Matsui, Dai 2014: Dating of the Old Uigur Administrative Orders from Turfan.

In: M. zkan / E. Doan (eds.), VIII. Milletleraras Trkoloji Kongresi

(30 Eyll 04 Ekim 2013 - stanbul) bildiri kitab, Vol. IV, stanbul, pp. 611633.
(stanbul niverisitesi)

TURFANDAN ESKi UYGUR iDARi EMiRLERi TARiHi

DATING OF THE OLD UIGUR ADMINISTRATIVE ORDERS FROM TURFAN
DaiMATSUi*
ABSTRACT
Old Uigur administrative orders are indispensable sources for historical
reconstruction of the taxation system in the Thrfan Uigur society under the
domination of the Qoco Uigur Kingdom and the Mongol Empire. The author has
been engaged with the philological edition of the administrative orders, and in this
presentation I would argue how to date the orders and the related problems,
mainly on the chronological transition of the taxation systems behind the texts.
The result of the Old Uigur palaeography has established the criteria to
date the Old Uigur texts into two categories: Pre-Mongol period and Mongol
period. However, various futures of the administrative orders enable us to divide
the orders into eight groups, seven of which are respectively dated to Pre-Mongol
period (A}, Early Mongol period (B), Mongol-Yuan period (C & D), and the
Chaghataid period (F & G). Even though the formula ofthe administrative orders
are mostly common, some of them have the extraordinary formula, and the
taxation terms used in them are slightly differ from each other of the groups. They
may well reflect the institutional transition or reform of the administrative systems
for taxation.
KeYwords: Old Uigur, Administrative orders, :xinjiang, Formula,
Taxation.
OZET
Uygur Kralligi ve Mogol imparatorlugu'nun hakimiyeti altmda Turfan
Uygur toplumunda tarihsel vergi sisteminin yeniden in~as1
Eski Uygur
yoneticilerinin emirleri iyin vazgeyilmez kaynaktrr. Yazar idari emirlerin filolojik
baslalanyla iJgilemni~ ve bu sunumda esas olarak kronolojik geyi~te, metinlerdeki
vergilendirme sistemleri ve ozellikle idari emirlerin tarih iyinde nasll
~ekillendigini konusundaki iddialanm dile getirmektedir.
Eski Uygur yaz~ bilimi yeryevesinde Eski Uygur metinleri bugfine kadar
iki donemde incelenmektedir: Mogol Oncesi Donem ve Mogol Donemi.
Bununla birlikte ye~itli idari emirler, bize daha sonraki idari emirleri sekiz gruba
bOlebilmemizi saglayacaktrr. Bunlardan yedisi srras1yla ; Mogol Oncesi Donem
(A), Erken Mogol donemi (B), Mogol-Yuan donemi (C & D) ve Chaghataid
donemi (F ve G) olarak aynlmaktad1r. idari emirlerin yok yaygm olmasma ragmen
bu donemler iyin kullamlan vergilendirme terimleri birbirinden fark11 ve baz~lan
olagand1~1 formule sahip terimlerdir. Onlarda vergilendirme iyin idari sistemin
reform veya kurumsal geyi~ etkileri iyi olabilir.
Professor, Faculty of Humanities, Hirosaki University.

Dating OfThe Old Uigur Administrative Orders From Turfan

Anahtar Kelimeler: Eski Uygur, ldari Emirler, Sincan, Formul,
Vergilendirme.

1. Introduction
The Old Uigur texts that have been excavated from the Turfan area in the
East Turkestan (modem Xinjiang, PRC) are indispensable sources for the Old
Turkic linguistic and philology, as well as the reconstructions of the history of
the Old Uigurs, who migrated there after the collapse of their nomadic empire in
the Mongol plateau in the mid-9th century.
The main body of the Old Uigur texts is composed of the religious texts
concerning mainly Buddhism, as well as Manichaean, Christian and other
religion, that should reflect the spiritual life of the Old Uigurs, while the legal
documents with administrative or socio-economic contents would throw light on
the historical aspects of their material life and society 1
The scholars dealing with the Uigur legal documents have been more or
less concentrated on the edition and historical studies of the contract of various
contents (sale, rental, loan, adoption, etc.). But we have still other types of
secular documents, among which included are the administrative orders of
compulsory requisition for various materials. In his article: of 1964 to
comprehensively deal with the Old Uigur legal documents, Prof. Dr. Re~id
Rahmeti Arat introduced the brief contents of the administrative orders of
requisition, and pointed out that they can be important source to reconstruct the
taxation and labour service systems among the Old Uigurs 2 I have been
preparing the corpus of these administrative orders amounting to the amount of
ninety-nine (see List ofTexts at the end of this paper).
By means of distinction of the Uigur script (semi-square script or cursive
script) as well as other criteria for relative dating thus far established3, they are
divided into two chronological categories, -i.e., the Pre-Mongol or the
West-Uigur period (9.-12. cc.) and the Mongol period (13.-14. cc.): Only three
texts (N<;>s. 1-3 = Al-A3) belongs to the former period4, while all others come
from the latter period.
However, focusing our attention to other features of those orders (e.g.,
attestations of historical figures, or characteristics ofappearance such as method
of stamping seals and regulation in copying), we can subdivide them into
1 For the classification and grouping of the Old Uigur legal documents see SUK IT, pp. Xlli-XIV; VOIID 13,21,
pp. 15-16; Moriyasu 2011, pp. 36-38.
2 Arat 1964, p. 37.
3 Moriyasu 2004, pp. 228-231.
4 Matsui 2010b, Texts A-C.

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VTII. Milletlerarast Tilrkoloji Kongresi 30 Eylill- 4 Ekim 2013

several groups. A series of my previous articles to publish the partial edition of

the Uigur administrative orders are attempts for such detailed dating as the
precondition of historical studies: I placed several markers for dating to the
period when the Chaghatai Khanate dominated Turfan region (late 1320's and
afterward) 5 or the preceding period of the early 14th century(i and sporadically
limited the date for several texts 7
Meanwhile I have been engaged with further assembly of the
administrative orders, and prepared to comprehensively arrange them into
chronology. Here I would like to present the result of my researches for years in
order to settle the basis of further historical studies.
2. Formula of the administrative orders of compulsory requisition
Throughout the ninety-nine administrative orders, we can observe that
they were drawn up according to a common formula, which basically itemizes
the contents as follows 8
[a] Date (only with the twelve animals cycle)
[b] Purpose or reasons of the goods [and the total amount]
[c] Deliverer(s)
[d] Amounts delivered
[e] Closing form: birziln "(one) shall deliver"- X:X.-qal-kii tutzun "(one)
shall count (the delivery) for XX[= taxes, labour services: qupCi"r, sang, tiitiin,
.. . yam at , etc. 9]"
kazzg,
.

