SILK ROAD DURING THE HAN DYNASTY (206 B.C.- A.D. 220): WU DI, ROMANS, SOGDIANS AND PARTHIANS

HAN DYNASTY AND THE SILK ROAD


Han Chinese silk

The Silk Road from China to the West was initially formulated during the reign of Emperor Wu Di (141–87 B.C.) during the Han Dynasty. According to the Asia Society Museum: Although foreign influences had penetrated China since early times, official interest in the west began only during the Han dynasty (206 B.C.– A.D. 220). Threatened by incursions of mounted nomadic tribes from the north and northwest, the Han emperor Wudi (r. 141–87 B.C.) dispatched missions westwards to seek allies. Although these missions were unsuccessful in securing alliances, they returned with reports, not only of an existing trade in Chinese products, but also of a superior breed of horses. It was in part the need to secure this breed of horse, vital to the Han campaigns against the nomads, that drove Han armies into Central Asia. [Source:: Monks and Merchants, curated by Annette L. Juliano and Judith A. Lerner, November 17, 2001, Asia Society Museum asiasocietymuseum.org == ]

Richard Kurin wrote: Under the Han dynasty silk became a great trade item, used for royal gifts and tribute. It also became a generalized medium of exchange, like gold or money. Chinese farmers paid their taxes in silk. Civil servants received their salary in silk. In 198 B.C.E., the Han dynasty concluded a treaty with a Central Asian people, the Xiongnu. The emperor agreed to give his daughter to the Xiongnu ruler and pay an annual gift in gold and silk. [Source: Richard Kurin, the Smithsonian institution festival.si.edu/2002/the-silk-road |*|]

According to the Asia Society Museum: “By the late second century B.C., military colonies were established in Gansu to protect the trade routes from nomadic incursions. These colonies became important trading posts on the Silk Road. The main route led from Chang'an (modern Xi'an) through Lanzhou, Wuwei, Zhangye, Jiuquan to Dunhuang and was protected by a Han extension to the Great Wall. As trade flourished, new products and ideas entered China, brought by foreign merchants. Buddhism entered China at this time, but was confined mainly to colonies of foreign merchants. Indeed, imperial control of the country ensured that foreign influences were still largely unassimilated or marginalized. ==

“With the fall of the Han in 220 C.E., this situation began to change. China fragmented into independent kingdoms, and non-Han ethnic groups began to gain ascendancy. In the early fourth century, the ancient capitals Luoyang and Changían were sacked by armies of former nomad mercenaries and Gansu and Ningxia came under the rule of a succession of short-lived kingdoms, some of nomad origin. The breakdown of imperial rule had important consequences. The new rulers did not look solely to the capitals for cultural models, but instead were open to influences from outside. Buddhism began to take root, creating a demand for scriptures and images.” ==

Good Websites and Sources on the Silk Road: Silk Road Seattle washington.edu/silkroad ; Silk Road Foundation silk-road.com ; Wikipedia Wikipedia ; Silk Road Atlas depts.washington.edu ; Old World Trade Routes ciolek.com ; Travel Photos studyrussian.com ; Yo Yo Ma’s Silk Road Project silkroadproject.org ; Silk Road Society travelthesilkroad.org ; Silk Road Travelers silk-road.com ; International Dunhuang Project idp.bl.uk ; Camel Trains in the Desert chinavista.com ; Ancient China Life Ancient China Life

Books: on the Silk Road The Silk Road (Odyssey Guides); Marco Polo: A Photographer's Journey by Mike Yamashita (White Star, 2002); “Life along the Silk Road” by Whitfield, Susan (Berkeley: University of California Press, 1999); “The Silk Route: Trade, Travel, War and Faith” by Susan Whitfield, with Ursula Sims-Williams, eds. (London: British Library, 2004). You can help this site a little by ordering your Amazon books through this link: Amazon.com; Television show: Silk Road 2005, a 10-episode production by China's CCTV and Japan's NHK, with music by Yo Yo Ma and the Silk Road Ensemble. The original series was shown in 1980s.

Marco Polo: Wikipedia Marco Polo Wikipedia ; Marco Polo Odyssesy nationalgeographic.com ; Open Directory Project dmoz.org ; Works by Marco Polo gutenberg.org ; Internet Movie Database imdb.com ; Marco Polo and his Travels silk-road.com ; Zheng He and Early Chinese Exploration : Wikipedia Chinese Exploration Wikipedia ; Le Monde Diplomatique mondediplo.com ; Zheng He muslimheritage.com ; Zheng He Wikipedia Wikipedia ; Gavin Menzies’s 1421 1421.tv ; Asia Recipe asiarecipe.com ; First Europeans in Asia Wikipedia ; Matteo Ricci faculty.fairfield.edu

Zhang Qian: Han-Era Silk Road Explorer

More than 1,300 years before Marco Polo left Italy for China on the Silk Road, Chinese explorers were traveling nearly as far to reach Central Asia and the Middle East. In 138 B.C., the Chinese explorer Zhang Qian (Chang Chien, Zang Qian) was sent westward by Emperor Wu (140-87 B.C.) with the assignment of finding allies to fight the Xiongnu. He was captured by the Xiongnu soon after departing and was held in captivity for 10 years before he escaped and crossed the Pamir mountains to reach the Fergana Valley Zjhang Qian reached Syria, and possibly Egypt, and returned to China 19 years after he set out and long after the Xiongnu were subdued. In the first great account of Silk Road travel he described the pleasures of Central Asian wine and fantastic animals such as the "heavenly horses" of the Fergana Valley that had striped bodies and sweated blood.

