Published online by Cambridge University Press: 24 September 2009
One of the questions that has prompted this study is this: despite the fact that various Xiongnu and Xianbei groups dominated the political arena in Northern China for almost 300 years between the collapse of the Western Jin and the founding of the Sui , and the usually unacknowledged fact that their descendants continued to do so for several hundreds more years,1 why is it that one could learn so little about their cultural heritage in traditional historiography?2 Even the linguistic affinity of the Tuoba Xianbei remains to this day a matter of controversy.3
The author would like to thank several colleagues and friends for their help and comments. In particular, he thanks Professor Samuel Adshead of the University of Canterbury for furnishing him with a copy of the late Joseph Fletcher's unpublished article on blood tanistry, and Dr Chungmo Kwok for extensive editorial and other help.
1 Guang, Sima et al. , Zizhi tongjian (Beijing, 1956; hereafter ZZhTJ), 108.3429, comments by Hu Sanxing .Google Scholar
2 Even on those external “barbarians” who might be considered China's primary “security concern”, the records were still astonishingly meagre, as observed bySinor, Denis, “Central Eurasia”in Central Eurasia, in Orientalism and History, ed. Sinor, D. (Bloomington, 1970), pp. 93–119.Google Scholar
3 Chen, S., “A-gan revisited – the Tuoba's cultural and political heritage”, Journal of Asian History, forth-coming.Google Scholar
4 Morgan, David, Medieval Persia, 1040–1797 (London, 1988), p. 22.Google Scholar See also Bosworth, C. E., The Ghaznavids (Edinburgh, 1963), p. 56.Google Scholar
5 Franke, Herbert, From Tribal Chieftain to Universal Emperor and God: The Legitimation of the Yüan Dynasty (Munich, 1978), p. 609.Google Scholar
6 See Bosworth, , op. cit., p. 3.Google Scholar
7 See for examples Fairbank, John King, “Synarchy under the Treaties”, in Chinese Thought and Institutions, ed. Fairbank, J. K. (Chicago, 1957), pp. 204–31Google Scholar, in particular p. 204, and Wittfogel, Karl A., Oriental Despotism; a Comparative Study of Total Power (New Haven, 1957), p. 182.Google Scholar
8 Honey, David, “Stripping off felt and fur: an essay on nomadic sinification”, Papers on Inner Asia. Ancient Inner Asia, XXI (1992),Google Scholar seems, the only exception in trying to include the Tang in the “conquest dynasties”. Yet in addition to his very curious exclusion of the preceding Sui, he still considers the Tang house “basically sinified” (p. 2). Therefore in his otherwise colourful essay on nomadic sinicization covering the entire Chinese history from the late Shang to the Qing, not a single item or case pertaining to the Tang was found.
9 Crossley, Pamela K., “Thinking about ethnicity in early modern China”, Late Imperial China, XI (1990), pp. 1–34.CrossRefGoogle Scholar
10 For the etymology Xianbei < *Sarbi, see for example Golden, Peter B., An Introduction to the History of the Turkic Peoples (Wiesbaden, 1992), p. 69.Google Scholar
11 Honey, “Stripping off felt and fur”, p. 2.
12 They are “Li-Tang shizu zhi tuice wenti “, “Li-Tang shizu zhi tuice houji ”. “San lun Li-Tang shizu wenti ”, and “Li-Tang Wu-Zhou xianshi shiji zakao “. All can be found in his collected works Chen Yinke xiansheng lunwenji (Taipei, 1974).Google Scholar
13 Rulei, Hu, Li Shimin zhuan (Beijing, 1984), p. 2.Google Scholar
14 Bowuguan, Ningxia Zizhiqu ,“Mu fajue jianbao ”, Wenwu (1985.11), pp. 1–20Google Scholar. This implication of Li Xian's newly unearthed tomb inscription on the ethnic origin of the Tang imperial family was pointed out to me by Dr Chungmo Kwok via private communications.
