【作者】 陈尚敏；

【导师】 田澍；

【作者基本信息】 西北师范大学 ， 专门史， 2007， 博士

【摘要】 自上世纪八十年代以来,社会史的复兴在某种程度上是一种史学研究范式的转换,即由既存的政治史以重要事件和重要人物为研究取径而转向更为丰富的社会生活。士绅作为一个沟通官府和民众,在两者之间扮演中介角色的社会阶层,遂备受学界的重视。九十年代以后,随着社会史研究发展的同时,也面临着如何深化的问题,仅仅依靠宏观的立论显然难担其责。中国幅员辽阔,地区差异显著,只有建立在大量区域研究的基础之上,才能实现对全国整体状况的认识。基于对历史研究中空间因素的重视,区域社会史研究的繁荣成为此后最为突出的特征。本文以近代甘肃士绅为研究对象,正是因应社会史研究的这一发展趋势。学界在认同科举是建构士绅这一身份的基本途径之外,也将因捐纳和军功而获得学衔、官职者纳入其中,前者为正途士绅,后者为异途士绅。在具体的士绅构成上,因学者研究视角的不同,也存有一定的分歧,主要表现在对现任官以及生员、监生等低级功名拥有者的认定上。现任官隶属体制,但在他的乡土社会依旧是士绅,或者是在遥远的任职地方有可能会以各种形式对他的家乡施加影响,正是基于上述考虑,张仲礼将现任官也纳入士绅集团,本文也基本认同这一观点。至于生员、监生等低级功名拥有者是否隶属士绅,笔者以为应视各地不同情况而定,就清代甘肃地区而言,因文化落后,具有进士、举人等高级功名士绅数量偏少,低级功名士绅在社会实践中发挥着实际的社会功能,所以本文将他们亦视作士绅。晚清,士绅的构成发生了重大变化,主要表现为士绅数量的增多以及异途士绅在士绅总数中比例增高,这是缘起于道咸以降的社会动乱,在甘肃主要是在同治回民起义期间。清王朝为了筹措浩繁的军费开支及其社会动员以重整社会秩序的需要,学额增广,捐纳失范,加之军功途径使得士绅数量空前增大,特别是封荫奖叙还使士绅出现了家族化的现象。在甘肃同治回民起义期间,原回族领袖马占鳌求抚倒戈,马占鳌及其重要将领都被封官加爵,这是他们获得的原始的政治资本,正是奠基于此,甘肃回族马氏集团在后来成为驰骋西北的重要人物,影响了民国时期整个西北的政治格局。另一个对甘肃士绅构成有重大影响的是光绪初元的陕甘分闱,使得在甘肃士绅的构成中高级士绅比例增大。伴随着清王朝对社会控制力的衰微,晚清士绅的权利有所上扬。绅权的存在是基于国家权力在地方社会的低度渗透,本质上是国家行政末端的补充。上述事实说明士绅阶层所具有的纯然的在野性质,就绅权实现的形式来看主要还是基于乡土声望,士绅的特权地位固然是他们获得乡土声望的重要因素,但更为重要的条件是他们在乡土社会中实际的事功行为。晚清他们依凭社会动荡时期的团练以及新政时期所设立的一系列政治性机构,诸如巡警局、劝学所、咨议局、地方自治等,最终分享了国家权力,也使士绅的地位发生了历史性的变动,亦即出现了权绅化的现象。科举是建构士绅这一身份的基本途径,儒学构成了他们的价值基础。鸦片战争以后,西学东渐,中国社会始由传统向现代转进,为因应时代变局而兴起的各种新型文化思潮必然影响到士绅阶层的价值取向。特别是二十世纪初,诸如科举被废,新式学堂植入,以及辛亥革命后等级社会消亡,士绅的特权地位也失去了制度性保障,因而他们的分化势成必然。一方面表现在政治取向上的不同,另一方面表现在士绅社会流动的变化。最后,本文以兰州士绅刘尔忻为个案,论述其儒学思想在近代社会的嬗变以及考察他在民国时期的社会实践,兼论传统绅权的延续问题。辛亥革命后,清朝专制统治被推翻,中华民国建立,意味着士绅作为一个传统社会阶层的历史命运宣告终结,但士绅个体的生命依然延续,对这一特殊的社会阶层在民国地方社会权利地位的考察有助于了解当时的社会结构变迁。对士绅阶层在近代社会中的发展演变历史过程的考察,有助于认识中国近代化进程中动力和阻力因素,并进一步总结其历史经验教训,为我们今天的观念和制度创新提供有益的史鉴依据。甘肃作为一个边远省份,这里的边远不仅是一个属于地理范畴的自然概念,更是一个文化概念,即远离价值中心和时代主潮,在这样一个环境,保守的、传统的因素更容易得到保存,这在一定程度上加剧了这一地区近代化的难度。就总体而言,近代甘肃士绅和其他地区的士绅是一致的,只是他们身上的保守和革新所具有的程度不同而已。作为一个传统社会的特权阶层,在近代社会往往具有着多歧面相。同治回民起义期间,积极参与团练主持,镇压回民起义,辛亥革命期间主张君主立宪,显然,士绅的权力来源及其接受教育的背景强化了他们认同国家政权正统秩序的信念。民国初年,因应国内复古思潮,在各地建立“尊孔社”,倡导读经,有维护旧式礼教之嫌。另一方面,作为传统社会中唯一的知识阶层,在社会转型时期又在一定程度上扮演着动力群体的角色,特别是他们身上始终不渝的桑梓关怀,即使入民国后有的以“遗民”自称,这并不影响他们对地方事务积极参与的热情,相较而言,他们是一股难得的治世力量,这一点尤应给予充分肯定。更多还原

【Abstract】 Since 80’of the past century, the revival of social history has, in certain extent, contributed to the conversion of mode of historical studies, i.e., from the existing political history that focuses on major events and key historical figures as research domain into more enriched social lives. Gentry, as intermediary roles acted for communicating government officials and civilians, have drawn the eyeballs of academic intellectuals. After 90’s, the progress of historic studies confronted with issues of how to further deepen and elaborate extensive researches, while obviously theoretical objectivities alone can hardly foster all fundamental researches. China is noted with vast territories and striking regional differences, an overall comprehensive cognition of the entire status quo of the country can only be achieved when researches are set foot upon massive regional investigations. Owing to the situation that added attentions were concentrated_on special factors, the most permanent features in the later period will be the flourishing scenarios in research of regional history.The objectivity of this thesis is intended to stress on gentry’s aspect in modern time Gansu, in compliance with the trend of current history studies.It is widely recognized among academic fields that the imperial examination used to be the primary route in forming the gentry identifications, besides receiving of scholar titles by donation or receiving official titles by military merit should also be defined as gentry. The former is considered as paradoxical route and the later un-paradoxical. There are varied assertions towards the forming of concrete gentry due to the differentiated viewpoints held by scholars, in particular, the judging of contemporary bureaucrats and minor merit bearers like Shengyuan (student who passed imperial exam in county level) and Jiansheng (title of