G.B. Habizhanova¹, A.M. Almagambetova². ¹Professor, Doctor of Historical Sciences. ²PhD candidate, al-Farabi Kazakh National University. Almaty, Kazakhstan.


«edu.e-history.kz» электрондық ғылыми журналы № 1(21) қаңтар-наурыз 2020

Тегтер: processes, ethnic, tribes, Turkic, Karakhanids, Oghuz, Keywords:, relationship, Central, Asia, protonations.
Abstract. The article considers the aspects of relations between the Turkic tribes of Karakhanids with Oghuz tribes in X – XII centuries. The relations among these people varied according to the political situation occurred in Central Asia. This period has a lot of gaps due to lack of sources and necessary information. Accordingly, it is vital to investigate more on this period and let our historical knowledge about Middle Ages develop respectively. The Karakhanid epoch differs from all others by the news in religious, political and ethnic spheres. It gave an impetus to establish new order in the territory mentioned people. These people through the relations with others managed to find and form the ethnicities which we have nowadays. All ethnic processes were conditioned by very closely inter-tribal contacts in the framework of Karakhanids state, which resulted in the formation of central component around which an active ethnogenesis took place, which in turn defined linguistic and cultural specificity of the Turkic protonations. This research gives us an opportunity to understand the role and place of the Karakhanids in that historical period and to realize that relations of tribes were based on the alliance for military purposes and political struggle. Obviously, the features of that time made a contribution to the linguistic and ethnic changes in political entities.

Introduction. There are many studies on the history of the Turkic states in the Middle Ages, including the Karakhanid state, but little attention has always been paid to foreign policy. A separate study will allow a more complete description of the available written evidence of the policy of the Karakhanids in relation to such states as the Ghaznavids, Seljukids and Khorezmshahs. The determination of the role of medieval Kazakhstan in the international political space, the elucidation of the significance of a given state among other Muslim states, and the establishment of the level of relations with the Arab caliphate are of no small importance for studying the medieval history of Kazakhstan. The resulting materials can be used in the process of teaching at universities. The relations between any of political formations are significant for the development of these entities not only from political aspects, but also for ethnic, economic, social and cultural spheres. The altering situation in the world space forces people and countries to act according to its stream, moving people from place to place, changing the history. Thus, the aims of this research are to understand the reasons and consequences of relations between the tribes of Karakhanid state and the Oghuzes, to be familiar with the time pressures, the limited options, and other constraints that continually shape statecraft. To reach these aims authors appointed several objectives like consideration of countries in medieval Central Asia and their tribal composition, the analysis of the international situation of the given period, the study of the features in relationship between the tribes of Karakhanid state and the Oghuzes. These relations played an important role in history of people who passed through this territory and left the traces which affected the formation of new countries and ethnicities. The consequences of these historical events are inevitable components of the awareness of national identity for young countries like Kazakhstan.

Methods.The issue on relations among the Karakhanids and the Oghuzes is the part of complicated research about the foreign policy of the Karakhanids. Thus, the investigation about the negotiations of the Karakhanids with another people carries the role of one of the components in one complicated historical reality. The study of this topic requested the multidisciplinary approach including history, ethnography, international relationships, etc. In the study there were widely used the general and individual scientific methods and principles like dialectics, systematic analysis, structural-functional, logical-legal, comparative-historical, comparative-legal, methods of historical-legal analysis, retrospective analysis, method of historicism, as well as analysis, synthesis, deduction, induction, etc. Apart of these methods and principles some special types of analysis were used for categorizing and discussing the meaning of words, phrases and sentences as the means of content analysis. For coding and closely examining the data to identify broad themes and patterns was used thematic analysis. As the part of discourse analysis researchers studied communication and meaning in relation to their social context.

