黔西滇东地区战国秦汉时期考古遗存研究

【作者】 叶成勇；

【导师】 杨楠；

【作者基本信息】 中央民族大学 ， 专门史， 2009， 博士

【摘要】 本文在系统地分析南夷地区土著与汉移民考古遗存基础上,结合文献记载,较深入地论述了南夷社会文化内涵、变迁和文明化进程,得出以下基本认识。1.各区域土著社会文化在特定共性基础上形成了各自的多样性和独立性。特定共性表现为:墓葬都为土坑竖穴式,小区域内相对集中分布,规模小,随葬品普遍贫乏;基本经济生活为“耕田,有邑聚”;青铜器以求生防身的戈、剑、刀、削、矛作为主要武器,都重视扣饰、手镯、环、发钗、铃等装饰品,以铜釜作为炊煮器;青铜器在发展中形成了比较相近的形态与风格;各土著社会处在大致相同的发展层次,经历了相似的演变阶段,即战国中晚期、战国末期至西汉前期、西汉中晚期和西汉末期至东汉初期四个连续的发展阶段。这样的共性实质上反映的是一种文化模式,即建立在相似自然地理环境基础上的生产生活方式思维方式、心理特质和社会组织结构。更为重要的是,各区域文化具有多样性和独立性,统一的社会政治组织结构尚未出现。中水类型、可乐类型、八塔台文化类型、铜鼓山类型并列发展,是其中比较重要的独立性很强的区域性文化。造成这种文化多样性和独立性的原因,一方面是自然地理区隔的多样性,另一方面是各自文化内部的发展缓慢,交流不足,无力也不太需要超越自然地理的局限。由于周边的石寨山文化和巴蜀文化的相对先进和强大,其文化因素往往在南夷各文化类型中有不同程度的存在。石寨山文化对整个南夷地区都有影响,距离越近影响越明显,而巴蜀文化主要影响到横江流域的可乐类型和中水类型。南夷地区与周边土著性文化的这种关系的实质,是相似背景下的同质文化之间长期平等的接触与融合。2.土著社会在缓慢发展中形成了特定的文明化进程模式,即基于生存的开放——融合模式。民间社会生活的艰辛和物质财富的贫薄,不得不使技术改进以满足基本生存为前提。青铜技术精细化发展的方向是改进社会民众的生存方式,没有在战争武器和制度性礼器方向上取得进展。土著社会不断吸收巴蜀文化和石寨山文化的剑、戈、锄以及中原文化的漆器、铁器,改进各种用具的形态和装饰风格,采用铜铁合制技术等,正是民间社会自觉探求改进生存状况的种种努力。在社会结构和风习信仰方面,民间社会中没有规范强制性力量存在。“俗好鬼巫,多禁忌”之风尚、“少威棱,多懦怯”之性格、生死相依之血缘纽带关系、“皆椎髻”及好穿戴(发钗、手镯、扣饰、耳环)之服饰等,这些都没有权力、制度和上层文化的导化,而是民间自然认同的结果。上层社会主要通过个人才武的发挥、造神运动(“竹王崇拜”或民间巫鬼崇拜)和获得外来文化的特异物品(如特大型带钩、丝织品、铜鼓、汉印等)来取得民间社会的认可。南夷社会虽已是“小邦”林立,“大邦”初现,但大小邦之间“莫能相雄长”,没有形成强制性的政治等级关系和稳定的社会管理制度。各社会内部成员分化一直不突出,成员之间比较平等自由,血缘关系仍很浓厚。在这种背景下,土著社会各区域之间并列缓慢发展,并伴随着周边强势文化的驱动。这就是南夷社会基于生存的开放——融合的文明化路径,这种区域社会发展的态势对当地历史进程产生了多方面的影响。3.汉武帝开拓南夷以后,汉移民和汉文化在推动南夷社会文化变迁和文明化进程中发挥主导作用,南夷社会形成了新的社会发展模式——基于汉移民及其文化的夷汉政治、文化、族体三位一体的社会文化变迁。从汉武帝开拓西南夷以来至东汉晚期,汉移民一般从四川盆地分别从西边顺着横江流域,从东边沿着赤水河南下。汉移民的墓葬和居址一般都沿东西两边主要河流及其支流呈南北纵向线性分布,但又成片地集中在几个相对独立的区域内,并与土著和平共处,毗邻而居而葬。由于汉王朝的政治设置((?)郡及其十七县),在一定程度上改变了原各区域土著社会政治和文化之间难以超越自然地理环境局限的局面,加强了不同区域不同群体之间的联系,较快地推进了南夷社会格局的变迁。汉人在南夷地区建立了一个不同于母体,更能够适应地方的新社会,表明汉移民社会内部的协调机制比较完善。它满足了汉文化与土著文化近距离接触,长期和平交流互动的需要,更具有生命力和新内涵。因此,除了与整个汉文化保持统一性外,还形成了新的地方传统,如东汉时期在各个区域广泛存在的动物祭奠方式、复杂的合葬方式、汉文字使用方式和受土著影响的居住方式等。南夷土著社会的开放性落与后性兼具,注定汉文化要发挥促进其进步的主导作用。汉人进入后,夷汉之间不断磨合,发展形成了一种基于汉移民及其文化的政治、文化、族体三位一体的社会文化变迁模式。即汉人迁入并直接输入汉式经济、政治、文化,土著以开放心态吸收外来文化,吸留外来人口常驻,同时汉人也吸收一定土著文化。汉文化刺激、滋养、提升土著文化,同时整合社会结构和行为方式。夷汉之间的这种文化关系实质上是强弱悬殊的开放的互动的,但又不是对等的文化关系。汉人在土著社会文化的基础上,依赖并借助于土著,通过郡县制对南夷社会的结构重建是成功的,在政治和民族关系上由“郡国并治”向“郡姓一统”不断推进。双方通过互动整合,重新构筑出适合夷汉双方朝需要的更大范围的社会、政治、军事、文化活动空间和复杂社会结构。但汉人没有建立起真正让南夷社会持续发展的经济基础,主要依赖寄生于四川盆地经济和文化的输入,所以这时期南夷社会仍是畸形发展的社会。4.南夷社会所经历的两个前后连贯的发展阶段,各有特点又有共通性。第一阶段为土著主导的基于生存的开放——融合式发展阶段,体现为土著社会各区域文化内部的浅层次发展、各区域之间的并列发展和周边强势文化驱动发展。第二阶段为以汉移民为主导土著参与的基于汉移民文化的新的融合式发展,基本特点可概括为夷汉政治、文化、族体三位一体融合发展。总体而言,这两个阶段是连续性发展,但一直都存在对外界社会文化的某种依赖。早期依赖周边的滇池区域、四川盆地的青铜技术和器物,晚期主要依赖寄生于四川盆地的汉文化。可以认为,没有外来文化和移民的参与和刺激,南夷社会很难有真正的发展。所以南夷文明是一种依赖寄生型文明。更多还原

