沙陀的形成及其与北方民族关系研究

【作者】 袁本海；

【导师】 李鸿宾；

【作者基本信息】 中央民族大学 ， 专门史， 2010， 博士

【摘要】 作为中国古代民族的一个成员,沙陀原为西突厥别部,活动于西域,后内迁代北地区,以之为根据地逐渐发展壮大。在从西域到代北,沙陀和多个民族产生互动、融合,逐渐从一个小的部落形成一个民族共同体。在五代,沙陀建立了后唐、后晋、后汉三个王朝。本文以沙陀与北方民族的关系为研究对象,来了解沙陀由一个小的部落到形成民族共同体乃至建立王朝前后与北方民族所建立的政治、军事和经济等关系。文章内容安排如下：第一章为绪论,主要讲论文选题的由来、选题的意义、沙陀研究综述、论文的研究方法以及论文写作过程中的难点和重点等内容。第二章在学者对沙陀族源研究的基础上进行论述,表明笔者对学者观点的倾向性。虽然沙陀中融入了处密、回纥、粟特等民族成分,由于民族的族源具有单一性,不能将其组成成分作为族源。根据沙陀祖先的世系其族源应该是西突厥处月部落之朱邪部。沙陀长期于西域迁转活动,曾一度迁居甘州,后内迁至代北发展、壮大。第三章主要论述沙陀民族共同体的形成过程及其民族成分。沙陀民族共同体的形成经历了朱邪部、沙陀、沙陀三部落这一新的民族共同体三个过程。在形成新的沙陀民族共同体的过程中,沙陀吸纳了回鹘、粟特、达靼、汉人等不同的民族成分,他们共同为沙陀的形成和沙陀王朝的建立做出了贡献。第四章论述了沙陀和契丹的关系。由于唐末五代时期,北方契丹势力最强,故以此作为文章的一个重点。文中着重论述了沙陀与契丹的四次会盟,这四次会盟各自都有不同的利益诉求,体现出围绕利益展开的双方的政治、军事关系。幽州的地理位置决定了它是中原的北方天然屏障,同时也是北方游牧势力南下的孔道。沙陀和契丹还曾展开了对幽州的争夺,石敬瑭借契丹援助建立后晋,将幽云十六州割让契丹,对后世产生了重大影响。第五章论述了五代时期北方民族对沙陀王朝的朝贡。本章选择朝贡为对象的原因是,当时北方除契丹之外的其他民族的资料难以支撑一个章节的内容,这些民族都与沙陀王朝保持着朝贡关系,没有什么冲突。文中对朝贡的民族分了西北、北部、东北三个区域分别论述。文章主要在分析表格的基础上来看北方民族朝贡沙陀的次数、贡品、回赐、贡使等内容。北方民族与沙陀王朝之间以朝贡为媒介建立的经济关系,不仅具有一定的经济意义,同时还兼具一定的政治意涵。更多还原

【Abstract】 As a member of the Chinese ancient ethnic groups, the Shatuo formerly belonging to West Turks lived in the West Regions, and later moved into the north of Dai, and took it as a base had grown. From the Western Regions to the north of Dai, the Shatuo interacted, blended and gradually formed a ethnic community from a small tribe with a number of ethnic guoups. In the Five Dynasties, Later Tang, Later Jin, Later Han were established by the Shatuo. In this paper, the relations are the research object to understand political, military and economic ties between the Shatuo and the northern ethnic groups. The contents of the article are as follows:Chapter One is the Introduction, including the origins of the main topic on the paper, significance on topics, Survey of the Shatuo, research methods and the difficulties and keys in writing and so on.Chapter Two is the discussion based on the scholars’ study of the ethnic origin of the Shatuo and shows the author’s tendency. Although the parts of the Chumi, the Uyghur, the Soghd and other ethnic groups integrated into the Shatuo, due to the oneness the ethnic origin, they can not be called the origin of the Shatuo. According to the Shatuo ancestral lineage, the origin should be the Zhuye tribe of the Chuyue tribal alliance of the Western Turkic Khaganate. The Shatuo lived in the Western Region in a long time, then moved into Ganzhou, the latter moved into the north of Dai in developing and expanding.Chapter Three mainly discusses main formation process of the ethnic community of the Shatuo and its ethnic composition. There are three processes of the Zhuye tribe, the Shatuo and the Shatuo three tribes of a new ethnic community during the formation of the ethnic community of the Shatuo. In the process of the formation of the ethnic community, the Shatuo absorbed Uyghur, Soghd, Tatar, Han etc different ethnic composition. They made together contributions to the formation of the Shatuo and the establishment of the Shatuo Dynasties.Chapter Four discusses the relations between the Shatuo and the Khitan. During the end of the Tang and the Five Dynasties, the Khitan was the strongest force in the north of ancient China. So the relations are accepted as an emphasis of the article between the Shatuo and the Khitan. This paper discusses four alliances between the Shatuo and the Khitan as an important aspect. Each of the four alliances has different benefit demands and reflect the political and military ties around the benefits between the Shatuo and the Khitan. It is a natural barrier of the North Central Plains that the location of Youzhou shows, but also is a southward road for forces in the northern nomadic groups.It had ever launched a competition for Youzhou between the Shatuo and the Khitan。Shi Jingtang established the Later Jin Dynasty through the assistance of the Khitan, and ceded "You-yun 16 states" to the Khitan, which had a significant impact on future generations.Chapter Five discusses the northern ethnic groups tributed to the Shatuo Dynasties. The reason selecting tribute as the object of the chapter is that historical data about the northern ethnic groups addition to the Khitan during the Five Dynasties are difficult to support a chapter. These northern ethnic groups with the Shatuo Dynasties were maintaining tributary relations and had no conflict.The tribute of northern ethnic groups in the paper are separated the northwest, north, north-east three regions to discuss. The paper is mainly the basis of tributary forms to analysis the number of tribute, tribute, returns and tributary envoies and so on. The economic relations through tribute not only has some economic significance, but also possesses a certain degree of political meaning among the Shatuo Dynasties and the northern ethnic groups.更多还原