Discussion. Medieval history of the territory of modern Kazakhstan has a lot of unknown phases and one of them is the history of Karakhanid state. The Karakhanids and their history are common for all Turkic speaking people of the world. Thus, we have a considerable amount of researches done by scholars starting from the end of XIX century until nowadays, if not taking into account the main historical sources written by Arabic and Persian contemporaries of the period of the Karakhanids. Medieval authors like Ibn Khordadbekh, al-Masudi, al-Aufi, and ibn al-Asir gave the most important information about the relations of different tribes and the Karakhanids. Among the authors who studied these medieval sources and made worthless contribution to the historical knowledge we can find prominent scholars like V.V.Bartold, B.G.Gafurov, S.G. Klyashtornyy, etc. One of the well-known works on the history of the Karakhanid state in Soviet times is the work of O. Karaev. In his «History of the Karakhanid state», the author pays great attention to the history of the study and the sources of the Karakhanid period, where he considers works from the 19th century to the 80s of 20 century. The author also gives a detailed analysis of the historical and geographical sources of Arab and Persian authors on this topic. Studying the origin of the Karakhanids and their titles, the author comes to the conclusion that this dynasty came from the Chigili environment, and their honorary titles were Arslan Khan and Bogra Khan. Describing the political history of the Karakhanids, Karaev O. links the rise and heyday of this state with the adoption of Islam, which is directly related to Satuk Bogra-khan and his relationship with the Samanids. The analysis of information on the relations of the Karakhanids with the Ghaznavids and Seljuk sultans, which was made by the author during the study of information from Arabic-speaking sources, is very important.

The work of Agadzhanov S.G. «Essays on the history of the Turkmens and the Oghuzes of Central Asia of the 9th-13th centuries» gives a detailed analysis of information from Arabic-language sources about the relations of the Karakhanids with the Seljukids, Ghaznavids and Samanids. It examines the process of formation, development and decline of the Seljuk state and the impact of relations with other peoples on their political, economic, social and cultural situation in the Middle Ages. Here, the author analyzes the changes in the relations of the Seljuks with the Karakhanids, namely, the initial protection of the Karakhanid rulers (Kadir Khan Yusuf) of the Seljuk leaders Chagra bey and Togrul bey due to the difficult political situation in Maverannahr gave way to a power struggle. S.G. Klyashtornyi and D.G. Savinov in their work about the ethnogenesis of Turkic tribes assumed that all Turkic countries of Central Asia played the main role in formation of large and relatively stable ethnopolitical groups of the actual Turkic, Oghuz, Kimak-Kipchak and Kyrgyz tribes.

As it is known all these authors tried to analyze the information came down to us through the works of medieval writers of history and reconstruct the situation appeared in that time between the Karakhanids and another tribes or countries. But until nowadays we witness the shortage of sources and insufficient detailed study of mentioned issues.

Results. At the end of the X century on the territory of Kashgar and Jetysu, the Karakhanid state was formed; Turkic tribes became the basis of it. The tribes in this political entity played an important role for the ethnic history of Kazakhstan. During this period, ethnic groups united and culturally influenced the population of Eastern Turkestan. One of the largest tribes that settled in the area of Jetysu and along the Syr Darya were Karluks. Another large tribe was the Chigili.

Describing the political situation of Central Asia in the VIII century, the most important results of which were the formation of origins and complex ethnographic composition, which was represented by the genealogy the Karluk union in Jetysu and the eastern part of the Syr Darya river basin, as well as the formation of the Oghuz tribal union on the lower reaches of the Syr Darya, it can be noted that the defining moments from the VIII to XI centuries there were processes of interaction between the most diverse ethnic elements. The result of this process, as S. Tolstov noted at the time, was the formation of a collection of tribes of various of the tribes of Mahmud of Kashgar (Tolstov, 1938: 200). At Rashid al-Din, we see that the Oghuz also include tribes that once opposed them and were part of large tribal associations, such as the Kipchak, Karluk, Kalach, Kangly. An anthropological analysis of the craniological series of the ancient and modern population of Kazakhstan confirmed their anthropological continuity, identified three centers for the formation of subpopulations - northwest, center and southeast and established the origins of the ethnic community of Kazakhs, which is associated with ethnocultural processes among local residents (Ismagulov, 1988: 57).

Ibn Khordadbeh provided the list of Turkic peoples, among which Dzhigirs are mentioned and researchers compared them with Chigils, who lived partially in Taraz, partially in the east of Issyk-Kul according to the latest information. The list of Turkic tribes given by the medieval author Ibn Khordadbeh apparently corresponded to the 8th century. So, he wrote: «The countries of the Turks: the Tokuzguzes - their region is the largest one among Turkic countries, they border on China (Sin), Tibet and the Karluks. (Then) Kimaks, Guz, Dzhigir, Pecheneg, Turgesh, Azgish, Kipchak, Kirghiz, who have musk; Karluks and Khalajas, and they are on this side of the river. And in the city of Farab there are (simultaneously) detachments of Muslims and detachments of Karluk Turks. There are 16 Turkic cities in total»(Volin, 1939a: 144).

