【作者】 王东洋；

【导师】 牟发松；

【作者基本信息】 华东师范大学 ， 中国古代史， 2007， 博士

【摘要】 中国古代官僚政治能够长期存在，有着其自身内在的逻辑和诸多制度上的支撑，如选举制度、考课制度、监察制度、致仕制度等。考课制度作为其中重要的制度之一，是按照一定标准，由相关部门组织实施，对在职官员的政绩、品行和年劳进行考评，并根据考课结果对之升降赏罚的官僚管理制度，通过奖优罚劣、褒善惩恶，来保障官僚队伍的活力和效率，这对于官僚制度的自我完善和长期发展起到重要推动作用。魏晋南北朝时期，虽然大都处于分裂状态，皇权相对弱小，门阀制度得到空前发展，但考课制度仍然存在，而且独具特色，形成了与门阀制度相适应的考课体制。论文第一章探讨了魏晋南北朝时期的考课对象。该时期的考课对象主要包括中央官、州郡县长官、内外长官之属吏、散官、武官等。魏晋南北朝将中央朝官纳入考课体系，并制定了相应的考课法，改变了过去偏重地方官考课的倾向。北魏乡官被纳入考课，说明北魏皇权已经深入基层政权。考课对象不断扩大的趋势，反映了魏晋南北朝皇权逐渐加强的趋势。第二章探讨了魏晋南北朝时期的考课标准。考课标准包括官员的品行、政绩和年劳，是随着时代的变化而逐渐定型的。“政绩”标准是考绩制度确立后最初的标准，其具体表现形式可以通过数字化展现出来。品行标准和年劳标准的确立有个历史发展过程。“品行”是伴随着评估方式的变化(即借助九品中正制这一平台)和法律儒家化的背景而逐渐纳入考课标准的。年劳与政绩、品行之间具有一定的矛盾性，但因能反映官员的任期、履历及勤恪，能够适应官僚制的运转，也逐渐成为考课的一个标准。唐代“四善二十七最”的考课标准，正是品行、政绩和年劳标准在魏晋南北朝和隋代长期发展演变而形成的有机统一体。考课标准的变化，加速了儒家和法家在治国理念上由冲突走向最终融合，促使考课的性质在魏晋南北朝发生重大变化。春秋战国的上计制度标志着考绩制度的正式确立，其严格按照政绩标准选拔、考核官吏，轻视品行，这说明最初的考绩制度是法家思想的实践，而与儒家所提倡的德行无涉。两汉官员的品行由“乡举间选”来予以保障，并由监察机关纠弹，但当时考课法令多由法家制订，体现的主要是法家思想，品行尚没有正式成为考课标准。自魏晋始，政绩和品行同为考课的正式标准，法家注重的才能(政绩)与儒家注重的德行(品行)这两大因素逐步结合于一体，两家思想主张均通过考课制度而更好的实现。考课的性质最终通过品行标准的纳入而定型。通过考课制度而对官员的品行和行政进行调控，是中国古代官僚政治的一大特色。第三章探讨了魏晋南北朝时期的考课管理机构。中央和地方分置相应的考课管理机构。中央设置考功曹，为文武长官考课的管理机构。考功郎隶属及其职掌在魏晋迄唐曾出现变化，反映了选举与考课各司其责体制的逐渐形成。中央开府长官和州郡县长官置有功曹，为本府属吏考课的管理机构。中央考功曹和内外长官所置功曹分别对长官和属吏进行考课，二者配合共同完成长官和属吏的考课任务。隋加强中央集权，剥夺地方守宰自辟僚属权，将天下百官及其僚属的考课收归尚书考功曹(司)统一管理，从而实现了长官考课和属吏考课管理机构的一体化。第四章探讨了魏晋南北朝时期考课制度的运行机制。该时期的考课制度形成了较为完善的运行机制，包括几个紧密相联的环节：考课信息的收集、考课等第的确定、考课中的监察校正机制、考课后的奖惩以及考课周期与考课年限等。考课信息的收集是考课的起点，它包括多种途径和方式，其中自下而上的途径有上计制度、其他官员汇报制度、民众对地方官的评价等，自上而下的途径有巡行制度、九品中正制度等。各项制度和方式密切配合，共同完成考课官员的信息收集任务。考课管理部门将官员的考课信息汇总整理，根据考课标准，来确定考课等第。魏晋南北朝考课等第的划分沿用汉制九等法，但有所发展，尤其是北魏的三等七品划分法，是为了加速对官员升降赏罚的政治需要，凸现了考课的黜陟功能。考课等第的确定参照了多种因素，如一定的地域范围和比较对象。朝廷加强对考课过程的监察和考课后考簿的管理。监察机构(如魏晋的侍御史课第曹)参与考课的过程。对涉及官员的经济政绩的监察，则建立和完善了勾检制。针对武官军功考课，北魏采用三个系统文书(内外考簿、吏部任命书、中兵勋案)相互对校，形成了互相监督、层层纠弹的机制。考课后的奖惩是魏晋南北朝考课制度的有机组成部分，对官员本身的仕途升降和死后的待遇均有重要影响。文官考课后的奖惩逐渐与官阶相挂钩，武官考课后的奖惩促使军阶与官阶相联系，对当时官制的发展演变影响甚巨：官品秩序为官员考课后的升迁提供了依据，而官员考课后的职务及官阶升降反过来又促进了官品秩序的完善和发展，这对于提升庶族寒素的地位、削弱士族门阀的特权以及皇权政治的恢复、加强均有重要意义。魏晋迄隋官员任期出现较大变动，但考课周期与任期在时限上大体相应。考课年限逐渐由“三年一考”转向“一年一考”。考课周期和考课年限，均是国家解决官僚职位与侯补官员之间供需矛盾的手段，其变化反映了官员的升降速度及其变化。第五、第六章，分别探讨了魏晋南北朝时期的上计制度、巡行制度与考课制度的关系。魏晋南北朝沿袭两汉之制，上计制度仍然存在，并继续发挥着考课地方官员的作用。魏晋南北朝通过自上而下的巡行制度，遣使四方，纠弹、考课、黜陟地方官。上计制度和巡行制度既是考课信息收集的手段，本身亦是考课制度的重要方式。第七章通过考察魏晋南北朝时期的九品中正制与考课制度的关系后，认为九品中正制度中的考课要素是适应当时门阀制度下的特殊考课要求的。九品中正制度是适应魏晋南北朝门阀社会的政治形势而产生的，既能照顾到士族门阀的优势地位，也体现了皇权在门阀制度下对选举与考课的控制。九品中正制的考课作用对于士族门阀和庶族寒人是不同的。九品中正制虽在曹魏时期较为重视德行和才能，但西晋及其以后，门第和品行成为最主要的标准，对于官员的治绩不太重视。这对于门阀士族是十分有利的，他们仅仅凭借其门第和自我标榜的德行就可轻易获取官职并不断升迁。而寒人庶族只有通过才干和治绩，通过国家的考课，才能取得不断升迁的机会。所以寒人庶族与士族门阀对于考课标准的重视不一，前者更重视“治绩”，后者更重视“德行”。九品中正制度能起到某种形式的考课作用，正是门阀制度下考课制度所具有的特征之一。九品中正制的考课功能，对于皇权政治的恢复起了一定的作用。第八章探讨魏晋南北朝时期民众对地方官的评价及其影响。民众对于地方官的评价，内容涉及地方官的“治绩”和“品行”，与乡里清议有一定的相关性，同时也是国家了解该地方官政绩和品行的一个重要途径，对地方官的考课结果产生了直接或间接的影响，这在一定程度上反映了门阀制度下考课所具有的时代特征。总之，从上述考课对象的扩大化(中央官、州郡县长官、属吏、乡官、武官等)、考课标准的兼容化(品行、政绩、年劳)、考课管理机构统一化(隋代由吏部统管)和考课的运行机制的系统化(紧密相连的考课环节)、考课方式的多样化(上计制度、巡行制度、九品中正制等)来看，在门阀士族居于重要地位的魏晋南北朝时期，考课制度不仅存在，而且有较大发展，形成了与门阀制度相适应的考课体制。门阀士族的政治意愿通过制度化的九品中正组织来实现，地方社会由大族豪强主导的乡里清议也在一定程度上通过民众对地方官的评价形式来实现。门阀士族对于考课的制约及影响，是魏晋南北朝时期考课制度的重要特征。魏晋南北朝官员的考课结果是国家、门阀士族与民众舆论三个方面共同发挥作用的，三者的互相配合共同构成了官员考课较为完整的考课体系。魏晋南北朝时期考课制度发展到一个新的水平，在中国古代考课制度发展史上居有重要地位，对隋唐政治制度和历史发展产生了深远影响。更多还原

【Abstract】 That the bureaucratic politics in ancient China could stand a long time was attributed to its own intrinsic logic and the support of many systems, e.g. the electoral system, the merit system, the supervisory system, retirement system among others. As one of the important systems, the merit system was based on certain standards, organized and implemented by relevant authorities, and aimed to evaluate the achievements, moral conducts and "年劳" of the officials. According to the evaluation results, an official would be promoted or demoted, rewarded or punished, by way of which the vitality and