【作者】 曾磊；

【导师】 孙立群；

【作者基本信息】 南开大学 ， 中国古代史， 2013， 博士

【摘要】 北朝后期,以六镇鲜卑武装力量为基础建立了两个割据王朝：东魏和西魏,并分别被北齐和北周所取代。由于胡族习俗而产生的史料中所谓“等夷”的社会关系的存在,高氏和宇文氏的霸府政权是建立在军阀武将之间的认可之上,故北朝后期的政治形态可以用“军人政治”的视角予以解释。东魏北齐、西魏北周这两个政权的最高统治者在政治上更加依赖于出身军阀的勋贵集团的支持,他们对军队的依赖程度更高,并且试图通过直接率领军队获得军功而维持统治。另一方面,由于高氏、宇文氏统治者都出自军阀集团,他们为了自己家族的凌驾于军阀勋贵之上,也必然地对军阀勋贵们采取一定的打击和排挤的措施,在统治集团内部形成了一系列惊心动魄的政治斗争。在高氏北齐,汉族文人政治地位的上升对军事勋贵集团产生了一定威胁,但由于汉族文人不掌握军权,而北齐政治又严重依赖于军事武装力量对其的全方位支持,故汉族文人在政治上也遭到了一系列的挫折和打击。北齐后期产生的恩倖势力虽然是皇权自身趋于腐朽的产物,但因为恩幸人物拥有一定军事才能,故军权掌握在他们手中,北齐才能进行较为稳固的统治。在宇文氏的西魏北周,宇文家族并没有形成对其他关陇军事贵族的绝对优势,北周由同时面临着北齐的强大的军事压力,故北周的皇权政治的军事色彩高于北齐。从宏观角度来看,两魏周齐的政治形态具有极为浓厚的军事化色彩。本文分为五部分：第一部分绪论回顾北朝史研究的过去和学术研究动态,指出对北朝后期历史研究存在的若干范式,并提出笔者借用“军人政治”范式分析北朝后期政治的合理性。第二部分析北魏末年动荡局势和高欢宇文泰军阀集团的形成,回顾了尔米荣军阀集团、高欢军阀集团和宇文泰军阀集团形成的过程,揭示其形成过程中纷繁复杂的政治矛盾。通过对北魏后期皇权政治和军阀政治的互动过程,揭示北朝后期从腐朽的文官贵族政治形态向新兴军阀集团控制的皇权政治形态过渡的历史进程。第三部分分析东魏北齐政权的政治转型和最终崩溃,指出高欢建立的东魏建立在北镇军阀贵族集团支持的基础上,高欢及其子孙不得不对北镇军阀贵族集团加以利用的同时予以防范的矛盾心态,用皇帝的军事能力因素来揭示东魏北齐在皇权继承问题上产生的矛盾和变态现象。同时,笔者认为由于军事事务在东魏北齐内部存在相当大的重要性,高氏统治集团不得不在必要的时候牺牲汉族文人的利益来满足军阀贵族们的利益,此乃贯穿东魏北齐历史上的诸多政治重大事件的一条红线,故笔者通过对“军人政治”范式的借用,对东魏北齐灭亡的原因给出独特的解答。第四部分析西魏北周政权的形成和崩溃,笔者通过对西魏北周统治集团的梳理和分析,指出以往学者根据地域出身来划分西魏北周统治集团的不准确性,提出应该以对宇文泰家族的政治态度亲疏和是否有助于宇文氏家族获得垄断地位为划分标准,并且通过分析宇文泰继任者宇文护、宇文邕的军事素养及其同武将们之间的互动关系,揭示出左右西魏北周政权内部政治斗争的军事因素和军权因素,并且通过对皇室军事素养的兴衰的揭示,试图对北周政权的灭亡予以重新解释。第五部分为结论,综合全文内容,提出两魏周齐政治形态具有过渡性,而隋唐帝国繁盛的同两魏周齐政权的过渡作用密不可分。更多还原

