【作者】 辛田；

【导师】 王晖；

【作者基本信息】 陕西师范大学 ， 中国古代史， 2006， 博士

【摘要】 春秋战国时期处在中国历史上承前启后的重要时期，因为通过春秋战国时期中国完成了社会的转型。在此之前中国社会仍然是血缘社会，在此之后虽然仍有浓重的血缘色彩，但转向了地缘社会；在此之前是封建诸侯、贵族分权的时代，在此之后是专制独裁、皇帝集权的时代。这个转型的结果虽然早已成为历史事实，并通过历史将这个事实转化为中华民族的最终选择，但这种选择模式由此成为中国文化的深层内核，而且通过文化的因循性对现实社会有着潜移默化的影响。中国自夏朝以来的四千年历史可以分为前后两大阶段，春秋战国时期就是这两大阶段之间的转型时期。周天子授民授疆土，建立了封邦建国的血缘宗法政治体系。但从另一侧面上说，正是这种封邦建国的政权构成形式成为破坏血缘宗法制度的因素。各级贵族宗主为了赋税增值、扩大征兵而争夺人民，不断破坏支撑宗法制度的血缘体系，开始实行编户齐民政策，从而导致血缘宗法制度崩溃，地缘郡县政治确立，最后形成中央集权制度，春秋战国时期是这一变化的具体实现过程。政府编户的目的是要有效地掌握人口，编户的基础在于人民身份的齐等。造成编户的因素相当复杂，赋税之增值、封建之崩溃皆有关联，但其中最主要的动机就是扩大征兵。这一变革的步伐自春秋中晚期以后逐渐开始并日益加速，到战国以后，编户齐民逐渐成为中央政府的新基础。相对于血缘宗法封邦建国的权力分散制度来说，战国七雄中央政府的特色是集权，已具备秦汉统一政府的雏型和基础。就政治学的角度而言，地缘集权政治存在的主要条件有三个：第一，国家政府、而非贵族宗主，直接掌握全国人力资源；第二，国家通过直接向劳动者征收实物地租、而非接受各级宗主的层层贡献，控制全国财税资源；第三，国家统治者、而非血缘宗法的最大宗子，拥有国家的最高法权。法权是名分上的承认，承认国君所代表的政府是统治者，广大的人民群众是被统治者。而政府存在的实质，主要在于人口和财税，而财税又以土地和人口为本，故《大学》曰：“有德此有人，有人此有土，有土此有财，有财此有用。”因此，由国家直接控制人口和财税的编户齐民措施才成为推动春秋战国时期社会转型的根本因素。以地缘形式组织社会，以国家的力量直接控制民力，这种与传统血缘体系完全不同的社会组织方法最早开始于齐国。管仲相齐“叁其国而伍其鄙”、“作内政而寄军令”、“定民之居，成民之事”，所谓“士就闲燕、工就官府、商就市井、农就田野”的分居方法，本身就是对血缘族居传统的颠覆，也是对新型社会组织的探索。因此管仲治齐实际上是春秋战国社会转型在制度上的开始。《左传·僖公十五年》记载的晋国“作州兵”，乃是指扩张征兵的范围，使得原本不服兵役的野人也同国人一样开始服兵役。五十年后，即公元前590年，鲁国“作丘甲”，也走上兵力扩张的道路。公元前538年，郑简公二十八年，即鲁国“作丘甲”五十二年之后，郑国“作丘赋”。以上具有代表性的改革，不仅在法律上确立了军事上全民皆兵的责任，而且也是政治上由血缘宗法走向地缘郡县的必由之路。作为地缘政治社会典型代表的郡县制度开始于春秋中后期，其发展过程经历了“县鄙”之县、“县邑”之县和“县制”之县三个阶段。西周以及春秋前期的县属于“县鄙”之县，仅仅是一种区域性范围的名称，而非地域性的组织。春秋中晚期到战国时代县发展到“县邑”之县，已经形成一种地域性的组织，并且已经具备了作为一级地方政府的某些方面的职能。战国时代，县的形式发展到“郡县”之县，完全形成一级地方组织，成为新的君主集权国家的政权基础。中央集权制是指国家政权全部集中于中央政府，而各级地方政府只能根据中央政府的指令办事。其主要特征有：第一、中央严格控制地方，不允许有相对独立的行政体系存在，地方政府在政治、经济、军事和文化上，必须严格地服从中央政府的政令。第二，作为对中央控制地方制度的辅助，在官吏任免上重视对地方官员的任用和监督，地方官员的任用、升迁和调动，皆由中央决定。第三，地方向中央政权负责，绝对执行下级服从上级、地方服从中央的原则，无限制地将权力高度集于中央。西周土地制度是以原始血缘宗法组织做为指导原则，表现为血缘贵族的宗族土地所有制。具体采取了在封建内部逐级分割所有的方式，即全部土地的最高所有权属于周王，所谓“溥天之下，莫非王土”，这些土地又通过逐级分封的办法，由各级贵族世袭占有，从而使各级贵族具有了实际上土地的部分所有权。从春秋前期开始，各国纷纷尝试着新的土地管理形式和人口控制方式，以期达到富国强兵的目的。具体表现为齐国的“相地而衰征”、晋国的“作爰田”以及鲁国的“初税亩”。形成于战国时代的国家授田制度，是建立在编户齐民基础之上的新型土地管理形式，其典型代表是魏国的李悝变法和秦国的商鞅变法以后所形成的土地制度。在政治体制和经济体制发生变化的同时，随着血缘宗法社会的破坏，知识阶层逐渐从贵族中分离出来，尝试着成为独立的阶级，并努力承担着道统传承的责任；当地缘政治社会的形成以后，知识阶层又努力向着政统靠拢，逐渐丧失了原本就极为有限的独立地位，转而追求内心的道德完善，也逐渐丧失了监督政统的责任，客观上促使了古代君主专制政体的形成。虽然春秋战国时代转型前后社会性质的差异是主要的，但并不是说二者之间没有联系，恰恰相反，由于文化的因循，转型以后的地缘社会仍然保留了大量的血缘因素。作为中华文化鼎盛时期之一的百家争鸣，既建立了值得后世追寻和仰慕的优秀文化品质，同时也失落了某些积极的东西。所以，我们不仅要回顾春秋战国时期社会转型之后的地缘政治体制，还要回顾社会转型之前的血缘宗法体制。更多还原

【Abstract】 The spring, Autumn and Warring States Dynasty is a very importantperiod of time which inherits the past and ushers the future, because China finished thesociety transformation during this period of time. China was the consanguineous societybefore this dynasty. Right after this, it became a geological society with the heavyinfluence of the consanguineous society though. The feudal seigniors and lords sharedthe power, while after this period of history, the emperor was very much autocratic andcentralized all the power in his hand. This is an historical fact which, later on, was thefinal choice of Chinese people. This kind of choice pattern becomes the deep one ofChinese culture, which influences the society unconsciously through temporization.From Xia Dynasty, the history of China can be divided into tow stages. The Spring,Autumn and Warring States Dynasty is the transformation period of time between thetwo.The emperor in Zhou Dynasty bestowed the land and people on it to his generalsand ministers, which became a state later and the system of consanguineous politics wasestablished accordingly. On the other hand, this kind of political form became a veryimportant element which destroyed the system of consanguineous politics. In order