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804 Pages·1994·49.37 MB·English
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I THE CAMBRIDGE HISTORY OF CHINA General Editors DENIS TWITCHETT and JOHN K. FAIRBANK Volume 6 Alien regimes and border states, 907—1368 Cambridge Histories Online © Cambridge University Press, 2008 I Work on this volume was partially supported by the National Endowment for the Humanities, Grants RO-21512-87 and RO-22077-90. Cambridge Histories Online © Cambridge University Press, 2008 THE CAMBRIDGE HISTORY OF CHINA Volume 6 Alien regimes and border states, 907—1368 edited by HERBERT FRANKE and DENIS TWITCHETT CAMBRIDGE UNIVERSITY PRESS Cambridge Histories Online © Cambridge University Press, 2008 CAMBRIDGE UNIVERSITY PRESS Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, Sao Paulo Cambridge University Press 40 West 20th Street, New York, NY 10011-4211, USA www.cambridge.org Information on this title:www.cambridge.org/9780521243315 © Cambridge University Press 1994 This publication is in copyright. Subject to statutory exception and to the provisions of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press. First published 1994 Reprinted 2002, 2006 Printed in the United States of America A catalogue record for this book is available from the British Library. Library of Congress Cataloguing in Publication Data (Revised for vol. 6) The Cambridge history of China. Vol 1. edited by Denis Twitchett and Michael Loewe; v. 6 edited by Herbert Franke and Denis Twitchett; v. 7 edited by Frederick W. Mote and Denis Twitchett; v. 11 edited by John K. Fairbank and Kwang-Ching Liu; v. 13 edited by John K. Fairbank and Albert Feuerwerker; v. 14 edited by Roderick MacFarquhar and John K. Fairbank; v. 15 edited by Roderick MacFarquhar and John K. Fairbank. Includes bibliographies and indexes. Contents: v 1. The Ch'in and Han Empires, 221 B.C.—AD. 220 — v. 3. Sui and T'ang China, 589—906, pt. 1 — —v. 6 Alien regimes and border states, 710—1368. 1. China — History. I. Twitchett, Denis Crispin. II. Fairbank, John King, 1907—1991. DS735.C3145 951' .03 76—29852 ISBN-13 978-0-521-24331-5 hardback ISBN-10 0-521-24331-9 hardback Cambridge University Press has no responsibility for the persistence or accuracy of URLs for external or diird-party Internet Web sites referred to in this publication and does not guarantee that any content on such Web sites is, or will remain, accurate or appropriate. Cambridge Histories Online © Cambridge University Press, 2008 GENERAL EDITORS' PREFACE When The Cambridge History of China was first planned, more than two decades ago, it was naturally intended that it should begin with the very earliest periods of Chinese history. However, the production of the series has taken place over a period of years when our knowledge both of Chinese prehistory and of much of the first millennium B.C. has been transformed by the spate of archaeological discoveries that began in the 1920s and has been gathering increasing momentum since the early 1970s. This flood of new information has changed our view of early history repeatedly, and there is not yet any generally accepted synthesis of this new evidence and the traditional written record. In spite of repeated efforts to plan and produce a volume or volumes that would summarize the present state of our knowledge of early China, it has so far proved impossible to do so. It may well be another decade before it will prove practical to undertake a synthesis of all these new discover- ies that is likely to have some enduring value. Reluctantly, therefore, we begin the coverage of The Cambridge History of China with the establishment of the first imperial regimes, those of Ch'in and Han. We are conscious that this leaves a millennium or more of the recorded past to be dealt with elsewhere, and at another time. We are equally conscious of the fact that the events and developments of the first millennium B.C. laid the foundations for the Chinese society and its ideas and institutions that we are about to describe. The institutions, the literary and artistic culture, the social forms, and the systems of ideas and beliefs of Ch'in and Han were firmly rooted in the past and cannot be understood without some knowledge of this earlier history. As the modern world grows more interconnected, historical under- standing of it becomes ever more necessary and the historian's task ever more complex. Fact and theory affect each other even as sources proliferate and knowledge increases. Merely to summarize what is known becomes an awe- some task, yet a factual basis of knowledge is increasingly essential for historical thinking. Since the beginning of the century, the Cambridge histories have set a pattern in the English-reading world for multivolume series containing chapters written by specialists under the guidance of volume editors. The Cambridge Histories Online © Cambridge University Press, 2008 vi GENERAL EDITORS' PREFACE Cambridge Modern History, planned by Lord Acton, appeared in sixteen volumes between 1902 and 1912. It was followed by The Cambridge Ancient History, The Cambridge Medieval History, The Cambridge History of English Literature, and Cambridge histories of India, of Poland, and of the British Empire. The original Modern History has now been replaced by The New Cambridge Modern History in twelve volumes, and The Cambridge Economic History of Europe is now being completed. Other Cambridge histories in- clude histories of Islam, Arabic literature, Iran, Judaism, Korea, South East Asia, Central Asia, Africa, Japan, and Latin America. In the case of China, Western historians face a special