明代捐纳研究

【作者】 王海妍；

【导师】 林延清；

【作者基本信息】 南开大学 ， 中国古代史， 2009， 博士

【摘要】 近年来,关于捐纳的研究日益引起人们的重视,尤其是对明代捐纳的探讨。明代捐纳在正史中缺乏关于此问题系统而翔实的记载,关于捐纳事项等问题的阐述多以弊政而视之,然因语焉不详,对一些问题并未详细交代。该问题作为新的视角,不仅对认识明代社会有所帮助,亦是认识清代捐纳制度之基础。捐纳在清代达到顶峰,渗入到官僚制度的方方面面,由于清代捐纳制度承袭自明朝,故对明代捐纳的研究非常必要。明以前的捐纳的整体特点即作为缓解财政危机的政策而实行。秦汉以来,捐纳作为一种特殊的制度登上历史舞台,至宋元而不废,一直被统治者当作缓解财政困难的良策。亦作为对处于主导地位选官制度的补充,使富商等参与政治,同时又因弊端重重而受到时人抨击。至明,捐纳事项虽不如前朝泛滥,但从推行的次数、地域及报捐人员的身份来讲,具有前所未有的广泛性。恰恰是这种广泛性为清代捐纳之泛滥奠定基础。明中期以来,社会矛盾激化,明朝腐朽的统治使其无法应对突如其来的灾难,明廷通过开办捐纳,在一定程度上弥补当时财政的匮乏,自此,捐纳逐渐成为明廷筹款之策。赈济灾民及补充军费,甚至工程费用、王府禄粮及年例银,均以捐纳事例银两补充之。明代捐纳的发展分三个时期,初期出现冠带散官,捐职、纳监及地域分布明显的特点;中期具有开捐款项增多、次数增加、地域分布逐渐拓展,文官捐纳免考泛滥的特点;后期具有时限延长,以捐纳选法为主的特点,渐成为国家常制。捐纳事项头绪繁多,包括文捐和捐赀。文捐又可分为捐纳冠带散官、捐纳出身、捐纳文官及捐纳选法。其中冠带散官事例,是捐纳最主要的重要组成部分。另有文官捐纳封赠和诰敕,推行较为短暂,但在捐纳初期也是其中的特点之一。生员、俊秀捐纳入监,是明代捐纳的重要组成部分,名为捐纳出身,实则为购买做官的资格。监生捐纳文官及监生加纳、预授等,文官亦可通过捐纳选法如改选、降选等。其次是对捐赀的考察,从粮食、马匹、草束等物品逐步向白银的转变,而这一转变是渐进的过程,除与白银自身优势有关外,还与当时政治经济形势的发展有关,白银逐渐成为流通的货币。明廷对捐纳的管理较为重视,为后来清代形成完善的管理体系奠定基础。从捐纳政策的制定,到事例银两的收支管理,从临时委派到最后委官管理,多由户、工部负责,至明后期,由户部侍郎负责兼管捐纳事宜。而吏部负责捐纳后的授官事宜。其具体流程是户部负责制定捐纳条例,上报批准后,下发省布政司推行。报捐者需携带府州县的身份证明,由省布政司审核批准、备案,经户部批准后,报捐者再赴户部捐纳得到札付,最后由吏部授官。地方上主要有直省布政司及府州县衙门负责。报捐群体,多来自殷实之家,拥有财赀,声望颇高。部分报捐者捐纳后多跻身于官绅阶层,不仅享有名望而且有冠带官服及相应的特权。这一地位的转变不仅为报捐者本身获取荣誉,而且对其家族来说,亦是荣耀之事。而捐监生们作为报捐群体的另一支主要力量,通过两条途径进入仕途,一为科举,二为监生拨历。不同的入仕途经决定其出身大相径庭。捐纳自推行以来,对官制造成破坏,败坏官吏考核制度,造成铨叙混淆,名器泛滥而不可止,导致吏道杂而多端。而作为官员的候选人监生也因素质低下受排挤,国学的教育地位及为统治者培养后备人才的职能受到破坏。而影响最为恶劣的即白丁捐纳文官,谋求实任后,贪污勒索成为其从政的宗旨。捐纳的开办,使得社会上卖官之风盛行,上行下效,贪污受贿现象不绝;伪印、伪官现象更是层出不穷;学风、仕风影响甚为恶劣,社会风气日渐浮薄。在分析捐纳弊端的同时,也应该看到捐纳之所以存在几百年而未能禁止之原因。明廷将捐赀用于赈灾、充军费等;而从选法的另一角度来说,为困厄于科举之子,创造应试条件。更多还原

