History of Kazakhstan in the late medieval period of the XIII 9786012473476

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MINISTRY OF EDUCATION AND SCIENCE OF THE REPUBLIC OF KAZAKHSTAN THE AL-FARABY KAZAKH NATIONAL UNIVERSITY

Zhanat Kundakbayeva HISTORY OF KAZAKHSTAN IN THE LATE MEDIEVAL PERIOD OF THE XIII – THE FIRST THIRD OF THE XVIII CENTURIES Textbook

Almaty azakh University 2011 1

 63.2(3)  88 Recommended for publication by Academic Council of the al-Faraby Kazakh National University’s History, Ethnology and Archeology Faculty and the decision of the Editorial-Publishing Council

R e v i e w e r s: doctor of historical sciences, professor G. Sultangalieva candidate of historical sciences, assistant professor B. Zhanguttin candidate of historical sciences, assistant professor Sh. Tleubayev

Kundakbayeva Zh. History of Kazakhstan in the late medieval period of the XIII - the first third of the XVIII centuries): textbook. – Almaty: azakh University, 2011. - 136 p.

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ISBN 978-601-247-347-6 In the educational supplies for the students of historical specialties has been provided extensive materials on Kazakhstan's history of the late medieval period. Here found their reflection both recent developments on Kazakhstan medieval studies, excerpts from historical sources – Muslim author’s works, teaching materials, tests that help students understand better the course. Many of the disputable issues of the times are given in the historiographical view. The educational supplies is designed for students of historical professions, teachers, undergraduates, and all, who are interested in the history of the Kazakh people.

 63.3(5)72

© Kundakbayeva Zh., 2011 © Al-Farabi KazNU, 2011

ISBN 978-601-247-347-6 2

INTRODUCTION

This edicational supplies «History of Kazakhstan in the late medieval period of the XIII- the first third of the XVIII ceturies» provides a broad survey of developing in political, social and cultural history of Kazakhstan from the XIII to the first third of the XVIII century, as well as introducing you to debates about the Kazakh’ origin which continue till nowadays. The events, taking place on the territory of modern Kazakhstan and the adjoining areas at the beginning of the XIII until the first third of the XVIII centuries are chronologically shown in it. The course concludes with the entering pf a part of Kazakhstan into the Russian Empire. It was the time of radical changing of the process of historical development. This period entered as a part of the basic course for bachelor of History specialization - “Ancient and medieval history of Kazakhstan”. Three main stages are easily looked over. The first – is the time, when Kazakhstan was a part of the Mongolian State system. The second period was outlined with the process of disintegration of the Mongolian Empire. It led to forming a new political structure. And new states appeared on the territory of Kazakhstan in the XIV-XIV centuries on itcs base. The third stage is the process of arising the first Kazakh State – The Kazakh Khanate in the middle of the XV century. The main idea of the course is the thought, that Kazakh statehood is a product of the long historical development, originated in the ancient times. The foundation of Kazakh statehood promoted consolidation of the Kazakh people and forming ethnic territorial integrity, development of material and spiritual culture of the Kazakh people. Also we suggest you the controversy about the origin of the Kazakh Khanate state, the impact of the Mongol invasion of the XIII century Issues in economic and social history, such as the rise of serfdom, will be examined. What concerns the main problems of the course there are the following: x Ethno-genesis of the Kazakh nation. We'll suggest it historiographically, because there are a lot of debatable and unsettled questions. Our goal is that students will have a notion about them. x Individual rulers-Kazakh Khans will also come under scrutiny. Why was Qasim Khan, the ‘gatherer of the Kazakh lands’, so successful and so popular? What is the significance of the Tavakkul'campaign to Maverannahr at the end of the XVI century for novadays? 3

x The next important problems are historical characteristics of the Kazakh khans (Janibeg Khan, Qasim Khan, Ishim Khan, Shighay Khan, Tevke Tevekkel, Tevkel, possibly a Turkic form of Tavakkul). We are greatly interested not only in their activities, but also in their roles in developing the Kazakh State as a centralized and united (integral) political structure. x And we pay attention to the political history of the Kazakh Khanate, its internal (domestic) and foreign policy. x The problems of Kazakhstan history's medieval sources studies also will be spheres of our interests. There are samples of some eastern sources, such as Persian and Chagataids chronicles in translation. x We'll study the scholars, who made their contribution to the medieval history of Kazakhstan. There are not only pre-revolutionary orientalists as V.G. Tizengauzen, V.V. Bartold, V.V. Velyaminov-Zernov, A. Levshin, Ch. Valihanov, but also modern – S.K. Ibragimov, B.A. Ahmedov, T.A. Sultanov, K.A. Pishchulina, B. Kumekov, M. Abuseitova. The manual reflects new approaches to light certain problems of Kazakhstan's Medieval Ages, given the historical knowledge of the system, taking into account the achievements of Soviet and foreign science. The aims of the manual are: 1. To give students understanding of the key issues in Kazakhstan history to the end of the XVII century. 2. To develop awareness of the historiography and sources for studying medieval history. 3. To help students to develop analytical and communication skills, both written and oral. 4. To give a firm grounding in medieval Kazakhstan history for students who wish possibly to continue postgraduate studying. The material is constructed in such a way that inextricable links between ethno-political development of Kazakhstan in the late medieval period (the beginning of the first third of the XIII-XVIII centuries) with the previous periodsancient and Turkic (VI-XII century). After each didactic unit there are questions for self-assessment of students, test tasks. They will control the volume and quality of the learnt material at each stage. Educational-methodical complex was built in accordance with the requirements of the credit and forms of training aimed at developing students' specific skills and abilities: Enhanced ability to understand and appreciate how the people lived, acted and thought in the past in the context of the complexity and diversity of historical situations, events and intellectual outlooks. Enhanced ability to use and evaluate texts and other source materials both critically and empathetically, as well as appreciating the limits and challenges of the extant record. The critical evaluation of texts should include understanding of the questions which historians ask and why they do so. By the end of the course students will have read and mastered a wide selection of historical works drawn from the historiography on this period. 4

Enhanced ability to frame an argument in a sustained manner both orallyand in writing. Arguments should be structured, coherent, relevant, andconcise, and should take into account all aspects of a given problem. The tasks for independent study will help students forming enhanced generic skills: self-direction and self-discipline, independence of mind, and initiative, the ability to work with others and to have respect for the reasoned views of others, the ability to identify, gather, deploy and organize evidence, data and information; and familiarity with appropriate means of achieving this analytical ability and the capacity to consider and solve problems, including complex problems.

 Part KAZAKHSTAN IN THE STRUCTURE OF THE MONGOLIAN EMPIRE AND AS A PART OF THE MONGOLIAN ULUSES (XIII-XV CC.)

1.1 Central Asia before the Mongolian invasion According to numerous writing sources in the XII-the beginning of the XIIIcenturies the a territory of modern Kazakhstan was occupied by a lot of state unions of Turkic speaking tribes-of the Qipchaq, Kangly (Qanglis), Karluks, Naimans. And also there were two empires on the territory of Central Asia – the Kara Khitai Empire and The Khwarezmid Empire. The main part of the territory of present Kazakhstan was a part of possessions of the Qipchaqs. Beginning with the end of the XIth century Kazakhstancs Steppe from the Irtysh River to the Volga was inhabited by the Qipchaqs. The historical role of the Qipchaqs, peculiarities of their political structure and socio-economic development and also on the international arena has been studied earlier. Thatcs why not paying attention on these questions, we will consider the political map of other regions of present Kazakhstan before the Mongolsc invasion. As you know the territory of present South-Eastern, Southern Kazakhstan and territories of Maverannahr entered the structure of the Kara Khitais possessions. The borders of this Empire were not constant,they often changed. After the collapse of the Tang Dynasty in 907 AD the Chinese ruling class retreated from south and control of Northern China fell into hands of non-Chinese people. In 916 the Khitais - a semi-nomadic tribe from southern Mongolia, conquered Northern China and established the Liao Dynasty of northern China. In the early XIIth century the Khitais were overthrown by the Jurchids, who replaced the Liao Dynasty with the Jin Dynasty. Some time in the mid of the XIIth century the Tanghuts, a Tibetan people, established the Xi Xia Empire in western China. Meanwhile the Chinese rulers established the Song Dynasty in the south of the 6

Yellow River (Huang He) in 906. Thus, during the rise of the Genghis Khan China was divided into three states. After the Khitais were overthrown from Northern China, a part of their nobility fled westward to the south of Lake Balkhash. There they established the Kara Khitai Empire. The west of the Kara Khitai was the Khwarazmian Empire of Persia, which formed in the late of the XIIth century. The formation of the Kara Khitai Empire was caused by the invasion of nomadic tribes from Central Asia. It was founded by the kidans who escaped from Chzhurzhen expansions. In the memory of Lyo Kidan Empire they named. The capital of the Si Lyo – Balacagun was situated on the Chu river. Developed agricultural areas of Fergana and Maverannahr entered the State structure. By the end of the XIIth century began weakening Si Lyocs power. In 1210 the Kara Khitais were defeated by the The Khwarezmid cs army. As a result Maverannahr was separated from the Kara Khitai Empire. That period the Naimansc ruler Kuchluk who had escaped from Genghis Khan took his refuge at the Kara Khitai ruler and even had got married his daughter. Having gartered the Naimans, who had escaped from the Mongols Kuchluk began raiding the Kara Khitai cs territories. Soon he managed to take the control over all the Gurhancs possessions. Formally Gurhan remained on the throne but the real governor became Kuchluk (as an adviser of Kara Khitai cs governor). After Gurhancs death, power officially passed to Kuchluk who ruled till the Mongol invasion 1215. In the Northern part of Semirech'e there was the Karlukcs small possession the Muslim rules of which had the title of aprslan-khan - traditional for one of the Karahanidcs brunch. The Karlukcs principality of the Northen Semirech'e was the vassal of the Karakitaev. In the Northern part of Semirech'e (also Dzhetysu; from Kazakh zheti [“seven”] and su [“water”]) was the Karlukcs small possession the Muslim rules of which had the title of arslan-khan- traditional for one of the Qarakhanidcs brunch. The Karlukcs principality of the Northen Semirech'e was the Kara Khitai cs vassal. Before the Mongol invasion territories between the Talas, Chu and Issyk Kul lake were occupied by the Kanglys. Base in the Syr-Darya with itcs fortified cities and adjoining areas, and also Maverannahr with oblast adjoining to it belonged to Khorezm Shah Muhammad. In the ethnogenetic processes of the beginning of the II millennium the important role played the Naimans and the Kireits. As the analyses of the Kazakh genealogical legends show, they entered the Kazakh Nationality. But their appearance on the territory of Kazakhstan was connected with the escape from Genghis Khan at the beginning of the XIIIth century. If to speak about economic development of Kazakhstan before the Mongol invasion two ways of life have been presented: nomadic and settled-agricultural. 7

The center of settled civilization of Kazakhstan at that time was the South, especially Semirech'e. The Xth-XIth centuries were the time of growth of cities in Kazakhstan both old – Otrar, Taraz, Isfidzhab, Kulan, Yangikent and new – Kayalik, Ashnas, Barlychkent. Just in the Ili valley in The Xth – XIIIth centuries appeared over 56 cities. Till the Mongolian invasion in the south of Kazakhstan and in Semirech'e widely spread the monetary trade. Two Monetary courts are known- Taraz and Isfidzhab. In the second decade of the XIIIth century cities of Southern Kazakhstan passed under Khwarezmiacs power. Khwarezm has been known also as Chorasmia, Khwarezmia, Khwarizm, Khwarazm, Khorezm, Khoresm, Khorasam, Harezm, Horezm, and Chorezm. But Semirech'e was under the Kara Khitai cs power and their vassals. Spiritual culture of Kazakhstan a component of which was religion, corresponded to the high level of economic relations. Worship of the Heaven (Tengri) and the Earth-water (Jern-sou), and also, a female deity to Umaj-patroness of the centre and children was a basis of religion of the Turkic people. Along with actually Turkic beliefs among the population were spread other religious systems: the Buddhism, The Manichaean religion, Christianity and Islam. Especially at the end of the XIIth-beginning of the XIII centuries Islam role in system of beliefs of the population amplified. As a whole, it should be noted, that religious notions of the settled and nomadic population were characterized by variety. In the X-XII centuries on the territory of Kazakhstan and Central Asia in the conditions of similarities of economic-cultural types, languages and life likeness of the Qipchaqs, Kanglus, Karluks, Kara Khitais, Naimans and Kireits took place the process of ethnic consolidation of these tribes and tribal unions, main knots of ethogenesis, formed historical preconditions of formating nations. At such level of social and economic, ethno political and cultural development found the people of Kazakhstan invasion of the Genghis Khan. The rise of Genghis Khan The rise of Genghis Khan was one of the most dramatic in history, and has hardly, if ever, been paralleled in history. No one rose from such a low position: as a part of a family eating roots and rodents for survival; and yet end up achieving so much in the end Much of what we know about Genghis' early life comes from the famous Mongol script, The Secret History of the Mongols, which is a record of Mongol history written in 1240. The bulk of the Secret History describes Genghis Khan's early life and is written with numerous dialogues between characters. When the Persian historian Rashid ad-Din wrote The History of the Tribes, he made numerous contradictions with the Secret History, which he had access to when he wrote his script. However, the contradictions are centered on details, and there is a good agreement between the two sources on the general flow of the story. 8

The Early Childhood of Temujin Temujin, the one who would become Genghis Khan, was born in 1167. His father was Yesugei, the head of the Kiyad sub-clan and leader of a small coalition of other Mongol clans. When Temujin was nine, his father brought him to visit the Okhunugud tribe. During the visit, Yesugei met Borte, the daughter of the Okhunugud leader (Dei the wise), and found her to be quite intriguing. Yesugei proposed marriage between her and Temujin, which Dei gladly accepted. As a steppe tradition, Temujin would be left with his future wife's family for a period of time. Leaving Temujin behind, Yesugei proudly rode back to his camp. However, misfortune struct. On the way, he met a group of men and stopped for a feast. Little did he know that they were Tartars, archenemies of the Mongols. While they feasted together, the Tartars secretly poisoned Yesugei's food. When Yesugei finally returned to his camp, he was already near death. Temujin was summoned back to assume leadership of the coalition, but the other clan leaders were not impressed by his young age. The other clan leaders of the coalition abandoned Temujin's camp, and soon, almost all of his Kiyad clansmen left as well. In the end, all that was left of Temujin's camp was his mother, his four siblings, his two stepbrothers, and a family servant. Temujin and his ragtag clan took a life of hardship, living off of plant roots and what little there could be found. One day, when Temujin and his brother Kasar caught a figh, his half brothers snatched it out of his hand and ate it for themselves. In such desperate situation, a single fish was valuable, and could mean the difference between survival and starvation. Temujin was outraged. He got his bow and shot his half brother, Bekter, at close range. At an early age, Temujin had developed the personality that would mark his personality when he would become Genghis Khan. Although we often think of him being exceedingly brutal against his enemies, he was also exceedingly kind to those loyal to him. Temujin pardoned his other half brother, and the two would become good friends. Despite the hardships and the murder of his half brother, Temujin and his family lived on. Temujin had many adventures, including capture by the Tayichigud clan, and dealing with raiding horse thieves. However, Temujin did not seem to be weakened by any of these events. In fact, he kept getting stronger. At age 15, he was old enough to return to Dei's camp and claim his wife, Borte. Without doubt, Temujin had great personal strength, but he still had no political power, and a private army numbering only five men. Shortly though, this would change. One day, the Merkids Tribe attacked Temujin's camp. Temujin and his family fled safely into the forests, but Borte was captured. However, the Merkids were a strong tribe and he was in no position of taking them on. But Temujin realized long ago that his father had an anda (Blood sworn brothers), Toghrul Khan of the Keyerids. Temujin traveled to Toghrul and asked for his help. Since Toghrul had such great memories with Yesugei, he agreed to aid the youngster. He raised an 9

army of 1500 men and enlisted his ally, Jamugha, who brought an additional 1500 men. Meanwhile, Temujin sent messages to the former clansmen that used to serve under his father and was able assemble a force of about 500 men. Temujin' army was by far the smallest, but it was the first one ever in his command. The three men marched together in front of their armies and dealt a crushing blow against the Merkids. During the battle, Temujin recovered Borte. Through alliances and friendships, Temujin was able to hold military power for the first. Coincidentally, one of leaders in trio alliance, Jamugha, was also a Mongol, and had been anda with Temujin during childhood. Jamugha and Temujin became reunited friends and together they gained control over a good amount of Mongol clans. They became a force to be feared, and to an extent it seemed as if though the fallen Mongol kingdom was in the stage of resurrection. One day, while Temujin and Jamugha were riding together in front of their men (in the steppes, whole nomadic tribes often traveled together as a single unit), Jamugha suggested to Temujin to stop and pitch tent. Temujin, however, "did not understand" Jamugha's words, and after "asking his mother what Jamugha meant", he decided to keep marching while Jamugha stopped. As the two leaders separated, the Mongols were dumbstruck, but it was clear that they had to choose which leader to follow. Some went with Temujin and some went with Jamugha. The Mongol that went with Temujin swore loyalty and in return, Temujin swore to lead them to glory. Shortly later, in a huge assembly, Temujin was proclaimed Genghis Khan (1187). Obviously, Temujin had used Jamugha and Toghrul first as a protector and then as took advantage of the situation and used them as a source from which to "steal" power. Almost immediately after Temujin was proclaimed Khan, one of Jamugha's tribesman stole horses from tribesmen under Genghis Khan. This simple event escalated into war. Fighting broke out and Genghis Khan was defeated. What happened next is a confusing timeframe of ten years unmentioned in the Secret History. According to Rashid ad-Din, Genghis khan was deserted by his followers, and was later captured by his enemies. Possibly, he was exiled to China. He returned several years later, defeated Jamugha and re-secured power. Some time around Genghis' return, Toghrul Khan lost the throne in his tribe and was exiled to Kara-Khitai. He was then restored to power by Genghis Khan. The Secret history does not describe these events, but instead, skips ahead a decade later to 1198 to, in which Genghis and Toghrul victoriously campaigned against the Tartars. Meanwhile, Jamugha created powerful alliances with the Merkids, Naimans and the Oyirads. Similar to how Temujin was proclaimed Genghis Khan, Jamugha was named Gur Khan. Tension between Jamugha and Genghis grew again. Finally, Jamugha gathered his allies and marched against Genghis for a decisive battle at Koyitan. Upon hearing the threat, Genghis called Toghrul Khan to join him again his anda. Toghrul agreed, despite the fact that he and Jamugha once allies. The two armies met at Koyiten for a great battle but weather became disfavorable and suddenly 10

the two armies were caught in a snowstorm. The battle was called off and both armies decided to withdraw. However, during the withdrawal, luck was with Genghis and he was able to catch the Tayichigud, an old rival clan to Genghis now serving under Jamugha. After a fierce battle the Tayichiguds were destroyed. The long awaited clash between Genghis and Jamugha was broken up, and the two sides ceased fire. But Genghis did not waste time enjoying peace. He attacked the already weakened Tartars, and in 1202, the long time enemy tribe were finally defeated and put to the sword. Meanwhile, Toghrul Khan was becoming old and weary. Convinced by his son, the tired and confused old khan decided that it was no longer wise to remain as Genghis' ally. Toghrul plotted to assassinate Genghis at an assembly, but unfortunately for him, his plans were overheard and reported it to Genghis. Genghis decided to move eastward to a safer location. As Genghis rode eastward, an army appeared on the horizon with Toghrul and Jamugha riding at its front. Genghis was forced to fight. He was heavily outnumbered but was able to hold off the onslaught until nightfall, where he was able to escape to the Khalka River. Genghis' army was heavily damaged, but along the river, he met various friendly tribes who decided to join his ranks, including the Okhunuguds (the clan of his wife). While Genghis was rebuilding his army, he suddenly discovered that Toghrul's had followed his path and was closing in. This time, Genghis decided it was time to eliminate Toghrul. He quickly assembled his men at night and surrounded Toghrul's camp in a surprise attack. The battle lasted three days but in the end Toghrul was finally defeated. Toghrul's Kereyids tribesmen were slaughtered and the survivors were assimilated into Genghis' tribe. Toghrul himself escaped but only to be killed later by a patrolling Naiman warrior. With Toghrul defeated, the only ones left to seriously challenge Genghis were Jamugha and his ally, Tayang Khan of Naimans. In 1204, Genghis assembled his men and marched through the Keluren Valley into Naiman territories. Genghis continued advancing until he reached Mount Khangkharkhan, where the army of Tayang Khan, later joined by Jamugha, awaited him. Genghis and his brothers, with his hounds of war (his generals) led a ferocious attack and Tayang and Jamugha were driven up the mountain. Tayang and Jamugha held out into the night but in the end Genghis was victorious. The Naimans and Jamugha's seven Mongol Clans surrendered and were assimilated into Genghis' "Empire." Jamugha escaped from the battle, but was completely deprived of power and was forced into a life of banditry. With the Naimans defeated and Jamugha's Mongol clans surrendered, Genghis had nearly gained complete mastery of the steppes. There were only two minor groups left to conquer. There were the Merkids, who had regrouped after suffering several defeated including when Genghis first allied with Toghrul. Finally there were the Oriats, in the extreme north of Mongolia. The Merkids were annihilated 11

shortly after the victory over the Naimans, and the latter, the Oriats, would eventually be defeated later on. Jamugha, defeated as a Khan, was soon defeated as a bandit leader. His gang of bandits betrayed him and turned him in to Genghis Khan. Although the two had been strong political enemies, Genghis remembered that they were still andas, that "when two men becomes anda, their lives become one." The relationship between Jamugha and Genghis is somewhat interesting. Although they were political rivals, they never considered themselves to be personal enemies. They fought each other only for conquest and control over other people. Now that Jamugha was no longer a political power, Genghis was ready to fully accept Jamugha into his service, but Jamugha declined. He stated that his anda had surpassed him in every way and thus there is no longer a place for him. Jamugha requested an execution and Genghis honored his request. According to the Secret History of the Mongols, he had Jamugha executed without shedding his blood and buried his bones with honor. The Khuritai of 1206 – Building the Empire In the year of the Tiger, 1206, the whole steppes stood watching as the great Khuriltai (assembly) was being held and the implied enthronement of Genghis Khan as emperor of the steppes. As emperor of the steppes, Genghis wanted to ensure the longevity of his empire. It is somewhat of a daunting task, as not so long ago his empire had been a chaotic battleground of many nomadic powers. To do this, Genghis created a system that would stress the unity of the empire, and would wipe out tendencies towards local tribal authorities. The entire population was divided into 95 military units, each responsible for maintaining 1000 warriors. Each of these units had a commander personally assigned by Genghis Khan. During times of war, each commander was expected to effectively assemble a thousand men. Failure to do so would mean removal from office and a new commander from the thousand would be elected. To ensure availability of warriors, every male at the age of fifteen were required for military duty. Genghis also created various offices of power within his empire, including imperial administrators and the chief justice. Furthermore, he decreed a number of specific laws, including the toleration of religion, exemption of priests in taxation, the prohibition of contaminating running water, and death penalty for crimes such as robbery, adultery, military desertion, and continual bankruptcy of merchants. All of these laws and decrees made by Genghis Khan were compiled into one piece, the Great Yasa. While Genghis is often thought to be a vicious barbarian, there is no doubt that he was also a brilliant statesman. The new military superstructure ensured a stable and militaristic society, but was not enough to conquer the world. Genghis went on to make several military reforms, including a decimal organization of the army (from units of 10 to 10,000 men), standardization of equipment, a strict system of regularly performed military drill, and a strict system of military laws. All of these regulations installed a sense 12

of unity and maximum discipline to men who already had a lifetime of experience in horsemanship and archery. Every man in the Mongol army was both a lifetime warriors and a soldiers fighting as a part of a group -something rarely achieved before contemporary militaries. The Mongol army soon became the most disciplined, experienced, and fear less force the world had yet to see. Genghis Khan invasion Throughout history of the steppes have always been stages for continuous struggle between various nomadic groups. As time passed certain groups were able to rise and gain mastery over the others. However, few have ever been able to create a lasting empire. In the late XIIth century, various Turkish and MongolTungusic tribes roamed the steppes of Mongolia. The Naimans and Kereyidsc tribes controlled western Mongolia, the Oirats controlled the north areas, the Merkids controlled the south of Lake Baikal, and the Tartars the east of the River Kerulen. The Mongols were located between the Tartars and the Merkids. These groups are referred to as Tribes. Within these tribes are divisions called clans. Note that the clans within a tribe are not always united, as with the case of the Mongols during the rise of Genghis Khan. It must also be noted that the common phrase saying that Genghis Khan "united the Mongol tribes" is a misleading statement. This error comes from the lack of distinguishment between Mongols and non-Mongols and between "tribes" and "clans". He united both the Mongol Clans (that used to be a united tribe) and other "non-Mongol" tribes such as the Naimans, (whose clans were united, unlike the Mongols). The nomadic nobility supported the khan only under a condition if war – a constant source of profit would not only stop but on the contrary, would extend. Therefore Genghis -khan became on a way of external conquests. He had a plan – invasion of the whole Eurasia, to the last sea where the Mongolian horsescs hoofs would reach. In 1207-1211 people of Siberia and Easten Turkestan were subdued by the Mongols. They were – the Yakuts, the Oirats, the Byruats, The Kirgiz, The Uigurs. In that period the Mongols undertook a campaign against The Tangutcs State X Xià, which was finally defeated in 1227. In 1211 the Mongols began attacking the Jurchenscs State – The Jn Dynasty, which was situated on the Northern Part of China. Here the Mongols destroyed more than 90 cities and in 1215 siezed Beijing. As a result by the 1217– all the territories to the North from the Hanher river had been conquered by the Mongols. The Mongols in their aggressive policy which was successfully realized during the XIIIth centure had a plan of a campaign to Kazakstan and Central Asia. It would open them the way to Eastern Europe and Fore Asia. It was the reason why Genghis Khan paid great attentions on that campaign and prepared carefully. After conquering Eastern Turkestan and Semirech'e the way to Southern Kazakhstan and Central Asia was opened. The formal casus belli was the events of so-called ‘Utar cathastrophe’. Genghis lost interest in the war in China and 13

instead, turned his attention towards the west. In 1218 he sent his general Chepe westward and conquered the Kara Khitai Empire. But the real issue was with the huge Kwarazmian Empire in Perisa. Hostilities broke out when the Kwarazm Shah attacked a Mongol caravan and humiliated Genghis’s ambassadors by burning their beards. Since Genghis sent the ambassadors for the purpose of making peace, he was outraged. Genghis prepared for the largest operation, he had yet performed and assembled a force that totaled around 90-110,000 men. The total numerical strength of the Kwarazm shah was two to three times greater, but Genghis ' army was better disciplined, and most of all, better led. The campaign began in September 1219 from the banks of the Irtysh. Accoding to the sources Genghis led his army from the Irtysh to the Syr-Daria across the Semirech'e. Approaching Utar Genghis Khan divided his Army. One part headed by Chagatai and Ogedei was left for the siege of Otrar. The second part headed by Juji he sent to the lower reaches of the Syr Darya, the third troops subjugated the towns in upper reaches of the Syr Darya. The main forces of the Mongols headed by him went towards Buhara. In 1219, Genghis’s sons Chagatai and Ogedei set out to attack the city of Utar, located to the east of the Aral Sea. Meanwhile, Genghis' general Chebe, marched southwestward to protect the left flank during the operation. The main attack, however, was led by Genghis Khan himself, who together with general Subedei, marched through the Kizil Kum desert and outflanked the Kwarazmiam forces. The plan was that the Kizil Kum desert was considered impractical to cross, which made it a great opportunity to surprise the enemy. Genghis and his army disappeared into the desert and suddenly, out of nowhere, he appeared at the city of Bukhara. The city garrison was stunned, and was quickly defeated. Next Genghis marched towards Samarkand, the capital of the Khwarezmian Empire. The magnificent city was heavily fortified and had a garrison of 110,000 men, which vastly outnumbered Genghis ' besieging army. The city was expected to be able to hold out for months, but on March 19, 1220 its walls were breached in just ten days. After the fall of Samarkand, the Mongols overran much of the Empire. The destruction was profound. Cities were leveled and populations were massacred. At the Merv city, accounts described an execution of 700,000. At Samarkand, women were raped and sold into slavery. Devastation was so great that the Kwarazmian Empire itself was nearly wiped away from history. The conquest of the Kwarazm also created another remarkable event. After his defeat, the Khwarezm Shah fled to the west and Subedei followed in pursue with a force of 20,000 men. The Khwarezm Shah died, however, but Subedei went further. He brought his army to the north and defeated a heavily outnumbering Russian and Cuman army at the Khalka River. He went further and attacks the Volga Bulgars before returning back. As said by the famed history Gibbons, Subedei's expedition was one of the most daring expeditions in history, unlikely to be repeated ever again. 14

During the entire campaign, the Khwarezm Shah failed to assemble an army to fight the Mongols on the battlefield. The Khwarezm strategy relied on its extensive city garrisons that outnumbered the besieging Mongol armies. This of course, failed in every way. The only well organized resistance against the Mongols came from Jalal ad-Din, who after the fall of Samarkand, organized a resistance force on the territory of modern day Afghanistan. At Parwan, he defeated a Mongol force led by one of Ginghis' adopted son, making it the only Mongol defeat in the entire campaign. Genghis chases after Jalal ad-Din and destroyed his army at the Indus River. The defeat of Jalal ad-Din meant the consolidation of rule of Transoxania. However, the southern parts of the Khwarezmian Empire were left unconquered and later turned into a collection of Independent states. It is said that the Mongols decided not to advance when the sight of a unicorn demoralized their vanguard. At the age approaching sixty, Genghis Khan' health was at a decline. He sought the legendary Daoist monk Changchun for the elixir to Immortality. His wish did not come true, as Changchun had no magical elixir, but Genghis praised his wisdom and the two became good friends. Following the meeting with the Daoist monk, Genghis returned to the administration side of his objectives. Unlike Attila the Hun and Alexander the Great, Genghis Khan realized the importance of a smooth succession after his death. Before he completed his conquest of the Khwarezmian Empire, he had already carefully chosen his son Ogedei to be his successor. After Genghis returned to Mongolia to finish establish the administration structure of his empire, all the matters were in good order, except for the Tanguts. The Tangut Xi Xia Empire had long been defeated by the Mongols, but became more of a tributary rather than being annexed. However, the Tanguts had stopped complying with terms while Chingis was away. In 1226, Genghis Khan led his army against Xi Xia and captured its capital. In 1221 with subjugating of the Khwarezm the conquest of Central Asia was finished. By 1225 the main Mongolian forces had left for Mongolia. Only the30thousand group of Zhebe and Subedeja continued the war in the west. The Kazakh lands as a part of Mongolian uluses Genghis Khan, according to Dzhuvejni, even in his lifetime distributed special territories named yurts, to each of his sons. In research literature the territories distributed among sons by Genghis Khan is accepted to name apanages or uluses. The territory of Kazakhstan entered the structure of three Mongolian uluses: The most part of steppe spaces of the north of the country and the areas from the upper reaches of the Irtysh to Alakul lake and farther to the West to Or and Syr Darya Rivers entered Jujics ulus. Southern and Southeast Kazakhstan entered Chaghataics ulus. Besides, outside of modern Kazakhstan that ulus included the following territories: East Turkestan and Maverannahr. 15

Northeast Kazakhstan was a part of Ugedejacs ulus, which included the territory of Western Mongolia, the area of the Upper Irtysh and Tarbagatai. During Genghis-khancs lifetime the lands alloted to his sons, were for them only served as source of income for them, but nevertheless they remained themselves subordinated to the head of the empire. After his death the situation had changed. Extensiveness of the Mongolian power, remoteness of a residence of uluses from theball-empire the centre on Orkhon conducted possessors to that the local authorities became the valid power only. The dynasties began introducing an appanage appanage system, transition to the real power in uluses to the descendants of Genghis Khancs sons raised aspiration among the Genghizid uluses to make their dynasty completely independent, and their uluses Independent possession. Control questions: 1. What do you know about the origin of the Kidans? 2. Why were strain relations between gurkhans and their vassals in the Ili valley in the middle of the twelfth centuries? 3. Give arguments in favor of the presence on Naimans signs of statehood 4. How did the Turkic traditions influence on the forms of the Mongolian statehood? 5. Compare the characteristics of Genghis Khan according to Raþîd ad-Dîn and Cuvaynî, Juzjani and Abulgazy. Tasks for independent study: Read an excerpt from an article by V.P Yudin « :  , ,  ,  …» //  - . - /  ,   ,   !,   #    #,   $.%. & . – * -*, 1992. – .1421. In writing answer the following question: "Tell about the essence of the changes that have occurred in the Eurasian world, after the Mongol conquest."

1.2 Kazakstan in the structure of the ulus Juji and Golden Horde (the XIII – the first half of the XV centuries) 1.2.1 Historiography of the Golden Horde and sources of studying Studying the history of the Golden Horde has a long tradition. For the first time in Russian science this theme was turned to as long ago as in 1826, when the Russian Academy of Sciences announced the contest on the topic: "What consequences did the rule of the Mongols in Russia, have namely, what it was influence upon the political power of the states, the polity and itcs internal governing (ruling). And what can you tell about enlightenment and education of the people? 16

By the time fixed the Academy of Sciences had received a handwritten essay in German, written by the Viennese orientalist Joseph von Hammer-Purgstall (June 9, 1774 – November 23, 1856), who was worldwide known for his researches on the history Khulaguids in Iran and a multi-volume work on the history of the Ottoman Turks. Hammercs Work remains the only study on the history of the Golden Horde in the West European Oriental studies. To the Golden Horde history was devoted a considerable space in the threevolume history of the Mongols of the English orientalist Hovar, published in the 80 of the XIX century. Russian Oriental Study went in another way. Russian historians have sought out and translated into Russian works both Western travelers (Julian, Plano Carpini, Rubruck, Marco Polo, Clavijo, Schiltberger Jehoshaphat Barbbaro, etc.), and works of Oriental writers. In addition, Russian historians took up careful studying of separate problems of the Juji Ulus. As a result, academicians V.V. Barthold and B.Y. Vladimirtsov were able to restore the social-economic system and political structure of the Mongolian state. A major achievement of Soviet historiography in the study of the history of the Golden Horde was appearance of a collective work of two eminent Soviet historians – B.D. Grekov and A.Y. Yakubowski "Golden Horde", published in 1937. The next stage in studying of the history of the Golden Horde was publication of a monographic study of M.G. Safargaliyev devoted to the final stages of the Golden Horde history, when the Horde, as an integral state had already entered a stage of its decline as a result of feudal groups struggle for power. The author in most detail way considers the history of the formation of the Golden Horde and its transformation into a powerful state in Eastern Europe. In V.L. Yegorovcs monography was fully implemented the task of reconstruction of historical geography of the Golden Horde. In it the author basing on complex analysis of written sources and archaeological data reveals the dynamics of the administrative boundaries of the Golden Horde, its internal division, the place of cities in the administrative structure of the Golden Horde, the administrative and political structure of this state and the influence of the militarypolitical factor in the development of the ulus system and geographic boundaries of the Golden Horde throughout its existence. Appraisal of the Golden period of history in the Dasht-i Qipchaq and attached, and above mentioned joined the historically independent regions and the Mongol conquest itself, varied with time from unambiguously negative (in the terms of the appraisal of the order established by the Mongols and becoming the Horde firmly established as a nation of aggressive artificially created with arms and which kept at the expense of arms to more objective taking into account positive aspects of the Golden Horde history influence upon fates of independent nations and state entities, which formed on its territory and the adjoining lands. 17

In V.V. Trepavlovcs monography is researched the statehood of the Mongol Empire in the XIIIth century. In this work in a new way has been considered a problem of developing Turkic nomadic traditions, continuity of ancient Turkic statehood in the Mongolian time, both in the construction of the Mongol Empire, and in the social-economic structure of the states, which formed after its disintegration. Much attention was paid to researching issues of the history of the major political entities, which formed after the collapse of the Golden Horde: Ak-Horde, Kok-Horde, Abulhaircs Khanate, the Nogay Horder. In literature there were a lot of discussions on these states. Some researches considered them as separate phenomena, the ephemeral political entities, while others emphasized their internal political unity, state administrative structure, economic isolation The issue concerning the Ak-Horde, Kok-Horde not only developed into a discussion about the time of appearance and disappearance of the Ak-Horde, but also questioned the very existence of the Ak-Horde as virtually an independent state. The history of Abulhaircs Khanate (or Nomadic Uzbek State) and the Nogay Horde also studied in the monographies of B.A. Akhmedov and B.A. Kochekaev. Significance of independent states of the Ak-Horde and Abulkhaircs Khanate in the system of Turkic states recognized by the researchers at nowadays. Thus, a brief review in the study of the Golden Horde for the period of almost 200 years, allows recognizing the priority of Russian scientists in studying history of the Golden Horde. The value of their conclusions is that they rely on the results and comparisons of medieval written sources and archaeological data of the Golden Horde of the Volga cities – Sarai-Batu. Russian scientists to whom belongs the credit in the introduction of a number of medieval written sources into science. Under the almost complete absence of sources, created directly in the Golden Horde, works of foreign contemporaries have exceptional significance. In this connection it should be noted V.G. Tiesenhausencs credit in search and publication of the Eastern sources. In 1884 was published his "Collection of chronicles on the history of the Golden Horde", which included data of all known Arab writers of the Golden Horde. VG Tizengauzen also started collecting and extracting from the works of Persian authors, which remained unpublished during his lifetime. In 1941 Academy of Sciences of the USSR issued the second volume of the collected materials by V.G Tiesenhausen in the edition of A.A. Romaskevich and S.L. Volin. In the writings of the Arabs found the reflection mainly the initial stages of the history of the Golden Horde. This is explained with the fact that the Arabs (the Mamluk sultans of Egypt) were military allies of the Golden Horde in their fight against Hulaguid rulers of Iran and were interested in it as long as the Horde was 18

in force. General attention of Arab authors was paid to description of geography and the internal structure of the Golden Horde. Of the greatest interest in these works are general description of the territory of the State, as well as a list of various districts and cities. In the contest of geographical description of the Golden Horde is a valuable piece of the Arabic merchant and traveler Ibn Battuta, representing a panegyric to Uzbek Khan. Ibn Battuta made a journey through the possessions the Golden Horde Uzbek khan: from the Crimea, through the North Caucasus and the Volga region to Khwarezm. His story contains numerous specific geographic details, descriptions of cities, showing the distances between them, data on the administrative structure, trade and economy of individual uluses of the Golden Horde. Similar information, added with a list of nations that were a part of the Golden Horde, gave in his work in the Arabic writer of the XIV century al-Omari. From the second half of the XIV century after the Golden Horde was in the condition of civil strifes, the Arabs had lost all their interest to it. Therefore, Arabic authors' data from that period of time became superficial. Of the works of these authors it should be noted the work by Ibn Khaldoun. The writing of Ibn Khaldun included more or less accurate rendering of events inside the life of the Golden Horde in the interval between Berdibekcs Khan Death and the coronation of Tohtamish. The information presented in the book of Ibn 'Arab-shah, who personally visited Sarai and Astrakhan, Stary Krym, immediately after the destruction of these cities by Timur have great interest for us. Of particular value is that fact, that he owned the local languages - Mongolian and Turkic and personally spoke to eye-witnesses of these events. Arabic authors as representatives of the union state had access to the territory of the Golden Horde. So their descriptions differ with certain geographical accuracy. Other data, for example, of a social-political nature, we find in the writings of Persian authors of the XIII -XIV centuries, who lived at the court of the Khulaguids hostile to the Jujids. They closely watched the military-political situation at their northern neighbor, particularly all the circumstances, which one way or another could influence the outcome of their confrontation. The main stumbling block between the Jujids and Khulaguids was the Caucasus, that is why in Persian writings, there are not almost any data about the western uluses of the Golden Horde, sometimes they contain unique data about the eastern part of the Juji ulus: about the North Caucasus, where passed the main line of confrontation, about relations between Gold Horde States and the states of Chagatai and Ugedeics descendants in Central Asia, about possessions of Jujids by the Syr Darya River and Semirech'e . Persian written sources of the Golden Horde can be divided into early, made up in western Iran (their authors saw the Golden Horde as their enemy, they had to constantly fight in the Caucasus with), and late, originated mainly in Eastern Iran and Central Asia (they refer to the time of"Orda Troubles"). 19

Unlike the Arabic authors, the Persian were connected with the Persian aristocracy of the Khulaguids, the Timurids, were hostile to the Juji house. They looked at the events taking place in the north, just as biased as the Arabs. But if the Arabs portrayed the Golden Horde in pink colors, the Persians, by contrast, emphasized the weaknesses of the Juji ulus. There is a text of so important source for studying the history of the Golden Horde, as "Anonymous Iskander", compiled in 1413-1414 and dedicated to Timurid Iskander. Here it is significant events which took place in the Golden Horde after of Berdibekcs death. They were described with very great details in it. This source is directly concerns the discussion, which later followed in historical science on the history of the origin and location of the Ak-Orda and Coke Horde. The author of the source on the formation of these two Ordes refers to the reign of Tokhta Khan and temnik Nogaja. He considered Ak-Orda as possessions of temnik Nogaja and placed it in the east, within Uluk-tag, Karatal and Tyumen. Kok-Orda he located to the West of Sarai and related to the Tokhtacs possessions. The historians of the Golden Horde - Hammer Purgshtal, Wolf, Shpuler, P. Pelliot, A.J. Jakubowski followed this source and located Ak-Orda in the east, but KokOrda - in the western outskirt. Arabic and Persian authors represented mainly in final stages of the Horde history. As promiment contemprorary American Goldern Horde researcher ULI Schamiloglu considers, we will no doubt remain in the debt of V.G. Tizengauzen for a long time to come. His publication of one volume of sources in Arabic and the posthumous publication of a second volume of sources in Persian will remain an important landmark in the history of the study of the Golden Horde. The first volume of Arabic texts remains a basic sourcebook for the study of the Golden Horde. Naturally, many of the Arabic sources which he edited in excerpts with translation have been published in modern editions, and many works have also appeared in authoritative translations into European languages. The only surprise is that so many scholars – especially historians of Russia – continue to ignore this work. Perhaps one solution would be to reprint it as is so that is would be more widely available. The second volume is also important, but much of this volume is devoted to Rashid-ad-Din and Juvaini, which are available in more recent editions. While Juvaini is available as a complete text and and in a complete translation, there are still important sections of Rashid-ad-Din – especially the Þu`ab-i pancgâna – that await their editor and translator. It would, of course, be desirable to update Tizengauzen’s Arabic and Persian volumes. In the case of the first volume, it would be most useful to update the printed Arabic texts based on the best modern editions and to provide translations into Russian and English. There are also philological problems that need to be addressed. For example, Tizengauzen confuses the names of Nogay and Toqta in a critical passage in his translation of the account of Mufad-d-al, whereas these names are interpreted correctly in the more recent edition of this work by Blochet. Such important corrections must be taken into account in any revised edition of 20

