【作者】 赵心愚；

【导师】 冉光荣；

【作者基本信息】 四川大学 ， 专门史， 2003， 博士

【摘要】 本文运用大量的历史文献资料、民族志资料和笔者近年来在纳西族地区进行调查获得的第一手资料，对纳西、藏族的族源关系和7—20世纪初的关系、相互间出现的融合、这一关系形成发展原因与性质特点及影响等进行了系统深入的研究，提出了一系列新的观点与看法。本项研究不仅对纳西族、藏族历史关系的研究是一种促进，对中国民族关系史的研究和中华民族多元一体格局的形成研究也具有重要意义。 用科学方法对纳西族及其文化等进行学术意义上的研究始于19世纪后期。最初的研究是偏重于语言、文字，但包括纳西族与藏族等民族的关系在内的诸多问题在研究中实际上都有涉及，因此，纳西族与藏族历史关系研究一开始就是纳西族研究的一个重要课题，可以说与纳西族语言、文字的研究是同步的。但是，一百多年来，这一关系的研究仍存在种种不足。从总体上讲，纳西族研究尽管已有100多年的历史，但纳西族、藏族历史关系却长期未被作为一个重要课题提出，只是在探讨其他问题时才顺带涉及，与语言、文字、宗教、文化的研究相比，这一关系的研究明显薄弱。1980年以来，尽管已有一些论文专门探讨这一关系，但明显缺乏深度，尤其对这一关系运用历史学的理论与方法从整体上去系统研究还很不够。同时，有关的研究不但存在研究的点与面相当分散的问题，也存在不少空白点需要去填补。 本文把研究对象确定为纳西族、藏族历史关系，主要有这三方面的原因：其一，近20年来，这一关系的研究虽已有一些专题性论文发表，但多为研究这一关系的某个方面或某个时段，运用历史学的理论与方法，以时为经以各方面关系为纬的系统研究仍相当少。因此，将其作为研究对象，希望能在一定程度 上起到弥补不足的作用。其二，纳西族、藏族历史关系具有少数民族关系中的 大、小民族关系的典型意义，将其作为研究对象，可以丰富我们对西南地区民 族关系发展规律的认识。其三，纳西族、藏族历史关系虽为区域性民族关系， 但将其作为研究对象，可拓展中国民族关系史的研究领域，加深我们对中华民 族多元一体格局形成的认识。 根据本项研究的具体情况，纳西族、藏族历史关系分为两个部分进行探讨， 即族源关系与不同历史时期关系的研究，同时又注意两个部分的联系。 本文第一章为绪论，主要是对19世纪末以来国内外纳西族、藏族历史关系 研究的状况进行评述，并简要概述了本文的立题、资料来源与难度、研究的原 则与思路及论文的结构等。在以上综述后，共安排了四章来展开课题的研究， 系统探讨纳西族、藏族的族源关系及7一20世纪初的关系。 为探讨纳西族与藏族在族源关系上的关系及特点，本文第二章“纳西族、藏族的族源关系”从“多弥羌与两族族源关系”、“猴祖传说与两族族源关系气 “从石棺葬看两族族源关系”、“从《白狼歌》看两族族源关系”、“从文化习俗看两族族源关系”等方面展开研究，运用历史学、民族学、语言学、考古学、 民俗学的理论与方法，充分探讨两族族源关系及特点，论证两族族源因古羌人这一联结环节而存在关系，并为之后两族宗教、文化等方面的关系研究奠定了基础。 7一13世纪中期是纳西族、藏族历史关系中的一个重要时期。为把握这一时期两族关系全貌，分析其特点，本文第三章心一13世纪中期的纳西族、藏族关系”从“7一13世纪中期纳西族的分布情况”、“吐蕃统治时期及吐蕃王朝崩溃后两族的政治关系”、“两族分布区域间的交通及贸易”、“藏族宗教文化在纳西族地区的传播及影响”等方面进行探讨。其中，“7一13世纪中期纳西族的分布情况”与“吐蕃统治时期及吐蕃王朝崩溃后两族的政治关系”部分，依据文献记载，对纳西族的分布情况及吐蕃的南向扩张作了必要的阐述与分析，对吐蕃王朝崩溃后两族关系也进行了探讨，明确指出由于吐蕃势力的变化，两族关系呈现出高潮与低潮。在“藏族宗教文化在纳西族地区的传播及影响”这部分中，重点分析了本教对纳西族宗教、文化的影响，明确指出东巴教与纳西族象形文字的产生都与这种影响有关。 从13世纪中期开始，纳西族与中央王朝的关系进入一个较为密切的时期，与藏族的关系也进入了一个新的阶段。为探讨这一时期两族关系的发展变化及女特点，本文第四章“13世纪中期一17世纪中期的纳西族、藏族关系”从“13世纪中期至14世纪后期丽江木氏家族力量的发展”、“纳西族木氏土司向藏区的扩张及在藏区的统治”、“两族贸易的发展及纳西族移民在藏区的经济活动”、“藏族宗教在纳西族地区的继续传播及两族文化的相互影响”等方面展开研究。这一时期两族关系中的最大事件是木氏土司崛起及向藏区的扩张和长期统治，对这一问题本章作了深入研究，强调了明王朝对木氏土司的扶持所产生的影响。这一时期藏传佛教在纳西族地区继续传播，本章通过分析提出各教派对不同地区纳西族有着不同程度影响的看法。本章通过分析还指出，木氏土司与噶玛噶举派的密切关系对两族关系的各方面都产生了影响。这一时期也是两族经济文化交?更多还原