【Abstract】 Recently, people realize that study Juana is important, especialy in Ming Dynasty. As anqle of view,this question is not only a piece of key in research of Ming era,but also helpful to know Qing’s.The base of the sale of officer attained crest in Qing Dynasty.It is widely flitered inbureaucracy institution.The Qing’s system mostly comes from Ming ’s,so it is needly to study juana of Ming’s.It was policies to ease financial crisis before Ming previously, which also had overall characteristics.Since Qin and Han Dynasty, Juana gradually stride forward the stage of history for a special system. It was not disthroned until Song and Yuan Dynasty. It was not only treated as a good way to ease the financial difficulties by rulers,but also as adminicular elected officer to attract merchant prince to be in politics. At the same time , Juana was attacked by people for abuse. In Ming Dynasty, it was not overflow like the past, but had unprecedented universality in the number of implementation,and district and identity.This universality precisely lay the foundation for Qing Dynasty.Since Ming metaphase, social contradictions intensify. Corrupt rulers of the Ming Dynasty could not answer the sudden disaster problom. To be confronted with the stater of affairs, the rulers of Ming launch Juana,made up the short of finance. So Juana became indispensable system,disaster relief, even the work expense, salary and defray the money for the army. The develoment of Juana had the character of phase.in order to definitude the question. Juana was dispart as three phases.Counting, analyzing the Juana, we could conclude that accompanied by the develoment of the increasing number and the expanding geography, Juana had became so nationwide.It was important to investigate the proceeding of Juana. It had many clues, such as reputation,which was an important part. The officials bought title and imperial letters, shortly to carry out.Distinctively students at school in the city bought the qualifications for high school, high school students bought official and delegated official, and so on. The officials also bought election. Next, seeing about Juana goods, from grain, horse, grass to silver, we find this change is not isolated, which related to the advance, especially to the development of political and economic situation.The rulers attached importance to Juanna, which was an important base for Qing Dynasty to formed a sound management system. Mostly the Financial Institution and Works of Institution took charge for Juana, from making up policy to manage the money. For example, the Financial Institution made up the Juana ordinance, then sent to province after approval. People should take the Proof of identity to the procince,at last to Civil Appointment for obtaining the certificate.The colony who bought officer mostly was rich. Before it, those people had high prestige.After Juana, they became official class. Status change not only won the honor for their own, but also for their family that was also the matter of glory. Another major strength which built up by the students, became official through two ways, such as Keju or Boli. After all, different ways decided official position of inferiority or superiority.Since carried out by the government, it destroied bureaucracy, corrupts officials and examination system, civil law confusion, the proliferation of devices. Many ways point to the election officials.As a candidate for Supervisor of candidate, officials were also due to low quality. The educational status of Guoxue and the status of elected officials were undermined, Imperial College of Education and the style of study was very bad impact on study. Most abominable, baiding buy afficial.when they were appointment.Corruption and extortion had become its political purposes. Carrying out Juana made selling official winds prevailed and permeated in the community. The phenomenon of corruption and bribery was flooding. Phenomenons of false official were endless. Social ethos was gradually weak.According to analyzing negative impact, we also see the reasons that it exists many years not forbidden. The government also uses it to relieve disaster, supplement military expenditure, etc. From another angle of election law, it create test conditions for the students who have hardship in the civil service exam.更多还原