Tizengauzen’s work. It no longer makes sense to offer a partial publication of Raþîd ad-Dîn and Juvain+, so perhaps it would be wisest to republish the remaining texts of the second volume together with the first. All the relevant volumes of Rashid-ad-Din and Juvaini should be made available in both Russian and English. In this regard Russian scholars have already achieved great success in the translation of Rashid-ad-Din, whereas Juvain+and one part of Rashid-ad-Din’s work already has an excellent English translation. This work should be continued. A lot of data on the social-economic and political development of Zhuchi ulus in world historical science were taken from the works of European authors - Plano Carpini, William Rubruck and Marco Polo, written during their trips to the headquarters of the Great Mongol Caan: Plano Carpini in 1245-1247, Guillaume Rubruck - 1253-1255, Marco Polo - at the end of the XIII century. Source studying significance of European travelers data stipulated with the fact that their travelings to Mongolia were by no means accidental at all, but were a purposeful political action: the goal of the travelers was collecting as more data of very diverse character about military, economic and socio-political structure of the Mongol Empire as possible. For the European sovereigns, it was not particularly important as the whole Europe had just taken breath after the shock of the invasion of Batu Khan's forces and, though the Mongols left Europe, was the fear of them remained there. In 1243 on the papal throne in Rome was elected energetic Innocent who, having lost the faith in the idea of his predecessor Gregory IX to organize a crusade against the Eastern conquerors, decided to reconnoiter on the inside, in order directly to have cleared military and political plans of the Mongol khans. With that end, in a view to the headquarters of the Mongol qaancs was sent quite a formal Catholic mission, headed by one of the founders of the monastic Order of the Franciscans - Plano Carpini. Besides him, the mission two more monks brothers Benedict and Stephen were members of the mission. The monks left the French city of Lyon on the 16th of April, in 1243 and more than two years they got to Karakorum, having passed on their way the Volga region, Khorezm, Semyrech’e, Tarbagatai and Central Mongolia.They spent several months in the Mongolian capital at the court of just ascended the trone new khan Guyuk. In 1247 having returned home, Plano Carpini wrote a trip report in form of the book, which was entitled "History of the Mongols. The book consists of nine chapters, each of which was devoted to a concret aspect of Mongolian ethnography of that time: the territory of the settlement of the Mongols, the climate of their lands, way of life, customs, military art, appearance, beliefs, state structure, and foreign policy. As these observations were obtained by direct data, their importance for the history is invaluable. Few years after Plano Carpinics return another mission had been sent to the Mongols headed by the monk Guillaume Rubruck. The goal of this mission was purely secular-to reveal the possibility of concluding a military alliance of the French King Louis IX with the Mongolian Caan against the Muslim rulers of the 21

Middle East. Having passed a long way through the Crimea and the Lower Volga region, in 1253 Rubruck reached Mongolia, and arrived at headquarter of the great Kaan Munch. His account of the journey Rubruck rendered in the form of a message to King Louis IX, entitled it "Journey to the East". Being an educated person Rubruck in his memoirs recorded a lot of interesting information about lifestyles, customs and beliefs Golden Hordecs nomadic tribes living on the periphery of Empire, which he passed during his journey. Furthermore Rubruck was the only of European travelers, who remained behind himself a detailed description of the Khan's palace in Karakorum, the description of court ceremony and the whole city and its inhabitants. A special category of the sources, which greatly added and widened our understanding of the level of economic development of the Golden Horde, its trade links and geographical limits are archaeological sources. Systematic archaeological studies of the Golden antiquities began in the middle of the XIX century with the excavations of A.V. Tereshchenko on the territory of Saraya alJedid (Tsarevsky mound in today's Volgograd region). A brief review of the main sources on the Golden Horde allows coming to the conclusion: whatever may scant historical data of sources can be, they help to trace different stages of the Golden Horde history - from formation to decline and emergence of new public entities. Control questions: 1. Whose Mongol Khancs headquarters did Plano Carpini visit in 1247? 2. Who sent G. Rubruckcs mission to the Mongols? 3. What history period of the Golden Horde was described in details in the source "Anonymous Iskander 1413-1414". 4. What is the tone of Persian sources on the Golden Horde? Why? Answer the question on the concrete examples. 5. What kind of information on the Golden Horde do Arabic sources contain? Tasks for independent study: http://www.turko-tatar.com/uli/pubs/IIUe2002.pdf -The address of the article of ULI Schamiloglu «An agenda for Research on the Golden Horde» http://www.turko-tatar.com/uli/pubs/PhD1986.pdf - Phd dissertation of Schamiloglu Read this article and write an essay of 500 words on the topic: “Tendencies of Modern historiography on studying Goldern Horde history”

1.2.2 The formation of the Golden Horde in the Juji Ulus Until his death in August 1227 Genghis Khan managed to lay the foundation for a new territorial enormous empire, which amounted to earth people, not only lived in the vicinity of Mongolia, and China, Central Asia and the steppes to the 22

west of the Irtysh. Death of Genghis Khan did not change the policy of his successors. They made every effort to fulfill the will of the founder dynasty - to capture new lands. History of the Golden Horde is directly related to Ulus of the eldest son of Genghis Khan - Juji, which was located in the steppes to the north of Lake Balkhash and the Aral Sea, from the Irtysh to the Yaik. Juji died even before his father Genghis, so the bequeathal passed (in left and right wings) to Juji's sons Orda and Batu. Successor, of Juji who died six months before Genghis Khan, became his son Batu. The circumstances of his accession to the throne were described by Utemish Haji. According to the decision of the Mongolian kurultai in 1229 Batu was instructed to gain the land located in the West, in the form of compensation for the eastern part of the Ulus, assigned Ugadei (some land to the east of the Irtysh River). But in this campaign the Mongols managed only to reach Yaik. At the Congress of 1235, where the second time the question of the conquest of western land (located in the west of the Ural and Volga rivers) were discussed. Thus, in 1236-1242 took place the western campaign of Mongols. As a result of the campaign the Mongols conquered territory to the west of the Volga River and reached the river Danube. The Mongols destroyed the state Volga Bulgaria in the Middle Volga, Poland, Lithuania, and Czech. After the campaigne Batu returned to the Volga steppes, where the average over the Volga River had begun building a headquarters – Saray-Batu. That was the beginning of a new Mongolian state - the Golden Horde. It was established on the basis of Ulus Juji and a conquered lands to the west (to the river Danube). Until 1269 the Golden Horde was a member of the Mongol Empire. The Mongol Empire included: Ulus Juji -The Golden Horde, Chagatai Ulus -Chagataid's State, Ulus of Ugedei, and Ulus of Tulyi. We can choose the following periods in the history of the Golden Horde: 1. 1242-1266. – Period of construction of the State (during the reign of khans Batu1242-1255; Berke 1255-1266). 2. 1266-1312 - the first political crisis in the Golden Horde 3. 1312-1359 - the period of rise of the Golden Horde 4. 1359-1379 - a great sedition in the Golden Horde 5. 1380-1395 - an attempt to restore the unity of the Golden Horde. 6. The first half of the XV century. - The process of disintegration of the Golden Horde. The Golden Horde was a one of the greatest states of the middle Ages. Thus, the descendants of Juji ruled a vast territory, covering nearly half of Asia and Europe - from the Irtysh River to the Danube River from the shores of the Black and Caspian Sea to China. The population of the Golden Horde was varied. But the bulk of the population of Golden Horde was Qipchaqs living in the steppes till the arrival of the Mongols. Already in XIV century Mongols began to dissolve in 23

Qipchaq environment, forgetting their own culture, language, and writing. This was facilitated and occurred at the beginning of XIV century changing religion. Before considering the formation of the Golden Horde let's clarify the following points: 1. How the Mongols called their state? 2. How did thier neighbors call the State? According to Mongolian tradition, the head of each of the Mongol states considered the allocation of his or conquered territory as a generic domain, each entering the throne Saray Khans called his state simply "heartland", ie people, given an inheritance to possess it. As for the name the Jujids' state from European and Asian powers, there prevailed a complete lack of coordination. In the Arabic chronicles, it most often named after the Khan ruling at a certain moment, with their respective ethnic clarification: "Berke, the great king of the Tatar", "Tokhto, the king of the Tatar", "Uzbek, the owner of the Nordic countries", "king of Tokhto, the owner of the barn and land Kipchak, "King Dasht-i QipchaqTokhto. Sometimes Arabic and Persian authors called the Golden Horde ulus Juchi ulus Batu ulus Berke ulus Uzbeks. European travelers P. Carpini and B. Rubruk use the old term "country of addicts", "ASEA", "The Power of the Tatars. In a letter to Pope Benedict XII Juji's State was called Northern Tartary. In Russian chronicles first identified by an ethnic term. Princes riding in the "Tatars of Batu" and return"Tatars. Only in the last decade in the XIII, appeared and firmly adopted a new and unique name "Horde", which lasted until the collapse of the Juji's State. And among the most striking aspects of the Russian treatment of Juji's ulus has been the designation of its inhabitants as "Tatars." Were the Mongols to be Tatars? What lies behind this term? First it is necessary to clarify the origins of the name "Mongol," about which opinions differ. According to Chinese annals, this was the name of Genghis Khan's tribe. But Isaac J. Schmidt, a nineteenth-century Moravian missionary, who learned the Mongol language, argued that as Genghis Khan brought together different tribes, he had adopted the term Mongol to impart a sense of unity. Schmidt added that the etymology of Mongol signified "brave, fearless, excellent," a prideful appellation. A subsequent researcher, accepting Schmidt's supposition, has slightly modified his reading of "Mongol" to mean the "secure backbone" of Genghis Khan's power (i.e. his soldiers or people). Such a reading, which seems plausible, betrays nineteenth- and twentieth-century notions of how "states" are held together -- i.e., as a "nation." The "Mongols" were everywhere far outnumbered by their subjects (one researcher estimated the thirteenth-century "Mongol" population at 700,000 -- at a time when Mongol controlled China had at least 75 million people Rather than a nation the Mongols were a ruling caste in the broader ulus. The Genghisid principle was the "unifier," not nationhood. Flowing out from the Genghisid principle was the military organization of society, or, to put it another 24

way, the convertibility of civilian into military existence. That in its turn was founded on a way of life, nomadism. The category of "Mongol" is further troubled by the evident assimilation of Mongol speakers. According to one scholar, Batu commanded 370,000 people, of who maybe one-third were "Mongols." Another scholar acknowledges, however, that the number of Mongols proper remains a mystery. Indeed, the Great Russian orientalist Vasilii Bartol'd emphasized that the majority of Mongol speakers probably returned to the traditional lands of Mongolia (for example, once Batu's European campaign was halted in the 1240th). In addition, Bartol'd concluded, "those Mongols who stayed behind in the conquered countries quickly lost their nationality," as the language of the "empire" underwent Turkification in the steppes and Central Asia. Logically, such assimilated Mongols might then merit the designation "Tatar," which would seem to signify Turkified Mongols as well as other long-ago turkified peoples the Genghisid-led troops incorporated. The Tatars proper were not Turks, however, but a tribe or a group of Tungusic tribes who lived in northeastern Mongolia and fought incessantly with the Mongols (Genghis Khan's father appears to have been ambushed and killed by a Tatar). The Mongols never called themselves Tatars. It was the Chinese, who used the name "Tatar" to refer to all their northern neighbors, and it seems that the European travelers to Mongol-ruled China, as well as Arabic and Persian visitors adopted and spread the generic Chinese designation. Note that the term Tatar was rooted in an opposition -- the barbarians north of China; the non-sedentary, nomadic peoples. It was in this oppositional sense that the west Europeans and Russians adopted "Tatar." The term Tatar, no less than "Mongol" or "Turk," expresses political relations. An imposition that expressed fear and condescension, "Tatar" as a name implied a sense of unity and cohesion within the Mongol realm. Juji's ulus was never a unified or integrated entity, however. Rather, it was made up of various semi-independent ulus led by Batu's brothers and other relatives. At no point did all the parts unequivocally recognize the superordinate authority of Sarai, even if they sometimes stopped short of going to war. By the second half of the XIIIth century, internal wars became endemic. Tamerlane applied the coup de grace. Sometime thereafter, the ulus "fragmented," meaning that even nominal allegiance to a single khan ceased. This produced, in the east, various components independent of Sarai (and the object of contention among Kirghiz and Uzbeks), and in the west, several so-called "khanates" (Kazan, Astrakhan, and Crimea), as well as other offshoots, among which was the Siberian "khanate." The "fragments" had always been fragments; what changed was the appearance, and to an extent the practice, of allegiance to a single authority. Scholars have not been able to fix the "borders" of the Golden Horde, or have done so only very vaguely using geographical information supplied by Arabic sources in the XIVth and XVth centuries (there is also a Chinese map from the XIVth century). On European maps of Asia, various political entities are duly 25

noted, but there is no effort to indicate the "borders" separating them. Nonetheless, one historical geographer has pressed forward, noting that the Mongols signed agreements with Riazan recognizing Episcopal spheres and the right to collect church duties (divided among the Sarai and Riazan metropolitans), and that they seem to have maintained guards at some kind of "border" with the Rus principalities. At the same time, however, this scholar admits that many steppe peoples migrated, seeking to create "neutral zones" between themselves and the Mongols, a process the Mongols welcomed. All of this suggests that the effort to establish the Golden Horde's borders is anachronistic because they had no such concept. As Howorth wrote, "among nomadic races, territorial provinces are not so well recognized as tribal ones. A potentate distributes his clans, not his acres, among his children. Each of them has of course its camping ground, but the exact limits are not to be definitely measured". Juji's ulus, notwithstanding its Islamicization, was less a state with borders than a perpetual standing army, an agglomeration of peoples for whom military and civilian life was not clearly distinguished. There were notions of extremities and of lands that were located beyond those that were conducive to pastoralism, but no fixed state boundaries. The ulus was "nonbounded." Its rule, although nominally exclusive, did not preclude multiple sovereignty (some peoples levied by the Horde could wind up paying tribute to others). Test questions: 1. Which of the Arabic authors wrote about assimilitation of the Mongols by local Tukic population? 2. What do you know about the “basmachestvo institute”? 3. Which city did belong to Jujids in the west? 4. What medieval author told us the details of the Batu's accession in Juji's ulus? 5. Which Mongol Ulus bore relation with the Golden Horde?

1.2.3 The political history of the Golden Horde in the period of state formation (1242-1266) The period of State formation in the history of the Golden Horde was in the reign of Batu and Berke. During of Batu's governing were distributed land holdings (ulus) in accordance with military posts, established of the state apparatus, aimed solely at collecting taxes and tribute, established a system of political power over nations that, geographically were not members of the Golden Horde. At first it belonged to Russia. However, when all the power of the army and the magnificence of the Khan's Golden Horde of the court in political terms was not an independent state, and was part of a unified empire, run from the Karakorum. This dependence is expressed by: 26

• Mandatory expulsion and sending taxes and tributes. • Khans of the Golden Horde could not claim the Grand Dukes of Vladimir on the table, and could appoint the lords of smaller ranks. New Khan on the throne of Golden Horde also was approved in the Karakorum. • Do not have the right to put his name on the Golden Horde coins. • Do not have the right to establish diplomatic relations with other states, as well as the reception of their representatives and maintaining correspondence with foreign sovereigns. Batu Khan laid the foundation for the Golden state, based upon solely on the usual nomadic tradition establishing by the Yasa of Genghis Khan. In full accordance with the Karakorum line at the maximum extraction of income from the subject population, it begins to emerge and develop state fiscal officials. The period of Batu - the only peaceful period in the history of the Golden Horde, this will undoubtedly allow focusing its main efforts on the creation of internal political and economic structure. There is more information about Batu-khan: Batu (ca. 1206–1255) a Mongol prince, the second son of Juji' - Genghis Khan’s eldest son. Batu commanded the army that conquered the northeastern Rus’ principalities (1237–1238) and subsequently that conquered the southern Rus’ principalities and invaded Eastern Europe (1240–1241). Batu was the first khan to rule in the Khanate of Qipchaq (Ulus of Juji; Desht-i-Qipchaq), which he is credited with having founded. His father, Juji, to whom the lands had been granted “as far as Mongol hooves trod” in the western part of the Mongol Empire (i.e., west of the Irtysh River), died before ruling there. Batu is also credited with building the city of Saray (Old Saray, Saray-Batu) on the Akhtuba channel of the lower Volga River. Batu was present at the quriltai that chose Ögödei as qaghan in 1229 and most likely also at the quriltai of 1234, which planned the campaign against the Qipchaqs, as well as the quriltai of 1237, which planned the campaign against the Rus’ principalities and Eastern Europe. Disagreements over Batu’s leadership developed during the campaigns in Rus’ and Eastern Europe (1237– 1241). Güyüg, a son of Ögödei, and Büri, a grandson of Chaghadai, challenged Batu’s authority, possibly on the basis of the questionable legitimacy of Batu’s father. When Qaghan Ögödei died in 1241, Batu opposed and apparently managed to delay the elevation of Güyüg to become qaghan until 1246. Claiming ill health, Batu refused to attend any quriltais. His presence at the quriltai was needed to give legitimacy to Ögödei’s successor because, after Chaghadai’s death in 1242, Batu was considered aqa—i.e., senior-ranking member of the Genghisids. When Güyüg was declared qaghan by a quriltai despite Batu’s absence (although Batu was ostensibly represented by his five brothers), he mounted a campaign against Batu but died on the way to Batu’s ulus in 1248. This time Batu succeeded in getting a quriltai of 1251 to select his own candidate, Möngke, who was the son of Tolui (Genghis Khan’s youngest son). Batu had 27

apparently reached agreement with Sorghaqtani, the widow of Tolui, thus forming an alliance of Jujids and Toluids against the Ögödeids. Möngke and Batu then launched a joint attack on the Ögödeids and their supporters, the Chaghadaids. As a result of Batu’s role in elevating Möngke to being qaghan and in helping him to consolidate his hold on that position, Batu had a relatively free hand in ruling his own khanate. The sky worshiper, Batu followed a policy of religious toleration, but seems not to have been pleased by the conversion of his brother Berke to Islam, for, according to William Rubruck, Batu changed Berke’s yurt to the eastern part of the Khanate beyond the Volga River to reduce his contacts with Muslims, which he thought harmful. The Mongol and Turkic sources refer to Batu as a saint, which means “good” or “wise”, and in the Rus’ sources before ca. 1448, Batu is depicted as “a powerful tsar” to whom the Rus’ princes had to pay obeisance. After 1448, the Russian sources increasingly depict Batu as a cruel plunderer and enslaver of the Rus’ land. Death of Batu in 1256 led to the first in the Golden Horde battle for the possession of the throne. Governor of the state in 1257 became the younger brother of Batu - Berke. Winning Berke was largely facilitated by the support of his candidacy by Muslim merchants, attracted by the Golden administration as a tax-farmers tribute. At the same time, he found support for the Muslim clergy of Khorezm, who wanted to see on the throne not a pagan, but a supporter of the Muslim religion. New Khan took the throne at the age of about 50. Age of Berke was quite stormy and eventful, both in the inner life of the state and in the foreign policy arena. • New Khan in his youth was converted to Islam and, therefore, immediately after accession to the throne declared Islam the state religion. This caused resistance nomadic aristocracy. Meanwhile, Khan began to pursue vigorously Islamization of the country. He invited from Iran to Egypt, priests, known theologians and scholars. At the same time from Khorezm were delivered new parties of artisans, builders and artists. Thanks to their labors the cities of the Golden Horde dramatically change their appearance. • When Berke began the process of disintegration of the Mongol Empire. Berke's striving to transform ulus Juji as an independent state. It was reflected in coinage.When the Golden Horde was dependent on the native yurt, as it was when Batu, Golden coin minted with the name of the Great Khan Mengu. Berke also minted coins with the name of the great khan Arigbuga. But as soon as Kubilai Khan became the Great Khan, Berke refused to mint coins with the name of the Great Khan, which was tantamount to a denial of the supreme power of Kubilai. At the same time the independence of the ulus was not recognized by the rest of the Mongol princes, so Berke was minted the coins with the name of the last caliph Nasir al-din, emphasizing that he Berke recognized only the spiritual power of the caliphs. 28

• During the reign of Berke in 1263 began a war with their relatives - the Hülegüids who settled in Iran. Both branches of a single clan Genghisids not share a very rich and very attractive for nomadic province of Azerbaijan. In the heated struggle Golden Horde was supported by Mamluk Egypt, fearing the expansion of Khulaguids in the direction of their possessions. Throughout the conflict, none of the parties failed to achieve decisive advantage, even though the Golden Horde was able to capture the capital of Iran, Tabriz. Berke himself died in 1266 under Tbilisi during one of the campaigns against Hulagus. During Batu and Berke's reign Golden Horde not only fully took shape as a state with all attributes of power and social structure, but also entered into steady economic relations with Asian and European countries, as well as developed strategic directions for foreign policy interests. We can say that in the subsequent history of the state continued deepening and developing all aspects of its internal and foreign policy lay down by the founders. There is more information about Berke-khan: Berke, Khan of the Qipchaq Khanate from 1257 to 1267. He was a grandson of Genghis Khan, third son of Juji, and younger brother of Batu. William Rubruck tells us that Berke converted to Islam but does not provide a date. This evidence conflicts with that of the Persian historian Juzjani, who says Berke was raised from infancy as a Muslim. It also conflicts with the evidence of Abu ’l-Ghazi, who says that Berke adopted Islam after he became khan. In this regard, William has been generally taken as the most reliable source of the three, for he also remarks that Berke’s yurt was originally in the southern part of the Khanate where Muslims from Turkey and Persia passed. Subsequently, after Berke converted to Islam, Batu changed Berke’s yurt to the eastern part of the Khanate beyond the Volga River to reduce his contacts with Muslims, which he thought harmful. The date generally assigned for Berke’s accession to the khanship (1257) is based on two considerations: (1) Berke succeeded Ulaghchi, the son of Batu; and (2) the last mention of Ulaghchi is in the Rus’Chronicles under 1257. Berke, thus, became the fourth khan of the Qipchaq Khanate after Batu, Sartak, and Ulaghchi. Early in his reign, according to Juzjani, Berke traveled to Bukhara and honored the learned men there. He also ordered to punish Christians in Samarkand and the destruction of their churches for mistreating Muslims in the town. Although he was the first khan of the Qipchaq Khanate to be a Muslim, he continued the Mongols’ pluralistic religious policy of tolerance toward all religions and did not make Islam the privileged religion of the Khanate. Berke supported Arigh Boke in his struggle (1260–1264) with Qubilai Qan. When Prince Alaghu revolted against Arigh Boke, he took over Khwarezm and drove Berke’s officals away. W. Barthold argues that the destruction of a 5000man division of Berke’s, described by Wassaf, was not the work of Qubilai’s forces nor those of Hülegü (as C. d’Ohsson suggests) but of Alaghu. Berke later supported Qaidu against Alaghu and by extension against Qubilai. 29

Berke seems to have had few direct dealings with the Rus’ lands except to promote religious tolerance, to send tax collectors there, and to commandeer Rus’ troops to send to his ally, the Mamluks in Egypt. When an uprising of townspeople against Berke’s tax collectors in Rus’had to be put down with Khanate troops, Alexander Nevskii went to Berke, either on his own initiative or because he was summoned, and pleaded for leniency for the perpetrators. It was on his way back from his meeting with Berke that Alexander Nevskii died in Gorodets in 1263. From 1262 on, Berke fought the Ilkhanate of Hülegü until the latter’s death in 1265, and then continued fighting Hülegü’s successor, Abaqa, until Berke’s own death in January 1267. During the period 1264–1265, as a part of this Qipchaq Khanate-Ilkhanate war, Berke formed an alliance with the Mamluk sultan in Egypt while Hülegü formed an alliance with the Byzantine Empire. This brief period represented one of the few occasions during the two-and-a-half centuries of the Qipchaq Khanate’s existence that it was not on friendly terms with the Byzantine Empire. Test questions: 1. What are the signs of the Golden Horde dependent status on the Mongol Empire during Batu and Berke reign? 2. Who supported Berke in his accession to the throne of the Golden Horde'? 3. What can you say about the Berke's attempts of of the Golden Horde's Islamization? 4. The Mongol Empire's state during the reign of Berke in the Golden Horde 5. What are the reasons of the war of Juji with their relatives - the Hülegüids who settled in Iran?

1.2.4 The first political crisis in the Golden Horde (1266-1312) Powerful general during the reign of Berke and Möngke Temür. However he lacked the military talents of Batu or his great grandfather Jöchi. He led an unsuccessful raid on Hungary in 1261, and commanded two failed campaigns against Hulägu - in 1262 and 1267. In the latter debacle he not only lost an eye but witnessed the death of his sovereign. However he was successful against the Byzantine Empire in 1265, after it had invaded Bulgaria, forcing it into an alliance, the Emperor Michael Palaeologos offering the hand of one of his illegitimate daughters to Emir Nogay. In 1271 he invaded Bulgaria at the request of his father-in-law who was seeking revenge against the King of Bulgaria for a raid against Thrace. Like Berke, Nogay was a Muslim, having been converted at some time prior to 1262. Nogay had three legitimate sons: Cheke, Teke and Buri. Nogay does not appear to have inherited his own ulus, and was always described as a commander, suggesting that he may not have been a legitimate son. Instead he seems to have carved out his own fiefdom in the western part of the Qipchaq Khanate. Grousset refers to a Franciscan envoy to the Crimea named 30

Ladislas, who noted that while the Khans of Qipchaq (Töda-Möngke and TöleBuqa, see below) occupied the region around Sarai, Nogay roamed further west in the region of the Don and the Donets. From the 1260's onwards he controlled the westernmost region of the Khanate of Qipchaq, effectively establishing an independent province on the western and northern shores of the Black Sea, ranging from the lower Danube to the lower Don and extending north to the foothills of the Carpathian Mountains (in other words a large part of present day Moldova and the Ukraine). His influence extended into the Balkans and northern Bulgaria. His main encampment was on the River Bug, which enters the Black Sea just west of the Crimea. After Möngke Temür's death the Khanate of Qipchaq entered a difficult period with a succession of leaders consumed by infighting and intrigue as the various tribal factions vied for power and control of the valuable trade route. Nogay exploited these weaknesses by building up his own following and extending his control over the running of the Khanate until his death in 1300. Unfortunately this internal division also provided opportunities for the Khanate's rivals and vassal states. The Qipchaq throne now passed to Möngke Temür's far less competent younger brother, Töda-Möngke. In 1281 the new Khan summoned the Russian princes to Sarai to renew their patents, but Dmitry Aleksandrovitch of Vladimir refused to pay homage. Töda-Möngke transferred the Princedom to Dmitry's younger brother Andrei who, with Tatar support, invaded the Principality of Vladimir forcing Dmitry to flee. Dmitry now sought assistance from Nogay who issued his own patent in return for Dmitry's submission and promise of future tribute. Nogay then sent troops to Vladimir to oust Andrei from power. After becoming a devout Sufi Muslim in 1283, the ineffectual Töda-Möngke was declared insane and deposed by his nephews Töle-Buqa and Könchek (grandsons of Batu's second son Toqoqan) along with two of Möngke Temür's sons. According to Rashid al-Din the two brothers ruled the Khanate jointly. That same year Nogay briefly supported his father-in-law in Thessaly and in 1284 staged a raid on Bulgaria, Serbia, Macedonia and Thrace, forcing the submission of the Bulgarian ruler George Terter and the Serbian king Stefan Uros II Milutin. When Terter fled to Byzantium, Nogay placed his own vassal Smiltzos on the throne. In the winter of 1285-86 Nogay waged a joint campaign with TöleBuqa against Hungary, which was under the rule of Ladislas IV, known as the Quman because of his Qipchaq mother. The venture was a disaster with atrocious weather causing the Qipchaq army to suffer heavy losses during their advance on the Danube and also on their retreat. A quarrel arose between Nogay and TöleBuqa with many discontented warriors, including Toqta and several of Möngke Temür's other sons, finding refuge in Nogay’s encampment. In 1287 Nogay and Töle-Buqa set out on another unsuccessful raid, this time on Poland. Ladislas visited the Crimea in the very same year and discovered that Nogay was perceived to have equal rank with Töle-Buqa. 31

It was Töle-Buqa's insistence on trying to recover the pasturelands of Azerbaijan from the Ilkhans that led to his downfall. His first attempt in 1288 was a failure, as was his second attempt in 1290. With his reputation shattered he was challenged by Toqta, Möngke Temür's capable son. Töle-Buqa attempted to have Toqta arrested but he escaped to find sanctuary at Nogay’s encampment. In 1291 the ruthless Nogay hatched a plot to capture Töle-Buqa, handing him over to Toqta to be assassinated, thereby making way for Toqta to be installed on the throne as Nogay’s puppet. However Toqta had a mind of his own and he would eventually restore peace and order to the Khanate. His period of governance, coupled with that of his nephew Uzbeg, would go down as the Golden Age of the Khanate of Qipchaq. Toqta's first challenge came from three Russian princes – Dmitry Aleksandrovitch of Vladimir, Mikhail Yaroslavich of Tver and Daniel Aleksandrovich of Moscow – who refused to pay homage to him in Sarai, having allied themselves to Nogay. Exploiting the situation, Andrei and the Rostov princes submitted themselves to Toqta instead, raising their complaints about Dmitry's loyalty. Nogay refused to obey Toqta's summons to Sarai. In 1293 Toqta staged his first campaign against Nogay, also sending forces to Vladimir to oust Dmitry and install Andrei. Dmitry fled and died the following year, permitting Andrei to rule as the legitimate prince. The final showdown between Toqta and Nogay is described in different ways by different sources - Marco Polo picked up part of the story while imprisoned in Genoa in 1299; Rashid al-Din's account dates from 1307, while the Arabic author Al-Nuwayri produced his enormous encyclopaedia in 1331. The underlying cause of the dispute was fairly fundamental – by 1296 Nogay had effectively established his own independent Khanate. That year his mint, first established in the fortress of Saqchi in 1286, ceased issuing coins in the name of Toqta in favour of those bearing Nogay’s own name and tamga, and some with the name of his son Cheke. Nogay had also assisted the Venetians to break the Genoese monopoly on Black Sea trade, causing the Genoese to complain loudly to Toqta at his court in Sarai. However it is also possible that something more mundane sparked the final confrontation. Marco Polo suggests two of Töda-Möngke’s sons approached Toqta seeking vengeance for the death of their father, while Rashid al-Din suggests there had been problems following the marriage of Nogay’s daughter to Toqta's brotherin-law. Al-Nuwayri on the other hand suggests that Nogay was providing sanctuary to several tribal chieftains and refused to hand them over to Toqta. Whatever the cause, it seems that Nogay was threatened by Toqta and rose to the challenge. According to Rashid al-Din, Toqta first attempted to advance on Nogay but was frustrated by his inability to cross the Dnieper for lack of ice. One year later Nogay headed for the Don on the pretext of peacefully resolving his differences with Toqta at a qurultai, whilst actually hoping to catch the Khan before he had time to rally his forces. Toqta hastily gathered his army and engaged Nogay in battle at Bakhtiyar on the east bank of the Don, but was heavily defeated and 32

forced to retreat to Sarai. Whilst the location of the battle may be uncertain, with Marco Polo mentioning the Plain of Nerghi and Al-Nuwayri the alternative site of Yacssi, it must have taken place in the winter of 1296/97 since news of Toqta's major defeat reached Makrizi in Cairo in February-March 1298. Nogay now sent his grandson to the wealthy Genoese ports of Sudaq and Caffa in the Crimea to collect tribute. After the grandson was assassinated, Nogay led a punitive expedition against the Genoese, taking booty and many prisoners. The Genoese then sought a settlement, which required the return of the captured prisoners. However this caused splits to emerge in Nogay’s camp, with some princes proposing to side with Toqta in return for an amnesty, offering to raise Teke as their Khan if only he would join them. When Teke went to negotiate with the dissidents he was captured, forcing Cheke to purge the radicals and decapitate one of their leaders. The incident left a feeling of distrust between the two brothers and when Cheke made a failed attempt to have Teke killed it caused a revolt amongst some of his military leaders. When news of these divisions reached Toqta he gathered his reinforcements and crossed the Dnieper with a huge army approaching Nogay’s encampment on the River Bug. While Nogay attempted to parley, his son Cheke attempted to outflank the enemy. Informed of the intrigue, Toqta ordered his troops to engage with Nogay’s supporters. The battle of Kügenlik resulted in many casualties and Nogay’s forces were trounced. Nogay was finally beheaded by a Rus soldier whilst his sons retreated to the country of the Keler and the Bashkirs (Hungary). Al-Nuwayri dates this final battle to 1299. This defeat had profound consequences for Nogay's sons and supporters. Cheke immediately laid claim to his father's domains but was forced to seek refuge with the as or Alans to avoid being captured by his pursuers. Cheke had earlier married one of George Terter's daughters and decided to head for Bulgaria with his supporters, where he joined forces with his brother-in-law Svetoslav. Marching into Tarnavo in late 1299 Cheke ousted the temporary ruler Ivan II and placed himself on the Emperor's throne with Svetoslav installed his deputy. It was here that he was approached by his mother and brother Teke, who proposed that he make a peace deal with Toqta, an idea that so outraged him that he had them both murdered, creating a further schism through the ranks of Nogay's ruling tribe. Fearing reprisals from Toqta, Svetoslav finally deposed Cheke in 1300 and had him strangled in prison. After receiving Cheke's head, Toqta installed Svetoslav as the new Emperor. Nogay's former appanage had been divided amongst Toqta's family, the largest part going to his brother Serai Bugha. Although two of Nogay's sons were dead, Buri was still seeking revenge for the death of his brothers and father. In 1301 Buri persuaded Serai Bugha to rebel against Toqta, but the plot was uncovered and Buri and Serai Bugha were both killed, Serai Bugha's territories now passing to one of Toqta's sons. According to al-Nuwayri one of Cheke's sons, Kara Kesek, had survived the killings and fled with two of his relatives and about 3,000 33

supporters to "the country of Shishmen", reaching a place called Bdin, which Vásáry interprets as Vidin, a semi-independent Bulgarian state on the southern bank of the Danube. The Tatars formed a military alliance with Shishmen and settled in his territory. Although Toqta was finally free from Nogay interference, the tribal leadership of his White Horde had been shaken by the internal conflict and its vassal states had gained confidence. Toqta now weakened the White Horde economy by picking a fight with the Genoese colonies in the Crimea. Concerned by the continuing export of Qipchaq slaves for the Mamluk army, Toqta arrested the Genoese residents of Sarai in 1307 and then besieged the port of Caffa. The Genoese responded in May 1308 by departing by sea leaving their city in flames. They then established a naval blockade of the Black Sea ports, depriving the Horde of valuable revenues. Despite the ongoing struggle amongst the ruling families for power, life within the Khanate of Qipchaq remained orderly. Thanks to the so-called Pax Mongolica, travel remained safe and commerce was buoyant. Ambassadors began to flock to Sarai, Qaraqorum and Beijing from all quarters of Eurasia. In return two Mongol ambassadors even turned up in Northampton in 1307 carrying letters for Edward II. In his final years Toqta turned his attention back to Russia and considered eliminating the special status of the Grand Duchy of Vladimir, placing all the Russian princes on the same level. In 1312 he set off by boat up the Volga to see these territories at first hand but in August he fell ill and died before leaving the boat. Test questions: 1. What was the position of Nogay in the Golden Horde? 2. Where was Nogay ulus located in the Golden Horde? 3. Who researched Nogay’s activities in the Golden Horde? 4. What was the main goal of Nogay’s activities in the Golden Horde? 5. What was the result of 20 years crisis for the Golden Horde?

1.2.5 Kazakhstan in the structure of the Golden Horde in the period of rising 1312-1359 After of Toqta's death (1312) according to the Khancs will his son Ilbasar had to ascend the throne. He was supported by the steppe aristocracy, practicing shamanism. Another part of the aristocracy, followers of Islam and connected primarily with commercial elements of the city and Muslim clergy proposed Togrülcs son, Mengucs grandson Prince Uzbeg as a candidate. Become firmly established on the throne, Uzbeg began fighting against shamanists requiring his subjects to be converted to Islam. 34

Under the rules of accession the 30-years-old Uzbeg, the eldest son of Toqta's elder brother Togrül, was first in line for the Qipchaq throne. In the earlier conflict between Töle-Buqa and Toqta, Togrül had supported the incumbent Khan and had consequently been eliminated by his ambitious younger brother. The latter clearly desired that Tukel (sometimes called Elbasmu), the eldest of his three surviving sons, would succeed him and as a result had sent the young Uzbeg into exile with the Circassians. It seems that the ulus beys were divided over the issue. According to Rashid ad-Din some leaders of the Mongol ruling tribes did not favour Uzbeg because of his Islamic leanings and planned to assassinate him at a feast before announcing their decision to install Tukel. However Toqta's former advisor, Qutluq Timür, who seems to have been the chief of the ulus beys, supported Uzbeg and warned him of the plot. Together Qutluq Timür, Uzbeg and Togrül's widow Bayalun conspired against Tukel and his emir, Uzbeg killing the former at Serai and Qutluq Timür killing the latter. Once enthroned in early 1313, Uzbeg conducted a major purge of the disloyal tribal leaders and shamen. Almost one hundred princes and tribal aristocrats were massacred. After suppressing the revolt of the nobility, Uzbeg for the thirty yearsc reign (1312-1342) had firmly held the power in his hands, violently suppressing any revolts outlying districts. Princes of numerous uluses Juji's descendants recognized his power over them, unconditionally complied with all khancs requirements. During the reign of Uzbeg-khan the Mongols restored their traditional foreign politics, weakened somewhat after Berke's death. Uzbeg Khan had restored the traditional Mongol policy of playing off the Russian princes one against another, so that none of them could become stronger. The Golden Horde also took a number of measures against Lithuania, which being turned into a powerful factor in the north-west. The Mongols could not prevent forming this state. But they weakened it by systematic raids. The Mongols followed the same policy towards Poland. If to add to it the successful continuation of the war in the Caucasus against the Hülegüids and sending off a large number of troops headed by the heir to the throne for conquering possessions of the descendants of Chagatai in Central Asia, then it would be obvious the fact of strengthening foreign political activities of the Golden Horde. Successful wars of Uzbegcs government with its neighbors and not less a successful policy of the ruling circles inside the country for a time restored the former might of the Golden Horde, having turned into one of the powerful states in Europe. In domestic policy strengthening of the Golden Horde was reflected in the fact that the Princes, being at the head of separate Uluses-hordes, under Uzbeg became an obedient tool of the Khan and the Khan's administration. For strengthening centralization Uzbeg Khan had carried out a reform. He divided the Golden Horde into a number of areas in the head of which he put Turko-Mongol emirs, thereby having abolished actually ulus-appanage system of government. In the connection with the centralization of the state administration under Uzbegcs Khan, also 35

occurred regulating of local authorities. During the formation of the Golden Horde, was carried out decentralization of the authority, the state was divided between Batucs brothers, each of which ruled his ulus as a semi-independent sovereign. Now, when there had been centralized the state, the former regions were transformed into headed by regional chiefs, emirs. Summing up the political development of the Golden Horde State for a hundred years of its existence, it can be conclude that of relatively a primitive state entity as it was under Batu, by the time of Uzbegcs reign it turned into one of the largest states in the Middle Ages. The struggle of Juji's successors for separation from the Mongolian empire and its transformation into an independent state was crowned with success. By weakening or complete submission of once the former semi-independent uluses belonging to Batucs brothers Khan's power strengthened. Relative centralization of the state was achieved bureaucracy machinery, established both in the center and in the regions. Government of the country was concentrated in the hands of a divan-council. Local Government was concentrated in the hands a local rulers closely related with the central administration which was submitted to the central apparatus - divan - council when under the khan consisting of four ulus emirs. During the reign of Uzbeg was also observed and economic prosperity of the Golden Horde. It was during this period when occured rapid flourishing of cities, but in the thirties of the XIV century the Khan started building a new capital Saray al-Jadid. Trade caravan routes became not only safe, but with good amenities. Khwarezm, Russian, Caucasian, Genoese, Venetian, Egyptian, German and other merchants became regular and usual figures on the Saray markets. The real source of prosperity of the Golden Horde were those enormous riches that flowed together here in the form of tributes, taxes, spoils of war and profits from trade. Transitional position of the state in a powerful double-sided flow of EastWest and taken with Islamic tradition of splendid luxury awakened striving among nomadic elite for changing its, in general, a guite simple way of life for dazzling splendor. At the same time power of the khan himself strengthened excessively, and his authority became unquestionable. In his foreign policy Uzbeg focuses main attention on the continuation on the war against Hülegüids, persistently trying to join Azerbaijan. During the reign of Uzbeg dependence of Russian princes on the Golden Horde became the highest. Against Russian princes was used the very real terror. In 1318 Michael Jaroslavovich Tverskoi was killed, in 1326. - Dmitry Mikhailovich Tverskoi and Alexander Novosilsky, in 1327 - Ivan Jaroslavovich Ryazanskii, in 1330 - Fyodor Starodubsky, in 1339. - Alexander of Tverskoi, and his son Fyodor. Now in Russia permanently appeared the Golden punitive troops. Intimidated Russian princes themselves brought tribute to the Khan's headquarters. The Mongol yoke in Russia entered a new stage, when merciless military pressure was substituted for no less severe, but more sophisticated economy. Finally Uzbeg got 36

an opportunity not to scatter his troops but to concentrate them in the direction of Iran. Uzbeg was to rule for almost 30 years, re-establishing centralized rule from Sarai and restoring stability. Qutluq Timür remained one of Uzbeg’s closest advisors, but was mysteriously assigned the governorship of Khorezm in 1321 in place of Bayalun's brother Bay Timür. Two years later he was reinstated as Uzbeg’s deputy. Uzbeg maintained the alliance between the Khanate of Qipchaq and Byzantium as well as with the Egyptian Mamluks. One of his sons was married to a daughter of the Byzantine Emperor Andronik Paleologus. In 1316 the Mamluk Caliph Nassir sent envoys to Sarai requesting a marriage alliance with a Chinggisid princess, a proposal that initially came as a shock to Uzbeg’s court. It was not until 1319 that Princess Tulunbeg departed for a grand welcome in Cairo; although it seems that the marriage was short lived, causing consternation in Sarai. However after the Mamluks concluded a peace treaty with the Il Khanate in 1323, the influence of the Khanate of Qipchaq in Egypt began to wane. The establishment of the Ottomans in Constantinople in 1354 would lead to the final termination of commercial relations between the Nile and the Volga. Under Uzbeg the Khanate of Qipchaq maintained its hostile stance against Iran. The situation was not helped by Baba Bahadur, a Genghisid prince who relocated his tribal followers to Khurasan in 1305. In 1315 he invaded and pillaged Khorezm, only being ousted as a result of the intervention of friendly Cha'adai forces based in Khojent. A furious Uzbeg sent an ambassador to Iran to complain about the incursion, threatening military action unless the perpetrator was brought to justice. The Il-Khan Öljeytü chose a diplomatic solution and had Baba and his son executed. After Öljeytü's death (in 1316) and the enthronement of his 13-year-old son Abu Said, Uzbeg launched an attack against the Il Khanate, marching south through Derbent in 1318-19. Following the news of Uzbeg’s invasion, many of Abu Said's forces deserted him, but he was saved by the arrival of his military leader, Emir Choban. In 1325 Uzbeg led a second expedition into Iran, which was again repulsed by Choban back onto the Qipchaq steppes. Another major campaign was launched against Azerbaijan in 1334/35. In 1335 Abu Said was in the process of launching a counter attack against the Qipchaq Khanate when he was killed, possibly by poison. He left no male heirs, ending the line of Hulägu and initiating a feud for the succession. In their desperation to find a leader the Il Khanate ulus beys even approached Uzbeg, but he declined after consulting with his senior emir, Qutluq Timür. It was the start of the Il Khanate's fragmentation and decline into chaos. In Russia, the title of Grand Prince of Vladimir passed to Mikhail of Tver in 1304, but he encountered difficulties with the important commercial centre of Novgorod, which refused to accept his choice of governors. Although Novgorod acknowledged his position in 1307, it continued to resist the collection of tribute. Finally Mikhail withdrew his governors in 1312 and laid siege to the city. 37

