清朝职官制中的满汉差异问题研究

【作者】 徐雪梅；

【导师】 杜家骥；

【作者基本信息】 南开大学 ， 中国古代史， 2009， 博士

【摘要】 清朝作为少数民族入主中原的王朝,既要保障本民族的主体统治,又要联合汉族官绅,以实现有效治理。如何处理政权内部的满汉关系,以及如何定位各自在清朝政治生活中的地位,是不可回避的政治问题。职官制度作为规范官员行为准则、明确行政权力与义务的纲领性规定,能够较为直接的反映出统治者的治国理念,以及在上述问题上所做的权衡。这一重大问题的有些方面,已得到学界的关注。但由于清朝职官制度的具体规定细致而又繁杂,对于很多问题,学界尚处于笼统、模糊认识的层面。故本文主要是从清入关前的官制,入关后的中央官缺制、地方职官配置、品级制与爵制、俸禄制、职官礼制以及清末对满汉职官差异的改革几个方面,以考证为基本的研究方法,将制度层面上的行政规定与政策实际运行过程和效果相结合,力图系统揭示职官制中满汉差异的具体表现,深入剖析形成这些现象的政治的、社会的、文化传统的,或者个人的、偶然的影响因素。清入关前,征服战争尚如火如荼,戎马倥偬。加之政权初创,满洲统治者所制定的职官制度是不成熟且不完善的。尽管如此,满汉职官在统治者的意识中已有区别,政治地位上之畛域亦已萌生。努尔哈赤时期所实行的单一的满洲政权,不仅排斥汉人进入上层统治集团,而且还对汉官多有歧视与欺辱。皇太极即位后,调整民族政策,其对汉官的态度也由排斥转为吸纳。但汉官在行政机构中仍处于从属地位,权力十分有限,内外军政大权仍由满洲显贵把持。清入关后,仿明制完善中央行政机构,并延用明朝的官缺制度。与明朝不同的是,清朝的“官缺”包含官位的编制额数与性质类别两层含义。就后者而言,官缺按被授予人的民族与身份的不同而划分的类型是被重点探讨的对象。本文将清朝中央衙门按其职能性质的异同,划分为八种不同的类型,并以此为单位,考实中央各职官旗人专缺与汉官缺在设缺时间、官缺额数以及变化趋势上的差异,并在此过程中对清朝政书中相关记载有误之处加以考证、勘补。在此基础上,揭示满汉官缺因具体衙署、职务的职能性质各异而在配备上呈现出的倾向性。复职官缺中,满汉缺在设置时间上的不同,不仅说明满汉复职制是一个渐进的形成过程,而且亦显示着满汉官对本衙门行政权力掌控上的主次之分;单职官缺,满汉官占缺比例上的差别,则反映了该官职在清朝政治生活中的重要程度。而官缺作为清王朝人事上的组织原则与实现形式,其变化不仅仅是简单的数量和民族属性的转换,实质上体现的是行政权力在不同民族属性官员间的分配与调置。所以,从创建伊始到乾隆十三年基本定形,中央各官缺额数与性质不断增衍、转换的调整过程,不仅是清朝典章制度不断走向完善和稳定的标志,而且也预示着中央权力格局的形成。清朝地方官缺,在设置上有异于中央衙门。从官缺配额上说,并非复职;从官缺民族属性上说,则分为满汉互用之缺与满蒙旗人专补之缺。这一设缺原则,客观上顺应了地方任官灵活性的政治需要。本文在兼顾地方治理上“以汉治汉”的普遍性原则的同时,重点阐释在这一普遍性之中所蕴含的特殊性,即在旗汉杂居区、少数民族聚居区、毗邻少数民族之边疆地区、直省税关等优肥之缺的选任上首崇满官。这一任官趋势是清朝统治民族意识的反映,同时亦符合地方行政管理过程中的客观政治需要。在职官品级制与爵制中,满官不仅在封爵上优于汉官,而且在其品级初制的规定上亦高出汉官一等至三等有差。品级是官员政治地位高低的表现形式之一,并以官缺作为其存在载体。本文即以中央衙门官缺设置时间为基本依据,考实满汉职官品级之初制。并在此前提下,分别以顺治二年至顺治十五年、康熙六年至康熙九年为时间背景,揭示在这两个历史阶段中满汉职官品级在正从、高低上的差别,因品级变化而引起的职官称谓的变更、升转次序的调整,以及清朝统治者在划一满汉职官品级过程中所遵循的原则。俸禄制中满汉职官的差异,不仅表现在各自俸禄制度确立的时间不同,而且在俸禄额数以及支付形式上亦存在区别。关于清朝职官礼制中满汉畛域的阐释,本文主要以丁忧制、朝仪制以及臣下对皇帝的自称为主要的探讨对象。在丁忧制中,满汉职官在丁忧期限以及丁忧期间的俸禄待遇上各有定制;在朝仪制中,满汉职官不仅在常朝仪式中程序各异,而且朝会班次、上下级间的见面礼亦满汉有别;在臣下对皇帝的自称上,满汉官则有“奴才”与“臣”的区别。从本质上说,职官礼制中的满汉差异,是由民族属性的根本不同所决定的。十九世纪末二十世纪初,清朝的职官制度受到了新的政治理念的强烈冲击。清朝统治者为稳定统治,开始尝试消除职官制中所存在的满汉畛域,并主要表现在以下几个方面:一是在部分中央衙署取消满汉分缺;二是在地方上逐渐取消满蒙旗人专任之缺;三是在礼制上,对满汉职官丁忧制度进行划一与整合、统一满汉职官在皇帝面前之自称。但是,清朝统治者的这些消除畛域的行为是有所保留的,所以它并没有抵挡住革命浪潮的冲击,最终在1912年走向了结局。综上所述,清朝职官制度中的满汉畛域,是满族统治者实行满汉联合的统治模式而必然产生的政治现象。这一方面是由各民族在清政权内部所占据的政治地位决定的,另一方面亦反映了统治者在具体政策操作过程中的客观需要。此外,满族统治者的民族意识,亦是形成职官制中满汉差异的主观因素。清朝统治者在对满汉民族属性及其相应政治适宜性正确认识的前提下,一方面强调满官的主导地位,另一方面兼顾汉官政治效用的发挥。这是清朝较其它少数民族王朝统治更为成功的关键所在。客观地说,清朝统治者对满汉职官不同的政治定位,在清朝的发展进程中,起到了特殊的历史作用。但是,由于职官制中的满汉畛域,更多的表现为满汉职官在政治上的不平等现象,所以不可避免的对清朝政治造成一定的负面影响,降低了整个官僚机构的行政效能。这种制度上的民族畛域,亦对汉官的为政心态造成了一定的影响。但在外敌入侵的特殊形势下,整个中华民族之大义最终成为清朝满汉官员共同的选择!更多还原

