Dai MATSUI, Uigur käzig and the Origin of Taxation Systems in the Uigur Kingdom of Qočo. Türk...

Festschrift in Honor of Talat Tekin İstanbul 2008, edited by Mehmet Ölmez

Türk Dilleri Araştırmaları 18 (2008): 229-242

Uigur käzig and the Origin of Taxation Systems in the Uigur Kingdom of Qočo

Dai Matsui (Hirosaki)

Introduction Among the Uigur secular documents from Turfan area exist administra-tive orders for delivery of various materials. Most of the administrative orders are dated to the 13th or 14th centuries1 and they can become im-portant source for historical studies on the administrative or taxation systems in the Uigur Kingdom of Qočo under the Mongol empire. Some of the orders carry an Uigur term käzig, which originally means “turn” but has not been fully interpreted in the context. In this paper I would like to conduct functional investigation on the term käzig and reconstruct its historical background. 1. Uigur käzig in the Administrative Orders for Delivery As far as already published, eight of the Uigur administrative orders have the ending imperative phrase as [ordinal number as baš, ikinti, üčünč] käzig-kä tutzun “keep the 1st [2nd, 3rd, etc.] käzig.”2 Here are picked up two examples.

1 For the criteria of relative dating Uigur documents, see Moriyasu 1994, pp. 63-69;

Moriyasu 2004, pp. 228-229. 2 U 5300, U 5325 (= USp 65), Ot. Ry. 8127, Istanbul No. 12, U 5303 (= USp 80), U

5316 = Matsui 1998b, Texts 1, 3, 7, 8, 9, 10; SI Kr IV 604, U 5665r = Matsui 1998a, Texts VII, VIII.

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Text A: Istanbul No. 123 01 ït yïl čxšpt ay toquz yangïqa 02 bäki bäg-kä irinkü atay-qa 03 birgü bir qap bor-nï alḍïn 04 (qr)-a ṳy birip bišinč 05 käṣig-kä tutzun

01The dog year, the čxšpt (= 12th) month, on the 9th day. 02-04Qara’s family of lower grade shall deliver one qap4 of wine to give to Bäki-Bäg and Ärinkü-Atay, and 04-05shall “keep the 5th käṣig”.

Text B: U 53165

01 ud yïl yiḍinč ay bir oḍuz-qa 02 toy-qa ičgü üč qap süčüg- 03 -ni qutluγ üy birip 04 baš käṣig-kä tuḍṣun

01The ox year, the 7th month, on the 21st day.

02-03Qutluγ’s family shall deliver three qap of sweet wine to drink at the feast, and 04shall “keep the 1st käṣig”.

Former scholars had placed for the ending phrase käzig-kä tutzun vari-ous understandings.6 In 1968, Yamada Nobuo, the Japanese leading scholar in the field of historical studies on the Uigur document, intro-

3 Cf. Yamada 1968. Here is presented the revision by Matsui 1998b, Text 8. 4 Uigur qap is an unit for liquid measure, corresponding to Chinese dou 斗 (= ca.

8.4 liter). See Matsui 2004a, p. 197; Matsui 2004b, pp. 166-163. 5 Cf. Zieme 1997, p. 438. Here is presented the revision by Matsui 1998b, Text 10. 6 Radloff (USp, pp. 118, 137): onunč (üčünč) käzig-kä tutzun “für die zehnte (dritte)

Reihenfolge in Anrechnung bringen”, toquzunč käzig-kä tutzun “auf die neunte Reihenfolge anrechnen”; Arat (1964, p. 36, for U 5300, USp 65, USp 80, etc.): “bu ödemeler onların sıraları (3, 4, 5, 6, 7, 8, 9, 10) hesabına kaydedilecektir”; cf. Yang Fuxue (1990. p. 19, for USp 65, USp 80 and Istanbul No. 12): 祗應文書 “document of provision”; Li Jingwei (1996, pp. 257-258, for USp 65): 登帳記録 “record of note account”.

