【作者】 李培健；

【导师】 陈启云；

【作者基本信息】 南开大学 ， 专门史， 2013， 博士

【摘要】 五德终始说是中国古代社会一种极为重要的政治学说,自从秦代首次采用该学说后即为此后的多数王朝所沿用。在西汉时期,五德终始说的实行状况颇为复杂,不仅德运多变(水德、土德等都曾被作为政府颁布的法定德运),而且五德演变规则也不唯一(五行相胜和五行相生原则都曾被使用过),另外史料中对火德的记载貌有牴牾之处。虽然学术界对于西汉五德终始说进行了多角度的研究,但所关注的主要是该学说与他者的关系,如五德终始说对西汉统治思想、政治史观、学术等的影响,而对于学说自身的研究并不深入。鉴于此,文章便以西汉的五德终始说为研究中心来考察两个基本问题：一是西汉王朝为何要采用该学说?它对于政治统治的价值是什么?——“为什么”的问题;二是西汉王朝五德实行的历史状况如何?——“是什么”或“怎么样”的问题。通过前者的研究,也能够洞察到历代政权普遍采用五德终始说的某些原由,由此也能了解到传统政治运作的某些模式；而关于后者的研究,也有助于认清传统政治中五德制度实行的特征或状况。文章分上、下两篇来分别讨论、考察这两个问题。在上篇的研究中,文章以为西汉王朝之所以激烈争论但仍旧不放弃五德终始说是出于论证本朝政治合法性的需要。第一章将考察汉之前政治合法性的论证模式。在汉之前,新政权政治合法性的论证体系是由以天命为治权根本来源,以职责观为根本保障,以罪责观为首要前提并辅之以血统上的优势为必要条件的四大部分组成的。这四者以保民(德)为中介连接成为环环相扣的统一体。第二章便要考察五德终始说在西汉政治合法性构建中所起的作用。这又分为两节,即前期构建的情况和后期重构的情形。在西汉前期,五德终始说很大程度上被用作天命观的论证,因为五德终始说隐藏着“一统政权,天命降之”的原则。既然五德终殆说揭示了该原则,那么平定天下后所建立的西汉王朝就是天命所在,带有命定的色彩。到了西汉中后期,由于政治危机的加深,社会上出现了不满情绪,甚至还有人提出汉皇室应该禅让的主张,严重者更是揭竿而起。在这种严重的政治形势下,西汉政权的合法性就有重建的必要。在当时,政治合法性论证者们建构了两个五德历史谱系(即刘向父子宗法型的历史谱系和谶纬中的神性型的历史谱系),以此来说明汉室仍处在历史进程中,仍具有合法有效的统治权。下篇主要考察西汉五德终始说实行的具体状况。一种学说,当其被现实运作后,有时会偏离它最初的理论设计。因此该篇第一章将着重考察五德终始说的理论内涵。结合对时代背景和学说整体结构的研究,能够发现邹衍的学说对于如何治理国家有着一套明确的思路和特殊的方式,即人事合天道,人治法自然,务时寄政,应天而治,这与儒家的德治和法家的法治截然不同。由于秦代是第一个采用五德终始说建制的政权,而西汉多承秦制,所以第二章将考察秦政中五德终始说的实行状况,据此研究可发现秦代时主要是从正朔、服色和度数三个方面来实行五德终始说的。在秦政中五德实行的虽比较彻底,但它已经偏离了邹衍学说的理论本意,置换掉了不利于自己统治的思想。第三、四、五章将分别从正朔、服色和度数三个角度来考察西汉五德终始说实行的具体状况。经过这些考察,我们可以发现在西汉时,政治运作中的五德共分三种类型：法定德运、政治合法性建构中的五德终始说和政治制度中的五德终始说,这三种类型的交错并行就使得西汉五德问题变得极为复杂难明。此外还需指明的是,如同秦朝时一样,西汉统治者们采用五德终始说也是不关注其原本的理论内蕴,而且更为看重其实用性,更在意其现实的政治功能。更多还原

【Abstract】 The theory of wude-zhongshi which was used by most Chinese dynasties was a very important political theory in Chinese ancient society. In Western Han dynasty, the implementation status of the theory of wude-zhongshi was quite complex. Although there have been some researches from many perspectives, the main concern is the relationship between this theory and others, such as this theory that influenced on ruling ideology, the viewpoint of political history, academic. The shortcoming about these researches does not concern the theory itself.So this article will research two basic questions:the first question is why did use the theory of wude-zhongshi in Western Han dynasty? What was the value for the political rule?——a "why" question; the second question is what was historical status of wu-de (五德) in Western Han dynasty——a" what" or "how" question. Through the former research, we also can insight into some reasones why most chinese dynasties uesd the theory of wude-zhongshi; from the latter study, we also find some characteristics or status about the theory of wude-zhongshi in the traditional policy.This article is divided into two parts to research above two problems. In the first part, we can know the reason that the rulers in Western Han dynasty used the theory of wude-zhongshi was to demonstrate political legitimacy. In chapter one, this article will examine the demonstration mode of the political legitimacy before Western Han dynasty. It had four parts:the mandate of Heaven, the viewpoint of responsibilities, the descent-exploits and the viewpoint of guilt. Chapter two will examine the purpose of wude-zhongshi in the building political legitimacy in Western Han dynasty. It is divided into two sections:the construction of political legitimacy in the early stage and the reconstruction of political legitimacy in the late.In the early stage in Western Han dynasty, the theory of wude-zhongshi was largely used as a demonstration of the mandate of Heaven, because the theory hided the principle of "A unified regime will have the mandate of Heaven ". Since the theory hided this principle, Western Han dynasty should have political power, becanse it unified the whole country. In the late stage in Western Han dynasty, due to the serious political crisis, it was necessary to reconstructe political legitimacy for the rulers in Western Han dynasty. At that time, the persons who demonstrated political legitimacy of Western Han dynasty had constructed two world historical pedigrees, in order to explain that Western Han dynasty was still in the course of history, still had valid rule.In the second part, the article will research the state of implementation about wu-de (五德) in Western Han dynasty. One theory, when it was practiced, sometimes deviated from its original design, so chapter one will discuss theoretical connotation of wude-zhongshi. Chapter two will examine the state of implementation about wu-de (五德) in Qin dynasty. We can find the government implementated wu-de (五德) mainly from three aspects: zheng-shuo (正朔),fu-se (服色), du-shu (度数), so chapter three, chapter four and chapter five will research the state of implementation about wu-de (五德) in Western Han dynasty from above three aspects.Through these researches, we can find that the political operation wu-de (五德) in Western Han dynasty was divided into three types:legal de-yun (德运), wu-de (五德) in the construction of political legitimacy and wu-de (五德) in political system, which made the question of wude-zhongshi in Western Han dynasty become extremely complex. In addition, like in Qin dynasty, the rulers in Western Han dynasty did not pay attention to its original theoretical connotation, but paid more attention to its practicability and the political function.更多还原