【作者】 郝黎；

【导师】 杨际平；

【作者基本信息】 厦门大学 ， 中国古代史， 2004， 博士

【摘要】 官吏制度是中国古代政治制度的重要组成部分，对官吏的任免是其不可或缺的内容。然而长期以来，人们对官吏的选任极其关注，对其对立面即官吏的整肃机制却所论甚少。对官吏的惩治是整肃机制的重要内容。由于时间、精力和学识有限，笔者拟只对唐代官吏的惩治问题进行探讨。 笔者利用大量唐代典籍资料，立足于官吏的惩治实践而不仅仅是条文规定，较系统地论述了唐代官吏的惩治问题，在一些学者没有或较少注意的方面做了深入研究。 唐代官吏受到惩治的原因有很多方面，主要是：职务不修、违反礼法、人事关系、连坐等。职务原因方面，已有成果多着墨于赃罪，对选荐不当、军事失利、稽缓、其它失职、公事连坐等几种失职行为少有涉及；违礼受惩人们多关注的是逾制和不孝，笔者将与个人家庭生活密切相关的礼仪定义为私礼，其它与为官关系比较密切的则命名为公礼，增列了丧礼不敬、饮食失礼、朝班不肃、家庭不睦、残忍不道、奸淫乱伦等几种情况；人们对官吏因得罪皇帝、权臣而受惩罚的现象司空见惯，笔者对其进行了归类分析；官吏还因和同僚忿争、结交受限人员或者自身性格缺陷而受惩治，这些方面学者们注意相对不足；将连坐细分为受亲戚、朋友或者朋党、座主或者举主牵连等几种情况。 唐代惩治官吏的方式为行政处罚、刑事处罚、物质处罚、精神处罚。笔者分别对贬官、流刑、经济惩罚、立恶谥、复本姓或改恶姓名作了重点介绍，补充了量移的原因、量移前后期的变化、削阶的影响、杖死的特点、罚俸之外的其他物质处罚方式及精神处罚方式，并对各种惩治方式的轻重进行了比较，对实施中的利弊得失进行了分析。 笔者探讨了影响唐代官吏受惩的诸因素与官吏惩治的效果。考课、监察、司法、劝谏、特权、赦宥制度、皇帝意志及官吏本人或者他人一些因素都对官吏的惩治造成了影响。官吏受到惩治的原因直接影响惩治效果。无罪受罚或者罚不当罪会产生消极作用，但被错罚的官吏如果素质高，反而会对地方的发展产生积极影响。 对于前人的一些提法，笔者也提出了自己的看法，如认为察事厅子是人而不是宦官所设的机构;降职和外迁不是贬官的规则;不得擅离贬迁之地并非是针对左降官的限制;五考满量移没有成为定制;流刑的惩治范围并非侧重政治斗争;流刑的惩治力度并非名重实轻;流放者被判决后，并非要决杖一顿;长流并不局限于反逆缘坐;腰斩并不是唐代后期或者前代酷刑，唐前期既己存在等等。 唐代著名的治世，贞观之治、开元之治、元和中兴，正是严厉惩治官吏的时期。因此，官吏的惩治与否，关系吏治的好坏;而吏治的好坏则与社会的治乱局面息息相关。如果对官吏坐视不管，听之任之，不采取惩治措施，吏治情况无疑会很差。故官吏的惩治制度能够在一定程度上发挥澄清吏治、有利于社会发展的作用。更多还原

【Abstract】 The bureaucracy system is an important segment of the political system in ancient China. It is necessary content to appoint and dismiss officials of bureaucracy system. However for a long time, people pay much attention to the appointment and less attention is paid to its stand opposite, namely the dismissal. To punish the officials is the important contents of the whole dismissal system. Limited by the time, energy and knowledge, I simply intend to probe into the punishment of the officials in Tang Dynasty.Through enormous data of Tang Dynasty and on the basis of the practice rather than merely the rules, I conduct a systematic survey on the officials’ punishment problem of Tang Dynasty, which aims to further investigate the aspects that are often overlooked by some scholars.There are various reasons for the officials of Tang Dynasty being punished, mostly: dereliction of duty, disobeying the manners, giving offense to some person or connecting with some person, involved others in a criminal etc. In terms of duty, there are already articles focusing on corruption and bribery. Yet, few articles touch upon choosing improper officials, the military defeats, delay, other breach of duty, involved others in a criminal in the public affairs. As for disobeying the manners, the academic study tends to pay more attention to arrogate and impiety. I define the manners in personal home life as private manner and others related with being an official are called public manner. I add other aspects of disobeying the manners as the funeral service disrespect, bad dieting manners, casual dynasty ceremonies, unharmonious family relations, cruelty, fornication and etc. People are familiar with the phenomenon that officials were punished due to offending the emperor or powerful ministers. I analyze this phenomenon in my dissertation thoroughly. The officials were also punished because of arguing with associates, making friends with certain people and personality blemish. Scholars pay little attention to these aspects.In the next chapter, I subdivide embroilment into a fewreasons such as involving the relatives, friend or political clique, the people who were responsible for recommendation.In Tang Dynasty the main ways of publishing the officials were the administrative punishment, criminal punishment, material punishment and psychic punishment. I spend much space on demoted official, the banish punishment, economic punishment, bad ShiHao,desterilizing surname and changing the bad name. I add the reason and variety of LiangYi, the influence of demotion, the characteristics of bastinado to death, material punishment besides salary-fine, psychic punishment, compare different degrees of punishments, and analyze the merits and demerits of them in practice.I examine the factors that affect the officials’ punishment of Tang Dynasty and the corresponding results. Test, Supervision, Justice, Advice, Privilege, Remit and other factors all influence the punishment of the officials. Besides, I add the judicial form, namely, gathering officials in argument. The reasons directly affect the results. Innocent punishments and inappropriate punishments would produce negative effects, but if the officials who were published mistakenly had high quality, it would produce positive influences to the local development surprisingly.I argue against other people’s standpoints, and therefore put forward my own viewpoints, for instance: ChaShiTingZi refers to people rather than an organization established by the eunuchs. Demotion and moving outside were not rules for demoted officials, who cannot optionally leave the region. And this was not restricted simply to those officials. Five-Year-Move did not yet become rules; the banish punishment were used to punish the crime of serious kinds, not merely emphasizing on the political strive; The banish punishment was worthy of the name, matching its status in the "Tang Law". After sentenced, the criminals need not bastinado. The aim of the timeless banish punishment was consistent with the banish punishment,更多还原