Kiyota Higa wrote in the Yomiuri Shimbun, ““Zhang Qian emerged on history's centre stage a few years after Emperor Wu of the Han dynasty ascended the throne in 141 B.C.. The emperor was dissatisfied with a long-standing reconciliation policy of paying tribute to the Xiongnu, a northern ethnic group, and decided to send a mission to the Yuezhi, who had been driven from their homes by the Xiongnu, in order to form an alliance with them against Xiongnu. Cui Jijun, 44, curator of the Zhang Qian Memorial Hall, presumes that Zhang Qian, who was chosen as leader of the mission, was probably around 20 to 25 years old at that time. "Considerable physical strength was vital in the harsh journey to the western regions. Emperor Wu preferred to appoint young people," Cui said. [Source: Kiyota Higa, Yomiuri Shimbun, Asia News Network, December 23, 2014 /+\]

“Zhang Qian and his group of 100 or so were captured by the Xiongnu in the course of their journey to Yuezhi. According to history books, during his 10 years in captivity, Zhang Qian got married and started a family. But he managed to escape to fulfil his duty and headed west, finally finding his way to Yuezhi. Though he was unable to form an alliance, he came into contact with different cultures in central Asia before heading back to Han.” Zhang Qian was captured by the Xiongnu a second time. This time, however, he succeeded in escaping after a single year of captivity. In 126 B.C., twelve years after his departure, he returned to the Chinese capital, accompanied by but one of the hundred men who had started with him. “When he was finally able to report the circumstances of the western regions to Emperor Wu, 13 years had already passed since his departure. /+\

“After returning from his mission to the Yuezhi, Zhang Qian participated in a battle against the Xiongnu. He was once sentenced to death when he was accused of incompetence during a battle. Afterwards, he was appointed as an envoy to central Asia once again and is said to have returned with a good horse.” <|>

Legacy of Zhang Qian’s Mission


Zhang Qian

Kiyota Higa wrote in the Yomiuri Shimbun, “Known to the Chinese as an explorer equal to Columbus, Zhang Qian opened up the Silk Road - the major route that connected the east and west of Asia during the time of the Han dynasty in ancient China. The determination that enabled him to cross the desert and overcome numerous difficulties was developed in Hanzhong, Shaanxi province, a strategic location of military importance since ancient times. [Source: Kiyota Higa, Yomiuri Shimbun, Asia News Network, December 23, 2014 /+\]

“The title "Lord of Bowang" was given to Zhang Qian when he achieved his feat, and that is how the area was named. I was able to meet descendants of Zhang Qian in this village. A "65th-generation" villager, 60-year-old Zhang Huazhong, told me stories of Zhang Qian's boyhood that have been handed down in the area. "He is said to have loved swimming" and, "it is said that when he found somebody being bullied, he would protect them". Zhang Qian's character is described in history books as being "patient and generous, and always trusting". Although there is no historical proof of what the people of Bowang told me, I listened with interest. Zhang Lijun, a 39-year-old "67th-generation" villager who worked for the local government told me that he always said to his 11-year-old daughter: "Never fear adversity. You are Zhang Qian's descendant."/+\

It is said that products such pomegranates, grapes, garlic and cucumbers were brought into China as a result of Zhang Qian's development of the Silk Road." Professor Derk Bodde of the University of Pennsylvania wrote in 1942: “Chang Ch'ien's [Zhang Qian’s] mission was a failure from a diplomatic point of view. But he brought back with him two important plants of western Asiatic origin. One was alfalfa, which was to prove of the greatest value to the Chinese as food for the horses used in their later military campaigns against the Huns. The other was the grape, which has ever since been one of China's favorite fruits. [Source: Derk Bodde, Assistant Professor of Chinese, University of Pennsylvania, November 8, 1942, Asia for Educators, Columbia University afe.easia.columbia.edu <|>]

“Most important of all, however, Chang Ch'ien gave to the Chinese their first accurate knowledge of the expanses of Central Asia. Following his advice, they launched a series of military campaigns which during the next century broke the power of the Huns. Finally all of Turkestan was brought under Chinese rule. Across the desert the Chinese conquerors laid out a series of garrison posts. Thus, well before the birth of Christ, a trade route was established which crossed Turkestan from China, passed through Persian territory, and reached the eastern shores of the Mediterranean. From there ships could continue the journey to Rome itself. Thus were Rome and China, then the two most powerful empires in the world, linked by trade.” <|>

Western Expansion of China Under Wu Di


Ambassador Visiting Wu Di

According to the Metropolitan Museum of Art: “Under Wudi, China regained control of territories, first conquered by Qin Shihuangdi, in southern China and the northern part of Vietnam. New commanderies were established in Korea, and contacts were made with the western regions of Central Asia. The conquest of Fergana and neighboring regions in 101 B.C., which allowed the Han to seize a large number of the "heavenly" long-legged horses valued for cavalry maneuvers, also gave China control of the trade routes running north and south of the Taklamakan Desert. In return for its silk and gold, China received wine, spices, woolen fabrics, grapes, pomegranates, sesame, broad beans, and alfafa. “There was also an expansion of diplomacy: fifty envoys from Central Asia were recorded in 94 A.D., and Japanese envoys visited in 57 and 107 A.D. Jugglers from West Asia arrived in 122 A.D., and the reported arrival of an emissary from Andun (the emperor Marcus Aurelius Antoninus) bringing ivory, rhinoceros horn, and tortoiseshell suggests a direct link to Rome in 166 A.D. [Source: Metropolitan Museum of Art metmuseum.org\^/]