problem. The history of Chinese civilization is more extensive and complex than that of any single Western nation, and only slightly less ramified than the history of European civilization as a whole. The Chinese historical record is immensely detailed and extensive, and Chinese historical scholarship has been highly developed and sophisticated for many centuries. Yet until recent decades the study of China in the West, despite the important pioneer work of European sinologists, had hardly progressed beyond the translation of some few classi- cal historical texts, and the outline history of the major dynasties and their institutions. Recently Western scholars have drawn more fully upon the rich traditions of historical scholarship in China and also in Japan, and greatly advanced both our detailed knowledge of past events and institutions, and also our critical understanding of traditional historiography. In addition, the present generation of Western historians of China can also draw on the new outlooks and techniques of modern Western historical scholarship and on recent devel- opments in the social sciences, while continuing to build on the solid founda- tions of rapidly progressing European, Japanese, and Chinese studies. Recent historical events, too, have given prominence to new problems, while throw- ing into question many older conceptions. Under these multiple impacts the Western revolution in Chinese studies is steadily gathering momentum. When The Cambridge History of China was first planned in 1966, the aim was to provide a substantial account of the history of China as a benchmark for the Western history-reading public: an account of the current state of knowledge in six volumes. Since then the outpouring of current research, the application of new methods, and the extension of scholarship into new fields have further stimulated Chinese historical studies. This growth is indicated by the fact that the history has now become a planned fifteen volumes but will still leave out such topics as the history of art and of literature, many aspects of economics and technology, and all the riches of local history. The striking advances in our knowledge of China's past over the last decade will continue and accelerate. Western historians of this great and Cambridge Histories Online © Cambridge University Press, 2008 GENERAL EDITORS PREFACE VII complex subject are justified in their efforts by the needs of their own peoples for greater and deeper understanding of China. Chinese history belongs to the world not only as a right and necessity, but also as a subject of compelling interest. JOHN K. FAIRBANK DENIS TWITCHETT Cambridge Histories Online © Cambridge University Press, 2008 Cambridge Histories Online © Cambridge University Press, 2008 CONTENTS General editors' preface page v List of maps, tables, and figures xiv Preface to Volume 6 xvii List of abbreviations xix Introduction i by HERBERT FRANKE, Universitat Muncben, Emeritus, and DENIS TWITCHETT, Princeton University, Emeritus The Late T'ang balance of power 3 The frontier 7 Foreigners 11 Vassals and overlords 14 Multistate system 16 Treaty relations 18 Modes of government 21 Multilinguality 30 The Han Chinese under alien domination 36 i The Liao 43 by DENIS TWITCHETT and KLAUS-PETER TIETZE Introduction 43 The predynastic Khitan 44 The background of A-pao-chi's rise to power 53 The rise of A-pao-chi 56 A-pao-chi becomes the new khaghan and ascends the throne 60 The succession crisis and the reign of T'ai-tsung 68 The succession of Shih-tsung 75 The development of government institutions 76 Relation with regimes in China 80 The reign of Mu-tsung, 951—969 81 IX Cambridge Histories Online © Cambridge University Press, 2008 CONTENTS The reign of Ching-tsung, 969—982: confrontation with Sung 84 The regency of Empress Dowager Ch'eng-t'ien 87 Changes in internal government 91 Foreign relations 98 The reign of Hsing-tsung 114 The reign of Tao-tsung 123 The reign of T'ien-tso and the collapse of the Liao 139 Final disaster 149 The Hsi Hsia 154 by RUTH DUNNEL, Kenyon College Introduction 154 The ethnogenesis of the Tangut people 155 The surrender to T'ang and settlement in the Ordos 158 The end of the T'ang 161 The Tanguts during the Wu-tai period 164 The Tangut move toward independence, 982—1002 168 Liang-chou and Tangut expansion into Ho-hsi 172 The rise of the Tibetan Tsung-ko dynasty 173 Li Te-ming, 1004-1032 176 Ho-hsi after the Tangut conquest 179 Li Yiian-hao (Wei-ming Nang-hsiao, Ching-tsung), 1032- 1048 180 The succession to Wei-ming Yiian-hao 189 A state in peril: the reigns of I-tsung (1048-1068), Hui- tsung (1068-1086), and Ch'ung-tsung to 1100 191 The reign of Hui-tsung (1068-1086) 193 Hsia comes of age: Ch'ung-tsung (1086—1139) and Jen- tsung (1140-1193) 197 The last years of the Hsia state and the Mongolian conquest 205 The Chin dynasty 215 by HERBERT FRANKE General remarks 215 The Jurchen people and their predynastic history 216 The reign of A-ku-ta and the founding of the Chin dynasty 220 From war to coexistence: Chin—Sung relations before the treaty of 1142 226 The political history of Chin after 1142 235 The annihilation of Chin, 1215-1234 259 Cambridge Histories Online © Cambridge University Press, 2008

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This volume deals with four non-Chinese regimes: the Khitan dynasty of Liao; the Tangut state of Hsi Hsia; the Jurchen empire of Chin; and the Mongolian Yuan dynasty that eventually engulfed the whole of China. It investigates the historical background from which these regimes emerged and shows how
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