【作者】 王玉喜；

【导师】 马新；

【作者基本信息】 山东大学 ， 中国古代史， 2014， 博士

【摘要】 以二十等爵制为主体的秦汉爵制,在中国政治制度史上独具特色。秦汉的爵制与周代爵制有着密切关系。“爵”的原意是作为饮酒礼器的爵,从器型上看,爵象“雀”。这种仿生造型的出现源自原始信仰和崇拜。作为饮酒礼器的爵最初也是祭祀的法器,在上古先人的观念中,这种“雀”型的爵具有沟通天地的作用。爵从饮酒礼器发展成为身份等级制度,则寓于国君在宗庙祭祀场合中的“赐爵”行为。国君在祭祀过程中通过赐给大臣不同质地的爵酒的方式,与群臣缔结了不同的身份等级关系。整个活动都是在宗庙神灵的见证下举行的,爵是缔结君臣秩序的媒介。爵的器型和祭祀功能是君赋予臣权力的关键。上古三代的爵制以周爵最为完备。周爵分内爵和外爵两套系统。周爵的特点是一种封建宗法贵族封爵制,封爵的主要条件是以“亲亲”血缘关系为主,周爵的封赐重人不重事,缺乏公平、公正性,从而造成了权力离心分裂的倾向。春秋战国之际,周爵的体系趋于瓦解。战国初年,各国掀起富国强兵、强化君权的变法运动。秦国在商鞅变法过程中创立了军功赐爵制。商鞅创立的军功赐爵制是秦汉爵制的前身。它在秦国军职的基础上,吸收了周爵的合理成分,最终在秦昭王时期发展成为系统、完备的二十等爵制。“功绩制”是军功赐爵制最主要的特点。军功赐爵制规定,不论平民,还是宗室贵族,只要立有军功就能获得爵位。这就打破了周代以来爵位仅授予贵族的惯例。平民阶层只要立功就能获得改变命运的机会。秦统一后,仍然厉行二十等爵制,但是随着战争的结束,二十等爵制逐渐由“功绩制”向“身份制”转变。秦亡汉立之后,汉鉴于秦亡的教训,汉帝国的统治者在二十等爵制的基础上,设立诸侯王一级爵位。随着普遍赐民爵以及以“赐满”为特征的赐官爵的实施,汉代爵制出现了贵族爵、官爵、民爵三大分类。汉爵分类的完成,也标志着秦汉爵制由“功绩制”转变为“身份制”。汉爵的三大类属对应着贵族、官僚以及平民(编户齐民)三大阶层。爵制的发展、演变在一定程度上影响了汉代三大社会阶层的变迁。汉代的贵族爵主要包括诸侯王以及外戚恩泽侯等爵位。汉初,白马之盟的缔结,使得刘氏宗室成员成为诸侯王爵位唯一的合法拥有者。秦朝末年刘氏家族本来是普通的布衣平民阶层,在秦末战乱中刘邦的兄弟子侄在战争中并没有立有大功,汉朝建立以后,却被授予最高的诸侯王爵位。刘氏家族诸侯王爵位的合法性,建立在与功臣集团“共天下”基础上的“家天下”传统。“白马之盟”的缔结就是以功臣为代表的“社会利益”,与刘邦为首的刘氏家族的“自我利益”相妥协的产物。西汉外戚恩泽侯的封赐得益于与皇帝之间的姻亲关系。这本身与“白马之盟”中“无功不封侯”的规定相左。西汉前期,外戚恩泽封侯的突破是建立在皇帝与功臣集团之间的斗争基础上的。从根本上说,外戚恩泽封侯是皇权专制主义的需要。由于外戚的特殊身份,皇帝或听政的皇后大多将其引为亲信。自昭宣时期开始,汉代的外戚往往以列侯的身份把持中朝。这也是汉代外戚专权的主要原因之一。汉代外戚又通过爵位和官位实现了贵族化。汉代的官爵主要包括从第九级爵五大夫到第二十级爵列侯在内的十二级爵位。它们对应的是从六百石到万石的三公等高官。汉代赐官爵不是以功劳为主要条件,而是以既定的身份给予的一种待遇。官爵的背后附丽丰厚的权益。汉代赐官爵的标准经历了由“以功赐爵”到“褒德赏功”的双重标准。赐官爵标准的演变,建立在秦汉时期从由法及儒到儒法合流的政治文化变迁上。东汉时期赐官爵出现了官爵完全分离、官爵爵级减少以及高爵贬值的现象。这些变化直接推动了官僚阶层向士族化转变的进程。汉代的民爵主要包括第一级爵公士到第八级爵公乘。普遍赐民爵是秦汉爵制的最大特点。汉初的赐民爵并非一纸空文,民爵背后还附丽了多种权利。汉代的赐民爵保护了自耕农阶层的利益,维护了统治者的统治秩序。但是随着两汉普遍赐民爵的实施以及爵位的买卖,民爵逐渐走向轻滥。爵位的贬值与轻滥,使得民爵失去了保护自耕农的作用。东汉末年,失去爵位保护的自耕农逐渐分化成以依附农为主的社会阶层。秦汉时期的爵位不仅与社会分层密切相关,它同时也是皇帝加强专制集权、控制社会的主要手段。在朝岁之礼中,汉代的皇帝通过爵位与群臣形成了一种“拟爵制”秩序。皇帝通过封禅泰山与明堂祭祀等活动,将上天和祖先给予的权力,传递给以诸侯王、列侯为代表的群臣手中。这两种仪式的背后则暗含着“君权神授”、“臣权君授”的政治文化内涵。此外,在民本思想以及“王者无私”的传统基础上,汉代皇帝以赐福的形式将爵位普遍赐给平民阶层。普遍赐满爵背后的根由和动机就是皇帝以代天颁福为由,通过爵位缔结一种人间统治秩序。与周爵以及汉以后的封爵制比较,秦汉爵制普及全民,特别是民爵赐予并非是一纸空文。秦汉的爵位背后附丽了一定的权益。秦汉爵制在中国古代政治制度史上具有重要的地位。不同于周爵那种具有地方行政区划和官爵合一的特点,秦汉爵制起初是专制君主奖励军功的主要手段,后来才演变成划分全民身份等级的制度。秦汉爵制与官制成为皇帝管控社会的两个重要手段。更多还原

【Abstract】 The peerage in the Qin and Han Dynasties, as the main body of the twenty peerage levels, is very characteristic in history of Chinese political system. The peerage in the Qin and Han Dynasties was interconnected with the peerage in the Zhou Dynasty. The original of the word "Jue" was from a drinking cup. The shape of the cup is very like the bird. The inspiration for it came from the habits and customs of primitive belief and worship. The Jue as the drinking cup was first a talisman for wizards in the primitive society. In hominids’opinion, the Jue that is like a bird was a messenger between earth and sky. The secret of the Jue from drinking cup to hierarchy, lies in the ancestor worship activities where kings of China’s remote past used different cups named Jue to toast officials at different levels. The whole process was carried out in the testimony of God. The Jue is a media to forming Liege. The power and legitimacy in the relationship between the king and officials were from the shape and function of Jue.The peerage in the Zhou Dynasty was the most complete from the primitive to Xia, Shang and Zhou Dynasties. It consists of two parts. The first includes Duke, Marquis, Count, Viscount, and Baron. The second part contains Gong, Qing, Dafu, and