[f] Seal(s)
Here are presented some examples of the orders as well as their
translation, with the items [a]-[e] inserted:
No.1 (=A1)
1tonguz

yi1 iiciinc ay bir (yan){gi'qa} 2msydr-lar-ni'ng bir yol a(t)[i'n}

birziln " 1The Boar year, the 3ni month, on the 1st [day] [=a].
The
Nestorian
presbyters
(msydr) [=c] shall deliver [=e] one of their horses
_
23
for travel [=d] to the travel guides (bound) for Tayqay [=b]."

3 tayqay-taqi'yo1Ci'-qa

Matsui 1998b; Matsui 2002, pp. 107-109.

Matsui 2003.
7 Matsui 2004, p. 183; Matsui 2009.
8 Matsui 1998a, pp. 032-037; Matsui 1998b, pp. 1, 11-13; Matsui 2002, pp. 94-100; Matsui 2003, pp. 55-57.
9 For Uig. terms for taxation and labor service, see Matsui 2005, aS well as Ozyetgin 2004. Especially for kiizig
"tum (of labour service); labor service levied in tum", see Matsui 1998a; Matsui 2008b.

613

Dating Of The Old Uigur Administrative Orders From Thrfan

No. 22 (= Cll)

1taqi'yu yil birygrminc ay yiti yangi'qa 2angi1riin ilci-kii yar-qa baryu on

at-[lar-] 3 (-i'n)ta tiimir yastuq-i' bir at birzu(n) " 1The Rooster year, the 11th
month, on the 7th day [=a]. 2_30f ten horses for Ambassador Angiiriin to go to
Yar [=b], 3Tfunir-Yastuqi [=c] shall deliver [=e] one horse [=d]."
No. 31 (=D9)

1ud yi1 birygrminc ay toquz yngi'qa 2i'ndu ilci-ning tiili at-lari'nga 3birgii
ygrmi bay ot iki tayar saman-ta 4b0kan sali on bay ot birzun " 1The Ox year, the
11th month, on the 9th day [=a]. 2_30f 20 bundles of hay and 2 sacks of straw (as
fodder) to give to the middle(-distance) horses of Ambassador 'indu [=b],
J3okan-siili [=c] shall deliver [=e] 10 bundles ofhay [=d]."
No. 70(=G4)

I[taqji'yu yi1 exsapt ay 2[

1 yiigrmi(kii} qar-a noqoy 3[
1 (..) xoca
bas-li'y biig-4[liir-k1 (ii)-tngbilii ali'p ungii siki qoyn iki qap bor-ta 6ak;li'n qapi' bir
qoyn 1birip onunc kizyig-kii gtuc4un yan-a bir qap 9bor m-a birip uCiinc
1c)kicyig-kii tuc4un " 1_2The Rooster year, the 12th month, on the 10+x day [=a].
2_50f2 qap ofwine and 2 sheep for the officers With Qara-Noqoy and [.;.]-Xoca
at their head, that (the officers should) equally(?) receive and set out (with
them) [=b], 6-s(the persons of) Southern Gate [=c] shall give [=e] 1 sheep [=d]
and count (it) for the lOth turn (of the labor service) [=e]. 8_1oAJ.so (they) shall
give [=e] 1 qap ofwine [=d] and count (it) for-the 3rd turn (of the labour service)
[=e]."
Such a basically common formula of the administrative orders may well
suggest that they should have the similar function for the administration of
compulsory requisition in the Old Uigur society during the 9th -14th cc. And the
chronological differences within the texts themselves are not enough recogniZed,
except for Nos. 12-22 (to be categorized into Group C: mentioned below).
3. Methods of stamping seals and chronological change

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Vlll. Milletleraras1 Tiirkoloji Kongresi 30 Eyl1ll- 4 Ekim 2013

Contrarily to the common ground in the textual formula investigated

above, the method of stamping seals varies obviously among the manuscripts.
(see
Here we can set three categories of the methods as Method I, IT and
Figure below).

Method!

Method II

Method ill

In Method I, the orders are stamped with only one seal, which is much
rather larger (over 8 em square) than others, carries the Chinese legends and

uses red ink.

In Method II, the seals are generally rectangle or oval shaped and use
black ink. Their sizes are rather small (around 1.0 x 2.0 em). The number of the
seals stamped on a single order are up to two; They are stamped on the closing
phrase birziin "one shall deliver" etc., so the position of the seals is variable.
In Method ill, the orders bear the square or round shaped seals in black
ink, the sizes of which are ca. 2.5 - 3.0 em, a little bit larger than those in
Method IT but far smaller than Method I. And the number of the seals stamped
on a single order is three and more in general, six at most; The seals are stamped
from the top of the ending lines, regardless of the closing phrase birziin "one
shall deliver'' or tutzun "one shall count".
Among the ninety-nine administrative orders, eleven (Nos. 1-11) are
stamped according to Method I, forty (Nos. 12-18, 26-42, 44-59) with Method
IT and twenty-seven (Nos. 60-86) with Method ill; other twenty-one (Nos.
19-25, 43, 87-99) remains unknown because of the lacuna of the paper or
without seal.