Following Uzbeg’s succession the following year, Mikhail paid homage to the new Khan, only to find that his absence had been exploited by Yuri, Prince of Moscow, offering to take the Novgorod throne. Mikhail appealed to Uzbeg for military assistance and by 1316 had regained control of Novgorod. In the meantime, Yuri had been summoned to the Volga by the Khan, where he managed to convince Uzbek that he could harvest a higher level of tribute from the Rus territories than his rival Mikhail. Uzbek granted patents to Yuri and cemented them by offering one of his sisters in marriage. However after Yuri returned to Moscow he was attacked by Mikhail. Uzbeg’s sister was captured and eventually died. It was now Yuri's turn to appeal to Uzbeg. Mikhail was summoned to Uzbeg’s encampment close to Derbent in 1319, where he was assassinated. In 1342, one of the most powerful Khans of Golden Horde Uzbeg Khan died. During the 30-yearc reign of Uzbeg the Golden Horde reached the peak of its power. After the Khan's death feudal aristocracy began playing more active role, although it should be noted that it’s strengthening was already noticeable at the end of Uzbegcs life. The thirteen years reign of Dzhanybek was the period of gradual decline of the former might of the Golden Horde. It, first of all, affected their relations with neighboring states. During Dzhanybek's reign occurred clashes with Poland, Lithuania and the Italian colonies in the Crimea. At the same time among the members of the Juji clan emerged strives which ended not in favor of the Khan's authority. Unsuccessful war with the Genoeses in the Crimea and the complication of relations with Poland and Lithuania gave an opportunity to princes of the Juji's ulus, not belonging to the house of Batu, to start a fight with the Khan for restoring independence of the ulus. There are data that the fight of the Ak-Horde prince Mubarak-Khodzha against Dzhanybek in the "Anonymus of Iskander” and other authors, depended on him. His Father Erzen as a vassal of Uzbeg "in everything showed his subordination and obedience". Mubarak-Khodzha, who after his father's death became the ruler of the Ak Horde decided not to submit to the descendants of Batu any more announced himself independent from the khan. These data are confirmed by the Golden Horde numismatics. Coins of Mubarak-Khodzha, minted in the Sygnak, with the title "Sultan Mubarak the true believer- Khodzha, let God continue his kingdom" have preserved. The movement, which began in the Ak Horde against Dzhanybek Khan, the restoration of independence of the former ownership of Orda-Edzhen, was seen in a lot of things – that was a sign of weakening of the Golden Horde, which began with the reign of Dzhanybek Khan. Apparently, the struggle for independence of their uluses also raised Shaybani's descendants. All of this facts witness that in the Juji's ulus began a political crisis, the first signs of which appeared after Uzbeg's death. The crisis worsened in the connection with such a disaster as was a terrible "guest" - the plague, brought from China in 1346. Because of the plague in the lands of Uzbeg were depopulated villages and cities. "According to the Russian chronicles in Saray, Urgench, Astrakhan and other 38

cities died out so many people "there were not the livings to bury the dead. The Golden Horde could not recover from the consequences of the plague for a long time. Only in the last years of Dzhanybek's ruling was able to resume the war against Hülegüids in the Caucasus, which ended with the temporary joining of Azerbaijan to the Golden Horde. Having completed the conquest of Azerbaijan, sick Dzhanybek Khan returned to Saray, having left his son Berdybek instead himself, which was "enthroned sultanat". Under Berdybek the process of weakening the state became even more noticeable. The proof of it was the loss of Azerbaijan included in the structure of the Golden Horde under Dzhanybek. The Golden Hordes, who stayed Tevrize under the governor of the Khan, left Azerbaijan and returned to Saray in two months At the very beginning of Berdybek's reign emerged disagreemence with the Venetians in the Crimea, again only settled in 1358. According to a new agreement the Horde had to make substantial concessions in favor of the Venetians. The latters got the right to trade in Saldana, where they had been banned to go. In addition, customs duties levied in favor of Khan had been reduced by 3%. During those years, the Russian clergy also sought large concessions in their favor. By Berdybek's yarlyk given in November 1357, the Russian clergy were given back the rights taken away earlier by Dzhanybek, it was freed from a tribute in church buildings, was restored independence of the church court within the khan jurisdiction. The sources did not keep any data about the internal situation of the Horde for two years of Berdybek's reign; contemporaries told only of exceptional cruelty of Berdybek towards his relatives. However, the terrorist methods of governance did not strengthen his position: two years later, in 1359 he was killed as a result of another coup d'etat. As Hummer noted with the murder of Berdybek began a continuous run of palace revolutions, accompanied by bloody murders. History of the Golden Horde of this period is dark and extremely complicated, sources - are extremely limited and contradictory. For Reading: Uzbeg Khan wanted to rule from a more impressive city than Sarai and during his reign he established the new capital of Sarai al-Jadid, or Saray the New, some 200km further north on the Volga. The location was at the modern town of Tsarev, near Sarepta, about 55 km to the south of modern Volgagrad. Sarai al-Jadid eventually had a new mosque and a palace for the Khan, a water distribution system, public baths, bazaars and caravanserais. However the date of its founding remains unclear. Ibn Arabshah wrote that it was constructed 63 years before its destruction by Timur in 1395, in other words in 1332. If Ibn Battuta reached Sarai from Hajji Tarkhan in 3 days (see below), Uzbeg Khan must have still been residing at nearby Old Sarai in 1333. We also know that the minting of coins only began at 39

Sarai al-Jadid in the 1340's. The implication is that the new city was still under development in the early 1330's. We have a very good picture of the settled part of the Khanate of Qipchaq from the intrepid Moroccan traveller Ibn Battuta, who travelled through the region in 1333. After embarking on a Greek ship at Sinope (in Turkey) he experienced a stormy passage across the Black Sea en route for Krim (Sudaq). However the ship arrived instead at the port of Kerch in eastern Crimea, and after being advised not to enter the harbour it put ibn Battuta ashore on the flat and treeless Desht-i Qipchaq, from where he travelled by horse-drawn wagon to Caffa. Ibn Battuta stayed in a local mosque but found that almost all the inhabitants were infidels, in other words Christians. They were so alarmed by the clanging of church bells that they climbed the minaret to chant the Qu’ran. Battuta described the city of Caffa as one of the world's celebrated ports, with a wonderful harbour containing about two hundred vessels. He continued his journey by wagon from Caffa to the city of Krim, visiting the Mongol governor Qutlugh Timur. Ibn Battuta's objective was an audience with Uzbeg Khan, and since Emir Qutlugh Timur was about to set out for the Khan's encampment, Battuta's party travelled with him, purchasing four-wheeled wagons bearing portable cart tents for the purpose to travel in the early mornings and afternoons for 21 days to Azaq, continuing on the al-Machar (Majar), "a large town, the Turks one of the finest o cities, on a great river, and possessed gardens and fruit in abundance". From here it took four days to reach the Khan's ordu at Bish Dagh, located on the Stavropol Plateau, just north of the Caucasus Mountains. It was "a vast city on the move with its inhabitants, with mosques and bazaars in it, the smoke of the kitchens rising in the air (for they cook while on the march), and horse-drawn wagons transporting the people". Uzbeg Khan met Ibn Battuta inside his Golden Pavilion with its wooden rods covered with plaques of gold. The Khan sat on a silver gilt couch with legs of solid silver encrusted with jewels, surrounded by his senior wives. From Uzbeg's encampment Ibn Battuta claims to have travelled 10 days to the city of Bulghar, but left us no description of that city. Perhaps this is not surprising since the journey would have taken him far longer. He says that he had intended to travel farther to the north to the "Land of Darkness", a further 40 days from Bulghar, but was dissuaded by the high cost of hiring dog sleighs. From Bish Dagh he accompanied the ordu as it travelled to Hajji Tarkhan, where the Khan spent the hardest months of the winter. Hajji Tarkhan was "one of the finest cities, with great bazaars, built on the river Itil [Volga], which is one of the great rivers of the world". As the surface of the river turned to ice it was covered with straw and used as a highway for wagons. One of the Khan's wives, the Khatun Bayalun, was a daughter of the Greek King of Constantinople and had been given permission to visit her father from Hajji Tarkhan. Ibn Battuta grasped the opportunity to accompany her retinue on the journey to this great city. Surprisingly they travelled overland, crossing the Volga at Ukek, "a city of middling size, with fine buildings and abundant 40

commodities, and extremely cold". From there they journeyed to Baba Saltuq, possibly located on the lower Dnieper or in the Dobruja region of Romania, passing through an uninhabited waste before reaching the territories of the Greeks. On his return he found the Khan had moved Old Sarai and he travelled a 3 day journey up the frozen Volga to meet him. He discovered that the capital was a thriving multi-cultural city: "The city of al-Sara is one of the finest cities, of boundless size, situated in a plain, choked with the throng of its inhabitants, and possessing good bazaars and broad streets. We rode out one day with one of its principal men, intending to make a circuit of the city and find out its extent. Our lodging place was at one end of it and we set out from it in the early morning, and it was after midday when we reached the other end. There are various groups of people among its inhabitants; these include the Mughals [Mongols], who are the dwellers in this country and its sultans, and some of whom are Muslims, then the As [Alans], who are Muslims, the Qifjaq, the Jarkas [Circassians], the Rus and the Rum – all these are Christians. Each group lives in a separate quarter with its bazaars. Merchants and strangers from Iraq, Egypt, Syria and elsewhere, live in a quarter which is surrounded by a wall for the protection of the merchant’s properties. The sultan's palace is called Altun Tash, altun meaning gold and tash head [actually stone]." Ibn Battuta travelled from Sarai to Urgench via Saraichik, spending 30 days to cross the Ustyurt desert: "... We arrived at Khorezm [Urgench] which is the largest, greatest, most beautiful and important city of the Turks. It has fine bazaars and broad streets, a great number of buildings and abundance of commodities; it shakes under the weight of its population, by reason of their multitude, and is agitated by them in a manner resembling the waves of the sea. I rode out one day on horseback and went into the bazaar, but when I got halfway through it and reached the dense pressure of the crowd at a point called al-Shawr [crossroad], I could not advance any farther because of the multitude of the press, and when I tried to go back I was unable to do that either, because of the crowd of people. So I remained as I was, in perplexity, and only with great exertions did I manage to return." The city had a new college (medresseh), recently built by Qutlugh Timur in which Ibn Battuta stayed, a cathedral mosque built by the emir's pious wife, the Khatun Turabeg, a hospital with a Syrian doctor. The Franciscan missionary Giovanni de Monte Corvino had been sent to China by Pope Nicholas IV in 1291 and became the Bishop of Khanbaliq in 1307. He died in 1328. In 1336 the Great Khan sent envoys to the Pope requesting the need of clergymen to satisfy the spiritual needs of his 30,000 Christian Alan mercenaries in China. In response the Franciscan theologian Giovanni de Marignolli of Florence laed a fifty-man mission, this departed from Avignon in late 1338. It would be the last recorded Christian embassy to visit a Great Khan in the East. The mission sailed from Constantinople to Caffa in 8 days and then travelled to visit Uzbeg Khan and his eldest son Janibeg, presenting them with 41

letters and Papal gifts including textiles, strong liquor and "a great war horse". Spending the winter of 1339-1340 as guests of the Khan, they continued their way to Urgench, overloaded with presents and with horses, passing through Almaliq to reach China in 1342. His mission spent three years in Khanbaliq, after sensing increasing instability that would soon lead to anti-Mongol violence in 1348 and the eventual overthrowing of the Mongol dynasty in China some twenty years later. Sadly Giovanni de Marignolli provided us with no details of the Khanate of Qipchaq through which he travelled. Another Franciscan, the Spanish Friar Pascal of Vittoria, had followed the first part of Marignolli's journey one or two years before him on his way to the Bishopric of Illi. He sailed first from Constantinople to the Crimea before taking a second ship across the Azov Sea to Tana. From there Greek guides escorted him to Sarai by wagon. After spending a year in Sarai, during which he learnt the local Cumanian-Qipchaq language, Pascal left by boat along the Volga and then travelled overland to Saraichik. From there he travelled for 50 days by camel cart to Urgench. He finally reached Almaliq in 1338, where he was martyred just two years later. Our final piece of information about the Khanate of Qipchaq comes from the Pratica della Mercatura, or Merchant's Handbook, written by the Florentine merchant Francesco Balducci Pegolotti around 1340. His travel information indicated that it was 25 days by ox-wagon or 10 to 12 days by horse-drawn wagon from Tana to Astrakhan and then one day by river to (Old) Sarai. From Sarai to Saraichik it took another 8 days. By camel wagon it was 20 days from Saraichik to Urgench and a further 35 to 40 days to Otrar, but only 50 days direct from Saraichik to Otrar. Otrar to Almaliq was 45 days by pack ass. Beijing took a further 150 days. Pegolotti recommended that merchants should not shave, allowing their beard to grow long. He advised that the road from Tana to Cathay was perfectly safe by day and by night, but that one should seek information from other merchants along the road. The roads were generally well policed by the Mongols. However the road from Tana to Sarai was the least safe for journey. Indeed Pascal of Vittoria complained that beyond Urgench the caravans had to stop in all the towns for fear of robbers. Clearly the Pax Mongolica had its limitations. Pegolotti also listed some of the merchandise traded through the port of Tana: iron, tin, and copper; saffron, pepper, ginger, and coarse spices; cloth of silk or gold, canvasses, cotton, silk, flax and madder; wheat, pulses, suet, cheese, oil, honey, wine and caviar; amber, gold and pearls; wax and laudanum; and ermine, fox, sable, wolf skins, deer skins, ox, and horse hides. Of course the western envoys and missionaries who crossed the Qipchaq steppes to visit the courts of the Mongol Khans made little contact with its nomadic tribal inhabitants. Consequently our knowledge of the nomadic population remains scant. 42

Firstly we must remember that very few Mongols remained in the Khanate of Qipchaq after its creation. After the conquest of Khorezm the bulk of the Mongol cavalry returned to Mongolia. Only a few regiments were left behind commanding large numbers of Qipchaq and other nomadic mercenaries who had aligned themselves with the Mongol cause. Rashid al-Din recorded that the Mongol army numbered 129,000 men at the time of Chinggis Khan's death in 1227 and that they were divided so that 101,000 remained in Mongolia under the command of Tolui. It is likely that these subsequently came under the control of Ögödei, even though Rashid ad-Din claims, that following his death they came under the control of Tolui's wife Sorqoqtani Beki and her sons. Genghis's other sons, Juji, Cha'adai and Ögödei each received just 4,000 troops, the remaining 16,000 being distributed to Genghis's wife and brothers. Following Juji's death his army was divided equally between Batu and Orda. However by 1236, Batu's army was claimed to be of the order of 150,000 men, the bulk of whom were undoubtedly nomadic Qipchaqs and Qanglis, along with immigrant Turks such as the Uighurs. The political structure of the Mongol state and its nomadic pastoral economy was very much in harmony with that of the Qipchaqs, many of whom re-aligned themselves with the tribal structures of their Mongol leaders. Of course, Batu and Orda were supported with huge reinforcements from Mongolia for the invasion of Bulghar and Russia, and although we do not have any numbers, it is likely that the bulk of these forces returned to Mongolia with Güyük and Möngke. As a result of this campaign Batu's army absorbed other nomadic groups such as the Alans. In time the influence of the Turkic majority led to increasing Turkization of the Mongol leadership. We know from the pioneering work of Uli Schamiloglu that the leaders or emirs of the four major tribes – the so-called ulus emirs - played an important role in the governance of the Khanate. It seems likely that Qutluq Timür was the most senior of these four emirs and Ibn Battuta refers to several other important individuals who might have been other members of this small ruling elite: Isa ibn Körköz, who acted as Uzbeg's deputy for a short period in 1320, Tuluq Temür, Uzbeg representative in Krim, and Muhammad Xoca, the governor of Azaq. However the names of these individuals are of little value since we do not know their tribal associations. Whilst the well travelled historian from Damascus, Ibn Arabshah, mentions in the early XVth century that the vezirs of the Cha'adai ulus were also rulers of the four leading tribes, namely the Arlat, Jalayir, Qavchin and Barlas, we unfortunately have no historical reference about the leading tribes in Juji 's ulus. We know that four leading tribes of the 16th century Great Horde were the Qiyat, Manghyt, Sicivut and Qonqirat. Of course we cannot directly infer that these were the same four tribes that lead the Khanate of Qipchaq in the XIVth century, although it is likely that that they were still important tribes at this earlier time. We know from the work of Rashid ad-Din that many Qipchaq Khans and Princes had Qonqirat mothers and wives, following earlier Mongol traditions. Many Onggirats must have migrated westwards into the Irtysh under Jöchi, 43

moving on to the Volga under Batu. Writers such as Juvaini and Rashid ad-Din called them Qonqirats, possibly from the Turkish words qonghur at, meaning chestnut or bay horse. Juji Khan's mother, Börte Fujin, was a Qonqirat, as was his chief wife Sorghan (the mother of Orda) and his senior wife Öki Fujin (the mother of Batu). Orda had three chief wives, all from the Qonqirat, but we do not know the tribal identity of the wives of Batu or Berke. We know that one of Möngke Temür's chief wives was Qonqirat (another was Üshin), and was the mother of Toqta Khan. Toqta had two chief wives, one of whom was also Qon-qirat. T!de Möngke also had two chief wives, one Qonqirat, an other Alchi-Tatar. By contrast the position of the Mangqut, Manghït or Manghyt tribe in the Khanate of Qipchaq during the XIVth century remains unclear. According to the Zafar Nama, written by Sharaf ad-Din Ali Yazdi in Fars in 1424-25, the Manghyt were a tribe belonging to the Khanate of Qipchaq which gave rise to the XVth century ruler Idegu. In the historical sources the Manghyt ulus only emerges later in association with the Nogay Horde located in the lower Volga and Ural Rivers. Likewise we have no historical references to the Qiyat. Obviously the Qipchaq Khans Jöchi, Batu, Berke, Möngke Temür, Töde Möngke, Töle Buqa, Toqta and Uzbeg were all members of Chinggis Khan's Qiyat clan, as were their offsprings. We can therefore infer that the Qiyat must have been a very important tribe within the Khanate at this time. Rashid ad-Din mentions names of a few additional tribes in the Khanate of Qipchaq during the late XIIIth and the first half of the XIVth century. These mainly concern the tribal affiliation of the wives of the various princes and include the Oiyrat, Qoldaq, Söldüs, Üshin, and Tatar tribes. Further information about the Qipchaq steppe tribes is given in the much later Umdet ul-ahbar, written in the XVIIIth century by Abdulgaffar, a Crimean Tatar. This mentions the Qangli, the Sicivut, and especially the Qiyat. It is also likely that the =irin were another important tribe within the Khanate of Qipchaq, since we know from later sources that the =irin were one of the leading tribes in the Crimean and Kazan Khanates. The Umdet ul-ahbar records that the =irin were descended from a particular branch of the As and had their own specific tamga. The As or Alans were conquered by the Mongols in about 1240, after which many Alan warriors were recruited into the Mongol army, some serving as far away as China. Test questions: 1. What was the strengthening of the Golden Horde in the domestic sphere? 2. How did the strengthening the Golden Horde in foreign policy express? 3. Tell us about Uzbeg Khan’s reforms aimed at centralizing his government. 4. Compare of Batu Khan and Uzbeg Khan’s internal politicies. 5. Summarize the results the Golden Horde’s development for a hundred years of its existence. 44

1.2.6 Kazakhstan in the structure of the Golden Horde during the sedition (1359-1379) From the murder of Berdybek in 1359 till accession of Tokhtamish to the throne in 1379, i.e. for 20 years, in the Horde changed over 20 khans. They followed one another with such rapidity, that chroniclers even did not manage to introduce their names in their chronicle records. By that time, can be referred the separation of the Khwarezm region of the Jujis from the Golden Horde and establishment in the Khwarezm a new state entity under the authority of the Sufis. Minting of the Golden Horde coins with names of the Khans of the Golden Horde stopped from 1361. Earlier than Khwarezm, from Saray began separating OrdaEdzhen's Ulus. Here, the separatist movement began as long ago as under Dzhanybek, but then an attempt of Prince Mubarak-Khoja, who refused to recognize authority Dzhanybek's, over him ended unsuccessfully, Chimtay Mubarak Hodga's brother was recognized Dzhanybek. During the 17-year's s control of Ak-Orda by Chimtai in western possessions of the Golden Horde began a sedition, which turned out to be very favorable for separating the Ak-Horde from Saray. As it is from "the Anonymous Iskander», the last years of his life the ruler of the Ak-Horde Chimtay spent with full independence in the former OrdaEdzhen's Ulus. But under Urus-Khan, Chimtay's son, the Ak-Horde turned into an independent state. Probably, the same independence sought Shayban's descendants in their uluses. Disintegration of the Golden Horde into a number of independent principalities so weakened Juji 's states that khans, being busy with fighting among themselves, completely lost not only their power over their conquered peoples, have lost their influence in the neighboring states, but also in their own possessions. For example, we can recall the Crimea, where in those years the Genoeses and the Venetians, taking advantage of anarchy, could considerably strengthen their positions. Under Berdybek to the Venetians belonged in the Tan only one block. For the governing of the Dzhanybek's son Berdybek (1357-1359) were characteristic terrorist methods of governance. He practically almost killed all his enemies. As a result in the Golden Horde did not remain a single representative of the male Batu. In the history of the Golden Horde the period from 1359 to 1380 is called the period of twenty-year civil intestine. For 20 years on the throne of the Golden Horde replaced over 25 khans. In this period, a number of territories separated from the Golden Horde - in 1359 - the Pruto-Dniester country. There was formed a Moldavian principality. In 1361 - Khwarezm region- where was formed a new State under the power of the Sufis. After Berdybek’s death - last Batu's descendant of (1359) the Golden Horde split into two parts: East and West. In the eastern part became independent the south-east region (the middle stream of the Syr Darya). In the western part - became independent the Lower 45

Volga region where ruled Saray khans. In the Black Sea and Crimea ruled Mamai. In Volga Bulgaria - Prince Bulat-Timur. In 1370 the head of the eastern Uluses - Urus-Khan, a descendant of OrdaErdzhaen tried to unite western and eastern parts. He seized power in Saray, but could not hold it and returned to the banks of the Syr Darya in his own possessions (1375). In 1377 Urus-Khan died. Tokhtamish (a descendant of Tukay Timur) was able to unite the Golden Horde. In 1378 he sat on the khan's throne in Sygnak with the support of Emir Timur, and then with his support - on the Golden Horde throne. Soon he managed to unite all the Juji’s possessions, restore the country's strong power. But that fact, that he began a war against Amir Timur finished him and the war, which lasted for several years, ended with dethroning Tokhtamysh in 1395. He perished in 1405 near Tyumen (from Shadibek) or on the Terek River from Timur. So, in the xvth century the Golden Horde disintegrated. The reasons for the collapse of the Golden Horde were: 1. The ulus-appanage system led to its disintegration, i.e. internal factors of its development. On the territory of the Golden Horde there were historical and geographical regions, that were centers of uluses - Middle and Lower Povolozhe, Dniester, the Crimea, Northern Caucasus, Khwarezm, Eastern Dasht-i Qipchaq. The Golden Horde could function only under very strong rulers. When khan power became less, than the power of ulus rulers, they became independent from the central authority. 2. The geopolitical situation. Near the Golden Horde emerged new states, new regional centers of power. In the south and south-east - the Empire of Timur and the Timurids. In Eastern Europe - the Grand Principality of Moscow, the Russian state, the Polish-Lithuanian state, Moldavian, Hungarian principalities. In 1430-1470 the Golden Horde split into pieces, headed by the Jujis of different lines. In the western parts of the Golden Horde formed the following states: In 1445 in the Middle Volga - Kazan Khanate headed by Ulugh Muhammad. In 1449 the Crimean Khanate formed, headed by Hajji Giray. In the middle of the XV century in the Lower Volga region centered the third Khanate (Astrakhan Khanate) at the Astrakhan Khanate. In the second half of the XV century in the Western Siberia formed the Siberian Khanate. In the XVth century considerably weakened Russia’s dependence on the Golden Horde. In the 1480 Ahmad Khan of the Big Horde, which was a successor of the Golden Horde for some time, tried to get obedience from Ivan the third, but this attempt ended unsuccessfully. In 1480 the Russian people finally liberated from the Mongol yoke. The Big Horde ceased its existence in the early of the XVIth century.

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Test questions: 1. Which territories were lost for the Golden Horde during the 20 years - civil strife? 2. Why do we say that the 13-year’s reign of Dzhanybek was a period of gradual extinction of the Golden Horde state power? 3. What were the signs of the political crisis that began in the Golden Horde after Uzbeg Khan’s death? 4. When did the Orda-Edzhen's Ulus begin separating from the Golden Horde? 5. What sources did the Golden Horde’s history of the civil strife period (1359-1379) find its refltction in?

1.2.7 South and South-Eastern Kazakhstan in the structure of the Chagatai Khanate (XIII-XV cc.) The Chagatai Khanate was a Mongol, and later linguistically Turkicized, khanate that comprised the lands ruled by Chagatai Khan (alternative spellings Chagata, Chugta, Chagta, Djagatai, Jagatai, Chaghtai), the second son of the Great Khan Genghis Khan, and his descendents and successors. Initially it was considered a part of the Mongol Empire, but later became it fully independent. At its height in the late of the XIII century, the Khanate extended from the Amu-Darya south of the Aral Sea to the Altai Mountains in the border of modernday Mongolia and China. The khanate lasted in one form or another from the 1220s until the late of the XVII century, although the western half of the khanate was lost for Tamerlane in the 1360s. The eastern half remained under Chagatai khans who were, at times, allied or at war with Timur's successors. Finally, in the XVIIth century, the remaining Chagatai domains fell under the theocratic regime of Apaq Khoja and his descendants, the Khojijans, who ruled East Turkestan under Dzungar and Manchu overlordships consecutively. Formation of the Chagatai Khanate Genghis Khan's empire was inherited by his third son, Ögedei, designated by Great Khan, who personally controlled the lands east of Lake Balkash as far as Mongolia. Tolui, the youngest, the keeper of the hearth, was accorded the northern Mongolian homeland. Chagatai, the second son, received Transoxania, between the Amu-Darya and Syr Darya rivers in modern Uzbegistan, and the area around Kashgar and Semirech'e. He made his capital at Almalik near what is now Kulja in northwestern China. Apart from problems of lineage and inheritance, the Mongol Empire was endangered by the great cultural and ethnic division between the Mongols themselves and their mostly Islamic Turkic subjects. When Ögedei died before achieving his dream of conquering all China, there was an unsettled transition all period of passing power to his son Güyük (1241) overseen by Ögedei's wife, Töregene who had assumed the regency for the five years following Ögedei's death. The transition had to be ratified in a kurultai, 47

which was duly celebrated, but without the presence of Batu, an independentminded khan of the Golden Horde. After Güyük's death, Batu sent Berke, who maneuvered with Tolui's widow, and, in the next kurultai (1253), the Ögedite line was passed over for Möngke, Tolui's son, who was said to be favorable to Nestorian Christianity. The Ögedite ulus was dismembered; only the Ögedites, who not immediately went into opposition, were given minor fiefs (feudes). Chagatai died in 1242, shortly after-his brother Ögedei. For nearly twenty years after this the Chagatai Khanate was less more than a dependency of the Mongol central government, which deposed and appointed khans as he pleased. The cities of Transoxiana, while located within the boundaries of the khanate, were administrated by officials who answered directly to the Great Khan. This state of subservience to the central government was ended during the reign of Chagatai's grandson Alghu (1260–1266), who took advantage of the civil war between Khubilai and Ariq Boke by revolting against the latter, seizing new territories and gaining the allegiance of the Great Khan's authorities in Transoxiana. Most of the Chagatayids first supported Khubilai, but in 1269 they joined forces with the House of Ogedei. Alghu's eventual successor, Baraq (1266–1271), who expelled the Khubilai Khan's governor to Chinese Turkestan, soon came to conflict with the Ögedite Kaidu (Qaidu), who gained the support of the Golden Horde and attacked the Chagatayids. Baraq was soon confined to Transoxiana and forced to become a vassal of Kaidu. At the same time, he was at odds with Abaqa, the Ilkhan, who ruled his Ilkhanate in Persia. Baraq attacked first, but was defeated by the Ilkhanate army and forced to return to Transoxiana, where he died not long after. The next several Chagatayid khans were appointed by Kaidu, who maintained a hold, upon the khanate until his death. He finally found a suitable- khan in Baraq's son Duwa (1282–1307), who participated in Kaidu's wars with Khubilai khan and his successors of the Yuan Dynasty. The two rulers also were active against the Ilkhanate. After Kaidu's death in the first decade of the XIIIth century, Duwa threw off his allegiance to his successor. He also made peace with the Yuan Dynasty and paid tributes to the Yuan court; by the time of his death the Chagatai Khanate was a virtually, independent state. End of Chagatayid rule in Transoxiana Duwa left behind-numerous sons, many of whom became khans themselves, including Kebek (1309, 1318–1326), who instituted a standardization of the coinage and selected a sedentary capital (at Qarshi), and Tarmashirin (1326– 1334), who converted to Islam and raided the Sultanate of Delhi in India. The center of the khanate was shifting to the western regions, i.e. Transoxiana. Tarmashirin, however, was brought down by a rebellion of the tribes in the eastern provinces and the khanate became increasingly unstable in the following years. In 1346 a tribal chief, Qazaghan, killed the Chagatai khan Qazan during a revol. 48

Qazan's death marked the end of effective Chagatayid rule over Transoxiana. Administration of the region fell into the hands of the local tribes (which were mostly Turkic or Turko-Mongol) who were loosely, allied with one another. In order to legitimatize their rule, they maintained a member of the house of Genghis Khan on the throne, but these khans were no more than puppets. Using the disintegration, Dzhanybek Khan of the Golden Horde asserted. Jujids dominance over the Chagatai Khanate, attempting to unite three khanates of the Mongol Empire. But the Jujids lost Azerbaijan to the Jalayirids and the Chagataids expelled his administrators after his death in 1357. The only serious attempt to restore Chagatayid rule in Transoxiana came from Tughlugh Timur (who will be discussed below), who invaded Transoxiana twice and attempted to neutralize the power of the tribes. He was unsuccessful, however, and died soon afterwards. When his army departed the region, control of Transoxiana was contested by two tribal leaders - Amir Husayn (Qazaghan’s grandson) and Timur or Tamerlane. Timur eventually defeated Amir Husayn and took control of Transoxiana (1369–1405). Like his predecessors, Timur maintained a puppet khan on the throne to legitimatize his rule, but his khans were members of the house of Ögedei, not descendants of Chagatai. For over three decades, Timur used the Chagatai lands as the base for extensive conquests, conquering Herat in Afghanistan, Shiraz in Persia, Baghdad in Iraq, and Damascus in Syria. After defeating the Ottoman Turks at Angora, Timur died in 1405 while marching on China. After his death his successors, the Timurids, are also reported to have had their own shadow khans until the mid-XVth century. Nevertheless, the Chagatai legacy lived on; Timur's troops were called Chagatais, and the literary language used the Timurids and their Moghul neighbor to the east was called Chagatai Turkic. Timur's State (end of XIV - XV cc.) As stated above in the fifties-sixties of the XIV century a political situation was unstable. From one side there was breaking up of the country to small not strong feudal estates, which constantly were at war with each other. From the other side, there was a strengthening aspiration of every Mongolian khan for taking possession of all Maverannahr. Timur's activity was begun in such conditions. Shortly after he could form an extensive world empire. Timur, the son of Barlassk beck, emir Taragay(i) was born in the settlement Hodja Ilgar (not far from the town Shahrisabz). From the young years Timur was acquainted very well with a military affair and took part in an intestine war. Timur well knew life of nomad-cattlebreeders, settled agriculturists and townspeople. He was distinguished in a period of attack of the Mogolistanian khan Togluk-Timur Maverannahr. Timur went to work for Togluk-Timur. He handed Timur management of the Kesh vilaiet and he went himself home to Mogolistan. Thus when Timur was 25 years old he became an owner of a not big but rich tumen. 49

Timur did not serve long to the Moghulistan khan. When Tughlugh Timur sent his son Ilias-Hodja to govern Maverannahr, he interrupted their relations and became a self-dependent owner. It was possible that the breaking-point took place thanks to Husein's countenance. Husein was a grand son of an influential Turkic emir Cazagan. In 1361 Timur entered into an alliance with him. The alliance of the emirs was a considerable force in Maverannahr. It was mainly used for fighting against neighbours. During the military marches (to Seistan) Timur got a heavy injury in the right hand and the right leg Afterwards his hand was entirely wasted away and Timur was lame in his right leg all his life, therefore he received a nickname "Timurleng" - "Timur-lame leg". He was Tamerlan in the European pronunciation. After Togluk-Timur’s death Ilyas Khoja Khan , driven out of Maverannahr, didn't want to conciliate with his position. And in 1365 he took the field against Maverannahr with a big army. Timur and Husein suffered from a defeat, because of non-coordination of actions. Both emirs left the field of the battle and went away with the rests of the army firstly to the side of Samarkand and then to the south to the Amu Darya. They crossed the river and managed to lose themselves in the Balh region. Husein and Timur’s flight opened the enemy the way to Samarkand. At that time in the town there was a considerable group of the sarbadars fortunatedly to the town’s people. Sarbadars as a social movement appeared in Horasan in the first half of the XIV century and was directed against a predary politicy of the Mongols and their orders. It is not without interest their own names. The names of the participants of that movement were "sarbadary". It means "hanged men". They gave that name to own themselves. They told that, if it is success, they will liberate the people from violence of the Mongolians and their functionaries. If they do not turn out well they will be ready to come to the gallows. Sarbadars could create a self dependent state with the centre in Sebzevar in Horasan. It existed almost during 45 years that is from 1337 to 1381. Sarbadar Hodja Yahiya played a big role in the creation of this state. In the Sarbadar state there was its own coin, own troops. They could introduce a firm order. The positive peculiarity of the Sarbadar state was that it did not create its own governing dynasty. When the news of approaching Ilias-Hodja's Mongolians came to the townspeople of Samarkand, the Sarbadars called the people to show resistance to the Mongolian troops. Maulana-Zade, Abubekr Kelevy and Hurdekand-Buhary were distinguished among the Samarkand Sarbadars. Having received the people's consent, the Sarbadars under the leadership of Maulan-Zade and Abubekr Kelevy became an energetic preparation for the defense of the town. When the Mongolians came up to the town, they got into a made ambush. They suffered major casualties and were obliged to fall back. Ilias-Hodja was obliged to leave firstly the environs of Samarkand and then the territory of Maverannahr. The news about a victory of the Sarbadars over IliasHodja reached the emirs Husein and Timur. They met and moved together to 50

Samarkand. Both emirs gave the Sarbadars to understand that they approved their actions and would like to meet with them. The Sarbadars believed "kind" intentions of the emirs. Many tokens of attention were showed really to them during a cordial reception. However, when they appeared again at the headquarters of Ilias-Hodja and Timur next day they all were seized and executed with the exception of Maulan-Zade who was saved by Timur's intercession before Husein. Between Husein and Timur there were some differences of the problem for the Sarbadars with whom Timur had had the old connections. Having finished with the Sarbadars and their leaders, Husein and Timur subordinated Samarkand to themselves again in spring of 1366. Day by day relations between Timur and Husein became worse and worse. Timur better than Husein understood demands of that time. He was surrounded by the clergy and the townspeople who treated his political line with sympathy. At the end of 60th Husein began strengthening Balh that belonged to him. He rebuilt a citadel Hinduvan in it and restored the town walls. Understending well Husein's actions Timur decided to prevent Husein's actions. In 1370 he gathered well-armed troops and besieged Balh. After considerable efforts they seized the town. Seizure of Balh and the death of Husein became decisive events in Timur's life. At the curultay of the commanders of the troops (the commanders of the tumens and thousands) Timur was proclaimed an only sovereign. After he got married to Genghisid emir Husein's widow he got the title "Curagany". Influence and authority of Timur became boundless. From Balh Timur turned to his native town Kesh (Shahrisabz) where he was engaged by setting internal affairs of his state. His basic problem was to overcome breaking up to unite separate estates and to create a firm and strong state. In 1370 Timur moved to a new residence, to Samarkand where became to arm the walls of the town, the citadel and the palace. Timur knew that the country needed strong power that could suppress feudal discords and secure an unbroken trade and flourishing of the towns and settlements. Prosperous handicraftsmen, merchants, landowners and representatives of Moslem priesthood supported him. Timur won round and subordinated small owners of Maverannahr to himself organizing some marches to the neighboring countries. Timur united and subordinated the lands between the Amu Darya and the Syr Darya and also. Ferghana and Shash region without special trouble. It was quite another matter with Khwarezm! Under the power of the Mongolians Khwarezm was divided into two parts: Northern Khwarezm with Urgench became apart of the Golden Horde, Southern Khwarezm with Kiat became apart of the ulus of Chagatay. At the beginning of 60th vague times came to the Golden Horde after the death of khan Berdybek (1359). The self-dependent dynasty Sufy was nominated from the tribe "cungrat". Husein Sufy began unification of Northern and Southern Khwarezm and took possession of two towns: Kiat (a fortress at that time) and Khiva. In 1372 Timur sent to Husein Sufy an ambassy with a request to return the seized towns. Husein refused to carry out this request. Timur immediately moved his troops 51

against him. Husein took cover in the citadel of Urganch and he shortly after was dead. It happened in the same 1372. The palace of Husein was occupied by his brother Yusuph Suphy (1373-1380). Timur suggested peace to him. One of the conditions was a request of his son Djehangir Hanzade to get married to Husein's daughter, Uzbeg -Han's granddaughter. Usuph-Suphy agreed. After Timur went away, Yusuph Suphy did not carry out the conditions of peace and seized Kiat again. He called out the second march of Timur by his actions to Khwarezm (1373-1374), but an armed conflict did not take place. Yusuph obeyed and promised immediately to carry out all conditions of peace. As a result of it Southern Khwarezm was an organic part of Timur's state however the success turned out temporary one. In 1375 Timur was at war with Urus-Han. Taking advantage of Timur's absence Yusuph Suphy occupied Southern Horezm again. Mutual affairs and offences were continuing till 1379 when Timur seized Urgench after a siege that continued for three montls. Thus Southern Horezm finally was an organic part of Timur's empire. At the end of 80th Tohtamish, the ruler of the Golden Horde evidently looked for case to come into collision with Timur seeking to turn off Timur from the Iranian marches. In 1387-1388 Tohtamish used Timur's absence and attacked Maverannahr. Suleiman Suphy rose against Timur and Timur accomplished his last march against Horezm (in 1388). Taking possession of Urgench Timur abolished the dynasty of suphy and moved the inhabitants of Urganch to Samarkand. Timur being at war with Tohtamish sought completely to weaken him. Timur saw a constant threat to his state from an existence the mighty Golden Horde. He had three big marches against Tohtamish (in 1389, in 1391 and in 1394-95). Timur still accomplished some marches to Iran. In the second half of the XIV century after a fall of Hülegüids's State (in 1256-1336) Iran was divided into some estates: the state of Djalalurids (1336-1441) in Azerbaijan, the state of Sarbadars (1337-1381) in Sebzevar, one of the biggest regions of Horasan, and the estate of Curts with the centre in Herat That estate existed independently for about ten years. In 1381 Timur accomplished a march to Herat and took it. He subordinated the dynasty of Curts to himself. After death of the last representative of that dynasty in 1338 it stopped its existence. In 1381 the state of the sarbadars stopped its independent existence. It happened almost with a fall of Herat at the same time. The last Sarbadar ruler Ali Muaiad voluntarily, on his own initiative, handed the lands and authority to Timur. To the middle of 80th of the XIV century all Horasan still belonged to Timur. But his movement to the depth of Iran did not stop. Timur accomplished three morelengthy marches to Iran. Those marches were successful and were finished by a subjugation of the whole Iran. More than once Timur went with big troops to Azerbaijan but subjugated it only in 1397. Armenia and Georgia were subordinated in 1392. In the Indian march (1398-1399) Timur defeated utterly dehliy sultan and seized the celebrated town Dehli (Delhi) and the regions lying near it. 52

