【作者】 徐红；

【导师】 王育济；

【作者基本信息】 山东大学 ， 中国古代史， 2007， 博士

【摘要】 科举制度的实行使中国古代的选官方式发生了重要变化，而宋朝，尤其是北宋初期，正是科举制度渐趋完善、进士数量大大增加的时期。大量的读书人经由科举考试获取功名，进入仕途，不仅改变了他们个人及其家族的命运，而且开始形成一个独特的社会政治集团，即新的官僚士大夫阶层。这一阶层占据了从中央到地方的各级行政部门，对朝廷各项政策措施的制定和实施产生深远影响，并进而使这一影响作用于当时社会的各个方面。基于对上述情况的关注，本文选定北宋初期有“龙虎榜”之誉的太宗太平兴国五年的进士精英群体作为研究对象，通过考察他们的籍贯地理分布、家世与仕途、婚姻关系等方面的特征，探究宋初社会所发生的某些变化，并在此基础上进一步讨论他们的政治道德、政治观念及政治行为，以期说明以他们为代表的宋初进士对宋朝新型士大夫的形成所起的重要作用。本文的研究从数据对比和数据分析入手。首先在查检大量史料的基础上，尽可能多地搜集太平兴国五年榜进士的姓名、籍贯、家世等资料，列出《太平兴国五年进士精英分子简表》。然后据此作出籍贯分布表(图)和出身情况表，并与唐朝进士、状元的籍贯分布、出身情况进行比照，找寻出以太平兴国五年进士精英分子为代表的宋初进士的籍贯和家世特征。其次，在充分利用墓志铭、神道碑铭和行状等资料的基础上，展开对太平兴国五年进士精英分子婚姻状况的分析。复次，在了解清楚太平兴国五年进士精英分子的籍贯分布、家世、姻亲关系的前提下，探究他们的政治特征及与宋朝新型士大夫之间的关系。本文的研究即是沿着以上思路进行的。全文包括导言和结语在内凡七章，导言简单介绍了本文的研究对象、研究范围、学术基础、文献资料，以及研究的主要内容和创新点，第二至第六章分别讨论太平兴国五年进士精英分子的地理分布、家世与仕途、婚姻、政治道德、政治观念和政治行为，结语部分则是对全文的总结。通过上述研究，本文得出如下的一些结论：第一，由于政治、军事、经济、文化、教育等诸多因素的影响，北宋初期进士科录取人员的籍贯分布基本延续了唐朝后期的变化，即关中地区的人才优势继续下降，关东地区仍然为人才汇聚之地，南方地区的人才迅速崛起。但是在科举考试规则仍未完善的北宋初期，为了保证实现政治利益的最大化，朝廷的录取政策会向某些地区有所倾斜。如本文所论太平兴国五年榜进士精英分子，有资料显示，他们中间大约有三分之一的人来自于京东路西部、河北路东南部靠近都城汴京的一个比较狭小的范围之内。这里属先秦时期齐鲁两国故地，悠久的历史和深厚的文化底蕴为人才的成长提供了历史和文化的基础，而与都城相邻的位置又使其对都城的安全和朝廷的稳定尤显重要。同时这里还处于黄河和济水之间，是北宋初期水患比较频繁的地区，因此为了维持这两个地区的稳定，朝廷的科举政策必然向这里倾斜。第二，北宋初期，进士科录取人员社会成分的变化开始凸显。隋唐时期的进士中，出身于名门望族者所占比例较大，再加进士及第仅仅是取得了入仕的资格，要想真正为官，还需通过吏部的铨选，而在铨选过程中，官宦家庭出身者明显占有优势。入宋以后，从前名门望族在官员选拔中的特权地位已是一去不复返，出身于中下级官员家庭和寒素家庭的读书人开始在科举考试中迅速崛起，成为官僚阶层的新生力量，从而也保证了官僚阶层的精英地位。这就使得社会各个阶层的读书人皆有机会进入仕途，既实现了统治权力的延伸，亦有利于社会的稳定。在太平兴国五年榜进士中，本文更加关注出身于中下级官员家庭的人员。他们的祖先很多是唐末、五代时期的地方官员或州官的僚属，或者各个朝廷的文官，尽管职位不高，但却与当时占据政治优势地位、以军事起家的家族有明显不同，他们的家庭表现出来的特征主要是文化和教育方面的传统，因此是与军事将领完全不同的一个群体。很显然，他们的家庭皆有着文化上的优势，又长期注重对家庭成员的文化教育，再加他们少时即受到其祖辈、父辈官宦经验的影响，这就为他们进入仕途以后的快速升迁奠定了良好的基础。第三，太平兴国五年进士精英分子在婚姻观念上仍然遵循着传统的门当户对原则，即崇尚家世和门第，只是由于唐末五代的战乱，世家大族大多消散，于是对门第旧族的崇尚就演化为崇尚仕宦家庭，不过只要有大族存在，如果有可能，他们还是愿意与大族联姻。因此，在新的历史环境下，他们的婚姻观表现出以门当户对为中心的“尚姓”与“尚官”的紧密结合，“尚姓”即指重视对方祖、父的官职高低，“尚官”则指重视婚配对方本人的能力大小。在这样的婚姻观念指导下，一方面要求婚姻对象的出身应与他们本人的政治地位相匹配，如有资料可查的出身于中下级官员家庭的进士，在登第以前所娶之妻一般均与他们一样，也是出身于中下级官员家庭，但在进士及第之后，由于自身政治地位和社会地位的提高，再续娶妻子时自然将眼光投向与自身地位相当的高级官员家庭，而他们子女的姻亲对象则更是与他们自身政治地位的升降密切相关。出身于寒素家庭的进士在及第以前基本上不可能与仕宦人家结为姻亲，但及第以后，身份、地位变了，婚配对象自然也发生变化，就有可能与中下级官员家庭，甚至高级官员家庭结亲。另一方面，他们在选婿时，既考虑到对方的出身和家世，也顾及对方本人的能力和在现实社会中的政治地位，就现有资料看，太平兴国五年榜进士精英分子所选女婿中，若是出身于寒素家庭，则100％是进士或现任官，他们就是希望以这种方式保持家族政治地位的延续。第四，太平兴国五年榜进士中的精英分子，要么端直不苟，清约克己，以德行彰显于士林，要么吟诗作赋，制章撰诰，以文才显赫于朝堂，要么勤于政务，通晓民事，以吏才扬名于当世。显然，宋初君主在选擢任用人才方面是遵循着道德、文才、吏能的标准的，虽然在王朝之初要选拔到三者兼备之人还有一定的困难，但通过朝廷的提倡及以太平兴国五年进士精英分子为首的宋初士人的努力，道德、文才、吏能兼具的新型士大夫得以在北宋中期最终形成。尤其值得注意的是，在某些太平兴国五年进士精英分子那里，德行已不单纯是指个人的道德修养，它还包括尊君忠君的观念，及对朝廷、对社会的强烈责任感和担当天下的精神，这样的“德”已超越了“小我”的限制，表现出了宋朝新型士大夫“以天下为己任”主体意识的萌芽，因此，我们可以将其称之为“大德”。在这样的“大德”思想指导之下，他们特别希望能以道德之行辅佐君主，以忠正之心引导士风，以忠臣、明主的遇合来构筑尊君与弘道合二为一的和谐君臣关系。第五，太平兴国五年进士精英分子在政治观念和政治行为上表现出十分具有特色的理性务实风格，对于构建一个以皇权为中心的、权力均衡、职能分明的中央集权体制起到了重要作用。这一体制对上限制君主权力的无限膨胀，对下监察百宫的任职情况，防止君主和朝臣任何一方的势力坐大。这表明以太平兴国五年进士精英分子为代表的宋初士大夫阶层在政治上逐渐走向理性和成熟，他们意识到，一个统一的、有权威的皇权的存在对于社稷国家和社会秩序的安定极为重要，因此他们有意识地以政治道德约束自身的行为，防止对权力萌生觊觎之心。总之，本文主要是关于宋初进士精英群体的个案研究，探讨的重点在于两个方面，一是从他们的地理分布、家世、婚姻等方面反映出来的宋初政治和社会的某些变化，二是通过探讨以他们为代表的宋初进士的政治特征，找寻宋朝新型士大夫形成的轨迹和路径。更多还原