At the end of VIII - beginning of IX centuries in the Aral steppes the Pechenegs wandered. The westward union of the Kypchaks and Kimaks ran into the Pecheneg-Bashkir confederation of tribes. At the same time, as it is known, with the victory of the Karluk association in Jetysu, the Oghuzes were also forced to move to the west, and by the beginning of the 9th century they formed their statehood on the Syr Darya. The Oghuzes, like the Kimaks and Kipchaks, were ready to advance into the Aral steppes. We learned from sources that by the end of the 9th century as the result of the struggle the Oghuzes conquered from the Pechenegs the land between the rivers of the Volga and the Ural. Pechenegs in the source are called pachinakites. «... Pachinakites first had their place of residence on the Atil River, as well as on the Geykh River, being neighbors of both the Khazars and the so-called Uzes. However, fifty years ago, the mentioned Uzes, having entered into an agreement with the Khazars and going to war on the Pachinakites, overpowered them and expelled them from their own country, and the so-called Uzes have been in possession of it until now»(Bagryanorodnyy, 1989: p. 155). These same events are covered by al-Masudi. «And on it (the Khazar Sea) there are many nomads of the Guz, from (among) the Turks, in the deserts that are located there. ... (Mentioned about the Pechenegs who conquered the north-eastern part of the Balkan Peninsula), and in the book «Kitab funun al-maarif wa ma jerra fi-d-duhur as-savalif» we mentioned the reasons for the resettlement of these four Turkic tribes from the east and what was among them, the Guz, Karluks and Kimaks from the wars and raids on Lake Dzhurdzhaniy»(Volin, 1939b: 166). In this passage in Masudi’s work, the Khazar Sea is understood to be the Caspian Sea, and Lake Dzhurdzhaniy – the Aral Sea. V. Bartold believed that the Karluks in the VIII-IX centuries penetrated the middle course of the Syr Darya. In confirmation of this, we can cite the information of al-Istahri, who reported about the territory occupied by the Guz, that they were located among the lands of the Khazars and Kimaks, Karluks and Bulgars (Volin, 1939c: 167). According to the information of the Chinese Turkologist Tsen Zhunmyan, who gave a list of the tribes that inhabited the lands from the west of Altai and north of the state of Kan (Sogd), the appearance of the Oghuzes in these places is also associated with migrating of the tribes Tele in the territory of Western Kazakhstan in the eighth century (Akhinzhanov, 1989: 59). Under the legend, the father of Oghuz Kara-khan «... spent the summer in the mountains of Ur-tag and Kөr-tag; they are now called Ulush-tag and Kichik-tag. When winter came, he wintered at the mouth of the Syr River, Kara-Kumakh and in Bursuk»(Kononova, 1958:40).

The sources preserved the information on the relationship of the tribes that founded the state of the Karakhanids with the Oghuzes. Mahmud of Kashgar has a mention of the «town» of a group of cattle breeders - Chigili: «One of them is nomads living in Kuyas, a town beyond Barskhan». This message about the nomads living in the town belonged to the tribal group of cattle breeders, who apparently had a permanent fortified point, which the Chigilians had in other areas as well, for example, in the Talas Valley. Mahmud of Kashgar mentioned this, referring to it as a «fortress city» near Taraz ... «So this fortress, which is now called Jikil, was founded, and this name was given to it. Then the Türks who settled in it were called Djikil. This name has spread after that. The Oghuzes, when their homes began to come into contact with this fortress, constantly fought with the inhabitants of Dzhikil ... And they called all the Türks who wore the clothes of the Dzhikil by their name»(Shakhmatov, 1960:144).

Map 1. The Oghuzes and the Karakhanid state.


Political situation in Jetysu at the end of the 10th century testified to the lack of a single authority. «In different areas, power was in the hands of various Turkic peoples – Karluks, Chigili, Argu, Yagma».

