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THE EARLIEST TOCHARIANS IN CHINA: A HYPOTHESIS是同作者《古族新考》一书的英文版。《古族新考》曾于2000年由中华书局出版，2012年由商务印书馆再版。该部部分在国外的具体发表信息如下：“The Earliest Tocharians in China”, Sino-Platonic Papers Number 204, June, 2010, Department of Asian and Middle Eastern Studies, University of Pennsylvania, Philadelphia, 2

78 pp。

吐火罗语文书的发现和对吐火罗语以及有关历史地理问题的研究，既是比较历史语言学界的大事，也是中亚学界的大事。盖自十九世纪末到二十世纪初，在我国西北地区出土的古文书残卷中，有若干以当时未知语言写成，其一即吐火罗语。给语言学家和历史学家提出了一系列需要解释的问题。特别是要先解释清楚：不管操吐火罗语的族群起源于何处，既然它很早就来到中国，应在中国史籍中留下足迹。换言之，他们究竟是以什么名称出现在中国史籍中的？本书就是作者根据史料所勾勒吴氏、陶唐氏、有虞氏的迁徒过程，构建关于“塞种”诸部渊源的假说，可以看成同作者《塞种史研究》一书的续编。

GENERAL INTRODUCTION: THE EARLIEST TOCHARIANS IN CHINA ...... 1

PART Ⅰ

CHAPTER 1 Tracing the Source of the Daxia ...... 47

CHAPTER 2 On the Migration of the Youyu Clan ...... 85

CHAPTER 3 On the Rong of the Surname Yun ...... 116

CHAPTER 4 A Theory about the Quanfang, Guifang, Gongfang, Xianyun and Xiongnu Coming From the Same Origin ...... 148

PART Ⅱ

CHAPTER 1 On the Qusou ...... 195

CHAPTER 2 On the Yiqu ...... 213

CHAPTER 3 On the Kunwu ...... 225

BIBLIOGRAPHY ...... 239

INDEX ...... 267

POSTSCRIPT ...... 273

余太山先生，是著名的中亚古史研究奠基性学者。毕业于中国社会科学院研究生院历史系，后于历史所任职，1993年起为研究员，曾任中外关系史研究室主任。专治古代中亚史、中外关系史。现为中国社会科学院荣誉学部委员。

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FOREWORD The aim of this book is to trace the migrations processe of the Shaohao 少昊 clan, the Taotang 陶唐 clan and the Youyu 有虞 clan to construct a hypothesis about the sources of the Sai 塞 tribes. The “Sai 塞 ethnic group” as seen in the “Xiyu zhuan 西域傳” of Hanshu 漢書 (ch. 96) must have been the Sakās of the Bahistun inscription of Darius I [521-486 BCE] of the Achaemenid Empire. The Sai 塞 ethnic group were mainly made up of four tribes: the Asii, the Gasiani, the Tochari and the Sacarauli. By the end of the seventh century BCE the Asii and other tribes had already appeared in the valleys of the Rivers Ili and Chu. As late as the twenties of the sixth century BCE the Asii and the other tribes extended westwards as far as the northern bank of the Syr Darya. After that they were called “Sakā” by the Persians. In around 177/176 BCE, the Sai 塞 tribes were forced to give up the valleys of the Rivers Ili and Chu because of migration of the Da Yuezhi 大月氏. Some of them moved south, split off, and separated in the regions of the Pamirs and then moved east and entered the oases in the Tarim Basin. In around 140 BCE, the Sai 塞 tribes crossed the Syr Darya and moved south. A group of them entered Ferghāna and another group, Bactria. The states they founded were respectively noted as Dayuan 大宛 and Daxia 大夏 in the “Dayuan liezhuan 大宛列傳” of Shiji 史記 (ch. 123). At about the same time, another group of the Sai 塞 tribes migrated to the littoral of the Aral Sea and the Caspian Sea going downstream along the Sry Darya. These Sai 塞 people were noted as Yancai 奄蔡, but those who remained on the northern bank of the Syr Darya were known as Kangju 康居 in the “Dayuan liezhuan 大宛列傳” of Shiji 史記 (ch. 123). In 130 BCE, with the support of the Xiongnu 匈奴 the Wusun 烏孫 made an expedition against the Da Yuezhi 大月氏; they defeated the latter and occupied the valleys of the Rivers Ili and Chu. The Da Yuezhi 大月氏 once more migrated west and reached the valleys of the Amu Darya, defeating Daxia 大夏 and occupying its territory. Thereupon, the states of Wusun 烏孫 and Da Yuezhi 大月氏, as described in the “Dayuan liezhuan 大宛列傳” of Shiji 史記 (ch. 123), were established. The Sai 塞 tribes, which appeared in the valleys of the Rivers Ili and Chu by the end of the seventh century BCE had possibly come from the east. The precursors of the Asii, the Tochari, the Gasiani and the Sacarauli seem to have been the Yunxing-Rong 允姓戎 (the Rong 戎 of the Surname Yun 允), the Daxia 大夏, the Yuzhi 禺知 (Yuzhi 禺氏) and the Suoju 莎車 who appeared in pre-Qin 秦 records and books. In 623 BCE, Duke Mu 穆 of Qin 秦 dominated the Western Rong 戎 and opened up territories which extended for 1,000 li 里. This event possibly caused the Sai 塞 tribes’ westerly migration.