【Abstract】 The imperial examinations caused major changes to the way of election in the Northern Sung dynasty. The imperial examinations were been completing gradually,and the successful candidates have also greatly expanded. Lots of intellectuals became officials through the imperial examinations. That has not only changed their destiny,but also evolved an unique political group—scholar-officials. They worked in the central and local government institutions,and had an adverse effect on politics and society in the Northern Sung dynasty. Because paying close attention to above-mentioned problems,this paper regarded the successful candidates in the imperial examinations of the fifth year of Taipingxingguo as research’s objective. Through observing their birth’s places, family background and marriage,we can study social changes in the Northern Sung dynasty,their political characteristics and important role on new scholar-officials’forming.Starting with data contrast and analysis,we have collected lots of informations and made a list about the elites of successful candidates in the fifth year of Taipingxingguo. After that, we collated with the successful candidates in the Tang dynasty,and sought the elites’features in the fifth year of Taipingxingguo. We still analysed the elites’marriage on the foundation of studying epitaphs and the connection between them and new scholar-officials.This paper is composed of seven chapters. The first chapter simply introduces research’s objective,scope,foundation,information,chief content and new trail. From the second chapter to the sixth chapter, we discuss the elites’places of birth,family background,marriage, political morals,political ideas and political actions. The seventh chapter comes to some conclusions.Firstly,in early Northern Sung dynasty, because the influence of politics,military,economy,culture and education,birth’s places of the successful candidates were the same as the changes in later Tang dynasty. Superiority of talent was continuing to decline at Guanzhong district,there still were lots of talent at Guandong district,and talent of the southern district was rising abruptly. But the Court’s policy might change in early Northern Sung dynasty in order to bring about the Court’s interest. One third of the elites in the fifth year of Taipingxingguo came from the west of Jingdong and the southeast of Hebei,where were appproaching capital. They belonged to Qi and Lu at Pre-Ch’in period.Age-old history and profound culture have led the groundwork for talent’s growth,and they were important to capital’s stablitity.Moreover,because they were between the Yellow River and the Ji River,floods were frequent. The Court attached importance to two districts in order to keep safety.Secondly,in early Northern Sung dynasty,social stratum of the successful candidates were changing. In Sui and Tang dynasty,many successful candidates were born from old and well-known families. If they wanted to become officials,their family background seemed very important. But the privileged positions of old and well-known families have disappeared in the Northern Sung dynasty. The intellectuals from intermediate-lower rank officials families and low station families were beginning to rise. They gradually became new-bom staff of bureaucratic stratum. That made the intellectuals from every stratum have chances to enter official career.This paper pays close attention to the successful candidates from intermediate-lower rank officials families. Their forefathers were local officials and civil servants in later Tang dynasty and Five Dynasties. Although their positions were lower,they were different from military families that occupied political superiority. Their