【作者】 任刚；

【导师】 霍松林；

【作者基本信息】 陕西师范大学 ， 中国古代文学， 2007， 博士

【摘要】 《史记》的取材研究一直就处于一种不冷不热的状态中：从研究史上说，开始很早，在班固时就已经为后世奠定了基本内容，后世一直不断，直到今天。从所占地位上说，这一课题从没有在《史记》研究中占主要地位，一直附属于其他研究。但《史记》取材研究的意义是肯定的。上世纪八十年代以来，这种状况似乎有所变化：台湾和海外(如日本)以及大陆的一些学者，逐步出版和发表了一些取材的论著，这个古老的课题又一次显示出了生命力。《史记》取材是一个很大的题目，可以有不同的切入点。我这个选题，就是在前代和当代学者的启发下，在古彦今贤有关成果的基础上，不自量力，主要以战国人物为例(兼及秦楚之际)，从具体的人物传记出发，剖析《史记》的人物取材。从具体的取材印证“厥协六经异传，整齐百家杂语”，并将“厥协六经异传，整齐百家杂语”看作《史记》“究天人之际，通古今之变，成一家之言”的取材方式和撰史方式，由此具体分析司马迁的史识和人物的关系，是我这篇文章的努力方向。这种集中探讨，在学界目前还比较少。全文共分为五章。引言分为两部分，首先说明选题的研究意义和思路。其次对《史记》取材的研究史做了简单的回顾。从回顾中我们可以看出，传统的《史记》取材研究，主要是对于《史记》文字材料的探讨，在这方面取得了很大的成绩。但也有缺陷：第一，机械性。主要表现是只侧重于材料出处的考索，忽视了《史记》的取材是司马迁对历史和传主的认识过程。第二，片面性。《史记》从文字材料和非文字材料两大途径取材，传统的取材研究，相对而言，对于非文字材料的探讨，重视不足。这表明，人们对《史记》取材存在着认识上的不足。第一章主要探讨司马迁对《史记》取材的论述。取材可以说是《史记》谈论最多的话题，这在中外史书中是少见的。相应的，研究者应当给予很大的重视，就像重视《史记》的思想内容和艺术特点一样。司马迁是从两个方面自述其取材途径的：“厥协六经异传，整齐百家杂语”和调查研究。司马迁自述取材，不仅自述材料来源，还具体地谈取材过程。从司马迁对《史记》取材过程的叙述，我们可以看出，《史记》的取材是一个充满着智能活动的过程，“厥协六经异传，整齐百家杂语”就是这样一个过程，“究天人之际，通古今之变，成一家之言”就是由无数个这样的过程组成的，用史公自己的话说就是“非好学深思，心知其意，固难为浅见寡闻道也”的过程，类似于作家的创作过程，而不单单是材料是从何出的问题。第二章，从总体上把握战国时代人物取材的特点，考察战国时代的“厥协六经异传，整齐百家杂语”和调查研究。总体上说，战国时代的取材，相对而言，“厥协六经异传”少，而“整齐百家杂语”多，以后者为主；《史记》战国时代的文字材料主要以《秦记》和《战国策》为主，兼从其他子书和史书取材；调查研究的材料也对人物传记起了很大的作用，其形态主要表现为故事传说、家族性材料，也与司马迁的家族有关。战国人物总特点是秦人物多，六国人物少，取材总的切入点：秦国人物取材的重点是考察其在兴亡中的作用；六国人物取材的重点是考察其在重大历史事件中的作用，如合纵、连横，长平、邯郸之战，乐毅破齐等。总体上看，战国人物取材特点有二：一、秦的人物比较翔实，相对而言，六国人物采用传说的成分多一些，这和材料来源有直接关系。二、战国人物取材的主要特点是人物对话、书信皆有出处，而人物轶事则往往出处不明。第三、四两章，对具体的人物取材作考察。考察具体分为三个方面：一是有关传主的材料来源，二是对司马迁所取材料的考定，三是司马迁对传主的评价。相对而言，第三章，偏重于人物的文字材料的探讨，采用材料的方式大致分为三类：“论其行事所施设者”、“以其书细剖其心迹”、“战国之权变亦有可颇采者”。此章虽未分析非文字材料对传记的影响，但并不能说这章的人物传记没受非文字材料的影响，只是非文字材料不太好确定。第四章偏重于非文字材料对人物取材影响比较大的传记，主要着眼于“战国四公子”等人物的取材。具体考察非文字材料对文字材料的影响，这种影响主要表现在以下两点：一是补充文字材料，一是修正文字材料。突出非文字材料对于《史记》的影响。非文字材料对文字材料的具体影响往往被学者们忽视。要之，战国人物传记的取材是在文字材料和非文字材料的相互影响下进行的。第五章对秦汉之际人物取材做一些考察。学界对有关的研究并不多。史公所依据的主要文字材料是《楚汉春秋》，但大约在南宋时既佚。故只能“蠡测”。但从有关传记的倾向性上，我们可以做一些大致的推测，最典型的是对刘邦和项羽的态度。从总体上说，《史记》中对刘邦和项羽的倾向性变化比较大，刘邦在秦末及楚汉之争中确实有让人感动的一面，但是汉初确实又让人厌恶，项羽灭秦让人振奋，鸿门宴上近乎低能，诸如此类一定程度上的不统一，也在一定程度上透露出史公所据材料的特点。大致说，“扬汉”应当是《楚汉春秋》的立场；反之，即是另外的来源，应当主要是非文字材料的。《史记》中刘、项就是两种不同倾向性材料的组合，故常常善、恶表现为两个极端。就非文字材料而言，这个时期的非文字材料更多，形态主要是史公的访古问故以及故事传说、家族性材料等。其中韩信和樊哙的材料尤其典型。从战国、秦汉时期《史记》人物取材的探讨，我们可以看出，《史记》人物的取材与司马迁深邃的史识有直接关系。具体讲主要有两点：一是《史记》中的人物比其所据材料中的相关人物更加丰富多彩，二是《史记》中的人物比其所据材料中的人物更加个性鲜明。许多历史人物都在《史记》中定了性，司马迁对历史人物的认识，也就是后世对历史人物的认识。总之，取材是一个非常复杂的认识过程。司马迁在充分占有材料的基础上，产生了对历史和人物的认识，在此认识的基础上取材。在这一过程中，司马迁虽然表达过诸如“考信于六艺”、“折中于夫子”之类的意思，但事实上，在具体的取材过程中，这只是司马迁的参照，并不以此为断定是非的标准，像汉代经师儒生那样株守一家一说，拘执于师训家法，抱残守缺，因陋就寡，不敢越雷池一步。司马迁最终的落脚点是“究天人之际，通古今之变，成一家之言”，在一定意义上，这才是司马迁取材的终极标准。为了达到此一目的，就是“是非颇缪于圣人”，也在所不惜。事实上，司马迁对待包括儒家经典在内的所有文字材料和非文字材料，都是采取开放的、兼容并包的态度，真正显示了大一统时代学术应有的整合一切的气魄，展现了司马迁伟大史学家的博大胸怀和卓越史识。“厥协六经异传，整齐百家杂语”就是对这种气魄在取材上的概括。战国、秦汉之际的历史能够充分地表现出一种生动气象，即使在今天，我们仍然能感受到两千多年前的氛围，得益于这种气魄的取材。后人对《史记》“是非颇缪于圣人”的批评，也正说明《史记》是“其事核，不虚美，不隐恶”的“实录”，因为战国时代、秦汉之际本身，就是一个“是非颇缪于圣人”的时代。司马迁对于活跃在这个时代政治舞台上的人物是怀有敬意的。更多还原

【Abstract】 Abstract: The study of character materials-drawing in Records of Historian is not so active. In view of the study history, It began early from BanGu, who gave the study base, the study continued till today. In view of the study position, it did not occupy an important one, it was attached to other research. But the study is positive, the study situation changed from the eighties in last century. Scholars in mainland, Taiwan and overseas issued a series of articles in this field, the study seemed active from then on.It is a great topic that " Records of Historian " materials-drawing, there can be different breakthrough points. Inspired by both past and contemporary scholars, I chose this study as my dissertation, fixing