UIGUR KÄZİG AND THE ORIGIN OF TAXATION SYSTEMS IN THE 231 UIGUR KINGDOM OF QOČO

duced Text A and related käṣig ~ käzig “turn” with Chaghatay käšik “watch guard”,7 and translated the last passage bišinč käṣig-kä tutzun as “keep the fifth guard!” Yamada’s interpretation for käzig has been generally accepted by Uigur scholars, e.g., L. Clark, who related käzig with Mongol kesig “imperial guard”, and H. Umemura8. Also P. Zieme gave translation as “Für Haupt-Wache sei es gehalten! (??)” for the last passage baš käṣig-kä tuḍṣun of Text B, obviously following Yamada. However, Yamada did not fully explain the reason why the deliver of wine is related to käzig ~ käšik “watch guard”,9 so that Zieme added the question mark in translation as above. As well Clark had raised the question “what the guards are to be watching, whether roads, fields, gates, buildings, or what?”.10 As far as we can consult the Old Turkic lexicon, käzig means “a turn (which comes from time to time)” and “an intermittent illness”,11 and it is not easy to decide which meaning is appropriate for the context. Therefore I would like to postpone the philological interpretation of käzig, and adopt the functional approach to the final phrase käzig-kä tutzun. In connection with the phrase, we may pay attention to another Uigur administrative order for delivery with a phrase qupčïr-qa tutzun at closing: Text C: USp 53.1 (with modifications)

01 qoyn yïl yitinč ay 02 yägirmikä öngtün čärig-

7 Wb II, p. 1182. 8 Clark 1975, pp. 160, 390, 444-445; Umemura 1981, p. 63 & n. 33. 9 Yamada regarded the two persons in Text A, Bäki-bäg and Ärinkü-Atay, as the

addressee of the document who had to “keep the fifth guard”. But the editors of SUK have already corrected that they are to receive the wine delivered by alḍïn (….)-’ ṳy “(….)’s family of lower grade” (SUK 1, p. [237]). This correction should be supported by Text B with toy-qa ičgü “to drink at the feast” in the parallel passage with bäki bäg-kä ärinkü atay-qa birgü of Text A.

10 Clark 1975, p. 390. 11 ED, pp. 758-759. Erdal’s interpretation of käzig as “a list” (OTWF, p. 192) seems

to expediently adopt the translation “hesap” by Arat (1964, p. 36).

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03 -tin at alγalï klgüči 04 aḍay toγrïl-qa qošang- 05 -qa balïq-ta müngü 06 iki at-ta bačaqa trqan 07 yṳzintä bolmiš taz 08 bir at ulaγ birip iki 09 kün birip üč baqïr 10 kümüš qupčïr-qa 11 tutzun

01-02The sheep year, the 7th month, on the 20th day. 02-06Of the two horses that Atay Toγrïl and Qošang, who come from the vanguard in order to take horses, should ride in the city, 06-09Bolmïš-Taz of Bačaqa-Tarqan’s hundred-household-unit shall deliver one relay horse for two days and 09-11count (it) for 3 baqïr silver of qupčïr-tax. As well known, qupčïr is a notorious poll tax imposed by the Mongol empire into their subordinate areas for revenue of the military or postal relay system.12 And we can analyze that Text C orders a person Bolmïš-Taz to deliver one horse for the military officers and to estimate his delivery as partial payment of the qupčïr-tax that he had to pay.13 Here we can easily perceive that Texts A, B and C are written according to the common formula: 1. Date; 2. Purpose or receiver of the delivery (as well as, in Text C, the total amount of the necessary material); 3. Deliverer; 4. Amount of the delivered material; 5. Imperative phrase of order for delivery, (….)-qa / -kä tutzun (< v. tut- “keep; count, note”). Consequently, we can assume that käzig, which appears in parallel position as qupčïr, should be any kind of tax or labor

12 See Pelliot 1944; Cleaves 1949, pp. 436-437; Schurmann 1951, pp. 303-306;

Schurmann 1956; TMEN I, pp. 387-392, Nr. 266; Honda 1961, Honda 1969 = Honda 1991, pp. 287-290, 209-211; Smith 1970; Grigor’ev 1976.