15 S. Chen, “A-gan revisited”.
16 Pansui, Lui , “Li-Tang wei fanxing kao”, Nü shida xueshu jikan I.4 (no date), pp. 1–5,Google Scholar first made this important discovery based on an entry in Xiu, Ouyang et al. , Xin Tang shu (Beijing, 1975; hereafter XTSh), 44.1160.Google Scholar
17 Zhitui, Yan , Yanshi jiaxun, edition used: Liqi, Wang , Yanshi jiaxun jijie , rev. ed. (Beijing, 1993), 1.50–1.Google Scholar For an English translation of the passage, see for example Wright, Arthur F., The Sui Dynasty (New York, 1978), p. 36.Google Scholar
18 See the list in Pu, Wang , Tang hui yao (Taipei, 1963; hereafter THY), 6.75.Google Scholar More extensive lists were given in Tongling, Wang , ‘Yang-Sui Li-Tang xianshi xitong kao , Nüshida xueshu jikan, II.2 (no date), pp. 1–23.Google Scholar
19 Gökalp, Ziya (translated by Devereux, R.), The Principles of Turkism (Leiden, 1968), p. 110.Google Scholar
20 XTSh 119.4306, 172.5205ȓ06, ZZhTJ 248.8036 and Fang, Li , Taiping guangji (Beijing, 1961), 184.1379.Google Scholar Read also Yinke, Chen, Tangdai zhengzhishi shulun gao (Chongqing/Shanghai, 1944)/1947, pp. 57–9.Google Scholar
21 Tongling, Wang, op. cit., pp. 20–3,Google Scholar has a rather extensive table on this issue. Still the important Kirghiz case is missing in that table.
22 See for example ZZhTJ 172.8879, Hu Sanxing's notes.
23 XTSh 217b.6150.
24 ZZhTJ 195.6135ȓ36, 200.6138.
25 Read for instance Da, Xiang , Tangdai Chang'an yu Xiyu wenming (Beijing, 1957)Google Scholar
26 Zhen, Yuan 's poem Faqu (Quan Tangshi [Shanghai, 1986], 419.1025) may serve as a succinct review of the fad.Google Scholar
27 Shou, Wei , Wei shu (Beijing, 1974) 19.469 and 21.536 (also ZZhTJ 140.4357 and 142.4434).Google Scholar
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29 XTSh 34.878.
30 Dang, Wang , Tang yulin (Changsha, 1939), 4.101.Google Scholar This was corroborated by XTSh 125.4407.
31 Pansui, Liu, op. cit.,Google Scholar was the first to point out that both were non-Chinese etiquettes, though Liu's citations were far from complete.
32 “A-gan revisited”.
33 “Tang Ashina Zhong mu fajue jianbao ”, Kaogu (1977.2), reprinted in Tujue yu Huihe lishi lunwen xuanji , ed. Gan, Lin (Beijing, 1987), ii, pp. 408–19.Google Scholar
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35 Wendi's childhood name was Nanluoyan See Daoxuan, , XU gaoseng zhuan (Taipei, 1988), 26.900. Yangdi's was Ame See for example ZZhTJ 179.5577.Google Scholar
36 Yang Yong's childhood name was Gandifa (ZZhTJ 179.5575). As we have pointed out in “A-gan revisited”, this name can be identified with a similar childhood name Qizhifa of the “Xianbei-ized” warlord Feng Ba . See Wei shu, 97.2126. Li Jiangcheng's childhood name was Pishamen (XTSh 79.3540).
37 ZZhTJ 212.6735.
38 JTSh 64.2415.
39 For this childhood name, see for example ZZhTJ 197.6206.
40 ZZhTJ 197.6208.
41 This term was well attested as the clan name Chinu , which became Lang , “wolf”, in Emperor Xiaowen's sinicization drive (Wei shu, 113.3013). As Peter Boodberg pointed out in his “The language of the T'o-pa Wei”, HJAS, I (1936), pp. 167–85.Google Scholar another likely attestation was the popular personal name Chounu .