615

Dating Of The Old Uigur Administrative Orders From Thrfan

I have already mentioned the possibility that such a variety of the

methods of stamping should reflect the chronological difference among them. 10
From such a viewpoint I would further reconsider the dating of the
administrative orders here.
First, we may safely regard Method I as the oldest, since Nos. 1-3, which
I proved to belong to the West-Uigur period, 11 are stamped according to this
method. On the other hand, among those stamped according to Method IT, Nos.
12-15 belong to the so-called inaci-texts which were composed during the 13th
century, 12 while Nos. 43, 48-51 and 54, belong to the Yalin-texts from early 14th
century or the last period of the Yuan domination in. the Turfan region. 13
Moreover, Nos. 68-82, stamped according to Method ill, belong to the so-called
"Qutluy-seals orders" from the period of the latter half of the 14th century, when
the Chaghatai Khanate dominated the Turfan region. 14

In short, we c;m recognize the chronological, development in the stamping

method from Method I, via Method IT, fmally to Method ill, in other word, from
the West Uigur period until the later period of the Mongol domination.
4. Subdivision and detailed dating
Based on the development of the stamping methods mentioned above, we
can further deepen the analysis on the contents of the texts from the
chronological point of view, to set subdivisions under each group of the texts
stamped according to the same method. As the result I would like to place the
further subdivision of the Uigur administrative orders as follows:
(A) Nos. 1-3 =A1-A3

WestUigurperiod

(B) Nos. 4-11 = B1-B8

Early Mongol (Pre-Yuan) period

(C) Nos. 12-22 = C1-Cll

Early Mongol- Yuan period

(D) Nos. 23-42 = D1-D20

Yuan Period

(E) Nos. 43-56 = E1-El4

Karsin-Yalin-texts (early 14th century)

Cf. Matsui 2009, pp. 344-345.

Matsui 2010b.
USp, Nos. 107-127; Umemura 1977, pp. 020-022; Umemura 1987a, pp. 69-73; Umemura 1987b, pp. 91-93;
Moriyasu 2002, p. 157. The reading of the name 'YN'CY = inlici has not been well fixed: First Umemura 1977
had followed the reading inlici in USp, though later changed into 'YN'NCY- 'YN(')NCY =inaner- in{a)nci in
Umemura 1987a I 1987b. The editors ofSUK, one of whom was Umemura himself, revived inlici, but another
SUK editor Moriyasu Takao later adopted inaner in Moriyasu 2002. Here I would like to fix it as 'YN'CY =
1nlici through close investigation on all of the attestations.
13 Matsui 2003.
14 Matsui 1998b.
II

12

616

. I

.l

VTII. Milletlerarast Tiirkoloji Kongresi 30 Eyliil- 4 Ekim 2013

(F) Nos. 57-66 = Fl-FlO

Chaghatai Khanate period (after late 1320's)

(G) Nos. 67-86 = Gl-020

"Qutluy-seals" orders (mid-14th centwy)

(H) Nos. 87-99 = Hl-H13

Undated I Fragments

These subdivisions mostly correspond to the categories of the stamping

methods above: Method I = Groups A and B; Method IT = Groups C, D, E and
Nos. 57-59; Method ill= Groups F. (except for Nos. 57-59) and G. The last
group H does not keep the seal.
The characteristics and affinities of each group shall be explained below.
(A) WestUigurperiod [Nos. 1-3 =Al-A3]
As mentioned above, only these three administrative orders are written in
the Semi-Square script to allow us to approximately date them to the West
Uigur Period or the lOth-12th ~enturies.
(B) Early Mongol (Pre-Yuan) period [Nos. 4-11 = Bl-B8]
Nos. 4-7 (= USp No. 53.1-4) are pasted together as one sheet. They have
the date of ''the Sheep year (qoyn yi1)" in common and are stamped with one
and the same square vermillion seal. Still more, Nos. 8 & 9 are also stamped
with the same square seal, and the former has the date of ''the Monkey year
(bicin yi'l)". Consequently these six orders should be approximately
contemporary. Nos. 10 & 11 are also pasted together as a sheet and stamped
with a square vermillion seal, which is similar to the one as seen on other six but
not the same.
Nos. 4-11 follow Method I in stamping as well as Nos. 1-3 (= Al-A3),
but they are written in cursive script and then should be dated to the Mongol
period15, to fall into another Group B (B1-B8). Even so, the similarity ofthe
stamping method with Group A may well suggest that this Group B comes from
the earlier phase of the Mongol domination in East Turkestan, when the
administrative tradition of the West Uigur had been well inherited among the
Uigur officials.
This dating is definitely supported by the personal name ari'q-bokii
mentioned in the 1st line of No.6= B3 16 There is no doubt that he should be
identified with the well-known Chinggisid prince Ariq-Boke, who was the
youngest brother of the 4th Mongol emperor Mongke (r. 1251-1259) and the 5th
15

This dating is also suggested by the notorious Mongol poll tax qup~ and the use of silver (kilmil) as

currency. Cf. Moriyasu 2004, p. 230.

16

The reading as q!Wan-kOki by Radloff in USp, p. 91, sbould be amended.

617

Daling Of The Old Uigur Administrative Orders From Turfan

emperor Qubilai (r. 1260-1294). When Mongke set out in 1256 the southward
campaign against the Southern Song, Ari'q-Boke was appointed to govern the
Mongolia. After Mongke passed away in his campaign (1259), a civil war for
the throne of emperor outbroke between Qubilai and Ari'q-Boke. Ari'q-Boke was
finally defeated to surrender to Qubilai in 1264. Belonging to the imperial
family, he could escape from the execution, but died shortly~fterward, in 1266.
Thus the period when Ari'q-Boke could politically influence even in the East
Turkestan. was to be limited between Mongke' s enthronement and his
surrendering, i.e., 1251-1264. Thus we can dated Nos. 4-7 (= Bl-B4) to AD
1259 of
ji-wei, the only "Sheep y~ar" during the period: The
"Monkey-year" of No.8= B5 may be identified to the year of )Jt$ geng-shen
ofl260 AD, one year later than the Sheep year 1259. However, either 1248 or
1272, the Monkey year next earlier/later than 1260 AD, might be still possible.