Dr. Robert Eno of Indiana University wrote: “The first step in preparing for this expansion was taken as early as 139 B.C., when Wu-di authorized a reconnaissance expedition to the far west by a courtier named Zhang Qian. Zhang journeyed for many years deep into Central Asia, increasing Chinese awareness of distant lands many fold. After Zhang’s return, by which time Wu-di had long become comfortable on the throne, it was determined that China would pursue an aggressive policy to subjugate the various kingdoms that lay along the route of Zhang’s travels. This policy naturally entailed the pacification of the Xiongnu confederacy as well. [Source: Robert Eno, Indiana University indiana.edu /+/ ]

“Over the course of Wu-di’s reign, the Chinese launched a series of campaigns into Central Asia. To support these campaigns, garrisons were established in the northwestern corridor beyond the boundaries of early Han China which today constitutes western Gansu 4 Province, as far as Dunhuang. The Great Wall was extended westward and a series of watchtowers was constructed out into the desert. The Han armies marched through these regions and out into the Tarim Basin and the Tianshan Mountains. The petty kingdoms encountered by the armies were usually conquered without much difficulty, although a few were able to mount a resistance firm enough to lead the Han generals to bypass them. Ultimately, Han armies executed successful operations as far west as modern Kyrgyzstan and Kazakhstan (go to Tajikistan and turn right). /+/

“The principal goals of the expedition were to extend the garrisoned outposts of China, to establish colonial posts of administration and reconnaissance in the far west, and to transform the peoples of Central Asia, who had previously been under the influence of the Xiongnu, into tributary states of China, ready to serve as allies in China’s struggle against the Xiongnu. /+/

“These western expeditions were coupled with direct attacks on the Xiongnu. The success of these was not uniform, and some of the greatest of Han generals found themselves unable to prevail against large armies of nomads so far from their own bases of supply. However, the wars of Wu-di’s reign seem to have begun the disintegration of the Xiongnu confederacy, which never again exerted the sort of pressure on China that it previously had. /+/

“An indirect benefit of these military policies was the creation of what later became known as the “Silk Road” in Central Asia. This commercial route roughly paralleled the path of Zhang Qian’s first expedition. Its military function gave way to a stream of merchant caravans that brought silk to the West and Western goods and peoples to China. While it was Wu-di’s armies that first opened this route, its contributions to Chinese civilization are better studied in the context of post-Han civilization, by which time Western imports, which included such unanticipated commodities as Buddhism, came to have an enormous impact on Chinese culture.” /+/

Han Dynasty and Ancient Rome

The first Europeans to arrive in China for which there is evidence were ancient Romans. Roman historian Florus wrote of envoys between the “Seres” or Chinese and the Emperor Augustus (ruled 27 B.C. to A.D. 14). The earliest recorded official contact between China and ancient Rome was in A.D. 166 when, according to a Chinese account, a Roman envoy, possibly sent by Roman Emperor Marcus Aurelius or Roman Emperor Antoninus Pius, arrived in then Chinese capital of Luoyang. This is the only meeting between the great civilizations of Rome and China of which a record survives. The Romans referred to the people of the remote East as the Seres—the Silk People. The term may have referred to tribes in Central Asia not the Chinese. The Romans, by the way, thought silk came from trees. The Persian Empire also traded with China about this time.

The Roman Empire reached its greatest territorial extent under the Emperor Trajan in the A.D. century, just as the Han empire was beginning to decline. Most historians believe that the two empires had only indirect contact, as silk and spices were traded along the Silk Road through merchants in exchange for Roman goods such as glassware. [Source: The Telegraph]

Richard Kurin, a cultural anthropologist at the Smithsonian institution, wrote: By the 1st century B.C.E. silk reached Rome, initiating the first "Silk Road." Pliny, writing about silk, thought it was made from the down of trees in Seres. It was very popular among the Romans. People wore rare strips of silk on their clothing and sought more; they spent increasing amounts of gold and silver, leading to a shortage in precious metals.[Source: Richard Kurin, the Smithsonian institution festival.si.edu/2002/the-silk-road |*|]

“Coinciding with the development of ruling elites and the beginnings of empire, silk was associated with wealth and power — Julius Caesar entered Rome in triumph under silk canopies. Over the next three centuries, silk imports increased, especially with the Pax Romana of the early emperors, which opened up trade routes in Asia Minor and the Middle East. As silk came westward, newly invented blown glass, asbestos, amber, and red coral moved eastward. Despite some warnings about the silk trade's deleterious consequences, it became a medium of exchange and tribute, and when in 408 C.E. Alaric the Visigoth besieged Rome, he demanded and received as ransom 5,000 pounds of gold and 4,000 tunics of silk.” |*|


Rome, Parthian and Han Empires in AD 1st century


Roman Legionnaires Reach China During the Han Dynasty?

Romans are believed by some to have made it as far east as the Gobi Desert around 2,000 years ago. The people in Liqian, a village in Gansu Province in western China on the fringes of the Gobi Desert, near the Qilian mountains, insist they are descendants of Romans and say the curly hair, straight noes, and light-colored eyes that some of them have proves it.

