Опубликовано: “Отан тарихы”. – 2007. – № 3
This document belongs to one of the 12 ancient Chinese documents unearthed from the No.61 tomb of the northern area of Astâna in Turfan in 1966 (Xinjiang Uygur Autonomous regions museum, The Exibition group 1973: 18) and is consisted of 10 fragments. A record of the life of the deceased person was also discovered from this tomb, and we can assum that it was written in the date of the 4th of Xianheng year (673 AD), so it means that his document must have been written in 673 AD at the latest. Some one calls it , the other one called it shortly, because the term of is often repeated. As for the content of this text, it is a manuscript of a memo of a lawsuit and a deposition obtained from both the plaintiff Sogdian merchant Caolushan and the accused Chinese merchant Lishaojin, which later it should be presented to protectorate-general (duhufu) of Anxi by the Gaochang district of Xizhou prefecture.
Until now, many peoples mentioned partly, however, it is not seemed to be sufficient consideration except Prof. Huang’s one as ARAKAWA told before (Huang 1983; ARAKAWA1997: 188).
In the following, I try to transcribe and translate this document, comparing Huang’s work. In the first two lines of this document, however, there is a part of memorial to the throne, so it seems that it has no relation with the following part, therefore I omit this. In each line, I put the number.
[Document]
(66TAM61:17(6), 23(b), 27/2, 27/1(b), 22/(b), 26(b), 27/5(b), 24(b), 16(b), 25, transcript TFCW 6, pp.470-479; manuscript TFCWF 4, pp.275-276; Catalogue, pl.100, The museum of Xinjiang Uygur Autonomous regions 1972, p.25, pl..42-43).
[Transcription]
As to the words underlined in this text, it shows proper nouns such as place name or personal name etc. The mark of square blank such as □ around a Chinese character shows that this is reconstructed from the remained part of letter of original text. And the mark of a blank such as [ ] shows that there was space to be written in original text. Chinese characters in square shows constructed ones from remaining parts of a letter, and small letters over the blank line show ones to be estimated from the context.
[Translation]
Fragment (1)
Admitted to the protectorate-general duhufu of Anxi by Gaochang district with memo.
Caolushan, who is thirty years old.
Submitted respectfully. In the lawsuit of the aforementioned plaintiff is as follows: “I (admit) to the prefect of Xizhou prefecture. In Gongyue city, there is a Chinese named Li that recorded in the household registers in the Capital (Changan), …he had borrowed 275 silk cloths from my elder brother, then went away to Qiuci (Qucha). (My elder brother?) also went toward Qiuci (Qucha) in pursuit of him, from Gongyue city. My brother has also some horses, two camels, 4 cattle, a donkey, flower (vase) and vessel worth 100 silk cloths, moreover treasures worth 100 silk cloths, a saddle made of China, clothes and goods. This Lisan (Lishaojin) is a Chinese, however, I make an impassioned speech, I myself an Iranian (hu, i.e. Sogdian) and I cannot understand Chinese. I myself clearly grasp the circumstances, …
(text contains lacunae)
[Translation]
Fragment (2)
In …there was the place where he came back. I entreat you to take him into custody and examine him”, he (Caolushan) sued.
Therefore in the deposition obtained from the first questioning of Caolushan [by the said bureau] is as follows: “Lishaojin went away toward Gongyue city with my elder brother. Moreover, Caoguoyi and Caoer, and my nephew that I live with went toward Gongyue city. The said Caoguoyi and Caoer stayed in Gongyue city. After Lisan had borrowed silk cloths from my elder brother, he went traveling toward Anxi again. Lisan has already reached Anxi (Qucha), however, my elder brother (only) has not reached there. This is why I sued Lishaojin, there is no cause to….” He testified.