In 1400 Timur began struggle against the Turkish sultan Baiazed I and the Egyptian sultan Pharadj, seized Sivas in the Asia Minor and Haleb (Aleppo) in Syria. In 1402 in the battle under Ankara the mighty Osman sultan was defeated utterly and was taken as a prisoner. During several years Timur prepared the march to China with great care and began it at the end of 1404 coming forward with 200-thousand troops. The death of Timur, that happened on the 18 th of February in 1405 in Otrar, interrupted that march. Timur's aggressive wars are explained by deeper causes than by wish to seize a rich spoil. Timur put an aim to achieve a dominion over the roads of the world caravan trade (the countries of Europe and Front Asia with Far East). He sought to destroy the northern trade way going across the territory of the Golden Horde and to direct the trade on the old way through Central Asia. He was led by just those considerations when in 1395 he almost completely destroyed the trade towns of the Golden Horde (Azov, Saray, Urgench and the others), playing an important role in the caravan trade. Only Timur's death and further political complication prevented to realize that plan. After Timur's death in Maverannahr an intestine and dynastic wars took place continuously for five years (from 1405 to 1409). The extensive state was created by the continuous wars. It did not preserve its unity even after stopping the struggle for inheritance. Shahruk (1409-1447) was considered nominally a head of the united Timur's power. However it was actually consisted of two states. One of them was Horasan with its own capital - Herat. The other state was Timur's state with its own capital - Samarkand. When Shahruk announced his son Ulugbek the ruler of Samarkand, he considered him to be his vicegerent but not as an independent ruler. However Ulugbek became an independent ruler shortly after and stayed till his death (1449). Actually those two states were not united stated. Every separate state was a union of small feudal estates. Timurids stayed at the head of them. When Timur was alive the separate regions of his state have already been distributed among his sons: Djehangir, Omar-Sheih, Miran-Shah, Shahruh and their descendants: Muhammed-Sultan, Pirmuhammed, Ibrahim, Ulugbek and the others. After Timur's death the heirs, ruling over their appanages, looked on themselves independent sovereigns. They were obliged to subordinate to the head of dynasty, Shahruh who was sitting in Herat. But they wanted to have only vassal relations. Shahruh, from his side, did not see them as the trustworthy sovereigns for himself. As a result he tried to change their staff. He wanted to replace Timur's sons by his own sons. He considered that his sons would be more obedient than the nephews and the other relatives. Shahruh began to struggle with the descendants of his brothers: Djehangir, Omar-Sheih and Miranshah. Original reflection of that rivalry among Shahruh and his nephews became Ulugbek's march against Ahmed, Omar-Sheih's son, possessing Ferghana, in 1413. By the beginning of 20th of the XV century all Timur's inheritance had been concentrated in the hands of Shahruh and his family. 53

From 1409 Ulugbek ruled in Samarkand; from 1414 Ibrahim-Sultan ruled in Shiraz; from 1418 Suyurgatmish ruled in Kabul, Gazna and Kandahar. However Shahruh made a mistake. He did not settle accounts with his sons and grandsons. It was found that his sons and grandsons were less reliable than his nephews. Thus his grandson Sultan-Muhammed (Baisunkur's son), who became a ruled in Iran, did not want more to consider himself as Shahruh's vicegerent. He wished to widen his domains at the expense of joining the western regions of Iran. In 1446 Shahruh was obliged to go at the head of big troops himself to pacify the unruly vassal and to call him to order. Even after Shahruk's death (in 1447) the Timurid's could not to hold in their hands the western regions of Iran. In 1453 Djehanshah, the leader of the Turkmenian dynasty Kara-Kojunlu, the ruler of Azerbaijan joined by force Western Iran to Azerbaijan. He ruled from 1436 to 1467. Thus he created the new great state side by side with Timurid's state. Ulugbek did not also create political stability in his state. His forces were only enough to defend his own real independence before his father. Ulugbek (his true name was Muhammed Taragai) was born on March the 22 nd of 1394 in the town Sultania during Timur's march to Irak and Azerbaijan. He was the eldest son of Shahruh and his wife Gauhar-Shad. Timur's eldest wife Sarai Mulk-Hanim was appointed as a tutoress of Ulugbek. When Ulugbek was 10 he was merried to Oge Begum, Muhammed Sultan's daughter. Oge Begum was descended from the family of khan Uzbeg (1312-1342) of the Golden Horde from the mother's line. Ulugbek received the right to get the title of "kuragani" which was carried by Timur. In 1409 Ulugbek was 15 years old and he became the ruler of Samarkand. It was natural that Ulugbek could not rule without assistance. Shahruh appointed Shah-Melik as a guardian for Ulugbek. Shah-Melik was faithful dignity who became the real ruler of Samarkand. From 1411 Ulugbek still became a self-dependent ruler. The boundaries of Ulugbek's state almost coincide with the present boundaries of Uzbegistan. Besides a part of the basin of the Sir Darya from Otrar and almost to the town Signak was also an organic of his state. The first nomadic tribes of Uzbegs appeared on the boundaries of the state from the side of Desht-i Qipchaq in the first years of Ulugbek's government they penetrated there by the Amu Darya and the Syr Darya. They forayed even to Horezm from where they were dislodged by Shah-Melik. Ferghana was also under the power of Ulugbek. The ruler of Ferghana was Ahmed, Omar-Sheih's son and Ulugbek's cousin. He led an independent policy. Ulugbek had to come forward with the troops to subordinate that region to him. Ulugbek kept lye to the events on the Lower Syr Darya. In 1419 Czarevitch Barak-Oglan, Urus-khan's grandson, come up to Ulugbek and made a request for helpness against Muhammed-Han, Tuga-Timur's descendant. Early he suffered defeat from him. Ulugbek decided to have his own henchman in the Uzbeg nomadic steppe. It was profitable. As a result Ulugbek and Barak went by a march to the Syr Darya. The opponent did not take the battle and went away to the 54

steppe. Ulugbek came back to Samarkand. After the battle in 1425 Czarevitch Barak became a khan in the ulus of the nomadic Uzbegs and later he caught the capital of the Golden Horde. Shortly after Ulugbek was obliged to take the field against Shirmuhammed to Moghulistan . Shirmuhammed tried to interfere with the affairs of Maverannahr. In spring of 1425 the main forces of Ulugbek acrossed the river Chu and met Shirmuhammed's troops in the mountains near Ketmen-Tepa. The battle was finished by Ulugbek's victory. He came back with a big spoil to Samarkand. Shortly after the relations between Ulugbek and Barak became worse. Barak wanted to have total self-dependence and he mainly laid claim to the lands along the Syr Darya round the town Sighnaq. At that time it was an important trade town. Ulugbek declared a march against the nomadic Uzbegs to the Syr Darya. The march took place in summer of 1427 was finished by the utter defeat of Ulugbek. Because of the defeat he could lose his throne in Samarkand and the power over Maverannahr. This event acted on Ulugbek so strong that for a long time he did not take part in marches. Only during the last years of his reign after Shahruh's death (in 1447) Ulugbek was obliged to take arms again. Disturbances were begun after Shahruh's death in Horasan and Central Asia. Shahruh's wife, Gauhar Shad, wished most of all to see her grandson Alauddavla, Baisunkur's son, on the throne of the Timurid's although the eldest Shahruh's son Ulugbek had all rights according to the law. Gauhar Shad did not wish litigations and collisions with Ulugbek and gave headquarters of the army to Abdullatuph, Ulugbek's son. They failed all the same to avoid collisions. Alauddavla and Abdulkasim Babur (also Baisunkur's son) began military actions against Ulugbek from the both sides. Alauddavla seized the district of Mashhed and Abdul-Kasim Babur seized the district of Mazanderan. In spring of 1447 Alauddavla broke the troops of Abdullatiph, took him as a prisoner and locked him in a fortress Uhtiaruddin in Herat. Ulugbek did not wish to sacrifice his son and proposed a peace. According to the concluded agreement Abdullatiph was sent to Samarkand and Ulugbek gave up his claims on Herat and Horasan. In 1448 Ulugbek and Abdullatiph began military actions again. By Tarnaba, near Herat Alauddavla's troops were broken and Ulugbek with his son came in Herat. In 1448 the nomadic Uzbegs under the leadership of khan Abdulhair invaded Maverannahr. The emirs of Horasan began a mutiny at the same time. Those two events prevented Ulugbek and his son to occupy Horasan. The Horasan march in 1448 became a sudden change in Ulugbek's life. It became the beginning of his hostility against his extremely ambitious son Abdullatiph. Ulugbek retained the princely throne for Abdullatiph in Herat. Thus Ulugbek wanted to show the people that the town and its region, as under Timur, became an independent principality. As a result Abdullatiph entered into collusion with the enemies of his father. Ulugbek's position was complicated. Firstly he fought against Baisunkur's sons: Abdul-Kasim Babur and Alauddavla. They pretended to the throne of the Timurid's. Secondly he repulsed forays of the nomadic Uzbegs to Horezm, Mazarderan and Shash. Abdullatiph took into account of his father's difficulties and waited for a right moment to begin a present 55

campaign against him. Abdullatiph found fault with his father's imaginary intrigues against him and in 1449 abolished "tamga", that is mrade in his independent principality. To save the unity of the state Ulugbek was obliged to start the march against his rebellious son. At that time Abdullatiph acrossed the Amu Darya, seized Termez and moved forward to Samarkand occupying the town Shahrisabz on his way. In October of 1449 near Samarkand by the settlement Dimishk the battle took place. Abdullatiph won it. After the defeat Ulugbek was left by many of his companions. He was deprived of the possibility to come in to Samarkand because his emir Miranshah closed the gate before him. As a result Ulugbek surrendered at discretion. Abdullatiph organized a covert court of his father. Abdullatiph became a real organizer of his father's murder but he did not outwardly take part in this decision. The murder took place onn the 27 th of October in 1449. A few days later he organized the murder of his brother, Abdulaziz, and some emirs devoted to Ulugbek. Thus Abdullatiph seized Timurid's throne. The people hated a ruler-patricide. The antagonists of Abdullatiph made a conspiracy ready. On the 8th of May of 1450 a courtrevolution took place. Abdullatiph was killed near the garden "Bag-i-nau" by the urban ravine in the outskirts of Samarkand. Authority was handed down to Andulla, Ibrahim-Sultan' son, from the family of the Timurids. From the first days of his government Abdulla did everything to return a political and cultural life of Samarkand and Maverannahr to the days of Ulugbek's government. However Abdulla was on the Timurid's throne in Samarkand not long. Bukhara nominated his candidate. For this time it was Timurid Abusaid. Hodja Ahrar, the head of the order of Nakshbedia, has played an important role in a work of promotion and in successes of Abusaid. Abusaid appealed for help to Uzbeg khan Abulkhair. Firstly Abdulla managed to seize the town Yasi (Turkestan), a frontier fortress against nomadic tribes in the basin of the Syr Darya. The main battle took place near Samarkand by the settlement Shiraz in summer of 1451. Conquerors of that battle became the nomadic Uzbegs of Abdulhaira. The troops of Abdulla were dispersed and Abdulla himself was killed. Abusaid came into power over Samarkand and Maverannahr. Abusaid failed to seize Horasan that time because the throne of Herat was seized by Shahruh's grandson, Abdulkasim Babur (Baisunkur's son). He owned it till very death that is till 1457. Relations both states were hostile. In the middle of the XV century feudal breaking up in Horasan reached the highest development. Abulkasim Babur failed completely to seize Horasan by his energetic actions but he could liquidate independence of small feudal lords. His plan was also to seize Samarkand. However his march to Samarkand was finished unfortunately in 1454. The siege of Samarkand continued 40 days. Abulkasim Babur was obliged to make peace. According to a conclusion of peace the Amu Darya as before stayed a boundary between the both eststes. In 1457 in Meshhed Abdulkasim Babur died. The situation sharply changed. Neither in Horasan nor in Herat there was a man who could take an authority into his hands. There were too many pretenders but nobody had big military power. It was found that only 56

Abusaid became the most power full ruler and seized the throne in Herat. Thus from 1457 Timurid's state could be nominally considered united again. However that unification was not firm. Abdulkasim Babur's death (in 1457) consolidated a position of Abusaid who ruled the most part of Horasan. However his authority was not firm. A young Timurid, Sultan Husein (Omar-Sheih's grandson) gave Abusaid much more trouble who became a ruler of Horasan afterwards. SultanHusein appeared at the head of the detachment in Horasan. From 1461 to 1464 he acted with variable success in the districts of Herat, Abiverda, Nesi, Meshhed and the others Abusaid soon perished during the battle against Uzun-Hasan in the Mugan steppe in Azerbaijan. Uzun-Hasan (1453-1478) was a member of the Turkmen dynasty Ak-Kojunlu. Abusaid's sons refused to fight with Sultan-Husein and went away to Maverannahr. On the 24th of March in 1469 Sultan-Husein triumphantly came in Herat as its ruler. As a result Timurid's state again broke down into two self-dependent parts: the Horasan estate and Maverannahr. Sultan-Husein became a ruler of the Horasan estate. Abusaid's sons became independent rulers of Maverannahr. The first one was Sultan-Ahmed (1469-1494), then the second one – was Sultan-Mahmud and at last the third – was Sultan-Ali. At that time Maverannahr was actually broken down into great number of almost independent hostile estates placing themselves at the heads of Timurid's heirs. The same position was in Sultan- Husein's state. However in spite of feudal internecine dissentions which rended Herat state, economic life of the country had more high level than in Maverannahr. At the end of the XV cetury economic and political bases of the state of Timurids were undermined by sharp contradictions among its heirs in Horasan and in Maverannahr. In Samarkand, Tashkent, Andijan, and Hisar there were selfdependent rulers being in war with each other. Each of them appealed for military help sometimes to the Moghul khans sometimes to the Uzbeg khans. Because of those discords khans of Moghulistan finally affirmed their power in Tashkent region and tried to seize Ferghana. Those feudal disorders reached the highest point at the end of the XVcentury. At that time privileged "tarhanstvo" came out to the historic arena. Those were numerous small rulers from Timurid's house, the descendants of the greatest feudal lord hodja Ahrar, the head of the order "Nakshbendiya". Test quistions: 1. What did the term Transoxiana mean? 2. What were the main reasons of disintegration of the Chagataids State in the middle of the XIV century? 3. Desribe the attempts of the first khans of Moghilistan to restore Chagataid State. 4. How did emir Timur acsess the trone in the Western part of Maverannahr? 5. Decribe the borders of the Timur Empire in the 1370-1405 57

I Part POST-MONGOLIAN STATE UNIONS ON THE TERRITORY OF KAZAKHSTAN (XIV-XV CC.) 2.1 Ak-Horde – the first state entity on the local ethnic basis in the territory of Kazakhstan Under the Ak-Horde of the beginning of the XIV-XV th centuries should be understood a huge territory of the Kazakh steppes from the Ural River to the West Siberian Lowland, including the lower and middle reaches of the Syr Darya, that was the lands of Horde –Edzhen and Shayban's uluses. Ak-Horde- the first state entity on the local ethnic basis in the post-Mongolian period on the territory of Kazakhstan. It was inhabited by Turkic-speaking tribes, who lived in those lands from immemorial time before the Mongol conquests and were a part of the Qipchaq union, and which also moved during the invasion of Genghis Khan from eastern and southeastern regions of Kazakhstan and Altai. Chronological tables of Muslim dynasties list the names of Ak-Horde khans in the following sequence: Horde-Edzhen, Sartak, Conical, Bayan, Sasy-Buka, Erzen, Mubarak, Chimtay, Urus-Khan, Koyrchik and Barak. From the beginning of the XIV century Horde-Edzhen's descendants struggled with the Chagataids for the Syr Darya cities and pastures of Semirech'e. Simultaneously, a growing trend to restore trade and economic relations between nomads and semi-nomads of the steppe areas and the population of the settled areas of the Syr Darya oasis. Not by chance rulers of the Ak-Horde moved the administrative center to the southern outskirts of their possessions into the Sighnaq city Transformation of southern Kazakhstan into the center of the Ak-Horde, with its capital in Sighnaq promoted greater contacts with the settled areas of Central Asia and Khwarezm. The declining of urban life in the heart of the Golden Horde Povolozhie, as well as the movement of the trade routes significantly affected the extinction of these contacts. Through the strengthening of economic and political situation of the local Turkic and Turkicized leaders, the rulers of the Ak-Horde, starting with MubarakKhodzha Khan (1320-1344) - finally broke off even nominal dependence on the Golden Horde. 58

At the time when the Golden Horde entered a period of crisis in 1359-1379, the rulers of the Ak-Horde sought to use the situation to unite both sides of the Juji ulus into one political entity under their rule. An official invitation to take the Golden Horde throne was made, for example, to Chimtay (1344-1361.), who did not accept it, but his sons, especially Urus, actively participated in the struggle for the Golden Horde throne. Urus became Khan of the Ak-Horde in 1368 under him increased the power of the khan of the Ak-Horde. At the same time he actively participated in the struggle for the Golden Horde throne. To the end in 1368 Urus made a campaign towards the Volga region. In 1374-1375 he seized Saray, besieged Hajji Tarkhan and subjected the Kama Bulgars. However, Urus-Khan's success was brief and in the following year he had to leave the Volga region. Urus Khan was unable to remove from his way the Golden Horde favorite Mamay, who during the period of civil strife with the support of the nobility of the western part of the Golden Horde managed to achieve considerable power. In the years 1375-1376 Urus Khan returned to the banks of the Syr Darya, where on the southern borders began his aggressive actions Central Asian ruler Amir Timur. Discussion on the Ak-Horde and Kok- Horde in the historical literature It should be noted, that in the modern Juji ulus and his descendants' historiography two problems caused particularly fierce disputes: Firstly – what was the name of the Juji’s State in the eastern part of Dasht-iQipchaq - Ak- Horde or Kok Horde? Secondly, what was the status of that political entity within the Golden Horde, the degree of its independence or dependence? The bases for these discussions were data of two groups of sources on the AkHorde: Muin al-Din Natanzi (early of the second decade of the XV century). In the work conditionally called by V.V.Bartold "Anonymous of Iskander» and in sources of the XVII century» - Abulgazi-Bahadur Khan "Shadzharat al Atracom and Mahmud B. Amir Wali Bahr Al-Asrar For example, Muin al-Din Natanzi said about the division of the Juji's ulus into Ak-Horde and Kok-Horde in 1300 "... After this Juji's Ulus was divided into two parts. Those, who belonged to the left wing, i.m. the limits of Ulug-tag Sekizyagacha and Karatal to the limits of Tuysen, neighborhoods of Jend and Barchkend, became firmly established for Nogaja's descendants, and they began to being called as Sultans of Ak-Horde, but the right wing which included IbirSiberia, Rus, Libka, Ukek, Majar, Bulgar, Bashgird and Saray Berke, were intended to Tokto’s descendants and they were called sultans of the Kok Horde. But Abulgazi-Bahadur Khan wrote about the *-Horde not specifically at all: «Let us remind that Juji's khan residence was in Dasht-i- Qipchaq, in the country, which was called as Kok-Horde». It is known, that Juji's headquarters was in the upper reaches of the Irtysh, and this region is associated in the author's work with the Kok-Horde. 59

On the Ak-Horde the author said the following: «...the possession in the AkHorde he had given to Bahadur-khan, Shiban-khan's son» In Mahmud B. Amir Wali 's work Bahr Al-Asrar Shayban's son Bahadur set out to the Ak-Horde himself, as to the belonging him possession: "As Bahadur, Shayban Khan's son... he instead of his father began prevailing over the ale and ulus ... he chose Ak Horde for wintering and summering". From the literature is known the territory of Shayban ulus allotted Shaiban by Batu Khan. It was described by Abulgazi: The Yurt, where you will live will be between my Yurt and my brother Edzhen’s Yurt. In the summer you will live on the east side of the Yaik, on the Irgiz, Or, Ilek rivers to the Ural mountains, and willlive during the winter in the Aral-Kum, Kara-Kum, and along the Syr rivers, in estuaries of the Chuysu Sarysu rivers. Thus, both authors Abulgazi and Mahmud ibn Wali say about the Ak-Horde on the East Dasht-i Qipchaq territory. It turns out that they called as Ak-Horde Shayban's possessions, while Muin al-Din Natanzi – the Ak-Horde belonged to Horde-Edzhen's descendants One of the latest views in the discussion on the Ak-Horde and Kok-Horde has been put in the academic publication of the history of Kazakhstan. Thus, T.I .Sultanov believes that the term "Ak-Horde " refers to the region that was the main part of Shayban's possession , and later the name spread to whole Kazakhstan, including Horde descendants. On uniting two uluses of Shayban and Orda-Edzhen into one state Ak-Horde wrote K.I. Petrov, K.A. Pishchulina. Test questions: 1. When did the process of separating of Orda-Edzhen's Ulus from the Golden Horde begin? 2. What primary source gives us the most complete data on the political history of AkHorde? 3. What is the essence of the debate about Ak-Horde and Kok-Horde? 4. Where did Abulgazy locate Ak-Horde? 5. Where did Muin al-Din Natanzy locate Ak-Horde and Kok-Horde?

2.2 Earstern Dasht-i Qipchaq in the structure of the Nomadic Uzbeg State (Abulkhair Khanate) 1428-1468 With Barak's removal in 1428 dominance over the eastern ulus passed from the hands Orda-Edzhen's descendants to the Shayban's descendants who united for some time around Haji Mohammad. However, even among princes of the Shaybanid's house, who so hard acted against Orda-Edzhen's heirs. There was no unity concerning the governing the ulus. As long ago as before the defeat of Barack the nomadic elite proclaimed their Khan Prince Dzhumadyk, thereby challenging the right of Haji Mohammed Khan on Shayban's throne. Soon the 60

third pretender, Prince Abulkhair, was also from Shayban's house rose against both Khans. These three princes, challenging the right to the kingdom, relied on the certain circles both in Shayban's Ulus and at the Nogay’s, who because of their closeness and multiplicity had a great influence of shaybanids. Hadji-Mohammed was supported by Edigei's son Mansur, Abulkhair - by the Edigei's grandson Vakkass. In 1428 Abulkhair was declared Khan, who established on the throne of the state. «Chiefs: of the tribes Kiyats, Mangyts, Durmens, Kushchis, Naimans, Kungrats and others, generally about 200 clans and tribes in the Toura city proclaimed Abulkhair as their Khan. But soon after coming to power Abulkhair faced a difficult task - the subordination to his authority other Shaybanids and Jujids, and also conducting foreign policy that would make profits from military campaigns. Thus, he would justify the desire of the nomadic aristocracy, who had put him on the throne. Proclaimed khan (1428) Abulkhair in the same year made a campaign to the Toura city, took it and made it his capital. During that period the Western Siberia region in the Shaybanid's Ulus was controlled by Shaybanid Haji Mohammed Khan. Masud Bin Kuhistani - the author of "Tarikhi Abulkhair Khani" - the main source of the Nomadic Uzbegs State reported about Abulkhair's victory over Haji Mohammed Khan. Having executed the captured Khan, Abulkhair "according to a Muslim custom, took Haji Mohammad's wife. The defeat of Haji Muhammad happened in 1430. After Haji Muhammad remained his sons Mahmud and Ahmad, who after the death of their father were proclaimed khans. Because of them Abulkhair had to go from Siberia to the south, having left Tara (Tyumen) city, which had just became the capital of the state, the second capital became Horde's Bazar city, in Khwarezm. The author of "Tarikhi Abulkhair Khani" further told more about Abulhair's protests against Mustafa Khan, another Shaybanid. Although he mentioned about Abulkhair's victory over Mustafa, but it is seen from his words, that after the victory over Mustafa, Abulkhair had to leave the Horde Bazaar, which had just been turned into the capital Abulkhair. With the submission of Sighnaq and adjacent cities (Aq-Kurgan, Uzgend, Suzaq, etc.) Uzbeg's possession significantly increased. Now not only to the Aral Sea shore from the mouth of the Syr Darya, but the lands situated in the East, to the eastern slopes of the Alatau with Suzaq city belonged to them. However, the appropriation of those areas according to V.V. Barthold was the most important event of his reign. The state capital became the Sygnak city By that time the Abulkhair's Uzbeg Union had entered the period of crisis. After the murder of Waqqas, who was Abulkhair's senior emir, the Mangyts separated from the Uzbegs. Karakalpaks, but a significant part of the nomads began to grouping around Barak's sons Janybek and Giray princes, who expected a 61

convenient moment to separate from the Uzbegs. At that critical moment Abulkhair had enter into conflict with the Kalmyks. In summer 1451, the Kalmyks headed by Uz-Timur taishi, who had captured before it the basin of the Chu, attacked the Uzbegs. In the battle in 8-10 kilometers from Sighnaq; Abulhair's capital, Uzbegs had defeated. Abulkhair Khan, having lost two of his most prominent commanders - Bakhtiar Sultan and Ahmed Sultan returned to Sighnaq, and had to make peace with the Kalmyks. Of the world's of Abulhair's biographer did not tell on the conditions peaces for the Uzbegs peace must have been humiliating. "Abulkhair Khan, after leaving in a narrow Timur taishi (to himself) left the city Sighnaq, gathering the people and Ulus, was engaged in state affairs and subjects, and putting in order the troops." This defeat had very important meaning on it’s their political consequences. The fact was, that Abulkhair after the defeat from the Kalmyks in 1457, began increasing the tax burden on the subjected population, as he had to pay enormous war contribution. In addition, Abulkhair began repressions on the other sultans, who in his opinion had not helped him to repulse the Kalmyks campaign. Among them were Janybek and Giray - descendants of Barack (Orda-Edzhen), living in the south of the state in the middle and lower reaches of the Syr Darya. In protest against Abulkhair's pressure Janybek and Giray migrated from the State of the Nomadic Uzbegs in the North-west Semirech'e to Moghulistan. In 1468 Abulkhair undetook his campaign to Semirech'e. On the one hand, he wanted to return the fugitives. On the other hand, Abulkhair would like to join Semirech'e. During his campaign in the Almaty countryside Abulkhair died. Thus his last campaign left unfinished. Test questions: 1. 2. 3. 4. 5.

How did Barak elimination from Eastern uluses happen? Which dinasty did the power under the East Dasht-i- Qipchaq after 1428 pass to? Describe Abulkhair's internal policy in the period 1428-1468 Describe Abulkhair's external policy in the period 1428-1468 Where were Janybek and Giray's possessions located in Abylkhair Khanate?

2.3 Western Kazakhstan n in the structure of the Nogay Horde On the Nogay Horde – the state, formed as a result of the collapse of the Golden Horde there are a lot of sources. For example, in the funds of Rossiiskii gosudarstvennyi arkhiv drevnikh aktov (RGADA) [Russian State Archive of Early Acts] preserved in their complete form so-called "Nogayskie dela”, one way or another reflecting the Nogay Horde history, beginning from the second half of XVI century. The most part of the materials from the "Nogay skie dela” was published in the Appendices to the" History of Russia "of Prince M.M. 62

Shcherbatov, the rest materials up to including 1577, were published by N.I.Novikov in" Continuation of the ancient Russian vivliofiki (p.VII X1), another part of the material was published in various other editions, what greatly facilitated the study of the Nogayi Horde history. Some aspects of the Nogay Horde history were touched on by the V.V. Belyaminov-Zernov, N.I. Veselovsky, G. Peretyakovich, V.V. Bartold, P.P. Ivanov, The History or Mongols until IX-XIII centuries by Hovar, printed in 1876 in London, V. V. Trepavlov. However, researchers studied mainly the Nogay Horde history of the XVI-XVII centuries. But till now the history of the Nogay Horde or the Mangytsky yurt formation has not been studied. But researches carried out on the early history of the Nogay Horde, now have obviously become out of date. For example, the English orientalist Hovar identified the latest Nogay s with the former Pechenegs, although by the XIII century the Pechenegs as a nation had ceased their existence, having merged with the Polovtses in the XII century. N.I. Veselovsky in his work "Khan of the Golden Horde temnik Nogay and his time" saw in the latest Nogays the Temnik Nogaja‘s subjects, also called by his name. The same points of view were kept by the authors of the History of the Uzbeg SSR. But Temnik Nogay's ulus was situated at the Danube, and his subjects had never called themselves Nogays. After Nogay and his sons's defeated in 1301, Nogay's ulus people were distributed among the princes, and scattered in other uluses. Until the XVI century, the term "Nogays" was unknown. The term "Nogays" and "Nogay Horde" first appeared in Western European literature only in 1517 in "Skazaknia o dvuh Sarmatiyas Mattheiya Miechóvskovo, and in oriental literature – of the Turkish historian Dzhannebi, who died in 1590 and who called Edigey" the head of the Nogay's generation. In their charters the Nogays usually called themselves Mangyts, considering the name "Nogay" insulting, because the Mongolian word "Nokay" meant "dog". The name «Nogay", "Nogays, obviously, was given to them by other nations or, probably, Tokhtamysh Khan's surrounding, who gave that nickname Edigey. Later, the name "nogay" was also fixed for his ulus people. Therefore, the compiler of the Compendium of Chronicle Kadyrgali Zhalayri calls Edigey none other than “the dog”. As it was already noted, the Nogays called themselves Mangyts, and their state "Mangyt Yurt. This is explained by the fact that the founder of the Mangyt's yurt Edigey, who was descended from the Mongol tribe of the Mangyts, was the chief, and later the Prince of that tribe. Edigey before the invasion of Timur to the Golden Horde, having betrayed his Khan, went over to Timur, was one of the instigators of the war in 1391. But when Timur after the defeat of the Golden Horde began resettling the inhabitants of Dasht-i-Qipchaq to Central Asia, Edigey betrayed Timur and fled to the Mangyts together with with his armed forces, which were composed of his fellow –tribesmen. 63

Soon, according to Clavijo, he was proclaimed prince of the Mangyt tribes which had just moved on. Clavijo, correctly rendering the events connected with the reign of Edigey, made a mistake, having said about the proclamation of Edigey Tsar (Khan), whom he had never been, neither he himself nor his successors had had the title of Khan, and where only known as a princes. Not belonging to the descendants of Juji, Edigey could not claim the title of khan. Ibn Arabshah being more informed about Edigey than Clavijo, said: "He could not assume the title of Sultan (i.e. Khan), because, if it had been possible, Timur would have proclaimed himself, who had taken possession of the kingdom". Latter, despite of all his power, remained only Gurgen, so did Edigey being content with the title Mangyt's yurt Prince. Edigey's "Mangyt yurt" which was separated from the Golden Horde in 1391, was then already one of the significant unions. According to Clavijo, "Edigey had constantly in his horde over two hundred thousand horsemen". After 1391 Edigey temporarily left the political arena and until 1395 his name was not found in the sources, it appeared again just before the second Timur's campaign against Tokhtamysh. So, for example, Clavijo said about Timur's making a request for Edigey about the union before going to the Golden Horde in 1395. But judging by Edigey's response, we can conclude that the alliance against Tokhtamysh had not been concluded and Edigey during the campaign of 1395-96 remaind aside. On the political arena Edigey appeared after a second defeat Tokhtamysh. For his assistance in Timur-Kutluk's ascending he was appointed his senior emirbeklyaribek. Edigey retained the post until his death (1420) and for more than 20 years ran the Golden Horde almost by Rights of Khan. Therefore, Arab writers called him tsar (almalek), although he had never been it, was called as usual by only bek, the Golden Horde. Governing the state set through the Khans, who where at his hands he succeeded meanwhile in making the Mangyt's yurt to be one of the biggest state unions in the structure of the Golden Horde that was able to- deliver up to two hundred thousand soldiers from his ulus. "He had about 20 sons - wrote Ibn Arabshah – each of which was a ruling tsar, having his own apanage, army and supporters. After the death of Edigey his successor on governing the Mangyt's yurt, became his son Gazy declared prince (bek) according to his father's will. "In the days of ruling Dzhumaduh Khan's Sultanate (1426-1428) Gazy Bek mangyt wrote Masud ben Osmani Kuhistani - according to the will of his father became the leader of his people and tribe, but emirs and chiefs of the tribes rebelled against him having killed him. With the leaving most of the emirs and chiefs of the tribe for Siberia the Mangyt fell into decay for a time. Edigey's sons and grandsons dispersed in different directions. One of his sons, Mansour went to the Haji Muhammad Khan, another son Edigey Nowruz was at Uluk-Muhammad, Edigey's grandson Waqqas helped Abulkhair. Nomadic population, previously subordinated to Edigey and his 64

successor Gaziy, moved on to the Uzbegs to Central Asia, it was a reason for impoverishing the yurt. In the Mangyt yurt together with Edigey's youngest son Nuratdin, who according to the Mongolian tradition inherited the appanage – his father yurt, which was situated on the Yaik, remained only a small part of the nomads. Judging by the sources, Nuratdin took a number of steps to gather the remains of the former uluses. Somehow he managed to subdue the areas adjacent to the Volga. Nogay Murzas in their charters wrote: "but the Volga and the Yaik that areboth my father's yurts, because my father was Prince (Edigey) the great on the Yaik and the other is the father of mine Nuraddin Murza on the Volga." About Nuratdin's activities on restorations of the Mangyt yurt is much talked in the Karanogay edition "Skazaknie ob Edigey I Tokhtamyshe" as a monument which began shortly after the death of Nuratdin. In the Stories the main role in establishing the Nogay Horde is ascribed not so much to, Edigey himself as to his son Nuratdin. It is evident from the stories that his claim on supremacy over Mangyt Yurt caused strong dissatisfaction on a part of representatives of other noble clans. They had remembered about not notable origin of Edigey and his descendants, not belonging to the descendants of Genghis Khan. There for, Nuratdin's supporters had to "substantiate" answering to Nuratdin's rights for supremacy over the horde, quickly to make a genealogy for Edigey. Answering to discontented elements Nuratdin said: "From birth I seen and recognized a single god, the god himself patronized me everywhere, but that fact that I'm not from of Genghis Khan' clan, not a bit oppresses me, for I am - of the glorious tribe of Hochahmata Tulikov. At the same time according to Nuratdin's direction on the made Edigey and his successors' genealogy, who as if claimed to be descendants of either the Central Asian mystic Khoja Ahmed Yasawi, who died in 1166, or descendants of the Prophet Muhammad himself. Despite of the fact that Nuratdin managed to restore some what the Mangyt yurt, however, nevertheless he was not declared Prince of the Nogay Horde. In official genealogical table of Nogay princes and mursas he was only mentioned as a mursa, but not as a nogayprince. Matthew Miechóvsly attributes the final formation of the Nogay Horde to Nuratdin'son - Okkasu (Waqqas). Waqqas, as it was mentioned above when considering the history of the formation of the Uzbeg Union, was one of the major parties, cutting with a sword for Abulkhair and began his senior emir. But he, having a presentiment of the weakening of the Uzbegs, in 1447 separated from Abuklhair and returned to the Mangyt yurt, where he was declared Nogay prince. In the genealogy of the nogays ¬ princes and mursas, he was named Nogay Prince. It is true; he was soon assassinated by Abulkhair's agents. After the murder of Waqqas his brother Abbas was proclaimed Nogay prince. The Nogay Horde, which finally took shape as an independent state in the forties of the XVI century especially, began strengthening due to the weakening and defeat of the Uzbeg Union. Then many representatives of the tribe, early being 65

a part of the Uzbeg Union, joined the Nogays. While the collapse of the Abulkhair's horde Abbas, together with the sons of Haji Mohammed played an active role in the capture of the eastern possessions of Abulkhair in the mouths of Syr-Darya, the Amu Darya and the upper reaches of the Irtysh. In the XVI century Possessions of the Mangyts princes bordered in the Northwest with the Kazan Khanate by the rivers Samarka, Kinel and Kinelchek there were their summer pastures. The Bashkirs and Ostyaks living near river Ufa, paid tribute to the Nogays. In the north-east the Nogay Horde bordered with the Siberian Khanate. According to G.F. Miller, the region, situated in the south-east of Tyumen, was called Nogay steppe. The well-known Kazakh scholar of the first half of the XIX century Chocan Valikhanov considered the Altai Mountains as a boundary line separating the Kazakh Khanate from the NogayHorde. In the first half of the XVI century the Nogays wandered in the lower reaches of the Syr Darya River, the shores of the Aral Sea, the Kara-Kum, Barsunkum and northeastern coast of the Caspian Sea. Being one of the largest state entities, which arose on the ruins of the Golden Horde the Nogay Horde differed from other newly formed Tatar states with its internal weakness, fragmentation. Saraychuk City, the only town on the territory of the horde, for a hundred years of Nogay Horde existence, had not been restored and remained in a dilapidated condition. With the formation of the Nogay Horde, the Siberian Khanate and independent khanate of the Kazakhs and Uzbegs, the Golden Horde had ceased it's existence as a state union. Under the authority of Uluk Muhammad Khan remind only a small part of lands and uluses, located to the west from the Volga. However, even there that time also was going on a process of formation of new associations. Test questions: 1. Etymology of the term "Nogay". 2. When did Mangyt yurt of the Golden Horde finally form into the state entity? 3. What are the characteristics of the Nogay Horde in comparison with other states that emerged after the collapse of the Golden Horde? 4. List the researchers of the Golden Horde. 5. Which sources do provide information about the Nogay Horde?

