) " H s i a o Ying" and " H s i a o .

The i i a o Hi s t o r y ( c h . 1 9 , 2 a ) r e c o r d s :

"On t h e d a y of i - w e i i n t h e t w e l f t h moon o f t h e t e n t h

y e a r o f Oh’ u n g - h s i ( 1 0 4 1 ) ? b e i n g i n f o r m e d t h a t t h e

Bung a u t h o r i t i e s w e r e r e p a i r i n g t h e w a l l s o f ( t h e

fro n tier) cities, d e e p e n i n g m o a ts a n d b u i l d i n g swamps,

t h e E m peror f e a r e d , t h a t t h e y m i g h t c a u s e t r o u b l e s on

th e f r o n tie r * He summoned t h e n o r t h e r n C h a n c e l l o r ,

t h e P r i n c e o f Wu, H s i a o H s ia o -m u a n d t h e S o u t h e r n

C h an cello r, t h e P r i n c e of Chao, K s i a o K u a n - n i n g t o

d i s c u s s how t o r e c o v e r fro m t h e Sung t h e l a n d of

t h e t e n c o u n t i e s s o u t h of t h e P a s s £ o f W a - c h * i a o - k u a n ) 1

T h e r e u p o n H s i a o Y in g and L iu L i u - f u w e r e d e s p a t c h e d

a s env o ys t o t h e c o u r t of Bung."

L a t e r we f i n d a n o t h e r p a s s a g e r e f e r r i n g t o a n e v e n t w h i c h

i s s a i d t o h a v e h a p p e n e d i n t h e f o l l o w i n g month:

C f . p . 152 n o t e .
 2 62

"On t h e d a y of k g n - h s u i n t h e f i r s t moon o f t h e

e l e v e n t h y e a r o f Oh1u n g - h s i (1 0 4 2 ) ( i . e . 15 d a y s

a f t e r t h e d a t e o f t h e above p a s s a g e ) H s i a o I1* §-mo,

th e S o u th e rn H su an -h u i S hih, and l i u L i u - f u , 'the

H a n - l i n H s u e h - s h i h , w ere s e n t a s e n v o y s to t h e Sung

to re c la im the t e r r i t o r y o f C h in -Y an g and t h e t e n
"i

h s i e n s o u t h o f W a -e h 1i a o - k u a n , and t o a s k why t h e

Sung had a t t a c k e d , t h e I i s i a and why t h e y had r e p a i r e d

(1}
t h e "swamps’* a l o n g t h e b o r d e r an d i n c r e a s e d t h e i r

m i l i t a r y f o r c e s . 11

At f i r s t sig h t, t h e s e c o n d p a s s a g e seems t o be a r e i t e r a t i c

of th e f i r s t , w i t h t h e a p p o i n t m e n t o f H s i a o 1* e-mo i n

s u b s t i t u t i o n f o r H siao Y ing. But a c t u a l l y H s i a o Y i n g

( 2)
i s t h e C h i n e s e name o f H s i a o 1*1 §-m o. v ' fhe second
t

passage i s , t h e r e f o r e , a r e p e t i t i o n of t h e f i r s t .

P r e s u m a b l y one s o u r c e r e c o r d s t h e m i s s i o n a t i t s first

a p p o i n t m e n t and t h e o t h e r on i t s d e p a r t u r e f r o m t h e

Liao c o u r t.

(6) "Y a-tzu-hon and MH u n - t » u n g - c h i a n g " ^ .

f h e L i a o H i s t o x y ( c h . 2 7 , 6b,) r e c o r d s :

p o r t h e "swamps11, .see P* 1 5 2 .

^^ O f. L ia o S h ih , ch. 36, 5a.

 263

11On t h e d a y o f c h i - w e i i n t h e f i r s t moon o f th e s e c o n d

y e a r o f I1’ i e n - c h • i n g ( 1 1 1 2 ) , t h e E m p e ro r s e t o f f f o r

th e T a-tjsu-ho R iv e r . On t h e d a y o f t i n g - y u o f t h e

s e c o n d moon, t h e Em peror l e f t f o r C h ' u n Ohou. fhen

he went t o H u n - t 1u n g « c h i a n g R i v e r i n o r d e r t o f i s h .

