【作者】 刘涛；

【导师】 晁中辰；

【作者基本信息】 山东大学 ， 中国古代史， 2014， 博士

【摘要】 自古以来,以法律形式来管理和控制社会是历代统治者最有力和最重要的手段。在不同的时期、不同的社会状况下,为了巩固统治和加强社会管理的需要,他们都会因势而为,制定一些有利于自身统治的法律条例。这些法律条例的实行,为加强社会管理、维护社会秩序,以及整饬贪赃腐败等发挥了一定作用。在中国传统的封建社会中,法律除了维护社会秩序的本质目的外,其最终和真正的目的也在于维护统治秩序。明朝建立以后,朱元璋在充分吸取元朝灭亡的历史教训下,十分重视法制的建设。他不仅在吴元年(1367年)十二月制定《大明令》,还多次主持和修订了《大明律》。在其颁行的众多法律形式中,洪武十八年(1385年)至二十年(1387年)底连续颁行的《大诰》三编和《大诰武臣》最具特色。这些御制《大诰》文书是由朱元璋亲自编纂、亲自作序,并亲自颁行的。它不仅较为全面地反映了当时社会生活中存在的各种弊端,而且也集中反映了朱元璋藉此加强社会管理,强化中央集权统治的强力手段和措施。通过对《大诰》内容及特点的分析,可见《大诰》三编主要是由案例、峻令和训诫组成,其案例主要是择取洪武年间,特别是洪武十八年(1385年)至二十年(1387年)间的“官民过犯”之要编录而成,其内容涉及到了社会生活的各个阶层和领域,不仅有对官吏的惩治和训诫,亦有对普通民人、富农豪强、乡间耆宿、里甲粮长、逸夫游民,以及文人、僧道、商人、工匠的管理和训谕。而《大诰武臣》则主要是以针对武官,特别是卫所武官的控制与管理的法律文书,其内容主要是由案例和训诫组成。不过,其中很少设置峻令,其所载案例主要择取当时都司卫所中存在的武官犯罪之要组成。朱元璋之所以颁行《大浩》三编,其主要原因有如下几点：其一,经过二十余年的努力,他的明纲常、正法度、严吏治、安百姓,“复我中国先王之治”的治国目标并未实现,社会中仍存在各种各样的官民违法不端、不遵礼制的行为。当朱元璋发现用一般的手段难以根治这些问题的时候,制定《大诰》以惩戒和恐吓官民也就成为他不得不采取的措施。其二,洪武十八年(1385年)发生的“郭桓案”是让朱元璋最终决定颁行《大诰》的重要客观因素和直接原因。这一案件,由户部侍郎郭桓而起,其牵连广泛,上至中央六部官员,下至地方有司官吏,甚至是平民百姓,因罪系狱者数万人。郭桓案的发生极大的震慑了朱元璋的神经,从而使其更加坚定了整饬官员队伍,肃清社会不良现象的决心。其三,《大诰》三编的颁行是朱元璋奉行“治乱世用重典”和“明刑弼教”政策的继续,也是他进一步加强社会管理,强化中央集权统治的重要举措。另外,主观上要求强化专制集权和加强社会控制,则是他颁行《大诰》三编的最终内在因素和根本动机。而朱元璋颁行《大诰武臣》的原因,除了这些与颁行《大诰》三编共同的客观形势和主观动机外,藉此惩治武官犯罪、约束武官行为,以及强化军备管理、提高军事能力,也是其重要的出发点。《大诰》三编颁行以后,朱元璋借助于强大的中央威势和君主权力,大力推行诰文的讲读与实施。在洪武、永乐年间,其讲读与实施的力度较大,但是,在此之后,无论是《大诰》的讲读还是实施,其力度己明显减弱,并逐渐成为人们罕见、民间鲜知的文书。不过,由于《大诰》是由明代开国之君朱元璋所颁布,借助于御制圣书与《皇明祖训》的约束,其影响力仍长期存在。另外,由于它作为科举考试的重要命题功能仍然存在,因此,在士人子弟等群体中还具有一定的传播和影响。而且,一些正直之官还常常把《大诰》作为圣谕训言,以时时自省。可以说,《大诰》三编从洪武朝的颁行到万历朝的诸生、官员的习读警醒,时间亦绵延长达二百余年,这充分反映了它作为御制之言所潜在的持久影响力。此外,在民间社会中,《大诰》三编虽己日渐为人们所鲜知,但其影响力并未完全消除,在一些地区仍然存在着不时宣讲的现象。总之,《大诰》三编在整个明代社会中,仍在潜移默化地发挥着重要影响。它所具有的独特地位和重要作用不应低估。除了《大诰》三编外,《大诰武臣》颁行以后,借助朱元璋的强力政策,其在当时的武官中得到了较为广泛的传播,不过自洪武以后,不仅随着战事平息、社会承平日久,武官的管理也不像洪武时期那样受到格外关注,其诰文的传播与流行也日渐消亡。另外,由于《大诰武臣》主要以案例的教谕为主,其间几乎没有颁行任何法规条例,所以也没有任何诰文被载入到洪武后期颁行的条例和《大明律诰》之中,其实施的期效自然不如《大诰》三编持久。朱元璋所推行的以《大诰》为中心的社会管理政策,在一定程度上对澄清吏治、整饬社会秩序,以及敦厚民风习俗等方面发挥了重要作用。但是,其不良后果及消极影响亦十分严重和深远。就《大诰》三编来说,在朱元璋的强力政策与社会管理下,元末明初的动荡局面得以有效扭转,社会秩序得以较快恢复,官吏及富豪危害得以有效控制,在短期内对缓和阶级矛盾,促进生产发展发挥了重要作用。不过,由于管理手段带有很强的个人专制色彩,随意性太大,且用刑过于严酷等原因,使其带有很大的负面影响,产生了很多问题,并未达到他所冀望的“复我三代之治”的预期。而且,从历史长河来看,朱元璋的专制独裁和法外用刑,都给后世产生了恶劣影响。这种严密的社会控制与管理政策,不仅严格禁锢了人们的思想,而且阻碍了社会的向前发展,并最终限制了社会生产力的进步。其所具有的长期和深层次的危害,可谓十分深远。而《大诰武臣》,无论是其实施期效,还是实施效果,都不如《大诰》三编,其影响主要在洪武和永乐时期,自此以后除了在教谕武臣子弟方面还是发挥了一定作用外,无论其流传还是影响都日渐式微,并逐渐成为不为人们所知的文书。不过,在《大诰武臣》颁行之时,还是某种程度上起到了警诫武官的作用,与元朝及洪武以来相比,武官还是受到了一定约束,军纪也严明多了,而军队也一直保持着较强的战斗力。综上可见,通过对《大诰》三编及《大诰武臣》的分析,不仅对朱元璋的社会管理思想,而且对认知明代,特别是明初的社会治理情形,亦有很大的帮助。另外,通过对《大诰》这种特殊的法律与社会管理方式的分析,可以更加深入地认识明代社会的特点。总结其利弊得失、分析其施政效果,对今天惩治贪腐、创新社会管理等亦可以提供历史的借鉴。笔者在通过对《大诰》内容及特点的分析之后,主要从社会构成的主体,即官员(文官、武官)、吏役、富民豪强、普通民人,以及其他社会阶层入手来分析朱元璋的社会管理政策。在分析中,笔者不仅对社会管理的阶层、手段、内容进行了分析,而且对朱元璋为何采取这种措施亦作了深度探讨。历史的经验告诉人们,要使社会管理达到最佳效果,必须由“人治”转为真正的法治。更多还原

【Abstract】 Since ancient times, the law is the most important means for rulers to strengthen social management and social control. At different times, the rulers enacted laws in accordance with the social situation to strengthen social management and consolidate their governance. The establishment and implementation of these laws, played an important role in the maintenance of social order. In traditional Chinese society, the nature of the purpose of the law in addition to the maintenance of social order, but its ultimate and true goal is also to maintain the ruling order.After the establishment of the Ming Dynasty, Zhu Yuanzhang