Reconstructing the early history of Chigil, some authors tried to identify their first name. These authors bring the name of the Chigili together with the Turkic tribe of the Chateau and Chuyue, as well as with the Oghuz tribe of the Bayarku (Zuyev, 2002: 257, 259). In the scientific literature, the Chigil tribes are perceived as one of the founders of the Karakhanid Khaganate. V. Bartold noted that in the 10th century the name Сhigili was applied to a large number of Turkic tribes. Therefore, he believed that the Chigili were the ancestors of all nomadic Turks, except the Oghuzes. During the campaign of the Sultan Melik Shah on the Transoxania, the Chigili made up the military power of the Karakhanids and, it is known that the Oghuzes called all Turks who lived east of Amu-Darya the Chigili (Bartold, 1963a: 578). However, another ethnic connection is also traced: it is possible that before being included in the Karluks the Chigili were among the Oghuzes, since later both of them, i.e. the Oghuzes and Chigili lived in the Issyk-Kul and Talas valleys. Mahmud of Kashgar cites the evidence that the Oghuzes - Turkmens called all the tribes living east of the Amu Darya Chigil. T. Akerov writes that the Turkic-Kyrgyz tribes, which included the descendants of the ancient Chiks, could be hiding under this name (Akerov, 2005:134). The connection of the ancient Chiks with the Oghuzes is confirmed by the preserved Turkmen ethnonym Chik, which connects its origin with Altai. Perhaps in the VIII-IX centuries Chiks with Oghuzes migrated to the Tien Shan. Chigili, according to Ibn Khordadbek, lived in the 9th century in the south of Central Asia, along with the Oghuzes, Azgish, Karluks.

If we identify the Chigili of the Karakhanid period with the ancient Türkic tribes of the Chiks, then, according to O. Karaev, «... the Chiks (Chigil) in antiquity belonged to the tribe Tele, and in the early Middle Ages lived in modern Western Tuva, where, according to the materials of the ancient Türkic writing, they fought in alliance with other peoples of Sayan-Altai against the dominant Khaganates of Central Asia. As a result of this struggle, the bulk of the Chiks, like many other tribes of Southern Siberia, advanced southwest and came to the Tien Shan and Jetysu»(Karayev, 1983: 74-75).

Mahmud of Kashgar also mentioned the relationship of the Chigili with the Oghuzes during the period of the Karakhanids. According to him, the Oghuzes and Chigili were immediate neighbors in the valley of the Talas River and were at enmity with each other (apparently, in the 10th century). As a result of this feud, the Oghuzes were forced to migrate to the west. According to Eastern authors, some Oghuz tribes as early as the 10th century lived near the river Taraz. All this information is the basis for the assumption about the mixing of the Oghuzes with Chigili in the named period and about their early presence in the steppes of Western Kazakhstan due to the migration of the Oghuzes to the west. V. Bartold transmits one little-known legend, which tells about the appearance of Chigili. In the interests of research, we transmit it from the words of the scholar himself. «It is remarkable that in Turkish genealogical legends as they were spread in the era of the Seljuk empire, there is no name Oghuz and there is the name Chigil»(Bartold, 1963b: p. 578-579).

We mentioned the message of Mahmud of Kashgar that the Oghuzes were direct neighbors of the Chigili in the Talas valley and were constantly at enmity with them. In this regard, it is important to note that the Karakhanids at the end of the X century they were also in a hostile relationship with the Oghuzes, who populated the vicinity of the Talas river valley.

In the work of Ahsikendi (16th century) there is a legend about the formation of the Kyrgyz people in the Khojent mountains from forty Oghuzes during the reign of Seljuk Sultan Sanjar (12th century). As it is known, the Seljuks subjugated the Karakhanids and had direct political and economic ties with the peoples of the Tien Shan.