advancedness of the bureaucratic mechanism could be guaranteed. The merit system played an important role in pushing the self-perfection and long-term development of the the bureaucratic system. In Wei ,Jin, Southern and Northern Dynasties, the unified and central governments no longer existed, the imperial power decreased, and the powerful familes and powerful-family system developed unprecedentedly. Nevertheless, the merit system did not fade away. Moreover, it obtained significant development and gradually adapted to the powerful-family system.Chapter One probes into the objects of the merit system in Wei ,Jin, Southern and Northern Dynasties. During this time, the major objects included the central and local officials, the working staff for senior officials, Sanguan and military officers, etc. During the Dynasty, the central officials were included in the merit system and conesponding regulations were prescribed, which changed the former tendency focusing on local officials. In the Northern Wei Dynasty, villiage officials were brought into the merit system, indicating that the imperial power in that dynasty had penetrated into the grassroot levels. The constant expansion of the objects of the merit system reflected the continuous strengthening of imperial power in the Wei Jin, Southern and Northern Dynasties.Chapter Two discussed the criteria of the merit system. The criteria included the achievements, morla conducts and 年劳, and would progress with the changes of time. "The achievements" were the initial standards when the merit system first started and could be visualized with figures. The establishment of moral conducts and 年劳 as the standards went through a historical development process. "The moral conducts" were included in the merit systme with the perfection of evaluation methods (aided by the Nine Grades Appraisal System) and against the background of the Confucianization of laws, "年劳" was in a degree contradictory to "the achievements" and "moral conducts". But it could reflect the tenure, curriculum vitae and 勤恪 of the officials and could adapt itself to the operation of bureaucracy. As a result, it was brought into the meirt system. The standards of "4 virtues and 27 mosts " in the Tang Dynasty were precisely the results of the long development and evolution of the criteria of "achievements" , "moral conducts" and “年劳” during the Wei ,Jin, Southern and Northern Dynasties and Sui Dynasty. The changes of the criteria accelerated the conflict-to-integration process of Confucianists and Legists. In Spring and Autumn Period and Warring States Period, the Shangji System symbolized the establishment of the merit system, which evaluated the government official strictly by the standard of achievements instead of moral conducts. It implies that the very initial merit system was the pracice of legalist thoughts, and had nothing to do with the moral conducts advocated by Confucianists. In the Two Han Dynasties, moral conducts of the officials were maintained by the township and overseen by supervisory institutions. But at that time the merit regulations were prescribed by the legalist school and so reflected its thoughts. Moral conducts had not officially become the standard of the merit system.From Wei-Jin Dynasties, both achievements and moral conducts became the official standards of the merit system, marking the gradual integration of the achievements advocated by legists and the moral conducts by Confucianists. The notions of the two major schools of thought were visualized through the merit system. To monitor the moral conducts of officials by means of the merit system was one of the major characteristics of the bureaucratic politics in ancient China.Chapter Three discussed the administrative mechanism of the