imperial student)The contemporary bureaucracy instilled impact in various forms to either the native places where the gentry lived or remote places where the gentry held his office. It is upon realized this fact that Zhang Zhongli included contemporary bureaucrats into range of gentry. As for the contention whether lower ranked Shengyuan and Jiansheng are in range of gentry, I, the author tentatively propose to resolute the issue resting upon regional differences. To cite Gansu region in Qing Dynasty for case study, due to the fact that Gansu was marked with backwardness, where there were less number of high ranking gentries, like Jinshi (successful candidate in the highest imperial examinations), and Juren (successful candidate in the imperial examination at the provincial level in the Ming and Qing dynasties). Accordingly, they should be ranked as gentry nominations considering the actual social function played by those lower ranking gentries. Therefore, I basically agreed with the definition made out by Zhang Zhongli regarding the determination of gentries.During late Qing Dynasty, the structure of gentry society had undergone a tremendous flux, reflected with increasing number of gentries with high proportion of un-paradoxical gentries which triggered by the social turmoil called Dao Xian, while in Gansu this phenomenon is exemplified with Hui Rebellion in Reigning Period of Tongzhi. For sake of exigency of raising fund for huge military expenditures and measures to be taken for stabilizing social orders, the Qing government was marked with excessive adding of number of imperial students, abnormal donations and imposing, and granting of military merit awards, which creating a tendency of family-related gentries contributed to imperial awards and grant positions. During Hui Rebellion in Reigning Period of Tongzhi, Ma Zhan Ao, the former leader of Hui Rebelion Gangs, surrendered and sought for promotion, which ended up with widely granting of ranks and appointments of official posts, providing the former gangs the basis of political resources. And from these basis out stood the influential figures in the Northwestern regions of China from Ma’s family of Gansu and later became an significant political force in Northwestern part of China in Period Republic China. Another influential event that generated profound affect on gentry society was splitting up of Gansu and Shaan’xi, which in return enlarged the number of senior and intermediate level of gentries in Gansu.Alongside the downfall of Qing Empire, accompanied with dwindling of political power, gentries of late Qing Dynasty were gaining more and more political controls. Serving as a complementary force for the declining empire in reality, the growing and persistency of gentry power witnessed the receding weakened imperial controls onto local societies. The fact that the gentry class possessed power as stated above reveals a spontaneous political opposition force. The political force enacted by gentries took form of rural local popularities which in root derived from the privileges granted by the Qing Empire, while actual deeds and even legend done by gentries gain more popularities among folks in native places in return. During late Qing Dynasty, the entire society was experiencing series of fluxes and shaping of new regime, the gentries engaged into national political participations through organizing Tuanlian (self organized military force) in time of social upheavals and institutions set up at time of new regime activated, as revealed in the case of Constable Stations, schools, Consultation-conference Offices, and regional autonomy, these activities had taken shares in national political activities. These political participations had eventually caused historical changes from the fundamental social status of the gentries, what so called as empowered gentries.The imperial examination was almost the necessary path lead to the