【作者】 赵瑞军；

【导师】 熊铁基；

【作者基本信息】 华中师范大学 ， 中国古代史， 2012， 博士

【摘要】 无论从历史学还是政治学看,刘秀“退功臣而进文吏”都是一个重要的研究对象。回顾前人关于刘秀“退功臣而进文吏”的研究,大多在探讨刘秀的治国方略时有所涉及,将刘秀“退功臣而进文吏”作为单独事件展开全面系统深入研究的并不多。东汉初年,刘秀采取“退功臣而进文吏”的统治方略,一方面保全了功臣,稳定了政局,另方面又使东汉政权在短短不到三十年的时间里实现了由武官执政到文官执政的转变,巩固了统治东汉初年功臣的形成。伴随着春秋战国时期的诸侯纷争,军功爵制产生并发展起来的,并在秦和西汉初年达到兴盛,此后虽有衰弱,但两汉之际的战争再次为军功爵制提供了展现其价值的历史舞台。东汉建立后,刘秀按照军功爵制先后对功臣进行两次大规模的分封爵土,并通过其他一些物质赏赐和荣誉方面的恩宠与褒扬等。东汉初年,一个以功臣为主体,拥有强大的政治势力和经济基础,具有高等的社会地位和特权的新社会阶层——功臣阶层形成了。功臣把刘秀拥戴为皇帝,但随着功臣阶层权势的不断壮大,又对皇权产生了威胁。“退功臣”研究。以往的史家,以及有关史料,在对刘秀“退功臣而进文吏”的研究或论述中,往往认为刘秀“退功臣”中的功臣仅是指“云台二十八将”为代表的首要功臣。其实不然,东汉初年刘秀“退功臣”中的“功臣”是指东汉初年的所有军功人员,不仅仅包括“云台二十八将”为代表在中央机构任职的功臣,还包括州、郡、县行政机构的军功人员。东汉初年,刘秀在统治方略上着眼于东汉政权的长治久安,通过巩固军权、政权等一系列措施,历经三个阶段,最终成功的剥夺了军功人员的官职。“进文吏”研究。中国古代的文官制度,在夏商周时代就已经出现,在春期战国时期有所发展,在秦代初具框架,在西汉武帝时初步形成。中国古代的文官制度有着重要的统治功能,它不仅有利于加强封建中央集权统治,而且有利于封建政权的行政管理和廉洁吏治。东汉建立后,刘秀“退功臣而进文吏”,从统治方略上来讲,就是为了巩固发展文官制度,以保证东汉政权的长治久安。东汉初年,刘秀引进的“文吏”包括儒生、文吏、儒法兼通之人。刘秀通过恢复巩固西汉以来的官员选拔制度,引进前朝旧臣,发展教育培养后备官员的方式,引进大量文官,不仅弥补了“退功臣”后出现的官职空缺,而且还较快地使东汉政权得以正常运行。刘秀“退功臣而进文吏”虽然对巩固发展文官制度,维护东汉政权的统治起到了一定的积极作用,但同时也留下了一些消极影响。更多还原

【Abstract】 Liu Xiu’s "dismissing meritorious military officials and introducing civilian officials" is an important object of study, no matter from the perspective of history or politics. Looking back at the studies on Liu Xiu’s "dismissing meritorious military officials and introducing civilian officials" by other scholars, most of them are involved in the discussion of Liu Xiu’s strategy of ruling the country, but few of them take Liu Xiu’s "dismissing meritorious military officials and introducing civilian officials" as a single event to study in a comprehensive and systematic way. In the early years of Eastern Han Dynasty, Liu Xiu’s ruling strategy of "dismissing meritorious military officials and introducing civilian officials" not only helps to stabilize the political situation by preserving the meritorious military officials but also avails the civilian officials to take the charge of Eastern Han’s regime from the hand of the military officials in less than30years and thus to consolidate his rule.The forming of the meritorious military officials in the early Eastern Han Dynasty:with the vassal wars in the Spring and Autumn and the Warring States Periods, the enfeoffment system based on military feats arose and reached its peak in Qin Dynasty and early Western Han Dynasty. After that, it started to wane, but the wars between Eastern and Western Dynasties provided this kind of enfeoffment system a history stage to demonstrate its value again. After the establishment of Eastern Han Dynasty, Liu Xiu allocated territories to the meritorious military officials according to the enfeoffment system based on military feats and gave them rewards of both wealth and reputation. In the early years of Eastern Han Dynasty, the class of meritorious military officials formed who possessed strong political power and economic foundation and bore high social status and privileges, with the meritorious military officials as its main force. Although meritorious military officials supported Liu Xiu as the emperor, with the strengthening of power and influence of the class of meritorious military officials, they posed a threat to the imperial power anyway.The study of "dismissing the meritorious military officials ":the meritorious military officials in Liu Xiu’s "dismissing the meritorious military officials" refers to the primary meritorious military officials represented by "Yuntai28Military Officials" only in the study or exposition about Liu Xiu’s "dismissing meritorious military officials and introducing civilian officials" according to other historians and relating historical materials. However, the meritorious military officials in Liu Xiu’s "dismissing the meritorious officials" refers to all the meritorious military officials in the levels of canton, prefecture and county, not just the meritorious military officials in central organization represented by "Yuntai28Military Officials". In the early years of Eastern Han Dynasty, focusing on the lasting political stability, Liu Xiu succeeded in depriving the titles of the meritorious military officials finally through three phases by means of a series of measures like consolidating military and political power and so on.The study of "dismissing meritorious military officials and introducing civilian officials":the system of civilian officials in ancient China had occurred in Xia-Shang-Zhou Period, kept developing in the Spring and Autumn and the Warring States Periods, its frame began to take shape in Qin Dynasty and formed initially in Emperor Wu of Western Han Dynasty period. The system of civil officials has an important ruling function that it facilitates not only the centralization of feudal regime but also the administration of feudal regime and uncorrupted official management. After the establishment of Eastern Han Dynasty, from the perspective of ruling strategy, Liu Xiu’s "dismissing meritorious military officials and introducing civilian officials" aims to consolidate and develop the system of civilian officials and thus to ensure the long-term peace and order. In the early years of Eastern Han Dynasty, the "civilian officials" introduced by Liu Xiu include Confucian scholars, civilian officials and scholars excel in Confucianism and Legalists. By means of restoring the selection system since Western Han Dynasty and introducing the officials of the former dynasty and training reserve officials, Liu Xiu brought a large amount of civilian officials, which not only helps to fill the gap of "dismissing the meritorious military officials" but also avails the regime of Eastern Han Dynasty to come to run as soon as possible. However, Liu Xiu’s "dismissing meritorious military officials and introducing civilian officials" leaves some positive impacts, although it facilitates the consolidation and development of the system of civilian officials and the maintenance of the regime of Eastern Han Dynasty.更多还原