孟宪实 中国人民大学
Meng, Xianshi, Renmin University of China
原文Original
从户籍制度看唐朝的民族政策
多民族国家，民族平等从来是重要问题，这不仅涉及社会正义，也涉及到社会秩序的稳定。本文从唐朝的史料出发，力图就此问题进行考察。需要说明的是，本文所讨论的民族，是指已经入籍的各个民族，至于尚未入籍者暂不在本文讨论范围之内。具体而言，本文希望通过吐鲁番出土文书，从户籍制度上对这一问题进行历史观察。通常，户籍制度是指政府对国民实施的户口管理，不仅包括户口登记，其实旅行申办、赋税交纳登记和差役摊派等也可以算作这个制度的有机组成部分。
吐鲁番是唐朝的西州，下辖高昌、田地、天山、柳中等县。由于吐鲁番独特的气候条件和当时的独特葬俗，从而使得许多当时实用的文书被当作葬具埋在坟墓中，而这些文书正是反映当时历史事实不可多得的第一手宝贵资料。吐鲁番是古代丝绸之路的重镇，往来这里的各族人民络绎不绝，其中成为当地居民的也大有人在。那么，作为一个多民族的国家，唐朝是如何管理这些来自外族的国民呢？利用吐鲁番出土文书中丰富的人口管理资料，恰好可以观察唐朝民族政策在户口管理上的表现，而这正是本文得以展开的独特视角。
接触这一课题的学者普遍都有一个困难，要在具体的文书资料识别出不同的民族是一件困难的工作，原因很清楚，唐朝的户籍制度或者人口管理制度，在落实在具体文书上的时候，从来不给出民族标示。以昭武九姓来说，这些来自中亚的粟特人，是隋唐时期外来人口中最多的，但是在吐鲁番出土文书中，通常我们如果没有详细的墓志文字一般只有通过名字的独特性来识别，说是识别，其实就是推测。唐朝的户籍等制度，只认国民不认民族。凡是入籍者即是国民，除了最初的优待政策（如免税规定）外，与其他国民待遇完全一致。这是有启发意义的。
译文Translation
The Ethnic Policy of the Tang Dynasty as Exemplified by the System of Households
In a state made up of many ethnic groups the equality between different ethnic groups has always been an important issue, it is not only a question of social justice, but also a question of social order. This paper is based on historical material of the Tang dynasty and tries to clarify the question. It needs to be mentioned that this paper only deals with the ethnic groups that have been registered, but not with those whose names are not found in the registration books. Speaking concretely, this paper wants to explore the question by examining the household system as it is found in documents excavated in Turfan. In a general understanding, the household system is understood as the administrative measurements a government takes in order to govern the households of the people, it covers household registration, but also the application for traveling allowance, taxation registration and corvee labor or other contributions are also among the elements belonging to this system.
Turfan was the city of “Xizhou” in the Tang Dynasty; it governed the districts of Gaochang, Tiandi, Tianshan, Liuzhong. Because of the special climate of Turfan and due to the special funeral customs, many practical documents were used as funeral gifts and buried and thus preserved. These documents are first hand precious historical materials that reflect the historical facts of that time. Turfan was an important city at the Silk Road, and people from many ethnic groups passed by here, many of whom settled down in Turfan. Now the question is, how did the multi-ethnic Tang state deal with these nationals who came from other ethnic groups? Based on the excavated documents from Turfan – they contain rich materials concerning the population control – we can observe the expressions of the ethnic policy of the Tang dynasty as implemented in the household administration, and this is the special perspective of the present paper.
All the scholars who deal with this question face the same problem: it is very hard to distinguish the different ethnic groups in the documents. The reason for this is very clear: the household system of the Tang or their population control system did in the concrete documents never mark out the ethnic group to which a person belonged. As to the nine family names of Zhaowu, these names come from a group of Sogdians who were the biggest group of foreign immigrants during the Sui and Tang dynasties. However, in the documents excavated from Turfan we often have to tell the ethnicity from the special sound of the names, and if there is no detailed tombstone inscription, it is in fact more guessing than ascertaining something. In the household system of the Tang only nationals were recognized, but no ethnic groups were marked out as such. Everyone who had himself registered became a national, and he/she was treated like the other Chinese nationals, except for the favor status granted in the earliest period (the rule of tax exemption). This can reveal something about the historical treatment of ethnic groups in China.