2.4 Southeast Kazakhstan in the structure of the Moghulistan After the Mongol invasion the territory of Southeast part of Kazakhstan appeared in the structure of the Chagataid ulus (from 1269 the Chagataid State). Formation of Moghulistan – an independent state, which united Turkic and Turkicised Mongolian tribes of Southeast Kazakhstan, was connected with the disintegration of the Chagataid state into western and eastern parts in the middle of the XIV century. 66

In 1348 in the eastern part the Turkic nobility in the name of the Dughlat tribe leaders put the Chagataid Tughlugh Timur as a khan. Internal and foreign policy of the first khans of Moghulistan. History of the internal political life of the new state which arose on the territory of South-east Kazakhstan, in the middle of the XIV century has not enough been reflected in sources. It is known that the headquarters of the first khan was situated in Almalyk. More detailed data in the sources only given on foreign policy aspects. Tughlugh Timur's main goal was spreading his power on Maveranahre. For this purpose in 1360 and 1361 he made campaigns to the territory of Maveranahre. Then his successor Ilyas Khoja Khan (who occupied the throne after Tughlugh Timur's death in 1362-1363) continued this policy. So, for example in 1365 Ilyas Khoja Khan undertook a campaign to Central Asia territories. Timur and amir Husajn's armies met the Moghuls near Tashkent on the bank of the Syr-Darya. The battle which took place there has the name – “Mud battle”, as during the battle began heavy shower, which made difficulties for military actions, as horses were slipping and fell down. The Moghuls were more habitual to the severe climate, were able to stand up. The victory had opened for the Moghuls the way to Maveranahre. Muiinad-din Natanzy reported about robberies of the Moghuls on their way to Samarkand. However Ilyas Khoja Khan failed to take the city, the population headed by Serberdars showed resistance to the aggressor. Thus attempts of the first two khans of Moghulistan to restore the Chagataid State were not crowned with success. The first governors of the State in Southeast part of Kazakhstan were not able to strengthen their state in the face of danger of amir Timur's campaigns. Short governing of Ilyas Khoja Khan in Maveranahre was marked by weakness of central power in Moghulistan. After Ilyas Khoja Khan's defeat in Maveranahre, the leader of the Dughlat tribe Qamar ud-Din made an attempt to seize power in Moghulistan. In 1365/1366 Qamar ud-Din attacked Ilyas Khoja's headquarters and killed him. Amir Qamar ud-Din tried to subordinate Moghulistan to his power for a long time. But in fact in Moghulistan there was no centralized power. Struggle of the population of Southeast Kazakhstan against aggressive policy of amir Timur Political history of the state in South-east Kazakhstan at the last third of the XV century was connected with the repulse of amir Timur's campaigns and later nomadic eastern neighbors – the Kalmyks (oirats). During that period amir Timur made a series of campaigns to the territory of Moghulistan: in 1371, in 1375, in 1377 (twice). In spite of the fact that in the battle of 1383 the Moghuls gained victory, a chain of defeats of Qamar ud-Din from Timur undermined his influence as the head of the uluses, who had united a number of tribes in South-east Kazakhstan. 67

In 1389 . Timur undertook the most destructive campaign to South-east Kazakhstan. At that time according to the data of the Timurid and other compositions in Moghulistan there were several actually independent from each other possessions: Qamar ud-Din's ulus, uluses of Bulgachi, Baarins, Arkenuds, Enge-Tores. By 1389, having taken advantage of that Qamar ud-Din had lost the real power, leaders of the Dughlat tribe in the name of amir Khudaidad put Tughlugh Timur's son Khizr Khoja the khan of Moghulistan. Thus after becoming the khan Khizr Khoja till the 90th of the XV century was the nominal governor. But only in the 90th of the XV century his power became to be real. Timur's campaigns to Moghulistan in 1389 ended by destructions and devastations of Moghulistan. The next year Timur again sent his army in order to finally devastate the region and to exterminate its population. On returning from the campaign of 1389 Timur left his son Dzhanshah the governor in Moghulistan, obviously, having compelled Khizr Khoja to become his vassal. As a result amir Timur's campaigns khan power in Moghulistan weakened even more, disunity and strives aggravated. South-east Kazakhstan in the period of disunity in the first half of the XV century In the 90-th of the XV century Khizr Khoja could gradually widen his power over many Moghul tribes and uluses. Amir Timur helped him with it. Khizr Khoja strengthened their relations with Timurids by dynasty marriage: gave his sister to amir Timur. But it is necessary to underline that dependence of Moghulistan on Timur's state was rather nominal, than real. Relative safety of the werstern borders allowed the Moghul khan to pursue an active policy in the east of the country. According to Sharaf ad-din Iyasdy and Mirza Muhammad Haidar Dughlati Khizr Khoja seized two cities – Turfan and Kara-Khoja and also joined the eastern part of the disintegrating Uigur State to Moghulistan. But to fix his possessions on the eastern frontiers the Moghul khan could not because of Timur's campaign to China in 1404. Nevertheless Khizr Khoja was able to unite Moghulistan for some time and to stop strives. After Khizr Khoja's death in Moghulistan began struggle for power between his four sons. In that struggle gradually gained the victory Sham-i- Dzhahan (1399-1408). He tried to combat with Timurids in order to release the western parts of Moghulistan, which was seized during the campaign to China. Gradually having strengthened his political and military situation Sham-i- Dzhahan began actively to interfere into internal affairs of the Timurids, captured by intestine struggle after amir Timur's death. After Sham-i- Dzhahan's death in Moghulistan another son of Khizr Khoja the Moghul's khan became Muhammad-oglan (1408-1416). At first he had submit to Shah Rukh – the governor of Timurid's state. Thus under Muhammad-khan Moghulistan both actually and nominally became independent from the Timurids. 68

He not only released the western areas of Moghulistan - Chu-Talas valley from the power of the Timurids, but also tried to find a way out to agricultural oases. His successful foreign policy also somewhat strengthened the internal political situation. With Muhammad's khan's death in 1415-1416 in Moghulistan began a new wave of strives. Khizr Khoja's grandson Hakhsh-Dzhahan seized the power for two years. Tarikh-i-Rashidi told nothing about the time of governing this khan. Mirza Muhammad Haidar Dughlati reported only on his connections with the settled-agricultural nobility of Kashgar and also about his participation in choosing Hakhsh-Dzhahan as a khan of Amir Hudaidat Dughlat. Hakhsh-Dzhahan was not able to stop strife in Moghulistan. In 1418 he was killed by Shir-Ali-oglan's son and Khizr Khoja's grandson Weiss-oglan. Though Weiss-oglan succeeded to seize power in Moghulistan, but he could not keep the throne for a long time. He ruled till 1421. Timur's grandson Ulughbek in 1414 used the sedition in Moghulistan; he joined Kashgar to the Timurid's possessions and also tried to spread the Timurid's influence to Semirech'e and the Tyan-Shyan. In 1421 with the support of Ulughbek the power in Moghulistan was seized by Shir-Muhammad. The Moghul nobility divided: some supported Weiss-oglan, others - Ulughbek's chosen. But after becoming khan Shir-Muhammad ceased to obey Ulughbek. It was an occasion to Ulughbek's campaigns to Moghulistan in 1425. Though that campaign brought to the population of Southeast Kazakhstan great disasters, but did not break Moghulistan's integrity as a state. In this respect, according to V.V. Barthold it was ineffectual. Ulughbek was not able to seize those territories and seat his protégé on the throne in Moghulistan. After Ulughbek's campaign in 1423 the struggle for power between Weissoglan and Shir-Muhammad continued till Shir-Muhammad's death. The time of Weiss – khan's governing was characterized by strengthening the struggle with the Oirats on the eastern frontiers. In all according to Mirza Muhammad Haidar Dughlati Weiss-oglan had withstood 61 battles with the Oirats and did manage to move deep into territories of Moghulistan in the 20th of theXV century. However Weiss-oglan had transfered his headquarters from East Turkestan to Semirech'e into the valley of the river Ili. While Weiss-khan was occupied with the repulse of the Oirat's attacks in 1428 Ulughbek sent his army to Moghulistan again. In the country of Issyk Kul lake Weiss-khan was killed in the battle, which happened there intensifying the disintegration in Moghulistan in the second quarter of the XV century. Temporary stabilization of Moghulistan finished with the death of Weiss-khan. Besides the country was significantly weakened by long struggle with the Oirats and Timurids. Khan power in the 30th of the XV century came almost to northing. Weiss-khan's failures in his struggle against external enemies, inability to conduct independent active policy undermined the fragile unity of the country which had established under Khizr Khoja and his successors. 69

Mirza Muhammad Haidar Dughlati wrote: After Weiss-khan the Moghul ulus fell into full frustration and decay. Its nobility divided into two groupings again supporting very young Weiss – khan's sons: Esen-Buga and Zhunis-sultan. In this struggle the victory was gained by the leaders of Dughlat who in 1433 put EsenBuga their khan. But the leaders suffering a defeat of Baarin and Churas tribes with 30 thousand Moghul families moved to Maverannahr, hoping with Ulughbek's help to return to the struggle for power. Only by the end of the 40th of the XV century Esen-Buga had subordinated tribes of Semirech'e and Tyan-Shyan to his power, using the strife in Maverannahr during the years of Ulughbek's governing. In 1449 Esen-Buga made devastating raids to Sairam, Turkestan, and Tashkent. The Timurid Abu Said-mirza to provide safety of his northeast possessions, decided to seat on the throne in Moghulistan, who had stayed Zhunissultan in Timurid's possessions for 18 years. But without having a strong support among the Moghul tribes, Zhunis-sultan suffered a defeat from Esen-Buga. The Timurid Abu-Said-mursa did not leave his guardianship over him, in 1457 having given him the territory on the eastern frontier of Fergana as a appanage. In 1462 Zhunis-sultan interfered again in the struggle for power after death of Esen-Buga and became firmly established in the western areas of Moghulistan adjoining to Fergana. In the 50th of the XV century Southeast Kazakhstan underwent the attack of the Oirats, who in 1452 came to the territory of Moghulistan again, having reached the banks of the Chu River. Political history of Moghulistan in the second half of the XV century Political situation of Moghulistan by the middle of the XV century was unstable. Tendencies of disintegration of Moghulistan and liquidation of the power of the khans-Chagataids, which began even long before the formation of the Kazakh Khanate, especially intensified in the second half of the XV century. The nobility struggle led to formation on the territory of Moghulistan several possessions: Ahmad-khan's, Mahmud-khan's, Halil-sultan's, and Mansur-khan's. Pressure of the Oirats also weakened Moghulistan. The situation in the west changed too, struggle in the State of the Timurids gave an opportunity to the Moghul khan to seize territories in the west, but weakened the situation in Semirech'e- the Kazakh tribes of Semirech'e began leaving from under their power. The main content of the history of Moghulistan of the second half of the XV century was the disintegration process of the state. After Esen-Buga-khan died in 1462 Zhunis-khan managed only to conquer the south-east part of Moghulistan. In the northern and north-east part he failed to become stronger, as was intensifying the Kazakh governors. A direct heir of Esen-Buga, his son Dost-Muhammad ruled in Kashgaria till 1468. After his death the throne was taken by Zhunis-khan, who had managed to unite in his hands southern areas of Moghulistan and Manglay-Sube by 1472. 70

In the 70th of the XV century in Kashgaria Zhunis-khan interfered to dissension of the Dughlat amirs. Zhunis-sultan also tried to occupy with the struggle for the Prisyrdarya. But there in 1472 Zhunis – sultan suffered a defeat from the Kalmyks, he escaped to the Syr-Darya. Thus Zhunis-khan transferred his interests to the territories to the west from Moghulistan – to Sairam, Tashkent, which he seized in 1482-1485. During that period the Moghul nobility spelt up a part of them stopped obeying Zhunis-khan and together with his son Ahmad in 1484 went to the eastern areas of the state, occupied by the Kirgiz. In Kirgizia in 1480-1514 Mirza Aba Bakr's independent possession stood apart. In the northern part of Moghulistan the Kazakh khan’s power became stronger; the increasing number of clans and tribes with their ethnic territories entered the structure of their possessions. The northern part of Moghulistan in the 70-80th of the XV century was the arena of resistance of the Kazakh and Kirgiz tribes to the aggressive policy of the Oirats. Ahmad-khan, who left for the eastern areas needed about 10 years when he subordinated the local population to the Khans-Chagataids. In 1487 in Tashkent and south-western areas of Moghulistan Zhunis-khan's son Sultan-Mmahmud who actively interfered to the struggle of the Kazakh governors against Shaibanids for the Prisyrdarya at the end of the 80th-the beginning of the 90th of the XVth century, as a gratitude for support of Muhammad Shaibani in the battle with the Timurid sultan Ahmad-mursa on the Chirchik river, in 1488 he gave him Otrar, which had been taken from the Kazakhs. It meant of friendly relations with the Kazakh governors. But in two battles with the Kazakh Sultan Mahmud had suffered from a defeat. Thus the domestic situation in Moghulistan which established in the second half of the XV century, and also the whole complex of military-political events in the region created a ground for gradual weakening the power of the Moghul khans in South-east Kazakhstan and leaving tribes and clans from under their power which later adjoined the Kazakh Khanate. On the boundary of the XV-XVI centuries Moghulistan ceased its existence as a state. Test quistions: 1. To Read a fragment from Muin-ad-din Natanzy «Ananimous of Iskandar» the permanent address: http://www.vostlit.info/Texts/rus3/Iskandar/frametext.htm 2. In writing form to give the main point of view of the author, what he meant under the Ak-Horde and the Kok-Horde? 3. To write reaction paper (300 words) for the monography of Ahmedov “The State of Nomadic Uzbegs” 4. To write an essay on the theme: V.V. Trepavlov's contribution in the Nogay Horde history studying 5. To read the following work:  . .  -      XIV -  XVI .:          -    71

 ). – - , 1977. In writing form to give an answer to the question: What are the main primary sources for this book? 6. How did you understand the essence of the debate about Ak-Horde and Kok-Horde? 7. Which territory does State of Nomadic Uzbegs occupy? 8. Which peculiarities of the Nogay Horde can you signed? Compare Nogay Horde with other Post-Mongolian State entities? 9. How did call Muslim author of the XV century the population of the East Dasht-i Qipchaq? 10. What were the political consequences of Abulkhair's defeat from the Kalmyks in 1457? 11. Make a chronological table khan-chagataids 's governing in Moghulistan

Seminar tasks: 1. Political history of Ak-Horde in the XIV-XV centuries 2. Written sources about Abulkhair's internal and external policy (1428-1468) 3. Political history of Moghulistan in the middle of the XIV-XV centuries 4. Discussion about Ak-Horde and Kok-Horde

II Part KAZAKH KHANATE IN THE MIDDLE OF THE XVTHE FIRST THIRD OF THE XVIII CENTURIES 3.1 Written sources on the Kazakh Khanate (the second half of the XV- the first third of XVIII centuries) As the prominent Russian Orientalist, T.I. Sultanov pointed out, the specifics of the research of the medieval history of Kazakhstan largely determined by weak spreading a writing language and book education among the Kazakhs. It should be noted the only work created in the early of the XVII century by a representative of the Zhalair tribe Kadyrgali-bek. Data on the history of the Kazakh Khanate largely known in science from the writings of the medieval authors. The most important material is contained in narrative sources: historical, memoir, geographical, written mainly in Persian (Farsi), Chagatay, old Uzbek, and also Arabic languages. Their self-descriptiveness is different, the most degree of knowledgeable were authors from neighboring Central Asia and also Iran, Eastern Turkestan. Unfortunately, there are no sources on the history of the Kazakh Khanate. Available data to historians on the Kazakh Khanate history are represented in the works fragmentarily. They are mostly related to political history, the history of relations with the neighboring states, and also there are genealogic of khans of various dynasties in them. There are data on their ethnic composition, economy, and elements of spiritual and material culture in some sources. Nowadays, a significant number of sources have been introduced into science, as well as translated into Russian. Two types of classification are mainly spread among the researchers: linguistic and dynastic. It is considered, that the dynastic classification of the written sources is the most exact, and they are divided into Timurid, Moghul, Shaybanid, Astarkhanid groups. Among them Timurid works are of great importance to the study of the period, which had proceeded to the formation of the Kazakh Khanate. 73

The Shaybanid complexes of sources on their self-descriptiveness play the leading role. They were written in the XVI century, during the reign of the Shaybanid dynasty in Central Asia, therefore, primarily cover Muhammad Shaybanid activities and his grandfather Abulkhair, as well as their successor, Abdullah Khan in the second half of XVI century .The Shaybanid traditions of historiography were founded by Muhammad Shaybani, who, after conquering Maverannahr, charged Timurid school men - writers, historians, who had gone over him, to give a memorable description not only his heroic deeds, but deeds of his ancestors – the Shaybanids - in the pages of historical works. This group includes sources, both written in Persian and Turkic, such as for example of Muhammad Salih's, "Shaybani-name". Shaybanid sources (Nusrat-name, Fathk-name, “Shaybani –name” of Kamal ad-Din Binai, Shaybani -name of an anonymous author, Shaybani-name of Muhammad Salih, Fazlullah Ibn Ruzbihan Isfahani “Mihmann nama-I Bukhara”) have a richest factual material for the study of primarily the political history of the Kazakh Khanate. Of this circle sources that are valuable for us, not only with materials of political history, but also as having important data of, historical and ethnographic character, it should be particularly noted “Mihmann nama-I Bukhara”by the Persian Fazlullah Ibn Ruzbihan Isfahani. The Essay was devoted to the Muhammad Shaybani Khan's campaign in winter 1508-1509 against the Kazakhs. This source is particularly valuable as he accompanied the Khan in his campaign. Therefore we can say that all the original data about the Kazakhs were based on personal observations and questioning eye-witnesses. Thus, the source has unique data about Uzbeks' campaign against the Kazakhs, and also @\^ @ about the way of life, economy, ethnic make-up the Eastern Dasht-i Qipchaq , as well as rich historical and geographical material. In the official history Muhammad Salih's, "Shaybani-name" written in the Turkic language, there are data of the Shaybani Khan's relations with the first Kazakh rulers - Giray and Janibeg Khan , as well as the Burunduk and Qasim Khan. The Source contains unique data about the fight for the Syr Darya cities of in 1470-1500. The anonymous essay "Tavarikh-i guzida-yi Nusrat name" ("Selected history of the victories book") tells on the situation in the Dasht-i Qipchaq after the Abulkhair Khan's death, Janibeg Khan and Giray's deeds. There are details of the Shaybani Khan's struggle against Kazakh and Moghul khans for possession on the Syr Darya cities and valuable data about the Janibeg Khan's campaign to Central Asia. Numerous data about Kazakhstan Kazakhs and are contained in the work of literary man, "one of the most skilled master of the Tajik verse " Kamal ad-Din Binai (1453-1512) "Shaybani-name". “Shaybani –name” of Kamal ad-Din Binai described the situation in East Dasht-i Qipchaq after Abulkhair Khan, the loss of power by his son Sheikh Haidar Khan, the Jujids opposition including Janibeg and 74

Giray, the Kazakh khans and Mangyt mursas, their struggle for influence in the Syr Darya cities region. Of great value data on these cities – Otrar, Sighnaq, Sauran, as well as data on Dasht-i Qipchaq tribes, which were a part of the Kazakh, Uzbek, Bashkir and other Turkic speaking peoples. An important place among the Shaybanid historical literature occupies the world history of Masud Bin Othman Kohistani "Tarikh-I Abulkhair Hani", namely her original part, devoted to the history of nomadic Uzbeks head - Abulkhayr Khan, who ruled in East Dasht-i Qipchaq in 1428-1468. Zaynu-ad-din Wasifi's "Badai al-Vacai" ("Amazing Events") memoirs are greatly appreciated by the history of late medieval scholars. In this essay there are also data on the history of Kazakhstan - on Shaybanid Ubaydullah Khan's campaign against the Kazakhs and the report of the victory over the Kazakhs "(1537). Particular importance is given to the source because of the fact, that territory, which the Kazakhs occupied, was called "Kazakhstan" for the first time. Material on the history of the Kazakhs contains in the part on Shaybanids "Zubdat al-Asar by Abdullah Balkhi. Abdullah Balkhi told on Muhammad Shaybani Khan's campaign against the Kazakhs at the end of the life of this ruler. This campaign took place in 1510 and ended with the defeat of the Uzbeks. However the date of the campaign should be defined more exactly: it is possible the campaign was undertaken not in 1510 but in 1509. In accordance with all the Shaybanid historiography Abdullah Balkhi considered that for the defeat of the Uzbeks Muhammad Shaybani Khan was not responsible and other persons were guilty. In the Shaybanid historiography after Muhammad Shaybani for studding history of the Kazakh Khanate of the second half of XVI century has great value Hafiz-Tanysh's "Sharaf Namayi Shahiy”, known as" Abdulla-name ". The source shows unfavorable foreign policy situation for the Kazakhs in the second half of XVI century. As a result of which the Kazakh khan Shigai joined vassal service of the Uzbek Khan Abdullah, but later, in the time of Tavakkul the Kazakhs broke vassal relations and opposed Uzbeks. Thus, among the sources of the late medieval period, informative significance of the Shaybanid historiography for studying the Kazakh Khanate is extremely high. Period of the XVII century found its reflection in a seven volumed encyclopedic work by Mahmud B. Amir Wali Bahr Al-Asrar, relating according to the dynastic classification to the Astarkhanid historiography. Volume VI materials are related to the history of Kazakhstan, especially on the history of relations with Central Asia in the first decades of the XVI century. Of interest are materials on the confrontation between Kazakh sultans Ishim Khan and Tursun, Ishim Khan's campaign against the Oirats, granting Tashkent and Turkestan to Ishim Khan by Imam Quli Khan and other data.

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Test questions: 1. What groups are the sources of the Kazakh Khanate divided into according to the dynasty classification? 2. Where are the data on struggle for the Syr Darya region in the last third of the XV century? 3. What source tells on Muhammad Shaybani's campaigns against the Kazakhs the early XVI century? 4. What source was the term "Kazakhstan" used in at first? 5. Who introduced the Shaybanid sourses in the Kazakh historiography?

3.2 Formation and strengthening of the Kazakh khanate 1470-1500 At the end of the 60-the beginning of 70th of the XVth century a number of the population subjected to Janibek and Giray increase at the expense of the inflow of the nomads from Central and Southern Kazakhstan who run after Abulkhair death from the Uzbek Ulus. The matter is that the Nomadic Uzbeks State after Abulkhair's death seized with seditions and intestine wars. Janibek and Giray possessing considerable military forces and having strong back in Semirech'e, began their struggle for the population of East Dasht-i Qipchaq. Abulkhair-khan's descendants were their main enemies. About first Kazakh khans actions we take data, basically from the Shaybanid circle of sources. First Kazakh possessors and sultans – the Shaybanids struggled for power over the population of East Dasht-i Qipchaq steppe areas, but the events were developed mainly in the Turkestan city centers (Prisyrdarya). The reason was economic and strategic value of this area: 1. Prisyrdarya which in medieval sources was called as Turkestan, was the traditional economic and political center of previous state formations on the territory of medieval Kazakhstan- Ak-Horde and Abulkhair's State 2. The lands of lower and middle reaches of Syr-Darya were necessary for nomad tribes subjected to Kazakh khans as a valuable winter pastures; 3. Prisyrdarya cities were necessary to the Kazakh khans as defence-strategic points. They were good fortresses, capable to stand a long siege. Thus, both the Kazakh khans and Muhammad Shaybani saw in Prisyrdarya cities economic and military base for successful struggle for power over nomads of the East Dasht-i Qipchaq steppe areas. Participants of the struggle for Prisyrdarya during that period were: The Timurids of Maverannahr, who defended cities conquered by them during the struggle against the Ak-Horde khans and transformed into defensive fortresses against the nomads of steppe areas. Moghul khans, sultan Junus and his son sultan Mahmud interfered with this struggle, trying in the conditions of decline of Moghulistan to have under their 76

power the territories on the northeast suburb of the Timurid state, which was disintegrating i.e. in the area around Fergana, Tashkent and the south of Turkestan. Relations of the Kazakh khans and Shaybanid sultans in the last third of the XV century Process of their struggle for power in East Dasht-i Qipchaq and Turkestan are subdivided into some stages. By the winter of 1470 the Kazakh possessors had considerably moved to Turkestan. Janibek Khan’s elder son Mahmud sultan occupied in the foothills of Karatau - Suzaq. Other his son became owner of Sauran, and Giray-khan himself approached to Turkestan. Activization of the Kazakhs’ actions in the south of Kazakhstan, made Muhammad Shaybani leave immeadiately for Maverannahr under Timurid's protection. But during his flight Muhammad Shaybani run into the army of the new owner of the city sultan - Irenchi. In that battle several sultans from Muhammad Shaybani’s environment were killed, and some left him. Muhammad Shaybani had to escape to Bukhara. As a result of the first attack to Turkestan the Kazakh owners were able to hold Sauran and Suzaq and did not give an opportunity to Muhammad Shaybani to gather the Shaybanid armies, which had scattered after Shajhadar’s death. But attempts to restore the Shaybanid’s power continued. In two years, Muhammad Shaybani, having received military help from the Timurids had appeared in Turkestan and seized a number of fortresses. Arquq fortress on the left bank of Syr-Darya was the first to be seized. Muhammad Shaybani, relying on it went to the north to borders of Turkestan and East Dasht-i Qipchaq and seized Sighnaq. The leader of the Nogay Horde Musa Mursa wanted to become Shaibanids’s ally. But Burunduk who arrived with his army from western Semirech'e to the borders of Turkestan prevented from the planned union. In the sources telling on these events, Burunduk was named as a khan. The battle details were described in the Shaybani-name of Binai. The Shaybanids had strengthened their positions in the cities Otrar, Yasi, Arquq, Uzgend, having forced out the Timurids from there. The Moghul khan Sultan Mahmud stayed in Tashkent and Sauran. Northern part of territory with Sighnaq and Sauran cities, and also adjoining slopes of the Karatau ridge with Suzaq belonged to the Kazakh khans. Hence, by the end of XV century the important stage in relations of the Kazakh possessors with the Saybanids and Moghul governors had finished. In long struggle against the Saybanids the Kazakhs prevented from the restoration of their power within the limits of the former Nomadic Uzbeks State. Muhammad Shajbani left East Dasht-i Qipchaq, having directed his aggressive aspirations to the Timurids state. In due course the Kazakhs could force out other Jujids from East Dasht-i Qipchaq. By the end of the XVth century the Kazakh khans state borders had become considerably stronger, were extended. Lower reaches of Syr-Darya have 77

entered into it and Northern Priarale, besides Western Semirech'e above mentioned cities and oasises in Southern Kazakhstan, the Karatau area, lower reaches of Syr-Darya and Nothern Aral region, a considerable part of the Central Kazakhstan were in its structure. Test questions: 1. Why the struggle for power over the nomadic population of East Dasht-i Qipchaq was developed not in steppe areas, but in Prisyrdarya? 2. Participants of struggle for Prisyrdarya region in the end of the XV century 3. Results of strengthening of the Kazakh khanate in the end of XV century 4. How the power in the Kazakh khanate did passed to the Burunduk? 5. On what conditions Kazakhs have concluded the peace agreement with the Uzbeks in the end of XV century?

3.3 Historiography of the problem «Formation of the Kazakh Nation» The problem on the origin of the Kazakh people has been interesting scientists already throughout two and a half centuries. But among scientists there have been some points of view on this point on the given question. Before the beginning of the XX century Russian and European scientists quite often mixed up the Kazakhs with the Kirghiz. For example, in encyclopedia «The Asian Russia» it was considered that Karakirgiz – were one of the Kirghiz- Kaisak tribes. In the census of 1897 the Kazakhs and the Kirghiz were mentioned as one and the same people. Before the middle of the XVIII century in Russia the Kazakhs were named "The Kirghiz-Kajsakami", but the Kirghiz- “Buruts”, “The Kara kirgiz” and “dikokamennie Kirghizi”. What questions are debated? What has the Kazakh people to do with the ancient population of modern Kazakhstan? There are two points of view on this question: 1. P.Rychkov, S.B.Bronevsky, N.A.Maev consider that ancestors of the Kazakhs were recent migrants and had late enough come to the territory of Kazakhstan. The Kazakh people have no relation to ancient inhabitance of Kazakhstan and do not have its origin from indo-Iranian and Saka-Skythyuan tribes. This point of view is supported by the majority of researchers for more than 200 years. This point of view is called “The migratory concept of the Kazakh people origin”. 2. J.P.Gaverdovsky at the beginning of the XIX century suggested an idea that the Scythians were primogenitors of the Kirghiz. According to this point of view ancestors of the Kazakhs were ancient Kazakhstan inhabitans - Indo-Iranian and Skifo-Saka tribes. This hypothesis was formulated by S.P.Tolstov. It is popular among Kazakhstan scientists who are assured that the Kazakhs are ancestors of the Andronovo tribes of the Bronze epoch, and the Sakae, Usuns and Hunus. Their 78

point of view is based on the territory, all people and tribes living on one and the same territory are ethno-historically connected with each other. The other disputable question: the Addition time of the Kazakh people formation. 1. A.I.Levshin considered that the Kazakh people had developed in the premongolian period. (A.Vamberi, H.Adilgereev, M.B.Ahinzhanov). 2. V.V. Velyaminov-Zernov - Janybek and Giray Khans moved on in second half of the XV century – was the closing stage of the Kazakh people formation. In the Soviet period was spread the idea – “The people Cossack developed during the epoch of disintegration of the Abulkhair ulus, but not earlier”. 3. Ch.Ch.Valihanov considered, the Uzbeks and the Nogays had become the basis of the Kazakh people. The Uzbeks-Kazakhs as a people formed much earlier than Janibek and Giray's move on, which could not and did not significantly influence on the origin of the Kazakh people. In the middle of the XX century this hypothesis was supported by V.P.Yudin, etc. 4. N.Krasovsky called possibility of the direct connection between of Janibek and Giray's Uzbeks and Shygai khan's Kazakhs. He gave for the time of arising the Kazakh people the end of the XVI century, when the ethnonim «Kazakh» definitively became the self-name of the Kazakh people. Only then the Kazakhs became independent ethnic entity. The following question: what is the main integrating factor in ethnogenesis: political or ethnic factors? 1. The prevailing role was played by political factors. Ch.Valihanov dated the formation of the people up the time of the Kazakh khanate formation. The Kazakh people not other then, politically integral, but anthropologically a different tribe consisting of different elements. 2. Both ethnic and political factors are significant. T.I. Sultanov considers that Janibek and Giray's move on only hastened the process of forming of the Kazakh people, i.e. he recognizes the importance of both ethnic and political factors. This point of view was supported by the chapter on ethnogenesis - K.Pishchulina and B.Kumekov in the second volume of History of Kazakhstan. The state union of the basic ethnic groups of the Kazakh national and its ethnic territory hastened the process of consolidation of the nation. 3. Ethnic factors are only priority. Some authors consider the Kazakhs to be a product of multilayered ethnic synthesis. They consider that in the course of national formation (O.Ismagulov) lies priority of proper ethnic factors. The Kazakhs- is a unique ethnos which has developed historically naturally in the scales of the modern territory of Kazakhstan. There is the direct connection between ancient tribes of the bronze epoch with Turkic tribes and the Kazakh ethnos. 4. The type of economy - nomadic or agricultural is the significant factor in national formation. The leading part of the economy type and a way of life in the process of national formation. 79

Stages of the Kazakhs' ethno-genesis In pre-Mongolian period on the territory of modern Kazakhstan -in East Dasht-i Qipchaq, Turkestan (Southern Kazakhstan), Semirech'e had been taking place the process of ethnic integration of tribes, process of formation of the nation on the base of Turkic speaking population since the VI century, which consisted of more ancient Iranian speaking Europeans and Mongoloids of the Hun time. In the pre-Mongolian period on the most steppe part of Kazakhstan nomad tribes consolidated on the Qipchaq basis, in Semirech'e – on the Ujsun-Karluk basis. The Mongolian invasion changed the ethnic process of development: 1. The geography of the population location changed. Many Turkic tribes moved to other areas. For example, parts of the Qipchaqs moved to the limits of Northern Kazakhstan and Western Siberia. 2. Many Turkic tribes disintegrated into parts. 3. New ethnic groups, both Mongoloids and Turkic came to the territory of Kazakhstan. 4. The anthropological type of the population became more Mongoloid. 5. The Mongolian invasion became the important political factor, which significantly changed the process of the ethnic development. The former evolutionary way of formation of large nation on the territory of Kazakhstan was interrupted. Replacement of kin connections with territorial hastened the process of uniting tribes and peoples, as early living, and also those, who had come. The final stage of the Kazakh national formation. Process of the national and its ethnic territory formation hastened after the formation of the Kazakh state in the second half of the XV centuries. In the epoch of the Kazakh khanate union the basic peculiarities and features of material and spiritual culture of the Kazakh ethnos fixed. In productions of oral national creative work there is an obvious comprehension of the ethnic unity. As long ago as in the XVI century in written sources appeared the term “Kazakhstan” for designation of the territory of the Kazakhs. And the nation itself from second half of the XV century is known among the neighbors and in written sources under the name Kazakhs. The term origin is a debatable question. Now it is considered, that in the Turkic-Mongolian sources the term was used in the social sense and meant a man, who had separated from his tribe, clan, and a free, unrestricted man. The term got its ethnic sounding at the beginning of the XVI centurywhen there happened division of the ethnonims Uzbek and Kazakh. The basic content of the ethnic history in post Mongolian period included not only the national formation, but also separating the structure of the Kazakh zhus tribes. By the end of the XV-the beginning of the XVI century the zhus had come already formed both in their clantribal structure, and the occupied territory.

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Test questions: 1. What is the essence of “migratory conception of the Kazakh nation formation”? 2. Strong and weak aspects of the concept of the autochthonic origin of the Kazakh people? 3. What scholars did consider that the Kazakh Nation formation had been taking place before Janibek and Giray moved on? 4. Which of the scholars considered that ethnic factors prevail in the ethno-genesis process? 5. Which scholars considered that political factors prevail in the ethno-genesis process?

3.4 The Kazakh khanate in the first half of the XVI century After, when at the beginning of the XVI century Muhammad Shaybani conquered the Timurid state and took away Abulkhair-khan's descendants to Central Asia, in the relations of the Kazakh possessors and Muhammad Shaybani there came a new period. To dynastic motives of the struggle joined politicaleconomic, this attached irreconcilable character to that struggle. Fazlullah Ibn Ruzbihan Isfahani wrote about the motives of Muhammad Shaybani's policy concerning the Kazakhs at the beginning of XVI century: “However, economic blockade policy for trade – did not bring the desirable success. Moreover, when the Shaybani-khan decree became known to the Kazakhs, they began making attacks to the new possession of the Shaybanids”. It caused a replay reaction on the part of Muhammad Shaybani-khan. With that end at the beginning of the XVI century he had made four campaigns against the Kazakhs. Descriptions of these campaigns we have found in the works of Shaybanid authors and first of all - Ibn Ruzbihan. They are of value not only for restoration of military operations from both parties, but also for definition uluses of the Kazakh possessors, and also detailed descriptions of the Syr-Darya cities region. So, in 1503-1504, when Muhammad Shaybani waged successful wars against the Timurids in Khurasan, the Kazakhs attacked the Prisyrdarya cities which were subject to the Uzbeks. It made Muhammad Shaybani return in Maverrannhr, and come against the Kazakhs. A year later the Kazakhs repeated their raids to the Uzbek lands. It has caused a replay reaction on the part of Muhammad Shaybani. Muhammad Shaybani’s first and second campaigns were caused by his aspiration to finish attacks of the Kazakhs, with their territorial claims to the Uzbeks, whereas the basic forces of the Uzbek army have were involved in Khurasan. But Muhammad Shaybani failed to cause considerable damage to the Kazakhs. He could not secure his possessions against the Kazakhs. 81

Descriptions of the first and second campaign of the Uzbeks by Ibn Ruzbihan: “During the battles of the Kazakhs against the Uzbeks Qasim -sultan authority has increased in the Kazakh khanate. Not earlier than in autumn of 1511 Burunduk left for Maverannahr. The Supreme power in the Kazakh khanate had passed to Janibek descendants, first of which was his son Qasim to be established. Since that time in the history of the Kazakh khanate comes the rising period. At the beginning of his governing Qasim -khan took advantage of difficulties which the Uzbeks after Muhammad Shaybani-khan's death in 1510 for strengthening his power in Southern Kazakhstan. Under the power of the Kazakh khan passed the most southern the Prisyrdarya city - Sairam. In the second decade there were changes in the political situation of Central Asia and Semirech'e. First, after Muhammad Shaybani khan's death the place of Shaybani-khan vast state emerged two states: one – in Maverannahre, with the centre in Samarkand, and then – in Bukhara, another-in Khoresm with the centre in Urgench, then in Khiva, independent from Abulkhair's descendants. Secondly, in the spring of 1514 Moghul khan’s sultan Said left Semirech'e and intruded into Kashgaria. There, having gained the victory over the Dughlat Amirs, Sultan Said founded a new state in East Dasht-i Qipchaq with the centre in Yarkand- the Mogulie-Moghul state. Thus, the Moghulistan state has disappeared from the historical arena. The changed political situation reflected on the position of the Kazakh khanate. In the second decade of the XVI century Qasim Khan outlined borders of the Kazakh khanate in the following way: the southern border included the right bank of the Syr-Darya and a part of cities, including Sairam. The Southeast border passed on valleys and foothills of the considerable part of Semirech'e. Northern border was outlined by the Ulu-Tau Mountains and Balkhash Lake, reaching the Karkaralins Mountains. The Northwest border reached the Yaik river banks. The Kazakh khanate was involving into international relations of that time, it became known about it in Western Europe. Time of Qasim Khan's death T.I. Sultanov dates as 1518 or 1523. Despite the considerable consolidation under Qasim Khan, the Kazakh khanate did not become decentralised state. It was found out after Qasim Khan Death when in the Kazakh khanate began the struggle for power between sultans. Besides, in the second quarter of the XVI century for Kazakhs were unfavorable foreign policy situation, namely- union of the Moghul and the Uzbek khans. According to Mirza Muhammad Haidar Dughlati after Qasim Khan Death his son Mamash came to the throne. Details of his governing are unknown. He died from asthma because of fight armour weight in one of battles in 1522. After sultans of the Kazakh steppe were at war with each other, and Tahir, who was the son of Qasim Khan's brother Adik-sultan became the khan. It took place in 1523. Tahir-sultan did not enjoy authority, was an extremely cruel man, possessing neither diplomatic, nor military talent. Foreign and internal political course which he had taken affected ruinously the Kazakh khanate destiny. A consequence of his 82

failure in wars against the Mangyts and Shaybanids was loss of the main possession of the Kazakhs. But it is necessary to take into consideration that fact that it was just Tahir-sultan who managed definitively to subordinate to his influence the Semirech'e population. Thus the above mentioned Kazakh khanate however, become a stable centralized state, as was apparent immediately after Qasim Khan's death in 1518, when there were acute manifestations of dissension among the khans and sultans. At the same time, the khanate was faced by united hostility of the Moghul and Uzbek khans. Mamash (Muhammad Husayn), the son and heir of Qasim, was killed, and Tahir became khan (1523–33). But he too proved unequal to the task of keeping his subjects together. His horde of 400,000 is said to have suddenly deserted him. He had to seek the assistance of the Kyrgyz of Moghulistan, among whom he died. Internal discord and wars continued in the reign of Tahir’s brother, Birilash (Buydash) Khan (1533–4), so much, that only 20,000 Kazakhs are said to have remained under his control. The next khan, Tughum, another brother of Tahir Khan, suffered a shattering defeat at the hands of the Moghul khan, Abdu’l Rash¯ýd (1533–60), in which Tughum himself, along with 37 ‘sultans’ of the Kazakhs, were killed and the rumour even spread in remote areas that the Kazakhs had been annihilated as a people. Test questions: 1. When did Muhammad Shaybani move on from Uzbek ulus to Maverannahr? 2. Why did Muhammad Shaybani provide the politic of economic isolation of the Kazakh Khans? 3. Who accompanied Muhammad Shaybani in his campaign against Kazakhs and described it in his memories? 4. What was the result of the Muhammad Shaybani's last campaign against the Kazakhs? Where did Muhammad Shaybani perish?

Additional material: The Kazakhstan steppes and transoxania in the late XV –XV centuries By the end of the fifteenth century, Timurid power in Transoxania had split into a number of principalities ruled by independent and semi-independent sultans (princes or chiefs). Tashkent had passed into the hands of the Chinggisid Yunus Khan of Moghulistan, and, following his death, to his son Sultan Mahmud Khan. Khwarazm (Khawrazm) was only nominally subject to the ruler of Khurasan, Sultan Husayn (1469–1506), who had his seat at Herat. Such a situation encouraged internecine warfare, out of which tribal chiefs in the eastern parts of the Dasht-i Qipchaq or Kipchak steppes (modern Kazakhstan), extending to the 83

north of Khwarazm and the lower reaches of the Syr Darya (Jaxartes), began increasingly to seek power and influence for themselves. At the end of the fifteenth century, the eastern Dasht-i Qipchaq was occupied by nomadic and semi-nomadic Turkic and Turkicized Mongol tribes ruled by khans (sovereigns) who claimed descent from Shayb¯an, son of Jöhi (a son of Chinggis Khan). One of the best-known rulers of what became a steppe empire was Abulkhair Khan (1428–69). His realm included various cities along the Syr Darya, such as Sighnaq, Suzaq, Arquq, Uzgend and Yasi (renamed Turkestan), which were ruled by the khan’s deputies, known as sultans. The armies led by Abulkhair Khan formed a powerful and highly manoeuvrable cavalry, to which individual warring Timurid princes appealed for support on more than one occasion. Some of them hoped to seize power in Samarkand with the help of Abulkhair Khan; others attempted to annex neighbouring lands to the territory already under their control. In 1451 it was with the help of Abulkhair Khan that the Timurid ruler Abu Sac+d (1451–69) was enthroned in Samarkand; and as a token of his gratitude he arranged to give Rabica Sultan (d. 1485–6), the daughter of the late M+rza Ulugh Beg, in marriage to Abulkhair Khan. Three years later, Abulkhair Khan gave help to Abu Sac+ds adversary Muhammad Juq+, and in 1455 he helped the ruler of Otrar, who had revolted against Abu Sac+d. In 1468 Sultan Husayn arrived in Abulkhair Khan’s camp, soliciting military support in the struggle for the Timurid throne in Khurasan. However, by then the khan was stricken with palsy and was unable to meet his request for aid. Following the death Abulkhair Khan, there ensued a struggle for power which led to the break-up of the steppe empire into separate units ruled by sultans and tribal chiefs. Increasingly prominent among these was Muhammad Shayban+ (Shah Bakht, Shibak, 1451–1510), the son of Shah Budaq Sultan, the eldest son of Abulkhair Khan. He had a gift for political intrigue and military strategy, and was a fairly well-educated man with a taste for sedentary life. Before his conquest of Transoxania he had visited the region a number of times and was well acquainted with conditions there. The inhabitants of the steppes already had close economic, ethnic and cultural ties with the settled population of Transoxania. There was a fairly brisk trade conducted between them: the sedentary inhabitants needed livestock products, while the nomads required agricultural produce and also various items made by urban craftsmen. This interaction between nomadic and sedentary cultures was reinforced by ethnic links. Intermarriages between Timurid rulers and families of the steppe chiefs were quite frequent. As noted above, one of the wives of Abulkhair Khan was the daughter of M+rza Ulugh Beg. The mother of the Timurid Sultan Al+, who was deposed from the throne of Samarkand by Muhammad Shayban+, was Zuhra (Zahra) Begum, a woman from the steppes; Sultan Qasim of the steppes was the son-in-law of the Timurid prince Bad+cu’l Zaman; and one of 84

the wives of the Shaybanid Ubaydullah Khan was Qazaq Khanum, the daughter of the Kazakh khan Qasim Khan (d. 1518). The establishment of the Shaybanid Khanate At the end of the fifteenth century, Shayban+ Khan became actively involved in the political events of the Timurid principalities. Heading a small military force, he helped now one, now another of the squabbling rulers of Transoxania. Subsequently, he assembled units composed of his steppe tribesmen and led them south with the aim of seizing the Timurid dominions. As they moved southwards, the ranks of Shayban+ Khan’s warriors swelled with conscripts from conquered towns and villages. When Shayban+ finally occupied Transoxania, his army consisted partly of nomads and semi nomads and partly of recruits drawn from the sedentary population.1 According to Mulla Shad+’s graphic description of Bukhara after it had been reduced, all Bukharans from 7 to 70 years of age were ordered to take part in Shayban+’s campaigns. In a series of campaigns from 1500 to 1503, Shayban+ Khan managed to seize Samarkand, Bukhara, Tashkent and Andijan. He found one stubborn opponent in Zah+ru’dd+n Muhammad Babur (1483–1530). Upon the death of his father Umar Shaykh, Babur was proclaimed ruler of Ferghana, and a little later, at the head of a number of Ferghana begs (commanders), he managed for a short time to occupy the city of Samarkand. On two subsequent occasions, he again endeavored to ensconce himself in what had once been the capital of the great Timur. A decisive turning-point in Shayban+’s struggle to gain control of Transoxania was his victory over Babur at the battle of Sar-i Pul near Samarkand in spring 1501, after which Babur remained in Samarkand for a few more months. Having received no support from the other Timurids, however, he was forced to abandon the besieged city. In 1511–12, after Shayban+’s death at the hands of the Safavids (1510), Babur had his final opportunity to hold Samarkand, but he was again forced to abandon it, this time for ever. Returning to his seat in Kabul, he turned his attention to India, where ultimately he gained an empire (1526–30). In his remarkable memoirs Babur repeatedly and lovingly recalls his Transoxanian homeland. In 1505 Shayban+ Khan’s army took the city of Urgench after a ten-month siege, signaling the beginning of the annexation of the whole of Khwarazm, which belonged to the residual Timurid Empire of Herat. The ruler of Herat, Sultan Husayn Bayqara (1469–1506), was already at odds with rebellious emirs and his own unruly sons. His attempts to mount a campaign against Transoxania proved abortive, and when he decided to take to the field with a united force, having assembled his troops at Herat, he was no longer capable of leading an army. On his death in 1506 his two sons, Bad+c al-Zaman M+rza and Muzaffar Husayn M+rza, succeeded jointly to the throne. In the apt words of the historian Khwand Am+r, the brothers were more akin to kings on a chessboard than to ruling heads of state. 85

