【作者】 曲文；

【导师】 吕文郁；

【作者基本信息】 吉林大学 ， 中国古代史， 2012， 博士

【摘要】 本文分为上下两篇，上篇从韩非思想体系中人性论、形名论和进化史观入手，讨论韩非学术思想中可以被视为理论基础和逻辑支点的内容与晚周学术的关系；下篇以韩非思想中的法、术、势思想为研究基点，对韩非政治思想中最核心的内容与晚周学术之间的关系进行逐一梳理。全文共分六章：第一章主要讨论晚周诸子关于人性的讨论对韩非人性论的影响。在本章中，我们首先对韩非之前诸子对人性的基本认识进行了梳理，继而得出这样的结论：在韩非之前，对人性“欲利恶害”、“趋利避害”的认识，是战国中后期人性论的主流认识，这一主流认识由墨家肇其端，经管子学派和商鞅学派申说，亦为荀子所汲取。而荀子以人性这一特点为“恶”，是汲取此主流认识的基础上，出于应对孟子性善论的需要而进行的独创性阐述。其次，我们对韩非对人性的认识以及这一认识与其政治思想的逻辑关系进行总结，并与之前诸子人性论相比较，从而指出韩非人性论的基点是管子学派、商鞅学派和荀子共同认识到的对利害的趋避，但抛弃了其师荀子对人性加以道德判断的思想。韩非人性论展开的理论逻辑与政策指向基本上是遵循了法家商鞅学派的完整思路，同时又汲取了慎到“因循”思想，而其理论的内在辩证性和现实手段的极端性则凸显了对前辈法家的超越。基于上述分析和总结，本章最后对当今学界关于荀子、韩非在人性论方面的思想联系的一些观点进行简要述评，并提出自己的认识：一方面，对于学界主张韩非持性恶论的观点，我们认为这是站在荀子的立场来考察韩非，并非是对韩非人性论客观、真实的还原；另一方面，对于学界主张韩非继承了荀子性恶论的观点，我们认为不能否认韩非对荀子性恶论的具体观点有所取，但从学术发展的整体脉络来看，韩非人性论更多的是秉承了法家的主张和思路。第二章主要讨论韩非与晚周“名辩思潮”的学术关联。本章开篇先解释了使用“名辩思潮”这一概念的理由，继而以“名辩思潮”中的两大核心议题——形名关系和辩言之风——为线索来梳理韩非对“名辩思潮”学术成果的扬弃。首先，韩非秉承了“名辩思潮”中诸子将“名”与“言”相贯通的思路，但韩非没有在抽象的层面讨论二者的联系，而是将“名”与具体政治事务中的臣下进言之“言”相贯通，进而韩非所论述“形”或“实”也就自然与臣下行事之功相贯通。在此基础上，韩非将“形”与“名”广泛置于现实各种政治现象中加以对照，成为其解析政治现象的逻辑工具。其次，对于形名相符的方法论问题，韩非熔墨子功利主义和荀子名实相验的方法为一炉，又对二者有所扬弃，建立起自己独有的以君主为执行主体，以臣下和社会言论为执行对象的“参验论”。此外，“名辩思潮”中的辩言之风对韩非的辩难才能和论说的逻辑力量也有深刻影响，特别是韩非“矛盾”说就是在辩言之风影响下，在逻辑思想范畴取得的重要成果之一。本章第三部分论述了韩非学术思想对“名辩思潮”具有终结意义的反作用力。这种“终结”是指：一方面韩非作为诸子的殿军人物，其理论本身没有对“名辩思潮”中的核心议题进行理论上的继续发展或突破，另一方面，韩非秉承了阴阳、儒、道、法诸家对名家、名学批评的传统，更为极端地从实用功利主义的立场反对人们对思维规律和语言逻辑本身进行任何探讨。第三章主要讨论了韩非进化史论对诸子学说的取舍。本章首先概括了韩非进化史论的主要内容，韩非进化史论肯定了历史不断向前发展变化，不同的历史时期有其自身的独特现象和特点，认为执政者应当针对现实的变化而实行相应的政治措施来应对。在这一思路下，韩非提出“当今争于气力”的主张，并围绕这一现实特点设计其政治思想。本章第二节对晚周诸家的史观加以爬梳、观察，认为诸子对历史发展规律的总结，在方法论上存在一些一致的内容，比如肯定历史的变动发展，并对历史做分期式的总结等等，但诸子在史观的价值取向上存在明显分歧。本章第三节在前两节的基础上探讨了韩非进化史论的一些具体观点对诸子史论的取舍，认为韩非对“上古之世”及“三世风尚相异”的论述体现了对儒、道、法相关思想的有取舍融合的过程，并且，我们认为韩非的进化史论是对荀子“法后王”思想的否定。第四章讨论了韩非“法”论对诸子学说的取舍。本章第一节首先讨论了韩非“法”论与商鞅“法”论的继承关系。本节从《韩非子》自证其言的材料入手，通过比较研究的方法，总结出韩非“法”论在耕战、变法、公开法令、重刑以及任法尚公等重要内容都与商鞅的思想有直接继承关系。但韩非“法”论对商鞅的继承并非完全照搬，而是或有理论丰富，或有加强论证，或有极端发展。具体而言，关于变法与定法的统一，韩非汲取老学的内容以加强论证力度；关于重刑，韩非通过关联对人性的认知而使重刑思想在理论上趋于完备；关于任法尚公，韩非继承了商鞅法与私对立的思路，并做进一步极端化的发展，这体现在一方面韩非将害法之“私”涵盖的内容扩大化、极端化，另一方面韩非以君利为公利，从而与君相对的臣、民之利均视为私利。本章第二节讨论了韩非“法”论与黄老学的关系，认为韩非“因道全法”的思想是对黄老学以道论法思想这一理论创见的吸收，同时，韩非在“因道全法”的思路下创造性的提出了君、道同体的主张。本章第三节讨论了韩非对儒家“法”论的批判，具体论述了韩非“法”论对儒家“轻刑”主义和“刑不上大夫”思想的批判。第五章主要讨论了韩非“术”论对诸子学术的关系。本文首先从《韩非子》自证其言的角度，在学者研究基础上对韩非“术”论与申不害之学的继承关系进行了总结，认同韩非在“术”治思想的理论层面对申不害有直接继承关系的传统认识。此外，本章尝试从现实背景的角度对申、韩术论的异同进行分析，指出韩非“术”论在实践操作方面的说明远较申不害丰富的特点，与韩非对现实君臣关系以及对当下亟需解决的时代课题的认识有着必然联系。这是韩非不同于申不害乃至在先秦诸子中独有的特点。本章第二节从申、韩“术”论逻辑方法的角度入手，探讨申、韩“术”论的逻辑链条与黄老学的关系，认为申、韩“术”论中，“虚静”、“形名”与“无为”之间的逻辑链条与黄老学特别是《黄老帛书》一脉的思路一致。不同的是，《黄老帛书》通过这样的逻辑链条论证以“法”致无为，申不害以“术”致无为，韩非则是以法、术致无为。第六章主要讨论了韩非“势”论与诸子学术的关系。本章首先对所论之“势”的定义做了准确限定，然后大致梳理了包括《孙子兵法》、《孙膑兵法》、《管子》、《慎子》、《申子》、《商君书》、《尹文子》、《荀子》、《吕氏春秋》在内的子学著作中对“势”的相关论述。通过这一梳理，可以清楚地看出在韩非之前，诸子对“势”，特别是“君势”已经具有一定程度的认知，这为韩非“势”论的形成提供了很好的学术养分。本章第二节对韩非的“势”论进行了简要的总结，然后通过比较研究的方法，指出韩非的“势”论存在一个早、晚期的认识过程。在此基础上本章从学术史的角度来考察，认为韩非早期对“势”的认识全盘接受了慎到的主张，这主要反映在《韩非子·大体》篇中；韩非晚期对“势”的认识，即《难势》所言“人设之势”，是在扬弃诸子学说的基础上而有所升华形成，具体包括对儒家认为“势”治“便治而利乱”的认同，对稷下“势”论的整合，以及取老学以为哲学依据，利用“名辩思潮”下的矛盾律加以论证等等。更多还原

