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2009-2011 JSPS Grants-in-Aid for Scientific Research (B) No. 90454983

EMPIRES, SYSTEMS, AND MARITIME NETWORKS

RECONSTRUCTING SUPRA-REGIONAL HISTRORIES IN PRE-19TH CENTURY ASIA

Working Paper Series 03

February 2011
Asian Empires and Maritime Contacts before the Age of Commerce II

Table of Contents

Mongols in Vietnam: End of One Era, Beginning of Another

Paul D. BUELL

The Port of Thi Nai (Champa) in the East Asian Maritime Trade Network
(10th-15th Centuries)
DO Truong Giang 15

The Eurasian Empire or Chinese Empire ?

The Mongol Impact and the Chinese Centripetal System
YOKKAICHI Yasuhiro 23

THE EURASIAN EMPIRE OR CHINESE EMPIRE ?:

THE MONGOL IMPACT AND THE CHINESE CENTRIPETAL SYSTEM
IN MARITIME ASIA
YOKKAICHI YASUHIRO
Kyushu University

Who Ran the Empire ?

Some scholars underestimate the active role of states or empires in maritime interaction
as they emphasize a transnational perspective. We can consider, however, that it is
characteristic that Chinese Empires interposed on people and people took advantage of
the empires power. The periods from the Song to Ming periods were very important in
the sense that Chinese Empires expanded as the Eurasian Empire during the Yuan
period and that converged with the Chinese Empire in the mid-Ming period.
It is obvious that the Mongol Empire had an impact on the interactions of people,
commodities and culture throughout Eurasia in the thirteenth and fourteenth centuries.
Then, who ran the empires? Some scholars underestimate history of empires as like a
heroic history from the viewpoint of certain emperors and their entourage. We sometime
get the impression that the behavior of the emperor was directly equal to the motives of
the empire. Actually, the emperor was seated at the center of the political system of the
empire. In addition, the qaans of the Yuan dynasty had greater power and authority
than the emperors of the Song dynasty, which was restrained by a solid bureaucracy.
Viewed from an economic aspect, however, although the qaan (emperor) and imperial
families had significant wealth, the total influence of the Mongolian princes, who
outnumbered them, was greater.1 Specifically, it is no exaggeration to say that the amount
1

The distribution from the qaan (emperor) shared by each prince was called qubi in Mongolan sources,

of silver owned by the Mongol princes surpassed that of the emperor from the viewpoint
of silver circulation between eastern and western Eurasia. 2 The individuals that
managed their silver were the privileged merchants employed by the Mongol princes as
ortu.3 It is believed that most of them were powerful Muslim, Uighur and Chinese
families that made connections with the Mongol princes through local societies in China.
From an economic perspective, at the very least, several social groups tied to the empire
like the ortu merchants sustained hegemony of the empire over Maritime Asia.
A Flood of Silver in the Eurasian Trade Sphere
As is commonly known, the flood of silver ingots formed the structure for the circulation
of commodities between east and west Eurasia in the period of the Mongol Empire.4 The
Yuan government changed this financial system based on silver to one based on paper
money or cao and silver disappeared from the forefront of the Yuans financial system.
Where was the silver after this? In the Yuan period, compared with the period of the
Mongol empire, amount of silver revenue decreased, but, silver in China and its
neighboring areas never run out. When the Yuan took over the Songs finance, a great
deal of silver was fallen into the Yuans finance. In addition, some new silver mines were
found out in the Yuan period. Such silver was not factored into the governmental finance,
but given to the Mongolian princes as imperial grants.5
So far as Chinese sources are concerned, we cannot follow detail of the using silver
by Mongolian princes any more. However, from the viewpoint of Eurasia, it is certain
that silver flowed on a large scale from east to west in the second half of the thirteenth
and the first half of the fourteenth centuries. Earlier, before the twelfth century, silver was

