【作者】 张信通；

【导师】 龚留柱；

【作者基本信息】 河南大学 ， 中国古代史， 2013， 博士

【摘要】 秦汉时期作为基层行政单位末梢的里，是国家最低一级行政组织，里行政属地方行政制度的重要组成部分。地方行政制度包括行政区划和行政组织两部分内容，我国古代地方行政制度的形成经历了漫长的演变过程。殷商时期，还不存在地方行政制度。西周实行的政治制度是封建制，还没有形成完全意义上的行政区划和地方行政组织，不存在后代意义上的地方行政制度。但西周时期的县、郡、乡、州、里等地域名称的出现，各级贵族直属领地管理机构的形成，宗族制下居民共同体的产生，为东周各诸侯国地方行政制度的形成准备了条件。春秋时期，少数诸侯在各自的疆土上不再进行封建，而由臣仆设官分职实行垂直统治。县到春秋后期发生巨变，县成为行政区划正式名称定型于战国中晚期。郡到春秋时期，内部管理机构的设置大体完备，并控制着一定数量的土地和人口，是一级行政机构。时值战国后期，除了齐国施行的是五都制之外，其他六国分别建立了郡县制，但都和郡的性质相近。战国末期，各国都建立了中央集权制政治体制，基本上形成了郡（都）、县（州）、乡、里上下垂直统属的地方行政组织。秦朝的行政区划，其基层政区是县和道；高层政区是郡，以郡辖县，为纯粹的郡县二级行政区划制。秦楚之际实行的是按军功分封的新型封建制。汉初，诸侯王在其封地享有高度自治权，具有很大的独立性，其实质是封建制和郡县制并存。直到汉景帝朝七国之乱后，诸侯王失去行政管理权，只享有衣食租税权，其实质是把诸侯王国的郡纳入了郡县制体系，成为中央管辖区，这标志着封建制被郡县制完全取代，真正的中央高度集权官僚制到武帝朝就完全确立。自此以后两汉大部分时间施行的是郡县制，汉代的县级政区，有县、道、国、邑等数种名称。直到东汉灵帝中平五年（公元188年）后，郡县二级制转变为州郡县三级制。秦汉时期地方行政组织的基本内容包括郡、县、乡、里四级。汉代的诸侯国从汉武帝以后，基本等同于郡，被视为汉代的地方行政组织的一部分。邑是分封给皇太后、太后、公主等少数皇亲的汤沐邑，地位同县，由汉政府直接管理。上述皆为秦汉正式的地方行政组织。秦汉的初郡和道是设在少数民族地区的特殊政区，其地方行政制度与内地略有不同。秦汉时期的属国，是中央政府给归附的少数民族部落建立的特殊政区，其地位与郡平行。汉代的初郡设置于汉武帝时期。属国和初郡作为特殊的地方行政区，享有一定的自治权。属国到东汉初性质等同内郡，初郡到永和改制之后亦等同内郡。秦汉的乡不是一级行政区划，但乡是一级政府组织。乡为县的下节分区，乡下辖里。秦汉时期的里是构成庞大帝国的基层最小行政单元，里有乡野自然之里和城邑之里之分，乡野之里是研究对象。秦代一个标准编户齐民居民单位的里，其里吏职位和职数设置包括：伍长二十人，什长十人；里监门二人；田典、里典各一人；里佐数目不定，多一至二人；社宰、里治中从事各一人。秦代的伍老一里一人，地位仅次于里典，但汉代不见这一里吏。汉代的里吏构成在秦代的基础上又增设了里祭尊、里祭酒两种职位，其职数不定，通常一到两名。里正（里典、里魁）、田典、里佐、秦代的伍老、汉代的里祭酒、里祭尊等是核心里吏，他们构成里部政权的中心力量。什长、伍长、里监门、社宰、里治中从事等是外围里吏，他们受核心里吏领导，性质上属半民半吏。在户数不满百户的里中，基层政府则根据实际需要设置合理的里吏职数和职位，里正（里典、里魁）、田典、什长、伍长这四种里吏是基本职位，但什长、伍长未必是常设里吏。里正（里典、里魁）、田典、里佐、里监门、什长、伍长是里行政内容的主要落实者。秦汉的里行政，是国家大部分行政事务的缩影，是国家行政的基础。从横向划分，里行政功能主要包括六大内容，以及其他应负有的职责。里行政的各项职能通常由全体里吏协同完成，但各个里吏的职责也有所侧重，主要职能由专职里吏主管。里吏的职责分工特点可概括为大合小分，以合为主。其一是户籍基础管理功能，其二是里部治安管理职能，其三是赋税征收功能，其四是协助上级政府落实劳役征发职能。其五是落实里部教化职能。秦代不重教化，两汉吸取秦亡教训，把教化职能列入里行政职能特殊之重，这是秦代进入汉代后里部职能的一大转变。这一职能的增加，为汉代步入盛世提供了条件。此外，里吏发放分配赏赐救济财物职能、里吏举荐特殊人员职能、里部吏民为爵位继承者担保职能以及其他应负有的职责，这些职能对于里部社会的发展稳定同样重要，只是因为在文献记载中少见，还不能系统论述。秦汉的里自治可以分为自发型里自治和引导型里自治两部分内容。前者在秦代和两汉均是构成里部编户民的重要生活内容，后者只存在两汉时期，这是秦代和两汉里自治表现出的重大差异。邻里居民的生产生活自治属自发性里自治活动，自发性里自治内容主要包括：邻里经济上互相救助；经济无偿施与；富民出资、穷人出力共建公共工程；邻里自由结合出资、出工共建公用工程；里人自愿结合而合伙从事商业活动；婚、丧、嫁、娶上的人力、财力互相支持，或富户无偿物资施与；邻里安全互救；邻里友好礼尚往来；自行调解邻里内部矛盾等。这些自治活动对维持里部的物质再生产、人口再生产发挥了积极作用。引导型里自治是两汉里部特有的自治内容，主要有五部分：其一是里部宗族亲戚自治，其内容包括宗族亲戚间经济无偿援助和收养宗族孤弱。其二是里吏组织的生产、公共工程建设，包括农业生产协作，实现畜力、劳力自愿结合互助；共买共用生产劳动工具；里吏倡导上户、中户捐款，下户出力出工合作，合力治理危及公共安全桥路墙垣等工程。其三是里吏组织的劳役、赋税自治，倡导组建正弹组织，寻找经济来源，利用富户捐款、公田收入、钱粮的利息收入等方式解决乡里民众繁重的赋税和徭役问题。其四是解决里部吏劳务付出的经济补偿。这一经济补偿的来源有两种可能，一是来自于里部自身的经济收入，二是来自于基层的赋税收入，或者两者兼而有之。其五是建立里部自治组织如父老单和孝悌单。其五是里部的祭祀自治，组织里部编户民参加社祭、求雨、止雨类活动，里吏倡导富户捐款，筹集资金解决祭祀的花费，弱化基层社会的不安定因素。此外里部还设有少年单、酒单两种自治团体。秦汉的里行政可从两方面去认识，其一是里行政制度，其二是里行政控制力。完善的里行政制度是强力里行政控制的前提，里行政制度的建设和制度的落实是两回事。西汉哀平时期、东汉桓帝之后到汉末，里行政制度未能落实好，其他时期这一制度基本能得到正常运行。秦汉的里行政制度不断发展：秦代建立了比较完善的里行政制度，从汉初开始，里行政制度不断完善，内容不断丰富，到平帝时基本平稳运作，而后保持在这一水平上直到汉末。里行政的实际控制力大小，由里行政制度的最终落实结果来决定。里行政控制力的实际强弱是个复杂问题，国家制度是否完善是决定性因素。秦汉不同时期里行政控制力表现出的强弱大小，我们做大致轨迹描述：秦代比较强；汉初至景帝朝比秦代稍弱；汉武帝时期持续加强；昭宣时期趋势变弱；元、成二帝时期继续下行，哀、平时期持续变弱并保持在较低水平线上。东汉初至章帝时期里行政控制力上升变强；安帝至东汉末，里行政控制力由于豪族因素的影响而下降并一直保持在较低水平线上，有时上下略有浮动，但这一时期的里行政整体控制力比西汉一直处于弱势。纵观秦汉里自治的发展曲线，秦代的里自治成分含量最低，表现得十分微弱。西汉初至西汉中期为里自治的培育期，里自治功能不断加强。西汉中至西汉末期里自治发展到较高水准。东汉自光武帝度田事件之后到章帝朝，里自治进入快速发展轨道。献帝之后里自治转换为宗主督护下的坞壁形态，遂进入国家无力控制的不正常期。里行政制度和里行政实际控制力与国家的意识形态指导思想有一定关系，引导型里自治与国家的治国理念有因果关系，这一性质的里自治与儒学思想统治地位的确立和国家在基层推行教化有直接关系。更多还原

【Abstract】 The Li, one of Qin and Han dynasties’basic Li units in the distal, is the national minimum level of Liorganization; it belongs to the local Li system as an important part in the country. Local Li system includesLi division and the Li organization content. The formation of the local Li system in ancient China hasexperienced the evolution from the initial establishment of the western Zhou dynasty to Qin dynasty.Political system of western Zhou dynasty is a feudal system, not a complete sense of local Li organization.The Li division and the western Zhou dynasty Li system are not perfect places. But there exists the westernZhou dynasty in the county, and the township, state, and the emergence of regional name, the formation ofthe aristocratic management departments at different