13 For such compensation practiced in Kuča and Khotan under Tang domination, see Arakawa 1994, pp. 30-34; Arakawa 1997. Clark (1975, p. 151) and Li Jingwei (1996, p. 201) misunderstood the phrase üč baqïr kümüš qupčïr-qa tutzun in Text C as that “3 baqïr of silver” was also paid together with one horse for the officers.


service compensated by the delivery, and we may translate the phrase käzig-kä tutzun as “count [the delivery] for […]th käzig!” 2. Uigur käzig and Chinese fan 番 As stated before, our lexicon carries Uig. käzig as “a turn (which comes from time to time)” or “an intermittent illness”, while käzig as a term for tax or labor service has not been attested until now. However it is most noteworthy that Maḥmūd al-Kāšġarī, an Arabian scholar in 11th century, also translates Turkic käzig as “‘a turn’ in work” [italics mine] in his Turkic-Arabic dictionary.14 It suggests us that Uig. käzig could be a kind of labor service. This supposition can be enforced by the Turfan Chinese documents from Tang period. Tang dynasty, occupying the Turfan area, imposed special labor services called fan-yi 番役 or se-yi 色役, i.e., labor services levied “in turn” on people: The fan-yi or se-yi had many categories, e.g., labor services at the government office (men-fu 門夫, bai-zhi 白直, zhi-yi 執衣), the military posts in frontier (zhen-shu 鎮戍) or the warning signal fire stands (feng-ding 烽丁).15 And the Turfan Chinese documents offer us the attestations of fan 番 “turn” which in the context mean “labor service levied in turn” or “a turn (of levied labor service)”. Here I pick up two examples as following: Text D: 67TAM376:02(a)16 [missing]

01 杜護洛郭□子馬定□ 張君達張□□ 02 張小君已上第一番范鴦耆康默仁王住々 03 康守緒和万善已上第二番張神力高海洛 04 樊定隆已上第三番 05 牒: 才藝前件驛丁，並違番不到，請追勘當。謹牒。

14 CTD I, p. 299; cf. OTWF, p. 192, “a turn of duty.” 15 See Hino 1975, pp. 344-508; Zhang Zexian 1986, pp. 335-377; Otsu 1988; Otsu

1992; Wang Yongxing 1994, pp. 250-297. 16 See TCW III, p. 289. In the presentation above I omitted the interlinear inscrip-

tions which indicate the district (xiang 郷) of residence of named persons.

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06 開耀二年二月 □驛長康才藝牒 07 付懐威各取諸郷 08 即專追，限明日平旦 09 将過偕示。 [missing]

Text E: 大谷 (Otani) 5825 + 5826 + 5827 + 582817 (1) 01 周義敏納三月番課緤布壹段。寶應二 02 年三月廿三日，隊頭范忠敏抄。－－－－－－－－－－－－－－－－－－－－－－－－－ (2) 01 楊懷貼至。新興周義敏六月番課緤布，懷□ 02 了。其直自限収麦一両□即送修。今月□□ 03 不來，貼至，請付常五更勿推延。其直□ 04 例八人納，署價一依縣家。納布准作五伯 05 請付留貼後會。寶應二年其［ 06 ［］（押）───── －－－－－－－－－－－－－－－－－－－－－－－－－ (3) 01 周義敏納寶應二年六月番課緤 02 布了。其年六月廿六日，當諮－－－－－－－－－－－－－－－－－－－－－－－－－ (4) 01 周思温身當第二番住作［ 02 号，更無玄欠扌卑。無掣［ 03 守信□ 廣徳［

In the fan-yi 番役 of Tang dynasty was included also yi-ding 驛丁 “postal relay servant”, which divides the inhabitants into several groups and levies on them in turn service as yi-ding at postal relay stations. Text D is an administrative report issued by Kang Caiyi 康才藝, the director of Ningrong 寧戎 postal relay station, in the 2nd year of Kaiyao開耀 (682 ad). In the report Kang Caiyi enumerates the names of the

17 Ikeda 1979, p. 444, Nos. 203, 204; COD III, pp. 204-205. Here I follow the

revision by Sekio Shiro 關尾史郎, in Arakawa Masaharu 荒川正晴 (ed.), 吐魯番出

土文物研究會會報 Newsletter of the Society for the Study of Turfan Materials 4, 1988, p. 4.