The Romans that made it to China are said to have been soldiers under Crassus—a Roman leader who formed the First Triumvirate with Julius Caesar and Pompey—who survived a battle against the Parthians in Syria and Iran and then made their way east, working as mercenaries for the Huns, until they were captured by Chinese troops during a Chinese attack on the Hun ruler Zhizhi in present-day Uzbekistan.

According to this theory Roman legionaries settled in the Liqian area in the first century B.C. after fleeing the disastrous battle in 53 B.C. in which Crassus’s army was pitted against a larger force of Parthians, from what is now Iran, bringing to an abrupt halt the Roman Empire’s eastwards expansion. Thousands of Romans were slaughtered and Crassus himself was beheaded, but some legionaries were said to have escaped the fighting and marched east to elude the enemy. They supposedly fought as mercenaries in a war between the Huns and the Chinese of the Han Dynasty in 36 B.C. Some stories say that 145 Romans were taken captive and wandered the region for years.

Evidence for this claim, first proffered by Oxford historian Homer Dubbs in the 1950s, includes: 1) the mention of “fish scale formations”—a formation of overlapping shields — believed to be a reference to "tortoise" phalanx formations made only by Roman soldiers”— by Zhizhi's army; 2) Roman-style palisades found in the wall in the town where Zhizhi lived; and 3) a city called Liqian in a historical record dated to A.D. 5. At that time Liqian was also the name used by Chinese for Rome. Only two other Chinese cities mentioned had the names of foreign places—Kucha and Wen-suit—and both were given the name of the foreigners that lived there.

Among the biggest promoters of the Roman connection are tourist officials in Liqian who have erected a statue of Roman next to ones of a Han Chinese and a Muslim Hui Chinese, and built a new museum with a skeleton said to be of a Roman, found in a 2000-year-old tomb, and charts that show Roman physiological features found among the local people. As of the mid-2000s the town boasted a luxury hotel for tourists, an “Imperial City Entertainment Street” and a Caesar Karaoke bar. A statue at the entrance of the nearby town of Yongchang, shows a Roman legionary standing next to a Confucian scholar and a Muslim woman, as a symbol of racial harmony.

Caucasian DNA Found in Remote Chinese Villagers: Evidence of Romans in China?

20120224-military_clothes_National_Military_Museum_Bucharest_Romania.jpg
Roman armor
Caucasian-originating DNA has been found among villagers in remote parts of China. While some see this as evidence of Roman ancestry; others point they could be other sources of the Caucasian DNA could be Sogdians from Central Asia; Eastern Iranians: Bactrians, Saka Scythians or Tocharians or other peoples that spoke Indo-European language (which gave birth to English an many other European languages) or have some roots in Europe and the West.

In 2010, Nick Spence, wrote in The Telegraph: “Genetic testing of villagers in a remote part of China has shown that nearly two thirds of their DNA is of Caucasian origin, lending support to the theory that they may be descended from a ‘lost legion’ of Roman soldiers. Tests found that the DNA of some villagers in Liqian.... was 56 per cent Caucasian in origin. [Source: Nick Spence, The Telegraph, November 23, 2010]

“Many of the villagers have blue or green eyes, long noses and even fair hair, prompting speculation that they have European blood. A local man, Cai Junnian, is nicknamed by his friends and relatives Cai Luoma, or Cai the Roman, and is one of many villagers convinced that he is descended from the lost legion. Archeologists plan to conduct digs in the region, along the ancient Silk Route, to search for remains of forts or other structures built by the fabled army. “We hope to prove the legend by digging and discovering more evidence of China’s early contacts with the Roman Empire,” Yuan Honggeng, the head of a newly-established Italian Studies Centre at Lanzhou University in Gansu province, told the China Daily newspaper. Maurizio Bettini, a classicist and anthropologist from Siena University, dismissed the theory as “a fairy tale”. “For it to be indisputable, one would need to find items such as Roman money or weapons that were typical of Roman legionaries,” he told La Repubblica. “Without proof of this kind, the story of the lost legions is just a legend.”

In 2007, Richard Spencer wrote in The Telegraph, “Scientists have taken blood samples from 93 people living in and around Liqian...more than 200 miles from the nearest city. “I really think we are descended from the Romans,” said Song Guorong, 48, who with his wavy hair, six-foot frame and strikingly long, hooked nose stands out from his short, round-faced office colleagues. “There are the residents with these special features, and then there are also historical records about the existence of these people long ago,” Gu Jianming, who lives near Liqian, said it had come as a surprise to be told he might be descended from a European imperial army. But then the birth of his daughter was also a surprise. Gu Meina, now six, was born with a shock of blonde hair. “We shaved it off a month after she was born but it just grew back the same colour,” he said. “At school they call her ‘yellow hair’. Before we were told about the Romans, we had no idea about this. We are poor and have no family temple, so we don’t know about our ancestors.” [Source: Richard Spencer, The Telegraph, February 2, 2007 *^*]

Cai Junnian “said his great-grandfather told him that there were Roman tombs in the Qilian mountains a day and a half’s walk away, but he had never connected them to the unusual appearance he inherited from his father. Prof Xie Xiaodong, a geneticist from Lanzhou University, cautioned against over enthusiasm. “Even if they are descendants of the Roman empire, it doesn’t mean they are necessarily from the Roman army,” he said. “The empire covered a large area. Many soldiers were recruited locally, so anything is possible.” The issue has split the university’s history department, with some scholars supporting the claim, some rejecting it. Prof Wang Shaokuan poured scorn on Prof Dubs’s thesis, saying the Huns themselves included Caucasians, Asians and Mongols.” *^*

