【作者】 化涛；

【导师】 林存光；

【作者基本信息】 中国政法大学 ， 政治学理论， 2009， 博士

【摘要】 西汉帝国是中国封建王朝发展进程中承上启下、继往开来的重要阶段。或者说,随着大一统国家王权专制和中央集权巩固与强化的真正实现,西汉时期整个社会领域发生了重大变局,并对此后二千多年的历史发展产生了巨大影响。也正是在当时大变局之下,产生了一部反映帝国社会诸多层面的政治经济学名著——《盐铁论》。本文即旨在从“王权支配社会”的权力视域,对《盐铁论》作深入系统的历史考察和具体的政治学层面的分析。“王权支配社会”的理论可谓是打开我国古代社会的一把钥匙,更是解读中国传统政治问题的密码所在。这一理论告诉我们,在我国古代社会,政治权力(王权)不仅在理论层面,而且在具体的政治实践中都渗透到了社会的每个领域,进而成为了政治生活,乃至整个社会生活的中枢和支配力量。换言之,以王权为核心的权力主体,在我国传统的社会中几乎不受任何社会力量制约而无限度的膨胀,向社会的各个层面、各个角落深入和扩张,最终使整个社会笼罩在王权这一天盖式的权力系统下运行和发展。就《盐铁论》文本内容而言,我们借助逐篇逐段的量化分析发现其主要涵盖了帝国当时的经济问题、社会问题、政治问题、思想意识问题和匈奴问题。或者说,它涉及到了帝国具体的财经政策、执政理念、治国方略、外交方针以及民众生活等方面。对此,论文纷纷进行了具体考察。通过考察,我们发现《盐铁论》从深层映射出帝国统治者为了自身的利益或贯彻其特定政治目标而利用权力对各种社会资源进行了大规模、强制性征发之特征,并进而对其实施绝对的占有、支配和使用。基于此,本文提出了以下几个主要论点:在经济领域,盐铁政策从汉初相对宽松的自由经营模式向后来帝国政府强行介入实施专卖政策的递变,充分说明了盐铁专营不仅是一个经济问题,更是一个重要的政治问题,凸显了帝国政治权力对经济的宰割与支配。思想文化领域,随着盐铁政策演变而引发的争论(不同的政治观和治道理念)不是当时思维自由驰骋的表现,也并不意味着论争双方存在着根本性分歧,其实质则是权力主导下文化政治化的过程,是统治者凭借权力为帝国政治探索更为有利的指导思想而已,这就决定了思想的论争摆脱不了权力的支配而最终回落到王权政治的体系中来。当然,王权对经济资源自由流动性的规约与限制、对思想文化的支配与整合是通过庞大的官僚机器来实现的。因此,最高统治者总是乐意在政治系统内部通过不断调整或改革的方式,强化官僚机构对自身的依附性。文本中涉及到的帝国中央内朝的创立、选官制度的革新以及中央财政机构的完善等都是王权控制权力网络,进而在政治系统内部确立独尊地位的体现。可以说,《盐铁论》反映出西汉帝国是一个高度政治化的“权力——依附型”社会,在这种社会中政治、经济和文化高度合一,王权主义和政治全能主义是其典型的特征。依笔者之见,这项旧题新作的尝试性研究其意义在于:一是以“权力”为视角从政治与文化、思想与社会的互动关系出发,不仅对《盐铁论》反映出的西汉帝国社会特征以及其本身在思想文化发展史上的作用进行了考察,而且还突破了学术界以往只关注论争表面之分歧的传统做法,深入揭示了分歧背后存在的共同逻辑前提——王权政治、中央集权和秩序一统的不可动摇。二是通过进一步对王权政治困境的反思,可以提供一些历史之鉴,这对正处在现代化进程中的我国如何更好的处理国家与社会的关系、实现政府职能的有效转变、培育市场经济的健康发展以及推动社会主义新文化的建设都大有裨益。更多还原