C h i e f t a i n s o f t h e u n c i v i l i z e d J u r c h e n t r i b e s who

l i v e d w i t h i n a r a d i u s o f one t h o u s a n d l i came fr o m

b e y o n d t h e b o r d e r t o p a y homage t o t h e Em peror a s

t h e y had done f o r y e a r s . ,

" I n th e c e le b r a t i o n of th e E ish f e s t i v a l , a

b a n q u e t was b e i n g g i v e n . I n t h e c o u r s e of t h e b a n q u e t ,

t h e E m peror came t o t h e f r o n t of h i s camp a n d a s k e d

a l l th e c h i e f t a i n s to take t h e i r t u r n a t dan cin g .

A g u ta a l o n e r e f u s e d , s a y i n g t h a t he knew n o t h i n g

ab out d an cin g . A l t h o u g h t h e o r d e r was r e p e a t e d

s e v e r a l t i m e s , he s t e a d f a s t l y r e f u s e d t o o b ey .

" S e v e r a l d a y s l a t e r t h e Em peror s e c r e t l y s a i d t o

H siao E& ng-hsien, th e C h a n c e llo r : *On the d a y o f t h e

E i s h E e s t i v a l A g u ta showed g r e a t v i g o u r and c o u r a g e .

He c o n d u c t e d h i m s e l f h e r o i c a l l y . frum p up some s u c h

c h a r g e a s t h a t he h a s b e e n c a u s i n g t r o u b l e on t h e

f r o n t i e r and h a v e him p u t t o d e a t h . O t h e r w i s e he

w i l l be come a t h r e a t t o t h e s e c u r i t y o f t h e E m p i r e . *
 'He i s a n u n e d u c a t e d m a n , 1 r e p l i e d t h e C h a n c e l l o r ,

1an d knows l i t t l e a b o u t good m an n ers.. 1 o hav e h im

p u t t o d e a t h when he i s g u i l t y o f no s e r i o u s o f f e n c e

w i l l a l i e n a t e s y m p ath y fro m y o u r r u l e . Even i f he

w e re t o p l o t a n i n & u r r e c t i Q n , w h a t c o u l d he do [ w i t h

so s m a l l a t r i b e } ? (And A guta was s p a r e d ) . "

As a r u l e , th e L iao em perors went to asc e rta in r i v e r ; to

f i s h i n t h e f i r s t moon o f ea ch y e a r . Y a - t z u - h o was t h e

r i v e r w h e r e m o s t o f t h e i r f i s h i n g was h e l d . I n 1024

Em peror S h & a g -t s u n g re n a m e d t h i s r i v e r H u n -t.1u n g - c h i a n g .

f h e o l d name w as, h o w e v e r, s o m e tim e s s t i l l i n u s e . In

t h i s p a s s a g e Y u - t z u - h o and H u n - t ' u n g - c h i a n g a p p e a r a t

t h e same t i m e . Both th e j u x t a p o s i t i o n o f t h e two names

o f t h e same r i v e r and t h e d u p l i c a t i o n of t h e d e s c r i p t i o n

of t h e f i s h a c t i v i t y ( a l t h o u g h n o t h i n g i s s a i d about

f i s h i n g by t h e em p e ro r i n the. f i r s t s e n t e n c e , we know

t h a t h e went t o Y a - t z u - h o f o r t h a t p u r p o s e ) i n d i c a t e the

R e p e titiv e n a tu re of th e t e x t , A f u r t h e r exam ination of

th e t e x t en ab les us to p o in t out t h a t th e d e s c r ip tio n

o f t h e e m p e r o r ' s j o u r n e y t o H u n - t 1u n g - c h i a n g was t a k e n

fro m t h e H i s t o r y o f t h e Oh' i - t a n Kingdom, w h e r e a s t h e

a c c o u n t of h i a jo u rn e y to Y a -tz u -h o i s draw n from t h e

 265

o r i g i n a l e d i t i o n o f t h e Li a o S h i h .

