新疆出土佉卢文人口买卖文书及相关问题研究

【作者】 张婧；

【导师】 刘戈；

【作者基本信息】 陕西师范大学 ， 专门史， 2012， 博士

【摘要】 我国新疆南部地区出土的怯卢文资料大致分为两类,一类是反映社会日常生活的怯卢文文书,主要指鄯善国(也有少量于阗国)的官方文书、契约和公私往来的书信等；另一类是汉怯二体钱币。这批文书反映的年代大致属公元3-5世纪,它为研究古代塔里木盆地绿洲国家的社会生活提供了第一手资料。本文是对怯卢文书中人口买卖及其相关问题的一次系统整理和研究,旨在整理研究人口买卖文书的基础上进一步探讨公元3-5世纪新疆南部地区的奴隶问题和社会状况。本文共分为八部分。绪论部分主要介绍了怯卢文人口买卖文书的研究价值、研究状况、本文的写作目的和要解决的问题。第一章为人口买卖文书浅析。目前新疆出土的怯卢文书经整理、发表的已有七百余件,其中与人口买卖相关的文书共十五件,这十五件文书均属鄯善国文书。它们可以分为两类：一类是契约类人口买卖文书；另一类则是非契约类涉及人口买卖活动的文书。笔者在本部分中对这些文书进行了介绍和梳理。第二章为怯卢文人口买卖文书研究。该部分首先研究了怯卢文人口买卖文书的契式,对契式结构的基本内容和契式结构的异同予以探讨,揭示契式结构的变化；其次研究了佉卢文人口买卖文书的套语,对记年月的套语、买卖事宜叙事句套语、签约条件和签约仪式套语、买方权益套语、违约惩罚等套语都进行了相关探讨。笔者认为该时期的契式已形成一定框架,相关套语也基本形成,但是契式内容并不完备,契式中所含各项内容的位置尚未定型。第三章是针对人口买卖合法性问题的研究。在该部分中主要探讨了人口买卖文书中的买方权益和声明、证人、署名和印信、违约罚以及国家法律对人口买卖的保障。以上研究说明人口买卖活动在当时、当地是合法行为。第四章是针对人口买卖文书中的买、卖双方所进行的研究。通过探讨,笔者发现当时的新疆南部地区,从事人口买卖的人群要么是一些有公职的人,要么是一些拥有一定财产的人,甚至还有寺院的僧人。这些人占有一定数量的社会财富,占有一定数量的人口,有的还占有一定数量的土地。他们几乎都属于当时、当地社会中的中上层阶级。第五章为被卖人研究。该部分介绍了怯卢文人口买卖文书中被卖人的基本状况,探讨了被卖人口的价格和被卖人口的来源。这一时期的人价以实物支付为主,实物种类较为多样,当然也存在以货币支付的现象。被卖人口来源大致有：灾荒中的被卖人口、逃亡人口、战争俘虏、被拐卖的人口以及主人的奴隶。在阐述了被卖人口的五种来源之后,笔者对怯卢文书中涉及到的“奴隶”一词进行了探讨：该类人群T·巴罗称之为‘’slave",王广智译为“奴隶”,而林梅村称其为“奴仆”,笔者经过慎重考虑谨慎地使用了“奴隶”一词。第六章为奴隶生存状况研究,本部分在第五章研究的基础上进一步探讨了有关奴隶问题。3-5世纪新疆南部地区的奴隶和传统意义上奴隶社会中的奴隶有一定区别,他们虽然也要在田间劳作并替主人买卖土地等,与社会有诸多矛盾,但是当时、当地有些奴隶也占有少量土地,有收养子女的权利,而且相关材料还反映出奴隶可以自赎。第七章为3-5世纪新疆南部地区社会状况研究。本文对两件奴隶脱离主人的文书进行剖析之后认为：3-5世纪新疆南部地区与东部地区制度上存在着一些差异。此外,新疆南部地区的土地制度有一定的特征,从相关怯卢文书来看,当时土地可以买卖,被卖土地面积不是很大,播种量一般都在1米里马以上,但是并不是所有的土地都可以出卖。当时有的土地要缴税而有的则不需要缴纳,农作物品种较为多样。通过对奴隶、土地私有以及交换媒介等问题的探讨,笔者认为：该地区这一时期已进入封建社会,但是还保存了奴隶制度的残余。更多还原