Furthermore, in the deposition obtained from the second examination of Caolushan and likes, “Since I parted from my elder brother, it has been four years. Caoguoyi and Caoer witnessed with written seals and surnames, and it was Lisan who went toward (Gongyue city) with them, and there borrowed silk cloths from my elder brother. I went away in pursuit of Lisan with my nephew (toward Gongyue city). The said Caoguoyi and Caoer were Iranians (hu, i.e. Sogdian), who live in “Jinshi” the capital Changan of the Tang dynasty with their family. On the date of my starting (from Gongyue city) toward Anxi, Caoguoyi and Caoer still stayed in Gongyue city. Now I have not been in Gongyue city as well as them. When Lisan was going to come toward Anxi with my elder brother, Gongyue city…”
(text contains lacunae)
[Translation]
Fragment (3)
In the deposition obtained from the third questioning of Caolushan [by the said bureau] in as follows: “Caolushan is… , and when my elder brother, Caoguoyi and Caoer etc. was going to start away from Anxi with Lisan, my elder brother would like Caoer and Caoguoyi to supply with what he needed on the way as the debt of gratitude, then went toward together with them, at last they succeeded to reach the castle of Gangyue in safety. Then it was in last year that Lisan stayed in the castle of Gangyue and borrowed 275 silk cloths from my elder brother. In this case, there is no record in the regard to the day when he had borrowed from my elder brother, as for all contracts, my elder brother carried with him. And he also carried many varieties of goods. After borrowing silk cloths, his repayment to my brother might have been done after coming back to Anxi. Lishaojin also is a Chinese who was recorded in the permanent registers of Jingshi (Changan) , and he was a son-in-law of the sub-prefect of commandery (Sima) of Anxi prefecture, however, I did not know his name at that time. Now Lisan has been in Anxi, but my elder brother only has not reached yet. This is why I am requesting you to examine him”.
Lishaojin has now reached here to be examined. In the deposition obtained from the first questioning of Lishojin is as follows: “First, I (Lishaojin) did not borrowed silk cloths from an Iranian (hu, i.e. Sogdian), and I did not intended to return back toward Anxi along with this Iranian (hu, Sogdian). It is true that I did not go traveling toward Anxi with an Iranian, and I do not know where he has gone then”.
In the deposition obtained from the second questioning of Lishaojin is as follows: “When I went traveling toward Gongyue city, I saw that westerners on move (Sogdian merchants) was going to go traveling toward Gongyue city from Anxi. On the way, there were Sogdians along with whom I went traveling in front of and behind me at that time, but I cannot remember how many peoples there are and what were they called in this company (of this caravan). When I started to return back to here Anxi, there was nobody being along with me. I cannot plead guilty to a charge that you investigate, and it is not the truth what he stated.
(text contains lacunae)
[Translation]
Fragment (4, 5, 6)
[Caoyanyan and Caobisha] were captured and taken away [by the officers of the fortress garrisons (zhen), or forts (shu), or the defense detachment (shouzhou)]. And there are a Chinese commander belonged to…, the manager of horses and the clerk polishing the horse’s bit escaped, but at last they died. Moreover, in the distance around 100 Li from Gongyue city, I came across four persons who had come from Anxi. They told me that when they were going to come here, their bows, arrows, saddles and horses etc. were plundered by Turks (Tujue). They met me (Lishaojin) there on their way (toward Gongyue city), so they can be testified to you that I was not going to come toward Anxi with the Sogdian. I require you to inspect it. They were ambassadors. Two of them were bringing the imperial letter in their hands toward the military base established along the Yuhe river, and the other two persons were going to go toward the military base controlled by the supervisor Xiangliu . They said that they have started from Anxi in February of the same year when I saw them. Now with a memo I require the latter ambassadors to examine whether they saw an Iranian (hu, Sogdian) going toward Anxi in pursuit of me or not. So I convinced that the truth will become evident”.
Moreover, in the deposition obtained from the third questioning of Lishaojin is as follows: by the examination whether [Iranian Caoyanyan?] went in pursuit of me (Lishaojin) or not, and on the date of his arriving at Gongyue city, Lishaojin [answered as follows:]…
(text contains lacunae)
[Translation]
Fragment (7)
(text contains lacunae)
it is the truth that [near Gongyue city, Caolushan’s elder brother] Caoyanyan fought with Caobisha, at last the former [was taken away to Gongyue city by the officers of the garrisons]. On the date of my borrowing silk cloths [from Caoyanyan], Caobisha and Caoguoyi were witnessed to our contract. On the day of my (Lishaojin’s) departure toward Anxi, Caobisha and Caoguoyi have stayed in Gongyue city yet. Then they intended to leave westwards more than Gongyue city. I do not know at all whether they are staying in Gongyue city or not, where they are at present…”.