Trade Routes between Europe and Asia in the Roman Era

20080217-170px-BegramGladiator 2n cen greco-roman wiki.jpg
2nd century Vase with
gladiator found in China
According to The Metropolitan Museum of Art: Long-distance trade played a major role in the cultural, religious, and artistic exchanges that took place between the major centers of civilization in Europe and Asia during antiquity. Some of these trade routes had been in use for centuries, but by the beginning of the first century A.D., merchants, diplomats, and travelers could (in theory) cross the ancient world from Britain and Spain in the west to China and Japan in the east. The trade routes served principally to transfer raw materials, foodstuffs, and luxury goods from areas with surpluses to others where they were in short supply. [Source: Department of Ancient Near Eastern Art. "Trade Routes between Europe and Asia during Antiquity", Heilbrunn Timeline of Art History, New York: The Metropolitan Museum of Art, metmuseum.org, October 2000 \^/]

“Some areas had a monopoly on certain materials or goods. China, for example, supplied West Asia and the Mediterranean world with silk, while spices were obtained principally from South Asia. These goods were transported over vast distances— either by pack animals overland or by seagoing ships—along the Silk and Spice Routes, which were the main arteries of contact between the various ancient empires of the Old World. Another important trade route, known as the Incense Route, was controlled by the Arabs, who brought frankincense and myrrh by camel caravan from South Arabia. \^/

“Cities along these trade routes grew rich providing services to merchants and acting as international marketplaces. Some, like Palmyra and Petra on the fringes of the Syrian Desert, flourished mainly as centers of trade supplying merchant caravans and policing the trade routes. They also became cultural and artistic centers, where peoples of different ethnic and cultural backgrounds could meet and intermingle. \^/

“The trade routes were the communications highways of the ancient world. New inventions, religious beliefs, artistic styles, languages, and social customs, as well as goods and raw materials, were transmitted by people moving from one place to another to conduct business. These connections are reflected, for example, in the sculptural styles of Gandhara (modern-day Pakistan and northern India) and Gaul (modern-day France), both influenced by the Hellenistic styles popularized by the Romans." \^/

Books: Milleker, Elizabeth J., ed. “The Year One: Art of the Ancient World East and West," Exhibition catalogue. New York: Metropolitan Museum of Art, 2000. Simpson, St. John, ed. “Queen of Sheba: Treasures from Ancient Yemen," London: British Museum Press, 2002

Sogdians

The Sogdians were the inhabitants of fertile valleys surrounded by deserts, the most important of which was the Zeravshan valley, in today’s Uzbekistan and Tajikistan. The French scholar Étienne de la Vaissière wrote: “This Iranian-speaking people had a fifteen-centuries-long historical identity between the sixth century B.C. and the A.D. tenth century when it vanished in the Muslim, Persian-speaking world. Although the Sogdians constructed such famous towns as Samarkand and Bukhara, they are quite unknown. Only specialists on the Silk Road know that they were among the main go-betweens of the exchanges in the steppe, in Central Asia, and in China during the first millennium CE, and especially between the fifth and the eighth centuries CE. During this period, the “inland silk road” and the “Sogdian trading network” are almost synonymous. [Source: Étienne de la Vaissière, École pratique des hautes, études Sciences historiques, et philologiques, Paris,Silk Road Foundation newsletter]


Transasia Trade Routes AD 1st century


Albert E. Dien wrote in a Silk Road Foundation article: “Western Turkestan, the area of modern Uzbekistan and Tadjikistan, was an important area in the history of the Silk Road. It was the area through which the Road passed, and the inhabitants were very much involved in the commercial activity which took place along its route. This area, known variously as Transoxiana (that is, across the Oxus, or the Amu Darya) or Eastern Iran (meaning really the eastern extension of Iranian culture) is a fascinating area, well worth exploring. It is an area where a number of cultures met, that of the Greco-Roman world, of Iran and India, and to some extent even China. It is a dry, semi-arid area, containing the fearsome Kara Kum and Kyzyl Kum deserts, traversed by some rivers from which water could be diverted into agriculture, and thus support some cities with large populations, really an oasis culture. Trade and agriculture supplied the economic basis of what were important cultural centers. But at the same time, the area abutted on the steppes, and there was almost constant pressure from nomads to the north and east, across the Syr Dary, to move in with their herds and to raid, and if successful, to become the rulers of this rich land. It was in effect the early-comers fending off the late-comers, because the inhabitants of Transoxiana were an Iranian population who had themselves moved in from the steppes and who had settled down. [Source: Albert E. Dien, Silk Road Foundation *=*]

“The area can be divided into three parts, Sogdiana, Fergana and Khorezm. Sogdiana was made up of the Zaravshan and Kashka Daryâ river valleys, Ferghâna is along the upper Syr Daryâ River, and Khorezm is in the delta region of the Amu Daryâ. The Achaemenid empire conquered the area in the 6th century BC, and the names of these areas are recorded in the list of Cyrus' conquests at Behistun. But then the Persians had to defend the area against the nomad peoples, and in fact, Cyrus was killed in 530 BC while fighting the Massagetae to the east of the Caspian. There followed periods of rule by the Seleucids, the Bactrian Greeks, the Parthians, the Kushans, and then a new nomadic group, the Hephthalites (or White Huns) fresh off the steppes, who helped put an end to the Kushan empire. Then came the Sasanians, whose rule lasted until their conquest by the Arabs in the 7th-8th centuries. *=*