that was engaged a certain amount a year (See Murakami 1961, pp.191-198; Ebisawa 1961, pp.19-21; Ebisawa
1962, pp.52-58). That was also called suici in Chense sources, that was bestowed mainly with silver and
silk in the period of the Mongol empire and early Yuan and with silver, silk and paper money in the mid and
later Yuan period (See Yuanshi , j.95, shihouzhi 3, suici (Yuanshi/jiaodian, pp.2411-2447)).
2 The silver-based finance of the Yuan dynasty was shifted to the cao()-based one during the prior
period of Shizu Qubilais reign. But silver was also used to be distributed from qaan to Mongolian
princes and such silver was spend as funds of trade, construction, religious acts and so on by Mongolian
princes.
3 It is highly possible that, in particular, overseas trade by ortu merchants was one of valuable and
useful investment for them. For a discussion of ortu merchants and Mongolian princes, see Murakami 1942,
Allsen 1989 and for futher detail of ortu merchants under Yuan China, see Endicott-West 1989, Moriyasu
1997, Gao 1999 and Xiu 1999.
4 The silver ingot called blish was in circulation under rule of the early Mongol empire, which was used
to payment for the merchants including ortu dealing with the Mongol court. cf. T.Jahngush, j.1. zikr-i
sdirt-i afl-i Qan. (Jahngush/Qazwn, vol.1. pp.161-191.) See also Uno 1987, pp.204-218; Moriyasu 1997,
pp.9-13.
5 As for silver as the distribution to Mongolian princes in the Yuan period, see Kobayashi 1962,
pp.100-103.

THE EURASIAN EMPIRE OR CHINESE EMPIRE ?

a chronic shortage in the Islamic economic sphere at the heart of Cairo, but, in the
ensuing thirteenth century, the shortage of silver was resolved all at once. Robert Blake
thought that flow of Chinese silver up to the Yuan period was causally related to this
phenomenon. 6 Then, Otagi Matsuo considered the activities of ortu
merchants with silver capital and reinforced Blakes view.7 Furthermore, according to
Kuroda Akinobu , the amount of silver minted in Europe increased on the
whole between the thirteen and fourteenth centuries.8 So, we can see that there were
three increases in the annual amount of silver minted in London, namely in the 1280s, the
1300s and the 1320s.9 It is believed that this silver did not come from within Europa, but
flowed from China via the Islamic world, because the patterns of increase and decrease
of silver minting in London coincide with those of the Bengal Sultans silver coins, rather
than those of Ktona Hora in Bohemia or Igresias in Sardinia.10 In the fifteenth century,
after the collapse of the Mongol regimes in east and west Eurasia, European and Islamic
countries again faced a severe shortage of silver again. Added to these, futher evidence to
show that Chinese silver under Mongol rule flow to Islamic countries had been found
recently. According to the Nr al-Ma'arif f Nuzum wa Qawnin wa A'raf al-Yaman f
al-Muzaffar al-Wrif, the new source material found in Yemen,11 Chinese silver was used
to be brought to the port of Aden under the Raslid dynasty by Muslim merchants in
south India called sliyn in the early fourteenth century.12
Whom was such Chinese silver brought from? It is highly possible that such silver
was brought from the Mongolian princes. The trade capital of the ortu merchants in the
Yuan dynasty was the silver possessed by the Mongolian royal family and the princes.13
After the ortu merchants were made come under the control of the wotuo zongguanfu
and quanfusi in connection with the organization of the Yuans
bureaucratic system14 and the economic unit of the Yuans financial base was changed
from silver to paper money or cao , the operation of fund provided to ortu was also
changed the paper money basis.15 But, this was only in respect of the ortu belonged to
Blake 1937, p.30; Yokkaichi 2009a, p.91.
Otagi 1973, p.163-201; Yokkaichi 2009a, p.91.
8 Kuroda 2009; Kuroda 2008. pp.12-51.
9 See Miskimin 1983.
10 Kuroda 2008, pp.19-22; Abdul Karim 1960, pp.9-65.
11 For this material source, see Lambourn 2008, pp.60-61.
12 Nr al-Marif, j.1, p.496; Yajima 2006, p.578; Yokakichi 2008, pp.77-78; Yokkaichi 2009a, pp.92-93; .
13 Yuanshi, j.11, shizongji 8, the yisi day of 11th month in zhiyuan
17
(Yuanshi/jiaodian, p.227). the quanfusi was established, which charges accounts of gold and silver in the ulus
of qaan, crown prince, empress dowager and princes.
14 Murakami 1942, pp.71-78; Endicott-west 1989, pp.133-139. And, see also note 13.
15 Yuanshi, j.16, shizongji 13, the bingxu
day of 4th month in zhiyuan 28 (Yuanshi/jiaodian, p.346),
An imperial decree was issued as follows: we impose the rule that those have borrowed silver as the ortu
fund must refund in cao (paper money), and see also Wu 2006.
6