C.*

(C) Early Mongol- Yuan period [Nos. 12-22 = C1-Cll]

There is no definity marker to allow us to date those administrative orders
following Method II, except for Nos. 12-15 and Nos. 56-58.
As mentioned above, it has been proved that the so-called inaci-texts
including Nos. 12-15 should be dated to the 13th century.
One of the inaci-texts is No. 15, to follow the basic formula of the
administrative orders:
No. 15 (= C4)
1i't yi'l siiki[zinc ay] tor(t) 'l)Jangi"qa kiisiinciik iki iir 3[t]urmis bir iir alp
toyril 4iki iir iniici iki iir iilik sbir iir oriik toyril bir ii[r] 6toruy iidgii toyril.[...]
7siivinc birlii bir [iir olar?] birlii [ .. .] 8-qa isliiziin " 12The Dog year, the 8th
month, on the 4th day. 2Kusanciik [shall deliver] 2 men; 3Turmis, 1 man;
3 ~p-Toyri1, 2 men; 4inaci, 2 men; 4-5Alik, 1 man; 50riik-Toyril, 1 man; 6Toruy, .
Adgii-Toyri1, [ ...... ] (and) 7Savinc, 1 [man] together; , 78[they] shall work
together for[ .......].

It enumerates the names of ten persons besides inaci as the deliverers of

workers (iir "man"), and for the closing form it uses the phrase -qa isliiziin
"(they) shall work for", to have followed undoubtedly any term for the labour
service such as qalan, iskiic, etc 17

17

Cf. Matsui 2005, p. 78.

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VITI. Milletleraras1 Tiirkoloji Kongresi 30 Eylill- 4 Ekim 2013

However, noteworthy is that other three of the inaci-texts, Nos. 12-14, are
written acutally in a formula considerably different from the common one
displayed above. For example:
No. 12 {= C1)

1(qo)[y](n) yi1qi" iniiCi-ning tsang-2[qa] qudyu tari"y-ta tort 3[. .]K(..) min
S{..](...) saman-qa 4{...] (a)$uq san-i"nta tutzun " 1_20fthe grain that inaci should
. deliver for the land-tax of the Sheep year, 24{inaci) shall pay 4 [ ...... ] flour [ ... ]
for straw [.... and] 34count (it) for the account of provision."

The dating formula, not to mention the month and the day, does not tally
with the basic formula, while the closing phrase (a)$uq san-i"nta tutzun "(inaci)
shall count (it) for the account of provision" suggests that the delivery of grain
to have been originally paid as land tax (tsang) 18 was converted into the
provision (azuq).
We may pay attention to the fact that Nos. 16-21 are parallel with No.
12-15. Here are picked up Nos. 16 & 17:
No.16 (=C5)

1/ciiskii yi1qi" ogrinii-ning bir yarfm 2sti"r qupCi"r kiimiiS-in miin iilik alfp
ulay
tiir-in-gii
birtim bu tamya miining'ol "21, Alik, received 1_i)grina's 1.5 stir
3
of qupci"r-tax-silver of the Rat year, and 3paid (it) for the rent of a postal relay
horse. This seal is mine."
':I

'il,.;II

No. 17 (= C6)

:j
'/.
:1
HI

\:;

'!i
ij

1/ciiskii yi1qf ogrinii-ning qupci"r kiimu:hintii mfsi"ra-ni"ng at tiir-in-gii uc

baqi"r
kiimiis { ... .} birip san-i"nta 4 tutzun " 1_20f0grina's qupCi"r-silver ofthe Rat
3
year, 2_3(0grina) shall pay 3 baqi"r of silver for the rent of Misi'ra's horse and
34count (it) for the account (of qupCi"r-tax)."
Obviously these two also concern the conversion of the silver currency
paid for the fee of official postal relay horse into the certain amount (3 baqi'r) of
the poll tax (qupci"r) levied annualy. However, the former is Written according to
the formula of the receipt, while the latter has the closing phrase san-i"nta tutzun
"(he) shall count (it) for the account (of qupci"r-tax)" in common with the
administrative orders.

For Uig. tsang- sang "land tax{< provision to be delivered to the official granary< granary)"< Chin.
cang "granary'', see Matsui 2004, pp. 8-9, 18-21; Matsui 2005, pp. 72-73; Matsui 2010a, pp. 58, 61.

18

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Dating Of The Old Uigur Administrative Orders From Thrfan

The large square seals on the administrative orders of Groups A and B

may well suggest that the officials responsible for the issue of them shoul4 be of
the higher rank among the bureaucratic hierarchy, who were authorized to
demand the compulsory requisitions of the local people.
At the terminal of the administrative organization, however, it might not
be such a high-ranking officials but the minor local clerks that ruled and decided
the compulsory requisition in response to the practical necessity, to compose
and issue the receipt for certification to convert the extraordinary delivery into
the ordinary taxes. From time to time, these receipts could take the form of
administrative orders, ending with the imperative phrase -qa I -kii I san-i'nta
tutzun to definitely direct the. conversion of delivery. Thus we may set the
category of such a hybrid formula between receipt and administrative orders,
which include Nos. 12-22 = C1-C11. This group can be a reflection of the
historical situation in which the compulsory requisition became more frequent
under the Mongol rule so that even the minor local officials were allowed to (or
had'--to) respond them with official certificate in form of the receipt or
administrative orders.

Even so, it is still possible that Groups B and C were contemporary: their
difference may derive from the rank of administrative authorities, not from the
chronological gap.
(D) Yuan Period [Nos. 23-42 = Dl-D20]

As well as Group C, these twenty texts are also stamped according to

Method II.
They follow the basic formula, which seemingly have been fixed after the
period of Group C, while they have no markers for dating to the Chaghataid
domination (see (F) below). Consequently we can categorize them by
elimination into Group D, to be dated to the period when the Yuan Dynasty
,
predominated in the Turfan region.
This dating would be supported by No. 42 (= D20), which comprises the
heading as 1milik tiimiir oyul-nung "[By the royal decree] of Prince
Milik-Tamiir" before its date (i't yi1 "the Dog year") 19 This "Prince
Milik-Tamiir" must be identified to a Mongol prince Melig-Temiir (> Chin. ijl=J
_m $J5 ~ Ming-li Tie-mu-er or ~
~ Mie-li Tie-mu-er ~ Pers.
Malik-Timiir), the youngest son of Ariq-Boke. After his father's death in 1264,
Melig-Temiir inherited his father's armies and yurt around the Altai Mountains

19

_m. *

Reading tilik tiimiir for his name by Raschrnann in VOHD 13,22 #270, can be corrected.