on the characters in the Warring States and time between Qin and Han, studying the ways of materials-drawing of these characters. This kind of study is not popular at present. The dissertation includes five parts.To confirm "synthesize the Six classics and to regularize all discourses" concretly, and to regard it as harmony with aim of" Records of Historian", and regard it as the way of materials-drawing and the way of writting history book, and to analyze the relation between SimaQian’s deep view on history and personage in his book, are a striving direction of my article.The foreword is divided into two parts, explain the research meaning of the selected title and thinking at first. Secondly retrospect "Records of Historian" of materials-drawing in study history. We can find out, the traditional study is mainly the discussion of characters material of "Records of Historian" while reviewing, have obtained very big achievement in this respect. But defective: First, machinery. It is toonly lay particular emphasis on asking for materials source, but they ignored Si Maqian’s process of cognition to history and hero of biography in "Records of Historian". Second, one-sidedness. "Records of Historian " materials-drawing from two major routes: characters materials and non-legible materials, comparatively speaking, the traditional one emphasis on the former. This indicated that people have know deficiency at materials- drawing of "Records of Historian " The first part is discussed SimaQian’discourse on the materials-drawing. SimaQian’discourse is everywhere in "Records of Historians", accordingly, scholars should pay much attention to it, as they paid much attention to its contents and styles. Sima0ian said he had two ways in the materials-drawing: one is to synthesize the "Six classics" and to regularize all discourses, the other is to investigate. He also told us both the resource and the course of the materials-drawing. According to his discourse, we know that this course was an active one, in harmony with his attitude to the heaven, people and history changes, the course was not only a matter of resource itself.The second part is to grasp the traits of the character materials-drawing totally in the Warring States, studying the ways of synthesizing and investigation. In overall, SimaOian did much in synthesizing the six classics, did little in regularizing all discourses, the Warring States materials in " Records of Historian" mainly come from "Qin record" and "Warring States scheme", and concurrently materials-drawing from other philosophical works and history records. The way of investigation is also important in materials-drawing, especially in the field of tales and clan materials. On main principle, to the figures in Qin kingdom, SimaQian fixed on the influence on the rise and fall of the state, to the figures in the Six Kingdoms, he fixed on the influence on the warring accidents: alliance and betray, Changpin battle, Handan battle, Yueyi destroying Qi kingdom, for example.In the third and forth parts, we study the materials-drawing of particular figures. Relatively, the forth part places emphasis on the characters from the script resources, including three types:①figures who emphasised their anecdotes,②figures who expressed their minds in letters,③figures who were good at the trickery. In this part, we do not analyse the non-script materials, but this does not mean that the history of these figures is not influenced by these materials, it is because these materials are not determined. The fifth part places emphsis on the figures