In the deposition obtained from the fourth questioning of Lishaojin is as follows: “ On the date of my departure from Gongyue city, [Caoyanyan] fought with Caobisha, then they are captured and taken away to the castle [of Gongyue] by the officers. This is the truth. Moreover, since I reached Anxi, I has not heard of them. In the first place, Caolushan suited that … and his elder brother and Lishaojin returned toward Anxi together, however, it is true what I just answered to you. And Caolushan told you that he recorded my surname, but Lishaojin has not known the Iranian (hu, Sogdian) before. Caolushan is insincere, made up a story, and throughout he told me his name. It is the truth that I Lishaojin went travel toward Gongyue city with the front and rear of a group of a caravan, including Sogdian merchants, but I did not go along with his elder brother”.
In the deposition obtained from the fifth questioning of Lishaojin is as follows: “With the regard to the contract document, Caoyanyan himself kept it. And as to the contract drawn up… , in the first place Caolushan suited that Lishaojin does not pay back [the silk cloths that he had borrowed from my elder brother in Gongyue city].
(text contains lacunae)
[Translation]
Fragment (8)
(text contains lacunae)
It is true and not false that I had borrowed silk cloths from Caoyanyan. At that time I have not acquainted with Caolushan. At present, however, I recognize that it is not deniable fact that he Caolushan is the little brother of Caoyanyan. And now it became evident that he Caolushan does not lie. Therefore I admitted you that Caolushan should
totally receive 275 silk cloths from me as the repayment, and I would repay to him those silk cloths in the government office”.
[In the deposition] obtained from the fourth questioning of Caolushan is as follows: “I (Caolushan) concedes with respectfully that I had not been beside my elder brother [on drawing up the contract] and Lishaojin had borrowed totally 200 silk cloths from my elder brother and Lishaojin had signed the contract with my elder brother that he would repay to my elder brother after returning to Anxi.
(text contains lacunae)
2. The component and content of this text
As Prof. Huang and Prof. Wang stated (Huang 1983: 349-350; Wang 1985; 171), it is easy to understand this contents although it has lost and damaged pieces in it. First from the 3rd line of the fragment (1), we can know that this is a civil suit addressed from Gaochang (Qôchô) district to the protectorate-general of Anxi prefecture. Furthermore, in details, it has many careless mistakes in writing and overwriting with Chinese ink by the Chinese officers. Moreover, it has no official seal mark of the Gaochang district as generally acquainted in the formal memo. Such mistakes and being no official seal cannot be made if this is the real memo that had been submitted to the government office. Therefore we can regard that this is a manuscript of a memo. In regard to this subject, we can see it from the fragment (1) that the plaintiff Caolushan requested the accused Lishaojin (Lisan) to repay 275 silk cloths that Lishaojin had borrowed from Caolushan’s elder brother Caoyanyan (his name ‘yanyan’ is transcribed from Sog. y(’)my’n having meaning of the favour of the God Yami) (cf. ARAKAWA 1997: p.202 n.37; cf. Sims-Williams 1992: 81) in the castle of Gongyue, and to clarify the unknown whereabouts of his elder brother that must have returned back toward Anxi along with Lishaojin. As to the meaning of Caolushan, a Chinese character Cao means that his native country was ‘Ishtikhan, the capital of which was Ishtikhan fortressed city’ as one of nine oasis countries of Sogdiana as well as Kang-Samarkand, An-Bukhara, Shi-Kesh, Shi-Chach, Mi-Maymurgh, He-Kushaniyya, Huowun and Wudi ) named “Jiu Xing Zhao Wu” (XTS221: 6243), or “Jiu Xing Hu” in Chinese sources of the Tang period. And his name that was constructed of two Chinese characters “Lushan” can be transcribed from Sog. “Ruxshan” having meaning of ‘illumination’ (Henning apud Pulleyblank 1955: 15 with n.37 on 11; Vaissiere 2002: 138) . As long as we can know, many Sogdian merchants formed their colonies in the cities of Jamûkath, Talas, Navaket/ Krasnaja Rechka, Panjîkath/ Kysmychi, Suyab/ Ak Beshim around the Semirechiye region and the cities of Aqsu, Qucha, Subashi, Duldur Âqur, Kachgar, Khotan, Mazar Tagh, Dandan Uiliq Qiemo, Waxxari, Carklik Turfan, Beshbaliq Qocho/ Astâna, Dunhuang, Hami etc. along the Tarim Basin along the Silk for the purpose of dwelling there and trade there since the Han dynasty. And many Sogdian merchnats already had advanced into the capital of China such as the chief cities of the Chinese dynasties such as Lingzhou, Pingliang, Changan, Loyang, Taiyuan, Daixian, Quyong, Dingxian, Yingzhou, Beijing, Caoyang, Jixian, Kaifeng, through the cities of the Ganzu such as Jiuquan, Guzang, Liaozhou according to the Ancient letters of Sogdian merchants from Dunhuang documents and the Chinese sources since the early 4th century (Pulleyblank 1952; IKEDA 1981; Rong 2001: 37-110; Vaissiere 2002: 117-153). Therefore it seems possible that the grandfather or father of Caolushan, his elder brother Caoyanyan and his nephew etc. from Ishtikhan country had come and stayed in Chinese prefectures and districts in the periods of the Bei Chou, Bei Sei, Sui dynasties before the Tang dynasty as well as the Sogdinan families of Samarkand, Bukhara, Kesh etc., and later had gained the permanent residence recorded in the household registers in Changan city.