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本丛书的研究范畴是公元前六世纪至公元六世纪的中亚史。

这一时段的中亚史有各种原始资料，其中汉语资料无疑是关键的。可以说，没有汉语资料，这一时段的中亚史无法构建。西方（包括印度、俄罗斯）学者研究这一时段的中亚史已有一个半世纪，成绩可圈可点。其主要缺点是没有充分利用汉语史料。弥补这一缺憾的是日本学者，从白鸟库吉算起，至少已有四代学者投身这一时段的中亚史研究，其主要特色正是利用汉语史料。可惜的是，日本学者很少英译自己的论著，西方学者又多不习日语，因而日本学者的有关成果罕见引用。余氏的研究不仅填补了中国中亚史研究的空白，而且比日本学者更充分地利用了汉文史料，且不说余氏以汉语为母语，对汉语史料的理解应胜过日本学者。

该文集的出版则有助于西方学者理解和运用汉语史料，使国内中亚史的研究深入世界，继而使得世界史意义上的古代中亚史研究更上层楼。

十本英文著作大部分已在国外发表。著者的译文均经Prof. Victor H. Mair（梅维恒）和Dr. Bruce Doar（陶步思）修改、编辑。两位都是优秀的学者——母语是英语、精通汉语、有丰富的编辑经验、熟悉古代中亚历史，主要的是负责的工作精神。十本英语论著发表时间跨度较大（1990—2017），又经过不同的英语编辑，原译文差异不小，这一次由著者本人历时2年，做了统一译文的工作。

书籍介绍

THE EARLIEST TOCHARIANS IN CHINA: A HYPOTHESIS是同作者《古族新考》一书的英文版。《古族新考》曾于2000年由中华书局出版，2012年由商务印书馆再版。该部部分在国外的具体发表信息如下：“The Earliest Tocharians in China”, Sino-Platonic Papers Number 204, June, 2010, Department of Asian and Middle Eastern Studies, University of Pennsylvania, Philadelphia, 2 + 78 pp。

吐火罗语文书的发现和对吐火罗语以及有关历史地理问题的研究，既是比较历史语言学界的大事，也是中亚学界的大事。盖自十九世纪末到二十世纪初，在我国西北地区出土的古文书残卷中，有若干以当时未知语言写成，其一即吐火罗语。给语言学家和历史学家提出了一系列需要解释的问题。特别是要先解释清楚：不管操吐火罗语的族群起源于何处，既然它很早就来到中国，应在中国史籍中留下足迹。换言之，他们究竟是以什么名称出现在中国史籍中的？本书就是作者根据史料所勾勒吴氏、陶唐氏、有虞氏的迁徒过程，构建关于“塞种”诸部渊源的假说，可以看成同作者《塞种史研究》一书的续编。