the central finance of the Yuan. Compared with this, the ortu belonged to the Mongolian
princes were kept on the silver basis. In the second quarter of fourteenth century, namely,
the eras of Wuzong Qaishan and Renzong Ayur Parivadra, quanfusi and its
branch office, xing-quanfusi were disestablished.16 This does not mean ortu
merchants were abolished or the system was shifted over the traditional Chinese style
the uniform management by the Yuan central government came an end and ortu
merchants were released from restriction of the central finace. In other words, the scene
of their activities shifted relatively from public trade by the Yuan government offiices to
privete trade by the Mongol princes. It is easily conceivable that the trading capital of
ortu merchants belonged to the central government or court of the Yuan also went back
silver basis. As mentioned above, silver of the Mongol princes kept on playing very
important role as trading capital of the ortu merchants during the Yuan period. Thus,
the circulation of silver from east to west in Eurasia was supported by the silver of
Mongolian princes.
Empires and Local Societies: Diaspora and Widespread Societies of Muslim and
Chinese
Considering the background of the trade activities by ortu merchants, it can be thought
that their relationships with the powerful families in local societies as Mukai Masaki
pointed out were more important than those that they had with the Mongolian
princes.17 However, we should take account of not only the localization of non-Chinese
including Muslims in China, but also dominant Chinese families including emerging
peoples. In particular, dominant families known as guanhao
had significant
influence in local societies by producing the government officials and conducting
business activities as trade or land ownership.18 It was not until successive Chinese
dynasties take over local dominant families or the guanhao that they were able to have
effective control over local societies.19 Local dominant families also required the backing
of a government for the benefit of themselves. Therefore, some of them were often
appointed as government officials and also engaged in governmental trade as ortu.20
Yuanshi, j.23, Wuzongji 2, the guihai
day of 2nd month in zhidai
2
(Yuanshi/jiaodian, p.510); j.24, Renzongji 1, the gengchen day of 5th month in zhidai 4
(Yuanshi/jiaodian, pp.542-543). See also Murakami 1942, pp.78-80.
17 See Mukai 2007, Mukai 2008 and Mukai 2009b and Mukai 2010.
18 As for guanhao in the Yuan period and their influence on local societies in South China, see Uematsu
1968, pp.309-325; Uematsu 1989, pp.222-223, pp.245-254. For the Zhu clan and Zheng clan in Jiangsu
district who were well-known guanhao, for example, see also Fujino 1954, Uematsu 1968 and Yokkaichi 2006.
19 Some dominant families of Chinese and Muslim in South China or guanhao formed collaborative
relationships with each other as well as Mongol generals. cf. Yokkaichi 2006.
20 For example, the Yang clan in Hanpu was a haomin (dominant family) who held
official posts of the Song and Yuan and conducted forign trade. They were, in the Yuan period, used to
16

THE EURASIAN EMPIRE OR CHINESE EMPIRE ?