levels, and the resident units are the local preparedconditions for the formation of the local Li system.During the spring and autumn period, Zhou chamber tends to decline, a Handful of vassal statesgradually become strong, starting to develop a centralized system. These governors are no longer on theirterritory, and officer points to position of the vertical rule which is set by the governors. County, in latespring and autumn period, became Li divisions in the warring states period. County, in the spring andautumn period, the internal management organization setup largely complete, county controls the amountof land and population, which is the level of management institutions. As for late warring states period, inaddition to Qi is one of the five system implementations and the other six countries established Chinarespectively. But all of them, the nature of the county are local Li, and military and political are not mature.County in the late warring states is Li division unit, meaning military and Li functions, system in county,the county’s political system preliminary formation belong to the late warring states period. In the late warring states period, countries have established a centralized political system, basically formed the county,township, up and down in the Chinese local political organizations.Qin dynasty Li divisions, belong to the grassroots Li zones. The high-level Li zones are the puresystem of county level Li division. Qin Chu as a practice is a new kind of feudal system according to themilitary packet. Early Han, the governors enjoy high autonomy in their fiefs, very independent, which isnot really established in the early Han dynasty unified regime, its essence is the feudal society of China,until the order after the chaos of the seven countries, the governors only enjoy the food and clothing of thetax authority, its essence is to put the kingdoms of the county into the system of China, to become thecentral jurisdictions, it marks the feudal system that is completely replaced by China, the real central highlycentralized bureaucracy to the emperor was completely established. Since Han dynasty of China, most ofthe time of the Han dynasty’s county districts, county, name, countries, and cities exist. Until the spirit ofthe eastern Han dynasty emperor in five years, counties secondary system was changed into a state, countytertiary system.The basic content of Qin and Han dynasties local Li organization in the county, township, are basicequivalents to vassal states from the emperor of Han dynasty, Han dynasty’s county, as a part of the Handynasty’s local Li organization; City is the packet to the queen mother, the queen mother and princess aroyalty status with county, by the Chinese government management. These are official Qin and Handynasties, the local Li system. At the beginning of the Qin and Han dynasties, the counties and the tao arelocated in minority regions, special Li zones the local Li system and the mainland are slightly different.Territories of Qin and Han dynasties, the central government, mean to join the minority tribes to set upspecial Li zones and its status and parallel to the county. At the beginning of Han dynasty, county is set upin the period of Emperor Han wu. Territories and county as a special Li region, enjoys high autonomy. Territories in the nature of the eastern Han dynasty are at the beginning of Equivalent County, the county inthe early time to after restructuring is equal in Yonghe County. Township of Qin and Han dynasties is notlevel Li division, but is the level of government organizations. Township for county is under sectionpartition, administer. In Qin and Han dynasties, they constitute the basic minimum Li unit of the empire, inthe compartment as qi lived and officer in cadastral, are for the imperial clan to live in.A standard compartment as qi Qin dynasty resident units, the collectors of jobs and positions in theSettings include: In the prison doors are for two people; Tian Dian, Canon each