【Abstract】 Kharosthi documents unearthed in southern Xinjiang can be divided into two categories, one was reflected the community’s daily life that were official documents, contracts and public or private exchange’s letters and so on in Shanshan (include a small amount of Yutian). The other was a kind of coin named Hanqu. These documents provided first-hand information of living condition for the studying of ancient Tarim Basin. The Paper is the first systematic collation and research for the population buying and selling documents of Kharosthi documents, aiming to sorting and studying on the basis of the population buying and selling documents further explore the slavery issue and social status in the southern of Xinjiang region on3-5th century.This paper is divided into eight parts.The introduction including of the research value, research situation, aim of the writing and the problem will be solved in the population buying and selling documents of Kharosthi documents.The first part is to analysis the population buying and selling documents. There were more than seven hundred documents in Xinjiang unearthed, those of them related to the population buying and selling documents are fifteen and it all belong to Shanshan country. It can be divided into two categories, one type is belonging to the contract of the population buying and selling documents; the other type is belonging to non-contract documents but involving the trading activities of population traded instruments. In this section, the author introduces and combs these documents.The second part discusses the population buying and selling documents of Kharosthi documents。In this section, firstly the paper studies the pact type. It discusses the basic content of pact type structure and similarities and differences of pact type structure, and reveals the changes in the structure of pact type. Secondly discusses the language of the population buying and selling documents of Kharosthi documents. It is discussed about the years language, business matters narrative sentence language, signing conditions and signing ceremony language, the buyer’s rights language, breach and punishment language and so on. The author think the style of the pact type has formed in this period and related formula are basically formed, but the content of deed type is not complete, the pact type contained in the position of each content has not yet designed finally.The third part deals with the legitimacy problem of the population buying and selling documents. In this section, the buyer’s interest and statements, the witnesses, signature and seal, breach and punishment, the law of national protect with the population buying and selling has been study. This shows that the activities of population buying and selling are legitimate in the society at that time.The fourth part discusses the buyer of the population buying and selling of Kharosthi documents. By exploring, the author found that the crowd who engaged in the population buying and selling in the southern Xinjiang region not only was public office, but also the people with a certain property, even some of them are monks at temple. They shared a certain amount of social wealth, possessed of a certain number of populations, and some of them also occupy a certain amount of land. They are almost belonging to the middle and upper classes of the local community at that time in local.The fifth part discusses the person who to be sold. In this part describes the basic situation of the person who to be sold, explores the price and the source of the person to be sold. At that time, the price of person was more diverse physical types and physical types are varied, of course there are also have with the money to pay the phenomenon. The source of the people who were sold come from famine, fleeing, prisoners of war, the population be sold and the slaves of the master. After discussing the source of the population be sold, the author define to the "slave" in the Kharosthi documents:The crowd called the "slave" by T-Barrow and translated as "slave" by Wang Guangzhi and called "Servant" by Lin Meicun. After careful consideration, the author use the word with "slave".The sixth part discusses the living conditions of the slaves. This section explores the issue of the slaves on the basis of Chapter V. The slaves in the Southern Xinjiang in the3-5th century and the slave in the traditional sense have a certain difference. Although the slaves have to work in the filed and sale land for their master, they have some problems with the social. The paper reveals some important social phenomenon, such as some slaves not only occupy a certain amount of land but also have the rights to adopting children, and the related documents also reflects the slave could redeem by himself.The seventh part discusses the nature of the social in southern Xinjiang in3-5th century. After analyzing two documents of slaves who detach the owners, the author think that there are some differences on system between the southern and the eastern Xinjiang in3-5th century. The system of land has certain features in the southern Xinjiang. The land can be traded and the area is not large. The seeding rate is generally above1Mi Lima, but not all of the land can be sold, some land to pay the tax of land while others do not need to pay and more variety of crops. From the study of slaves, the private land and exchange medium, the author thinks that this region to enter into feudal society but also preserves the remnant slavery.更多还原