【作者】 常倩；

【导师】 章义和；

【作者基本信息】 华东师范大学 ， 中国古代史， 2011， 博士

【摘要】 商朝卜辞中出现的“羌”人表现活跃,与商人的互动频繁。此时期的“羌”本是商人对于疆域西部一些异族人群的带有蔑视意味的泛称,并非是一个自称为“羌”的稳定的民族共同体。在与商人频繁的互动过程中,称为“羌”的人群结成部落联盟,并产生自己是“羌”的族群认同意识；西周时期的甲骨和金文中几乎找不到“羌”字,在文献资料中也鲜见羌人记载。作为辅佐周人灭商的功臣,羌人地位提高,便回避了“羌”这个蔑称,并与周人世代联姻,代表女性羌人的“姜”字遂成为其姓氏。出自商朝羌人系统的申、吕、许、齐四个姜姓族成为贵族,到周朝末逐渐融入华夏；春秋战国时期出自商周羌人系统的“羌”在此时期大部分融入华夏,未融入华夏的“羌”为更多的“戎”称所代替。两汉时期的“羌”人主要是华夏对于分布于河湟地区的土著人群的泛称,他们与商周时期的“羌”人并无渊源关系。这一时期由于汉王朝向西部拓展疆域侵犯了河湟羌人的生存空间,引起羌人的反抗。两汉时见诸于史料的河湟羌落有数十种,经常联合起来与汉王朝作战,战败的羌人大多被强制性徙入塞内,分散安置于西北各郡,有些还深入关中三辅地区。羌人腥风血雨的内迁运动贯穿东汉一朝始终,约有一百多万羌人徙至汉朝边郡及内郡,河湟东部地区遂为东汉王朝占据；魏晋南北朝时期的羌人大多出自两汉羌人系统,主要分布于凉、秦、雍、益四州及河湟塞外地区。这一时期羌人的迁徙形式、规模与两汉时期又有不同,主要表现为随各割据政权力量消长而辗转流徙,族群成分单纯是羌人的人群迁徙活动很少,见诸于此时期史料中的羌人迁徙大多伴随着其他种族的人群,例如羌汉、羌胡、羌羯、氐羌等等。羌人的族群意识逐渐弱化,可辨识的种落的数量减少,许多羌人成为新的华夏。到北朝末期,北方的羌人渐渐消失于史料之中,而益州西北部的羌人则仍保持着羌人的族群认同。在西汉之前河湟羌人与匈奴就已有往来,匈奴对羌人的征服和奴役激发羌人族群意识的觉醒。匈奴亦经常裹胁羌人与汉王朝开战,处于北方匈奴与东方汉帝国之间的羌人族群认同逐渐加深；羌人为争取生存空间和生存资源与汉王朝展开旷日持久的战争,为平羌乱,汉王朝军费开支巨大,财政困窘,不得不调整经济政策来筹集军费,亦说明羌人的社会经济发展水平在不断提高,否则无法支持如此长期的战争；河涅羌人的经济生业主要是农牧兼营,不同的区域有一定差别,河湟谷地的羌人农业经济水平比较高,非简单的粗放农业。高地居住的羌人则是单纯的游牧经济；徙入内郡后的羌人转化为自耕农,接受封建统治,但其族群意识的转化要比其经济模式的转化慢,这种现象的产生与汉王朝的治羌政策有关,汉王朝将击败的羌落徙入汉边郡及内郡,虽分而治之,但又各依其俗,有利于羌人族群特征和族群意识的保持。在治羌的过程中,汉王朝统治者采取血腥、暴力的屠杀使得羌人空前凝聚和团结,自我认同意识亦空前深化。两汉时期亦是汉民族形成的重要时期,“汉”人的凝聚力在两汉时期达到一个高峰,在大汉民族主义氛围中,羌人被歧视被边缘化,汉人的这种视角亦促进羌人的凝聚。至东汉末羌人己形成一个自我认同为“羌”的类似于民族的人群共同体,其羌人认同意识亦延续至魏晋南北朝。魏晋南北朝的羌人是各割据政权极力争夺和拢络的对象。曹魏和蜀汉为争夺羌人经常发生战争。羌人对于割据政权开拓疆土特别是控制西北地区有着重要的意义；五凉政权能割据河西,雄踞一方,与羌人在政治、经济方面的支持有极大关系；十六国政权中有半数以上控制过河西地区,羌人与当地各族人群一道“徙石为田,运土殖谷”,为河西的开发做出巨大贡献；后秦姚氏政权是羌人建立的政权,姚氏乃河湟烧当羌人后裔,经历数次转徙及效力于不同政权。姚氏一族汉文化素养很高,建立政权后大力尊儒崇佛,极力使自己成为华夏。姚兴已与汉人无异,其政权也是延续汉族封建统治的政权,并无羌人特色,羌人族群意识已经弱化。与姚氏集团一样,许多羌人亦是这样成为了华夏。更多还原