Their role as intermediary cannot be disregarded when we consider the relationship
between the hegemony of Chinese or Eurasian empires over Maritime Asia and the
prosperity of maritime interaction. To understand their role in the Song-Yuan-Ming
transition, we should examine the multilayered structure of Chinese societies and the
localization of non-Chinese.
For example, Muslims in the Song period spread around Maritime Asia and formed
their communities in coastal cities in China and other regions. In China, they gradually
put down their roots at each local society, but had a sense of belonging to their own
homelands by maintaining their connection with Islamic places. The Song court gave
them official ranks but most of them were merely notional one. In the Yuan period,
Muslims coming via maritime route as well as from inland area including Khrazm
(Khwarizm) and Horsn who offered the Mongols their allegiance entered China in
great numbers.21 At the same time, some Muslims were appointed to official posts in the
nucleus of the central or local governments. Hereby, several Islamic families, despite not
being Chinese, obtained leading positions in their local societies. Such situation was seen
until the early Ming period. As a result, the bridge of interaction between China and
Islam was maximized in the late fourteenth and early fifteenth centuries.
Meanwhile, the maritime diaspora of the Chinese also gained momentum after the
Song period and Chinese communities were formed around East Asia and Southeast
Asia. For example, tb in Hakata , which Yamauchi Sjinji dealt
with, was one of such communities.22 This medieval site in Hakata offer us a good deal
of information about the Chinese community in Maritime Asia. Judging from the case of
Hakata, the wave of Chinese diaspora arose several times. In response, the localization of
Chinese was also repeated several times. Turning our eyes to western Indian Ocean,
although Chinese junks could sail to the western coast of India in the Yuan period and to
the Persian Gulf and Red Sea during the early Ming period, we cannot find any evidence
of Chinese communities in those periods around the western Indian Ocean.23

undertake Nanhai trade with government and private funds as ortu. See Huang Jinhuaji, j.35.
Sonjiang-Jiading-dengchu Haiyun-Qianhu Yangjun Muzhiming , In dade
5 (AD1305), when he (Yang Shu ) was nineteen years old, the zhiyongyuan made him to
sail on a ship sponsored by the government to Xiyang (Indian Ocean). For detailed arguments for the
Yang clan at Hanpu, see Chen 1995 and Yokkaichi 2006.
21 For Muslim under the Yuan, see Rossabi 1981, Mukai 2009a and for discussion of Muslim merchants
coming south China via maritime route, see Caffee 2008 and Caffee 2009, and see also Ibn Batttah, Rihlah.
hikayat al-Zaytn (Batttah/Sanguinetti, vol.4, pp.281-287.)
22 Yamauchi 2010; Oba et al. 2008, pp.33-35.
23 Yokkaichi 2008, pp.83-87.

The Collapse of Eurasian Trade Sphere and Emergence of the Eastern Asian Trade
Sphere
There is a gap in understanding between the age of commerce in Southeast Asia
pointed out by Anthony Reid and the age of the Eurasian trade sphere caused by the
Mongol impacts.24 Judging from the conclusion, it lies in the differences between the
perspectives or frameworks being dealt with.
It is beyond question that the Mongol impacts caused the formation of the Eurasian
trade sphere. Yet, the localization of Muslims in China had already begun under the
Song. Mongol rule over Eurasia was based on such successive factors. The flowering of
Eurasian trade continued until the mid-Ming period. However, the conditions of
governmental trade differed between the Yuan and Ming. The Yuan government
practically entrusted its trade to merchants without strict limits, while governmental
merchants in the Ming period were restricted to their trade under the direct control by
the Ming government.25 Besides, after hongwu 7, private trade was prohibited with
abolishment of shibosi . During the yongle era after that, nonetheless, trade
with the tribute system of the Ming reached the heights of prosperity. The trade with the
tribute system includes not only trade with dispatching a tribute to the Ming but also
trade with dispatching an envoy for zhaoyu (to encourage a tribute) from the Ming.
When the fleet of ships taken control of by the admiral Zhenghe was dispatched to
the Indian Ocean, some squads with various gifts and goods also went together and then
directly dealt with Islamic countries around the western Indian Ocean. Consequently, we
can say, in the sense of the word, that the Eurasian trade sphere kept on since the period
of the Mongol empire got maximal in that time. The Ming dynasty reinforced the
structure of new Chinese empire politically by establishing the tribute system during
the hongwu and yongle eras, but also kept the legacy as the Eurasian empire from the
Yuan economically. However, such interaction with Islamic countries in this period was
not a fruitage by private initiative, but a result by political initiative. Therefore, the change
of political condition, what to say, the flaccidity of the tribute system in the fifteenth
century led directly to the collapse of trade connection with Islamic countries. Although
the interaction between China and Islamic countiries reached its peak in the yongle and
xuande eras, when the Oirad expanded their power in Mongolia and overcame the
Ming troops in the Zhengtong era, the diplomacy of the Ming went inactive. With
this, Muslims in China gradually lost the connection with their homeland in Islamic
countries and their sense of belonging to there.26
As to the former, See Reid 1988. About the Eurasian trade sphere see Yokkaichi 2008, pp.91-93 and
Yokkaichi 2009b.
25 For the overview of trade under the tribute system of the Ming, see Okamoto 2008, Danjo 2005 and so
on.
26 After this period, Muslim merchants hid themslves from the eastern area of Maritime Asia.
24