As regard with construct of this text, Prof. Huang analysed that this is composed of 6 parts, however, in my view, it should be regarded as 4 parts.
The first part is regarded as the places between the 5th line of the fragment (1) and the 1st line of the fragment (2). Here is contents of the suit. Moreover, as assumed by Prof. Huang, according to the sentence that “Now I present to the government-general of Xizhou prefecture…” of the 5th line of the document (1), we can propose that this is addressed to the government-general of Xizhou prefecture, which has been established by the Tang dynasty in 640 AD after the destruction of the Gaochang kingdom and located in the Turfan Basin, but this was resent from Xizhou prefecture to the Gaochang district to examine Caolushan and Lishaojin. The subject of the 1st part of this fragment is as follows: 1. Lishaojin (or Lisan, Lishao) borrowed 275 silk cloths from Caoyanyan who was the elder brother of Caolushan in Gongyue city, 2. Caoyanyan carried some horses, 2 camels, 1 donkey and flower base and vessel worthy of 100 silk cloths and a Chinese saddle, clothes and articles worthy of 100 silk cloths, 3. His elder brother and Lishaojin doubling back toward Qiuci (Qucha) from Gongyue city, however, only his elder brother did not reach there, therefore he requested the officer of Gaochang district to look for his elder brother, 4. From the following of “Lisan is Chinese and I cannot understand Chinese”, we can estimate that the plaintiff Caolushan discussed and resolve this matter with Lishaojin, but it did not succeed, so at last Caolushan suited to the government-general of Xizhou prefecture.
The second part is the place between the 2nd of the fragment (2) and the 9th of the fragment (3). Here are consisted of three elements with beginning at the same phrase of “In the deposition obtained from the questioning of (Cao)Lushan” and the contents answered by Caolushan. In this part, Caolushan was examined on the questionable regards as follows: 1. Whether it is the truth that Lisan borrowed from Caoyanyan, 2. When and how long he borrowed silk cloths, 3. Who presented in the contract as a witness and who had kept this document since then. Moreover, Caolushan added that his elder brother Caoyanyan went along with Lishaojin in going and coming between Anxi and Gongyue city, and his elder brother, Caoguoyi (his name “guoyi” can be his official title as a military service from the Chinese government. His having this title makes it easy to take a permit from prefectures and districts under the Tang dynasty to go travel to trade in the Northwest regions. I think that he had an Sogdian name as an original name as well as Caoer (Cao + er, that is Chinese naming) is called Caobisha after his Sogdian naming in this document. On the ward “Bisha” ,however, at present I can not know what it means in Sogdian language. In the view of Prof. Huang, this can be transcribed into a part element Vi´sa of Sanscrit ‘Vi´sravana’, having meaning of the God Viesravana/ Vaisravana that means a guardian deity in the North direction of the Buddhism believes (cf. Huang 1983; 357-358). Sogdian merchants such as them also had permanent residences recorded in the household registers of “Jingshi” (the capital: Changan). And according to the fact that Caolushan’s nephew dwelled in Changan with Caolushan’s family and they went in pursuit of Caoguoyi and Caoer from Qucha toward Gongyuecity, we can suppose that Caolushan and his nephew also had the permanent residences in Changan as well as Lishaojin who had a permanent residence in Changan and he married with the daughter of the sub-prefect of commandery (Sima) of Anxi (Qucha) prefecture.
