【作者】 梁娟娟；

【导师】 朱诚如； 晁中辰；

【作者基本信息】 山东大学 ， 古代史， 2009， 博士

【摘要】 谏议制度是中国古代政治制度的重要内容,也是君主专制制度的一种补充,随着专制皇权的不断强化有日渐萎缩的趋势。随着清代皇权的登峰造极和专职谏官的消失,清代的谏议制度似乎无迹可寻,然而事实并非如此。首先,台谏合一后,科道官匡扶君主、谏争得失的职能并未消失,御史、科道官依然负有谏诤和监察的双重职能。其次,就统治者本身来讲,他也不会取消谏议制度,因为在君主专制的时代,谏议制度的存在不仅是对君主本身的一种制约,还是对有关国计民生的一系列问题提供一个群策群言的机会。因为君主一人的能力毕竟有限,即使君主本身再英明睿智,也不可能解决治国过程中的一切问题,所以清帝不断下诏求言,要求科道官针对有关民生休戚、政治得失、君主不当方面的问题直言无隐。谏议制度,从主体上来讲,有狭义和广义之分。狭义上专指谏官对君主过失和各种国家管理事务提出看法、建议;广义上则包括文武百官在治理国家某些方面的看法和建议。谏诤涉及的范围很广,大到军政要事,小至君王自身的不当行为,都可进行指陈,其目的在于拾遗补缺、献可替否,指陈时弊、匡扶君主。采取的方式主要是封驳诏书、朝堂议事和上书言事。本文以清代的谏议制度为研究对象,在时间上包括清入关前的后金时期和整个清代。由于清代皇权的空前强化,谏官组织日益监察化等原因,学者们的研究多集中于清代监察制度方面,对清代的谏议制度却着墨甚少,对以科道官活动为中心的谏议活动的动态研究亦少,对一个皇权强化时代下的皇权制衡问题缺乏一个全面、系统的论述。为此,本文将清代的谏议制度作为研究对象,将对这些问题进行进一步探讨与整合性研究。第一,将御史、科道官的活动从监察制度中分离出来,对清代的谏议制度做一定位。第二,对科道官在专制皇权强化下谏诤职能的萎缩做了深入探讨,分析其原因和表现。第三,力图动态地呈现清代专制皇权达到顶峰状态下,科道官员的活动,以及在皇权干预下科道官的活动受到限制后,新的言谏道路的开辟。通过对比科道官员的活动和帝王对进谏的态度分析清代历朝帝王在求言、纳谏、拒谏方面的得失,希冀对一个强权笼罩下的有限谏诤作一客观评价。第四,分析了晚清的谏议制度与前中期相比带有的鲜明时代性,传统的谏议制度在救亡图存的驱使下,开始向近现代议会民主制转变。本文以辩证唯物主义和历史唯物主义方法论为指导,采用历史学和政治学等领域的研究方法,通过对比、分析、综合,由多维视角系统地对以清代历朝帝王和科道官员活动为中心的谏议制度进行动态研究,揭示清代谏议制度的时代性。本文运用的史料主要来自官修实录、政书、起居注、上谕档、奏稿、文集、笔记等。在研究过程中,注重以史料来论证史实,坚持论从史出、史论结合的方针,力图结论的客观准确。鉴于资料和能力等方面的限制,本文不可能对广义的谏议制度进行面面俱到的研究,而是选取了几个方面作为研究的重点:第一部分:清代谏议制度的确立。包括清以前谏议制度的简单回顾,清代谏议机构和职官设立之前,努尔哈赤、皇太极统治前期的谏议活动,和都察院、六科的组织机构及谏议职能。努尔哈赤作为满族兴盛的奠基者,在东征西讨的过程中积累了丰富的治国经验,在纳谏方面亦有独到的见解。他不仅在女真原有的军事民主制基础上创建了旗主贝勒议事制度,还不断申明求言纳谏的重要性,他的求言纳谏思想,闪耀着朴素辩证法的光辉,可为后世借鉴者良多。皇太极统治时期,前期进行了一系列加强汗权的措施,打破了努尔哈赤“八王共治”的构想,实现了汗位独尊。后期,不断完善后金的制度建设,改国号为“清”,并采纳群臣谏议,设立都察院,规定都察院官员为朝廷谏诤之官,可以谏诤君主,监督诸王贝勒大臣。入关后,清承明制,设立六科,六科给事中掌谏诤封驳,是为独立的谏议机构。都察院和六科的设立及执掌的明确,标志着清代的谏议制度初步确立起来。第二部分:清代谏议制度的发展,探讨了传统的科道谏言外的谏议渠道。随着清代专制皇权的不断强化,科道官员的谏诤权萎缩。首先,雍正元年,雍正帝下诏将六科并入都察院,台谏合一:加之,密折制度的推行,六科给事中的封驳权已名存实亡;其次,为避免出现明末言路膨胀导致政治败坏的恶果,清帝有意识地防范、压制科道官,致使矫枉过正,科道官直言敢谏的锐气大打折扣;再次,出于民族防范的心理,科道官的活动受到多方掣肘,在很多问题上不敢畅所欲言。在此形势下,清帝为了周知庶务、集思广益,不断采取措施拓宽言路。最成功的做法莫过于奏折制度的推行。奏折最初是以密折的形式出现的,带有告密文书的性质,是清帝指定的少数人才有的特权。但随着使用范围的扩大和包含内容的广泛,不仅君主可以借此了解吏治民生,有折奏权的官员也可以附录自己对某些政事的意见,密折遂成为有效的开言路之法。雍正时期,雍正帝放宽了可以具折人的范围,确立密折制度。乾隆帝即位后,进一步规范密折制度,形成奏折制度推行全国。其他的开言路之法还有,因灾异上言和借经筵日讲进言,这两种方式带有极大的偶然性,适用的范围也较为狭窄。每当天灾或天象异常,帝王在反省自身的同时下诏求言,此时可以建言的人员的范围因为帝王的要求得以放宽,在内容上也可以触及一些敏感话题。而借经筵日讲进言,则主要是在帝王较为年轻,且有向学之心的情形下才能发生。第三、四部分:对清前中期的帝王在纳谏拒谏方面的态度和科道官在进谏方面的活动进行了考察。入关之初,官员在制度建设方面的谏言,基本都能被采纳,使得清代国家机器在很短的时间内得以正常运转。但围绕顺治朝的剃发、逃人等问题的谏诤,则以皇权的胜出和科道官的败北告终。科道官因不畏强权,直言谏诤,被贬黜者不知凡几,承袭明代的敢谏锐气,被打击殆尽。可见,顺治帝在维护满族的利益方面是不遗余力的。康熙帝可算是开明之主,大方面在“禁海”、“迁海”问题上不听谏言,给沿海经济带来沉重灾难。雍正、乾隆前期,政治较为清明,但自乾隆中晚期开始,乾隆帝刚愎自用、听不进逆耳忠言,盛世下的隐忧浮现出来。嘉庆、道光帝在统治前期,能够励精图治、广听博采,但缺乏持之以恒的决心和力挽狂澜的果敢,清王朝兴盛的局面不再,逐渐走向下坡路。第五部分:对晚清谏议制度的变化作了分析。鸦片战争后,中国以一个十分屈辱的姿态迈入近代,中国传统的政治、经济、思想文化体系也在此冲击中开始了痛苦的转型。为了救亡图存,有志之士开始从各方面探求强国御侮之路。最初侧重在科学技术方面向西方学习,实行洋务运动,但以失败而告终。人们转而在政治制度方面思考救国良方,思考的最终结果认为与西方相比,清朝一蹶不振的症结在于:君民隔阂、下情不能上达。解决的方法在于设议院、开国会,以群治代替专制。经过士人、官员数十年的呼吁和请命,清廷在不得已的情况下接受了设议院、开国会的主张,实行预备立宪。尽管因为专制皇权不甘心退出历史舞台,清廷颁布的很多措施都带有极大的欺骗性,但谘议局、资政院这些机构的设置标志着中国古代的言谏制度开始向近代议会民主制转变。而清廷的改革则表明封建专制制度已走到了穷途末路,必将让位与民主制。第六部分:选取了晚清谏诤的两个典型事例,分析了参与谏诤的人员组成和谏诤的内容,总结了晚清谏诤的时代特征。与清代前中期的谏诤活动相比,晚清谏诤活动受当时政治局势的影响颇深,带有明显的时代烙痕和救亡图存的印记。这一时期,言谏权超出科道官的范围,在爱国情怀的感召下,不仅台谏官发扬了“宁鸣而死,不默而生”的气节,无言责官员、知识阶层,甚至普通民众,都奋起疾呼,呼吁清政府强国御侮,就参与人员的范围方面有越来越广的趋势。而在谏诤的内容方面,也有逐渐向近代民主政治过渡的趋向。第七部分:对整篇文章进行总结。更多还原