THE EURASIAN EMPIRE OR CHINESE EMPIRE ?

At the same time, such a situation was not seen in Southeast Asia. Muslims in
Southeast Asia, including early Hadhram, maintained their connection with Islamic
countries.27 The vector of their trade activities mainly faced westward from the Straits of
Malacca. In contrast, the vector of Chinese merchant activities faced north-eastward from
the Straits of Malacca. After the Zhengtong era, the Eurasian trade sphere was divided
into the Eastern Asian trade sphere and the Indian Ocean trade sphere. The distribution
ranges between Chinese Diaspora and Muslim Diaspora went out of alignment with
each other and Muslim traders disappeared from the northern part of the South China
Sea. This division of the Eurasian trade sphere enhanced the importance of Southeast
Asia as a trading hub. Especially in the Eastern Maritime Asian trade sphere, we can see
that a primitive form of the Intra Asian trade sphere began to build up. Nonetheless, the
basis of this trade sphere did not suddenly form overnight. It was formed by degrees
after the Song period with the development of the Dongyang maritime route. The
Nanhai route from Fujian to the Indian Ocean was composed of the Xiyang
maritime route via Guangzhou and the Vietnam and Dongyang maritime routes
via the Philippines and Brunei. On the one hand, the Xiyang route was prosperous as the
main route to the Indian Ocean between the Song and Ming periods and on the other
hand, some countries along the Dongyang route including Liuqiu , Japan, Sham,
Malacca and so on, played prominent roles with Chinese merchants in the early-Intra
Asian trade sphere after the late fourteenth century.
As mentioned above, it can be said that maritime interaction during the Song, Yuan
and Ming periods included the two currents as the Eurasian trade sphere and the
eastern Asian trade sphere (namely, the early Intra-Asian trade sphere). These
currents were not a dichotomy between the two, but coexisted simultaneously with each
other. 28 Before the collapse of Eurasian trade sphere, germination of Asian trade sphere
had already begun. The Yuan and Ming dynasties, to greater or lesser degrees, had both
the features of the Chinese empire and Eurasian empire, but the Ming, after the
mid-fifteenth century, lost the stance as the Eurasian empire entirely. In that time, the
blance of power in eastern Maritime Asia was also based on the hegemony of the
Chinese empire. After this, in East and South China Sea, Muslim diaspora faded out and,
on the other hand, Chinese diaspora became more and more activated regardless of the
sea ban by the Ming government.29 To understand the influence of transformation from
the Eurasian empire to the Chinese empire on Maritime Asia, we must draw attention
not only a regime of empire but also structure of widespread and multilayered societies
under the hegemony of empire including Muslim and Chinese diasporas and a relation
among each diaspora.
On this subject, see Serjeant 1988.
Yokkaichi 2009b.
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28

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