families laid stress on culture and education. That established nice groundwork for later generations to follow in official career.Thirdly,the elites persisted in well-matched in social status for marriage. Of course its connotation has already changed. They attached importance to both official positions of the objectives’ forefathers and ability of the objectives. For example,the elites from intermediate-lower rank officials families had got married with girls from intermediate-lower rank officials families before they succeeded. But after they succeeded,their political and social positions were raised.Therefore,they got remarried with girls from high-ranking officials families. The elites from humble origin could not become related by marriage with officials’families before they succeeded. But when they became the successful candidates,their status changed,and they could get married with girls from intermediate-lower rank and high-ranking officials families.Besides,when they selected the objectives for their daughters,they also thought over the objectives’family background. However,they thought that the objectives’ability and political positions were more important. So far as informations in stock, 100 per cent of the elites’sons-in-low were the successful candidates and officials. Fourthly,the elites had both ability and moral integrity. Some people’s moral was noble,some people’s literary talent was outstanding, and some people’s political ability was excellent. Evidently,in early Northern Sung dynasty, emperors selected officials according to the criteria of moral,literary talent and political ability.Moreover, through the Court’s advocating and the elites’utmost,new scholar-officials who were provided with moral,literary talent and political ability took shape at last in middle Northern Sung dynasty.Being worth mentioning,most of the elites thought that moral was not only own training but also idea of being loyal to emperor and sense of responsibility to society. That was rudiment of new scholar-officials’idea that they were masters of their own country. So we call it as "Major Moral".Under such idea guiding,they hoped that they could assist emperor in governing a country with their "Major Moral",lead social morals with their loyalty and form harmonious relations between emperor and officials.Fifthly,the elites had the reasonable and pragmatic style in political ideas and political actions.Moreover,they had built the centralization system that balanced the power. This system could also limited the power of the emperor and the ministers. It was evident that the elites were reasonable and mature in politics. They had been conscious of the important role of the unified and powerful emperor’s power to the royal court and society. Therefore,they restrained their actions with political moral,and did not cast greedy eyes on the power.In short,this paper is a research about the elites of the successful candidates in the imperial examination of the fifth year of Taipingxingguo in early Northern Sung dynasty. Its emphases are two aspects.One aspect is to understand social and political changes in early Northern Sung dynasty through studying the elites’places of birth,family background and marriage. Another aspect is to discuss way of new scholar- officials’forming through studying the elites’political features.更多还原