【作者】 段锐超；

【导师】 张旭华；

【作者基本信息】 郑州大学 ， 中国古代史， 2014， 博士

【摘要】 北朝时期，以拓跋鲜卑为主的北方少数族与汉民族，在儒家民族认同思想的指导下和民族大迁徙的历史条件作用下，顺应十六国以来的民族认同与民族融合之势，经由民族互动的实践，实现了对新的文化体系的认同和对民族共同体的认同，由此完成了民族融合，历程艰难曲折。北朝民族认同对北朝民族融合和民族共同体形成具有决定性作用。从一定意义上来说，北朝的民族关系史，就是一部通过文化认同从而达到民族认同、民族融合的历史。先秦以降儒家民族思想中蕴含的华夷民族认同思想观念，成为北朝君臣推动民族认同的思想资源与理论动力。北朝君臣对儒家华夷认同思想的汲引与发挥，丰富和发展了民族认同思想，并以之为指导，在大一统情怀的激励下，进行了塑造正统和致力统一的不懈努力。北朝统治者持续推行的离散部落政策，以及平城时期、洛阳时期和六镇反乱之后三个阶段的民族迁徙，更使北朝民族分布格局发生深刻演变。领民酋长制与六州都督制、郡县制等军政体制的并轨，以及领民酋长与六州都督的衔接及向正式军政官员的转化，标志着南下部落的基本解体和民族认同的客观条件趋于成熟。在北朝民族认同的过程中，民族文化认同与民族身份认同是民族认同一体之两面。民族身份认同是民族认同的第一层次和直观表现。血缘认同、拟血缘认同、地域身份认同、政治身份认同和文化身份认同等多种途径和方式，都被各种积极力量用于建构和支撑北朝拓跋鲜卑与汉人对新的民族共同体的民族身份认同，双方的民族身份渐趋一致。文化认同是民族认同的第二层次，是其核心与灵魂。北朝民族身份认同的图景得以呈现的同时，包含语言文字认同、制度文化认同、精神文化认同等内容丰富的北朝民族文化认同多层面、全方位地展开并趋于完成。北朝语言文字认同既是北朝民族认同的基础，也是北朝文化认同的一个组成部分。拓跋鲜卑的母语是鲜卑语，无相应文字，对鲜卑语的记录是用汉字拼写的。鲜卑语在与汉语的接触和竞争中逐渐被拓跋鲜卑自上而下地弃用而趋于消亡，融入了鲜卑语的汉语言文字成为融合而成的鲜汉民族共同体唯一的语言文字。制度文化认同和精神文化认同是文化认同之两翼。北朝的职官制度和行政管理制度中世袭因素的剔除过程，正是鲜卑制度文化色彩趋于消失和汉民族制度文化色彩逐渐浓郁的过程，军号世袭制和世袭州郡县制的演化以及领民酋长制的变迁正是其例。北朝礼制文化的认同也是北朝制度文化认同的重要组成部分，其演化趋势是向着儒家礼制文化的方向发展。拓跋鲜卑“观渔”之礼在北魏的延续与停废，以及在西魏北周的反复与终止，展现了“观渔”合礼性的波动与质变，是北朝礼制文化内容变更的直观反映和北朝民族认同的缩影和佐证。北朝精神文化认同是拓跋鲜卑与汉民族达成文化共识、塑造统一的民族文化认同的重要组成部分。对儒家思想文化的认同是北朝文化认同的核心和最高表现形式。北朝君臣在各种场合越来越多地征引儒家经典中的语句及其思想运用于修齐治平的实践,以及皇室命名中儒家色彩的普遍化和皇帝屡屡给臣下赐改具有儒家思想意蕴的名字，正是北朝儒家思想文化认同走向完成的两种表现形式。它的完成，意味着儒家思想作为北朝核心统治思想的地位逐步确立并稳固，民族共同的价值观、伦理观和共同的文化意识趋于形成，是鲜汉民族共同体基本成型的重要标志。北朝汉族士人和拓跋鲜卑的艰难心路，是北朝文化冲突与融合过程的心理投射。文化认同的过程，也是对文化的重新选择与扬弃的过程，认同的阻力是明显存在的。种种矛盾、冲突，实质上都是文化冲突与认同之难的表露。在文化冲突与整合之下，拓跋鲜卑与汉人都经历了心灵困境，通过艰辛努力，双方的民族隔阂和异族感逐渐消尽，文化认同方趋于完成。心路历程艰辛曲折，认同成果来之不易。北朝民族认同之路呈现出差异性、阶段性、曲折性、系统性、选择性、必然性等共性特征，以及统治民族及统治者的主动性、统治者的坚定性与创造性等个性特征。北朝民族认同发生发展和得以完成的背景以及推动力量和强化途径包括：十六国时期的基础及民族认同的历史惯性与潮流；思想基础的具备；大迁徙造成的民族分布的变化所提供的时代契机；民族互动的深入；统治者出于民族自身发展和国家稳定、南北统一的需要而大力推动及汉族士人的助力；由早期的军事掠夺经济和游牧渔猎经济转换为农业经济的经济转型的支撑；中华认同之下北南文化互动以及宗教和民间信仰认同形成助力等。北朝民族认同的完成与保持，推动了国家认同和社会发展，与民族融合相互促进，使中华民族从未间断的一体化进程发展到一个新的阶段，为后来的南北统一及辉煌的隋唐文化的形成奠定了基础。北朝民族认同是一个成功的历史样本，是中华认同与中华文化认同对于中华民族的一体化进程发挥决定性作用的一个历史典范。更多还原

【Abstract】 In the period of the Northern Dynasties, in the guidance of the Confucianthoughts concerning national identity and on the historical conditions of the greatnational migration, northern minority mainly Tuoba Xianbei and Han nationalitywhich followed the trend of national identity and national fusion since the SixteenStates Dynasties realized the identity with the new culture system and the nationalcommunity by going through the practice of national interaction, thus completed theprocess of national fusion, which was an arduous and tortuous way. National identityof the Northern Dynasties played a decisive role in the national fusion and theformation of the national community. In a certain sense, the history of nationalrelations in the Northern Dynasties is a history of realizing national identity andnational fusion by means of the cultural identity.For the ruler and his subjects in the Northern Dynasties, the Hua-Yi nationalidentity thought which was included in the Confucian national ideology from thepre-qin Dynasty had become the thought source and theoretic power to promotenational identity. By learning and explaining the Confucian Hua-Yi national identitythought they enriched and developed the national identity and made unremittingefforts to establish the image of the orthodox and promote unity with the encourage ofthe feeling about the whole China unification(大一统). The policy of scattering tribeswhich the ruler continued to carry out and the national migration of three stagesincluding PingCheng period, luoyang period and the period after six town uprisingchanged national