隋唐五代内迁蕃胡族源考异

【作者】 尹勇；

【导师】 郝春文；

【作者基本信息】 首都师范大学 ， 中国古代史， 2011， 博士

【副题名】以个案人物姓氏研究为中心

【摘要】 采用符合汉地习俗的单姓是中古时期内迁民族融入华夏文明的必然趋势。一般来说,内徙民族的汉式单姓与其族源有密切联系,即通常所谓的“以国为姓”。但是,由于时代特点不同,隋唐五代的中原朝廷并未象北魏那样为内徙民族规定具体的族姓制度。在缺乏制度资源的背景下,一方面,“以国为姓”的古老传统在隋唐时代仍然在延续；但另一方面,这个传统也不断遭到破坏,内迁蕃胡的姓氏改易发生了不同于以往的新变化。然而一直以来,学界对这种变化并未进行专门研究,“以国为姓”仍然是学者们判断入华蕃胡将领族源的最基本依据。本文的基本观点是：中古后期杂居在中原王朝境内的新附民族,其姓氏取向往往受到列置之地的政治生态和文化环境的影响。在游牧民族政治势力强盛的地区,内迁胡族(主要是粟特民族)往往采用当地某一强蕃汉化单姓；相反,在胡族政治势力强大之地或文明影响巨大的区域,内迁蕃族往往采用“胡姓”(本文特指康、安、米、史等所谓的“昭武九姓”)。当然,这里往往还伴有其它因素,诸如内迁蕃胡历史的联系以及经济利益需求等,但从整体上来看,现实的社会环境,主要是政治势力和文明程度的对比是内迁蕃胡姓氏取向的决定因素。为了使以上看法经得起检验,并为进一步思考提供素材,本文以北朝末至五代时期若干典型的个案人物为例,进行实证或分析。他们是：活跃于北朝隋初的并州检校萨宝府虞弘和另一个萨宝后裔翟突娑、隋唐之际的伊州祆主翟槃陀、唐朝前期的六胡州大首领安菩、安附国家族、突厥可汗后裔阿史那社尔、安史之乱时叛军大将康阿义屈达干、唐中后期河朔魏博节度使史宪诚及其子史孝章、幽州节度使李怀仙、五代后晋皇帝石敬瑭、大将康福等。这些个案人物的族源一度是学界热议的话题,虽然诸家之说在细部上各各有异,但依据姓氏推断其族源的基本方法和原则未变。如虞弘(鱼弘)为北族鱼国人后裔,翟突娑、翟槃陀是丁零(高车)翟氏后裔；而安菩、安附国、康阿义、史宪诚、石敬瑭、康福等则是具有“胡姓”粟特人后裔,李怀仙则因为载籍云其为“胡”,故亦为粟特后裔,等等。通过重新考察上述诸个案的家世源流,以及对他们内迁后的政治生态、文化环境的分析,本文认为“以国为姓”的传统思维对这些人是不适用的,并提出自己的结论：不具有“胡姓”的虞弘、翟突娑、翟槃陀等应为粟特血统,而具有“胡姓”的安菩、安附国、康阿义、史宪诚、石敬瑭、康福等则恰恰是北方游牧民族后裔。之所以出现这样的族、姓相悖的现象,最基本的原因是由内迁蕃胡列置之地的具体社会环境造成的。其中,身为粟特后裔的虞弘及翟突娑、翟槃陀需要仰仗当地强蕃势力,基于某种政治利益的考量故摒弃入华粟特人通常采用的康、安等姓氏改从“蕃姓”,而几乎基于同样的原因,康阿义、史宪诚、石敬瑭等采用粟特“胡姓”。当然,政治因素不是内附蕃胡族源与姓氏发生“相悖”现象的唯一因素,文明的落差、历史的联系以及经济利益的诉求对“以国为姓”这个传统的破坏也具有重要影响,特定时期甚至成为内迁蕃胡姓氏取向的主导。上述考察之个案多是内迁族群中的典型代表,如安菩、阿史那社尔应为“柘羯”,康阿义、史宪诚等可称为“杂种胡”,而石敬瑭、康福应该是沙陀突厥人后裔,通过对他们族源的“考异”,我们还可以得出以下认识：信仰祆教者多是西胡民族特别是粟特人后裔,而凡充任胡人领袖萨宝者,似乎皆为粟特后裔。“柘羯”、“杂种胡”、沙陀蕯葛、安庆部落除粟特裔外,杂有突厥、回纥、奚等游牧民族的“胡姓蕃种”比比皆是；这些人往往具有“胡貌”,有时唐人也呼其为“胡”。个案研究以及相关结论,不仅可以加深我们对中古后期内附民族姓氏取向多元性的认识,以及对中古后期内亚和西胡民族相互关系的理解,同时对于我们解读中古时期若干重大问题,诸如六胡州首领的设置、安史主力的民族成分、沙陀突厥的胡化和汉化等问题,也提供了一个新的观察角度。更多还原