【Abstract】 Western Han Dynasty played a significant role during the development of feudal empire in China, which served as a connecting link between what comes before and what goes after. In other words, as the unified country monarchical power autocracy and the reinforcement of the centralization came true, the whole society in Western Han Dynasty changed a great deal, influencing the history development after this about 2,000 years. Under such circumstances,“Salt and Iron Theory”was born, considered to be an important political economy work. This dissertation aimed to make a historical investigation and a political explanation of the“Salt and Iron Theory”in the domain of power. The content involved the society construction of Western Han Dynasty, the economy policy, the relationship between the monarchical power and the thoughts and culture, and the like.The theory that“it is the monarchical power that dominates the society”could be regarded as a key to open the door of our ancient society. In addition, it is also the password of answering the questions in Chinese traditional politics. This theory tells us that, political power (monarchical power) was embodied in almost every aspect in the ancient society both theoretically and practically. Furthermore, it became the center, at the same time, the domination force of the whole society. In other words, the main body of power, the monarchical power as its core, was developing and even swelling without any obstacles, exploring and extending in every fold and every corner of the society. As a result, the whole society moved and developed under the cover of this power system.As to the content of“Salt and Iron Theory”, we found, through the quantitative analysis method of sentence by sentence and paragraph by paragraph, that it covered many issues of the empire, such as the issues of economy, the society, the politics, the thoughts and even the Huns. In others words, it referred to the concrete aspects of the empire, like the financial policies, the official thoughts, the governing plans, the diplomatic principles and the populaces’lives. This dissertation tries to shed light on all of these questions. Through the investigation of“Salt and Iron Theory”, we indicated that, in order to satisfy their interests and to carry out their specific political goals, the imperial rulers absorbed all kinds of social resources broadly and compulsorily. After this, they possessed, dominated and made good use of all these resources, which could be considered as a main characteristic of them. Based on this, this dissertation posed several arguments as follows. In the domain of economy, salt and iron policy changed from the free business model in the early Western Han Dynasty into the monopoly policy under the intervention of the imperial government. This transformation illustrated that the monopoly of salt and iron was not only an economic question, but also a political one, which reflected the exploitation and domination on economy by imperial political power. In the domain of thoughts and culture, the arguments (different political value and governing thoughts) initiated from the evolvement of the salt and iron policy were not the results of the free thoughts, and not mean that there existed fundamental differences in the two sides, either. The essence of these arguments was the politicization of culture. At the same time, it was a process in which the imperial ruler tried to explore the more favorable leading thoughts for their imperial politics. So, the thoughts arguments can not get rid of the domination of power, as a result of which, thoughts fell back in the system of monarchical power politics. Of course, the restriction and limitation of the economical resources’flexibility and the domination and conformity of the thoughts and culture done by monarchical power was realized through the great bureaucratic machinery. Consequently, the highest ruler was willing to reinforce the dependence of the bureaucratic machinery to them through the continual adjustment and reform in the political system. The establishment of empire central inner-government, the renovation of the official election system and the improvement of the central financial institutions referred in this dissertation were all within the network of monarchical power. It can be said that Western Han Dynasty was a society of highly politicization“power- dependence”model, in which, politics, economy and culture were integrated tightly. Monarchical power and all-embracing politics was one of its typical characteristics.As far as the writer concerned, the significances of this study are as follows. On one hand, this study took the interaction between politics and culture, thoughts and society as a starting point. It not only investigated the social characteristics of Western Han Dynasty reflected in“Salt and Iron Theory”and the function of them in the development of thoughts and culture, but also broke through the traditional practice of only paying attention to the surface differences of the arguments. This study announced that there existed a common logical premise in these arguments that monarchical power politics, centralization and order unity were unshakable. On the other hand, through these reflections on the dilemma confronted by monarchical power, some historical mirrors could be offered, which will benefit us a lot in certain areas, such as, how to better deal with the relationship between state and society, how to achieve effective transformation of government functions, how to foster the healthy development of market economy and how to promote the construction of socialist new culture in the process of modernization.更多还原