“Ferghâna was especially noted for its horses, and these early on attracted the attention of the Chinese who wanted to improve the breed they used for their cavalry. An envoy was sent to purchase the desired animals, but was not only turned down, but was killed. General Li Guangli was then sent in 104 BC with an army of 60,000 over the Pamirs to seek revenge and to bring back the Fergana horses, known to the Chinese as "blood-sweating" or "heavenly" horses. Li besieged the city of Tashkent, but failed to take it and returned with the remnant of his army. Reaching the frontier of China, he asked for permission to proceed on to the capital. This was denied him, reinforcements were sent, and he was told not to come back without the horses. This gave him added determination, and the second expedition was successful, returning in 101 BC with 1000 horses. This marked the start of Chinese activity in the area west of the Pamirs, which was sporadic to be sure, but which did not end until the defeat of a Chinese army by a joint Turkish-Arab force in 732. *=*

Early Sogdian Trade

Étienne de la Vaissière wrote: “The contemporary Sogdian, Chinese, Arabic, Byzantine, and Armenian sources describe the Sogdians as the great traders of Inner Asia. They managed to sell their products - musk, slaves, silverware, silk and many other goods - to all the surrounding peoples. A Greek text describes their trading embassies to Byzantium, some caravaneers’ graffiti prove that they were in India, Turkish vocabulary is a testimony to their cultural and economic power in the Turkish steppe...But their main market was always China. The Chinese branch of their network is by far the best known, and in China the number of new discoveries on the Sogdians is quickly growing. [Source: Étienne de la Vaissière, École pratique des hautes, études Sciences historiques, et philologiques, Paris,Silk Road Foundation newsletter]


Sogdian merchants

According to the Encyclopedia Iranica: “The people of Sogdiana were the main caravan merchants of Central Asia from the 5th to the 8th century. Little is known of the origins of Sogdian trade. The first mention of Sogdian merchants is found in the Shiji (Shih Chi), written around 100 B.C. and based on reports by the earliest Chinese envoys to Central Asia: “Although the states from Dayuan west to Anxi speak rather different languages, their customs are generally similar and their languages mutually intelligible. The men all have deepset eyes and profuse beards and whiskers. They are skilful at commerce and will haggle over a fraction of a cent” (Sima Qian, in Shiji, chap. 123, p. 3174; tr. Watson, p. 245). [Source: Encyclopedia Iranica +++]

Archeology bears witness “only to limited regional trade in Sogdiana (turquoise from Fergana to Samarkand), contrasting with that of the neighboring regions (Chinese imports to Fergana). The economy appears to have been very little based on money and, rather, to have been dominated by agricultural exchange. China of the Han period sent numerous embassies with a large number of rolls of silk and other products of the empire, in order to ingratiate itself with the nomadic aristocracies (Yuezhi, Wusun, Kangju) who dominated political life in Central Asia, so as to fight against its Xiongnu enemies. The Sogdians traded with the Chinese envoys on a small scale, while in Bactria and Gandhara merchants discovered how much they would be able to benefit by developing a market for Chinese silk in India, Iran, and the Hellenized Near East. The latter decided to re-export the silk brought by the embassies and even took the road to China, pretending to be ambassadors so as to buy the silk right at its source (Han shu 96 A, p. 3885; tr. Hulsewé and Loewe, p. 109). The Sogdians were to imitate them. In 29 and 11 B.C., ambassadors from Kangju, a nomad state centered on the middle reaches of the Syr Daria but at that time including Sogdiana, presented themselves at the Chinese court pronouncing the word “commerce” (Han shu, chap. 96 A, p. 3893; tr. Hulsewé and Loewe, p. 128). +++

“The unification of southern Central Asia and northern India within the Kushan empire during the first and third centuries of our era further reinforced the importance and prosperity of the powerful merchants from Bactria and Taxila and led to the creation of the main economic center of the Middle East. Buddhist sources show that Sogdian merchants, who were not on the main roads situated farther to the south (Ptolemy, tr. Ronca, pp. 31-36, misplaces Samarkand) emigrated as far as India, benefiting from this prosperity (biography of the monk Kang seng hui [Seng-Houei], born in the early 3rd century, tr. Chavannes, 1909, pp. 199-200; Grenet, 1996). The Sogdians were then the pupils and apprentices of the Kushan merchants. Part of the commercial Sogdian vocabulary is of Bactrian origin (Sims-Williams, 1996, pp. 50-51). +++

“The Sogdian commercial network grew sufficiently to ensure that in the early 3rd century, in Gansu, the representatives of Kushan and Sogdian merchants were placed on the same level and together participated in political negotiations (Sanguo zhi, chap. 4, p. 895). However, the main proof of Sogdian commercial expansion in the direction of China is provided by a set of letters, the Sogdian Ancient Letters (tr. Sims-Williams, 2001; Grenet, Sims-Williams, and de la Vaissière, 2001). Written in 313 in the Gansu corridor, these show the presence of Sogdian merchant communities in the main cities of the region, as well as in inner China. They also show that the merchants were organized within networks. The second letter, written in Gansu, is addressed to Samarkand. The descendants of the Kushan rivals are also mentioned in this text, since the Indian (?yntkwt) and Sogdian communities of Luoyang had been decimated by famine. It is hard to tell what became of the great trade during the following century, but in 439 the Sogdian merchants were the main foreign merchants in Gansu (Wei shu, chap. 102, p. 2270; Enoki, 1955, p. 44). From the same period, in the passes of the High Indus, are found more than 600 inscriptions by Sogdian caravaneers, against only about ten Bactrian inscriptions (Sims-Williams, 1989, 1992)—a fact which gives evidence of the replacement of Bactrian merchants by Sogdians.” +++

