【作者】 王志立；

【导师】 安国楼；

【作者基本信息】 郑州大学 ， 专门史， 2014， 博士

【摘要】 官僚权力的制约，是人类社会政治生活中的永恒话题。对于中国古代传统官僚政治权力，历代王朝都不曾放松过管束和制约。后周殿前都点检赵匡胤“恃武立国”之后，前朝外戚篡权、宦官干政问题使他心有余悸，权力失控、武人擅权问题更让他坐寝难安。因此，赵氏在废周立宋之后，汲纳唐末藩镇割据、五代政权混乱的历史教训，秉持“重文抑武”的执政理念，紧握政治权柄，慎行其事，在以伦理纲常、祖制家训约束皇权的同时，设“两府三司”以分宰相之权，采用“化整为零”的权力制约方式，以避免官僚权力的过度集中，从而形成威胁皇权之政治势力。同时，建立和完善各项官僚权力监督制度，厉行权力制约，加强对官僚权力的制度性防范，以避免官僚权力的滥用。北宋官僚权力制约机制堪称完善。一方面，权力配置比较完善，基本形成了“上下相维、轻重相制”的政治权力格局；另一方面，官僚权力运行方式十分严密，各个运行环节互相牵制，互相制约。确保了赵氏江山承续三百年之久。权力一旦失去制约就会导致权力滥用，权力离开监督亦会滋生腐败。以此考量，北宋围绕赵氏皇权这个中心，形成了以“两府三司”为核心的权力中枢和层层递推的地方权力架构。官僚权力触须伸到了政权所控区域的各个角落，从而构成了一个纵横交错、彼此制衡的权力网络系统。北宋官僚权力的监督制约，是通过权力的具体运行而得以体现的。论文共分六章探讨北宋官僚权力制约机制这一主题。第一章以北宋官僚权力制约机制产生的背景为起点，渐次拓开论述。北宋官僚权力制约机制的形成，是诸多复杂因素媾和、互推共助的产物，是历史演进、时代发展的必然结果。具体来说，北宋官僚权力的制约机制源于：唐末五代政治乱象之教训的汲纳，执政实践中政治发展的现实考量，以及革除前朝官制弊端的客观需要。论文的第二章为北宋官僚制约机制的历史变迁。全面梳理了北宋以前官僚制度的发展变化、形成特点和运行方式。与前朝相比，北宋官僚权力制约机制在机构设置上，中枢权力机构作了重大调整，形成了皇帝、宰执、台谏的“中枢权力大三角”；地方权力架构则罢除支郡，实行路府州县的行政建制；在监督机构中，中央设置职掌“纠察官邪，肃正纲纪”的台谏机构，地方配置监司、通判等，专司监督之责。同时，完善和制定了多项政治制度，以制约官僚权力，如规范官吏的选拔和任用制度；实行官、职差遣分授制度；调适官员升陟、降黜制度；完善官员考课、监察制度等。在北宋官僚权力运行方面，更加重视官吏任免，推行考课之举，创制磨勘之法，更加突出“任、免、考”关键环节。论文的第三、四、五章是论述的重点，分别从北宋中央官僚权力层面、中央与地方官僚权力层面以及地方官僚权力层面三方面，论证北宋官僚权力制约机制的构成。在中央官僚权力的制约上，通过儒家伦理教化、史官留青约束、宰辅之谏限制等制约皇权；内朝则加强了对宦官、宗室及外戚的权力防范，以免内朝权力极度膨胀而危及皇权；外朝则通过分割宰相权限、防止宰相擅权，削弱重将权力、谨防武人谋反，完善监察制度、防朝官乱权，推行科举制度、收回取士之权等方面来约束朝官权力。在中央对地方官僚权力的制约上，通过分割地方官僚的行政权，收回地方官僚的财政权，加强对地方官僚权力的监察、通过伦理道德的约束等方面进行限制，防止地方官僚乱权现象的发生。就地方官僚权力制约而言，论文则通过地方官与吏胥的关系进行论述，北宋时期的地方官与吏胥，更多地是通过在合作中互相制衡来实现权力制约的。此外，地方属民聚众抗争，对地方官僚权力也具有一定的制约作用。论文的第六章是对北宋官僚权力制约机制的评价与启示。不可否认，北宋官僚权力的制约机制是有两面性的：一是借鉴古法而创设新制，具有一定的历史进步性；二是官僚机构设置叠床架屋，导致事权受阻，效率低下，其时代的局限性也显而易见。其借鉴价值和启示意义在于：一方面，官僚权力的制约是政治社会发展的永恒话题，是维护社会秩序的需要，更是推动人类社会和谐发展的需要；另一方面，权力制约以权力界限为前提要素，以制度制约为根本途径，以伦理制约为文化诉求，限制与激励却是权力制约中的平衡器。结语部分从“事为防，曲为之制”治国体系的形成、“变家为国”的祖宗之法的确立、“皇帝与士大夫共治天下”文官集团的建立三方面对北宋官僚权力制约机制进行了概括和总结。更多还原