【Abstract】 This paper is divided into two parts, part one start from the theory of humannature, the Content and Name and evolution of Han Fei’s thought system, to discussthe relationship between Han Fei’s academic thoughts that can be regarded as thetheoretical basis and the logical fulcrum content and late Zhou academic ; Part twobased on Law ,Technique,Situation of Han Fei thought system ,to arrange therelationship between center content of Han Fei’s political thought and tlate Zhouacademic.The full text divides into six chapters:The first chapter discusses the influence that the theory of human nature of lateZhou to Han Fei.In this chapter, we summarise basic understanding of humanity of thescholar before Han Fei , then come to the conclusion that: before Han Fei,understanding on human nature that "want advantages and dislike disadvantages","draw on the advantages and avoid disadvantages ", is the mainstream recognition inlate Warring States period , this mainstream awareness start from Mo zi ,then inheritedby Guan Zhong and Shang Yang , and also drawn by Xunzi.Xunzi think humanity isevil , that is on the basis of mainstream understanding , in order to cope with the MengZi’s thought system that humanity is good.Secondly, we summarize Han Fei’sunderstanding of human nature and relationship between it and the logical relations ,and points out that the basic point of Han Fei’s theory of human nature is Guan Zi,Shang Yang and Xunzi , but abandoned moral judge of his teacher Xunzi, Han Fei’stheory of human nature basically followed Shang Yang ,also drew the thought of"follow" , and the theory of internal dialectical and realistic means of extremetranscend the forefathers .Based on the analysis and summary, the end of this chaptercomment on relation of Xunzi and Han Fei on the theory of human nature , and putforward our idea: on the one hand, the scholars think Han Fei hold the view that human nature is evil , is in the Xunzi position to investigate Han Fei, is not on HanFei’s theory of human nature, on the other hand, the scholars think Han Fei inheritedhuman nature theory of Xunzi, from the academic development o, we think Han Fei’stheory of human nature is more inherited the legalist ’s opinions and ideas.The second chapter mainly discusses the academic association between Han Feiand "Mingbian thought" of late Zhou.This chapter first explains the reason of using"Mingbian thought" , and then summarise academic achievements of"Mingbianthought".First of all, Han Fei inherit the "Mingbian thought "that communicate"name"and "words" , but Han Fei did not discuss the relationship between the two in