Sogdiana and the Silk Road

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Sogdian merchant
The Sogdians were centered in what is now northern Tajikistan and southern Uzbekistan (Raspopova and Shishkina, 1999). From the fifth to the eighth centuries, the Sogdians were the main caravan merchants of the Silk Road which passed through the Sogdian cities of Samarqand (their capital) and Bukhara (Vaissiere, 2004). The Sogdians also established extensive colonies in what is now western China. Their influence was so extensive that Sogdian, an east-Iranian language, was the lingua franca of Central Asia during the seventh century (Dien). The region to the south of Sogdiana, Ustashana (also called Sorushna) was also populated by Sogdian speaking people (Negmatov, 1999). Its capital, Bunjikat, was near present day Istravshan in northwest Tajikistan (Bosworth, 2005). The dialect of Sogdian spoken in Ustrashana in the eighth century has been identified through lexical and phonological similarities as the language from which modern Yagnob has descended (See Below).[Source: Bahrom in History, Yagnob.wordpress.com. October 15, 2007]

Albert E. Dien wrote in a Silk Road Foundation article: Sogdiana was more actively involved with the Silk Road. The names of its major cities, Samarkand and Bukhârâ, must call to mind the area and significance they had for the Silk Road. Even in the earliest period, before those cities were founded, the Sogdians were the major participants in the Silk Road caravans, their language became the lingua franca across Asia, their alphabet the source of later alphabets to the east, they carried with them such religions as Zoroastrianism, Manichaeism and Nestorian Christianity. They were a strong presence in the markets of the capitals of China, and some letters of the early 4th century, found in a tower of the Great Wall, reveal that the various Sogdian colonies in Central Asia kept in touch with the "home office" in Samarkand. [Source: Albert E. Dien, Silk Road Foundation *=*]

“The several Sogdian principalities, mostly small, were formed in antiquity, and some minted their own coinage. Many were at least nominally subject to Samarkand, but their situation would change with each new "super power" that exerted control over the area. For a time, for example the Turkish khagans on the steppes supported the Sogdian rulers, protected Sogdian trade, and employed Sogdians as officials and diplomats. The Chinese were also treated as overlords in the 7th century, but as distant ones, and Sogdiana suceeded in gaining its independence. During that 7th century there was rapid development of the capital at Samarkand, there was an expansion of trade, as evidenced by the abundance of coins, there was progress in silk weaving and handicrafts, and the Sogdian merchants not only thronged the Silk Road east to west, but also the "Fur" road, north to the Urals. The many silver and gilded vessels found through Central Asia and in China are now believed to have been manufactured in Sogdiana, not in Iran to the west. *=*

“With the coming of the Arabs in the later half of the 7th century, there were important changes. Iran had been conquered and there were raids across the Amu Darya, but in the early 8th century, the conquest of Transoxiana began in earnest. The governor-general of Khurâsân, the great general Qutayba ben Muslim, in 706 to 712, took over, and the local rulers became the vassals of the Arabs. There were some local uprisings, the area suffered from the campaigns, some of the cities being abandoned or destroyed, and with the change in the caliphate dynasty, from the Umayyads to 'Abbâsids, in 750, came large scale conversions to Islam. *=*

“We must not think that the Sogdians were simply passive subjects of the various powers which came to rule over them. During and between those periods of outside rule, a number of city-states had grown up, very decentralized, with an elite of knightly landowners lording it over large, irrigated estates, and rich merchants who were on a social par with the knights. Though some scholars have likened the social and political situation to that of feudalism, actually that is going too far. There was little stability in succession of rule, and it would seem that the community, or some segment of it, had a say in the selection of rulers. Bukhara, for example, had no ruler, and in the case of Pendzhikent, the city had its own income and own officials. Sogdian society thus displayed a highly developed economy but a weak state system, with little centralization. It was this lack of centralization that made the area so vulnerable to the attack of the Arabs.” *=*

Parthians and the Silk Road

Silk began reaching Europe from China and India in significant amounts via Persia when Persia was ruled by the Parthians (274 B.C. to A.D. 226). The Parthians loved silk. In the early days of the silk trade they traded ostrich eggs for it. When their empire was at its height, Parthian armies carried great banners made of silk into battle. The first complete east-to-west land routes were linked together under the Parthians. They controlled strategic trade centers in the Middle East and many stops on what became the Silk Road passed through their empire. Some scholars argue that the Silk Road was formally founded when Parthia and China exchanged ambassadors and made trade agreements on the caravan route between them in the 2nd century B.C.

The Parthian empire was the most enduring of the empires of the ancient Near East. It began as a small kingdom of tribal warriors in northeast Persia. After the Parthians defeated the Seleucids — a Macedonian dynasty that ruled in the Asian territories of the former Persian Empire — they controlled most of Persia, Mesopotamia and parts of eastern Arabia. At its height, the Parthian empire occupied all of modern Iran, Iraq and Armenia, parts of Turkey, Georgia, Azerbaijan, Turkmenistan, Afghanistan and Tajikistan, and -for brief periods- territories in Pakistan, Syria, Lebanon, Israel and Palestine. The Parthians endured from 250 B.C. to A.D. 229 until they were replaced by the Sassanians, another Persian dynasty. The Parthians are often called the second Persian Empire and were one of the great rivals of Rome.