【Abstract】 Zhao kuangyin, the all point inspection before the house of the Northern SongDynasty, who builds the Country by military force, was concerned with formerconsorts’ usurper and eunuch’s interference in domestic affairs, he sat and slept atease because power was abused in army’s hands and consequently out of control. Asthe old saying goes, Taking history as a mirror, we can learn what rises and whatfalls. After he destroyed Zhou and built the Song dynasty, He took warnings fromthe falling of Sui and Tang and the political chaos in Five Dynasties. Uphold theruling ideology as emphasis on culture other than the force, clench his power, and useit carefully which means he would constraint imperial power by ethics laws andgenitor system, Segment the prime minister’s operations to avoid excessiveconcentration of bureaucratic power. Meanwhile, he Strengthened the prevention andenforcement of power restriction system, which avoid the abuse of bureaucraticpower. The configuration and operation of Song’s bureaucratic power, roughlyformed a Maintaining between the up and the down, restricting between theimportant and the unimportant power pattern, which made sure Song lasts forHundreds of years.If power goes out of control it’ll be abused, and if it’s out of supervision it’llleads to corruption. Take this into consideration, the Northern Song dynasty build thelocal power frame called liangfusansi as its power core around Zhao kuangyin’simperial power. Thus, the bureaucratic power of Song reached every corner thepolitical power controlled, creating a criss-cross power network system that balanceseach other. The bureaucratic power of Northern Song dynasty needs to be constrainedby supervision, but to be realized through power’s actual operation. Therefore, theoperation of Northern Song dynasty bureaucratic power is like a red line runningthrough the thesis writing.If you wanted to see a scene, you needed to explore its source. This dissertationwas divided into six parts to discuss the theme of bureaucrat restriction of powers mechanism in Northern Song dynasty. At first, we chose the background ofbureaucrat restriction of powers mechanism in Northern Song dynasty asstarting-point to carry out the full text. The form of bureaucrat restriction of powersmechanism in Northern Song dynasty was the interaction with many factors. It wasalso the inexorable outcome of historical evolution and the development of times.Specifically, bureaucrat restriction of powers mechanism in Northern Song dynastywas born from three points:learning something from political chaos of the late TangDynasty and the Five Dynasties, considering the reality of political development intaking office, the external needs of abolishing the disadvantages of bureaucraticsystem in former dynasty.The second part is a generality about bureaucrat restriction mechanism ofNorthern Song dynasty. The second chapter is the historical vicissitudes ofbureaucratic control mechanism of the Northern Song Dynasty. Tease out thedevelopment of the bureaucracy system features and operation mode before theNorthern Song Dynasty in this chanpter.Compared to the former dynasty in institutionsetting, bureaucrat restriction of power mechanism of Northern Song dynasty madegreat adjustment in the main organ of power, which formed "the huge triangle of themain organ of power", namely, emperor, prime minister, Taijian. The local powerstructure removes branch prefecture and carried out the administration organizationsystem of mansion, the states and counties. The supervisory organization centerinstalled Taijian institution, which owned power of "picket officer of evil, redresssocial order and law", besides, the local set supervision department, local magistrate,Vice-Prefect and so on to perform their responsibility of supervision. Bureaucratrestriction of powers mechanism of Northern Song dynasty showed outstandingfeatures contained standard system of selecting and appointing government officials,implemented officials dispatch and granted respectively system, adjust promotion andrecall officers system, perfected investigation and regulatory system and so on.Bureaucrat power operation of Northern Song dynasty paid attention to appoint anddismiss of government officials, carried out measure of examination, created themethod of sharpen and prospect, highlighted the content of "appointment, recall and examination".The other three parts of this thesis will discuss the form of bureaucrat powerrestraint mechanism of Northern Song Dynasty from the following three aspects,central bureaucrat power, central and local bureaucrat power and local bureaucratpower. In the controlling of the center bureaucratic power, restricting the imperialpower by using the Confucian ethics education, official historian record aboutprevious cases, expostulation of prime minister’s to limit; The inner court strengthensthe prevention against eunuch, clan and relatives power, lest the extreme expansioninner court power restraining the imperial power; The outer court took actions ofbreaking up the power of prime ministers,preventing prime ministers arrogatingauthority, weakening the heavy power, beware of heavy military rebellion, perfectingthe supervision system, beware of anti-imperial officials scrambling right, electing ofimperial examination system, recapturing the right of civil official to restraint localpower, in order to running the imperial power. In the controlling of the centerbureaucratic power to local bureaucratic power, discussed the ways by dividing thelocal bureaucratic administrative power, recovering the financial power of localbureaucracy, strengthening the supervision to local bureaucratic power and restrainingby ethics and morality. But in the controlling of the local bureaucratic power, localofficials and minor officials had interaction,also balance each other, and that ordinarypeople joined together to resist is also a constraint factor, which can effectively avoidthe local officials abusing power.The last part is the evaluation and enlightenment. Undeniably, the NorthernSong Dynasty bureaucratic power restriction mechanism is reversible:drawing on theancient law to create the new system, having some historical progress; The efficiencyis low because of the obstruction of using power, having the limitations of the timesinevitably. The reference value and enlightenment significance is, on the one hand,the restriction of power is the eternal topic of political democracy development, thatwe should always keep in mind; On the other hand, restricting power treats powerlimits as the key premise, the system controlling as the fundamental approach, and the ethical constraints as the cultural appeal, while restriction and incentive are thebalancer of the restriction of power.Based on the former part, the conclusion analyzed and summarized thebureaucratic control mechanism of the Northern Song Dynasty from three aspects asthe formation of governing system, the establishment of the ancestral method and theestablishment of civil official group.更多还原