The subject of the 3rd part is concerning the contents Lishaojin answered to the questioning, that began from the phrase of “ in the deposition obtained from the questioning of (Li)shaojin”. According to Prof. Huang’s analysis (Huang 1983; 351), he regarded the part from the 1st line to the 4th line of the fragment (4) as the answer of Lishaojin and he named it the 3rd part of this text. As long as I analysed this, however, because the parts from the 1st line to the 4th line of the fragment (4) is considered to be fitted for the contents of the fragment (4) and the 1-2nd lines of the fragment (7) and it is nobody but Lishaojin who can testify the details of the events on the way from the castle of Gongyue toward Anxi, I can make a judgment that this sentence also belongs to the 3rd part. In this case, this part can be composed of 5 paragraphs. In this, it is recorded that Lishaojin denied that he had borrowed silk cloths from Sogdian merchants, he went along with the Sogdian merchants who had permanent residence recorded in the household registers and on his doubling toward Gongyue city, he went along with Sogdian merchants toward Anxi. Moreover, he deposed the events on the way from Gongyue city toward Anxi, and he told that an Chinese officer caught someone, in around 100 Li distant from Gongyue city, he came across four official ambassadors that had departed from Anxi for the base of the Yuhe military and Xiaoxiang military under the supervisor of Xiangliu in February of the same year that Lishaojin returned toward Anxi. Then by showing circumstance evidence like this, he tried to demonstrate his truth. And he added that on the date when he had borrowed silk cloths, Caoguoyi and Caobisha presented signing a contract as guarantors. Furthermore, he told that on his doubling back toward Anxi, they still stayed in Gongyue city, then they intended to go westward from there, he himself does not know where they went at present. After questioning him, Lishaojin answered that it is the truth that he borrowed silk cloths from Caoyanyan who was an elder brother of Caolushan, as for the document of contract, Caoyanyan carried in his hands, Lishaojin would repay silk cloths to Caolushan according to the decision of the judgment of the government and it were 275 silk cloths that he must repay to the Sogdian merchant in the contract.
The 4th part is the place between the 4th line to the 6th line of the fragment (8), which began from the phrase of “ [in the deposition obtained from] the questioning of Caolushan”. Here is the deposition from Caolushan who consented on the repayment of Lishaojin, and Caolushan declared that on the date of entering into contract, he did not present there, and according to the contract, Lishaojin must have totally repaid to his elder brother Caoyanyan after their reaching Anxi.
Now what became evident by questioning to both the plaintiff Caolushan and the accused Lishaojin can be enumerated as follows:
(1) When a Chinese merchant Lishaojin went from Qucha toward Gongyue city, he belonged to rather a caravan including the many Sogdian merchants such as Caolushan’s elder brother Caoyanyan, Caoguoyi, Caoer (bisha).
(2) Caolushan himself and his nephew also went from Qucha toward the same place in pursuit of his elder brother.
(3) After arriving at the castle of Gongyue, Lishaojin borrowed 200 silk cloths from Caoyanyan, and they signed a written contract under the guarantors of Caoguoyi and Caoer. In contract, it was registered that Lishaojin has to repay back 275 silk cloths with interest to Caoyanyan after arriving at Qucha. And Caoyanyan had the contract in his hands.
(4) Caoyanyan had not only many silk cloths, but also had some horses, two camels, four cattle, a donkey, a flower base and a vessel worthy of 100 silk cloths and treasures and a Chinese saddles, clothes, goods worthy of 100 silk cloths. We can suppose that the caravan including him had rather a large scale. And from a judgment that he carried the Chinese saddles, clothes and goods, he intended to sell to the Chinese peoples of Gongyue city and the garrisons or forts and the defense detachment along the state managed post road under the Tang dynasty.
(5) Caoyanyan, Caoguoyi and Caoer were Sogdian merchants who had permanent residence recorded in the household registers in the capital of the Tang dynasty, Changan as well as Caolushan and his nephew. And Lishaojin was also a Chinese merchant who had permanent residence recorded in the household registers in Changan and a son-in law of the sub-prefect of the Commandery (Sima) of Anxi prefecture.
(6) After staying in Gongyue city for a year, on the date of departure of Lishaojin, he witnessed around there that Caoyanyan and Caoer (bisha) had troubled and fought each other, so the official of the defence detachment came, arrested and took away them toward (Gongyue?) city.