【Abstract】 The Expostulation System was an important component of the ancient Chinese political system,as well as a supplement to the autocratic monarchy.It was weakening with the continuous strengthening of the autocratic imperial power.During Qing Dynasty,the imperial power gone to the peak,and full-time advice officers disappeared. It seemed that the Expostulation System was over.However,it was not true.First of all, after the combination of Liu Ke and Du Cha-Yuan,dissuasion functions of gains and losses did not disappear,Yu Shi and Ke Dao still had the dual functions of dissuasion and monitoring.Secondly,for the emperors,they would not cancel the Expostulation System.Because it was not only a constraint to the monarchy itself,it also served a chance of solving a series of problems with officials.After all,no matter how wise the emperor was,he couldn’t solve all issues himself.So emperors of Qing Dynasty asked advice for Ke Dan continuously about the people’s livelihood,political gains and losses, misconduct of themselves and so forth.From the narrow sense,the Expostulation System was the advice officials gave their views for the fault of the monarch and country management.From the broad sense, The Expostulation System was all officials gave their advice in aspects of all national governance.Giving advice could be involved widely,military and political matters in a wide range,or King’s own misconducts in a narrow range.The aim was for finding disadvantage and pointing out it,and helping the emperor to rule the country.The main ways to give advice were refusing emperor’s improper rescript,discussing things in the hall or in the form of document.Expostulation System of Qing Dynasty is the object of this paper,including the period of Hou Jin and Qing Dynasty.Because of strengthening of the sovereignty, advisor organization became monitoring.So,scholars had focused on many aspects of the monitoring system of Qing Dynasty,while,the Expostulation System of Qing Dynasty was rarely talked about,as well as Ke Dao’s activities.There was lack of a comprehensive and systematic study about sovereignty constrain.This article put the Expostulation system of Qing Dynasty for the study object,will further explore these issues with the integrated study.First,to separate the activities of Yu Shi and Ke Dao from the Monitoring System,define the Expostulation System of Qing Dynasty. Secondly,to do in-depth study of the weakening of advising functions of Ke Dao under the strengthening of imperial power time,and analyze its causes and manifestations. Third,trying to dynamically show activities of Ke Dao under the strengthened sovereignty,discuss new advising ways after the activities of Ke Dao were limited at the intervention of imperial power.By comparing the activities of Ke Dao and the emperor’s attitude to advice to analyze gains and losses of asking advice,accepting advice,refusing advice of Qing Dynasty emperors,hoping to make an objective evaluation for the limited expostulation.Fourth,compared with the early time,the Expostulation System of the late Qing Dynasty had it’s own character.In the driven to save the country,traditional Expostulation System changed for modern parliamentary and democratic system.This paper took the methodology of dialectical materialism and historical materialism as the guidance,used history and political science and other fields’ research methods.By comparing,analysis,synthesis,studied the Expostulation System in the multi-dimensional perspective to Qing Dynasty emperors and Ke Dao’s activities as the central,revealing the characters of the Expostulation system of Qing Dynasty.The materials are from the Official Record,the major political book,Collected Works and so forth.In the course of the study,the paper focused on historical data to prove the historical facts,combining of history and study,trying to get objective and accurate conclusions.In view of the material and capacity constraints,the article couldn’t make comprehensive research for