toincrease the tax value, conscript more soldiers, the aristocrats of different ranks startedwars to contest for having more citizens. The basis of the consanguineous system,which supported the patriarchy system, was constantly destroyed. The administrativesystem of the registration book of the population was adopted, which led the end of theconsanguineous system and the establishment of the geological prefecture and countysystem and finally, the centralization of the national power system was established. TheSpring, Autumn and Warring States Dynasty saw the detailed changes it.The registration book of the population, made by the government, is to controlpeople effectively. The basis of this policy lies in the equal rights of people. There’remany elements to adopt this policy tax increasing, feudal destroying, for instance. Themost important motivation of it is to enlarge the amount of conscription. The reformstarted from the Mid and late of the Spring, Autumn and Warring States period andaccelerate year by year till the Warring States Period, it because the new foundation of the central government. Compare to the power decentralization in the system ofconsanguineous politics. The power centralization in seven powerful states in theWarring period of time became the embryo and basis of the United government in Qingand Han Dynasty.There are, from the politics view, three conditions of the power centralization ofthe geological politics. First of all, instead of the aristocrats, the government controlsthe national human resources. Second, the government, instead of receiving thecontributions from the aristocrats of the different ranks, taxes and natural rent andcontrols the resources of the national taxes. Last, the nation, ruler rather than thearistocrats, has the super power of the county. Legal right is to admit ruler’s status bylaw. The monarch who represents the government is the ruler; the people are ruled byhim. The essences of the existence of the government are population, finance, and tax.They are land and people oriented. The book Da Xue says the ruler with good moralitywould be supported by people who contribute land to him on which he gains the financeand use it. Hence the administrative system of the registration of controlling book of thepopulation, finance, and taxes controlled by the central government, is the fundamentalelement to improve the social transformation in this period of time.The State of Qi started to organize the society geologically control people by thestate force this is absolutely different from the traditional consanguineous system Mr.Guan Zhong, the priminister of Qi, used different ways to manage the land and people.both in cities and rural areas. The state administrative management was associated bymilitary force. People were ruled by different administrative areas according to theirjobs. This is, by itself the subversion of the traditional basis of blood inlleage, it is alsoan exploration of a new social organization. So Mr. Guan Zhong’s administration in QiState begins the society transformation.Zu Zhoubing, a record in the book Zuozhuan Lu Xiigong Year 15 refers to theexpansion of the (in Jin state) conscription. People from lowest class served the militarywhich they never did before. 