Shi. It is characterized by traditional clan participates. The central necessity in creating titles was based on kinship. The title in the Zhou Dynasty was rewarded mainly for what he is, not in what he does. Therefore, it is lack of fairness and justice. The result of the title of the conferment caused the division of the country. The peerage in the Zhou Dynasty had collapsed in transition period from the spring and autumn to the Warring States period. In the early period of the Warring States, most countries had started the reform movement for making the country rich and powerful. In the state of Qin, Shang Yang founded the system of granting noble title by military merits that came from officer positions. During the reign of Qin Zhaowang, it had developed into a complete system, the twenty peerage levels, which’s the biggest characteristic is all the credit for the knighted conditions. The system of granting noble title by military merits specified whether civilians, or nobles, anyone with the military could obtain the title. It broke the convention that all titles must be granted nobility. Now, if people got the credit on the battlefield, he could get the opportunity to change his fate. After Qin Shihuang ruled all the country, he still sternly carried out the system. But with the end of the war, the conditions to reward with a title were from the credit gradually into the identity. After the Han Dynasty was founded, given the lessons of the Qin dynasty, the ruler of the Han Dynasty set up a title, Princes. With the implementation that Minjue and Guanjue awarded, there were three titles, Guizujue, Guanjue and Minjue in the Han Dynasty. The classification of titles in the Han Dynasty meant that the conditions to award the title were from the credit to identity. The three types of titles were awarded to nobles, officials and civilians. The development of the peerage affected the changes of the three classes.The Guizujue were mainly composed of Princes and En Zehou that was rewarded to the queen’s relatives in the Han Dynasty. In the early Han Dynasty, a covenant by killing the white horse provided that only the royal family, family surnamed Liu, to get Princes. In the late Qin Dynasty, all members of this family were civilians. During the war, because of his greatest contribution and excellent quality, Liu Bang was elected the Emperor by insurgent forces. However, Liu Bang’s brothers, and sons were awarded the princes without any contribution. This was due to the compromise between the Emperor Liu Bang and his ministers. Officials wanted to enjoy the fruits of victory with the Emperor, but the emperor just wanted his family to enjoy the interests of the Empire. So the conclusion of the covenant appeared. There was the famous covenant by killing the white horse. In the Western Han Dynasty, the queen’s relatives were awarded the title due to the marriage with the Emperor. This was a violation of the sacred oath by killing the white horse. In the early Western Han Dynasty, the queen’s relatives were awarded titles due to the Emperor’s needs to control the ministers. It was basically to serve for the emperor to strengthen their rights. Because of their special identity, the queen’s relatives were often seen as the trustworthy person by Emperor or Queen. Later, during the period from Emperor Zhao of Han to Emperor