【Abstract】 Based on systematic analysis of archaeological relic of Nanyi aborigines and Han immigrants along with the documents, this article shows us a more in-depth exposition of cultural connotations, changes and civilizing process of Nanyi society.1. The aboriginal society and culture of every region in Nanyi had formed their own diversity and independence in the basis of specific commonality.All tombs were shaft pit-type, which relatively concentrated in small areas. The tombs were in small scale and always with poor funerary objects. The basic economic life was "ploughing, living together in cities". The technology systems of bronze smelting and production were same. The types of bronzes were convergence, such as taking dagger-axes, swords, knives, xiaos and spears as the major weapons in survive self-defense; appreciating the buckle ornaments, bracelets, ring, hairpin, bell and other decorations; using copper kettle as the cooking device. These artifacts developed into quite consistent styles. Nanyi society already had many "small states" and some new "big states", but there were no mandatory political hierarchy relation or stable social management system between them. All members of the society did not have obvious differentiation, they were equal. Blood tie was still close. This kind of cultural tradition was essentially a kind of cultural pattern, namely, the production and life styles, ways of thinking, psychological traits and social organizational structure were built on the basis of similar geographical environment. All of the above made the aboriginal communities be roughly in the same level of development. They experienced similar stages of evolution, that was, four consecutive stages of development~the middle and late Warring States period, the early Western Han Dynasty, the middle and late Western Han Dynasty and the period from the late Western Han Dynasty to the early Eastern Han Dynasty. But more importantly, in each small region, the aboriginal cultures had their own diversity and independence in the process of development. Water type, cola type, eight-tower cultural type, Tonggu mountain type were some of the more important and independent regional cultures thereinto. These cultural types had their own evolutions and features on the structures of tombs, funeral-types and funerary objects, no universal consistency was formed. The regional cultural diversity was caused by the diversity of geographical segments as well as the slow development status of culture in shallow level. It was unable and unnecessary to overcome the limitation of physical geography. Therefore, the cultural links between those regions were very weak and the communication and information spreading were very scarce and slow. Since the surrounding Shizhaishan culture and Bashu culture were comparatively advanced and powerful, their cultural factors were existed in various cultural types of Nanyi more or less. The essence of this cultural relation was long-term equal contact fusion-style development between homogeneous cultures under similar background.2. The aboriginal society formed specific mode of civilizing process through its own slow development, which was, opening for survival—the integration mode.The refinement of Bronze technology was for the sake of improving survival mode rather than developing the weapons or the ritual vessels. The hardship of civilian’s life and the poor material wealth forced people to improve the technology to meet the basic survival requirement. The unity and diversity represented in economy and technology, the constantly absorption from Bashu culture and Shizhaishan culture in swords, dagger-axes and hoes as well as the lacquerware and ironware of Han culture, the improvement of the shape and decoration style of all kinds of appliances, the adoption of co-production technology of copper and iron and so on, were efforts made by the civil society consciously to improve their living conditions. In the aspects of social structure and customs and beliefs, there was no coercive power in civil society. The customs of "worshiping the wizards and having many taboos", the characters of "less valiancy and more cowardice", the blood ties of "birth and death tightly interdependent", "hair were worn in a bun", in fond of wear (such as hairpins, bracelets, decorative buckles, earrings), none of which was leading by power, system or the upper culture, were resulted by civilian’s own communication and agreement. The upper class met the approbation of civil society mainly by means of showing their individual talents and abilities, fabricating gods ("worshipping Zhuwang" or worshipping wizards and ghosts) and obtaining peculiar things from alien culture (such as oversize belt hooks, silk fabrics, timbals, seals of Han, etc.). Under this background, every small region of the aboriginal society communicated and integrated with each other in a shallow level constantly. All regions developed jointly, accompanied with the driving of the strong cultures surrounded. This was the opening for survival of Nanyi civil society—the integration mode. However, neither the route pursued by the civilian or that did by the upper class of Nanyi society achieved remarkable effects. Civil society did not find a suitable survival mode. Poverty, hardship and powerlessness were in anytime and in anywhere. Living space was cramped and life was monotonous. The environment was atrocious. The