distribution pattern greatly. The combination of Lingmin chieftainsystem, six states Dudu system(六州都督制), country system and othermilitary-political system, join of Lingmin chieftain and six states Dudu, andtransformation of Lingmin chiefdom to formal military-political official weresymbols of disintegration of tribes had been to the southern, and mature of objectiveconditions of realizing national identity.In the process of the national identity of the Northern Dynasties, the nationalcultural identity and the national identity recognition of the Northern Dynasties were two sides of one national identity which couldn’t be separated. The national identityrecognition of the Northern Dynasties was the first level and intuitive characterizationof national identity of the Northern Dynasties. Many kinds of ways and forms, suchas consanguinity identity, Working-out consanguinity identity, regional identityrecognition, political identity recognition and cultural identity recognition i.e. all wereused to construct and support Tuoba Xianbei and Han’ national identity recognitionfor the new national community in the Northern Dynasties by various positive forces.Then Tuoba Xianbei and Han’s national identity gradually became consistent.Cultural identity is the second level of the nationality identity, which is its core andsoul. With the same time of the national identity recognition of the NorthernDynasties, national cultural identity containing language identity, system culturalidentity, spirit cultural identity i.e. advanced multi-levelly and all-round and tend tocomplete.Language identity of the Northern Dynasties was not only the base of thenationality identity, but also an integral part of the cultural identity. Tuoba Xianbeihad its mother tongue-Xianbei language, and no corresponding character. At thattime, people had to record Xianbei language in Chinese characters. Xianbei languagewas gradually abandoned from top to bottom by Tuota Xianbei and finallydisappeared in the course of the contact and competition with Chinese. Chines, whichwas blended with Xianbei language, became the only language used by the integratedXianbei and Han nationality community.The system cultural identity and spirit cultural identity were two sides of thecultural identity. The process of culling hereditary factors of official system andadministrative system of the Northern Dynasties, was the process of Xianbei systemculture tending to disappear while the Han nationality culture gradually becamestronger, the evolution of hereditary of general title and hereditary of state, prefectureand county system(世袭州郡县制)and hereditary chieftain system were its examples.The etiquette culture identity of the Northern Dynasties was an important part of thesystem cultural identity of the Northern Dynasties, which evolution trend was towardthe Confucian etiquette culture.That the etiquette of viewing fishing of Tuoba Xianbeicontinued and stopped in the Northern Wei Dynasty and revived and stopped in the Western Wei and Northern Zhou Dynasties reflected the fluctuation and qualitativechange of the complying with the etiquette of viewing fishing and was thecharacterization of the change of the position of agriculture and fishing in theNorthern Wei Dynasty and was also the direct reflection of the change of the contentof etiquette of the Northern Dynasties and the miniature and evidence of nationalidentity in the Northern Wei Dynasty.The spirit cultural identity of the Northern Dynasties was an important part ofTuoba Xianbei and Han nationality achieving cultural