(7) In the distance of around 100 Li from Gongyue city, Lishaojin met four ambassadors carrying the imperial letter with them that had started from Anxi in February of the same year when Lishaojin started from Gongyue city. Two person of them intended to go travel toward the military of Yuhe, the other two person intended to go travel toward the military of Xiaoxiang under the supervision of Xianglie, however, on the way from Anxi toward Gongyue city, their bows, arrows and horses were plundered by “Tujue” i.e. the Turkish tribes under the control of the “Ashina” (Sog. Ashinâs ) royal family of the Western Turkish Qaghanate.
(8) On the date of Lishaojin’s departure from Gongyue city, Caoguoyi and Caoer (bisha) intended to go travel westwards more than there. But he did not know where they were at that moment. Moreover after he reached Anxi, he did not know their information.
(9) At the beginning of the deposition from the questioning of Lishaojin, he denied that he went travel with along the Sogdian merchant Caoyanyan toward Gongyue city and he borrowed 275 silk cloths from a Sogdian merchant. But after several examination of him, he recognized that he borrowed 200 silk cloths from a Sogdian Caoyanyan who was the elder brother of Caolushan, and he contracted that he would repay 275 silk cloths with interest to Caoyanyan after arriving at Anxi. And according to the judgment of the government-general of Xizhou prefecture, Lishaojin promised the repayment of 275 silk cloths to Caolushan.
(10) According to the result of this consideration, Lishaojin borrowed silk cloths at 37.5 percent for two or three months that it was necessary for travelers to reach from Gongyue city to Anxi. That means with rate a month between 18.75 and 12.75 percent. Until now it is known that 8 contract documents concerning the loan and lend of the almost same periods from 660 to 670 AD were discovered from the 4th tomb of the Astânâ of the Turfan Basin, and there are 4 contract documents concerning the loan and lend on a silver basis, that show the rate between 10 and 15 percent a month, and the other 2 contract documents concerning the loan and lend, that show the rate of 13.3 percent a month (Huang 1983: 362; Cheng 1983: 237; Lu 1992: 244). From the viewpoint of the rate on a silk cloth basis, it seems probable that this rate is very close ressemble with that of the document under the consideration.
3. On the meaning of “Anxi” and the made period of this document.
(1)
As Chinese researchers Prof. Huang and Prof. Wang stated, on the location of Gongyue city, it seems no doubt that there had been around Quldja (Nine fortressed city of the Yili in the Qing dynasty, Yining city of the Xinjiang Uygur Autonomous regions at present), although in details it has been discussed among historical researchers whether it can be identified as the place named “Tulufan Yuzigu cheng (Tulufan Yuzigu fortressed city)”, where was located in the distance ca.25km southwards from the Yili river and in the distance ca.20km southeastward from Yining city at present, or in the place named Almalig city where the headquarter of the Chaghatay Qaghanate was established in the 13th century (cf. MATSUDA 1970: 336-341). Recently Prof. Meng Fanren insisted that it should be regarded as Tulufan Yuzigu (fortressed) city from the historical geographical point of view, basing on his survey in this region (Meng 1979:129-133). This identification is to be confirmed by the archaeological excavation of the site in future.
As contrast with this, as to the identification of “Anxi” of the text in this document, it seems problematic whether it means Xizhou prefecture or Qiuci (Qucha). For example, on the identification of Anxi in the deposition of the 5-7th lines of the fragment (2), Prof. Huang regarded it as Qucha, which is different from the Anxi of the 3rd line of the fragment (1) which means Xizhou prefecture. And based on this interpretation, he supposed that Lishaojin went traveling from Xizhou toward Gongyue city, after staying there for one year, he borrowed silk cloths from Caoyanyan and went toward Qucha, but on his way from Gongyue city to Qucha, he came across an accident accident and could not go on traveling to Quch. Then he returned back to Xizhou prefecture through Gongyue city. It is evident that Prof. Huang’s interpretation was caused by that he regarded the subject of the second sentence of “but did not reached Qucha” of the 12th line of the fragment (1) as Lishaojin and Caolushan’s elder brother. But we cannot approve him, because his identification of Anxi in this document is not enough to be accepted because it is not explained by rational reason that reflects the historical background around Anxi. On this problem, first we have to cause the attention to the description such as that “Lisan have reached Anxi, but my elder brother has not reached” of the 6-7th lines of the fragment (2). And in the deposition of the following fragment, there are same expressions which bears closely resemble to one of the fragment (2). Therefore we can regard that the subject of the sentence of the 12th line of the fragment (1) can be identified as Caolushan’s elder. Therefore we should regard Anxi of the 6-7th lines of the fragment of (2) as Qucha. Furthermore, this view can be supported by how to express on the way from Gongyue city to Anxi. That is the usage of the Chinese character “hai”, which has the meaning of “to return back” also used in the 6th and 11th line of fragment (3). From this point of view, we can understand on this situation that Lishaojin and Caolushan’s elder brother intended to double back toward Anxi through Gongyue city, however, only Lishaojin could reach Anxi, elder brother could not reach Anxi. So we should consider that “my elder brother” as the subject the sentence of 12th line of the fragment (1) was omitted. Prof. Arakawa also interpreted as well as me.