Nevertheless, both the Herat rulers proclaimed a campaign against the Uzbeks, and began to assemble a force on the banks of the Murghab, where Babur also dispatched his troops. In 1506 Shayban+ Khan’s troops took Balkh, but the khan hesitated to move against the united Timurid forces. However, those forces soon dispersed on their own. Finally, in 1507 Shayban+ Khan took Herat almost without a fight. With the subjugation of the territory of present-day Turkmenistan, including Merv and the city of Astarabad, the Uzbek conquest of the lands previously under Timurid rule was practically complete. Shayban+ Khan attempted to concentrate both worldly and spiritual power in his own hands. He proclaimed himself imam al-zaman wa-khalif-al rahman (Imam of the Age and Caliph of the Compassionate One, i.e. God). He dismissed the clerics who had played an influential role under the last Timurids, replacing them with others of his choice. For instance, Khwaja Khawand was appointed shaykh al-islam (principal theologian) because he ‘had never had relations with those [earlier] in power’. Shayban+ entrusted the administration of the conquered lands to sultans and influential begs who had participated in his campaigns. He relied upon them to organize military campaigns and guard the borders of the empire. In individual cases, there are references to land being transferred as a suyurghal (land grant, lit. gift) and other forms of assignment such as iqt¯ac, as under the Timurids. Shayban+ also awarded lands to officials in return for their services, and was in the habit of distributing tarkhan certificates, especially to merchants. The tarkhanholders were usually well-to-do members of society whose privileges were not conditional on service to the sovereign. Being a tarkhan meant that one was freed from paying taxes on one’s own land and obtained a number of other advantages. A tarkhan could be excused up to ‘nine times’ for misdemeanors, and had free access to the sovereign. Eventually the policy of granting large estates to representatives of the high nobility meant that the state was divided up into many separate domains, whose chiefs grew rich in a relatively short time. Even by the end of Shayban+ Khan’s life such nobles had become restive at any attempt to exercise control over them. Various documents attest to the wealth of individual Uzbek sultans who owned pastureland and other income-yielding property. The property of one female member of the Shaybanid dynasty, Mihr Sultan Khanum (wife of Muhammad T+mur, the son of Muhammad Shayban+), included numerous villages, around 200 pieces of land, gardens, meadows, summer pastures, more than 40 craft establishments and shops, a writing-paper karkhana (workshop), mills, residential houses, etc.7 An enormous amount of property, including numerous craft and commercial establishments, was owned by Dust Muhammad B+, the son of JanWafa B+, a member of Muhammad Shayban+’s entourage and for a time the governor of Samarkand, where he resided in the house of Khwaja Yahya, the son 86

of Khwaja Ahrar. He was later to be the commander of the garrison placed in Herat. Shayban+ Khan succeeded in uniting a patchwork of small domains and, for a time, centralizing political power. He took a number of steps to curb centrifugal tendencies, but this displeased individual sultans, and their disaffection was apparent during his campaign in the steppes in 1509, and, to a certain extent, also at the fateful battle with Shah Ismac+l of Persia at Merv in 1510, where Shayban+ was heavily outnumbered and lost his life. Shayban+ Khan took a series of measures aimed at restoring agriculture and reclaiming land that had been abandoned during the years of civil strife. It was decided to transfer such land to the khan’s stewardship pending the return of the previous owners, when it would be restored to them. He allocated a sum of money from the treasury for cultivating the land. Judging by documentary evidence, some of the land remained in the hands of Shayban+ Khan, passing later to his son Muhammad T+mur, after whose death in 1514 it passed to the latter’s wife, who then arranged for it to be donated as a waqf (charitable endowment) to a madrasa (college for higher instruction in the religious and other sciences) in Samarkand. Shayban+ Khan improved the administration of waqf properties and repaired irrigation works. In 1502 a dam carrying a bridge was built across the Zarafshan River. He also introduced monetary reforms and regulated the circulation of coinage. Shayban+ Khan was himself a poet and a highly cultivated man. On his orders, books written in Persian and Arabic, and some in the mughul+ (Uighur) script, were translated into Uzbek (Turki). The Uzbek khanate after Muhammad Shaybani The Uzbek khanate faced a grave crisis upon the death of Shayban+ Khan at the battle of Merv in 1510. Babur, marching from Kabul, gained control of Hisar, Kunduz (Qunduz), Kulab and Badakhshan. In 1512 he occupied Samarkand. In order to consolidate his positions in Transoxania, Shah Ismac+l sent to his aid a 12,000-strong army under Najm-i San+, who laid siege to Karshi (Qarshi) and, after overcoming the stiff resistance of the town’s inhabitants, subjected them to cruel reprisals. From Karshi, the Qizilbash army headed for Bukhara – the domain of Shayban+’s nephew Ubaydullah Sultan – and laid siege to Ghujduvan, where the invading army was unexpectedly attacked. Ubaydullah Sultan’s decisive victory at Ghujduvan in 1512 ensured the survival of Shaybanid power in Central Asia. For a time even Mashhad and Herat were reoccupied by the Uzbeks, but Sh¯ah Ism¯ac¯+l regained these towns in 1513. Ubaydullah Khan (1512–39) proclaimed Bukhara the capital of the Shaybanid khanate and embarked upon a major programme of construction there, rebuilding part of the town walls. He also undertook campaigns against Khurasan and Khwarazm. Economic and cultural development continued to a certain extent under Ubaydullah Khan’s son, Abdu’l Az+z (1539–50). He ordered the construction of a mosque known as the Walida-yi [Mother of] Abdu’l Az+z Khan mosque, and other important buildings. 87

By the middle of the sixteenth century, the Shaybanid dominions consisted of a number of practically independent domains. The two main city-states of Samarkand and Bukhara each had its own ruler with the title of khan. Balkh too was an autonomous principality under Bukhara: when in 1549 Babur’s son Humayun, then ruling over Kabul, invaded Balkh, Abdu’l Az+z Khan of Bukhara arrived to join its ruler P+r Muhammad and helped defeat the invaders. Also enjoying de-facto independence was Tashkent, the administrative and economic centre of a region that included the Ferghana valley and towns along the Syr Darya river. Tashkent grew in importance during the years it was ruled by the Shaybanid sultans Suyunj Khwaja and Kuchkunch+ Khan (1510– 30), the well-educated sons of Ulugh Beg’s daughter Rab+ca Begum. They, together with Suyunj Khwaja’s son Keld+ Muhammad, are remembered as patrons of literature, science and the arts. The sixteenth century also saw the building in Tashkent of the Buraq Khan Madrasa (Buraq Nauruz Ahmad Khan being the appanage ruler of Tashkent, and from 1553 to 1556 the khan of Samarkand), which is one of the city’s most beautiful buildings. Other buildings such as the Kukeldash madrasa, a bathhouse and a number of mausoleums were also erected there in the course of the sixteenth century. The development of numerous crafts in Tashkent had much to do with the proximity of the nomadic steppe-lands. The city also had close links with Samarkand and Bukhara. Indeed, the town gate opening on to the road to Samarkand, the Samarqand Darwaza, has kept that name to this day. In the city and its suburbs were caravanserais catering to merchants from various countries. During this period both in Tashkent and in Shahrukhiya there were frequent literary majlises (gatherings) during which local poets, scholars and wits competed with those of other cities. The poet and historian Zaynu’dd+n Wasif+ participated actively in these literary jousts. In the 1550s the scattered possessions of the Shaybanid state began to be gathered together by Abdullah Khan II (1583–98). The de-facto ruler of Bukhara from 1557, he consolidated his power following the death of Buraq Khan of Samarkand (d. 1556) and was officially proclaimed khan after the death of his father, Iskandar Khan, the nominal khan, in 1583. The weakness of his position at the beginning is shown by the account of an English merchant, Anthony Jenkinson, who visited Bukhara in the winter of 1558. ‘The King of Boghar [Bukhara]’, he observed, ‘hath no great power or riches, his revenues are but small.’Within ten days of Jenkinson’s departure, ‘the King of Samarcand’ appeared before Bukhara, taking advantage of the ruler’s absence to try to seize the city. Balkh too was practically independent of Bukhara, for as Jenkinson returned to Russia, he was in the company of two ambassadors, one from’the King of Boghar’, the other from the ‘King of Balke’. It is interesting, however, that Jenkinson found something to commend in Abdullah Khan (whom he does not actually name). Taking him to his private chamber, the ruler sought information 88

about Russia, the Ottomans and Christianity, and practiced shooting with the Englishman’s handguns. Jenkinson found that he was also strict in suppressing highway robbery. It was only in payment for wares purchased that ‘hee shewed himselfe a very Tartar’. From rather unpromising beginnings, but with some firm character traits, Abdullah Khan emerged victorious from a bitter internecine struggle among the Shaybanids. After numerous campaigns, his troops conquered Tashkent. In 1582 he led a memorable expedition into the steppes, leaving a record of his campaign in an inscription in the Jilanuli gorge. His attention then turned southwards. In 1584 he expelled the Timurid ruler Shahrukh from Badakhshan; and over Balkh (already subjugated in 1573) he placed his hot-headed son, Abdu’l Mu’min, in 1582. In 1588, taking advantage of political instability in Persia, Abdullah Khan took Herat from the Persians after an eleven-month siege. Subsequently, in 1589, Abdul Mumin captured Mashhad, ordering a general massacre and defiling the corpse of Shah Tahmasp. In 1593 and again in 1594 Khwarazm was invaded by Abdullah Khan and annexed to Bukhara.

3.5 Internal and external position of the Kazakh Khanate in the second half of the XVI - XVII cc. Internal discord and wars continued in the reign of Tahir’s brother, Birilash (Buydash) Khan (1533–4), so much so that only 20,000 Kazakhs are said to have remained under his control. The next khan, Tughum, another brother of Tahir Khan, suffered a shattering defeat at the hands of the Moghul khan, Abdul Rashýd (1533–60), in which Tughum himself, along with 37 ‘sultans’ of the Kazakhs, were killed and the rumour even spread in remote areas that the Kazakhs had been annihilated as a people. But a revival of Kazakh power seems thereafter to have taken place under Qasim Khan’s son, Haqq Nazar Khan (1538–80). The English merchant, Anthony Jenkinson, who visited Bukhara in 1558–9, heard reports of’the Cossacks of the law of Mahomet’ – that is, the Kazakhs – threatening Tashkent, an Uzbek possession. Together with the Kyrgyz, who were similarly threatening Kashghar, these were held to be ‘two barbarous Nations. Of great force, living in the fields without House or Towne. These events probably had some connection with an invasion of Moghulistan that Haqq Nazar Khan undertook some time before 1560, defeating and killing Abdul Rashýd Khan’s son, Abdul Latýf. Exploiting internal strife within the Nogay Horde, Haqq Nazar won over many of the Nogay mursas (in Persian, sons, descendants of Amirs and rulers, hence princes, nobles) to his side and annexed the territory along the left bank of the River Yaik. In 1580 Sayfý, the author of a Turkish work, held the Kazakhs to number 200,000 families. He described them as Hanafite Muslims (as were most 89

of the Muslims in Transoxania). They had sheep and camels, and exported to Bukhara coats made of very fine wool. They were nomads and had their dwellings on carts. The aged Shighay Khan (1580–2), a grandson of Janibeg Khan, succeeded Haqq Nazar, and the next khan was his son, Tevke (Tevekkel, Tevkel, possibly a Turkic form of Tavakkul, 1582–98). Tevke Khan succeeded gradually in consolidating his authority in the khanate. He sent an embassy to Tsar Feodor in 1594 seeking support against the Uzbek ruler Abdullah Khan (1557–98) and the Siberian khan Küchüm. The Russian documents refer to him as the ‘Kazakh and Kalmuk king’, which suggests that he also had some Kalmuks as his subjects or chiefs. This might have been the result of an earlier conflict with the Kalmuks in which Tevke had carried out a raid into Kalmuk (Oirat) territory, which had in return brought upon the Kazakhs ‘a devastating irruption of the infidels’. In their conflicts with the Uzbeks, the Kazakhs felt at a particular disadvantage in having to rely on bows and arrows alone, whereas the Uzbeks also had firearms. One objective behind the embassy to Moscow in 1594 was to secure these weapons even at the cost of accepting vassalage to the tsar. Just before Abdullah Khan’s death in 1598, Tevke launched an invasion of the Uzbek dominions and defeated, at a place between Tashkent and Samarkand, a large army that Abdullah Khan had sent against him. In 1598, after Abdullah Khan’s death, Tevke raised ‘an immense host from among the tribes of West Turkistan and steppe-inhabiting Uzbeks’and seized ‘Aksi, Andijan, Tashkent and Samarkand’. His army of ‘70–80,000’, however, suffered a setback at Bukhara – which was nominally under the last Shaybanid khan, Pir Muhammad Khan – and he retreated to Tashkent, where he died after an illness. Tevke’s conquests were soon retaken by the Uzbeks, but Tashkent and Turkestan remained with the Kazakhs until 1723. In the seventeenth century Kazakhstan presented the picture of a politically fragmented country. No stable economic and political ties could be formed between the Kazakh zhuzs. The difficulties standing in the way of uniting the Kazakh lands into a stable centralized state may be attributed to the economic backwardness of the Kazakh khanate and the predominance of a natural economy, marked by the decline of the towns in southern Kazakhstan. Feuding increased in the first quarter of the seventeenth century, when Ishim (Esim) Khan (1598–1628) succeeded his brother Tevke. Some of the more powerful Kazakh sultans became virtually independent of the khan. Prominent among them was Tursun Muhammad, who, installed by Imam Quli Khan, the Uzbek ruler of Bukhara, proclaimed himself khan at Tashkent (1614–27) while Ishim ruled in Turkestan. After Ishim Khan, the situation of the Kazakh khanate deteriorated even further; the Dzungars seized part of Semirech'e, subjugating the Kazakh nomads in the area. Ishim’s son Jahangýr (1630–80) won a great victory against the Dzungars in the early 1640s but ultimately lost his life in a battle with 90

the Dzungar ruler Galdan (1671–97). When the throne passed in 1680 to Tauke (or Tauka) Khan (1680–1718), he took up the cudgels against the old nobility, and brought in new nobles, b s or begs (lords), of his own, to play a major role in the khan’s councils. How far this improved matters is difficult to say. The Dzungar invasion The situation on the eastern frontiers of the Kazakh khanate grew worse at the beginning of the seventeenth century. Whereas a relatively strong Kazakh khanate had been faced, in the late sixteenth–early seventeenth century, by disunited Oirat (Kalmuk) tribes, the balance began to shift in the second quarter of the seventeenth century in favour of the Dzungar taijis (taishis, nobles, chiefs) within the Oirat fold. The Dzungar chief Khara Khula (d. 1634) made a prolonged effort to unite the Oirats. Under his son Baatur (1634–53), the Dzungar Empire may be deemed to have been fully established: he took the imperial title of khongtaiji (khongtaishi). Ba’atur persistently made war against the Kazakhs from bases in Dzungaria (northern Xinjiang, China), comprising most of Moghulistan. His son, Galdan Boshoghtu (1671–97), continuing the wars, seized practically all of Semirech'e from the Kazakh khan Tauke in the early 1680s. However, his preoccupation with a campaign against China in his later years somewhat weakened the pressure on the Kazakhs. Relations between the Kazakhs and the Dzungars deteriorated sharply after the accession of Cewang Arabtan (Tsewangraptan) as Dzungar chief (1688–1727), when a fresh series of military conflicts began. The Dzungars inflicted defeat after defeat on the Kazakhs, making off with captives and cattle, seizing pastures and property, and slaughtering entire clans and villages. This is how Valikhanov described the situation of the Kazakhs early in the eighteenth century: ‘Their lands were threatened from all sides, their cattle were driven away and entire families were taken captive by the Dzungars, Volga Kalmuks, Yaik Cossacks and Bashkirs. In 1717 Kaip (Gh¯ayb) Khan and Ab¯ul Khayr conducted a major campaign with a force of 30,000 men against the Dzungar khanate, but the Kazakh levies suffered a crushing defeat on the River Ayaguz. In 1723 the Dzungar rulers suddenly moved their armies into Kazakhstan. This is the year of the beginning of the ‘great calamity’ in the traditional Kazakh oral tales called the Aqtaban-shubirindi and the Alqaqol-sulama. Taken unawares, the Kazakhs were obliged to retreat, abandoning cattle, covered wagons and other possessions. Many were killed by the Dzungar invaders, and many more perished while crossing the rivers Talas, Borolday, Arys, Chirchik and Syr Darya. Sayram, Turkestan and Tashkent were occupied by the invaders. Most of the clans of the Middle Zhuz migrated to Samarkand, while the Little Zhuz retreated into the territories of Khiva and Bukhara. The only way out of the situation was through an effort to expel the enemy; the uprising was led by the batirs (bahadurs, intrepid warriors, troop-leaders) Bugenbay, Raimbek (Rahým 91

Beg), Tailaq, Saureq, Malaisare and Janibeg Khan. The organized struggle began in 1726, when the troops of all the three zhuzs began to act together. In the southeastern area of the Turgay steppe, on the banks of the rivers Bulanti and Beleutti, in the locality of Qara-syr, which subsequently acquired the name of Qalmaq kirilgan (‘the place where the Kalmuks perished’), there was a major battle between the Kazakhs and the Dzungars, in which the latter were defeated. The serious situation on the eastern frontier having made it imperative for the three zhuzs to join forces, Abulkhair, khan of the Little Zhuz, was chosen to command the troops. The victory gained by the Kazakhs in the locality of Anrakay in 1730 came about because the Kazakh troops of all three zhuzes fought side by side. The Dzungar forces were obliged to retreat eastwards back into the territory of the Dzungar khanate itself. The unity of the Kazakh hordes did not, however, last long. The ties between the hordes, especially those of the Little and Middle Zhuzs with the Great Zhuz, were not strong enough to sustain the alliance. Moreover, the Little and Middle Zhuzes were now themselves broken up into separate domains. The threat of a new attack by the Dzungar khanate was not eliminated by the success of 1730. Although the Dzungar Empire was much weakened by a large cession of territory to the Chinese in 1732, the Dzungar ruler Galdan Cering (Galdan Tseren) (1727– 45) continued to press hard upon the Kazakhs. But the overthrow of the Dzungar Empire by the Chinese enabled the Kazakhs, under Khan Ablai of the Middle Horde, to drive out the Dzungars from Kazakh lands in 1758. The Kazakh khanate was obliged to accept the suzerainty of Russia partly because of the military and political situation that had developed owing to the Dzungar excursions and the consequential economic difficulties, the fragmentation of the khanate and civil strife. The Kazakh khanate was obliged to accept the suzerainty of Russia partly because of the military and political situation that had developed owing to the Dzungar excursions and the consequential economic difficulties, the fragmentation of the khanate and civil strife. Kazakh –Russian relations in the XVII-first third of the XVIII cc. In 1726 there was a meeting in the Karakalpak steppes between a Russian envoy, Mulla Maksyuta Yunusov (Mulla Maqsud b. Yunus), and Abulkhair Khan, then leader of the Little Horde. Following the negotiations, Abulkhair Khan sent a mission to St Petersburg headed by Koybagar Kobekov for the purpose of gaining the ‘protection’ of Russia. On 8 September 1730 a mission from Abulkhair Khan headed by Seitkul (Seyed-Qul) Koydagulov and Kutlumbet Koshtaev came to Ufa and petitioned Empress Anna Ivanovna (1730–40) for the incorporation of the Little Zhuz into the Russian empire.

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On 19 February 1731 the empress signed a deed addressed to Abulkhair Khan and the whole of the Kazakh people’ on their voluntary acceptance of Russian nationality. A special mission headed by A. I. Tevkelev was dispatched to the Kazakh steppes on 30 April 1731 to inform the Kazakhs of the deed and to administer the oath of allegiance to them. On 10 October Tevkelev summoned the Kazakh leaders to a meeting at which the legal act on the voluntary incorporation of the Little Horde into Russia was signed by Abulkhair Khan, followed by Bukenbay, Iset and his brother M+rza Khuday Nazar, and further Kazakh chiefs. On 15 December 1731 Tevkelev, Abulkhair Khan and Bukenbay sent emissaries to Semeke Khan of the Middle Zhuz with the proposal that he should accept subjection to Russia. Semeke expressed the willingness of his Horde to enter the Russian empire, the oath of allegiance was administered to him and he àffixed his seal. The sultans and begs of the Great Zhuz, Qodar and Tole, and batirs Satay, Qangeldy and Bolek then approached the empress herself directly with a request for admission to the Russian empire. On 19 September 1738 Empress Anna confirmed by deed to Jolbarys Khan that the Great Horde had been admitted into Russia. However, such was the remoteness of the Great Horde from Russia, and so vulnerable was it to pressure from Dzungaria, that it was difficult to give effect to the incorporation of these Kazakh lands into Russia. It was, indeed, not until 1846 that the Kazakhs of the Great Horde actually accepted Russian suzerainty. Meanwhile, from the middle of the eighteenth century onwards, Russia began to build lines of defence in Kazakhstan, along the rivers Yaik, Irtysh and Ishim. The defence works afforded great scope for the Russians to colonize Kazakhstan. They acquired the best and most fertile land, with the result that the area of grazing land was reduced and traditional migrations were disrupted. The tsarist government also issued a number of decrees restricting the movements of the Kazakhs. Additional material: The Uzbek khanate after Muhammad Shaybani The Uzbek khanate faced a grave crisis upon the death of Shayban+ Khan at the battle of Merv in 1510. Babur, marching from Kabul, gained control of Hisar, Kunduz (Qunduz), Kulab and Badakhshan. In 1512 he occupied Samarkand. In order to consolidate his positions in Transoxania, Shah Ismac+l sent to his aid a 12,000-strong army under Najm-i San+, who laid siege to Karshi (Qarshi) and, after overcoming the stiff resistance of the town’s inhabitants, subjected them to cruel reprisals. From Karshi, the Qizilbash army headed for Bukhara – the domain of Shayban+’s nephew Ubaydullah Sultan – and laid siege to Ghujduvan, where the invading army was unexpectedly attacked. Ubaydullah Sultan’s decisive victory at Ghujduvan in 1512 ensured the survival of Shaybanid power in Central Asia. For a time even Mashhad and Herat were reoccupied by the Uzbeks, but Sh¯ah Ism¯ac¯+l regained these towns in 1513. Ubaydullah Khan (1512–39) proclaimed Bukhara the capital of the Shaybanid khanate and embarked upon a 93

major programme of construction there, rebuilding part of the town walls. He also undertook campaigns against Khurasan and Khwarazm. Economic and cultural development continued to a certain extent under Ubaydullah Khan’s son, Abdu’l Az+z (1539–50). He ordered the construction of a mosque known as the Walida-yi [Mother of] Abdu’l Az+z Khan mosque, and other important buildings. By the middle of the sixteenth century, the Shaybanid dominions consisted of a number of practically independent domains. The two main city-states of Samarkand and Bukhara each had its own ruler with the title of khan. Balkh too was an autonomous principality under Bukhara: when in 1549 Babur’s son Humayun, then ruling over Kabul, invaded Balkh, Abdu’l Az+z Khan of Bukhara arrived to join its ruler P+r Muhammad and helped defeat the invaders. Also enjoying de-facto independence was Tashkent, the administrative and economic centre of a region that included the Ferghana valley and towns along the Syr Darya River. Tashkent grew in importance during the years it was ruled by the Shaybanid sultans Suyunj Khwaja and Kuchkunch+ Khan (1510– 30), the well-educated sons of Ulugh Beg’s daughter Rab+ca Begum. They, together with Suyunj Khwaja’s son Keld+ Muhammad, are remembered as patrons of literature, science and the arts. The sixteenth century also saw the building in Tashkent of the Buraq Khan madrasa (Buraq Nauruz Ahmad Khan being the appanage ruler of Tashkent, and from 1553 to 1556 the khan of Samarkand), which is one of the city’s most beautiful buildings. Other buildings such as the Kukeldash madrasa, a bathhouse and a number of mausoleums were also erected there in the course of the sixteenth century. The development of numerous crafts in Tashkent had much to do with the proximity of the nomadic steppe-lands. The city also had close links with Samarkand and Bukhara. Indeed, the town gate opening on to the road to Samarkand, the Samarqand Darwaza, has kept that name to this day. In the city and its suburbs were caravanserais catering to merchants from various countries. During this period both in Tashkent and in Shahrukhiya there were frequent literary majlises (gatherings) during which local poets, scholars and wits competed with those of other cities. The poet and historian Zaynu’dd+n Wasif+ participated actively in these literary jousts. In the 1550s the scattered possessions of the Shaybanid state began to be gathered together by Abdullah Khan II (1583–98). The de-facto ruler of Bukhara from 1557, he consolidated his power following the death of Buraq Khan of Samarkand (d. 1556) and was officially proclaimed khan after the death of his father, Iskandar Khan, the nominal khan, in 1583. The weakness of his position at the beginning is shown by the account of an English merchant, Anthony Jenkinson, who visited Bukhara in the winter of 1558. ‘The King of Boghar [Bukhara]’, he observed, ‘hath no great power or riches, his revenues are but small.’Within ten days of Jenkinson’s departure, ‘the King of Samarcand’ appeared before Bukhara, taking advantage of the ruler’s absence to try to seize 94

the city. Balkh too was practically independent of Bukhara, for as Jenkinson returned to Russia, he was in the company of two ambassadors, one from’the King of Boghar’, the other from the ‘King of Balke’. It is interesting, however, that Jenkinson found something to commend in Abdullah Khan (whom he does not actually name). Taking him to his private chamber, the ruler sought information about Russia, the Ottomans and Christianity, and practiced shooting with the Englishman’s handguns. Jenkinson found that he was also strict in suppressing highway robbery. It was only in payment for wares purchased that ‘hee shewed himselfe a very Tartar’. From rather unpromising beginnings, but with some firm character traits, Abdullah Khan emerged victorious from a bitter internecine struggle among the Shaybanids. After numerous campaigns, his troops conquered Tashkent. In 1582 he led a memorable expedition into the steppes, leaving a record of his campaign in an inscription in the Jilanuli gorge. His attention then turned southwards. In 1584 he expelled the Timurid ruler Shahrukh from Badakhshan; and over Balkh (already subjugated in 1573) he placed his hot-headed son, Abdu’l Mu’min, in 1582. In 1588, taking advantage of political instability in Persia, Abdullah Khan took Herat from the Persians after an eleven-month siege. Subsequently, in 1589, Abdul Mumin captured Mashhad, ordering a general massacre and defiling the corpse of Shah Tahmasp. In 1593 and again in 1594 Khwarazm was invaded by Abdullah Khan and annexed to Bukhara. The Janid's power in Bukhara (XVII-the first third of the XVIII cc.) The establishment of Janid (Astarkhanid) power in Bukhara Upon the death of Abdu’l Mu’min Khan, the notables at Bukhara dredged up P+r Muhammad Khan, an opium addict, from among the few surviving members of the Shaybanid house and raised him to the position of khan. The Uzbek notables at Balkh installed a dubious pretender, Abdu’l cm¯+n. At Herat, D+n Muhammad Sultan was proclaimed defacto khan, because he was the son of a daughter of Abdullah Khan, although nominal khanship was vested in his father, Janibeg Sultan, a migrant from Astrakhan. Thus one can date the start of the Janid or Astarkhanid dynasty to 1598. The immediate circumstances surrounding the new dynasty were hardly propitious. Khurasan, where D+n Muhammad Sultan had been proclaimed, was slipping into Persian hands. The Uzbek garrison vacated Mashhad under a local truce; thereafter Shah Abbas I (1587–1629) himself appeared and inflicted a severe defeat on D+n Muhammad Khan at the battle of Herat (August 1598). D+n Muhammad fled, but was killed during his flight. A Persian army installed a Shaybanid claimant (Nur Muhammad Khan) at Merv, and HajI Muhammad Khan, hitherto a fugitive with the Safavids, recovered Khwarazm. Early in 1600 a Persian army helped to install Muhammad Ibrah+m Khan at Balkh. In the north, the Kazakh khan, Tevke, who had already defeated an Uzbek army sent against him before Abdullah Khan’s death, now swept over Akhsi, Andijan, Tashkent and 95

Samarkand and even laid siege to Bukhara. He was forced to retreat, however, and he died at Tashkent in 1599. It may appear that in these circumstances, the Janid cause was saved by the exertions of just one man, Baq+ Muhammad Sultan. Fleeing from the battle of Herat, he appeared at Bukhara, and, while temporarily acknowledging the authority of the Shaybanid khan, P+r Muhammad, exerted himself in driving away Tevke’s hosts. As the Kazakhs retreated, he established himself at Samarkand, where after some time he declared himself independent. He defeated and killed P+r Muhammad Kh¯an when the latter battled with him near Samarkand in 1599. Thereafter he marched to Bukhara and made it his capital. The recovery of Balkh was another major success. Shah Abbas I’s nominee Ibrah+m Khan died suddenly in 1601, enabling Baq+ Muhammad Khan to occupy Balkh without opposition. Next year he offered successful resistance to Shah Abbas, who personally led an expedition to expel the Uzbeks from Balkh. Subsequently, in 1603, he also subjugated Badakhshan. Baq+ Muhammad Khan was formally proclaimed the supreme khan, following the death of his father Jan+ Muhammad in 1603. He is described by contemporaries as a man of outstanding intellect and bravery. He is credited with establishing ‘regulations of government and rules for army and subjects’ that later rulers are said to have held as models, but there is no precise description of what he did in these spheres. His reign was, in any case, a short one, since he died in 1605. During Baq+ Muhammad Khan’s reign, Balkh and the adjacent territory were placed under the authority of his brother and successor, Wal+ Muhammad Khan. The city was a major centre of crafts and of domestic and foreign trade. One of the city gates was called the Bukhara Gate (Bukhara Darwaza), thus reflecting the ties between Balkh and Bukhara. Henceforth Balkh was often considered the appanage of the heir to the throne, who was sent to Balkh on the decision of the khan of Bukhara. Wal+ Muhammad Khan (1605–11) gave his nephews, Imam Qul+ and Nadr Muhammad, the two sons of D+n Muhammad Khan, the important appanages of Samarkand and Balkh respectively. Having obtained considerable power, they revolted and after a complex struggle, drove out Wal+ Muhammad Khan; when the latter returned with a Persian force, he was ultimately overthrown and killed. Imam Qul+ took his seat at Bukhara as khan. During his long reign (1611–41) Imam Qul+ maintained a fairly stable government at Bukhara. Generally, he let the Uzbek chiefs govern their appanages as they wished. His brother, Nadr Muhammad, enjoyed a semi-independent status at Balkh. When Imam QulI brought Tashkent back under Uzbek control in 1613, he handed the city over to the Kazakh Sultan Tursun, who soon became an independent khan of the Kazakhs (1614–27). An expedition in 1621 to Tashkent, which suffered a general massacre at Imam Qul+’s hands, proved fruitless. Yet by his generally mild policies Imam Qul+ Khan acquired a considerable reputation for bringing peace to Transoxania. He had irrigation canals broadened and repaired, and undertook a number of other projects which helped to revive agriculture in some parts of the Bukhara khanate. 96

Towards the end of his life, he went blind and was compelled to abdicate in favor of Nadr Muhammad, where after he proceeded on a pilgrimage to Mecca, traveling through Persia. In Persia he had his portrait painted, which is now kept in the State Museum of the Arts of the Peoples of the East in Moscow. During Imam Qul+’s reign his brother Nadr Muhammad had governed Balkh and Badakhshan as an independent ruler, collecting considerable revenues from the relatively small area. When he moved to Bukhara in 1641 to step into the shoes of his elder brother, he created momentary visions of another vast Uzbek empire. When Isfandyar Khan of Khiva died in 1642, his sons – fearful of Isfandyar’s uncle Abu’l Ghaz+’s return – proclaimed allegiance to Nadr Muhammad and asked for a governor to be sent. Yet the inherent weaknesses of the Bukhara khanate now became apparent. Imam Qul+ had let the Uzbek chiefs govern their appanages as they wished; but Nadr Muhammad undertook a wholesale transfer of offices in order to strengthen his authority. He also tried to resume some of the large land grants (suyurghals) of the mystic khwajas (see below). These measures turned the Uzbek chiefs against him, including some of his earlier associates from Balkh, like the powerful commander Yalangtush, as well as the religious classes. Ultimately his own son, Abdu’l Az+z Khan, rose against him and was proclaimed khan at Bukhara in 1645. Nadr Muhammad clung to his older possessions of Balkh and Badakhshan, but when the Indian emperor Shah Jahan (1628–58) decided to take advantage of the civil war to pursue his own territorial ambitions, Nadr Muhammad’s power collapsed here as well. The Indian invasion of Balkh and Badakhshan in 1646–7 initially proved successful: Nadr Muhammad fled to Persia, while Abdu’l Az+z Kh¯an and his main troops were held at bay. But a universal uprising against the invaders turned the scales, and Shah Jahan decided to recall his troops in the autumn of 1647. Nadr Muhammad’s effort to return with Persian assistance proved unsuccessful, and he maintained his rule in Balkh with difficulty until his death in 1651. Ultimately, the characteristic pattern asserted itself: Abdu’l Az+z ruled at Bukhara, while his younger brother Subhan Qul+ governed at Balkh as a practically independent ruler. In respect of the position of Balkh and his relations with the Uzbek chiefs, Abdu’l Az+z’s long reign (1645–80) was seemingly a repetition of Imam Qul+’s. His principal commander, Yalangtush Bahadur (d. 1665–6), who had previously been Nadr Muhammad’s atal+q (tutor, regent) at Balkh, now took Samarkand as his semi-independent appanage. Here he built the famous Tilla-kari madrasa (seminary). Not surprisingly Abdu’l Az+z’s own power declined; and he had to face serious threats from the khans of Khiva, Abu’l Ghazi (1643–63) and his son Anusha Muhammad (1663–85), who repeatedly invaded his territory and even sought to capture Bukhara. Abdu’l Az+z was a patron of theologians and was himself a muft+ (jurist) quailfyed to give theological opinions. Ultimately, he followed Imam Qul+ in 97

abdicating his throne in favor of his younger brother (Subhan Qul+, ruler of Balkh) and going away with a splendid equipage for the hajj to Mecca. Subhan Qul+ reigned at Bukhara from 1680 to 1702, and by and large, kept the inherited dominions under his authority. He was able to resist an invasion by Anusha Khan of Khiva in 1685. Himself the author of a large work on medicine, he built a hospital (dar al-shifa’) at Balkh after he had become the khan of Bukhara. He received embassies from both the Mughal and Ottoman emperors, the texts of whose missives have been preserved. Upon Subhan Qul+’s death in 1702, the khanate was again divided into two parts: Muq+m Khan, the grandson of Subhan Qul+ and patron of the historian Yusuf Munsh+, declared himself ruler at Balkh, while recognizing his uncle Ubaydullah as khan of Bukhara. Ubaydullah (1702–11) tried to revive the financial position of the khanate by monetary reforms, which were not wholly successful. He undertook military campaigns, and though these often proved ruinous, he tried to protect his subjects from undue harm. When he pitched camp in a village, for example, he would arrange to pay for the damage done to the crops. Ubaydullah Khan sought to make some departure from the established conventions: rather than confine his choice to members of the distinguished, old-fashioned nobility, he began to recruit to his service the sons of craftsmen and merchants; as his contemporary M+r Muhammad Am+n Bukhar+ noted in his Ubaydullah-nama [The History of Ubaydullah], people ‘of humble origin’ were promoted by him. ‘The son of a slave was made a court official,’ grumbles the indignant historian. Ubaydullah Khan offered’ the little man the places of great men’, made him ‘a ruler of state, a leading emir, and the ornament of the military caste, thereby deviating from the course of previous rulers and from the decisions and habits of his forefathers.’ Nevertheless, M+r Muhammad Am+n recognizes that Ubaydullah Khan strove for the ‘welfare and prosperity of the state’. Ubaydullah Khan also encroached upon the property of the Juybar+ shaykhs, even though his forefathers had always shown great partiality towards that ‘meritorious family’. Given the circumstances of the time, these radical measures of Ubaydullah Khan and his attempts to modify the composition of the ruling class were doomed to failure. The strong displeasure of the ruling classes led to a conspiracy which culminated in Ubaydullah’s assassination in 1711. After Ubaydullah’s death the fragmentation of the state grew apace. The Bukhara khanate of the last Janids consisted of independent domains headed by the emirs of Bukhara, Samarkand, Tashkent, Balkh, Badakhshan and other territories. The khanate lost the Ferghana district, where an independent Kokand (Khoqand) khanate arose after 1709. The emissary of Peter the Great, Florio Beneveni, wrote that Samarkand, the former capital of the celebrated T+mur, is a large city, but now stands empty and ruined.’ Under Abu’l Fayz (1711–47), all that remained ultimately of his domain as the khan of Bukhara consisted of a small area in front of his palace. In 1740 the armies of the Persian conqueror Nadir Shah (1736–47), who had by then led a successful campaign into India, invaded the 98

Bukhara khanate and occupied Bukhara. Under the regime of Nadir Shah’s appointees, the economy declined further, farms were ruined and the population grew impoverished. In the 1740s one of the various emirs, Muhammad Rah+m Mangh+t, son of the Muhammad Hak+m, came to prominence. He became the founder of a new ruling house, the Mangh+t (Manqet, Manghet) dynasty (see Part Three, below), where after the Bukhara khanate became known as the emirate of Bukhara.

3.6 Material and spiritual culture of Kazakh people in XVI-XVII centuries Herding, farming and urban life Nomadic and semi-nomadic herding was the principal economic activity of the Kazakhs. The animals reared were mainly sheep, horses, camels and cattle. The meat and milk of sheep served as food, and their skins and wool were used in making clothes, footwear, vessels and many other objects of daily use. Horsebreeding was no less important. Haydar Dughl¯at aptly quotes the Kazakh khan Q¯asim’s words: ‘We are men of the desert, and here there is nothing in the way of riches or formalities. Our most costly possessions are our horses, our favorite food their flesh, our most enjoyable drink their milk and the products of it. Kazakh pastoralists often moved seasonally with their herds of animals from one location to another to make the best use of available pastures. Wheeled transport was widely used, though horseback was the normal mode of travel. Because fodder was not usually put by for the winter, there were mass deaths of animals (known as zhuts) if deep snow covered the steppes for too long or there was a prolonged drought. Nomadic life was thus even more subject to natural disasters than settled life. In addition to stock-breeding the Kazakhs were also involved in farming and enjoyed a settled mode of life; others lived in towns. From the late fifteenth to the seventeenth century, life in the Syr Darya region and Semirech'e became largely sedentary. The development of towns and settlements, and of agriculture itself, was greatly supported by exchanges with nomads and semi-nomads. The town of Sighnak retained its importance as the major economic and political centre of the eastern Dasht-i Qipchaq. The town finally came under the permanent authority of the Kazakh khans in 1598. Nomadic stock-breeders came to Sighnak, driving their beasts before them (‘fat sheep, horses and camels’, in the words of the author of the Mihm¯ann ¯ama-i Bukh¯ar¯a) and delivering the produce of animal husbandry (meat, skins, hides, wool and woollen goods) and furs. Such valuable goods as ‘fur coats of. . . sable and squirrel, taut bows, arrows of white birch, silk cloth and other costly wares’ were also brought to Sighnak to be sold. During the sixteenth and seventeenth centuries the city of Turkestan became the most important centre of southern Kazakhstan. Ibn Ruzbih¯an calls Yasi ‘the 99

capital of the rulers of Turkistan’. Written sources contain references to many settlements around Yasi (modern Turkestan) that together formed a large farming oasis, especially the settlements of Iqan, Qarnaq, Qarachuq and Suri. Ishim Khan made Turkestan his capital, a place at which much of the cultural and political life of the entire Syr Darya strip was centred. The Kazakh khans, like the previous rulers of West Turkistan, also attempted to maintain the role of the city as a centre of Islamic learning and rites. Sauran retained its importance as an urban centre. It was one of the strongest fortresses of the region. To quote Ibn Ruzbih¯an again, ‘the town is surrounded by a high wall, which cannot be rapidly taken by armed force, and around it there is an unassailable moat.’ Like other towns in southern Kazakhstan, Sauran was the centre of a farming district from which it obtained its food supplies; apart from being a grain exporter, it was reputed around 1520 for its ‘incalculable wealth’ and ‘the comforts of the vilayet’. During the final third of the fifteenth century and early in the sixteenth century, Otrar remained one of the region’s major administrative centres. Artefacts unearthed during excavations at Otrar in recent years point to the prosperity of the town and the surrounding farming district in the sixteenth and seventeenth centuries.In the late Middle Ages Sayram was at the heart of a densely populated agricultural district at the junction of the trade routes from Transoxania to the Dasht-i Qipchaq and Semirech'e. There are references in our texts to other towns in the Syr Darya region that were also surrounded by farming districts, such as Suzaq, Arquq, Uzgend and Aq-Kurgan. Crafts Written sources and archaeological finds demonstrate that the Kazakhs practiced many trades, prominent among which were blacksmithing, jeweler making, leatherwork, tailoring and shoe-making. Woodworkers carved beautifully shaped, richly ornamented wooden bowls, elegant goblets for the drinking of kumiss (qumis, qumiz) (fermented mare’s milk) and large round basins. They also made wooden components for yurts, beds, chests, low round tables and children’s cots. Blacksmiths fashioned armour and weapons, such as bows, quivers, shields, knives, swords, spears and arrows, and the usual range of metal tools for farming and everyday household use. Leather-workers and saddlers made horse trappings, harness and other fittings for carriages and pack horses; and straps and fastenings for the awnings of yurts. Carpet- and rug-making were widely developed. Clothes, felt, carpets and furnishings for yurts were mainly the work of women. Master potters were renowned for their range of crockery, including glazed wares. Craftsmen who were able to impart an artistic quality to their products were held in high esteem and addressed as sheber (master craftsman). Urban craftsmen were members of guilds (ris¯alas) and lived by their rules. In the course of excavations archaeologists have uncovered the workshops of potters, blacksmiths, jewelers, coppersmiths and brick-makers. 100