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Vlli. Milletleraras1 Tiirkoloji Kongresi 30 Eyliil- 4 Ekim 2013

in Mongolia. He had been in an alliance with the anti-Yuan Mongols in Central

Asia lead by the Ogodeid prince Qaidu, until AD 1296, when he surrendered to
the Yuan Dynasty. Later, in 1306 he left Mongolia to present himself at the Yuan
court, but fin:ally he was executed in the he political turbulence succeeding the
death of the Yuan emperorTemiir in 130720
Thus No. 42 (= D20) may well be of any "Dog. year" during 1264 to 1306,
namely any of AD 1274, 1286 and 1298. The last two, AD 1286 and 1298,
would be equally likely: Even in the anti-Yuan- alliance, Melig-Temiir could
influence in the Turfan region during the late 1280's, since when the position of
Uiguristan including the Turfan region was most ambivalent between the Yuan
dynasty and the anti-Yuan forces 21 We may note that the authority of the
Chaghatai Khanate was, even though once and temporary, established in the
Turfan region as indicated by the Old Uigur certificate of tax exemption issued
in the name ofDu'a-Khan (r. 1282-1307), which is dated AD 1290 or 130222

In any case, No. 42 (= D20) may well suggest that Method II was in
common use until the end of the 13th century.
(E) Kiirsin.:.Yalin-texts (early 14th century) [Nos. 43-56 = E1-E14]

In Nos. 43-56, Method II is still in common use and none of them

comprises the markers to suggest the Chaghataid domination (see (F) below).
Consequently, the fourteen administrative orders should be composed under the
period when the Yuan sovereignty was relatively effective, though we can
categorize them as another group because they have the seals and personal
names in common.
Among them, I have edited Nos. 43, 45, 48-51 (= E1, E3, E6-E9), to
designate them as ''Yalin-texts" after the personal name of a deliverer appearing
throughout them. Since then I have found Nos. 44, 46, 47, 52(= E2, E4; E5,
E10) among the photographs of Arat-NachlaB also belonging to the Yalin-texts.
Here I rename this group of the orders as ''Karsin-Yalin texts", because another
. deliverer Karsin is also frequently mentioned together with Yalin. Among these
date of the Kiirsin-Yalin texts, i"t yi1 yana bisinc ay ''the Dog year, the s~ond
(i.e., leap) 5th month" as seen Nos. 48 & 49 (= E6 & E7) should correspond to
AD 1322 of :E.Eit ren-xu. Based on this date, we cart estimate for other texts
the date nearest to AD 1322: around 1319-132223
Matsuda 1988.
Biran 1997, pp. 41-44.
22 Matsui 2007, pp. 64-65; Matsui 2008a, pp. 20-22.
23 Matsui 2003.

20
21

621

. Dating Of The Old Uigur Administrative Orders From Turfan

The fact that Group E, as well as Group D, does not comprise the markers
of the Chaghataid domination may well sugest that the Chaghatai Khanate
established their effective control over the Turfan region only after the 1320's:
That is also supported by the oldest Mongol document of the Chaghatai Khanate
from Turfan, which has the date of AD 132624
(F) Chaghatai Khanate period (after late 1320's) [Nos. 57-66 = F1-F10]
In' my previous articles, I established so-called "Chaghatai-Zeichen" as a
prominet marker to date the Uigur administrative orders to the period when the
East Turkestan was under the Chaghatai Khanate. "Chaghatai-Zeichen" is an
emblem shaped as like double-leaves (q?) and it is typically rendered on the
coins issued or minted under the Chaghatai Khanate since the early 14th century,
as well in the seals stamped on Mongolian decrees of the Chaghatai Khanate
excaveted from Turfan25

Nos. 57-59 are stamped with one and the same seal comprising
"Chaghatai-Zeichen", though according to Method IT (as mentioned above).
These three can be from the earliest phase of the Chaghataid domination, when
the stamping method in the administartive orders under the Yuan dynasty was
still alive after their withdrawal.
Nos. 59 & 60 mention to one and the same deliverer in common, and Nos.
60-65 are stamped with one and the same seals according to Method, III. Some
of these seals comprise the "Chaghatai-Zeichen", and so does a square black
seal on No. 66.
Thus they should consist a Group F (Fl-FlO) belonging to the period of
the Chaghataid domination after the late 1320's, though more definite dating is
impossible.
(G) "Qutluy-seals" orders (mid-14th century)
As I pubslihed in my previous article26, the fifteen administrative orders
(Nos. 68-82 = G2-G16) are stamped with so-called "Qutluy-seals" in common.
So they can be categorized as Group G
Later, investigating the photographs of the Arat collection, I found No. 67
& 83 {= Gl & G17) carrying also "Qutluy-seals". Especially noteworthy is the

fact that No. 83 (= 017) is stamped with three of the "Qutluy-seals" as well as
another seal that is the same with one found on No. 84 (= G 18). While my
24

25
26

Matsui 1998b, pp. 8-10; Matsui 2008a, p. 20-22.

Matsui 1998b, pp. 8-10; Matsui 2002; Nyamaa 2005, pp. 53-56.
Matsui 1998b.

622

!'i

Vlll. Milletlerarast TUrkoloji Kongresi 30 Eyliil- 4 Ekim 2013

another article had dated Nos. 84 & 85 (= 018 & 019) written by the same
scribe also to the Chaghataid period27, now they should be categorized into
Group G Also No. 86 (= G20) should belong to~ group, for it is stamped
with the same seals with Nos. 84 & 85 (= 018 & 019).
For dating Group~ the dates of No. 68 (= 02) and Nos. 85 & 86 (= Gl9
& G20) provide clues: The former has the date as ''the Rooster year with the
leap 9th month", corresponding to AD 1357 of TM ding-you 28, while the latter
as ''the Ox year with the leap 12th month" corresponding to AD 1349 of C.:fl:
ji-chou29 AB a whole, the texts of Group G should be given the nearest dated to
them as AD 1349-1362: If not, they may well belong to the mid-14th century or
afterward.
The administartive orders belonging to Group F (except for Nos. 57-59=
Fl-F3) and Group G are stamped according Method m, while those in Methods
I and II do not show any inffiuence of the Chaghataid domination. For this
viewpoint we may say that Method ill was created along with the penetration
and reinforcement of the Chaghataid domination into the Turfan region.
(H) Undated I Fragments [Nos. 87-99 = H1-H13]

These thirteen texts are written in cursive script and surely belong to the
Mongol period. However, they cannot be given definite date or categorized to
any group of (B)-(G), for being so fragmentary or lacking seals.
Nevertheless, there is the possibility to categorize some of them: For
example, Nos. 92, 93, 94 (= H6, H7, H8) still keep the closing form bir#in or
the space filler after the closing form [kiizig-kli tutzu]n at the bottom-right of the
manuscript, where we cannot observe any seal. Thus it may be suggested that
they should have been stamped with seal on the top of the ending lines lost now,
namely according to Method m, which is typical for the manuscripts under the
Chaghataid domination.