merit system. Kaogong Cao was established by central authorities and targeted at the civil and martial senior officials. The transformation of Kaogonglang in affiliation and superintendence during the period from Wei-Jin to Tang Dynasty, reflected the establishment of the system in which each department took its own responsibility respectively in election and evaluation. Gong Cao was set up by both central senior officials and prefectures in order to manage the government staff. The central Kaogong Cao and Gong Cao were separately in charge of the senior officials and the affiliated staff. In Sui Dynasty, the central government strengthened its power and deprived the local governments of their merit system. The management of all officials fell on the Kaogong Cao at the central level, so as to incorporate the merit system of both government officials and their affiliated staff.Chapter Four discussed the operational mechanism of the merit system. A comparatively complete mechanism was built up during that period and was an interconnected process, such as collection of merit information, determination of merit ranking, supervision in the evaluation process, rewards and punishment after evaluation, and the time span etc.Collection of merit information was the beginning, which included many kinds of channels. From-bottow-to-top channels included Shangji system, reporting system by other officials and appraisal by the masses of the government officials. From-top-to-bottom channels included perambulatation and the Nine Grades Appraisal System. Then the administrative authority would assemble all the information and accordingly determine the rank for each official. The rank determination needed a frame of reference, e.g. a specific scope of land or officials at the roughly same level. Rank determination in the Wei Jin, Southern and Northern Dynasties continued to use the nine grades of the Han System, and also developed further. Particularly, Northern Wei Dynasty adopted three-rank and seven-grade system, which catered to the political needs of accelerating the promotion and demotion of officials, and highlighted the position-removal function of the merit system.The central government strengthened supervision of the evaluation process and management of the evaluation archives. The supervisory authority (e.g. Kedi Cao) took part in the evaluation process. To evaluate the economic achievements of the officials, Goujian System was adopted. The Northern Wei Dynasty used the amanuensis of three systems for comparison and produced the system of mutual supervision and level-to-level conditioning. Although the tenure of the officials had significantly changed from Wei-Jin to Sui Dynasty, the cycle of the evaluation remained roughly the same to the tenure. The time span had gradually become from "once in three years" to "once a year". The rewards and punishments after evaluation constituted an organic constituent of the merit system , which played an important role in both the career development of the officials and the post-death treatment. For both civil officials and military officers, the rewards and punishments were linked up with their official ranks, which exerted great influence on the historical development by narrowing down the gap between the plebeian class and privileged class. The cycle and the time span of the merit system were both methods to solve the contradiction between the supply of bureaucrat positions and the need of government officials. The change in the quantity reflected the fluctuation speed of officials.Chapter Five and Chapter Six, discussed the relations between the Shangji System, the perambulatation system and the merit system . As a tradition which started from Two Han Dynasties, Shangji system still