【作者】 魏芃；

【导师】 朱凤瀚；

【作者基本信息】 南开大学 ， 中国古代史， 2012， 博士

【摘要】 “五等爵”是西周及春秋歷史中的一個重要概念。針對“五等爵制”與“五等爵稱”的研究，牽涉到西周時期很多其他制度的研究進展，甚至對整個西周史的研究都具有重要意義。同時，探討“五等爵制”學說的形成過程，亦將為東周時期儒家思想的研究帶來很多啟示。文章在充分吸納前人成果的基礎上，通過對金文等考古發掘資料、尤其是近年來新發現之資料的研究和分析，利用多學科交叉方法，對西周春秋時期的“五等爵稱”和“五等爵制”進行了全面系統的考察。全文分為八章：在第一至五章中，文章對“公”、“侯”、“伯”、“子”、“男”五個稱謂在西周春秋時期的使用情況分別進行了較為詳細的梳理和分析。第一章將現有西周金文資料中的“公”稱根據實際情況和研究需要分為了自稱、生稱、死稱等多種類型來分別考察，並基本確定了西周時期生稱之“公”主要分為職務之稱與尊稱兩大類的結論。職務之“公”具有明確的職掌範圍，但絕大多數不世襲；尊稱不具有明確的等級意義，其中的大部份也並不存在世襲與否的問題。第二章通過對金文“侯”稱及與之相關的一系列稱謂進行的分析和對比，總結出了西周時期“侯”稱最主要的三個特征：“侯”可以用作動詞、“侯”之軍事職能明確、“侯”之封建地域具有一定規律。第三章的論述圍繞“伯”稱用法中“長”這一基本含義展開，通過實例分析，明確了西周時期“伯”與“侯”之間不存在等級差異關係的事實。第四章對西周春秋金文中“子”稱相關的“兒子”、“宗子”、“國君”等含義進行了分別分析，并進一步總結出“子”稱這樣兩方面的特徵：第一，西周早期的“子”稱具有鮮明的商人特色，使用人群以殷遺為主；第二，“子”稱與“伯”稱所代表的身份存在交集，從而不應具有等級差異。由於金文中“男”的相關信息過少，因此文章第五章在對“男”稱進行分析時主要依靠的還是文獻資料。從《左傳》等傳世文獻來看，應當可以確定西周時期的“男”稱，是且僅是“侯甸男”體系中的一個稱謂。第六章綜合運用前幾章得出的結論，對所謂“爵名兼稱”現象進行了具體的例證分析，基本證明了這一現象只是一種假象，并進一步探索了造成這一假象的四點原因。第七章通過對文獻中有關諸侯排序之相關資料的分析，重點關注了春秋時期“五等爵稱”使用情況與西周時期的異同，並對“五等爵稱”如何成為了“五等爵制”的問題進行了一定的探討。種種跡象表明，“五等爵制”始終並未作為一種自上而下頒行的完善制度存在過。同時，在會盟政治的背景下，“公侯伯子男”雖然並不構成一套完整的國君等級制度，但是卻真實地反映了實際的諸國之君的等級次序情況。文章認為，“五等爵制”體系理論正是在對春秋時期真實存在的歷史材料進行補充完善的基礎上逐漸成型的。第八章在前幾章研究的基礎上，根據現有資料，對“公侯伯子男”演變為“五等爵制”的時間和成因進行了推斷，並進一步分析了這一演變與東周時期儒家思想之間的關係。“五等爵制”體系理論的出現，大致應當在戰國早期偏晚至戰國中晚期之間。這一理論迎合了儒家學說中的社會等級觀念和“法古”思想。戰國時期動蕩的社會現實，尤其是軍功爵制的出現及成為主流，是促成“五等爵制”理論體系出現的重要外部原因。“五等爵制”理論是儒家學說體系及政治模型中的重要組成部分，雖有構擬成份，仍具有一定的史料價值。更多还原