power of innovation was weak and the production technology maintained in a very low level. Though the route pursued by the upper class had made some progress, it was suppressed because the upper class did not lead civilian to break through the existing lifestyle, the foundation of economy was weak, and the wealth was deficient. Such a regional development trend affected the local historical process in many aspects.3. Han immigrants and Han culture played a leading role in promoting the cultural changes and civilizing process of Nanyi society.In the period from Emperor Han Wu explored Xinanyi until the late Eastern Han Dynasty, the Han immigrants generally migrated from Sichuan Basin to the south along with Hengjiang River in the west and Chishui River in the east. So the tombs had a vertically north-south line distribution along with the rivers and the tributaries on both sides of the east and west, but they concentrated in several relatively independent regions. The political settings of the Han Dynasty, in a certain extent, changed the situation that the original aboriginal politics and culture could hardly overcome the environment, and strengthened the bond of different regions and different communities, and promoted the change of Nanyi social pattern. It could be reflected by the high degree of uniformity of cultural features and connotation and the synchronization of changes of the Han immigrant culture. Besides maintaining the unity with the Han culture, the Han immigrants formed new local traditions, such as the way of offering animals as sacrifices in memorial ceremonies, the very complex ways of burying the dead together, the way of using words and ways of living impacted by the aborigines which were wide spreading in the Eastern Han Dynasty.Because of the openness and backwardness of aboriginal society, the Han culture played a leading role in promoting the social development of Nanyi society. After the immigration of Han people, by accommodating with each other, a fusion-style mode of trinity development of politics, culture and ethnic group based on Han immigrant culture was formed between Yi and Han. Han people moved into Nanyi and inputted the Han-style economy, politics and culture directly. The aborigines, with their open minds, absorbed the alien culture and adopted the aliens to live permanently. At the same time, the Han people absorbed the aboriginal culture in a certain extent. The alien culture stimulated, nourished and promoted the aboriginal culture while integrated social structure and behavior patterns. The Han immigrants and aborigines, by complementary integration, found a mechanism to adapt the environment and the original social traditions. In the aboriginal social and cultural basis, Han people, depending on the aborigines, re-built a broader range of social, political, military activity space and complex social structure which was needed by Han Dynasty. Han people were successful in the reconstruction of the upper class of the aborigines by the county system and established a long-term effectual mechanism in dealing with political and ethnic relations, but they did not find a truly effective means to stride over the economic technology of Nanyi society. Largely, they relied on the cultural input from Sichuan Basin, so, in this period, Nanyi society was a society in abnormal development.4. The development in the two stages of Nanyi society had their own features and commonality.The first stage was a stage when openness was based on survival leading by the aborigines-a fusion-style development stage. The basic feature of this stage could be summarized as multi-cultural coexistence and interaction, which was reflected in the shallow level contact fusion-style development and the coordinate development among small regions of aboriginal society, and the development drove by the stronger culture surrounded. The second stage was a stage when the development was leading by Han immigrants and participating by aborigines in the basis of Han immigrant culture. This stage could be concluded as "immigration" and "absorption" fusion-style social and cultural change and trinity development of politics, culture,and ethnic group. It was reflected in the political, cultural and ethnic interaction and complement between the upper class of aborigines and the Han dynasty and between the aborigines and Han immigrants. The social order of Nanyi, which was led by Han people (officials, the common surname and immigrants) and participated by aborigines, was perfected constantly. The upper class of Yi and Han (officials and the common surname of counties) cooperated. The political centrifugal force was strengthened. They maintained a semi-independent status with the central government. Different social members or groups, under the guidance of common Han-style cultural psychology, values and interests, cohered into a new close community.Overall, however, Nanyi society was always dependent and parasitical. In its early stage, the aborigines relied on the bronze technology and artifacts of the surrounding Dianchi region and Sichuan Basin. In its late period, they largely relied on the Han immigrants and Han culture in Sichuan Basin. It could be supposed that Nanyi society could hardly self-sustain, and it could not truly developed without the participation and stimulation of alien culture and immigrants. In conclusion, Nanyi civilization was dependent and parasitical.更多还原