There is information about other Turkic tribes that inhabited the territory of the state of the Karakhanids. V. Bartold, describing the cultural life of the Turkic tribes, considered the Karluks as the most highly developed of them. Their territory was the most populated, they had many cities, the Karluks besides cattle breeding, they were also engaged in agriculture and hunting. The tribes of the Karluks and Toguz-Oguzes experienced the greatest influence of the Chinese Empire, hence, according to V. Barthold, these peoples were closest to the culture (Bartold, 1963c: 243). After the conquest of Maverannahr by the Karakhanids, power passed into the hands of Turkic tribes forever. According to V. Bartold, the Karakhanid state itself was a typical nomadic political entity, which was divided into parts and turned into independent possessions very soon. This was the period of the formation of Turkic languages on the basis of the Oghuz-Kypchak (western) and Karluk-Uyghur (eastern) dialect branches [Baskakov, 2006: 45].

XI century became famous in the history of Central Asia for its rapid formation and expansion of the Seljuk state. The conquest by the Karakhanids of Maverannahr directly affected their relationship with the Karakhanids. It is known that the Seljuks actively participated in the struggle between the Samanids and the Karakhanids over Maverannahr. At the beginning of the struggle, the Seljuks sided with Samanid Abu Ibrahim, but after a crushing defeat, they refused to support the Samanids, which led to the final strengthening of the Karakhanids in Maverannahr (Agadzhanov, 1969: p. 182-183).

In the west, the Seljuks clashed with Byzantine forces trying to resist the onslaught of the Seljuk Turks. The famous Battle of Manzikert in 1071, which ended with the complete defeat of the Byzantines and the capture of Emperor Roman IV Diogenes, was peculiarly reflected in the story of Aufi, who witnessed the nobility of Sultan Melik Shah, that was accidentally captured by the Byzantines before the battle. Freed with the help of his famous vezir Nizam al-Mulk, Melik Shah gave a famous battle and later released, according to the source, the Byzantine emperor to freedom (Beysembiyeva, 2005: 109-112). In the second half of the eleventh century the Seljuks' interference in the affairs of Maverannahr is intensified, where the Karakhanids continued to rule. The reason for the intervention by the Seljuks was the internecine struggle of the Karakhanids with the clergy. As a result, Seljuk Melik Shah was called to help. In 1089, he occupied Bukhara and besieged Samarkand. After the capture of Samarkand, the Karakhanids recognized their dependence on the Seljuks, and their governor ruled in Samarkand. This is how the source narrates about further events in which Chigili (Djikili) are mentioned. «When he (that is, Melik Shah - HG) retired from Samarkand», the source says, his inhabitants and the soldiers, named after their tribe Jikili, did not get along with Abu Tahir, the governor of the Sultan, until to such an extent that they almost attacked him. He barely managed to escape and left them, going to Khorezm.... The head of the Samarkand’s army, known as the Djikili, named Ain ad-Davla, was afraid of the Sultan because of this known incident and turned to Yakub-tegin, the brother of the Kashgar king, whose kingdom is known as Atbash and whose fortress was in his hands, and invited him to his place. He came to Samarkand and they concluded an agreement. Then Yakub realized that his business with him would not be settled, and set up his patrials against whom he had done harm, he was sued for the blood of the people whom he killed, and Yakub received a decision by lawyers against him and killed him. The news of this reached the Sultan Malik Shah, and he returned to Samarkand. ... When news reached the Sultan Malik Shah about the «manifestation» of Samarkand’s rebellion and about the assassination of Ain ad-Davla, the head of the Djikily, he returned to Samarkand (Bulgakova, 2006: 224). But the Djikili, as a people, are mentioned by Ibn al-Asir as mercenaries of the Sultan Melik Shah; the city of Djikil is mentioned among Arab geographers of the 10th century, who generally transmit Turkic proper names with great accuracy, as much as possible with the Arabic script. Makdisi places Djikil half a mile from Taraz (Talas) (Bartold, 1963d: 286-287).

Obviously, the Karakhanids accepted Seljuk citizenship, but retained independence in internal affairs, and sometimes in external relations. This is evidenced by the situation that arose during the defeat of Karakhanid Mahmud by the Kara Khitai. In such a predicament, the Seljuks, represented by their leader Sanjar, were unable to provide assistance to their subjects due to the fact that they were busy fighting Khorezm [Gafurov, 1989: p. 126].

Map 2. The map of Seljuk and Karakhanid states in XI-XII centuries.


