The Tangut

In the northwest the Tangut (Pinyin: Dangxiang), a Tibetan-speaking branch of the Qiang, inhabited the region between the far end of the Great Wall in present-day Gansu and the Huang He bend in Inner Mongolia. Their semi-oasis economy combined irrigated agriculture with pastoralism, and, by controlling the terminus of the famous Silk Road, they became middlemen in trade between Central Asia and China. They adopted Buddhism as a state religion, in government and education followed the Tang model, and devised a written script for their own language. This richly mixed culture blossomed, as evidenced by the storing at the Dunhuang caves of an unparalleled collection of more than 30,000 religious paintings, manuscripts, and books in Chinese, Tibetan, Uighur, and other languages. In 1038 the Tangut proclaimed their own kingdom of Xi (Western) Xia, which survived for nearly two centuries with remarkable stability despite a series of on-and-off border clashes with the neighboring states in northern China. The kingdom’s end came at the hands of the Mongols, the first nomads to conquer all of China.

The Khitan

To the north at the time of the Wudai rose the seminomadic but largely pastoral Khitan, who were related to the eastern Mongols. The word Khitan (or Khitai) is the source of Cathay, the name for northern China in medieval Europe (as reported by Marco Polo), and of Kitai, the Russian name for China. The Khitan founded the Liao dynasty (907–1125) by expanding from the border of Mongolia into both southern Manchuria and the 16 prefectures south of the Great Wall. This area below the line of the Great Wall was to remain out of Chinese political control for more than 400 years. Its control by a non-Chinese state posed a dangerous security problem for the Bei (Northern) Song. More important in the long run, this region acted for centuries as a center for the mutual exchange of culture between the Chinese and the northern peoples.

The Liao made Yanjing (present-day Beijing) their southern capital, thus starting that city’s history as a capital, and claimed to be the legitimate successors to the Tang. They incorporated their own tribes under respective chieftains and, with other subdued tribes in the area, formed a confederation, which they then transformed into a hereditary monarchy. Leadership always remained in the hands of the ruling tribe, the Yelü, who for the sake of stability shifted to the Chinese clan system of orderly succession.

The Liao economy was based on horse and sheep raising and on agriculture. Millet was the main crop, and salt, controlled by government monopoly, was an important source of revenue. Other commodities included iron produced by smelters. The Liao employed an effective dual system of administration to guard against the danger of being absorbed by Sinicization. They had one administration for their own people that enforced tribal laws, maintained traditional rites, and largely retained the steppe style of food and clothing. The Liao deliberately avoided the use of Chinese and added to their particular branch of the Mongolian language two types of writing—a smaller one that was alphabetical and a larger one related to Chinese characters. A second administration governed the farming region using the old Tang system, with Tang official titles, an examination system, Chinese-style tax regulations, and the Chinese language. The laws of the second administration enforced the established way of life, including such practices as ancestral worship among the Chinese subjects. The status of Chinese subjects varied: some were free subjects who might move upward into the civil service, while others might be held in bondage and enslavement.

Though honoring the Confucian philosophy, the Liao rulers patronized Chinese Buddhism. Their achievements were generally military and administrative rather than cultural, but they did provide a model for their successors, the Jin, who in turn influenced the Mongols and, through them, succeeding Chinese dynasties.

The Juchen

The Liao were eventually overthrown by the Juchen (Pinyin: Nüchen), another seminomadic and semipastoral people who originated in Manchuria, swept across northern China, ended the Bei Song, and established the Jin dynasty (1115–1234). This new and much larger empire in northern China followed the Liao pattern of dual government and of some acculturation but at a much higher cultural level.

The Juchen, in establishing their Chinese-style Jin empire, occupied a broader geographic region in the farming country than had any previous nomadic or pastoral conquerors. The migration of their own people in large numbers notwithstanding, they were proportionally a smaller minority than were the Khitan, for the Jin ruled a much larger Chinese population. Because the Juchen formed a small minority in their own empire, they kept a standing army of their own people that was always prepared for warfare. Members of the standing army were quartered among their farming subjects but were expected to respond to the command of their captains at short notice. In the military service the Juchen language was kept alive, and no Chinese-style names, clothing, or customs were permitted. They realized that protecting their separate ethnic and cultural identity was indispensable to maintaining military superiority.

Politically, however, it was necessary for the Juchen rulers to familiarize themselves with the sophisticated culture of their Chinese subjects in order to manage state affairs. While limiting Chinese participation in the government, they shrewdly deflected the interests of their subjects toward the pursuit of such peaceful arts as printing, scholarship, painting, literature, and, significantly, the development of drama for widespread entertainment. (These trends continued under the Mongols and enriched Chinese culture.) In spite of the Juchen efforts, time was on the side of the majority culture, which gradually absorbed the minority. The transplanted tribes, after settling on farmland, could not avoid being affected by the Chinese way of life, particularly during long periods of peace.

Economically, the Juchen were no match for the Chinese. In time a number of Juchen became tenants on Chinese-owned land; some were reduced to paupers. Their economic decline altered social relations. Eventually they were permitted to intermarry, usually with parties wealthier than themselves. Their military strength also declined. It became normal for military units to be undermanned. Captains of “hundreds” often could put no more than two dozen men into the field, and captains of “thousands” had no more than four or five such nominal “hundreds” under them. Their ruling class followed a parallel decline. The interests of the ruling group shifted from government affairs to Confucian studies, Chinese Classics, and Tang- and Song-style poetry. The rulers found little use for the two styles of Juchen script that their ancestors had devised. Eventually the Juchen, much weakened, were brought down by the Mongols, led by Genghis Khan and his successors.