If we could find among any collection of the Central AE.ian manuscripts

the smallest fragments to fill the lacuna of these fragmentary texts, this category
would be modified.
5. Transformation of the taxes and labour services related to the
compulsory requisitions
The system oftaxes and labour services in the Old Uigur society has been
27
28

29

Matsui 2002, Texts A & B.

Matsui 1998b.
Matsui 2002.

623

. 'I

"

Dating Of The Old Uigur Administrative Orders From Turfan

the target' of the historical study on the Old Uigur legal documents. We need
much more pages to fully deal with that task, though I would like to place a
preli:nPnary analysis with respect only to the administrative orders.
One of the main purposes of the administrative orders is to ensure that the
delivery at the official compulsory requisition should be counted as or partially
converted into the ordinary tax or labor service. In such cases, the closing form
... -qa I ... -kii I ... san-inta tutzun is used generally after the specific tax or
labour service (see Section 2 above).
While. Groups A & E do not attest the closing form for conversion, from
Groups B, C, D, F, G, H we can extract the attestations of the taxes and labour
services to be converted with the delivery, as displayed below. The terms
displayed with asterisk (*) are those mentioned in the texts but not in the typical
closing form ( ... -qa I ... -kii I ... san-inta tutzun).
!Early Mongol- Yuan period ,

lUnder the Chaghatai Khanate

Undated

Bl

qupci'r

D2

sang

F3

kiizig

G2

kiizig

B2

qupci'r

D3

sang

F4

kiizig

G3

tari'y ayiz*

B3

qupci'r

D4

sangazuq F5

kiizig

G4

kiizig

H5 kiizig

B4

qupC'ir

D5

kiizig

F6

kiizig

G6

tiitiin *

H6 ctzuq*

B5

qupCir

D6

kiizig*

F7

kiizig

G7

yuli"y*, tiltiin*

H7 [kiizig]

B6

[?]

D7

kiizig

F8

[kiizig]

G8

kiizig

H9 kiizigas*

DlO kiizig

F9

[kiizig]

G9

kiizig

Hll qolu8*

FlO kiizig as* GlO qolu8*, kiizig

Cl

azuq

D15 kiizig*

C2

tsang*

Dl6 [kiizig]

Gll kijzig

C3

tsang

D17 yam at

G13 kiizig

C4

[?]

G14 bar

C5

qupCir

G15 borluq-ayi'z*

C6

qupCir

G17 sang*

C7

qupCir

G18 kiizig as*, tiitiin *

C8

qupcir

G20 tiitiin*

624

H 1 qalan*
basi"y sali"y *

VITI. Milletleraras1 Tiirkoloji Kongresi 30 Eylill- 4 Ekim 2013

From these attestations we can recognize: (1) The poll tax qupcir appears
exclusively in Groups B & C, which should belong to the earlier phase of the
Mongol rule; (2) Conversion into tsang ~ sang "land tax" (or sang azuq
"provision as the land tax") is seen in Groups C & D, but not in Groups E, F, G
of the later period; (3) In Groups F & G of the Chaghatai Khanate period after
14th century, the compulsory requisition are mainly converted into kiizig "tum
(of labour service); labour service levied in turn".
The most likely explanation would be that the qupci"r-tax had been
practically integrated to the labour service mentioned as kiizig by the period of
the Chaghataid domination. We can compare the situation with that of Iran
under Dkhanid Mongols.
Throughout their dominion, the Mongols imposed qupcir originally as the
poll tax for the resource of the military provision, the commodities of postal
relay systems and the supplies to the envoys. The term qupCir is frequently
attested together with the labour service qalan (or Mong. alba(n)), in an idiom
Pers. qaliin va qupcilr in the Persian historical sources compiled under the
Dkhanate, or Mong. alba(n) qubciri in the Mongol documents under the Yuan
dynasty. However, the labour service of qalan was often converted by cash, to
be practically integrated into a tax. On the other hand, qalan as a taxation term
survived instead of qupCir: some attestations of qupcur (< qupCir) in Guvayni's
History of the World Conqueror were replaced with qaliin (< qalan) in citation

in RaSid al-Din's Giimi' al-Taviirzb 30

It is most likely that similar integration took place in Uiguristan u,nder the
Mongol domination. In the Old Uigur legal documents qalan was used as a
specific term for a kind of labour service, as well as the generic term including
qavi"t (~ qavut), tatiln, qapi"(y), basi"y, sali"y, siqis, etc. And kiizig could be also
included in qalan as the generic term31
Of course, it is true that still we have many questions to solve: Besides
the administrative orders, we come across several attestations of qupcir in Uigur
documents, though dating them is hardly possible. Also it is not enough clear
why the administrative orders of Group B & C do not mention conversion to
Uig. kiizig as a labour service, which is a calque of Chin. ~ fan ''tum (of a
labour service)" of the Tang times 32 and must have .been.extant from the West
Uigur period. We need much more attestations and comprehensive analysis,
even broadening our horizons to the taxation terminology as a whole.
3'1londa

1961, Honda 1969 =Honda 1991, pp. 209,287-289,298-299.

2005, pp. 72-74.
32Matsui 1998a; Matsui 2008b.
31 Matsui

625

Dating Of The Old Uigur Administrative Orders From Turfan

6. Conclusion
,Through the investigation in this paper, we may now surely establish the
chronological distinction of the Old Uigur administrative orders from the West
Uigur period, via Early Mongol period of Pre-Yuan and Yuan Period, then
finally to the Chaghataid period: The difference of their historical background is
enough reflected in the textual information itself as well as in the method of
stamping seals or in the shape and appearance of seals.
The basically common formula of the orders suggests that the
administration of the compulsory requisition was almost consistent during the
9th -14th centuries, even though some change in the practice of requisition and
delivery intervened during the 13th century as indicated by the extraordinary
formula of Group C. Probably it may well concern any social transformation or
administrative reconstruction, which could have been caused by the Mongol or
Yuan dynasty domination to impose the brand-new taxes or labour services into
Uiguristan. Still more, we can observe the chronological difference in the taxes
and labour services converted with the requisition and delivery, which also can
be derived from the transformation of the systems of taxes and labour services.