42 Zheng, Wei et al. , Sui shu (Beijing, 1974), 15.397.Google Scholar
43 JTSh 62.2375–76, 74.2614–15, XTSh 98.3897, 99.3907–08, and ZZhTJ 186.5834, 194.6095.
44 XTSh 201.5728.
45 See for example Daoxun, Xu and Keyao, Zhao , Tang Xuanzong zhuan (Beijing, 1993), p. 409Google Scholar and passim.
46 See for example ZZhTJ 272.8904.
47 See for example Tekin, Talat, A Grammar of Orkhon Turkic (Bloomington, 1968), pp. 373–4.Google Scholar
48 Sui shu 52.1341.
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50 ZZhTJ 190.5959.
51 JTSh 64.2415–16.
52 Su, Liu, , Sui Tang jiahua (Beijing, 1979), 1.7;Google Scholar Su, Liu , Da Tang xinyu (Beijing, 1984), 1.13.Google Scholar Guang, Again Sima edited it to a mere tianshe weng – “old house-owning peasant” in ZZhTJ 194.6096.Google Scholar
53 Read for example Yuan, Chen , Tongjian Huzhu biaowei (Beijing, 1958), pp. 323–4,Google Scholar though Chen quoted only a small number of cases.
54 Zhuo, Zhang , Chaoye qianzai (Beijing, 1979), 4.89.Google Scholar
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56 Wright, Arthur, “T'ang T'ai-tsung and Buddhism”, in Perspectives on the T'ang, ed. Wright, A. F. and Twitchett, D. (New Haven, 1973), pp. 239–63.Google Scholar The particular comment is on p. 253.
57 Pulleyblank, Edwin G., “The An Lu-shan rebellion and the origins of chronic militarism in late T'ang China” in Essays on T'ang Society, ed. Perry, J. C. and Smith, B. L. (Leiden, 1976), pp. 32–60.Google Scholar See p. 37.
58 See, e.g., ZZhTJ 192.6034, Quan Tang wen (Beijing, 1983) 9.106,Google Scholar THY 26.506, Da Tang xinyu 9.133, etc. For continuing his old habit while an emperor, see ZZhTJ 192.6021–22, 192.6042.
59 “A-gan revisited”.
60 They include Tuli (Tölis) Qaghan of the Eastern Turk (ZZhTJ 191.5992), the loyal Turk general Simo, Ashina (Cefu yuangui [Beijing, 1960], 980.11516Google Scholar) who was given the imperial clan name Li (JTSh 194.5156, XTSh 215.6037), and the Western Turk prince, later Duolu Qaghan (JTSh 194.5183).
61 Zhongmian, Cen , Sui Tang shi (Beijing. 1957), PP. 140 and 142,Google Scholar has claimed that certain features of Tang Taizong's mausoleum were imitative of Turkish burial custom, a notion followed by Wechsler, Howard J., Offerings of Jade and Silk (New Haven, 1985), p. 81.Google Scholar We contend that, rather than mere imitation, it in fact reflected the Tang imperial house's steppe background. The Tang's respect for non-Han burial customs both within and without the Chinese heartland was reflected in Tang Taizong's condemnation of the Eastern Turks' adoption of the (Han) tomb burials in violation of their ancestral customs (Cefu yuangui, 125.1501; see also Ecsedy, Ilkidó, “Ancient Turk [T'u-chüeh] burial customs”, AOH, XXXVIII [1984], pp. 263–87;Google Scholar the particular passages are found on pages 276–7) and Tang Xuanzong's edict allowing a surrendered Turk official to “be buried according to the native [Turkish] customs” (Cefu yuangui, 974.11446).
62 ZZhTJ 196.6191.
63 Schafer, Edward H., The Golden Peaches of Samarkand: a Study of T'ang Exotics (Berkeley, 1963), p. 65.Google Scholar
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67 THY 55.943–44, XTSh 199.5661, ZZhTJ 201.6363.