consensus and shaping unifiedcultural identity.The Confucian ideology and culture identity was the core and thehighest form of the cultural identity of the Northern Dynasties. Confucian classicsstatements and thoughts were quoted by the ruler and his subjects in the NorthernDynasties on various occasions more and more and were applied in the practice ofcultivating morality, regulating family, governing the state and uniting the country,and the generalization of the royal given name had Confucianism color and emperorsrepeatedly gaving and changing officials’ name connotation with Confucian thoughts,which were the two forms that Confucian cultural identity tended to complement.Thecomplement of Confucian cultural identity in the Northern Dynasties meant that thestatus of Confucianism as the core ruling idea had been established and consolidated,and national common value, ethics and common cultural consciousness had beenformed, an important symbol of the Xianbei-Han nationality community havingnearly formed.The hard journey of the heart of scholars of the Han nationality and the TuobaXianbei in the Northern Dynasties, was mental projection of the culture conflict andfusion process of Northern Dynasties. The process of cultural identity was also theprocess of re-selection and sublation of culture,so resistance of identification wasobvious. All sorts of contradictions and conflicts were essentially reveals of culturalconflict and hardship of identity. Under the cultural conflict and integration, TuobaXianbei and Han had experienced a spiritual dilemma, through arduous efforts; bothnational estrangement and alien feeling gradually disappeared completely andcomplete the cultural identity. The psychological experience was arduous andtortuous, and identity achievement was difficult. The way of the national identity of the Northern Dynasties showed commoncharacteristics such as differences, stage, twists, systematic, selective and inevitable,and personality characteristics such as initiative of dominative nationality and rulers,steadfastness and creativity of rulers.The background of occurrence and developmentand achievement of the national identity of the Northern Dynasties as well as thedriving force and strengthening approaches included: historical inertia and trend ofnationality identity and foundation during the period of the Sixteen States Dynasties;the ideological basis; an era opportunity provided by the change of nationaldistribution which was caused by the great migration; deep national interaction; rulersvigorously promoting for nationality self development and state stability and unity ofNorth and South and Han Scholars promoting too; economic transformation frommilitary plunder economy and the nomadic hunting and fishing economy early toagricultural economy working as support; under the Chinese identity, culturalinteracting of North and South and religious and folk beliefs identity working aspower etc.The completion and maintain of national identity of Northern Dynasty whichmutually had reinforced with national refusion promoted the state identity and socialdevelopment and developed the Chinese nation integration which had never stoppedto a new stage, which laid the foundation for the reunification of North and Southlater and formation of brilliant culture of the Sui and Tang dynasties. The nationalidentity of the Northern Dynasties was a successful history sample, a historymasterpiece that Chinese identity and Chinese cultural identity playing a decisive rolein the integration paradigm of Chinese nation.更多还原