theabstract level , but link "name" and "words" , then "situation" or "actuality" that HanFei discussed is naturally work through,Han Fei controll "form" and "name" widely onthe realistic political phenomenon , it become logic tool to analyse politicalphenomenon.Secondly, to the methodology of "situation" match "actuality" , Han Feimerge MoZi and Xunzi, and establish his own unique "investigate and check on theimplementation object".In addition, "Mingbian thought" effect Han Fei debate anddiscussion of logical power , especially "contradiction" ,it is one of the importantachievements in the logic thought category.The third part of this chapter discussesterminative significance of Han Fei’s academic thought on "Mingbian thought".The"end" performance on two parts,on the one hand ,Han Fei did not development andbreakthrough "Mingbian thought" , on the other hand, Han Fei inherited tradition thatYin Yang, Confucianism, Tao, Fa criticise Ming, against people to discuss on thinkingpattern and language logic itself more extreme from utilitarianism position .Third chapter mainly discussed the evolutionary in Han Fei’s choice.This chaptersummarizes the main content of Han Fei’s evolutionary , Han Fei affirmed thehistorical development of change, the different historical period has its own uniquephenomena and characteristics, the ruling shall use political measures to deal withactual change .In this way, Han Fei put forward the idea "the dispute in force" , anddesign his political thought around it.The second part of this chapter summarise andobserve the historical idea of late Zhou scholar, we think when they summarise historical development rule , there are some consistent content in theory, such asaffirming the change and development of history, summarising the history stage typeand so on, but the philosophers have obvious differences in value orientation.Thesecond part of this chapter on the basis ofi the first two sections discussed somespecific views of Han Fei’s the evolutionary ,we think Han Fei "old world" theory onthe III fashion different view is reflected the fusion and decision of Confucianism, Taoand Fa, and negate "According to King" thought of Xunzi .The fourth chapter discussd "law" of Han Fei on the choice of Zhuzi .This firstsection of this chapter discussd inheritance of "law" of Han Fei and "law" of ShangYang .This section from the Hanfeizi, through the method of comparative study,summed up "law" of Han Fei have direct inheritance relationship with Shang Yang’sideas in the agriculture and war, change law, punishment.But "law" of Han Fei is notcompletely copy Shang Yang’s succession , but or theory, or to strengthen theargument, or extreme development.Specifically, the unity of change and unchange,Han Fei derives the LaoZi and strengthen the argument