(7) "H siao F Sng-hsien" an d " H s i a o l e - I i ~ t i " ^ f - f %J

She Xiiao H i s t o r y ( c h . 29, 2b) r e c o r d s :

"On t h e d a y of p i n g - y i n i n t h e t h i r d moon o f t h e s e c o n d

y e a r of E ao -ta (1122), t h e E m p eror a r r i v e d i n H u - k u -

ti- ts 'a n g . H earing t h a t th e J u r c h e n army was a p p r o a c h !

he d i d n o t know w h a t t o d o . He f l e d on a s w i f t

h o rse to O hia-shan. He b e g a n t o r e a l i z e t h a t H siao

F e n g - h s i e n , t h e C h a n c e l l o r , had b e e n d i s l o y a l . He

s a id a n g r i l y to F S n g-hsien: 1I t i s y o u and y e a r s o n s

who h a v e l e d me t o s u c h a p a s s . Even i f 1 p u t you

to d eath , i t i s to o late, to save th e s i t u a t i o n . In

view of t h e s o l d i e r s ’ h a t r e d o f y o u r a v o i d a n c e of

t h e enemy an d p r e f e r e n c e o f i m p r o p e r e a s e , 1 m yself

m ig h t be i n v o l v e d i n t o d i s a s t e r . Do n o t f o l l o w m e ! ’

H siao F& ng-hsien, dism ounted from h i s h o r s e , wept

a n d bowed t o t h e E m p eror a n d t h e n w ent away. He had

n o t gone many l i b e f o r e he and h i s s o n w e re bound up

by h i s f o l l o w e r s , who h a n d e d th em o v e r t o t h e J u r c h e n

so ld iers.. Ih e Ju rc h e n s o l d i e r s beheaded h is eld er

s o n Arig, an d s e n t F e n g - h s i e n a n d h i s y o u n g e r s o n Yu

t o t h e J u r c h e n em peror. On t h e i r way ( t o t h e J u r c h e n )
 2 66

t h e y came u p o n t h e K h i t a n t r o o p s who c a p t u r e d them

an d s e n t them ’back t o t h e E m p e ro r. He b e s t o w e d on

them t h e p r i v i l e g e o f c o m m i t t i n g s u i c i d e . 11

Im m ed ia te ly a f t e r t h e above p a ssa g e i t i s re c o r d e d ;

Ml h e E m p ero r e x p e l l e d t h e C h a n c e l l o r H s i a o P e - l i - t i .

Thus t h e E m peror d e p o r t e d on t h e same day t h e C h a n c e l l o r

H s i a o i e - l i - t i and t h e C h a n c e l l o r H s i a o F § n g - h s i e n . In

t h e L i a o H i s t o r y t h e r e a r e b i o g r a p h i e s o f b o t h H s i a o E&ig

h s ie n and H siao 3 } § - l i - t i . f h e b i o g r a p h y o f H s i a o E&ng-

h s i e n d e v o t e s m ost o f i t s p a g e s to t h e tw o a t o n i e s a b o u t

him d e s c r i b e d , a b o v e — h i s d i s s u a s i o n o f t h e Em peror

fro m p u t t i n g A g u ta t o d e a t h and h i s d i s m i s s a l by t h e

E m p e ro r. We n e e d n o t q u o t e t h e t e x t h e r e a g a i n . The

b io g ra p h y of H siao E £ - l i - t i re a d s as f o l l o w s :

11When t h e J u r c h e n f i r s t r e v o l t e d , m ost o f t h e h i g h

o f f i c i a l s d e s i r e d t o a t t a c k them b e f o r e t h e y were

prepared. T S « li~ ti alone d is a g re e d . I 'ie n - ts o ,

who r e a l i z e d t h a t ( D & - l i - t i was u n p o p u l a r , degraded

him t o t h e o f f i c e o f C o m m is sio n e r i n c h a r g e o f t h e

P u n i t i v e A f f a i r s on t h e S o u t h - w e s t e r n S e c t o r . I n the

e i g h t h y e a r (1 1 1 8 ) he was a g a i n a p p o i n t e d N o r t h e r n

C h a n c e l l o r and waa t r u s t e d by t h e E m p ero r more t h a n

 2 67

ever.

"A t t h a t t i m e e v e r y d i s t r i c t t o n t h e n o r t h - e a s t e r n

f r o n t i e r ) was i n t u r m o i l . M es s ag e s a p p e a l i n g f o r

r e i n f o r c e m e n t s came t o t h e c o u r t i n q u i c k s u c c e s s i o n ,

h u t l § - l i ~ t i d i d n o t r e p o r t them t o t h e e m p e r o r

im m sd iately . I n the. army, m e r i t r e c e i v e d no r e w a r d .

fh u s a l l ranks, fro m t h e g e n e ra l, downwards, grew

a n g r y ; an d nobody was w i l l i n g t o f i g h t a n y m o re .