The Parthian Empire was a major Iranian political and cultural power in ancient Iran founded by Arsaces I, the leader of the Parni tribe of nomadic horsemen. Its name comes from Parthia, a region in northeast Iran conquered by Arsaces I in the mid-3rd century B.C. when it was a satrapy (province) in rebellion against the Seleucid Empire. After that Parni nomads settled in Parthia and built a small independent kingdom. They rose to power under king Mithradates I of Parthia (171-138 B.C.). Also known as Mithridates the Great, he greatly expanded the empire by seizing Media and Mesopotamia from the Seleucids. The empire, located on the Silk Road trade route between the Roman Empire in the Mediterranean Basin and the Han Empire of China, became a center of trade and commerce.

Edith Porada, a professor of art history and archaeology at Columbia University, wrote: “Mithradates I called himself 'Great King', thereby manifesting the Parthian claim to the heritage of the Achaemenids. Instead of the massive military campaigns of the Achaemenids toward the west, however, the method and direction of Parthian expansion took the form of caravan trade toward the east. [Source: Edith Porada, Iran Chamber Society ||||]

“Within the territory of Mithradates II (123-88/87 B.C.) --the ablest of the Parthian rulers--caravan trade could proceed unhampered from Dura Europos in Syria to Merv in Turkmenistan. From there the caravans would continue to Central Asia until they reached the place where Chinese merchants or their envoys took over the wares for further transport to the Far East. Tentatively this place has been identified as Tashkurgan on the upper Yarkand river. Riches brought in through trade accumulated in the treasuries of the Parthian empire. Its economic importance in the second century B.C. is documented by a delegation sent to the Parthian capital by the Han emperor Wu-ti (141-87 B.C.). ||||

“The protection of this caravan trade against attacks by predatory mounted nomads required constant vigilance on the part of the Parthian cavalry, whose single-mounted archers probably often had to use their own initiative in a precarious situation. The cavalry could best be maintained by a feudal system in which the army depended on the mobility and valour of the knights and their bowmen. This is the convincing explanation given by Rostovtzeff for the maintenance of a feudal system by the Parthians instead of a centralized autocratic system, such as that of the Achaemenids or Seleucids, which would have seemed more efficient to most modern historians.” ||||

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Nomad Rulers in Northwest China

According to the Asia Society Museum: “The nomads of China's northern borders are frequently portrayed in its histories as barbarians bent only on pillage and destruction. The reality was much more complex. The Chinese and the nomads warred, but they also traded and intermarried, enriching the societies and cultures of both. From the nomads, the Chinese received furs, leather, camels and horses, and technology such as the stirrup, as well as luxuries acquired by the nomads from farther west. Nomads coveted not only the products of the Chinese, such as silk, but their land. Conquest, however, was often followed by the abandonment of a true nomadic life in favor of a more sedentary one and by an intermingling of nomadic and Chinese customs. [Source: “Monks and Merchants,” curated by Annette L. Juliano and Judith A. Lerner, November 17, 2001,Asia Society Museum asiasocietymuseum.org == ]

“Between the fourth and sixth centuries C.E., a series of overlapping short-lived dynasties and kingdoms of nomadic origin jostled for control of northern and northwestern China. Of those that gained control of Gansu, the various Liang kingdoms (314–439), Northern Wei (386–535), and Northern Zhou (557–581) were the most influential. The rulers of these kingdoms were of various origins — the Northern Wei, for instance, were a branch of the Xianbei, a confederation of tribes from the northeast speaking a language that contained Turkish and Mongolian elements. ==

“The turbulent situation is reflected in the contents of tombs shown in this section. The nomadic origins of the elite and the endemic militarism of the period find expression in tomb figures with non-Chinese features and clothing and of armored warriors. Other figures, however, portray civilian officials drawn from the Chinese populace. Foreign luxury goods and coins found in the tombs reveal that, despite the political turmoil, trade with the West continued to flourish.

“These nomad dynasties, moreover, became major patrons of Buddhism, establishing translation centers for Buddhist scriptures, founding temples, and commissioning images and other Buddhist paraphernalia.” This occurred even tough several hundred years earlier the famous Confucian scholar Mencius (c.371–c.289 B.C.) said: “I have heard of men using doctrines of our great land to change barbarians, but I have never heard of any being changed by barbarians.”

Image Sources: Wikimedia Commons

Text Sources: Robert Eno, Indiana University indiana.edu /+/ ; Asia for Educators, Columbia University afe.easia.columbia.edu <|>; University of Washington’s Visual Sourcebook of Chinese Civilization, depts.washington.edu/chinaciv /=\; National Palace Museum, Taipei npm.gov.tw \=/ Library of Congress; New York Times; Washington Post; Los Angeles Times; China National Tourist Office (CNTO); Xinhua; China.org; China Daily; Japan News; Times of London; National Geographic; The New Yorker; Time; Newsweek; Reuters; Associated Press; Lonely Planet Guides; Compton’s Encyclopedia; Smithsonian magazine; The Guardian; Yomiuri Shimbun; AFP; Wikipedia; BBC. Many sources are cited at the end of the facts for which they are used.

Last updated November 2016

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