Xuan, the queen’s relatives tended to control the Cabinet by the title of Liehou. That was why they were able to control the government. At last, they became aristocracy by post and title.From the ninth title Wudafu to the twentieth title Liehou formed the Guanjue. Only the senior officials who had the salary from six hundred to ten thousands dan were eligible for these titles. The title was merely a privilege accorded to officials by government, not a reward. Who own titles meant to have more interests. At first, any official with a contribution could get the title. But later, officials who not only had merit, but also had excellent qualities could have the title. Conditions of awarded titles adapted to the change of political cultures, from legalism to Confucius culture. Finally, these two kinds of culture absorbed each other. In the Eastern Han Dynasty, the post and Guanjue were gradually separated. The number of titles awarded to officials also reduced. The Interests of Senior titles diminished. Under the influence of these changes, officials converted to gentries in the Eastern Han Dynasty. From the first title Gongshi to the eighth title Gongcheng formed the Minjue. All Civilians could get titles. It was the most obvious feature to the peerage in the Qin and Han Dynasties. Anyone who had a title could get some real benefits. Process that awarded the title seems quite fair, impartial. People who had titles were respected and envied in society. The implementation of awarding tiles to civilians improved the status of them. However, with the implementation of this policy and the prevalence of trading titles, more and more people did not value for titles. The title lost the role in protection of farmers. In the late Han Dynasty, most civilians became serfs.The peerage in the Qin and Han Dynasties not only concerned with the community, but also as a means of the emperor ruled the country. Between congratulations on New Year’s Day, it formed a ruling order between the emperor and Ministers by the peerage in the Zhou Dynasty. On the Ceremony of Mingtang Sacrifice and the sacrifices on Taishan, the emperor delivered the god-given powers to the officials. Two kinds of ceremony implied a kind of political culture that were the divine right of kings and the right of officials granted by king. Through the peerage, the hierarchy between the emperor and officials was formed. Under the influence of people-oriented thought and emperor’s selfless spirit, awarding the title was often regarded as a kind of blessing by people. This meant that the emperor on behalf of God to bless with everyone. The hierarchy between the emperor and officials is the result of it.Compared with the Zhou Dynasty and after the Han Dynasty, most people in the Qin and Han Dynasties had titles. Even the Minjue also had many interests. The peerage in the Qin and Han Dynasties had an important role in the history of political system in China. Unlike the peerage in the Zhou Dynasty, having a peerage in the Qin and Han Dynasties that did not mean that he could manage a local area. At first, it was just a means to reward brave soldiers who killed the enemy. But soon it became a hierarchy. The peerage, prefectures system and bureaucrat system were ensembles of political structure. In ancient China, emperors relied on the three means to rule the entire society.更多还原