I n t h e seco n d y e a r o f B a o - t a (1122) t h e J u rc h e n
( 1)
army a d v a n c e d t o t h e e a s t o f t h e l i n g ' . Y eh-lu

S a - p a and S i - c h * i - s a - p a p l o t t e d t o p u t t h e P r i n c e

o f C h in , A-O-lu-wa ( o n e o f t h e s o n s o f t h e e m p ero r)

on t h e t h r o n e . P h i s p l o t was d i v u l g e d . The Em peror

summoned I ' H - l i - t i and s a i d ; ’ The c o n s p i r a t o r s a r e

P

c e r t a i n l y m aking u s e o f t h i s c h ild as a fig u reh ead .

I f we d o n ’ t g e t r i d o f him, how c a n we l i v e i n p e a c e ? '

f § - l i - t i s a i d nothing; on t h e P r i n c e ’ s b e h a l f . A fter

th e e x e c u tio n of t h e P r i n c e th e u n p o p u l a r i t y of th e

Erap e r or i n c r e a s ed .

The " L i n g 11 r e f e r s p r o b a b l y t o t h e m o u n t a i n r a n g e
r u n n i n g f r o m n o r t h to s o u t h a l o n g t h e b o r d e r o f J e h o l
an d O h a h a r, w hat i s no/v c a l l e d . Fdng-hu&ng S h a n .
 2 68

11As t h e J u r c h e n army came a c r o s s t o t h e w e s t o f

t h e L i n g , i 1i e n - t s o f l e d w e s t w a r d s w i t h h i s "bodyguard,

f h e E m press H s i a o was t h e n i e c e o f T e - l i ~ t i , t o whom

she s a id : ’You a r e r e s p o n s i b l e f o r a f f a i r s of t h e

sta te . You h a v e b r o u g h t t h e E m p ero r t o s u c h a p a s s .

How c a n y o u go on l i v i n g ? ’ 1§ - l i - t i c o u l d make no

o th e r re p ly th a n apology. l\he n e x t d a y 1 ’ i e n - t s o

became a n g r y w i t h i Q - l i - t i and d e p o r t e d him an d h i s

s o n Ma-sa..

”A f t e r d e p a r t i n g fro m f* i e n - t s o , i 6 - l i ~ » t i was

bound up and h a n d e d o v e r t o t h e J u r c h e n s o l d i e r s by

Y eh -lu Kao-sh&n-nu. M aking u s e o f n e g l i g e n c e on t h e

p a r t of th e guards, f e - l i - t i escaped. On h i s way

b a c k he was a g a i n c a p t u r e d by Y e h - l u C h i u - c h i n who

s e n t him t o Y e h - l u Oh’ u n who had by t h e n u s u r p e d t h e

throne . 'J D S - li - t i knew t h a t h i s l i f e w o u l d n o t be

spared. So he s a i d : ’I w ill not serve a u s u r p e r .1

He r e f u s e d , t o e a t an d d i e d a few d a y s l a t e r . H is

s o n M a-sa was p u t t o d e a t h by t h e J u r c h e n s o l d i e r s . ”

An e x a m i n a t i o n o f t h e l i f e of H s i a o i ^ - l i - t i c ite d here

w i l l l e a d u s t o c o n c l u d e t h a t H s i a o 3T@ng-hsien and H s i a o

f ^ - l i - t i a r e d i f f e r e n t names o f t h e same p e r s o n , fherefo;

 2 69

t h e l o n g p a s s a g e a t t h e b e g i n n i n g of t h i s sec tio n is

a r e p e t i t i o n o f t h e , s h o r t p a s s a g e 11(Che E m peror e x p e l l e d

t h e C h a n c e l l o r H s i a o ( C 6 - l i ~ t i , H and t h e b i o g r a p h y o f

H s i a o H ^ n g - h s i e n and t h a t o f H s i a o f ^ - l i - t i a r e b i o g r a p h i e s

of t h e same p e r s o n .

t
 bibliography

(The books and a r t i c l e s named are only those quoted

and mentioned in the t e x t . )

I Chinese te x ts .