persons who belong to 第一番 “(group of) the 1st turn”, 第二番 “(group of) the 2nd turn” and 第三番 “(group of) the 3rd turn” but did not carry out the service (wei-fan 違番) as yiding.18 Text E is consist of four receipts (1)-(4) pasted together, each of which is issued by local officer to Zhou 周 family (Zhou Yimin 周義敏 and Zhou Siwen 周思温) at their payment of tax from the 2nd year of Baoying 寶應 (763) to the 1st year of Guangde 廣徳 (764) or later. The term fan-ke xie-bu 番課緤布 (E(1)-(3)) means “cotton cloth (paid instead) of burden of the turn (of labor service)”.19 In Text E(4) is mentioned 第二番 “the 2nd turn” as well as Text D. Even though Text E does not specify to what kind of labor service fan 番 “turn” belongs, in any case Zhou Yimin and Zhou Siwen could compensate the labor service by paying cotton cloth, wheat or copper coins. Here we can notice that Uig. käzig and Chin. fan 番 are parallel, since both of them originally mean “turn” then “labor service levied in turn”, and could be compensated with payment by cash (copper coins or cloth) or in kind. Moreover the expressions with ordinal number, e.g., Uig. baš käzig “the 1st turn” in Text B and Chin. 第一番 “the 1st turn” in Text D, correspond to each other. Accordingly it seems reasonable to regard Uig. käzig as a calque of Chin. fan 番, and to translate käzig in the administrative orders men-tioned above as “labor service in turn” or “a turn of labor service”.20 Furthermore we can be fairly certain that the Uigurs who migrated to Turfan area after the mid 9th century inherited the fan-yi 番役 labor service system of Tang dynasty and conducted it under their appella-tion, käzig.

18 Lu Caiquan 1983, pp. 369-373; Wang Yongxing 1994, pp. 252-260. 19 Sudo 1965, pp. 554-557. Also Otani 5824 is remarkable as a similar receipt issued

to Zhou Yimin at his payment of fan-ke xie-bu 番課緤布. See Ikeda 1979, p. 443; COD III, p. 204.

20 It may be noteworthy that an Uigur receipt (U 5960v) carries the attestation of käzig bözi “cotton cloth (paid instead) of the turn (of labor service)”, which can be also a calque of Chin. fan-ke xie-fu 番課緤布. See Matsui 2005, pp. 33-34.

236 DAI MATSUI

3. Origin of Taxation Systems in the Uigur Kingdom Among many kinds of taxes and labor services attested in the Uigur documents, those imposed by the Mongol empire, such as qupčïr, qalan or alban, have attracted scholars of the field. 21 However, our käzig “labor service in turn” raise the new aspect of the taxation systems in the Uigur kingdom: The inheritance of the systems in Turfan under Tang domination. Besides käzig, in the Uigur documents we find still more calques or borrowings from Chinese terms concerning taxation and administrative systems of Tang dynasty:

uluγ birim “great tax” 22 < Chin. da-shui 大税 “great tax”, which is levied on household at the census conducted every three years and paid by cash.23

uzun ulaγ “long(-going) relay horse”24 < Chin. chang-xing-ma 長行

馬 “horses for distant transportation”, installed in the northwestern border area of Tang.25

qïsγa ulaγ “short(-going) relay horse”, contrary to uzun ulaγ above.26 Even though we have no Chinese corresponding in the documents from Tang times, this qïsγa ulaγ must be derived from jin-xing-ma 近行馬 “horses for short range” attested in a document from Qu 麴 dynasty of Gaochang Kingdom.27 21 E.g., Schurmann 1956; Clark 1975, pp. 149-152; Raschmann 1992. Also see

Matsui 2002, pp. 92-94, for enumeration of terms on taxes and labor services as seen in the Uigur and Mongol documents. Though the actual conditions of those taxes and labor services are still unclear in most case, the correspondence of Uig. qalan, Mo. alban and Chin. cha-fa 差發 “miscellaneous labor service” has been established by Matsui 2004b, pp. 22-24.