Now we can see that this memo would be addressed to the Xizhou prefecture where the government of the protectorate-general of Anxi had been moved back in 670. From this, we should consider that in this text of the deposition obtained from each aside can be reflected the historical events of the period when the government of the protectorate-general of Anxi was moved back from Qucha to Xizhou. If it is so, in all depositions of this document except the lawsuit of the fragment (1), Anxi should be expressed as Qucha, however, it was not called so. This is why the persons concerning the lawsuit remembered and answered the historical events vividly using the term Anxi, which meant Qucha before the government of the protectorate-general of Anxi had been moved back to Xizhou. On the other hand, in the fragment (1), the arrested Caolushan used Anxi in the title of the lawsuit basing on the fact that the protectorate-general of Anxi was moved back to Xizhou prefecture on March 670. However Caolushan used Qucha in the text of the first lawsuit, in my view, it is why he wanted to avoid the confusion between Anxi which meant Xizhou at that time and Anxi which had meant Qucha before 670 AD.
(2)
As Prof. Huang introduced , this manuscript of the memo is written in verso of the formal document written in 665 AD to be submitted to the Government. As it is known, according to the rule of the 43rd Statute of the Tang dynasty, it is prescribed as follows:
“Official documents should not always be kept, each document should be disposed of in three years”. (NÎDA 1933:602; cf. Huang 1983: 353-354)
Based on this description, Prof. Huang considered that this document might have be drawn up by 668 AD at the earliest. On the latest period, by the period of the epigraph discovered from the No.61 tomb with these 12 documents, it became obvious that the person named “Haisheng” who died on 17, March of 673 AD and was buried on 23, March of 673 AD. So we can regard that this document was drawn up by 673 AD at the latest. On the other hand, Prof. Arakawa considered the latest period of this document as the date of March, 673 AD, and he regarded the earliest period of this document as the date on 22 April of 670 AD because this document must have been addressed to the Xizhou prefecture where the protectorate-general of Anxi was changed from Qucha on 22, April of 670 AD. I think that this period should be accepted.
Generally speaking, a civil suit should have been entrusted to the hands of the administrative where the trouble had happened as a rule. As to the fact that the lawsuit gave back to the Gaochang district from the prefect-commander of the Xizhou prefecture, and later it would have been presented to the protectorate-general of Anxi prefecture, Prof. Huang explained that the plaintiff Caolushan had a permanent residence recorded the household registers in the Capital (Changan), so the prefect-commander of the Xizhou prefecture did not receive his lawsuit and order the Gaochang district to examine the person concerned and present to the protectorate-general of Anxi. And he think it possible that Caolushan could have been a Sogdian who had a permanent residence recorded in the household registers in Gaochang district yet.
This hypothesis is very interesting, but until now it has been problematic subject whether it could have been applied under the control of the Code and Statutes of the Tang dynasty. But on this, recently Prof. Arakawa demonstrated that it was applied under the rule even in the Tang period. It is generally known that itinerant merchants such as Chinese Lishaojin and “the westerners on move (xing hu; Sogdian merchants)” such as Caolushan, Caoyanyan, Caoguoyi and Caoer (bisha) that had the permanent residence recorded in the household registers in the capital (Changan) were prohibited from traveling and staying apart from the permanent residence and being engaged in trading in the other regions along the state managed post roads and district roads between the capital and all prefectures. However, as we see this from this document, in the practical case, they could go travel from the capital as far as the northwest regions of the Tang Empire. They were officially recognized as alienated from permanent residence recorded in the household registers and were allowed to temporarily stay with their acquaintance and to register as an another type of inhabitants except the officially registered peoples in the prefectures and districts inner Tang dynasty. In this case, they had no duty to pay the transit and commercial taxes to the state administrative office where their permanent household registers was recorded, but were subjected to the tax levies linked with registration in the prefectures connected with the commercial activities. Under such rule, they could go travel with issued guosuo passports that were given by the prefectures. From the legislative point of view, this practice can be reflection of that the itinerants belongs to ones under the so-called “jimizhou” which means “the prefectures controlled under the rule of government such as controlling horses” as well as the people of the oasis countries and the nomadic tribes in the North western territories such as regions of Sogdiana and Tukharistan across the Pamîrs Mountains under the control of the Code and Statutes of the Tang dynasty (Arakawa 2002).