Conclusion. The relations among the Turkic tribes of medieval period give us the opportunity to reconstruct the whole picture of intertribal ties of that time. It is in turn can be a step to understand the role and place of the Karakhanids and the Oghuzes in world space. All kinds of relations, it can be the forced relations based on military alliance or peaceful relations established for the development of both sides led to the changes in ethnic and linguistic features. Thus, it can be noted that the Turkic tribes of the Karakhanid state were most closely associated with the Oghuz confederation of tribes. It should be marked that within the borders of the Karakhanid state, ethnic processes were denoted by close intertribal contacts, the result of which was the formation of those nuclear components around which there was an active ethnogenesis that determined the linguistic and cultural specificity of Turkic protopeoples (Klyashtornyy, Savinov, 1988:70).


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ҒТАХР 03.20:25


Г.Б.Хабижанова¹,A.M. Алмагамбетова²

¹Профессор, т.ғ.д. әл-Фараби ат. ҚазҰУ. Алматы, Қазақстан.

²әл-Фараби ат. ҚазҰУ докторанты, Алматы қ., Қазақстан.

Аңдатпа. Бұл мақалада авторлар Қарахан мемлекетіндегі түркі тайпаларының Х–ХІІ ғасырлардағы оғыз тайпаларымен қарым-қатынасының аспектілерін қарастырды. Бұл халықтар арасындағы қатынастар Орта Азиядағы саяси жағдайға байланысты өзгеріп тұрды. Бұл кезең туралы деректер мен қажетті ақпараттың жеткіліксіз болуына байланысты көптеген ақтаңдақтар бар. Тиісінше, осы кезеңді зерттеп, ондағы ақтаңдақтарды толтыру өте маңызды. Қарахан дәуірі діни, саяси және этникалық тұрғыдан өзгерістерге толы. Бұл аталған халықтардың аумағында жаңа тәртіпті орнатуға серпін берді. Бұл тайпалар басқа тайпалармен қарым-қатынас нәтижесінде қазіргі этникалық топтарды құрады. Барлық этникалық процестер Қарахан мемлекетіндегі өте жақын тайпалық қатынастарға байланысты болды. Бұл белсенді этногенез қалыптасатын орталық компоненттің пайда болуына әкелді, өз кезегінде түркі протохалықтардың лингвистикалық және мәдени ерекшелігін анықтады. Бұл зерттеу бізге тарихи кезеңдегі Қарахандардың рөлі мен орнын түсінуге және әскери одақтар мен саяси күреске негізделген тайпалардың қатынастарының мәнін ашуға мүмкіндік береді. Сол кездегі белгілер саяси субъектілердегі лингвистикалық және этникалық өзгерістерге ықпал еткені анық.

Түйін сөздер: Оғыздар, Қарахандар, түркі тайпалары, этникалық процестер, қатынастар, Орта Азия, протохалықтар.

МРНТИ 03.20:25


Г.Б.Хабижанова¹,A.M. Алмагамбетова²

¹Профессор, доктор исторических наук КазНУ им. Аль-Фараби. Алматы, Казахстан.

²Докторант КазНУ им. Аль-Фараби, Алматы, Казахстан. E-mail: almagambetova2015@gmail.com

Аннотация.В данной статье рассматриваются аспекты взаимоотношений тюркских племен Караханидов с огузскими племенами в X–XII вв. Отношения между этими народами менялись в зависимости от политической ситуации в Центральной Азии. Этот период имеет много пробелов из-за нехватки источников и необходимой информации. Соответственно, очень важно исследовать и закрыть пробелы этого периода. Эпоха Караханидов отличается изменениями в религиозной, политической и этнической сферах. Это дало толчок к установлению нового порядка на территории упомянутых народов. Эти племена вследствие отношений с другими племенами сформировали современные этносы. Все этнические процессы были обусловлены очень тесными межплеменными контактами в рамках государства Караханидов, что привело к формированию центрального компонента, вокруг которого происходил активный этногенез, что в свою очередь определяло языковую и культурную специфику тюркских протонаций. Это исследование дает нам возможность понять роль и место Караханидов в тот исторический период и раскрыть сущность отношений племен основанных на военных союзах и политической борьбе. Очевидно, что черты того времени внесли свой вклад в языковые и этнические изменения в политических образованиях.

Ключевые слова: Oгузы, Караханиды, тюркские племена, этнические процессы, отношения, Центральная Азия, протонации.

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