from non-script materials, who exerted great influence on the characters from the script materials, particularly, the Four Princes in the Warring States. The non-script materials influences the script materials in two ways: one is to supplement the script materials, the other is to correct the script materials, which are often neglected by scholars. In a word, the Warring States figures materials-drawing were influenced by both the non-script materials and the script materials.The last part does a study of the materials-drawing of the figures in the period between Qin dynasty and Han dynasty. The materials which SimaQian depended on was "The history between Chu and Han", which was lost in the South Song dynasty. So, we are restricted in vision and shallow in understanding. In principle, based on the limited materials, we know something about the attitude to LiuBang and XiangYu in "Records of the Historian". The attitude is changeable: LiuBang was moving in ChuHan War but was disgusted at the beginning of Han dynasty, while XiangYu was exciting in the war against Qin dynasty, but stupid at the HongMen Banquet. These attitudes are not in harmony because of the traits of the materials on which SimaQian based. Roughly, the materials praising Liu, while depreciating Xiang came from "The history between Chu and Han", vise verse, from other resources. The two characters in "Records of Historian" are compounds of two different materials, so virture and vice often go extreme. Speaking of the non-materials, the non-materials were much more at this time, they were mainly of tales and clan materials, typically, materials about HanXin and FanKuai.From draw materials of personage in the Warring States and Qin Han period in "Records of Historian", we can find out, the materials- drawing of "Records of Historian" have direct relation with SimaQian’s deep view on history. Mainly there are two points: First, the personages in "Records of Historian" are more rich and more colorful according to relevant personages in the materials than them, second, personage of "Records of Historian" according to personage of material more individual and more distinct than their. A lot of historical personages have determined the nature in "Records of Historian", SimaQian’s understanding of historical personage also is the understanding of historical personage in later age.In a word, it is a very complicated process of cognition to materials- drawing. SimaQian has produced the understanding of history and personage on the basis of fully occupying the materials, draw materials on the basis of this understanding. Though SimaQian has said that he beleaved "Six classes", however, in fact, while he concretly drew materials for his personages, this is only his reference, not as other scholars in the same time. In certain meaning, "In harmony with his attitude to the heaven, people and history changes" is the ultimate standard in SimaQian materials drawing. In fact, SimaQian treated all characters materials and non-legible materials including the Confucianists’ classics in an open mind, and this responded to his time. SimaQian can fully demonstrated a vivid the scene in The Warring State and QinHan, even today, we can still experience the atmosphere more than 2,000 years later, because of this kind of daring in materials- drawing.What poeple critic SimaQian’s book "right and wrong go against the sage"is just prove that" Records of Historian" really is a history book, because the time of Warring State and QinHan themselves are the time: "right and wrong go against the sage".更多还原