【Abstract】 It was an inevitable trend for immigratory groups to adopt single surname in line with central Chinese custom in the medieval age when they merged with Chinese civilization. In general, the single Chinese surname of immigratory ethnic groups is closely linked to their ethnicity, which is commonly so called "to the chiefdom as a surname". However, the Sui and Tang Dynasty did not stipulate specific surname system for the immigratory groups like the Northern Wei Dynasty, due to the different characteristics of the times. Without related institutions, on the one hand, the ancient traditions of "to the chiefdom as a surname" are still used by the western and northern nationalities who continuously move to the midland; on the other hand, this tradition has been destroyed with the immigratory groups surname of "Hu" (mainly the"昭武”surname,such as Kang、An、Mi etc) groups or "Fan" (mainly the inner Asian peoples) groups making changes different from before. However, the prejudice of fixing the ethnicity according to surname is prevalent in today’s ethnic group research of the Middle Ages, owing to the shortage of academic comprehensive study on this variation.The basic point of this article is that for the immagratory groups who resettled in the Central Plains and mixed with other ethnic group in the late Middle Ages, and their surnames are often set by the political ecology and cultural environment of the land. In the nomadic areas with powerful political forces, Inland "Hu"(胡)family (mainly the Sogdian people) tend to use the single surname of a powerful aboriginal group; on the contrary, in the region with the "Hu" family of great influence or civilization, Inland "Fan"(蕃)groups often uses the surname of sogdians. Of course, it is often accompanied by other factors, such as the history link of immigrantory groups and economic interests of the demand. But on the whole, the reality of the social environment, to be exact, the political forces and comparison of the level of civilization, determines the surname orientation of immigratory people.This paper selected a number of typical cases from the late Northern Dynasties to Five Dynasties(五代)to demonstrate whether this view can stand and gain more materials for further analysis. They are:the official Yu Hong(虞弘)in the Northern Dynasty and early Sui Dynasty governments; Zhai Tu-suo(翟突娑)，descendant of an official of Bingzhou; Zhai-Bntk(翟槃陀)on the occasion of the Sui and Tang; An-sha family and An Fu-guo family, the leaders of alti cub Soydap(六胡州)；Ashina She-er：阿史那社尔),the descendants of Ashina family; Kang-ayi kul targan(康阿义屈达干),the general of An-Rosxan; Shi Xian-chengl：史宪诚),the Mid and Late Heshuo weibo Military Commissioner and his son named Shi Xiao-zhangi(史孝章)；LI Huai-sen, Youzhou Military Commissioner; Shi Jing-tang(石敬瑭),the later Jin Emperor of Five dynasties, and Kang fu(康福)，the Jin general. The ethnicity of those cases was once a hot topic among scholars. Although all of them have different opinions in details, the basic methods and principles of inferring their family’s source according to surname are not changed, for example, Yu Hong considered as the descendant of Yu State：鱼国)；Zhai tu-Suo, Zhai bank as descendants of Tuyliyl(丁零)；and An sha、An-fuguo, kang-ayi kul targan,、Shi Xian-Cheng,、Shi Jing-tang, kang-fu, etc.as inner Asian peoples but Sogdian descendents; LI Huai-xiani(李怀仙)as "Hu" because his appearance liked the Sogdian descendants.By reexamining the origins of their family and analyzing the political environment or cultural environment after they immigrated, this paper holds that the traditional thinking "to the chiefdom as a surname" is not applicable for these people and comes to conclusion:these without "Hu" surname such as Yu Hong, Zhai Tu-Suo,Zhai-bank, etc. might be Sogdian descendants, while those with "Hu" surname such as An Sha, An Fu-guo, Kang ayi, Shi Xian-Cheng, Shi Jing-tang, Kang fu, etc. are just descendants of northern nomads. Such deviation is caused by the specific social environment where immigrantory ethnic peoples settled down. Based on the interests of certain political considerations, the Sogdian descendant Zhai Tu-suo, Yu Hong and Zhai Bank who need to rely on strong aboriginal forces adopt the surname of "Fan" and give up "An" or "Kang". For the same reason, Kang Ayi、Shi Xian-cheng、Shi Jing-tang use the surname "Hu". Besides the political factor, the gap of civilization, history links and economic interests demand have an important influence on the destruction of the tradition. Even the specific historic period was also a dominant cause.These cases mentioned above are typical among the immigrantory peoples. For example, An sha、Ashina She-er should be "Zhe Jie"(柘羯)；Kang Ayi, Shi Xian-cheng, etc.can be called "hybrid Hu"; and Shi Jing-tang, Kang Fu is no doubt descendants of Shatuo(沙陀)peoples. By researching their origin, we can draw the following conclusion:those who believe in Zoroastrianism should be descendants of West Hu ethnic, especially sodigan, while those who act as s’rtp’w(萨宝),leaders of "Hu", seem to be descendants of Sogdians. "Zhe Jie"(柘羯)\Shatuo(沙陀),Anqing tribes except Sogdian descent mixed with Turkic, Uighur, Xi(奚族)and other species abound. These people who often have sogdian appearance are called "Hu "by the people of central plains.Case studies and related conclusions can not only help us deeply understand the diversity of surname orientation of immigrantory peoples in the late Middle Ages and the relationship between inner Asian peoples and West Hu ethnics in the late Middle ages. In addition, they provide a new viewing angle for us to interpret a number of important issues in the Middle Ages, such as setting the chiefs of six Hu states, the ethnics components of the An-Rosxan’s army, and Shatuo((沙陀)peoples assimilated into Han and sogdianse.更多还原