【Abstract】 The later stage of the Northern Dynasties witnessed the establishment of two separatist dynasties with the backbone of six garrisons’armed forces:the Eastern Wei Dynasty and the Western Wei Dynasty, which were respectively replaced by the Northern Qi Dynasty and the Northern Zhou Dynasty. Because of the existence of the so called social relationship "Dengyi" in the historical materials generated by barbarian people customs, the supremacy of the Gao Clan and the Yuwen Clanwas based on the approval of warlord generals, thus the political status in the later period of theNorthern Dynasties can be explained in the "stratocracy" point of view. In the two political powers, namely the regime ofEastern Wei Dynasty and the Northern Qi Dynasty, and regime of the Western Wei Dynasty and the Northern Zhou Dynasty, the supreme governors relied more on the approval of the noble group with the background of warlord in order to sustain the domination. Also, they relied more on the military, and tried to sustain domination through directly leading the army to win military exploit. On the other hand, because the Gao Clan and the Yuwen Clan were both from warlord groups, in order to enable their families to have a higher status than the warlord nobles, they took measures to strike and exclude the warlord nobles inevitably, which caused a series of thrilling political struggles within the ruling circles. In the Northern Qi Dynasty of Gao Clan, the rising political status of the Han scholars posed certain threat to the military noble groups; however, as they could hardly control the military powers, and as the politics of the Northern Qi Dynasty were badly dependent on the approval of the armed forces in every aspect, the Han scholars had to suffer from a series of frustration and hits. Even thoughthe force appreciated by the emperor appeared in the later period of the Northern Qi Dynasty was the result of decay tendency of the imperial authority politics, those appreciated by the emperor had some military talents and held the military power tightly, which helped the Northern Qi Dynasty conduct the stable domination. In the Northern Zhou Dynasty of Yuwen Clan, the Yuwen Tai family did not have overwhelming advantage over other Guanlong military nobles, and at the same time, the Northern Zhou Dynasty was confronted with great military pressure from the Northern Qi Dynasty, so the military identity of imperial authority in the Northern Zhou Dynasty was stronger than that of the Northern Qi Dynasty. From the macro-point of view, the politics state with strong military identity in the Western and Eastern Wei Dynasties, as well as the Northern Zhou and Northern Qi Dynasties played an important role in removing the old and building the new.The essay was divided into five parts:The first part was the introduction which looked back on the past history research of the Northern Dynasties and the research trend ofacademic history. It pointed out that there were several paradigms about the history research on the later stage of the Northern Dynasties, and that it was reasonable for the author to analyze the politics of the later stage of the Northern Dynasties with the "Military Politics" paradigm.The second part analyzed the unrest of the last year of the Northern Wei Dynasty and the formation of the GaoHuan Warlord Group and Yuwen Tai Warlord Group. It looked back on the forming process of the ErZhuRong Warlord Group, GaoHuan Warlord Group and Yuwen Tai Warlord Group and revealed the complicated political conflicts in their formation. Through the study on the interaction of the Imperial authority politics and stratocracy in the later stage of the Northern Wei Dynasty, it revealed the historical process of the changing from the rotten civil official aristocracy to the Imperial authority politics controlled by newly-emerged warlord groups in the later stage of the Northern Dynasties.The third part analyzed the political transformation and final collapse of the Eastern Wei and Northern Qi Regimes, and pointed out that the Eastern Wei Regime established by Gao Huan was built on the support from the warlord noble group of Beizhen, therefore, Gao Huan and his descendants had to take strict precautions against the Beizhen warlord noble group when they made use of it. The author used the military capacity factors of the emperor to reveal the contradictory and abnormal phenomenon generated from the imperial inheritance issues in the Eastern Wei and Northern Qi Dynasties.At the same time, the author believed that due to the considerable significance of military affairs in the Eastern Wei and Northern Qi Dynasties, the Gao Clan hierarchy had to sacrifice the interests of Han scholars to satisfy the interest needs of the warlord nobles when it was necessary. This was a red line that went through the many important historical events in the history of Eastern Wei and Northern Qi Dynasties, therefore, the author made a unique explanation to the fall of the Eastern Wei and Northern Qi Dynasties with the help of the "Military Politics" paradigm.The fourth part analyzed the formation and collapse of the Western Wei and Northern Zhou Regimes. Through the sorting and analysis of the Western Wei and Northern Zhou hierarchies, the author pointed out the inaccuracy of previous scholars’dividing the Western Wei and Northern Zhou hierarchies according to the regions. It was claimed that the division should be made according to their political attitudes towards the Yuwen Tai Family and whether they were able to help the Yuwen Family get the monopoly position. Through further analysis to the military attainments of Yuwen Hu and Yuwen Yong, the successors of Yuwen Tai, and their interactive relationship with other military officials, the author uncovered the military factors and military power factors that controlled the internal political struggle of the Western Wei and Northern Zhou Regimes, and tried to reinterpret the fall of the Northern Zhou Regime through the revelation of the rise and decline of Imperial military attainments.The fifth part was the conclusion. It summarized the content of the whole article, and put forward the ideas that the polities of the Western and Eastern Wei Dynasties and the Northern Zhou and Northern Qi Dynasties were transitive, and that the prosperity of the Sui Empire and the Tang Empire was inseparable from the transition roles of Western and Eastern Wei regimes and the Northern Zhou and Northern Qi regimes.更多还原