one, are Rizzo variablenumber, more Han one to two vice-chairmen. Clubs in the slaughter are the cure for each one. Qin dynastyWu of the old one, is in a cult status after, but the Han dynasty is in the collector. Composed collectors inHan dynasty on the basis of the Qin dynasty and added in the statue and legate in two positions, theirpositions, are usually one or two. Wu old Tian Dian, Qin dynasty, Han dynasty in the drink offering, theoffering is the core in the collectors, they constitute the center of regime in power. Assorted, WuHang, inher long prison doors, is to engage in social governance in the slaughter, they are under the leadership ofcore collectors, collectors in nature belongs to a half and a half. The number is less Han hundredhouseholds, the grass-roots government in according to actual needs, to set up reasonable collectorspositions and position and is in the (chief) in scriptures, long Tian Dian, ramesh, WuHang collector are inthese four basic position, but long, WuHang collector is not necessarily permanent. WuCHang is the mainimplementation of the Li.In Qin and Han dynasties of the administration, which is a microcosm of the national most Li affairs,is the foundation of the national administration. From the horizontal division, Li function mainly includessix contents, and shall be responsible for other duties. In the administration of the function that is usuallyperformed by all the collectors to participate in, but the collectors also focused, the duty of the main function also has full-time collectors in the head. Collectors in the characteristics of the division of dutiescan be divided into large and small, to give priority to, each has emphasized particularly on it. One is thehukou preliminary management functions. Second is in the ministry of public security managementfunctions. Third is a tax collector in the collection function. It is collectors to assist the superior in thegovernment to carry out the functions of labor then. Fifth is ministry of education in the implementation offunctions. Qin dynasty has not heavy indoctrination, Han Qin put enlightenment function on the Li function,which is after the Han dynasty Qin dynasty that entered the department of a big Hange, in this function,provides conditions for Han dynasty into the prosperous time. Moreover, collectors in the distribution ofproperty functions and collectors in the recommendation from people are for the title successor to guaranteefunction and shall be responsible for other duties, these functions for the development and stability areequally important, which is just such a function literature rare and also not system.Autonomy in the autonomy in the Qin and Han dynasties can be divided into spontaneous and inducedautonomy in two parts, the formers in the Qin and Han are the compartment in the department of thepeople’s important living contents, which there are only two Han period, the Qin dynasty and Han dynastyin the autonomy of the major differences. Neighborhood is spontaneous in the autonomy of production andlife activities, spontaneous autonomy mainly includes: in the neighborhood economic it can help each other;Economic gives free of charge; Rich capital contribution, the efforts to build public works; Neighborhoodfree combination investment needed to go to work, and utilities; People in the voluntary union, partnershipengaged in commercial activities; Marriage, funerals, marry, marry human and financial resources tosupport each other, or to give the rich material free of charge; Neighborhood safety rescue; Neighborhoodfriendly Hange; To solve contradictions among neighbors, etc., activities to maintain the autonomy in thedepartment of material reproduction, population reproduction have played a positive role. Induced in the autonomy is of unique content, in the Han dynasty mainly there have five parts: one isthe clan relative’s autonomy in the department. Its contents include the clan relative’s economic assistancefree of charge; Adoption of clan’s