SPPY ___ Ssu-pu pei-yao

SPTF .... Ssu-pu t s ’un^-k’an cz7-^f4^fv)
\ TSCC .... Ts’ung-shu c h i - c h feng

Liao Shih (SPPY)

Chin Shih (SPPY)
Yuan Shih (SPPY)
Ch*i-tan kuo-chih Sao-yeh s ban-fang ed.
Ta-chin kuo-chih Sao-yeh shan-fanc ed.
Hsin T'ang-shu (SPPY)
Chiu T’ang-shu (SPPY)
Hsin T u-tai Shih SFPY)
Chiu Yu-tai S r ih % % ^ $ { SPPY)
Tzu-chih t ' un^-chien (SPPY)
T*ung-chien kang-mu Sa.n-pien
'/tn-hsien t'u n ^ -k 'a o
Ch1i n g Shih Kao

Chang L i a n g - t s 'a i L iao -tai

Han-j£n Shu-mi Yuan chi yen-chiu, in the Tun--pei
c h i- k 'a n n o.1 .,1 94 1.)
Chang Shun-min: ( Hua-man chi )
Chang Shun-min : (Shih-Liao Lu)
Ch'^n IIo (Hin_, Chi). (SPPY)
 271.

Ch*en (Li in( -shan m o-tfa,n) TSGC.

Ch'eng Ta - c h *ang Yen-fan l u )
Chiang Kuei jMSL : & h \ (P ai-sn ih tao -je n Shih-chi)
SPTK.
Ch’i'en-lung (emperor): SjUfL& £ %s i f f l ( C h ' i n g - t i n ^ Liao-
Chin-Yuan san shih kuo-yu chieh)
Cliien-lung: $f\ m % % (T1ung-chien ch i-la n )
cHien Hu Kuo-shih ta-ks.n-, 194 .
Chu Hs i (Chu-tze YCi-lui)
Fu Lo-huan :% k &
(Sung-jen Shih-Liao
yu-lu hsing-chd^ng k 'ao . Kuo-hsueh c n i - k fan vol.V,
n o .4. 1936.)
Fu Lo-huan : (L iao -tai ssu -sh ih na-po k'a.o5
Bui. of I n s t i t u t e of H ist, and Philology, Vol.X,
No. 2, 1941).
Fu Lo-huan: (Li'io Shih fu-,.en c h u - li) J u l. of
I n s t , of H ist. & P h il. Vol. XVI, 1947.
F^ng Chia-sh§ng % (Liao Shih tsuan-nsiu k • ac
Yen-ching hsueh-pao, Fonograoh, no.
Ho Sh^ng f a V f : (Je-no chih)
Hsu F^n-sh^n (San-ch'ao pei-merig hui-pie
Hu SSu-hui Yin-shan chSn^-yaoJ SPTK.
Li T*ao £*t[;< | > i S . - f L ( H s u T zu -ch i t * u n g - c h i e n
Ch’a n g - p i e n ). Two e d i t i o n s are c i t e d , th a t o f the
Chekiang Shu-chu i n Arabic f i g u r e s and t n a t o f
the L ib rary o f American Congress ( m i c r o f i l m ) , i n
Roman f i g u r e s *
Li an Ch1i - c h 1ao 'ijk Yi n - pi ngs n i h ch *ua n - ch i
194
Ling Ch1un- sh£n T' (Sung-hua*6chiang
h s i a - y u - t i Hf-che tsu) Ponograph s e r i e s no. Academia
Sinica, 193 .
~ Ari£Sh£n (Pa-ch* i c h i - t u k 'a o -s h ih )
3ul. Inst-. i s t . & Phil.Vol.VI,no3.
 272.

P'ang Yuan-ying ‘,en -c h , an0 t s a - l u )

,P fenL Ta-ya (F^ng-ta o ei-lu ) in Wang
Kuo-weifs complete works.
0u - yany ITs i u i£?jl (Ou-yang n£n-chung-kung
chi) SPPY.
Su Shih 1ung-p1o hs i en-sheng ch1i - chi ) SPPY.
Ts'ao Tf in g -h sieh ^ ) (Tun^-san-snfh,
y u -ti-t'u shuo)
Ts£n Kung-liang : (tyu-chin^ tsunL-y a o )
Ssu-k!u chen-p&n.
-rang Yun ^ *■f : &UHI Chiu-chien hsien-sheng ta-ch*uan
chi) SPTK.
Y? ng vrun- f u ^ j £ l > ^ Luan- ching tsa-yun_ ).
Yu Chin. : & 'j% % (v/U Hsi-chi).