68 XTSh 80.3565.
69 THY 27.521.
70 Wei shu, 22.558.
71 Zixian, Xiao , Nan Qi shu (Beijing, 1972), 57.996.Google Scholar
72 See for example Qiaoyi, Chen , Li Daoyuan yu Shujing zhu (Shanghai, 1987), PP. 31, 34–5.Google Scholar
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75 Jin shu (Beijing, 1974), 101.2648Google Scholar and passim.
76 Fletcher, Joseph, “The Mongols: ecological and social perspectives”, HJAS, XLVI (1986), pp. 11–50.Google Scholar
77 Fletcher, Joseph, “Turco-Mongolian monarchic tradition in the Ottoman Empire”, Harvard Ukrainian Studies, III/IV (1979–1980), pp. 236–51.Google Scholar
78 Boodberg, Peter A., “Marginalia to the histories of the Northern dynasties”, HJAS, IV (1939), pp. 230–83,Google Scholar in particular p. 266.
79 Fletcher, Joseph, “Blood tanistry: authority and succession in the Ottoman, Indian Muslim, and later Chinese empires”, The Conference on the Theory of Democracy and Popular Participation,Bellagio, Italy,1978.Google Scholar
80 Yi, Zhao, Nian'ershi Zhaji , annotated by Weiyun, Du (Taipei, 1975), 19.410.Google Scholar
81 ZZhTJ 197.6197, 199.6280–81.
82 ZZhTJ 197.6195.
83 ZZhTJ 202.6377, 203.6419.
84 For example, see Hu ji, Wu Zetian benzhuan (Xi'an, 1986), pp. 60–1.Google Scholar
85 ZZhTJ 199.6286–87, 204.6467, 207.6557.
86 JTSh 7.135, ZZhTJ 204.6473, 205.6490.
87 ZZhTJ 204.6474–75, 206.6526–27.
88 Alderson, Anthony D., The Structure of the Ottoman Dynasty (Oxford, 1956), pp. 32–6;Google Scholar Goody, Jack (ed.), Succession to High Office (Cambridge, 1966), pp. 20–1.Google Scholar For a detailed description of this part of the Ottoman palace, see Penzer, Norman Mosley, The Harem (London, 1936), pp. 197–201.Google Scholar
89 ZZhTJ 244.7886. We may also note that the Ottoman Kafes was hardly unique in the Turkic political sphere: the later Ghaznavids in Afghanistan and Northern India also developed a similar policy after incessant succession struggles among the Sultan's family members. See Bosworth, C. E., The Later Ghaznavids: Splendour and Decay (Edinburgh, 1977), p. 38.Google Scholar Corresponding to the “birth control” measures in the Kafes, a remarkable episode was Xuanzong's repeated attempts in aborting his consort's pregnancy for fear of further antagonizing Princess Taiping (JTSh 52.2184). One notes that the incident was recorded due largely to the fact that the pregnancy Xuanzong (then the crown prince) tried to terminate produced in the end none other than the future emperor Suzong.
90 ZZhTJ 208.6611–12.
91 ZZhTJ 209.6641–42.
92 ZZhTJ 209.6650.
93 ZZhTJ 210.6656–57.
94 See for example the story in ZZhTJ 210.6673–74, JTSh 97.3051 and XTSh 125.4406.
95 JTSh 45.1957–58.
96 See Silas Wu, Passage to Power.
97 ZZhTJ 214.6829.
98 Zuyu, Fan, Tang jian (Shanghai, 1937), 9.78.Google Scholar
99 On November 20, 1514. See Alderson, , op. cit., p. 30.Google Scholar
100 XTSh 82.3608, ZZhTJ 216.6916.17.
101 ZZhTJ 218.6975–76, 218.6982.
102 ZZhTJ 221.7094–95.
103 ZZhTJ 218.6983, 219.7007.
104 Li Bai signed on with the losing side of this fratricidal struggle for the throne, for which he almost received a death sentence. He was eventually exiled to Yelang , which was by far the most serious crisis in Li's life. See for example XTSh 202.5763. This in turn led Du Fu to write several immortal poems on his deep concern over his friend's fate.