Kazakh military organization and arts The Kazakhs did not have a standing army, but raised levies as required. A detachment was an independent military unit: the chief of the clan was its commander and each detachment had its own battle flag and war cry (uran). A few such autonomous units formed the host of an ulus (familial or tribal domain). The leader of the ulus was also the leader of the host, which had its main banner and its own war cry. The khan was the commander-in-chief of all the hosts; he personally stood at the head of his troops in battle and was expected to share their hardships and dangers. Sources indicate that the Kazakh rulers had, on average, 30–50,000 mounted warriors. Mobility was a feature of the light cavalry of the steppe dwelling nomads, who were able to assemble large forces for an attack at any time and in any place. The main weapons of the Kazakhs during the period were the sword and the bow. Other arms mentioned are war axes, bludgeons, one-handed maces, twohanded clubs, and long spears decorated with horsehair tassels and fitted with a hook for dragging an opponent from the saddle. We have a reference to a warrior sultan from the Dasht-i Qipchaq in the following terms: ‘Over his chest he wore a shirt of mail as blue as the sky, on his head there was a sparkling helmet with a helmet liner, and round his waist was a belt from which hung a sword.’ Firearms were not very common, but the Kazakhs knew how to make ‘good gunpowder’, and also how to smelt lead and copper ore. There is much information in the sources on the military art of the TurcoMongol nomadic tribes and peoples. If the military commanders thought it pointless to engage in a cavalry skirmish, the warriors dismounted, and having fastened the reins of their horses to their belts, rained down arrows on the enemy and sought to prevent the opponents’ advance with spear thrusts. If the enemy attacked unexpectedly, making it impossible for the defenders to form ranks, they strove to close the flanks and form a circle, wheeling round as they fought, ‘in the Mongol fashion’. In attack the nomads used a method which had its own special name – tulgama (tulgamish). Both these words come from the Turkic verb tulgamak – to encircle, wind round, turn, spin, and whirl. As a method of warfare, tulgama means to turn, make a flanking movement and attack the enemy on the flank or in the rear. Military prowess was highly esteemed and a person who ‘cut off more heads and spilled more blood’ than others enjoyed general respect. We know from fifteenth-century sources that outstanding swordsmen who were repeatedly successful on the battlefield were awarded the title or style of tolu-batir or tolubahadur (perfect hero) or bogatyr (complete hero), i.e. a person of boundless courage, steadfastness and strength. Dwellings Most of the population of Kazakhstan, whose occupation was nomadic and semi-nomadic herding, lived in movable dwellings of various shapes, sizes and designs. In warm weather the herdsmen and their families lived in light portable 101

dwellings, while in cold weather they lived for the most part (nomads excepted) in warm, permanent housing – dug-outs and dwellings above ground, the names for which were Zheru, Qara-tam and Shohola. The summer dwellings of the Kazakhs were of two types: the felt tent or yurt, and the covered wagon or kuyme (kheyma). The most usual form was the yurt, which is an easily assembled dwelling. It was circular in shape, outwardly resembling a rotunda. The base of the yurt was formed by the wall (kerege), over which a dome-shaped vault of radially arranged poles was erected, with their lower ends fastened to the wall and their upper ends held by a circle of wood (shaniraq) forming the uppermost point of the dome. The yurts of wealthy people and nobles were noteworthy for their elegance and costly furnishings; their frames were often decorated with bone inlay, and the interior was hung with many-coloured carpets and expensive textiles. Covered wagons formed another common type of mobile home among the Kazakhs. As described by Ibn Ruzbihan: their homes [those of the Kazakhs] are constructed in the shape of bullock-carts (caraba), mounted on wheels (garduna) and curved like the vault of the heavens. Camels and horses draw them from one camp site to another, strung out one behind the other like a caravan train, and if they all start to move together in this way, the trains may extend for 100 Mongol farsangs (about 600 km), with no more than a single pace between each of them. As mentioned previously, the Kazakhs also constructed permanent dwellings: dug-outs and houses. Considerable groups of Kazakhs lived in rural settlements and in winter camps (kstaus, qestaus), usually along river-banks, in mountain gorges. Permanent, settled areas were a more advanced type of rural settlement, sometimes protected by walls and ditches. They varied in size and could have as many as 500 inhabitants. Materials from the archaeological excavations at Otrar and other settlements enable us to distinguish the traditional type of urban dwelling. The basic and most simple living unit was a room with an aywan (arched portal, the chamber open at the outside). Practically all domestic functions were combined in the single warmest and most comfortable room, which had a stove (tandir, tanur; Persian, tand¯ur). This room served as bedroom, dining room and kitchen. The walls of the houses were built of unbaked brick, without foundations. Frame construction was also used, usually for internal partitions. Ceilings were flat, supported on a central elm or poplar beam. The roof was made of reeds with a top coating of clay. Architecture According to the written sources, the finest architectural works of the fifteenth and sixteenth centuries were the tombs of the Kazakh khans Jan+beg and Qasim Khan in the necropolis of the town of Saraychik. A clear idea of the buildings of the sixteenth–eighteenth centuries may be obtained from monuments that have survived in relatively good condition. First and foremost are the mausoleums of Karmakchi-Ata and Saraman-Ata in the lower reaches of the Syr Darya. 102

The first is a cube-shaped building with a dome in the form of a truncated cone – one of the traditional types of tomb in Kazakhstan. Other monuments in the lower reaches of the Syr Darya take the customary form of hipped-roof buildings. They include the mausoleums of Qara-batir, Tore-batir and Tore-tam. The monuments of central Kazakhstan, in the Ulutau district, are more diversified, although retaining the principle of hipped-roof construction. Polyhedral and ellipsoid mausoleums are also found here. Different again are the architectural monuments of the Mangishlaq (Manqeshlaq) region, in the basins of the Emba, Sagiz, Uil and Khobda rivers. The monuments there were built exclusively of white limestone, a material that is easy to work, polish and ornament. Wall paintings in mausoleums have a special place in Kazakh folk art. Their subjects were usually domestic, hunting and military scenes and episodes from the life of the dead. Applied arts The Kazakhs live in a world of ornament. Their traditional domestic decor is embellished with patterns. There are no household items untouched by decorative ornamentation. Literally everything is decorated – utensils, crockery, weapons and clothing. The ornamental folk art of the Kazakhs is epitomized in the yurt. Among yurt furnishings, the highest artistic value is attributed to multicolored woven strips (baskurs) on a claret-coloured ground and narrow polychrome ribbons on a milky-white ground (bau), used as draping on the wall and the vault. Mats in many colours made of chee grass interwoven with variegated woollen thread or silk cord furnish striking examples of Kazakh decorative art. They usually come in soft, delicate shades. Multicoloured felt and woven rugs, carpets (alashas), embroidered curtains (shimildiks), felt pouches for the walls of the yurt (ayaq-qabs) and brightly hued and patterned chest covers (sandiq-qabs) are all used in furnishing the yurt. Decorative embroidery is very popular in Kazakh folk art. Horse harness, leather saddle-cloths, and belts worn by men and women are decorated with punch-work. Objects made of bone are frequently decorated with open-work. The favourite motifs for bone carving are circles and spirals, and, rather less frequently, rhomboids and triangles. Some of the finest examples of Kazakh applied art are to be found in necklaces and pectoral ornaments for women, medallions to adorn girls’ braids and pendants decorated with filigree, gemstones and pearls. There is a wealth of ornamentation on bracelets, rings and silver cases decorated by carving, engraving, inlay, cloisonné work and enameling. The designs are usually based on geometric and floral patterns. The motifs of Kazakh decoration are many, and strict rules govern their reproduction and combination. The main elements are cosmological, zoomorphic, floral and geometric. 103

The colour scheme of background and design is based on a rigorous system of colour composition. Black is generally used to make the decoration stand out more boldly, rather than white on a black background. Kazakhs love the combination of black and raspberry, and of blue with light shades. Some colours have a traditional symbolic significance. For example, blue is the symbol of the sky; red of fire and the sun; white of truth, joy and happiness; yellow of the mind and grief; black of earth; and green of youth and spring. Religion Islam became the official religion of the Kazakhs in the sixteenth and seventeenth centuries. Its main centres were Turkestan, Khwarazm, Bukhara and Astrakhan. Merchants played an important role in the spread of Islam among the Kazakhs. While describing the events of 1508–9, Ibn Ruzbih¯an wrote that ‘Kazakh merchants study the precepts of On Kazakh dresses, jewellery and their way of life in the sixteenth century, Mohammedanism and now their khans and sultans are Muslims. They read the Qur’an, say their prayers and send their children to school.’Islam did not, however, strike deep roots among the ordinary people, most of whom remained unaffected by its dogma, tending instead to cling to the beliefs of the pre-Islamic period, based on the worship of Tengri. The concept of Tengri was adapted to the new conditions: the deity gradually took on a monotheistic form and began to be identified with Allah. It is not by chance that the dual concepts of ‘Tengri–Allah’, ‘Tin–Aruakh’ and ‘Martu–Shaytan’ came into popular use. Despite the teachings of Islam, the people long continued to worship their ancestors and kept images of them. The old rites were especially observed by the nomads, who were little affected by Islam. All these beliefs were denounced by the Islamic clergy (culama’). The shaykhs (head men, tribal leaders) and qaz+s (judges) of Bukhara, acting at the instigation of Shayban+ Khan, drew up a fatw a (legal opinion) in which it was asserted that since the Kazakhs were idolaters, the khan should proclaim a holy war against them. The Kazakhs worshipped the spirits of the earth (Zher-ana) and water (Suana), to whom they consecrated unusually shaped mountains and cliffs, caves, groves, lone trees and springs. They also continued to worship the tutelary spirits of sheep (Sholpan-ata), cows (Zengi-ata), horses (Kambar-ana) and camels (Oysilqara). Offerings of mare’s milk were made to the moon and sun, with prayers for obtaining the life-giving gift of water and dew. Fire worship (Ot-ana) played a very important part in the life of the Kazakhs. Fire was regarded as the tutelary spirit of home and hearth. Some elements in the burial customs of the Kazakhs also dated back to ancient beliefs. On the death of a warrior, his bow, spear, saddle and the head of his favorite horse were placed beside him in his tomb, and food and drink were left for him. The custom of the wake was observed when a man died at home. On the 104

following day the deceased was subjected to purification by fire, after which he was buried. Nobles were buried in holy places: for example, near the mausoleum of Khwaja Ahmad Yasaw+ in Turkestan, mausoleums called kumbez (Persian, gumbad, dome) or sagana-tam of richly ornamented fired brick were built for members of the nobility. In the Mangishlaq and the north Caspian regions such mausoleums were built of coquina. Test questions: 1. To make a bibliographic list on the theme: «Fomation of the Kazakh khanate» 2. To read the following articles:  . .             XV-XVII  //   XV-XVIII :      -    . – - , 1969. – !.5-49; # $:           XIVXVII . // ! %  %    ! . –  , 1983. – !.165-176 To write an essay on the theme: «K.A. Pishchulina's contribution to studying medieval history of Kazakhstan». 3. Answer the question: «N.E. Masanov's contribution in studying the problem Formation of the Kazakh Nation». 4. To make a bibliographic list of M.K. Abuseitova's works about the Kazakh Khanate and write an essay on the theme: M.K. Abuseitova's contribution in studying medieval history of Kazakhstan 5. To read the book: _  {.|. #     %   \ ($  }# ~  ! \~  . – ., 1982). And to write a reaction paper of 300 words on it. 6. To read the book: & .*. + %     XVI-XVIII . –  , 1971 and to make list of Russian-Kazakh embassies in the XVII-the beginning of the XVIII cc. What types of classification of written sources on history of the Kazakh Khanate do you know? 7. The significance of the Shaybanid sources in studying the Kazakh Khanate. 8. Compare the evidence of the Tarik-i-Rashidi and Bahr Al-Asrar about the Kazakh Khanate 9. What disputable questions on the problem of Kazakh Khanate formation can you mark? 10. Make a logical scheme on the question of “interrelations of the Kazakhs with the Uzbeks in the XVI century” 11. In which source was the term “Kazakhstan”used for the first time 12. When did ethnonims “Kazakh” and “Uzbek”divide? 13. Why did the struggle for power over the population of the East Dasht-I Qipchag turn intothe war for possessing Prisyrdarya region? 14. What were the consequences of Tavakkul's campaigns to Maverannahr at the end of the XVI century? 15. What dynasty did ascend the throne in Maverannahr at the beginning of the XVII century? 16. How did political rights of sultans in the Kazakh society expressed? 105

Seminar tasks 1. Written sources on history of the Kazakh Khnate 2. Formation and strengthening the Kazakh Khanate (the middle of the XV-beginning of the XVI cc.) 3. Political history of the Kazakh Khanate in XVI century 4. Internal and external situation of the Kazakh Khanate in the XVII centuries 5. Culture of the Kazakh people in XVI-XVIII cc.

Appendix I ULI SCHAMILOGLU AN AGENDA FOR RESEARCH ON THE GOLDEN HORDE

The study of the Golden Horde has had a long, problematic, and highly politicized history since the publication of the first major work devoted to this subject1. It cannot be my task here to review the entire historiography in detail, for the result would be a very lengthy study indeed. The history of the Golden Horde was already connected with issues of national history and national ideology in the Russian Empire. My colleagues in Tatarstan are more familiar than I will ever be with the politicization of the history of the Golden Horde in the Soviet period. Politics and ideology aside, the intellectual value of such an effort would also be questionable, since so much of the historiography devoted to the Golden Horde rests upon assumptions and preconceived notions that are in my opinion questionable or should even be rejected. Let us note the most basic example: even the name “Golden Horde” was never the actual name of this state, since the western patrimony of Batu was known as the “White Horde” (Aq orda), the eastern patrimony of Orda was known as the “Blue Horde” (Kök orda), and the name Golden Horde itself is known only beginning with the Kazanskaya istoriya (16th century or later). This should serve as a cautionary note suggesting that we set aside many of the assumptions and claims that are characteristic of the traditional historiography. It would be necessary instead to write a completely original history of the so-called “Golden Horde” that is not grounded in the misinformation originating in later source traditions. Since I have already made such an attempt2, I believe that I can claim to offer, with the benefit of

1

Hammer-Purgstall, Geschichte der Goldenen Horde, das ist der Mongolen in Russland (Pesth, 1840). 2 See Uli Schamiloglu, The Golden Horde: Economy, Society, and Civilization in Western Eurasia, Thirteenth-Fourteenth Centuries (Madison: Turko-Tatar Press, in press), which I hope will be available in Tatar and Russian editions as well in cooperation with the Institue of History of the Tatarstan Academy of Sciences. I discuss the problem of the name(s) of this state in the Introduction. I should note that, despite my serious reservations, I continue to use the term “Golden Horde” as a modern scholarly convention because it is ubiquitous. Schamiloglu, “Agenda for Research” 106

hindsight, one personal view of some of the major issues for future research on the Golden Horde. 1. Non-Traditional Categories of Evidence Since we are meeting on the occasion of the First Symposium on the Sources for the History of the Golden Horde, I would like to raise first of all the question of what a “source” is. By doing so, I would like to call upon my colleagues to expand their notion of what a “source” is. It is certainly possible to base our investigation of the history of the Golden Horde on medieval literary texts and documents, as has traditionally been the case. Most historians do not hesitate to also use numismatic evidence, and others may be familiar with the archeological record or linguistic or ethnographic evidence. There are also other categories of evidence and sources, however, that can prove invaluable for studying a state such as the Golden Horde that does not have a wealth of written sources associated with it. I would like to survey some of these below. How many historians of the Golden Horde have considered that the territory of modern-day Tatarstan used to be one of the regions in the world most susceptible to ergotism? Ergotism results from the fungal poisons known as mycotoxins which are associated with moldy grain (especially rye) that is harvested late under cool, wet conditions. The symptoms of different kinds of fungal poisoning range from the loss of fingers and limbs; gastrointestinal ailments; tremors, spasms, and other problems affecting the nervous system; psychosis; fertility suppression; and a wide range of other frightening symptoms3. In one episode of food poisoning in Tatarstan in 1944, death occurred among individuals eating poisonous rye products4. In 1933 infection from food poisoning afflicted 20-50 percent of the population of Tatarstan and Bashqortsan, and 1934 the rate of infection in Tatarstan was 50-75 percent. (The last bad year for infection from food poisoning in Bashqortostan was 1938.) Less rye was sown after that, and after World War II improved agricultural techniques reduced the ergot content in rye. Although this important phenomenon was first observed as a public health issue in Russia only at the end of the 18th century5, it is a phenomenon that has existed in the northern territories of Europe since the earliest times because of the colder climate and shorter growing season. Mold grows on grain in the field – or on the grass in the steppe –because a cooler than normal summer has forced the harvest to a later date when the temperatures are cooler and the conditions are wetter. This is a result of seasonal or longer-term variation in climatic conditions. Yet how many scholars have considered what impact poor growing seasons or climatic downturns might have had on the territories of the Golden Horde? This leads us to another category of evidence, namely evidence concerning the Earth’s climatic record in the past, which can include both written and non-written 3

Mary Kilbourne Matossian, Poisons of the Past. Molds, Epidemics, and History (New Haven, 1989); and Schamiloglu, The Golden Horde: Economy, Society, and Civilization in Western Eurasia, Chapter 4. 4 Matossian, Poisons of the Past, p. 15. 5 Matossian, Poisons of the Past, pp. 22-23. 107

evidence. I hasten to note that the field of the climatic history of Eurasia has in many important ways been done a disservice by the works of the late Lev Gumilev. Although he has a strong following as a popular historian in Russia, I would argue that his use of climatic evidence has been non-professional, and has given the field a bad reputation in certain circles. Yet there are also examples of excellent scholarship in this field for European history6, and I would like to think that my work on the Golden Horde includes an original treatment of this subject for the history of Western Eurasia7. One important subject to which Gumilev has devoted numerous publications is the changing historical level of the Caspian Sea, which is determined mostly on the basis of textual evidence8. I do not wish to dwell on this subject at length in this essay, but one of the causes that I have noted for this phenomenon is the level of rainfall along the Upper and Middle Volga. There are also other possible causes for the changing level that require scientific investigation: we must not forget the ancient Uzboy river that once flowed from the Amu Darya into the Caspian Sea, as well as the suggestions that there might be some connection between the Caspian Sea and the Aral Sea. Although I disagree vehemently with Gumilev’s use of such data, the changing levels of the Caspian may offer possible indirect evidence for historical levels of precipitation along the Upper and Middle Volga regions. Even if it proves in the end that the changing level of the Caspian Sea is not related to precipitation levels in the Upper and Middle Volga regions, one of the other categories of Schamiloglu, evidence that may offer hope for reconstructing the climatic history of the northern territories of the Golden Horde is the evidence from tree rings. Dendrochronology, or the study of the variation in the annual growth of tree rings, is widely used in historical climatology worldwide, though it is less common for the study of Western Eurasia9. One surprising discovery for me in my research was the existence of data for over four millenia worth of varves (annual sediment deposits) along Lake Saki in the Crimea. Since these annual deposits are understood to correlate to annual precipitation levels, this means that we have at our disposal data for annual precipitation for the years 2394 BCE-1894 CE.10 As I have shown in my work, a 6

E. Le Roy Ladurie, trans. B. Bray, Times of Feast, Times of Famine. A History of Climate since the Year 1000 (New York, 19882). 7 Schamiloglu, The Golden Horde, Chapter 1 for a more detailed discussion of the climatic history of Western Eurasia. 8 See for example L.N. Gumilev, “Rol' klimaticheskix kolebaniy v istorii narodov stepnoy zonï Evrazii”, Istoriya SSSR 1967:1, pp. 53-66; and trans. R.E.F. Smith, Searches for an Imaginary Kingdom. The Legend of the Kingdom of Prester John, Past and Present Publications (Cambridge, 1987). 9 See for example B. A. Kolchin and N.B. Chernïkh, Dendroxronologiya Vostochnoy Evropï: Absolyutnïe dendroxronologicheskie shkalï s 788 g. po 1970 g. (Moskva, 1977); Dendroxronologiya i dendroklimatologiya (Novosibirsk, 1986); and S. G. Shiyatov, Dendroxronologiya verxney granitsï lesa na Urale (Moskva, 1986). 10 W.B. Schostakowitsch, “Geschichtete Bodenablagerungen der Seen als Kilma-Annalen (Niederschläge von Europa seit 2880 v. Chr.)”, Meteorologische Zeitschrift (Mai 1936), pp. 176182. 108

historic low level of precipitation in the ancient period as indicated by these data corresponds to famine in the Crimea. Lamb considers that unusually thick layers in 805 CE and a series of very thin layers in the 1280s mark the beginning and the end of the medieval period of moist climate in the Crimea11. Considering the important climatic disruptions that led Venice to seek grain in the Black Sea and the likely rapid expansion in grain production in the Black Sea regions controlled by the Golden Horde, this is a topic that requires further analysis. There are no doubt additional sources of data for climatic history that have been compiled by scientists but which have yet to be studied by historians interested in Western Eurasia. One final category of non-traditional evidence for which I am now notorious in Kazan is the role of the Black Death in the collapse of the Golden Horde. I have argued elsewhere that the Black Death was the major factor in sudden depopulation, the complete collapse of centralized authority and the anarchy that followed the decline of an Islamic Turkic literary language, and other phenomena12. There were very few descriptions of the Black Death in the territories of the Golden Horde, but there are enough accounts in the Islamic, Russian, and Italian sources to establish the areas that it affected, and we even have some detailed descriptions for the Crimea and certain Russian cities. I have also argued that the end of the Volga Bulðarian language is a silent witness to the ravages of the Black Death13. By drawing upon studies concerning Western Europe and the Middle East, I believe we have a model that helps us to understand with a high degree of accuracy what actually happened in the territories of the Golden Horde beginning in the 1340s and especially after 1359. This model predicts many phenomena – even economic phenomena such as inflation – that require additional investigation. All these phenomena also require further investigation for territories that were under the control of the Golden Horde such as the Russian dukedoms, Armenia, Georgia, and the other regions of the Caucasus, since this topic has not been received adequate attention (if any at all) as the major cause of political, social, economic, and cultural transformations that took place beginning in the middle of the 14th century. Naturally this is of tremendous importance for a re-evaluation of the legacy of the Golden Horde in those territories. 2. Written Sources for the History of the Golden Horde The history of the Golden Horde must be reconstructed by relying on a wide variety of sources written in Arabic, Armenian, Chinese, Georgian, Greek, Italian, Latin, Mongolian, Persian, Russian, Turkic, and other languages. It would be impossible for me to do justice to the problems concerning the sources in all these languages: while I read printed editions of sources written in some of these 11 H.H. Lamb, Climate History and the Modern World (London, 1982), pp. 83-84, including Figure 34, “Thickness of the yearly mud layers (varves) in the bed of Lake Saki in the Crimea, indicating rainfall variations in the area since 2300 BC”. 12 Uli Schamiloglu, “Preliminary Remarks on the Role of Disease in the History of the Golden Horde”, Central Asian Survey 12:4 (1993), pp. 447-457; and Schamiloglu, The Golden Horde, Chapter 9. 13 Uli Schamiloglu, “The End of Volga Bulgarian”, Varia Eurasiatica. Festschrift für Professor András Róna-Tas (Szeged, 1991), pp. 157-163; and “Bolgar tele kaya kitkän?”, Idel 1994:4, pp. 46-48. 109

languages, for some other languages I must rely exclusively on translations. I am well aware that a reliance on translations is fraught with danger: the English translation of the Russian Nikonian Chronicle regularly translates orda “Horde” of the original Russian as “Golden Horde”14. As a result, anyone using the English translation of this source will be misled into thinking that ”Golden Horde” was the actual name of the state as documented in the Russian chronicles, even though I have noted above that this was never the case. Unfortunately we have to accept our limitations as human beings and do the best that we can. While it is important that sources in the above languages be made available and studied as widely as possible, I will limit my comments below to sources in Islamic languages. Students of the Golden Horde will no doubt remain in the debt of V.G. Tizengauzen for a long time to come15. His publication of one volume of sources in Arabic and the posthumous publication of a second volume of sources in Persian will remain an important landmark in the history of the study of the Golden Horde. The first volume of Arabic texts remains a basic sourcebook for the study of the Golden Horde. Naturally, many of the Arabic sources which he edited in excerpts with translation have been published in modern editions, and many works have also appeared in authoritative translations into European languages. The only surprise is that so many scholars – especially historians of Russia – continue to ignore this work. Perhaps one solution would be to reprint it as is so that is would be more widely available. The second volume is also important, but much of this volume is devoted to Raþîd ad-Dîn and Cuvaynî, which are available in more recent editions. While Cuvaynî is available as a complete text and and in a complete translation, there are still important sections of Raþîd ad-Dîn – especially the …. – that await their editor and translator. It would, of course, be desirable to update Tizengauzen’s Arabic and Persian volumes. In the case of the first volume, it would be most useful to update the printed Arabic texts based on the best modern editions and to provide translations into Russian and English. There are also philological problems that need to be addressed. For example, Tizengauzen confuses the names of Noðay and Toqta in a critical passage in his translation of the account of ….. Whereas these names are interpreted correctly in the more recent edition of this work by Blochet16. Such important corrections must be taken into account in any revised edition of Tizengauzen’s work. 14

The Nikonian Chronicle, trans. S.A. Zenkovsky and B.J. Zenkovsky, i-v (Princeton, 1984-1989). V.G. Tizengauzen, Sbornik materialov otnosyashchixsya k istorii Zolotoy ordï, i: Izvlecheniya iz sochineniy arabskix (St. Petersburg, 1884); and V.G. Tizengauzen, ed. A.A. Romaskevich and S.L. Volinïy, Sbornik materialov otnosyashchixsya k istorii Zolotoy ordï, ii: Izvlecheniya iz persidskix sochineniy (Moscow-Leningrad, 1941). The first volume of this work is also known under the French title Recueil de matériaux relatifs à l'histoire de la Horde d'or. The first half of volume one is also available in a Turkish translation by Ý.H. Ýzmirli, Altýnordu devleti tarihine ait metinler (Istanbul, 1941). 16 Mufad, ed.-trans. E. Blochet, Histoire des sultans mamlouks, ii-iii, Patrologia Orientalis 14:3 and 20:1 (Paris, 1920-1928). See Uli Schamiloglu, “Tribal Politics and Social Organization in the Golden Horde”, Ph.D. dissertation (Columbia University, 1986), pp. 138-139; and The Golden Horde, Chapter 6. 110 15

It no longer makes sense to offer a partial publication of Raþîd ad-Dîn and Cuvaynî, so perhaps it would be wisest to republish the remaining texts of the second volume along with the first. All the relevant volumes of Raþîd ad-Dîn and Cuvaynî should be made available in both Russian and English. In this regard Russian scholars have already achieved great success in the translation of Raþîd ad-Dîn, whereas Cuvaynî and one part of Raþîd ad-Dîn’s work already have an excellent English translation. This work should be continued. While in Kazan I am pleased to remember, as a Turkologist of Kazan Tatar background, my teacher for Turkic philology at Columbia University, Tibor HalasiKun. Prof. Halasi-Kun discovered many important medieval Kipchak sources in the archives in Istanbul, including the yarlýq of Uluð Muhammad, xan of Kazan17. Who knows what is to be found yet in the archives of Istanbul or other centers? As the research of István Vásáry shows, there is still much work to be done in the sphere of finding, researching, and publishing the documents preserved in the original Turkic or in translation from the period of the Golden Horde and its successor states. I myself once came across an Arabic translation of a “Mongol” yarlýq in the full edition of Qalqaþandî’s work, but since I did not make a note of it at the time I have never been able to relocate it18. These yarlýqs should be republished, of course, and I would note that it would be important to republish and translate into Russian and English the yarlýqs from the Crimean xanate first published by Vel’yaminovZernov19. Now that I have mentioned the Crimean xanate, I must express my fury at the political circumstances that have led to a complete separation of the study the xanate of Kazan from the Crimean xanate and the other successor states to the Golden Horde. I am frankly concernd by the lack of knowledge among scholars in Kazan concerning the sources and history of the Crimean xanate. Especially considering the suffering of the Crimean Tatars, who cannot claim to have a historical discipline of their own at present, it is incumbent upon historians in Kazan to learn as much as they can not only about the xanate of Kazan, the xanate of Kasimov, and the Noðay Horde, but the Crimean xanate as well. It is beyond the scope of this essay to review the sources and historiography of the later period, but I would like to recall that I have found the sources for the Crimean xanate absolutely essential for understanding the “qaraçý bey” system in the Crimea. Without this information, it would have been impossible to fully understand how this system worked in the Crimean xanate and the xanate of Kazan. Without understanding how this system worked in the Later Golden Horde (15th-18th centuries), I would never have been able to reconstruct this exact same system of four 17

T. Halasi-Kun, "Monuments de la langue tatare de Kazan”, Analecta Orientalia memoriae Alexandri Csoma de Ko©rös dicata, Bibliotheca Orientalis Hungarica V (Budapest, 1942-1947), i, pp. 138-155; and “Philologica III. Kazan Türkçesine ait dil yadigârlarý”, Ankara Üniversitesi Dil ve Tarih-Coðrafya Fakültesi Dergisi 7 (1949), pp. 603-644. 18 Qalqaþandî, Subh al-a`þâ fî sinâ`at al-inþâ', i-xiv (Cairo, 1922). 19 Materialï dlya istorii krïmskago xanstva, Izvlecheniya, po rasporyajeniyu Imperatorskoy Akademii nauk, iz Moskovskago glavnago arxiva Ministerstva inostrannïx del, ed. V.V. Vel'yaminov-Zernov (St. Petersburg, 1864). 111

“ulus beys” in the Golden Horde. In other words, without the sources for the Crimean xanate, I would never have been able to understand a fundamental aspect of the Golden Horde. In other words, we never would have understood that the Golden Horde xan is not an autocrat, but a figure elected by four tribal leaders who participate fully in the affairs of state. This should be a rallying cry for all students interested in the Golden Horde to learn Arabic, Persian, and especially Turkic languages such as Crimean Tatar, which in later periods is practically the same as Ottoman Turkish. From the perspective of the Tatarstan Academy of Sciences, there should be an effort to train more Arabists and Iranists, as well as Turkologists who can read Tatar and Ottoman Turkish. The single outstanding historical work from the northern territories of the Later Golden Horde is the Cami üt-tevarix, written in 1602 in the xanate of Kasimov by Qadýr Ali Calayir. The remaining important sources of Tatar history are to be found in the Crimea, just as the only tomb of a former xan of Kazan is to be found in Bahçesaray: 1. Remmal Hoca, Tarih-i Sahib Giray Han. 2. Tevarih-i Deþt-i Kýpçak (ca. 1638). 3. Haci Mehmed Senai, Tarih-i Ýslam Giray Han (1640s). 4. Tarih-i Said Giray Han (17th century). 5. Seyyid Muhammed Rýza (d. 1756), Es-seb üs-seyyar. 6. Abdülgaffar Kýrými, Umdet ül-ahbar (18th century). 7. Halim Giray Sultan, Gülbün-i hanan (1811). Of course, there are many other kinds of sources for the history of the Crimea that also require further study. For this period there are numerous other sources in Persian and Turkic from Central Asia that require further study as well, such as the works excerpted in the collection of sources relating to Kazak history. Only excerpts of these works were published in translation, and many outstanding sources such as the Bahr al-asrâr still require further publication and study. And have I mentioned that there are also many Golden Horde-period tombstones in Bahçesaray that have yet to be studied? 3. Source Criticism One of the major issues that still hampers research on the Golden Horde is a dearth of source criticism. This is especially important because so much of the information in different sources and source traditions is contradictory. One clear example in the case of the Russian chronicles is the fact that earlier source traditions were often rewritten and expanded in later centuries, sometimes for ideological purposes (including the invention of claims to the territories of the xanate of Kazan prior to its conquest). These later traditions are at the heart of many of the problematic views of the traditional historiography. Another clear example is the confusion over the names of the White and Blue Hordes which we owe to the mistake in the so-called Iskandar Anonymous favored by Yakubovskiy. Another new development in the field of Golden Horde studies is presented by the recent work on Islamization in the Golden Horde published by DeWeese. DeWeese follows the methodology of historians of religion who tend to accept a narrative source, usually a work connected with internal narratives about the 112

historical importance of the past leaders of a religious movement such as a Sufi order, at face value. In this instance, DeWeese is examining a narrative of the conversion of Özbek Xan which is in all likelihood a later source tradition connected with attempts by Sufi orders to enhance their own legitimacy. At the same time, he neglects 14th century source material from the Golden Horde itself relevant for the study of the religious history of the Golden Horde, including an important religious handbook such as the Nehc ül-feradis. Apparently this is a methodological problem that is common in the study of Sufi orders in South Asia and elsewhere. Needless to say, DeWeese is not alone in ignoring the contemporary Islamic Turkic literature of the Golden Horde in favor of later source traditions, a problem of which other historians are also guilty. My personal view is that one should not ignore the only major texts from the Golden Horde itself – the court literature of the Golden Horde – as a potential source for the history of the Golden Horde. 4. Major Topics for Research It would be difficult to do justice to the many topics in the political, economic, social, and cultural history of the Golden Horde that require further consideration. I will be highly selective and offer only several of the themes that I think need to be examined in greater detail in the future. One topic that has emerged out of my research on the social history of the Golden Horde is that the tribal system in the Golden Horde is hardly understood. It is possible to argue that the White Horde included the tribes Qýyat, Mangýt, Sicivut, and Qongrat, since they are listed in the early 16th century as the tribes of the Great Horde. But what else can we learn about the tribal history of the Golden Horde, and how is it related to the tribal confederations of the Later Golden Horde? What really was the origin of the Þirin tribe? Can we study the Noðays as the Mangýt tribe? What was the relationship of the tribes of the Golden Horde and its successor states to the tribes of the Uzbeks and the Kazaks? This is a topic that requires further investigation, and it also requires the study of the successor Tatar xanates to the Golden Horde in conjunction with the history of the Uzbeks and Kazaks, a difficult undertaking which was complicated by ideological issues in the 20th century. I would like to make one additional comment in this regard. As is well known, modern national ideologies are constructs, and I have argued this for the Tatar case as well.

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Appendix II David Morgan, "Persian perceptions of Mongols and Europeans," chpt. VI of Stuart B. Schwartz (ed), Implicit Understandings: Observing, Reporting, and Reflecting on the Encounters Between Europeans and Other Peoples in the Early Modern Era, Cambridge University Press, 1994, pp. 201-217.

Throughout its long history, Persia has had to come to terms with the fact that it is on everyone's invasion route: Whether the invader is heading west or east, he is likely to pass through Persia, even if he does not stop there for long. Without going back as far as the Indo-Europeans, we might begin with Alexander the Great, invading from the west and bringing to Persia and points well beyond a period of Hellenistic cultural influence. But certainly the most momentous of all the invasions was that of the Muslim Arabs in the seventh century A.D. As a result, Persia acquired a new religion and became part indeed, a formative part - of a new and great civilization, that of medieval Islam. Persia was not, however, swallowed up. Unlike much of the rest of the Middle East, it in no way lost its unique identity. The Syrians, the Egyptians, and the Iraqis not only (eventually) became Muslims, but adopted the language of the Qur'an, Arabic. They became Arabs, in fact, in every meaningful way except that of their ultimate descent. Persia was the great exception. Islam certainly became the majority faith, reducing the official pre-Islamic religion, Zoroastrianism, to numerical insignificance. And for some while the language of literature in Persia, as of law and theology, was Arabic. But Persian did not disappear. It continued to be spoken, and in due course it reemerged as a written language: now in an adapted form of the Arabic script, and with a large quantity of Arabic vocabulary, but still an obviously Indo-European language in its grammatical structure, a fact that has deceived many an English speaker, at least for a year or two, into thinking it an easy language to learn. So the Arab conquest did not destroy the sense of iraniyyat, of Persian-ness. The country of today is still, in ways that are intangible but nevertheless real enough, the country of Cyrus the Great. This cultural resilience was to stand Persia in good stead in the centuries to come. From the eleventh century there was another major ethnic and political influx, that of the Turks. At some risk of oversimplification, one might say that not only in Persia but throughout the Middle East, the next nine centuries were a period during which the Turks supplied the rulers and the soldiers. Certainly there were no ethnically Persian rulers of the whole of Iran between 1040 and 1925, apart from a few decades during the eighteenth century when the Zand dynasty ruled most of the country. The Persians took the Turks, almost effortlessly, in their stride. The Seljuk invasions were not especially destructive, and before long the Turkish sultans, already converted to Islam, were fully reliant on the administrative skills of the traditional (and apparently indestructible) Persian bureaucracy. In many ways the 114

Seljuk period saw a flowering of Persian culture, especially in architecture and literature. But the greatest test still lay ahead. In the thirteenth century the most successful military conquerors the world had yet seen, the Mongols added Persia to their empire. The principal successor to the Seljuks in the eastern Islamic world had been the Khwarazm-shah, who by 1215 ruled much of what is now Iran, Afghanistan, and former Soviet Central Asia. This large empire had been put together in a very few years, and the seams were still showing. The Khwarazmshah 'Ala' al-Din Muhammad needed above all a period of peace during which he could consolidate the territorial gains he had made in the fifteen years of his reign. Unhappily for him and for his subjects, those fifteen years had coincided with the rise to power in east Asia of Chinggis (Genghis) Khan, who after unifying the steppe tribes and campaigning in north China, invaded and devastated the Khwarazm-shah's empire between 1219 and 1223. A confused period followed, during which much of northern Persia was ruled by Mongol viceroys. But when the Great Khan Mongke, Chinggis Khan's grandson, ascended the Mongol throne in 1251, he determined that not only should the whole of China be subjugated, by armies under the command of his brother Qubilai, but that another brother, Hulegu, should march westward to incorporate the whole of Persia, together with Iraq and other territories, into the Mongol Empire. Hulegu's advance was halted in Syria in 1260, as much by Mongol internal disputes as by the armies of the Mamluks of Egypt, but from that time Persia, Iraq, and eastern Anatolia became a semi- independent Mongol kingdom, known to historians as the Ilkhanate, which survived until its still mysterious collapse in the late 1330s. The Mongol conquest was the greatest shock Persia had had to endure since the coming of the Arabs. This was for at least two reasons. First, the Mongols were infidels. Islamic theory divided the world into two parts: the Dar al-lslam, the Abode of Islam, and the Dar al-harb, the Abode of War. In the former, Islam ruled, though all the inhabitants would not necessarily be Muslims: many might well be ahl al-kitab, people of the book - Jews and Christians whose religions were considered a true if incomplete and distorted divine revelation. In the latter, infidel rule prevailed, but only temporarily. Whatever brief truces might be necessary, war was the natural state of relations between Islam and the infidel. In due course it was to be expected that the Dar al-lslam would include the entire world. The problem was that the theory contained no provision for the process to go into reverse, for the Dar al-harb to expand at the expense of the Dar al-lslam. Yet this is what the Mongol conquest of so large a part of the central lands of Islam implied. Second, there had never been anything of the scale and ferocity of the Mongol invasions. Persia became only a part, and by no means the most important, of a world empire of unequaled dimensions. And this was an empire founded upon what were until that time unparalleled effusions of blood. Persians knew of 115

nothing in their historical experience to compare with the massacre and destruction inflicted on them by the Mongols during their initial conquest. The period of the Mongol invasions was for Persia, then, a truly traumatic experience with which it was by no means easy for Persians to reconcile themselves. And there seem few grounds for arguing that it was not a wholly negative experience: Silver linings have to be searched for very hard if they are to be found in the Mongol cloud. But this is not to say that things did not eventually improve, that there was not a positive side to the Mongol era. One of the most remarkable results of the fact that most of Asia came, for a time, under the rule of a single family was an opening up of the continent, the establishment of direct contacts across it and as far as Europe. Europeans traveled across Mongol Asia as far as Mongolia and China: Ambassadors like John of Piano Carpini, missionaries like William of Rubruck, merchants like Marco Polo. In Persia, too, there was a broadening of horizons. Chinese motifs found their way, most beneficially, into Persian art, especially miniature painting and ceramics. Some of the Persian historical writing of the Mongol era shows a breadth of interest and knowledge on the part of its authors that had not been shown by their predecessors and was not, regrettably, to be evident either in the work of their successors. Europe played a small part in this new world view, and some evidence does survive of how the Persians may have seen the Europeans, both in historical writing and in the account of Europe written by the one known Asian equivalent of Carpini, Rubruck, and Marco Polo: the Nestorian monk Rabban Sauma. II How could a Muslim hope to explain, to the satisfaction of himself and his coreligionists, the loss to the infidel of lands that had formed part of the Dar allslam since the earliest days of the Islamic expansion? What was he to say about the Mongols? The problem was, in a rather different form, to recur in the twentieth century, when Muslims found that they had fallen to an unacceptable extent under the cultural and political domination of the West. The solution found by some has been what is most misleadingly called Islamic Fundamentalism - a feeling that God has (apparently) abandoned His people because they have themselves abandoned true Islam: that what is necessary is the finding of authentically Islamic answers to the difficulties that beset the Muslim world. Some Persian contemporaries of the Mongol invasions saw their predicament in terms of divine judgment on the sins of the Muslims. As an explanation of the catastrophe this had two advantages: it provided a satisfactory solution so far as Islam was concerned, and it went some way toward legitimizing the Mongols. Persian writers under Mongol rule inevitably had to exercise a degree of caution when writing about their conquerors and masters (and in some cases employers), who could hardly be represented, without qualification, as mere brutal mass murderers. 116

The major historian of the early Mongol period in Persia was Juwayni, who died in Ilkhanid service as governor of Baghdad and Iraq in 1283. His brother, until his fall from office and death in the following year, had for many years been chief minister of the Ilkhanate; and their ancestors had had a long tradition of government service to whoever happened to hold the reins of power in Persia. Juwayni completed his Ta'rikh-i Jahan Gusha, "The History of the World Conqueror" (Chinggis Khan) in 1260, and he covered the period up to the fall of the north Persian Assassin castles to Hulegu in 1256. Juwayni's "Islamic" explanation of the Mongol cataclysm was as a divine judgement on the sins of the Persian people. It is in his history that a celebrated story of Chinggis Khan's invasion is to be found. After his capture of Bukhara, Juwayni tells us, Chinggis mounted a (Muslim) pulpit and addressed the Bukharans in these words: O people, know that you have committed great sins, and that the great ones among you have committed these sins. If you ask me what proof I have for these words, I say it is because I am the punishment of God. If you had not committed great sins, God would not have sent a punishment like me upon you. That Juwayni's own views are accurately represented in this anecdote is made clear enough in many remarks of his own, especially in the introduction to his history. Here is a characteristic example: "For the admonishment and chastisement of every people a punishment bath been meted out fitting to their rebellion and in proportion to their infidelity, and as a warning to those endued with insight a calamity or castigation bath overtaken them in accordance with their sins and misdemeanours." So it is, then, that the Mongol conquest is rendered legitimate, since the Mongols are - even consciously, Juwayni will have us believe - the instruments of God's judgment. It followed, it may not be unreasonable to suggest, that in the eyes of Juwayni and those who thought like him, there was nothing discreditable about entering Mongol service. It also followed that the Mongols, for reasons of both theological theory and personal prudence, could not be directly criticized for their barbarity. This did not mean, however, that Juwayni's attitude toward his Mongol masters was necessarily "nauseating" or "servile," as was suggested twenty years ago. E. G. Browne, writing much earlier, was nearer the mark when he suggested that Juwayni's circumstances "compelled him to speak with civility of the barbarians whom it was his misfortune to served What we get from this historian is not criticism of the Mongols, but a sober and detailed account of what he quite evidently regards as a series of disasters, horrors that he clearly views with revulsion. He says of some areas that "every town and village has been several times subjected to massacre and has suffered this confusion for years, so that even though there be generation and increase until the Resurrection the population will not attain to a tenth part of what it was before.'' Whatever this is, it is not flattery of the Mongols. 117