the Expostulation System in the broad sense.PartⅠ:The establishment of the Qing Dynasty,including the recalling of the Expostulation System,advising activities during Nuerhachi and Huang Taiji periods,Du Cha-Yuan and Liu Ke’s organization and expostulation functions.As the founder of the Manchu prosperity,Nuerhachi had accumulated rich experience in governing the country in the course of war,had his own view in expostulation.He was not only created discussing system among Beiles,and also continued to affirm the importance of advice,his thoughts for requesting advices flashing a brilliant of simple dialectics that could be learned a lot.Under the reign of Huang Taiji,he carried out a series of measures to strengthen the Han right at pre-time,breaking the concept-Eight Kings of Nuerhachi,made autocracy come true.At later period,he constantly perfected the system construction of Hou Jin,changed the name of country to Qing,and adopted officials’ advice,set up Du Cha-Yuan,ordained the officials of Du Cha-Yuan,who could give advice to emperor and supervise officials.After Qing gone across Shan Haiguan,studied the Ming Dynasty’s institutions,established Liu Ke,which could refuse emperors’ decision.Liu Ke was an independent advising agency.The establishment of Du Cha-Yuan and Liu Ke and the definitude of their functions indicated the establishment of the Expostulation system of Qing dynasty.PartⅡ:The development of the Expostulation System of Qing Dynasty,discussing advice ways except traditional Ke Dao advice way.With the autocratic power of Qing Dynasty continued to strengthen,the right of Ke Dao to give advice declined gradually. First of all,the first year of Yongzheng,Liu Ke was combined with Du Cha-Yuan.In addition,the implementation of secret documents system,the right to refuse emperors’ decision disappeared.Secondly,in order to avoid bad consequences that caused by Ke Dao during the Late Ming Dynasty,emperors of Qing Dynasty prevented and suppressed Ke Dao consciously,which resulted in harming Ke Dao’s enthusiasm.Third, because of different nations,the activities of Ke Dao handicapped by many reasons,so they were afraid of speaking their real thoughts.Under these circumstances,the emperors of the Qing Dynasty constantly made to take measures to widen the advising way for knowing more,and the most successful way was the implementation of memorial to the throne system.Memorials to the throne were initially in the form of secret documents,and be used in a very narrow range.However,with the expansion of the scope and width of content,not only monarch could know more information about the people’s livelihood,the officials who had the right to write memorial to the throne could also express their own views on certain political affairs.So it became effective way to give advices.In Yongzheng period,Yongzheng emperor widened the range of people who can give advice in the document,and established the secret document system.Qianlong emperor standardized the system of secret document further,and formed implementation of the memorial to the throne system.Other ways to give advice are when natural disasters happened and gave classes to emperors,but these two methods with a great chance,and applied to a narrower scope.Whenever a natural disaster or unusual phenomena happened,emperors reflect on their own,at the same time asked advice for officials.Meanwhile,the scope of the officials who could give advice widened,and the content could also be touched on some sensitive topics.While gave advice when gave classes to emperors only happened among