【Abstract】 The "Qiang" appeared in oracle inscriptions of the Shang Dynasty was active and frequently interact with the people of Shang. "Qiang" was a general term that the people of Shang called towards the western minorities of the nation in that period discriminatorily, not a name of a stable ethnos. During the interaction with the people of Shang, these people called "Qiang" came into a tribal alliance, gradually forming an ethnicidentity consciousness of "Qiang" themselves. The word "Qiang" couldn’t be found in oracle inscriptions or calligraphy in bronze script during the period of the Western Zhou, as well as in the documentation. As a helper of the Western Zhou in eradicating Shang, the "Qiangs" rose in a higher rank of the society, marrying the Western Zhou for generations. "Jiang",standing for the female of "Qiang", became the surname. The people of four nation including "Shen", "lv", "Xu", "Qi" from "Qiang" becamed noble, who are gradually integrated into China in the end of Zhou dynasty. So did the "Qiangs" in the warring state period. The rest of them who were not integrated into China was mainly replaced by "Rong".The "Qiangs" in Western Han and Eastern Han Dynasties was a general term that the people of China called the aborigines who lived in "Hehuang" aera. They weren’t closely relative to the "Qiangs" in Shang&Zhou. In this period of time, the Han Dynasties suffered a serious rebellion by The "Qiangs" because the "Hans" invaded the "Hehuang" aera, occupying the "Qiangs" living space. There are decades of "Qiang" tribe of "Hehuang" aera in history records of that period. They always did battle against Han Dynasty jointly. The loser of them was mainly migrated inside the Great Wall, divided into different counties in the northwest of China, sometimes deep in "Sanfu" aera. The bloody immigration of "Qiang", mainly to the border or the inside of Han,was throughout the Eastern Han Dynasty, whose number was about more than one million. Therefore, the "Hehuang" aera was occupied by the Eastern Han Dynasty. The "Qiangs" in Wei,Jin&South and North Dynasties came from the "Qiang" system in Western Han and Eastern Han Dynasties, which is mainly distributed in "Liangzhou", "Qinzhou", "Yongzhou" "Yizhou", "Hehuang" aera and beyond the Great Wall. Their immigration and scale was slightly different from that in the period of Han dynasty. The "Qiangs" were mainly vagabond as different nations were up and down. The mere "Qiangs" in an ethnic group was very rare when they migrated. They usually moved to another place with other ethnic groups in history records, such as "Qiang&Han", "Qiang&Hu", "Qiang&Jie", "Di&Qiang", etc. The ethnicidentity consciousness of "Qiang" was gradually weakened, and the number of tribe that could be made out declined. Many of "Qiangs" became new Chinese. In the end of the North Dynasties, northern "Qiangs" were gradually disappeared in history records, but "Qiangs" in the northwest of "Yizhou" still kept the ethnicidentity consciousness of "Qiang".The "Qiangs" in "Hehuang" aera had contacted with the Hun before Western Han and Eastern Han Dynasties. The conquest and slavery from the Hun aroused the ethnicidentity consciousness of "Qiang". The Hun also forced "Qiangs" to fight against Han Dynasty. The ethnicidentity consciousness of "Qiang" between the northern Hun and the eastern Chinese empire was gradually deepened. In order to get living space and resources, the "Qiangs" had to do battle against Han Dynasties for a long time. The military expenditures of Han dynasties was so great that it had to adjust its financial policy to raise money, which also showed that the economical development of’Qiang" was increasing continuously, otherwise they couldn’t afford the long-term war. The main economic work of "Qiangs" in "Hehuang" was agriculture and stock raising, which depended on different areas. The people on valley had a high level of agricultural economy instead of simple extensive cultivation. The people on plateau was just the simple stock raising economy. When "Qiangs" was migrated inside the Great Wall, they turned into yeoman under the reign of empire. But the change of their ethnicidentity consciousness was slower than their economic mode. This phenomenon was due to the policy of Han Dynasty towards "Qiang". The Hans forced the loser migrate inside the Great Wall. Although they were divided into different parts, their customs still remained. It was benificial to keep their own ethnicidentity consciousness and character. The ruler of Han Dynasty slaughtered the "Qiangs" bloodily and violently in the process, which made the "Qiangs" united together unprecedently. Their self identity was deepened, too. The period of Western Han and Eastern Han Dynasties is an important age for the formation of Chinese, whose cohesion reached a peak. In the atomsphere of Chinese nationalism, the "Qiangs" was discriminated and marginalized, which promoted their concentration. At the end of Eastern Han Dynasties the "Qiangs" had formed a national community of self-identity as "Qiang", which was similar to nation. Its sense of identity continued to Wei,Jin&South and North Dynasties.The "Qiangs" of Wei,Jin&South and North Dynasties was an important power that different regimes wanted to scramble. Wei and Shu always lighted for "Qiang". The "Qiangs" was significantly meaningful for different regime to extend their territory, especially the northwest. The five "Liang" nations’existence in "Hexi" aera couldn’t be without the support by "Qiang" in political and economic aspect. More than half of the Sixteen Kingdoms had controlled "Hexi" aera. The "Qiangs" did farming with the other local nations, which contributed a lot to the development of "Hexi" aera. Hou Qing founded by Yao’s belongs to "Qiang", who are descendants of "Shaodang Qiangs" in "Hehuang" aera. They had served several regimes. The Yao’s had a good command of Han culture. After they founded Hou Qing, they promoted Confucianism and Buddism vigourously, which can made themselves became Chinese. Yao Xing was almost the same as Chinese. The regime was also the extention of Han’s reign,without any feature of "Qiang". Their ethnicidentity consciousness was gradually weak. Many of them like the Yao’s became Chinese in that period.更多还原