22 SUK RH05, RH06; U 5317 = Zieme 1981, Text A. Though Zieme dated U 5317 to 1259 / 1260 ad, I regard it as a duplicate of the original written in West Uigur period (i.e., 10th – 11th cc.). See Matsui 2004c, fn. 9.

23 Sudo 1965, pp. 524-527, 537-538; Wang Yongxing 1994, pp. 383-384. 24 U 5306; U 5307 (= USp 72); U 5995; Ch/U 7368; Ch/U 7345. Cf. SUK RH13,

uṣun-qa barγu äšgäk ulaγ “weit laufendes Esel-Lasttier”. For uṣun (= uzun) ulaγ in U 5307, Radloff (USp 72) misread as usuq birlä, so did Raschmann (1995, p. 122, Nr. 26) as oṣuq ulaγ “schnelle Relaispferd.”

25 Arakawa 1989; Arakawa 1993; Arakawa 2002. 26 U 5285 = Matsui 2002, Text A. 27 86TAM386:21-3. See Liu Hongliang 1997, pp. 54, 421.


baš bitig “original document of contract” < Chin. yuan-quan 元券 ~ yuan-qi 元契 “original contract”. Those “original documents” guarantee the owner’s proprietary on land or slave and are to be authorized by the officials who need to specify the payer of the taxes imposed by account of their poverty.28 As well as käzig, they clearly display us the historical situation that some of taxation systems in the Uigur kingdom had their origin in those enforced by Tang dynasty. Comparative studies on the Uigur contract documents with the Chinese had revealed the latter’s strong cultural influence on the former.29 From the result of the investigation in this paper, now we may go on to the conclusion that the Uigurs inherited not only the practice of private contracts but also the taxation and administrative systems from Chinese.

28 SUK Sa21, Sa28, Sa29, Mi21; U 5295 (= USp 24); So-called Pintung’s petition (=

Oda 1992). For detailed argument on baš bitig, see Yamada 1972, pp. 176-179; Oda 1991, pp. 43-44; Arakawa 1994b, pp. 117-118.

29 Mori 1961; Yamada 1965, p. 166; Moriyasu 1989, pp. 51-54; Dolkun / Umemura / Moriyasu 1990, pp. 25-27; Moriyasu / Zieme 1999.

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Abbreviations and Bibliography Arakawa Masaharu 荒川正晴 1989: 唐河西以西の傳馬坊と長行坊 [The Tang

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Tang Rule]. 龍谷史壇 Ryukoku Shidan 103/104, pp. 17-38. –– 1994b: (Review) SUK. 史學雜誌Shigaku Zassi 103-8, pp. 109-119. –– 1997: クチャ出土「孔目司文書」攷 [A Study on the Kong-mu-si Document

from Kucha]. 古代文化 Cultura Antiqua 49-3, pp. 1-18, +2pls. –– 2002: 長行馬文書攷 [A Study on the Chang-xing-ma Documents]. In: Ikeda

On 池田温 (ed.), 日中律令制の諸相 [Aspects of Legal Codes of Ancient Japan and China: Ritsuryo and Lüling], Tokyo, pp. 379-405.

Arat, Reşid Rahmeti. 1964: Eski Türk hukuk vesikaları. Journal de la Société Finno-Ougrienne 65-1, pp. 11-77. (Rep. in Makaleler I, Ankara, 1987, pp. 506-572)

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COD III: Oda Yoshihisa 小田義久 (ed.), 大谷文書集成 [The Complete Otani Documents], Vol. III. Kyoto, 2003.

CTD: Maḥmūd al-Kāšγarī, Compendium of the Turkic Dialects (Dīwān luγāt at-turk), I-III. Tr. and ed. by R. Dankoff / J. Kelly. Cambridge (MA), 1982–85.

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Mori Masao 護雅夫 1961: A Study on Uygur Documents of Loans for Consumption. Memoirs of the Research Department of the Toyo Bunko 20, pp. 111-148.

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242 DAI MATSUI

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P. S. This paper is an English version based mainly on my previous Japanese

article (Matsui 1998a) with some revision and supplement.

Dai MATSUI, Uigur käzig and the Origin of Taxation Systems in the Uigur Kingdom of Qočo. Türk...

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