50 years later that is 590 BC. State Lu started Zuo Qiujia,the expansion of the conscription.In 538 BC 28th year of Zheng Jiangong’s administration, and the policy of ZuoQiufu which was adopted in State Zheng. All those represent the reforms. All citizensshould serve the army is set up legally. This is the only way leads to the geologicalprefectures and counties from the consanguineous politics system. The Prefecture and County System, the typical example of the geological society,started from the mid Spring and Autumn Dynasty. Its three stages are; Xian Bipromoted counties governed by the King, Du Yi, earlier town’s, Xian Zhi, a county, anadministrative central, West Zhou and earlier Spring and Autumn Dynasty belong to thefirst type, which is the geologically organized. Xian Yi, the period from theMid-Spring-and-Autumn to Warring State, is geologically organized and owns somefoundations of local government. In Warring State, Prefecture County which iscompletely local organized and becomes regime basis of new monarchy country.The centralization system is that all power is centralized by the central government.Its own characteristics are the following. First in political, economy, military and evenculture, local governments must obey and follow the control of the central government.Second,as aid of the local government control officials attaches due importance of theappointment and supervision by central government. Third the local government mustbe responsibility to the central government and strictly obey the higher officials and allthe way to the central government, which controls all things.The guideline of the land system in West Zhou Dynasty is based on theconsanguineous patriarchy. It appears the consanguineous aristocrat’s land tenure. Infeudal system land is owned and divided by both the officials and the higher one and allthe way to the emperor. The lands, on the other hand, are, by the emperor bestowed tothe high rank aristocrats who bestowed their land to the lower nobleman directly. So onand forth, the aristocrats have part ownership to the land.All Kingdoms tried new ways to manage the land and people from the Spring andAutumn so as to reach the purpose of state lichen and military enforcement. In Qipeople are taxed by land differences.It is Lu State that tax people y land. Landdistribution system accomplished in the Warring State Dynasty, which is a new way tomanage the land based on the administrating system of registration book of thepopulation. The typical example is the land system after Shang Yang’sin the state ofWest and Li Kui’sin Qing State.With the changing of the political and economical systems, the consanguineoussociety is destroyed. The intelligentsia becomes independent from the aristocrats andtries to form an independent class.It is responsible for carrying on the morality. Whenthe geological politics society came into being, the intelligentsia tries very hard to closeup the government and gradually lost their limited independent status. They, then, perused the morality perfection of the inner world. Hence, the responsibility ofsupervising the government was lost gradually. It objectively helped the formation ofthe ancient monarchy system.The social characters are different before and after the society transformation, butthey are related. Owing to the culture temporization, many elements of theconsanguineous society are reminded in the geological society after the transformation.As one of the achievements of the civilization golden age, the movements of hundredsof schools of thought striving helped to form the excellent social culture characterwhich is inheriting and respective.Some positive elements disappeared at the same time. As a result, we have not onlyto recall the geological politics system after the transformation, but also to look back thesystem of consanguineous politics before it.更多还原