Japanese te x ts
• J a p a n e s e ’Car O f f i c e : Fokogo D a i j i t a n , T o k y o , 1933.
H a tsu i Hi t o s h i '■JUcfcj % : %, *M§ ( Toy5 _akuho V I , 2.)
Ik eu ch i H o r i s h i:
to ri (l a a sa ^ ii
vol. 24)
Vcu.l: 3ol::ioM.: i f * &.-&&: (' J«ei, c i r i -
.rekishi kenlcy u, hokoku, No. : .
.i (Fan sen c- . i r i - r e k i c i d kerik U
hokoku, No. 2).

..... _ .: (To.' ui.o, v i i , l . )

Yanai V a t a r i %<h 2- ■% & & > *% ) (T o k o s h i . k e n k y u y Yokyo,
 European
Blochet, E . e 1.: H istoire des KongoIs de Fadl Allah
Rashid ed-din. London, 19
Beazley, C.R.ed.: The te x ts and versions of John de Plano
Carpini and William de Rubruquis, London,1903.
Bushell, .S .: Notes of a Journey outside of the Great Wall
( J l Roy. Geogr. Soc. vol 44, 1874.)
Chavannes, Ed. : Voyageurs Ghinois chez les Khitan et les
Noutchen (J l As.,1897-98).
Dubs,TV ' . : Pan Ku, Baltimore, 1938.
__ ...............: Chinese Imperial D esign ation s(J l . of Am. Or.
Soc., v o l . 65,1945).
Eberhard, V, : Review of A.Hostaert»s Folklore Ordos(Jl. Am.
Or. Soc. vol. 69, no. 2, 1949).
Geil, .E.: The Great Wall of China, LOi dan, 1909.
Forbath, L and Gelet ., J . : The Nev. Fongolia, London,1936*
Francke, C.: Das Tze-1schi-11un, -kien und das T'un. -kien
kang-mu (S itz . d„ Preus* Ak. d. h i s . 1930,.
Giles, L . : Dated Chinese H n u s c rip ts in the Stein Collection
(hul. or acn. or ox. & Air. ooudies, v o u , pt
vjuoancn, n . c . : The jbiterary I n q u is it i o n of CL1ie n - lu n u,
Baltimore, 1935.
Hedin, S.: Jehol: City of Emperors, London, 1932,
Hot o rth , 511. : H istory of Mongols, London, 1874.
Hummel, A.”'.: Emminent Chinese of the Ch'in,.. period,
Washington, 1943.
James, Il.E.F.: Long White Fountain, Londop, 1888,
K ates, G.N.: A iWw Date for the Origin of the Forbidden
City. (Harvard J l of As. Studies, Vol, V I I , No.2,1942
Lattimore, 0 .: Inner f r o n t i e r s of China, New York, 194 .
Lattimore, 0 .: The Goldi Tribe 11Fish-Skin Tartars" of the
Lower Sun a r i . (Mem. of Vm. Anthrop. Soc., idO,
40, 1933).
Michael, 5*..: The Origin of Manch'u- Rule in China (Baltimore,
1942).
Mos^aert, \ .: Folklore Oraux Ordos (Honuxnenta Serica, 'o n o --
graph, h o .1)
^oule, A. C, The Minor F ria rs in China ( J l of Roy. As. Soc.
1917).
Maule,A.C. and Pel H o t , P. : Marco Polo, the d e s c r ip tio n of
the World, London, 1933.
Mullie, J. : Les Ancierines v i l l e s 'de l !empire des 'Grands
Leao (T'oun Pao, 1922).
D’Ohsson, his to ire des Mongols, P a r is , 1834.
P a lla d iu s, : The Journey of Chang T§-hui (Geographical
Magazine, 187 5).
P e l l i o t , P . : Haute Asie, P aris, 1981.
Stein, R . : Leao-Tche, (T’oun0 Pao, 1939).
Thomsen,V.: I n s c r ip tio n s de 1 'Orkhon. (Mem. de ia soc. f i n -
no-Ougrienne ho. V. H e ls in g f o r s ,1896 ).
Toynbee, A. J . : A Study of H is to ry , London, 1934.
Wi ttfog.elf. H.A. and F^ng Chia-sh£Yi0 : . ory of Chinese
So c it y , Liao (Tr. of Am. -Phil. Soc. 'vol 36,1949)
Yang Lien-sh<?n^: A Posthumous, l e t t e r €rom the Chin Emperor
to the Khitan Emperor in 9a2. (HJAS, VoIX,ho
3 /4).
Yule, H. and Cordier: Cathay and the "-ry Thither, *191o,
Yule and C ordier, : Travels of Marco Polo, London,1903.