paid much attention to learn the lessons from the demise of the Yuan Dynasty, attaches great importance to the construction of legal system. In the first year of the Wu Period, he revised the Da Ming Ling. In the sixth*twenty-second and thirtieth years of the Hongwu Period, he continuously revised the Da Ming Lv. However, in many law forms that he issued, the most distinctive is the Da Gao. This law included four parts: Da Gao (Ⅰ), Da Gao (Ⅱ), Da Gao (Ⅲ) and Da Gao Wu Chen. They were codified and enacted by Zhu Yuanzhang in the Hongwu eighteen years to the end of twenty. Not only were they more fully reflect the social disadvantages that existed at that time, but also reflected the emperor powerful means to strengthen social management.The Da Gao (Ⅰ-Ⅲ), were mainly composed of various cases, harsh decrees, and many words of admonition. Book cases were mainly composed of the cases handled by Zhu Yuanzhang between eighteen to twenty years of the Hongwu Period. The content of Da Gao (Ⅰ-Ⅲ) not only involved many classes, but also coverd the political, economic, cultural and other fields. These three books not only involved punishment for officers, but also for involved management common people, tyrannical landlords, hypocritical elders, the village head, local hooligans, layabout, scholars, monks, merchants, craftsmen. However, the Da Gao Wu Chen was mainly for the military Officers, especially with regard to the management of Military Officers at Garrison Stations in the Ming Dynasty. Its content was mainly composed of various cases and many words of admonition, with few harsh decrees. The reason why he enacted the Da Gao (Ⅰ-Ⅲ), there are several reasons as follows:First, after more than twenty years of effort, he desired social stability, official Qingming, customs enlightenment Statecraft situation does not appear. In the society of that period, there was also a wide variety of illegal misconduct and non-compliance with ritual behavior. When he found the general means cannot control these questions, the formulation and implementation of the Da Gao becames a necessary measures. Second, the occurrence of serious case about Guo Huan was the important objective factors and the direct cause made Zhu Yuanzhang determine to enact the Da Gao. This was a very serious case, which involves tens of thousands of central and local officials. It greatly shocked Zhu Yuanzhang’s nerves, made him more to fight crime officials with determination, and to improve social negative phenomena. Third,This was a continuing policy of Zhu Yuanzhang’s "Rectifying Officials" and "Integrate Punishment With Education". In addition, he it urged him strengthening the centralization subjectively; it was the most fundamental reason. The reason he enacted Da Gao Wu Chen, in addition to those, to punish their crimes, strengthen their management, and improving military capabilities, are also important factors.After Da Gao (Ⅰ-Ⅲ) were enacted, Zhu Yuanzhang carried out their implementation by strong central authority and monarch power. These policies implemented greater intensity during the period of Hongwu and Yongle. But after that, their implementation effect had weakened remarkable, and gradually vanished. However, because they were issued by the emperor, by constrain of imperial holy book binding and teachings from forefathers, their influence persisted for a long