That conclusion will be the basis for the further historical investigations
and arguments on the administrative systems and the Old Uigur society.

,.

I' I:,.

I
626

VIII. Milletleraras1 Tiirkoloji Kongresi 30 Eyliil- 4 Ekim 2013

KAYNAK(::A
A.RAT, Re~id Rahemti, ''Eski Tiirk hukuk vesikalan", Journal de la Societe
Finno-Ougrienne 65-1, Helsinki 1964, pp. 11-77.
BIRAN, Michal, Qaidu and the Rise of the Independent Mongol State in Central Asia.
Curzon, Richmond 1997.
GENG, Shimin, ''Edition of Some Uigur Documents", Wenwu 1980-5, Bejing 1980, pp.
83-84.
HAMBIS, Louis, Les chapitre CVJI du Yuan che, E. J. Brill, Leiden 1945.
HONDA, Minobu, "The Taxation Reforms of Ghazan-khan", Annual Reports on
Cultural Science Hokkaido University 10, Sapporo 1961.
HONDA, Minobu, "The Mongols and Islam", Iwanami koza sekai rekishi Vol. 8,
Iwanami shoten, Tokyo 1969.
HONDA, Minobu, Historical Studies in the Mongol Period, University of Tokyo Press,
Tokyo 1991.
MATSUDA Koichi, "Melig-Temiir and His Ulus", Inner Asian Studies 4, Tokyo 1988,
pp. 91-102.
MATSUI, Dai, "Some Taxation Systems in Uiguristan under the Mongols and Their
Origin", Toyo gakuhO 79-4, Tokyo 1998a, pp. 026-055
MATSUI, Dai, ''Uigur Administrative Orders Bearing 'Qutluy-seals"', Studies on the
Inner Asian Languages 13, Osaka 1998b, pp. 1-62, +pls. I-XV.
MATSUI, Dai, "Taxation and Tax-collecting Systems in Uiguristan under Mongol Ru1e",
Research on Political and Economic Systems under Mongol Rule, Osaka
International University, Osaka 2002, pp. 87-127.
MATSUI, Dai, "The Yalin-Texts: Six Uigur Administrative Orders from the Early
Fourteenth Century", Studies in the Humanities Hirosaki University (Volume of
Cultural Sciences) 10, Hirosaki 2003, pp. 51-72.
MATSUI, Dai, ''Uigur Peasants and Buddhist Monasteries during the Mongol Period:
Re-examination of the Uigur Document U 5330 (USp 77)", Toyoshi kenkyii 63-1,
Kyoto 2004, pp. 1-32.
MATSUI, Dai, "Taxation Systems as Seen in the Uigur and Mongol Documents from
Turfan: An Overview", Transactions of the International Conference of Eastern
Studies 50, Tokyo 2005, pp. 67-82.
MATSUI, Dai, "An Uigur Decree of Tax Exemption in the Name of Duwa-Khan",
Shinzhlekh Ukhaany Akademijn Medee 2007-4, Ulaanbaatar 2007, pp. 60-68.
MATSUI, Dai, "An Uigur Decree of Tax Exemption Issued under Du'a-Khan and
f{elated Problems", Studies in the Humanities Hirosaki University (Volume of
Cultural Sciences) 19, Hirosaki 2008a, pp. 51-72.
MATSUI, Dai, ' 1Uigur kiizig and the Origin of Taxtion System in the Uigur Kingdom of
Qoco", Turk Dilleri Aratzrmalarz 18, istanbul2008b [20 13], pp. 229-242.

627

Dating OfThe Old Uigur Administrative Orders From Thrfan

MATSUI, Dai, "Bezeklik Uigur Administrative Orders Revisited", Studies in Turkic

Philology: Festschrift in Honour ofthe 80th Birthday ofProfessor Geng Shimin,
Central University for Nationalities Publisher, Beijing 2009, pp. 339-350.
MATSUI, Dai, ''Uigur Peasants and Buddhist Monasteries during the Mongol Period.
Re-examination of the Uigur Document U 5330 (USp 77Y', "The Way of
Buddha" 2003: The JOOth Anniversary of the Otani Mission and the 50th of the
Research Society for Central Asian Cultures, Ryfikoku University, Kyoto 2010a,
pp. 55-66
MATSUI, Dai, ''Three Uigur Administrative Orders for Delivery of the 10th-12th
Centuries", Studies in the Humanities Hirosaki University (Volume of Cultural
Sciences) 24, Hirosaki 2010b, pp. 25-53.
MORIYASU, Ta.kao, "On the Uighur Buddhist Society at Ciqtim in Turfan during the
Mongol Period", Splitter aus der Gegend von Thrfan: Festschrift for Peter Zieme
anliifllich seines 60. Geburtstags, 1;)afa.k Matbaacthk, istanbul I Berlin, 2002, pp.
153-177.
MORIYASU, Takao, ''Froll,l Silk, Cotton and Copper Coin to Silver", Thrfan Revisited,
Dietrich Reimer Verlag, Berlin 2004, pp. 228-239.
MORIYASU, Ta.kao, ''Epistolary Formulae of the Old Uighur Letters from the Eastern
Silk Road (Part 1)", Memoirs ofthe Graduate School ofLetters Osaka University
52, Osaka 2011, pp. 1-86.
NAYMAA, Badarchi, The Coins of Mongol Empire and Clan Tamgha of Khans
(XIII-XIV). Private Publication, Ulaanbatar 2005.
OZETGIN, A. Melek, Eski Tiirk Vergi Terimleri, KOK Sosyal ve Stratejik
Ara~brmalar Vakfi, Ankara 2004.
SDK= Nobuo YAMADA, Sammlung uigurischer Kontrakte l-ID, Ed. Juten Oda, Peter
Zieme, Hiroshi Umemura and Ta.kao Moriyasu, Osaka University Press, Osaka
1993.
UMEMURA, Hiroshi, ''Public Power in Thirteenth-century Uighuristan", Toyo gakuhO
59-1/2, Tokyo 1977, pp. 01-031.
UMEMURA, Hiroshi, "A Re-examination of the Uyghur Document 'SJ Kr. 4/638"',
Journal ofLiberal Arts Faculty RisshO University
20, Tokyo 1987a, pp. 35-87.
I
UMEMURA, Hiroshi, "The inaner Family in Turfan Uyghur Society", Toyoshi kenkyii
45-4, Kyoto 1987b, pp. 90-120.
USp = Wilhelm Radloff, Uigurische Sprachdenkmiiler. Ed. Sergej Malov. Verlag der
Akademie der Wissenschaften der USSR, Leningrad 1928.
VOHD 13,21 = Simone-Christiane Raschmann, Alttiirkische Handschriften 13,
Dokumente, Teil 1 (Verzeichnis der Orientalischen Handscshriften in
Deutschland XIII, 21 ), Franz Steiner Verlag, Stuttgart 2007.
VOHD 13,22 = Simone-Christiane Raschmann, Alttiirkische Handschriften 13,
Dokumente, Teil 2 (Verzeichnis der Orientalischen Handscshriften in
Deutschland XIII, 21 ), Franz Steiner Verlag, Stuttgart 2009.