【Abstract】 On the rich historic resources of documents and ethnic annals, the author probes the original relation and the relation during the 7-20th century between Naxi and Tibetan, and its reasons and characteristics, together with the author’s fieldwork at Naxi areas. Some new ideas are put forth. The research promotes and complements the study on the relation of Naxi and Tibetan, which is of great importance to the union of all the nations in China.The scientific method was adopted to study the culture of Naxi in the late 19^th century. At first, the research emphasized on the language and characters, together with some study on the questions such as the relation between Naxi and Tibetan. So the study was a key topic in the study of historic relation between Naxi and Tibetan. But the study was not complete during more than 100 years. Generally speaking, the relation between Naxi and Tibetan was not regarded as an important topic though the study has lasted for more than 100 years. It was only included while the study on the language, characters, religion and culture was carried on. From 1980 on, some academic papers have talked about the relation, but the depth is somewhat shallow. Especially the systematic study in a historic way is needed. At the same time, the study is not concentrated and some blanks need to be filled in.This dissertation put the emphasis on the relation between Naxi and Tibetan because of the following three reasons. Firstly, some papers on special topic only paid attention to some aspects or some period, and the systematic study in a historic way is absent. Secondly, the typical meaning of minorities in the relation between Naxi and Tibetan can enrich the knowledge on therules of the ethnic relation in the southwest of China. Thirdly, though the relation between Naxiand Tibetan is regional, the topic can widen the study field of ethic relation and can enrich the knowledge of the union of nations in ChinaAccording to the specific conditions, the study on the historic relation between the two nations is divided into two parts （the original relation and the historic relation in different periods ）. At the same time, the connection is also considered.The first part reviews the situations of the relation between Naxi and Tibetan, and gives a general idea on the choice of the topic, the resources of the documents, the principles of the research, ways of thought and the structure of the dissertation. After the general statement, the original relation between Naxi and Tibetan and the relation during 7^th 20^th century were probed in four parts.For the study on the relation and its character, the second part probes the original relation between Naxi and Tibetan in five sections. According to the documents, ethnic annals, archeological study and fieldwork, the original relation between the two nations and its character are analysed. The original relation existed because of ancient Qiang, which is the basis of the study on the ethnic religion and culture.The period of 7^th 13^th century was important for the relation between Naxi and Tibetan. For the complete knowledge for the two peoples and its character, in the 3-4th parts, the relation is studied in four aspects. And in the parts of The Distribution of Naxi in 7^{th 1}3^th Century and The Political Relation in and after the Government of Tufan, the distribution of Naxi and the necessity to spread to the south are probed. The relation after the government of Tufan is also analysed to point out the climax and the low ebb because of the Tufan forces effect. In the part The spread and effect of Tibetan religion and culture in the Naxi area, the effect of Tibetan religion on the religion and culture of Naxi is outlighted, which is of great importance to the appearance of Dongba religion and the ideography.From the middle of 13^th century, the relation between Naxi and central government came to be close, and the relation between Tibetan also came to a new stage. For the change and its character of the relation更多还原