strength; about harshpunishment, Han Fei through the understanding of human nature and made the idea ofharsh punishment tends to complete; on fair law, Han Fei inherited the thought ofShang Yang, and to do further extremes development, on one hand he extreme the"private" coverage expansion, on the other hand, benefit of king is public benefit, andbenefit of people is benefit of relativeThe second part of this chapter discussdrelationship between Han Fei and Huang Lao , Han Fei’s thought absorb Huang Laothought , at the same time, Han Fei proposed king and Tao are one thing.The third partof this chapter discussd punishment of Confucian,specific discussed "lightpunishment" of Han Fei and "criminal law does not use to officer" of Confucian .The fifth chapter mainly discussd "technique" of Han Fei on the relationshipbetween academic philosophers.This paper from the Hanfeizi , based on the scholarsstudy of Han Fei , summarized inheritance relations of Shen Buhai , we agree that thatis direct inheritance of traditional knowledge between Han Fei and Shen Buhai.Inaddition, this chapter attempts from the realistic background to analyse the similarities and differences between Han Fei and Shen Buhai, noted that Han Fei had more richfeatures than Shengbuhai ,and this had inevitable link with the relationship betweenthe emperor and the minister,and also with urgent topic of the times .This is the uniquecharacteristics of Han Fei from Shengbuhai and pre-Qin philosophers .The secondpart of this chapter from logic method to discuss the relationship between logical chainof technique of Shen-Han and Huang Lao, the "Silence", "Content and Name" and"Inaction" inherited Huang Lao Bo Shu,but the different is that Huang Lao Bo Shuthrough such a logical chain argument to "law" to inaction, Shen-Han is in "technique"to inaction.The sixth chapter discussed the relationship between "Situation" of Han Fei andscholars.The chapter defined on the theory of "Situation", summarized discourse ofSituation in SunZiBingFa,SunBinBingFa,GuanZi,ShenZi,ShenZi,ShangJunShu,Yin WenZi,XunZi,LvShiChunQiu, through this comb, we can seen clearly that scholar before HanFeiauthor had a certain degree of cognition of "Situation", especially "Situation ofking" , this provided good academic nutrientis to Han Fei .The second part of thischapter firstly is a brief summary of "Situation" , and then by the method ofcomparative study, pointed out that Han Fei’s "Situation" existed an early and a latecognitive process.And from the academic perspective, Han Fei completely acceptShenDao in early stage , this is mainly reflected in DaTi of HanFeiZi; in late stage the"Situation" raised to a high level ,including the Confucian view, identity of LaoZi ’sphilosophy , using contradiction of "Mingbian thought" to prove and so on.更多还原