The fact that Caolushan could present to the Xizhou tells that he was ones who had been registered as temporary inhabitants of Xizhou or Qucha where the protectorate-general of Anxi at present or in old times. In my view, it also means that Caolushan had moved from Changan to Xizhou, Yanqi, Qucha and Gongyue city along the stated managed routs (horse roads) with issued passport. Moreover from the fact that the said lawsuit had been addressed to Xizhou prefecture under the protectorate-general of Anxi although the matter had happed in Gongyue city under the management of Qucha, we can understand that the protectorate-general of Anxi prefecture had been changed from Qucha to Xizhou prefecture at that time when the suit had first been presented to Xizhou. So I can consider that this manuscript of the memo is drawn up between 670 and 673 AD.
As I pointed out in the 3rd chapter, the contents of from fragment (2) to (8) belongs to the periods that the protectorate-general of Anxi prefecture had been existed in Qucha, that is, must have been the earlier than the date of March, 670. And we can point out that it has been 4 years since Caolushan parted from his elder brother in the periods from 670 to 673 AD. So in calculation it seems probable that Caolushan met his elder brother Caoyanyan in the periods from 666 to 669 at the latest. Furthermore as the second point, we should notice Lishaojin’s deposition in the 4-5th lines of the fragment (3). From this, we can know that it was “last year” that Lishaojin had started from Anxi to Gongyue city. This deposition was obtained from Lishaojin at the time when he went travel from Gongyue city toward Anxi. And according to the reason that the word of “last year” was used in the period when he went back to Qucha where the protectorate-general of Anxi prefecture had still existed, we can regard it as 669 at the latest.
Then is it possible to go back to Qucha in 670? In my view, it is very hard to suppose it from the following reason. At first, we have to take notice that at a distance of 100 Li (ca.5,6 km) from Gongyue city, Lishaojin had met ambassadors that had started from Qucha in February in the same year that he went travel toward Anxi, and secondly that it must have taken two or three months to reach Qucha at that time by the Chinese sources. Then it means that Lishaojin would meet them in April or May about 100 Li from Gongyue city, so he could reach Qucha in June or July of the same year. But we know that Qucha fell into the hands of the Tibetan Empire on April of 670 AD, according to the ancient Chinese source as follows:
On the date of 22, April of the Xiangheng the 1st year (i.e. 670 AD), our (Garrison of the protectorate-general of ) Anxi prefecture fell into the hands of the Tufan (the Tibetans). Therefore we abolished the defence system by 4 Garrisons in the Anxi region. (THY 73: 1570)
So we think it very difficult whether in such condition Lishaojin could travel toward Qucha. Moreover, in pursuit of him, Caolushan also might have returned to Qucha to meet his elder brother, and later went to Gaochang of Xizhou prefecture through Yanqi prefecture to present the lawsuit. Then at present I think it possible that Lishaojin had doubled back to Qucha in 669 AD than in 670 AD.
At this present, according to my analysis, I can regard that Caolushan had met his elder brother in 666 at the end. And his elder brother and Lishaojin went traveling to trade from Qucha to Gongyue city in 668. After staying with relatives or acquaintance there for one year, they started from Gongyue city in April of next year, 669. And after Qucha was occupies by the Tibetan Empire and the protectorate-general of Anxi was changed from Qucha to Xizhou in March of 670, Caolushan had to go as far as Xizhou to present his lawsuit along the horses roads.
4. The place of the Kangar’s tribe and their political role
during the Old Turkic Periods
As wellknown, since the Xiung-nu periods there was the nomad people named Kangu who settled near the Sirderya River, and it seems that it can be attested with Turkic nomad tribes named