time. In addition, because of their importance as an imperial examination proposition, so they also have some influence among literatusi, official’s population. Among them, some officials often use them as a warning, for reflection. In civil society, although they were not known to the people gradually, but their influence had not been completely eliminated, in some areas there were still preached occasionlly. In short, they subtly played an important influence in the Ming dynasty society. For their unique status and important role, we should not underestimate them. In addition to Da Gao (Ⅰ-Ⅲ), the Da Gao Wu Chen also played an important role among military officiasl. However, since the Hongwu period, its role gradually disappeared. Besides, because it’s content is mainly composed of cases, and there were not any laws during that time, so there was not any content to be written into later enacted regulations. As a result, its enforcement effect is not as durable as Da Gao (Ⅰ-Ⅲ).These special laws played a certain role in social management in the early Ming Dynasty society. However, their adverse consequences and negative impact were very bad and far-reaching. On the Da Gao (Ⅰ-Ⅲ), under the Zhu Yuanzhang’s strong policy and social management, the social order was quickly restored, officials and Regal hazards be effectively controlled. In the short term, they played an important role in easing the class contradiction and promoting the development of production. However, due to the Zhu Yuanzhang’s authoritarian and brutal management tools; they inevitably incured a lot of problems. Therefore, he did not realize the goal of running the country. This tight social control and management policies, not only strictly confined people’s minds, but also hindered the development of the society, and enventually limited progress of the social productive forces. On the Da Gao Wu Chen, its influence was mainly in the Hongwu and Yongle period. Since then, its role mainly for military officials’ education, but this effect was also limited. However, during its early enactment, it also played a role in warning against military officials. To a certain extent, it is not only constrained the military official behaviors, but also maintained a strong fighting force in early Ming army.Therefore, through the analysis of them, significance comes not only for the understanding of Zhu Yuanzhang’s social management thoughts, but also for understanding the Ming social governance situation. In addition, through the analysis of this particular social management, the characteristics of the Ming Dynasty society can be understood thoroughly. By summing up the pros and cons of their lessons, historical references were proposed for punishing corruption and social management innovation. Through the Da Gao content analysis, which from the social composition of the body, namely officials (official, military official), clerks, runners, landlords, tyrannical, common people, as well as other sectors of society, his social management policy emerges. Using particular discourse analysis, Zhu Yuanzhang’s social management policy, and the reasons for its implementation were analysed deeply. Historical experience tells people that in order to achieve the best rusults from community management, the transformation must be done from "rule of man" into a genuine rulling of law.更多还原