628

i .I
I

: .ji
:r

,I

VIII. Milletlerarasi Tiirkoloji Kongresi 30 EylUl- 4 Ekim 2013

P.S.

This work was supported by JSPS KAKENHI Grants (Nos. 22520707 and
22251 008), as well as the Research Grants in Humanities of the Mitsubishi
Foundation (No. 23224).

List ofTexts
1

A1

U5329

A2

Or. 12207 (A) 06

A3

*U9231

Bl

Sl. Uig. 14 (1)

B2

Sl. Uig. 14 (2)

B3

SI. Uig. 14 (3)

B4

Sl. Uig. 14 (4)

8.

B5

*U9252 (a)

B6

*U9252 (b)

10 B7

SI 0. 39 (a)

11 B8

SI 0. 39 (b)

12 C1

SI3Kr. 30b

13 C2

SI 3Kr. 30c

14 C3

SI3Kr. 29b

15 C4

SI3Kr.-29a

16 C5

*U9259

17 C6

*U9255

18 C7

*U9258

19 C8

*U9256

20 C9

*U 9188a

21

C10 *U9188b

22 Cll *U 9188c
23 D1

SIKrI 149 (1)

629

I
I

I~ j

jj,!

li'

Dating Of The Old Uigur Administrative Orders From Turfan

I
I'

24 D2 SIKrI 149 (2)

25 03 SIKrI 149 (3)
26 04 *U9257
27 D5 U 5665r(1)
28 06 U 5665r (2)
29 07 SIKri 154
30 D8 U5315
31 09 [Geng 1980 I]
32 010 [Geng 1980 II]
33 011 [Geng 1980 III]
34 012 [Geng 1980 IV]
i

35 013 [Geng 1980 V]

!
1:

36 D14 MIK III 6238

37 015
38 016

u 5314
u 5483

' 1:

I
I
I! !.:
I

39 017 *U9241
40 018 *U9250
41

019 OtRy2013

!I
'1,

42 020 U 5790 + *U 9261

43 E1

MIK III 6972b+c

44 E2

*U9234

45 E3

Chfu 7213v + *Ch/U 9003v

46 E4

*U9235

47 E5

*U9233

48 E6

U 5283v

49 E7

Ch/U 7370

50 E8

Ch/U 6910

I.I'

i!

630

,I

VIII. Milletlerarasx Tfukoloji Kongresi 30 Eyliil- 4 Ekim 2013

51

E9

Ch/U 6514

52 ElO *U9236
53

Ell U 6756v + U 6757v

54 E12 U5301
55

E13 Ch/U 6163v

56 E14 *U9268
57 Fl
58

F2

*U9240
U5287

59 F3

*U9238

60 F4

*U9247

61

F5

SI Kr IV 604(a)

62

F6

SI Kr IV 604(b)

63

F7

SI Kr IV 608(a)

64 F8

SI Kr IV 608(b)

65

F9

SIKriV619

66 FlO U5308
*U9260

67

Gl

68

G2 U5300

69

G3

70

G4 U5325

71

G5

72

G6 U5309

73

G7 U5291

74

G8

OtRy8127

75

G9

i:O.Kut. Demirbll 535

76

GlO U5303

K 7719
U5288

77 Gll U5316
631

Dating Of The Old Uigur Administrative Orders From Turfan

78 G12 U 5967
79 G13 U 5297
80 G14 U 5323
81

G15 U 5324

82 G16 U 5510
83 G17 U5514+*U9246
84 G18 U 5284
85 G19 U 5285
86 G20 U5292
87 H 1 U 5296
88 H2 *U9254
89 H 3 [no number]
90 H 4 Ch/U 7300v
91 H5 *U9239
92 H6 U6160
93 H7 U5691
94 H 8 U 5425 + U 6119 + U 6256 + *U 9249
95 H9 U5913
96 H10 OtRy 1111
97 Hll Ot Ry 2007 + Ot Ry 2492 + Ot Ry 2510
98 H12 MIK III 6972a
99 H13 U 6123
Signature of Collection
Ch/U = Berlin Brandenburg Akademie der Wissenschaften, Berlin (* for
the lost manuscript). Cf. VOHD 13,21 & VOHD 13,22.
i.U.Kiit =istanbul Universitesi Merkez Kiitiiphanesi, istanbul.
K =National Museum of China, Beijing.
632

VIII. Milletleraras1 Tiirkoloji Kongresi 30 Eyliil- 4 Ekim 2013

MIK = Museum fiir Asiatische Kunst, Berlin.

Or. = British Library, London.
SI = St Petersburg Institute of Oriental Manuscripts, Russian Academy of
Science, St. Petersburg.
Ot Ry = Ryfikok:u University Omiya Library, Kyoto
U = Berlin Brandenburg Akademie der Wissenschaften, Berlin (* for the
lost manuscript). Cf. VOHD 13,21 & VOHD 13,22.

633

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