105 ZZhTJ 219.7013.
106 ZZhTJ 222.7123–24.
107 Wright, Arthur, “Sui Yang-ti: personality and stereotype”, in Confucianism and Chinese Civilization, ed. Wright, A. (New York, 1964), pp. 158–87.Google Scholar
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111 Winstanley, Lilian, Hamlet and the Scottish Succession (Cambridge, 1921)Google Scholar and, much more recently, Kurland, Stuart M., “Hamlet and the Scottish succession?” Studies in English Literature, 1500–1900, XXXIV (1994), pp. 279–300.CrossRefGoogle Scholar
112 Defen, Linghu, Zhou shu (Beijing, 1971) 50.909;Google Scholar also Li Yanshou, Bei shi (Beijing, 1974), 99.3287,Google Scholar and You, Du Tong dian (Shanghai, 1935), 197.1068.Google Scholar
113 SirFrazer, James G., “The killing of the Khazar kings”, Folklore, XXVIII (1917), pp. 382–407;CrossRefGoogle Scholar Dunlop, D. M., The History of the Jewish Khazars (Princeton, 1954), p. 97.Google Scholar An extensive exposition of ritual regicide can be found in SirFrazer, James G., The Golden Bough, 3rd ed. (New York, 1935), iv, pp. 9–119.Google Scholar
114 A comprehensive summary of most such “retired emperors” can be found in Yi, Zhao, op. cit., 13.281–6.Google Scholar
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118 Yanshi jiaxun jijie, 1.48. Wright, Arthur (The Sui Dynasty, p. 35)Google Scholar has also noted Yan's observation.
119 The case of Lady Gouyi of the Han, from which the Tuoba custom had allegedly taken its cue, was evidently an exceptional, ad hoc measure.
120 ZZhTJ 152.4739.
121 See for example Fletcher, Joseph, “Turco-Mongol monarchic tradition in the Ottoman Empire”.Google Scholar
122 Yinke, Chen, Tangdai zhengzhi shi, pp. 41–4.Google Scholar
123 XTSh79. See also Wechsler, Howard J., Mirror to the Son of Heaven: Wei Cheng at the Court of T'ang T'ai-tsung (New Haven, 1974), p. 71.Google Scholar
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125 Li Duozuo (JTSh 109.3296–97) was a typical case.
126 See for example Yinke, Chen, “Lun Tangdai zhi Fanjiang yu fubing ”, Chen Yinke xiansheng lunwenji, i, pp. 665–77,Google Scholar and Qun, Zhang , “Tangdai Fanjiang chutan ”, Journal of Oriental Studies, XIX (1981), pp. 1–38.Google Scholar
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129 Pulleyblank, (“The An-Lu-shan rebellion”, p. 40)Google Scholar seems the only author to have noted this Turco-Chinese partnership, albeit failing to recognize the crucial Xianbei factor which, like the Manchus, was the key element binding the steppe and the agrarian communities into a true empire.
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137 ZZhTJ 195.6150, 196.6174.
138 ZZhTJ 196.6168.
139 THY 4.44. The incident itself showed Chengqian's decent quality, something the official history was reluctant to admit.
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142 Wei Zheng was noted for his loyalty to Emperor Gaozu's original heir apparent Prince Jiancheng. As shown by an interesting episode in JTSh 71.2559, he was still quite unwavering on the dizhang succession rule after many years of service under Emperor Taizong, whose accession to the throne represented a breach of this very principle.
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146 Guodong, Sun , “Tang Zhenguan Yonghui jian dangzheng shishi ”, Xinya Shuyuan xueshu niankan , VII (1965), pp. 39–49,Google Scholar did point out that Zhangsun Wuji, Li Zhi's decisive backer, was not a man of letters while three major supporters of Prince Wei, namely Liu Ji , Cen Wenben and Cui Renshi all were, and all had a rather miserable end.
147 See ZZhTJ 197.6195 and Quan Tang wen 161.1645.
148 Paraphrasing the title of David Honey's essay on sinicization. See note 8.
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