【Abstract】 The “Five Ranks” is an important concept in the history of the Western Zhouperiod and the Spring and Autumn period. The study on the “Title of the Five Ranks”and the “System of the Five Ranks of Nobility” is correlated to the research on manyother systems throughout the Western Zhou period. It is even crucial to the researchof the history of the whole Western Zhou Dynasty. Moreover, the investigation on theformation of the “System of the Five Ranks of Nobility” will bring revelations to thestudy on the Confucianism in the Eastern Zhou period.Based on the previous results, this thesis gives a comprehensive and systematicreview and research on the “Title of the Five Ranks” and the “System of the FiveRanks of Nobility” by multidisciplinary study and analysis of the archaeologicalmaterials of the inscriptions on bronze, especially some recent excavations. The thesiscontains8chapters:The use of the five titles of the “Five Ranks”, which are “Gong”,“Hou”,“Bo”,“Zi” and “Nan”, during the Western Zhou period is reviewed and analyzed thoroughlyfrom Chapter1to Chapter5. The title of “Gong” in the available archaeologicalmaterials of the inscriptions on bronze in the Western Zhou period is categorized intoself-title, alive-title and dead-title according to their actual situation and the researchneeds in Chapter1. Such a conclusion is also drawn that the alive-title of “Gong” inthe Western Zhou period mainly consists of official title and honorific title. Theofficial title of “Gong” has an explicit scope of authority, but it is not hereditary.While, the honorific title of “Gong” does not possess a clear define of rank, most ofwhich do not involve any hereditary issue, either. Three main characteristics of thetitle of “Hou” in the Western Zhou period are summarized from the analysis andcomparison of the title of “Hou” in the inscriptions on bronze with its relevant titlesin Chapter2. The one characteristic is that “Hou” can be used as a verb. The secondcharacteristic is that “Hou” has an explicit scope in the military function. The thirdcharacteristic is that the feudal region of “Hou” is complied with certain rules. Thediscussion in Chapter3is expanded from the primary signification of the title of “Bo” which is “the Oldest”. It is confirmed that there is no ranking differentia between thetitle of “Bo” and the title of “Hou” concluded from case study. The significations ofthe "Son", the "Direct Descendant" and the "Monarch", which are related to the titleof "Zi" in the inscriptions on bronze in the Western Zhou period, are analyzed inChapter4, respectively. The two characteristics of the title of "Zi" are furthersummarized as:(1) the title of “Zi” in the early Western Zhou period has a clearfeature of the merchant and is used mainly among the adherents of the Yin Dynasty;(2)the status represented by the title of "Zi" and that represented by the title of "Bo" haveoverlaps with each other so that there should be no ranking differential between thesetwo titles accordingly.Since the relevant information of the title of “Nan” in theinscription on bronze is rather deficient, the analysis of the title of “Nan” in Chapter5is mainly based on literatures. From the study of the ancient literatures, such as“Zuo’s Commentary”, it is quite clear that the title of “Nan” during the Western Zhouperiod is only used as the title in the system of “Hou Dian Nan”.The phenomenon of the so-called “Jue Ming Jian Cheng”(to hold two or morerank titles concurrently) is analyzed in Chapter6using case study with the summaryand comprehensive use of the conclusions from previous chapters, and thisphenomenon is basically proved to be a misleading appearance. The cause of suchphenomenon is also deducedChapter7is focused on the similarities and differences between the use of the“Title of the Five Ranks” in the Spring and Autumn period and that in the WesternZhou period through the analysis of the literatures related to the ranking of seigneurs,and the evolvement of the “Title of the Five Ranks” into the “System of the FiveRanks of Nobility” is also discussed. It is indicated that the “System of the FiveRanks of Nobility” never exists as a perfect system implemented throughout thehierarchy. At the meantime, under the circumstances of alliance politics, the rankingof “Gong Hou Bo Zi Nan” does reflect the ranking level of each actual seigneur,although it does not constitute an integrated monarch ranking system. The disciplineof the “System of the Five Ranks of Nobility” should have been developed graduallybased on the extension and supplement of the real historical materials of the Springand Autumn period. The timeline and cause of the evolvement of the title of “Gong Hou Bo Zi Nan”into the “System of the Five Ranks of Nobility” are deduced from available materialsin Chapter8based on the study in previous chapters. The links between thisevolvement and the Confucianism in the Eastern Zhou period are also analyzed. Thetheory of the “System of the Five Ranks of Nobility” should be formed between thelatter of the Early Warring States period and the Middle and Late Warring Statesperiod. This theory well serves the concept of social hierarchy in the Confucianismand the idea of imitating the ancients. The turbulent social reality during the WarringStates period, especially with the origination and prevalence of the System ofGranting Noble by Military Merits, is the crucial external cause of the formation ofthe “System of the Five Ranks of Nobility”. The theory of the “System of the FiveRanks of Nobility” is an important composition in the system and political models ofthe Confucianism. Although reconstruction is included, the theory of the “System ofthe Five Ranks of Nobility” still possesses certain historical values thereof.更多还原