helpless. Secondly, collectors are in the organization of production andpublic work construction. Autonomy, including agricultural production implementation work, labor,voluntary and mutual assistance; Total productive labor to buy common tools; Collectors advocating onhouseholds, mean ZhongHu’s donations of cooperation, in the efforts to work, and to family governanceendanger public safety engineering. The third is a tax collector in the organization of labor, autonomy,which is organized by collectors in advocating form "bullet", looking for sources of economic use of therich to donate, and farm income, money, interest income solve the problem of village people heavy taxesand corves. It is bound to solve the collectors in labor pay economic compensation. There are two possiblesources of economic compensation; it is from the department of economic income, second, from thegrass-roots tax revenue, or both. Five autonomous organization are based in the department took the singleand Baiban. In the kingdom of people who take part in club offerings, rain, rain check activities,collectors are all advocating the rich to donate money, success to raise money to solve the cost of sacrifice,weaken the unrest at the local level. In addition the department also has single wine list autonomy in twogroups.Qin and Han dynasties are to be known in administration from two aspects, one is in the Li system, thesecond is the Li control. Perfect Li system is powerful in the Li control of the premise, in the constructionof the Li system and the implementation of a system are two different things, crying of the western Handynasty period, after the emperor of the eastern Han dynasty to the Han, failed to implement the Li system.In the other period, the system can be implemented. Development in Qin and Han dynasties of the Lisystem, Li system in the Qin dynasty has established a comparatively perfect one. Since the early Han Li system constantly improved, the enriching is the content. To ping emperor basically stable, is to keep onthis level until the Han. In Li actual control over the size, the Li system to determine the final results, in theLi control of the actual strength is a complex problem, whether the system of state is the decisive factor. Inthe Qin and Han dynasties in different periods show us the actual size on the strength of Li control, we canmake a general description: the Qin dynasty is very strong; The early Han seems to scene emperor towardbetter Han Qin dynasty; The emperor period, continues to strengthen; Zhao Xuan period becomes weak;Yuan continues to weaken, into two emperor period, continued to weaken, flat period and maintain in lowlevel. Chapters at the beginning of the eastern Han dynasty to emperor period rise Li control. Fall in its lateeastern Han dynasty, is Li control and maintain in low level, sometimes slightly floating up and down, butthe administration has been in a weak overall control in this period.Throughout the development of autonomy in the Qin and Han dynasties, the evolution, the Qindynasty of autonomous component content in the lowest, the performance is very weak. Autonomy in thewestern Han dynasty in the early period of Han dynasty to the middle for the breeding period, theautonomy function is enhanced. In the mid western Han dynasty to the western Han dynasty at the end ofthe autonomous development has been to a higher level. After the eastern Han dynasty, the GuangWuDiused "field events” to the emperor in the autonomy into a rapid development. Offered to the Han emperorafter abnormal autonomy into countries, people cannot control it in a period. In Li system andadministration and actual control in the guiding ideology of the national ideology there is a certainrelationship,"autonomy" in leading and governing concept has a causal relationship, the nature of theautonomy and the establishment of Confucianism, in the national implementation of enlightenment at thegrassroots level have a direct relationship between each other.更多还原