served as a method to evaluate the local officials. In theWei ,Jin, Southern and Northern Dynasties, through the perambulatation system the central government sent heralds all over the nation, corrected, evaluated and dismissed the local officials. Both the report official and the perambulator were regarded as the connection between the center and local. The Shangji system and perambulatation system were not only the method of collecting information, but also were important parts of the merit system.Chapter Seven discussed the relations between the Nine Grades Appraisal System and the merit system. The Nine Grades Appraisal System was a special form of examination that fit the powerful family system. The Nine Grades Appraisal System adapted to the political situation of Middle-Ages aristocrat society. Although it compromised to the powerful family’s superiority, it was still acceptable to the emperor. Finally the imperial authority restored through it. The Nine Grades Appraisal System functioned quite differently from the aristocrats to the ordinary people. In Wei period, it relatively focused on the officals’ virtue and talent. But when it came to West-Jin Dynasty and after, the parentage and morality were mostly considered but the official’s achievements were ignored, which was quite favorable for the aristocrats. They could easily get positions and be promoted just because of their parentage and self-proclaimed virtues. While the ordinary people had to work out great achievements and passed the evaluation to get promoted. So the ordinary people focused on the achievements while the aristocrats focused on their virtue. The Nine Grades Appraisal System played the role of meirt system and exactly showed some features of the merit system under the powerful family system.Chapter Eight discussed the public evaluation and its influence on the officials in the Wei ,Jin, Southern and Northern Dynasties. The public evaluation of the officials concerned their achievements and virtues. It served as an important way for the central government to know the local officials. It also influented the evaluation results directly or indirectly, which in someway reflected the features of the merit system under the powerful family system.The merit system was fully established in Wei ,Jin, Southern and Northern Dynasties. The upper powerful family realized their political wills through the Nine Grades Appraisal System, while the lower family got their evaluation from the public opinion. The Nine Grades Appraisal System played as the role of the merit system in some way. It reflected both the restriction and influence from the powerful family and the public opinion. The evaluation results in that period stemmed from the joint effects of the central government, the powerful family and the public. The mutual cooperation among them contributed to a relatively complete merit system, but still with the imperial power at the dominating,status.To sum up, in Wei ,Jin, Southern and Northern Dynasties, when the powerful family system took an important position, the merit system not only existed, but significantly developed to a system that adapted to the powerful family system, which can be seen from the expansion of the evaluation objects, integration of the standards, unification of the administrative organizations, institutionalization of the operational mechanisms and diversification of the evaluation models. The merit system had developed to a new level during the Wei ,Jin, Southern and Northern Dynasties. It occupied an important status in the development history of the merit system in ancient China and exerted profound influence upon the political system and histroical development of that time and even the following Sui and Tang Dynasties.更多还原