That Juwayni did in fact feel, or feel obliged to express, admiration for the Mongols is not, however, in doubt. He was, after all, a courtier, and a remarkably successful one. And he does appear to have believed that if he had to administer flattery, he might as well do the job properly and lay it on heavily. When he visited the court of the Great Khan Mongke, he writes, "I beheld the effects of that justice whereby all creation bath recovered and bloomed again; . . . wherein I fulfilled the commandment of the Lord -- 'Look to the effects of God's mercy, how He maketh the earth to live after its death' (Qur'an, xxx, 49) . . . The breezes of the north wind of his comprehensive equity perfumed the entire world and the sun of his royal favours illumined the whole of mankind. The blast of his shining sword cast fire into the harvest of the abject foe. . . " etc., etc. In fairness to Juwayni it should be pointed out that he was not only a government servant and a historian, but also a distinguished exponent of the art of Persian prose composition. The style of this passage, in Persian would have been much admired, and perhaps this consideration almost as much as the actual subject matter helps to determine what Juwayni says. As we try to weigh up how the Persians of Juwayni's generation saw the Mongols, it is instructive to turn from him to a historian who, though a much older man, finished writing his history in the same year, 1260, that saw the completion of Juwayni's book. This is Juzjani, who was born in what is now Afghanistan, experienced the first Mongol invasion, and fled to the Delhi Sultanate, where he was to spend the rest of his life, in 1226. His Tabaqat-i Nasiri is a long general history, of which the most important part is perhaps the account of the former Ghurid rulers of Afghanistan, some of whose generals had founded the Delhi Sultanate. The work ends with a section on the Mongols, which is the only significant Persian account written outside the Mongol Empire and hence immune from accusations of pro-Mongol bias. Not that Juzjani has ever been so accused. For him, Chinggis Khan is always mal'un, the Accursed. His account of the Mongol invasion includes every atrocity he can lay his hands on - though it is interesting, and encouraging, to observe that the general impression he gives is not so very different from Juwayni's. He tells us, for example, that when the Khwarazm-shah's ambassadors to Chinggis Khan reached Peking, they saw a large pile of bones outside the city walls. They were told that these were the remains of 60,000 young girls who had thrown themselves to their deaths rather than risk falling alive into Mongol hands. Yet even for the refugee Juzjani, things are not quite as simple as that. Like Juwayni, he has a theological explanation of the Mongol invasions. For him they are not a divine judgment but a Sign of the Times. Prophecy makes it clear, he says, that the end of the world will be heralded by the coming of the Mongols. So for him too, the Mongols were part of the divine plan. Further, and perhaps more surprisingly, they were not wholly evil: They had their good points. In particular they placed great emphasis on an austere code of sexual morality: Widows were fair game, but married women were not. Hence, "If any woman they took from 118

Khurasan and Persia had a husband, no creature would form a relationship with her: and if an infidel set his eyes upon a woman who had a husband, he would [first] kill the husband of the woman, and then would form a relationship with her.'' It seems that the Mongols also had the habit, whatever the cost to themselves, of telling the truth. Juzjani tells us of two sentries who fell asleep while on duty. This, a capital offense, was reported by a single witness. The sentries neither denied their guilt nor complained when they were marched off to execution. Juzjani's Persian informant, who had observed this incident, expressed his amazement to the Mongol commander, who replied: "Why are you astonished? You Tajiks [Persians] do such things, and tell lies, since telling lies is you Tajiks' occupation. But a Mongol, were a thousand lives at stake, would choose being killed, but would not speak false; and it is on account of this that God Most High has sent a calamity like us upon you." -- a clear echo of Chinggis Khan's sermon at Bukhara, though the Mongol commander presumably did not, like a good Muslim, say "God Most High," but probably the Shamanist equivalent Mongke Tenggeri the Eternal Heaven. Is there perhaps a faint pre-echo here in Juzjani" perspective of that later European notion, the Noble Savage, which comes across so strongly in Gibbon's account of the Mongols? So Juzjani is torn two ways. The Mongols had driven him from his home and they had devastated the lands of Islam and killed enormous numbers of Muslims. Chinggis Khan was "a killer. . ., sanguinary and bloodthirsty"; but he was also, there was no denying it, "possessed of great energy, discernment, genius and understanding . . . just, resolute.'' And the source of such qualities was clear: "Such was the energy, constancy and intrepidity which God Most High had implanted in the nature of Chingiz Khan and the Mongol army.'' Important though Juwayni and Juzjani are, there can be no doubt that the major Persian historian of the Mongol period is from a later generation: Rashid alDin, joint chief minister of the Ilkhanate for twenty years, whose career (like those of all Ilkhanid chief ministers but one) ended on the scaffold, in his case in 1318, at the age of seventy. He was the author of, among other books, the Jami' altawarikh, the "Collection of Histories." This he was commissioned to write by his master, the Mongol Ilkhan Ghazan (r. 1295-1304). It is a history of the Mongol and Turkish tribes, of the Mongol conquests and of their empire up to the time of writing. Ghazan's conception seems to have been that it would serve as a permanent aide-memoire for the Mongols of Persia, who were perhaps in some danger of forgetting who they were and where they had come from. Ghazan's brother and successor Oljeitu (r. 130016) asked Rashld al-Din to add to his history accounts of the various peoples with whom the Mongols had come into contact the Chinese, the Indians, the Jews, and so on. As this "world-history" section includes a history of the Franks, we shall return to it later in this chapter. For Rashid al-Din, the shock of the Mongol conquests had worn off. The Mongol Empire and the Ilkhanate were long-established facts: He was writing 119

some eighty years after Chinggis Khan's invasion. Not only that, but Ghazan had announced his conversion to Islam, and the rest of the Mongols of Persia had declared that they too had become Muslims (whatever they may have thought that that meant). There was therefore no need to justify a regime that was firmly ensconced and that had restored Persia to the Dar al-lslam. Indeed, the writing of Rashid al-Din's history at Ghazan's instigation might be taken to indicate that by the end of the thirteenth century it was a Mongol rather than a Persian identity that was in danger of disappearing (and in fact the Mongols do seem ultimately to have been fairly painlessly absorbed into the population of Persia). As the circumstances of its composition make clear, the Jami' al- tavarikh was "official history." We will search it in vain, therefore, for a critical view of the Mongols. For Rashid al-Din, the rise of the Mongol Empire, of which he was the chronicler, was of momentous importance. "What event or occurrence," he asked rhetorically, "has been more notable than the beginning of the government of Chingiz Khan, that it should be considered a new era?'' His attitude to the empire reflected that of his Mongol masters: It and the world were coterminous - those countries that were not part of it had simply not yet submitted. Of Chinggis Khan he writes: "He gave the [whole] world one face; and the same feelings to all hearts. He purified the territories of the countries, in delivering them from the domination of perverse usurpers and the oppression of proud tyrants.'' Where there is criticism of the Mongols, it is self- (or rather Ghazan-) serving. Ghazan had instituted a series of major administrative reforms, designed to repair the ravages of the first seventy years of Mongol rule in Persia. Rashid al-Din's account of the nature of Mongol rule under Ghazan's (infidel) predecessors is an unflattering one, and it may well in large part be accurate. The consideration that has, however, to be borne in mind is that the greater the chaos before Ghazan, the greater Rashid alDin's master's achievement in remedying the situation. Rashid al-Din the chief minister inevitably casts a long shadow over Rashid al-Din the historian. For many years another important book has been attributed to Rashid al-Din: a volume of letters, published as Mukatabat-i Rashidi Here, as it happens, it is possible to see a much more directly critical view of the Mongols being expressed. We find in the letters such phrases as "the time of the tyrannical Turks [Mongols in this context] and the oppressive bitikchis [Mongol scribal officials].'' on another occasion one of Rashid al-Din's correspondents calls the Mongols "mere deceivers and accomplices of the Devil." But we would be unwise to make very much of this. The authenticity of the letters has long been disputed: It can be demonstrated, for example, that one of them shows knowledge of Tamerlane's Anatolian campaign of 1402- a century after the supposed time of writing. So far as we can tell, then, if Rashid al-Din's writings represent his "true" opinions and if he was at all typical, Persians in the last decades of the Ilkhanate viewed the Mongols as legitimate rulers who could be fitted, if not entirely effortlessly, into the Muslim scheme of things. By the long survival of their regime and because of their con- version to Islam, they had become acceptable, 120

even respectable. Their reputation rose even higher after the collapse of the Ilkhanate following the death of Oljeitu's son Abu Sand in 1336. Persia was plunged into political chaos, not to be resolved for decades - and then by Tamerlane, a cure possibly as bad as the disease. Historians began as early as the 1360s to describe the Mongol period as the Good Old Days, when Persia was under good government. Abu Sand in particular received an especially good press, perhaps because of what may well have been his very real qualities as a ruler, perhaps because the contrast with the absence of coherent government that followed his death made him seem in retrospect more impressive than he did at the time (compare views of the late Shah of Iran expressed in the late 1980s with those of around 1979!). "The time of his government," wrote Abu Bakr al-Qutbi al-Ahari, "was the best period of the domination of the Mongols." The Mongols had come into Persia like a lion; they went out rather more like a lamb. III For most of the Middle Ages, writers in the Islamic world did not rate western Europe very highly, if indeed they thought about that part of the world at all. For Islam, Europe was a remote and barbarous backwater. Civilization ended at the Pyrenees. Muslim geographers sometimes made an attempt to describe the area, but historians largely ignored it. The only historical account to survive from before the time of Rashid al-Din is a list of Frankish kings from Clovis to Louis IV, written in the mid-tenth century by Mas'udi. Rashid al-Din's "History of the Franks" is then of rather consider- able historiographical interest. Yet even here there is a very significant contrast between his treatment of the Franks and what he has to say about the other peoples in his world history. For one thing, other areas - notably China and India - are incorporated into the text of his main history: the lands of the Franks, never. For another, he generally gives us details about the identity of his informants - a Buddhist monk in the case of the history of India, for example. He tells us nothing about his informants on the Franks. The History is divided into two parts: a description, geographical and political, of Europe, and an annalistic account of European history, arranged under the reigns of popes and emperors, and concluding with the Emperor Albert I and Pope Benedict XI, both alive at the time of writing. Where Rashid al- Din obtained the information in the first part is anyone's guess. The basic source of the annals has, however, been identified by Professor Karl Jahn, the editor and translator of the two editions of the History. That source appears to be the chronicle of Martin of Troppau, a Dominican bishop otherwise known as Martinus Polonus, who died in 1279 (hence his material had to be updated by Rashid al-Din), and whose chronicle was evidently very popular, still surviving in an unusually large number of manuscripts and having inspired (for reasons apparently unconnected to its less than remarkable quality) many continuations by other hands. 121

The annalistic section, being no more than a version of Martin's material, is of little inherent interest. It is the survey of Europe preceding it that (though slapdash and superficial compared with Rashid al-Din's accounts of India or China) contains more that is worthy of attention. I have discussed some of these points elsewhere. They include a remarkably accurate Arabic-Persian terminology to express the precise nature of the offices of pope, emperor, and king of France, and the differences between them; a striking account of what is alleged to happen at an imperial coronation, which places the pope very much in the position of supreme ruler. and tit-bits of information such as that there are no snakes in Ireland, but 100,000 students in Paris. One would never guess from reading this History that there were extensive contacts between Europe and Mongol Persia during Rashid al-Din's time. Yet there were. The Mongols were always very conscious of the importance and profitability of trade, and the capital of the Ilkhanate, Tabriz in north-west Persia, was a major entrepot. Merchants passed constantly from Europe to the east and back. There were longstanding Italian colinies in the city, and some Italians rose high in Mongol service, even acting as Ilkhanid ambassadors to the European powers. When the Ilkhan Oljieitu moved the capital southeast to Sultaniyya, the Papacy found it worthwhile to establish a Catholic archbishopric there. Merchants, then, and churchmen: It seems very probable that Rashid al-Din's principal European informant may have been one of Martin of Troppau's fellowDominicans who had brought a copy of Martin's chronicle with him to Persia and who provided Rashid al-Din with information for his survey of Europe. This would explain the pervasive papal bias of the information. There were, too, many diplomatic envoys passing to and fro. For decades after the first contacts were established around 1262, vigorous attempts were made to form an offensive alliance between the powers of western Europe and the Ilkhanate, the object being to defeat the Mamluks and retake the Holy Land. Probably mainly for logistical reasons, these attempts never came to very much, but the project was not easily given up, and there seems to have been complete sincerity on both sides about the alliance's desirability and practicalitv. No one, then, who lived in Tabriz and moved in the more elevated social circles would have had the slightest difficulty in obtaining adequate, indeed copious and accurate information about Europe and its history, had he so wished. In addition, Rashid al-Din was chief minister of the Ilkhanate. He must have known about all the diplomatic manoeuvrings; indeed, he must surely have been directly involved in them. But there is no reference to any of this in any of his works. Professor J.A. Boyle once published a very short article, "Rashid al-Din and the Franks," in which he discussed what is to be found on the subject in Rashid al-Din's works other than the "History of the Franks." It had to be short because despite Boyle's painstaking sifting of the material there was so little there to be found. 122

We can only deduce, therefore, that Rashid al-Din deliberately chose not to bother himself unduly about Europe. This cannot be ascribed simply to Muslim prejudice regarding other religions, since no such prejudices deterred Rashid alDin from providing much fuller accounts of non-Muslim societies like those of India, China, and the pre-lslamic Mongols. There is, however, an element of religious prejudice involved. For centuries, as we have seen, western Europe had been the Islamic world's poor relation, in terms both of civilization and (in Muslim eyes) of religion. Europe was regarded with a contempt and lack of interest that might perhaps during the Dark Ages, when the lights shone brightly in Cordoba, Damascus, and Baghdad, have been justified. This view had not been much revised by the early fourteenth century, though possibly by then, for the future good of the Islamic world, it ought to have been. Rashid al-Din was a remarkable man, and a remarkable historian, in many ways. The fact that he wrote a history of the Franks, however inadequate it may have been, is significant. But so far as his basic attitude toward the Franks was concerned, even Rashid al-Din was not able to rise above the prejudices and misconceptions of his contemporaries: prejudices and misconceptions which, it should be said, were paralleled on the European side, but which Europe was quicker to disabuse itself of, at least up to a point. Rashid al-Din is, then, a singularly untypical Persian historian but typical enough in his attitude toward the Franks. To find a more appreciative view we have to look at the travel narrative of Rabban Sauma. Whether this can legitimately be called a Persian view is open to discussion: The narrative was originally written in Persian, and in Persia. But its author was a Turk who had come from north China, and the only version we have of his narrative is a translation into Syriac. Still, if we had the original (and it may yet turn up) we might contend that it is as much Persian as the novels of Joseph Conrad are English literature. The Mongol period saw a last efflorescence of the Nestorian church in Asia. Indeed, it has been argued in a recently translated book (though not in my opinion very convincingly) that the role of the Nestorians was absolutely crucial in the rise of the Mongol Empire. Whatever the truth of that, there can be no denying that Nestorianism was influential among many of the Mongol and Turkish tribes, and that some Nestorians, especially women, achieved positions of very considerable influence in the Mongol political world. In addition, the Mongols were, at least until the end of the thirteenth century, highly tolerant in matters of religion: a feature that is frequently adduced in their favour by their apologists. It is indeed the case that anyone who managed to avoid being massacred during the Mongol invasions was unlikely subsequently to be persecuted for his religious beliefs. The Nestorian church, always a strongly missionary organization, was able to take advantage of this situation and for a time to spread more or less unhindered across the Asian continent. It was in these circumstances that the Nestorian monk Rabban Sauma and his disciple Mark decided to travel from China on pilgrimage to Jerusalem. They 123

never reached their goal, for Jerusalem, apart from two brief moments, remained obstinately outside the boundaries of the Mongol Empire. Instead, Mark was elected to the supreme office in the Nestorian church, that of Catholicus, in which post he had the misfortune to survive long enough to have to cope with the persecutions that followed the conversion of the Persian Mongols to Islam. Rabban Sauma, too, was given high office, and in 1287 he was sent to Europe by the Ilkhan Arghun as Mongol ambassador (it was a Mongol custom to despatch envoys whom they thought might be acceptable to the recipients - in this case a Christian envoy was sent to Christian monarchs). Rabban Sauma, to judge from his narrative, was completely awed by what he found in Europe. This was essentially a religious wonderment. He seems to have been quite unaware that, strictly speaking, he was in Catholic eyes a heretic, and he was happy to acknowledge the pope as head of the church, and Europe as the headquarters of Christendom. In particular, he was overwhelmed by the wealth of religious relics to be found; he even persuaded a grudging Pope Nicholas IV to give him some to take back to Persia. Sauma visited Constantinople, Naples, Rome, Genoa, Paris, and Gascony, and talked with kings, emperors, and cardinals wherever he went. But what can we deduce from all this? There is some vivid observation, fascinating because of its uniqueness. But it is doubtful that any wider conclusion can be drawn. Sauma represented the Ilkhan diplomatically, but so far as his pro-European attitudes were concerned, if he represented anyone it was only a minority group, the Christians, in a vast Islamic sea: a group that had less than a decade of official favor left to it when Sauma returned to Persia. It might be possible to speculate that we have in Sauma's account of Europe a flavor of what might have happened had the Mongols been converted to Christianity, as at one time seemed possible. As Sir Richard Southern has commented, this "was a noble prospect, and one which, if only a fraction of it had come true, would radically have altered the history of the world.'' It did not happen, of course. Rabban Sauma is very far from being a typical Persian of the Mongol period. Rashid al-Din is nearer to being one, though he showed an untypical degree of interest in Europe even when he wrote his somewhat throwaway "History of the Franks." If the attitudes of those Persians in the Mongol Empire whose writings have come down to us are characteristic, the peoples of Asia were not, in the thirteenth and fourteenth centuries, on the way to being mentally prepared to deal with the expansion of Europe. Yet perhaps a caveat should be entered here. As we have seen, northwest Persia in the Ilkhanid period was very familiar to European, and especially Italian, merchants and churchmen. For the most part they have left us no record of their travels. But this does not necessarily mean that Persians who came into contact with them did not learn a good deal about Europe, or that what such travelers told people when they returned to Italy had no effect on contemporary European notions of the world. "Ordinary" knowledge on both sides may conceivably have been rather more extensive than the surviving written evidence would lead us to suppose. 124

This is speculation, but one indication of possible contact at other than historiographical and diplomatic levels may be mentioned. The finest architectural memorial left by the Mongols in Persia is the mausoleum of the Ilkhan Oljeitu at his capital, Sultaniyya. Its most remarkable structural feature is its double-skinned dome; and it has been suggested that knowledge of this may have had an influence on the design of Brunelleschi's dome for Florence Cathedral, in many respects similar in construction, built around a century later. Direct evidence of a connection is of course wholly lacking, but it is perhaps not entirely inconceivable that Italians at the Ilkhanid capital might have taken home detailed knowledge of how the city's finest building had been designed. We shall probably never know with any degree of certainty, and it may after all be that Persian historians' lack of interest in Europe was not untypical of their compatriots. Perhaps they found that the Mongols were quite enough to have to cope with, and if that is so, who are we, whose ancestors through no virtue of their own escaped incorporation in the Mongol Empire, to blame them? IV What does all this tell us, in more general terms, about Persians' perceptions of themselves and of others? Did they, at this or at other times, see themselves as Persians (or, as they would have said, irani, Iranians), and if so, as opposed to what? What is certain is that there was no concept of national identity in the sense popularized by nineteenth-century Europeans, and that has ever since exercised so maleficent a worldwide influence. Nor was the notion of ethnic identity, which has torn apart what used to be Yugoslavia, something of which medieval Persians would have felt much understanding. But as I suggested at the beginning of this chapter, there is a Persian identity, based on cultural and linguistic continuity, that has in some sense survived for 2,500 years. Until very recently, many Persians, even if - perhaps especially if - illiterate, could recite from memory vast tracts of the great Persian epic poem, the Shah-nama of Firdawsi, which was written in the Islamic period but whose subject matter is the legendary and pre-Islamic Persian past and its heroes. The twentieth-century Pahlavi shahs, Reza Shah and his son Mohammed Reza, made much of this heritage, choosing to emphasize the Persian monarchical tradition and the glories of the Achaemenian and Sasanian empires, and deliberately downplaying the Islamic element. The ultimate fate of the Pahlavi regime should perhaps make us wonder, however, if this can really be the whole story. It has indeed been suggested that if a Persian, say, a century ago, had been asked what he was, how he identified himself, he would probably have said that he was a Muslim. All very well, and likely to be true, but in what way, then, would he have differentiated himself from a fellow-Muslim in Egypt, Syria, Turkey, or India? - assuming, that is (a rather large assumption) that the question had occurred to him. From the sixteenth century the Persians had been distinguished 125

from their immediate neighbors, especially from the Ottoman Turks and their subjects, by the fact that the official religion of Persia was Shari Islam, as opposed to the Sunnism which was and remains the form of Islam professed by the great majority of Muslims. Western historians, in my view somewhat anachronistically, have often argued that the first Safavid shah, Isma'il I (r. 1501-24) imposed Twelver Shi'ism on the Persian people in order to differentiate Persia from its hostile neighbors, the Ottomans and the Uzbeks, and to provide his subjects with a distinctive sense of identity. An improbably twentieth century motivation; but whether intended or not, that was in fact the ultimate effect. I conclude, then, that the Persian sense of identity was based on specifically "Persian" cultural elements, but was also very heavily influenced by Islam and the Islamic world-view. It has recently been suggested that the period of Mongol rule may have played an important part in creating a sense of "Iran" that endured to modern times: But we need to remember that in Hashed al-Din's history, the Mongol ruler who converted to Islam, Ghazan, is always Padishah-i Islam, the King of Islam, not of Iran. Hence the Mongols were acceptable once they became Muslims; the Europeans, who remained infidels, were not. I suspect that, as the Ayatollah Khomeini perceived, most Persians were usually Muslims first and Iranians second, and that this was the principal factor that determined their attitude toward other peoples.

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Appendix III Uli Schamiloglu The Umdet ul-ahbar and the Turkic Narrative Sources for the Golden Horde and the Later Golden Horde in memory of Tibor Halasi-Kun (1914-1991) // CENTRAL ASIAN MONUMENTS Edited by H. B. Paksoy

A series of Turkic narrative sources have come down to us from the Later Golden Horde, the period of the successor states to the Golden Horde including the xanates of the Crimea, Kasimov, Kazan, and other political units in the 15th18th centuries. These narrative sources, mostly chronicles, are of fundamental importance for the study of the history of Western Eurasia in the 13th-18th centuries. As most of these works are still available only in the original Turkic, they remain inaccessible and sometimes even unknown to the mainstream of modern scholarship. It seems appropriate, therefore, to briefly survey these historical writings together with a closer examination of one particular work, the Umdet l-ahbar. It is hoped that such a survey will encourage the integration of Turkic sources into the study of the history of the states of Western Eurasia. If we consider the various factors which might be seen as contributing towards the development of a major tradition of court historiography in this period, the Golden Horde did, in fact, incorporate some of these. One may arguecontrary to the view of Schurmannthat a strong centralized state power did develop. Numerous urban centers, including over time several capitals, also existed. Finally, we know from the famous traveler Ibn Batšttša and other sources that these urban centers served as home to religious institutions and the learned groups usually associated with them. At the same time, certain factors worked against the florescence of a literary culture and its preservation. The Black Death, which struck the territories of the Golden Horde late in the 1340s, must have included a very high proportion of the learned groups in its heavy human toll. The attacks on urban centers in the second half of the 14th century, the final Russian conquest of many cities, and the later history of fires in cities such as Kazan were also devastating in terms of the survival of a literary heritage. This may help explain why much of what survives of the literary culture of the cities of the Golden Horde has come down to us from outside the territories of the Golden Horde. When enumerating the products of the Turkic literary culture in Western Eurasia in this period, the best-known examples are the edicts and diplomatic correspondence collectively known as yarlŒqs. These are not strictly speaking narrative sources and survive in original Turkic versions only from the end of the 14th century. This does not mean, however, that there were no internal documents written before the end of the 14th century. YarlŒqs issued as early as the 13th century are preserved in translations into Russian and other languages from the 127

original "Mongolian" (which could also mean Turkic in the Mongolian script which the Mongols borrowed from the Uy‡urs). These translated documents offer the best evidence of an earlier literary culture which has not survived in the original. A small number of bellettristic and religious works are also connected by various scholars with Old Saray or New Saray (the successive capitals of the Golden Horde) or with some of its other cities. These include Qutb’s reworked Turkic translation of the romantic poem Xusrev u „irin (dedicated to the Golden Horde xan TŒnŒbeg, r. 1341-2); Xwarezmi’s romantic poem Mahabbetname; and the religious treatise Nehc l-feradis (generally considered to have been written in 1358 or 1360 by one Mahmud b. Ali). Seyf-i Serayi’s Glistan bi-t-trki (a reworking of the Persian work by Sa‘d) falls into a somewhat different category as a work written in Mamlk Egypt in 1391 by a native of Saray. There is also the oral literary work (destan) Cmcme sultan (also known as the Cmcmename) whose relationship to the Kesikba kitabŒ deserves further study. Yet, there is no extant work written in the 13th-14th centuries which can be called a history of the Golden Horde. As just described, a literary culture clearly existed. There was even a pre-13th century historiographical tradition in one or more of the regions of the Golden Horde which could have contributed to the further development of a historiographical tradition in the 13th-14th centuries. In the north, Volga Bulgaria had been a center of literacy, literary traditions, and even historical traditions dating back to the first millenium. The literary culture of this sedentary area continued through the time of the xanate of Kazan (15th-16th centuries) as known from original works produced in the xanate itself. For the southern area, Omeljan Pritsak reminds us that the Crimea had been a center of unbroken literary activity since classical times. Finally, Xwarezm and its rich literary culture also formed an integral part of the territory of the Golden Horde until the second half of the 14th century. An important question, then, is what happened to historiography in the Golden Horde? The absence of an independent work devoted solely to the 13th-14th centuries should not be understood to mean that no historical works or historical traditions existed in this period. Instead, I would like to argue that one should look to the historical traditions of the Later Golden Horde (15th-18th centuries). In many instances, the data for the 13th-14th centuries contained in these later works can be considered the direct continuation of historical traditions from the earlier period of the Golden Horde (even though not all the states of the Later Golden Horde were directly descended from the western half of the earlier Golden Horde). Only when these different extant traditions are fully studied and compared can we have a better notion of the full extent of historical writing and historical traditions in the earlier Golden Horde. Turning to the narrative sources from the 15th-18th centuries, one of the outstanding historical works from the Later Golden Horde is the Cami t-tevarix, 128

written in the xanate of Kasimov by QadŒr Ali Calayir. According to the received interpretation, this unusual political unit in the service of the Russian grand duke was founded in 1452 when Vasiliy II granted QasŒm b. Ulu‡ Muhammed the town of Gorodets (or Meerskiy gorodok) as an appanage. The work itself, produced in 1602, begins with a condensed Tatar translation of portions of Rad ad-Dn’s CŸmi‘ at-tavŸrx. Familiarity with Rad ad-Dn’s universal history is evidence that even a state in the service of Russia could maintain a historical consciousness linking it with the earlier Cingisid states as well as the greater Turkic and Islamic cultural world. Appended to the translation of the earlier source is a series of destans or accounts of personalities and events from the end of the earlier Golden Horde leading up to the time of the xanate of Kasimov. It includes separate sections on the following figures, many of whom date from the 14th century (no doubt based on sources or traditions dating back to the 14th century): Urus Xan, ToqtamŒ Xan, Temr Qutlu Xan and his descendants, Haci Giray Xan, Edigey, Haci Muhammed Xan, Abu l-Xayr Xan, Yadigar Xan, and Uraz Muhammed Xan. This final section, a unique indigenous source for the xanate of Kasimov, provides valuable information on the organization and tribal composition of the xanate of Kasimov. QadŒr Ali Calayir was himself qaraŒ bey of the Calayir "ruling tribe" in that xanate, and one can therefore be sure that some of the information in the source is cast from the perspective of the tribal establishment of the state (the "land"), rather than from the opposing perspective of the ruling ingisid line. In sharp contrast to Kasimov, the only Turkic narrative source to be connected with the xanate of Kazan is a brief account relating to its conquest discovered by Zeki Velidi Togan. Given the active relations between the various xanates of the Later Golden Horde (one only need recall the many figures that served as ruler in more than one xanate), it is likely they shared many of the same traditions regarding the period up to the foundation of the individual xanates. Written works could also have been shared. Usmanov speculates, for example, that the work of Rad ad-Dn might have found its way to Kasimov through the xanate of Kazan. It has also been suggested that Cmcme sultan, which the Crimean xan Sahib Giray ordered translated into Turkish, may have found its way to the Crimea from Kazan. Given the limited number of narrative sources available for the xanates of Kasimov and Kazan, historians interested in these states should pay special attention to the Crimean xanate. The most dramatic reason for this is the rather large number of Turkic narrative sources which survive from this xanate. In addition to the Umdet l-ahbar, which will be described in greater detail below, there is a series of other important works which have also been published: The Es-seb s-seyyar was written by Seyyid Muhammed RŒza (a member of the Crimean aristocracy, d. 1756). It was edited by Mirza Kazembek in the first half of the 19th century and used by V.D. Smirnov in his history of the Crimean xanate. 129

The Glbn-i hanan was composed in 1811 by Halim Giray Sultan (d. 1823), a ingisid descended from Mengli Giray. The Tarih-i slam Giray Han was written by Haci Mehmed Senai, who flourished in the 1640s. This work was edited and translated into Polish by Z. Abrahamowicz as the History of Islam Giray Han III. The Tarih-i Sahib Giray Han was written by Remmal Hoca, a physician to Sahib Giray who later entered the service of Sultan Selim II. This work, which has been made available by . Gkbilgin in a transcription accompanied by a French translation, pays particular attention to the upheaval in the system of "ruling tribes" in the early Crimean xanate. The Tarih-i Said Giray Han, a work from the 17th century which has been studied by B. Kellner-Heinkele. The Tevarih-i Det-i KŒpak, composed ca. 1638, includes a brief survey of the earlier Golden Horde as well as the later period until the early 17th century. It has been made available by A. Zajaczkowski together with its 18th-century French translation. Other sources include the Telhis l-beyan fi kavanin al-Œ Osman, which was utilized by Smirnov in his history of the Crimean xanate, and the Tarih-i Muhammed Giray Han, which covers the period 1684-1703. Although this listing is not exhaustive, it is clear that the Crimean xanate offers a wealth of narrative historical sources to a degree simply not available for the other states of the Later Golden Horde. Let us turn now to a closer look at one of these sources, the Umdet l-ahbar, and some examples of the kind of information it can offer. This work, which covers the rise of the Mongol empire and the history of the Crimean xanate, was written in Ottoman Turkish (but with some Crimean Tatar elements) by Abdlgaffar b. el-Hac Hasan b. el-Hac Mahmud b. el-Hac Abdlvehhab elKŒrŒmi, a member of the Crimean ulema banished from his home in A.H. 1157/1744-5 A.D. One partial edition of this work, published by Necib AsŒm earlier this century under the title Umdet t-tevarih (Istanbul, A.H. 1343/1924-5 A.D.), appeared as a supplement to the Trk tarih encmeni mecmuasŒ. This edition was prepared on the basis of the manuscript of about 166 folia preserved in Istanbul in the Sleymaniye Library (Esad Efendi no. 2331). Though the manuscript begins with a substantial section surveying the history of the earlier Islamic states, the printed edition includes only the final portion of the original work covering in detail the rise of the Mongol world empire, the Golden Horde, and the Crimean xanate. The work has not been made available in any other language. The Umdet l-ahbar is based on a wide range of Arabic, Persian, and Turkic sources for the different periods it covers. One of Abdlgaffar KŒrŒmi’s most important sources for the 13th-14th centuries was the Tarih-i Dost Sultan. This work, supposed to have been written in Xwarezm in the 16th century, survives in 130

the library of Zeki Velidi Togan. (Another copy of this work is the incomplete Tashkent manuscript known as the temi Haci tarihi or as the "ingizname of temi Haci b. Mevlana Muhammed DostŒ"). For the later periods, Abdlgaffar KŒrŒmi draws on various Crimean and Ottoman sources as well as on his own first-hand knowledge. The Umdet l-ahbar has been utilized as a historical source by only a handful of scholars. For the earlier period, Berthold Spuler made use of the edition by Necib AsŒm in his history of the Golden Horde, though he concludes that many of the accounts in this work pertaining to the 13th-14th centuries are legendary. More recently, Mustafa KafalŒ has relied on the data contained in the the Umdet l-ahbar as the basis of his recent work on the the Golden Horde. (Both Spuler and Mustafa KafalŒ were also able to consult the Togan manuscript of the Tarih-i Dost Sultan.) Coming to the later period, the foremost modern scholar of the various Turkic chronicles for the history of the Crimean xanate has been Halil Inalcik. He has incorporated the Umdet l-ahbar and other Crimean sources in his now-classic articles on the history of the Crimean xanate, which may serve as a model for research based on the Turkic narrative histories and diplomatic correspondence preserved for this period. Otherwise, the Umdet l-ahbar has been neglected in most studies of the Golden Horde and the Later Golden Horde. In its survey of the history of the 13th-14th centuries, the Umdet l-ahbar offers accounts of the reign of each of the rulers of the Golden Horde, sometimes in great detail. It includes descriptions of the role of the tribal nobility in the selection and elevation of the various ingisid xans of the Golden Horde. For example, it refers to negotiations of the Golden Horde emirs with Hleg prior to the accession of Berke Xan (r. 1255- 1266): His two princes [the sons of Batu] SarŒtak and Togan were left, but SarŒtak then died. Since Togan was a small child, the consultation of the celebrated emirs decided at this point to inform Hleg, one of the sons of Toluy from the party of the xan (zmre-i kaan). They sent him according to the habit of Mongol custom a lock of hair and a sword without a scabbard, and a shirt without a collar as though the ulus of Coci had no ruler. At the beginning of the reign of Tde Meng (r. 1280-1287), it is described that the emirs of the Det-i QŒpaq had to swear an oath of fealty to him, after which they participated in the installation ceremony of ritual elevation. Similar statements are made for other rulers as well, including the accession to the throne of zbek Xan (r. 1313-1341): Then two notable emirs seated the xan on a (rug of) white felt according to cingisid custom and, raising him, installed him on the throne. All the tribes came and gave the oath of fealty in groups one after the other.

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The Umdet l-ahbar relates other information on the rulers as well, including major source traditions on the piety of Berke and the conversions to Islam of zbek Xan and CanŒbek. The Umdet l-ahbar is notable for offering information on individuals connected with the major socio-political units ("ruling tribes") of the Golden Horde on which the traditional sources for the earlier period are usually silent. One account relating to the first half of the 13th century describes how Batu sent „iban with 30,000 soldiers and Bor Altay of the TaraqlŒ QŒyat as his atalŒq against Mankup in the Crimea: In the province of the Crimea there were all sorts of different peoples, but most of them were Genoese infidels, and from among the Tatars there were also some people called the As. These soldiers attacked the fortress called Mankup, but the aforementioned fortress was very strong. Since it was (situated) on very steep mountains and its conquest was not an easy matter, they entered it by ruse. He ordered that each of the soldiers should take two stirrups in his hands apiece and begin beating them together. Such a frightful clamor issued forth that those who heard it were amazed. They did not cease this tumult for a whole month and they refrained from fighting. The infidels of the fortress heard this melodic noise and they were ready to neglect the defense and protection of the ramparts of the fortress. Following this manner of deception, with the rest of his troops not stopping their clamor, he selected four-five thousand brave and courageous young men and appointed Bor Altay bey as commander-in-chief. In the middle of the night they advanced well concealed. The As infidels were surprised and did not find a place of refuge, and the fortress was captured, they say. This is just one example in which an individual is described as having a specific tribal affiliation, and there are other references to individuals connected with the QanglŒ, the Sicivut, and especially the QŒyat. In another example, the 14th-century figure Mamay is called the nephew of QŒyat Astay bey of the right flank. The most important of the socio-political units functioning as a "ruling tribe" in the various xanates of the Later Golden Horde was the „irin. The „irin remained throughout the history of the Crimea the dominant among the four (later five) "ruling tribes" of the xanate up until the Russian annexation of the Crimea at the end of the 18th century. Even when „ahin Giray intended to streamline and centralize his administration in the 1770s by downgrading the role of the qaraŒ beys (whose role in electing the ingisid xan is identical with that of the qurŒltays in the earlier period) by usurping for himself the power of designating his successor, he could not fully ignore the importance of the „irin and the Mansurs (earlier known as the MangŒts). Abdlgaffar KŒrŒmi, who was a strong partisan of the „irin "ruling tribe", depicts the „irin "ruling tribe" defending the interests of the "land" against the interests of the ingisid Giray dynasty throughout the history of the Crimean xanate. As such, the Umdet l-ahbar is the 132

history of the „irin in the Crimea, offering information which is particularly valuable for the origins and later history of the leadership of the „irin "ruling tribe". It states, for example, that the „irin are descended from a particular branch of the As with a *m brand or tam‡a. This is a unique statement in the sources regarding the origin of this most important socio-political unit in the states of the Later Golden Horde. By the expression As kabilesi it is not clear, however, whether it is meant that they are therefore descended from the Iranian Alans of the medieval Pontic steppe (there is certainly no other "ruling tribe" with a similar origin) or that the name has a geographical connotation. The Umdet l-ahbar describes the leaders of the „irin, BarŒn, Ar‡Œn and QŒpaq as joining ToqtamŒ as his has nkers or "special companions". From this period on it is a rich source for following the earliest leaders of the „irin in the Crimea. The first „irin leader to cooperate with ToqtamŒ was rek Temr b. DangŒ bey, whose son Tegine was just as important in the Det- i QŒpaq (or Kipchak steppe) as his rival, the MangŒt leader Edig. Beyond the genealogical information contained in the narrative itself, there is a separate genealogical appendix at the end of this work. Thus, the Umdet l-ahbar is indispensable for understanding the greater socio-political and cultural unity beginning with the Golden Horde itself and continuing through the time of the component states constituting the Later Golden Horde. It is only with the help of the Umdet l-ahbar that it is possible to understand that these later states continued certain earlier ingisid traditions, the most outstanding of which was the ingisid system of state organization. In this pattern of state organization which I have termed the "four-bey system", four sociopolitical units shared fully in the governing of the state. The leaders of these four "ruling tribes" were collectively known as the four qaraŒ beys; their direct predecessors in the earlier Golden Horde were known as the ulus beys. Another well-known passage in the Umdet l-ahbar describes the functioning of this system of government. I have published a translation of this passage elsewhere and have argued that this description is, in fact, the key which allows us to piece together and reinterpret partial accounts of state organization found in diverse sources for the 13th-14th centuries as well. There are many questions regarding the history of both the earlier Golden Horde, the Crimean xanate itself, and even the other xanates of the Later Golden Horde to whose discussion the Umdet l-ahbar makes a contribution beyond these few illustrative examples. Of course, I do not insist that all of the information in this work is to be corroborated by information in other sources. Nevertheless, this work and the other Turkic narrative sources from the later period represent a contribution to the preservation of historical traditions from the 13th-14th centuries about which sometimes very little else is known. Some of these traditions survive exclusively through works written in Xwarezm, others survive through works written in the xanates of the Later Golden Horde, and some survive 133

as oral traditions, a topic which I have not even considered in this essay. Taken together, however, they represent what survives of the indigenous historical traditions of the Golden Horde. It may be premature to offer a bold new hypothesis on the state of historiography in the Golden Horde. It is not too soon, however, to insist that the study of the Turkic narrative sources mentioned in this essay is essential for any study of the history of Western Eurasia in the period of the Golden Horde as well as in the period of the Later Golden Horde.

CONTENTS Introduction ............................................................................................................... 3 I. KAZAKHSTAN IN THE STRUCTURE OF THE MONGOLIAN EMPIRE AND AS A PART OF THE MONGOLIAN ULUSES (XIII-XV CC.) 1.1 Central Asia before the Mongolian invasion ...................................................... 6 1.2 Kazakstan in the structure of the ulus Dzhuchi and Golden Horde (the XIII – the first half of the XV centuries) ..................................................... 16 1.2.1 Historiography of the Golden Horde and sources of studying........................ 16 1.2.2 The formation of the Golden Horde in the Juji Ulus ....................................... 22 1.2.3 The political history of the Golden Horde in the period of state formation (1242-1266). .................................................................................... 26 1.2.4 The first political crisis in the Golden Horde (1266-1312) .............................. 30 1.2.5 Kazakhstan in the structure of the Golden Horde in the period of rising 1312-1359 .......................................................................................... 34 1.2.6 Disintegration of the Golden Horde (1420-1480) ........................................... 45 1.2.7 South and South-Eastern Kazakhstan in the structure of the Chagatai Khanate (XIII-XV cc.) ..................................................................................... 47 II. POST-MONGOLIAN STATE UNIONS ON THE TERRITORY OF KAZAKHSTAN(XIV-XV .) 2.1 Ak-Horde – the first state entity on the local ethnic basis in the territory of Kazakhstan ........................................................................................ 58 2.2 Earstern Dasht-i Qipchaq in the structure of the Nomadic Uzbek State (Abulkhair Khanate) 1428-1468 ......................................................................... 60 2.3. Western Kazakhstan n in the structure of the Nogay Horde .............................. 62 2.4 South-east Kazakhstan in the structure of the Moghulistan ................................ 66 III. KAZAKH KHANATE IN THE MIDDLE OF THE XV- THE FIRST THIRD OF THE XVIII CENTURIES 3.1 Written sources on the Kazakh Khanate (the second half of the XV- the first third of XVIII centuries) ......................... 73 3.2 Formation and strengthening of the Kazakh khanate 1470-1500 ...................... 76 135

3.3 Historiography of the problem «Formation of the Kazakh Nation» .................. 78 3.4 The Kazakh khanate in the first half of the XVI century ................................... 81 3.5 Internal and external position of the Kazakh Khanate in the second half of the XVI – XVII cc. ............................................................ 89 3.6 Material and spiritual culture of Kazakh people in XVI-XVII centuries .......... 99 Appendix I Uli Schamiloglu An Agenda for Research on the Golden Horde ............................. 106 Appendix II David Morgan, "Persian perceptions of Mongols and Europeans" .......................... 114 Appendix III Uli Schamiloglu The Umdet ul-ahbar and the Turkic Narrative Sources for the Golden Horde and the Later Golden Horde in memory of Tibor Halasi-Kun (1914-1991).................................................................................. 127

Kundakbayeva Zhanat HISTORY OF KAZAKHSTAN IN THE LATE MEDIEVAL PERIOD OF THE XIII – THE FIRST THIRD OF THE XVIII CENTURIES Textbook IB No.5591 Signed to publishing 20.10.11. Format 60x84 1/16. Offset paper. Digital printing. Volume 8.5 printer’s sheet. Edition: 100. Order No.18. Publishing house “Kazakh Universiteti” Al-Farabi Kazakh National University KazNU, 71 Al-Farabi, 050040, Almaty Printed in the printing office of the Publishing house “Kazakh Universiteti”.