identification of gentry, while Confucianism formed the foundation of their sense of value. After the Opium War, with popularity of western thoughts, Chinese society experienced transition from convention onto contemporary, the flux the social structure often given rise to various fresh budded concept that eventually influence gentry’s sense of value. In the beginning of 20 century, rejection of imperial examination, introduction of new schools and the Revolution of 1911, and rest of social changing tides weakened the class hierarchy and later the privilege of gentry owing to lacking of social guarantee. These not only means the road from " gentleman" to "official" is blocked, but also meant the collapse of a social order described as four classes of people that constitute entire world, and gentry’s disintegration that became a must. This phenomenon, on one hand, revealed differentiated political pursuits and exposes the changes of gentry in complying with the social tide.After the Revolution of 1911, with the overthrown of Qing Monarchy, the Republic China was founded, which declared an ending to gentry class that existed as a feudal social class. The life of individual gentry was however, carrying on. The survey regarding spiritual development of gentry in Republic China period as a class would be beneficial in learning the then social changes. Liu Er Xin, shall be served as an individual case for the opening discussion of this thesis. My relevant description shall involve the growing changes of Confucianism in contemporary society and their social status and rights in Republic China, and leading to the actual exposing of traditional gentry’s privileges that passed on to Republic period.The survey of historical transition in contemporary society of gentry class and their evolutions shall be assistant to acquire recognition and the mobilization in progress of contemporary China and impediment in history. Drawing historical lessons and experiences shall be beneficial in historical references and for enriching our concepts and for the reflection of present society innovations. As a remote province, Gansu is not only categorized for its geological distance in sense of nature, rather a cultural concept, in another word, to be shun away from value center and main tide of the time. Under such ambience, conservation and tradition are much easier to preserved and be left alone, while on the other extreme it is impervious to modern tides and influences.Judging the gentry class as a whole, however, contemporary gentry kept a similarity with gentries from other regions, only differentiated in the degree of conservativeness and strength in revolution. As a privileged class in a traditional society, gentries had put on multiplied faces in dealing with contemporary society. During Hui Rebellion_Period in Reigning of Tongzhi, gentries participated Tuanlian (self organized military force), suppress Hui Rebellion, claim constitutional monarchy in 1911 Revolution. These were their reaction in facing tides of social flux. Obviously, the origin of gentry’s privilege and the back-ground where they received their education framed their ideology that it should be paradoxical to keep faith in state power.In the early period of Republic China, due to the revival of renaissance for traditional concept, "Zun Kong Party" were set up in many places, who advocated reading of script, maintaining conventional feudal ethical code. On the other hand, as the only intellectual element in traditional society, they had played the role of common civilians during social upheavals. They had their never ceasing care for native villages, as they called themselves as "remaining subjects" even under Republic administration. This did not affect their conviction and enthusiasm in participating local affairs.Comparatively speaking, the gentry class could well served as a rare force in social salvation which should be recognized.更多还原