the young emperors, who wanted to study.PartⅢandⅣ:Discussed the emperors’ attitudes in the early Qing Dynasty to accept and refuse the advice,and the activities of Ke Dao.At the beginning,officials’ advice on the system-building could be accepted mainly,making the state machinery of Qing Dynasty operating in a very short time.But the advice about tonsure,fleeing slaves and so on,were refused.Ke Dao who undaunted by power were degraded.The enthusiasm to express their real views disappeared nearly.From these,we knew that Shunzhi emperor maintained Manchu’s behalf mainly.Kangxi emperor was an enlightened monarch.He refused advice on prohibition of the sea and moving the people near sea away,which resulted in disaster on economy of coastal areas.During the period of Yongzheng and the early of Qianlong,political situation was stability. From then on,Qianlong emperor couldn’t listen to officials’ home truth,the problems under the peace and prosperity rose.Jiaqing and Daoguang emperors could listen to the home truth in the early stage,but they gave up in the later stage,and the prosperity situation of Qing Dynasty was no longer.Qing Dynasty was gradually going down.PartⅤ:Analysis of the change of Expostulation System in Late Qing Dynasty. After the Opium War,China entered the modern times in a very humiliating way. Traditional Chinese political,economic,ideological and cultural system began a painful transition because of the impact.In order to salvation,people with lofty ideals started to explore the way of strengthening the country and fought for aggression from all aspects. They lay particular emphasis on the study of the West in science and technology at first, implementing the Westernization Movement,but ended in failure.Then,people considered ways to save the country in the political system instead.They conclude that, compared with the West,the crux of the Qing Dynasty going to the dogs was:the gap between monarch and common people,and common people’s opinions should not reach the top.The solution lay in the House,the Congress,to replace the autocratic rule with democratic rule.Scholars and government officials called on for several decades,the Qing court accepted the House and the Congress in the end,and implemented the Preparatory Constitutional.Even though the autocratic imperial power could not be reconciled to exit the stage of history,the Qing court promulgated a lot of deceptive measures,but the setting up of such institutions as the Consultative Council,Congress marked the transformation of the ancient Chinese system into the modern parliamentary democracy.And the reform of the Qing court indicated that the feudal autocratic system had reached the end,and must make way for the democratic system.PartⅥ:Select two typical examples of Late Qing Dynasty in giving advice to emperors,analyzing the composing of the people taking part in and the content of advice,in order to sum the era characteristics of the late Qing Dynasty Expostulation System.Compared with the earlier Qing Dynasty’s dissuasion activities,the dissuasion activities in later Qing Dynasty was impacted by the political situation deeply,with clear time mark.During this period,the right giving advice to emperors beyond the scope of Ke Dao’s,because of the appeal at patriotism,not only Ke Dao gave their advice loyally,but also other officials,intellectuals,even ordinary people expressed their views sincerely.The scope of participants became widened and the content of dissuasion had also a gradual transition to the modern democracy.PartⅦ:To sum up the whole article.更多还原