【Abstract】 As a regime of the national minorities,the Qing dynasty must gain the support of the scholar-bureaucrat for the effective control in the area under administration. So,how to deal with the relations between the Manchu and the Han nationality in the regime,and how to distinguish their political positions in the political life,which would not be neglected by the Qing governors.The system of functional office ,which standarded the behavior of the functioning officials and affirmed the administrative obligation and duty,could directly reflect the kingcraft of the dominators and the methods to deal with them.As for that the content of the system of the funcional office was very meticulous and complex,and some of them were researched deeply,this article basically research the system of the functional office before getting across the Shanhai Pass and which after crossing it,the official appointing in the local province,the system of the official rank and salary,the fedual code of the functioning officials,and reform of the system of the functioning office in the late Qing dynasty. And this article would combine the administrative rules and the effectiveness in the real life by using the textual research,in order to reveal the representations of the difference between the Manchu and the Han nationality in the system of the functional office,and explain the political,social,the traditon of the culture,the personal,and the casual reasons.Before getting across the Shaihai Pass, the system of functioning office was immature and imperfect,because that the war of conquest agaist the Ming dynasty was in progress.However,the difference between the Manchu and the Han nationality had existed in the consciousness of the rulers and in the political life.In the period of Nurehazhi,the regime was formed just by the Manchu,and the Han nationality were excluded from the hierarchy,and always were abused.After Huangtaiji’s accession to the throne,he adjusted the ethnic policy,and the attitude towards the Han nationality was changed from excluding to incepting.However,the Han officals were still in the subordinate position,and the power was also limited,the supreme executive power was still controlled by the Manchu. After the crossing the Shanhai Pass,the Qing dynasty improved the executive branch of the government according the Ming.On the designation of the central government offcials,the Qing dynasty also inherited the Ming system of the entitlement. And in the Qing dynasty,the entitlement had two implications,which one was the nature of the position,and the other was the number of the position. As to the former,it could be divided many different types by the different standards.And this article especially aims at the type that was divided by the status and the nation of the official.In the discussing about the entitlement of the central government,the central government was divided into eight different types by the differnce of their functioning nature.On this condition,we could do textual research on the set-up time of the Manchu and the Han entitlement,the number of the entitlement,the differnce of the changing tendency. And in this progress,we also correct the errors of the history records.As the personnel organization principle and the achieving form,the entitlement actually reflected the distributing and the adjusting of the executive power among the officials ,whose nation were different. So,from beginning to 1748,the changing of the number and nature of the entitlement not only indicated the progress ,in which the institutions became perfect and steady step by step,but also indicated the forming of the power pattern in the central government.By above mentioned,we can come to the following conclusions: First,we should learn the system of joint Manchu and Han appointments again in central department. And this system was not carried out at the beginning of the Qing dynasty,it was formed in the 1658 and 1659.However,the equity on the number did not represent the balance on the power.At the same time,the system of joint Manchu and Han appointments was also opposite, the entitlements which were only for the Manchu were very important in the political life and in the emperor’s private life. Second,the setting of the entitlement reflect the unitary difference in the different central departments,as for the different political position and the relations with the emperor. Third,the setting of the entitlement had the different character in the different period.Above all,the change of the entitlement was not just the change on the number and the nation nature,it was contacted with the steady of the regime,the adjust of the executive power,the harmony among the different nations,the personnal behavior of the emperor and so on. The system of the entitlement in the local province was different from the central departments in the Qing dynasty.Generally speaking,there was one official on the one executive position.On the regulating of the national nature of the entitlement,there were two types that the entitlement which both of the Manchu and the Han could be appointed and that the entitlement which was just prepared for the Manchu. This article gives attentions to the universality of the functioning office in the local province.And at the same time,it also attachs importance to the particularity,that is ,the Manchu officals were appointed in the places where many races mixed,where minority lived together or adjoined it,and where had the important military and political signification.And the entitlement which was advantageous in the local province was mostly appointed to the Manchu.To sum up the above arguments,the particularity of the local official appointing was determined by the gap between the populations and territorial aera,and the objective acquirement in the process of the local executive management.The official rank in feudal times ,of which carrier was the entitlement, was the manifestation of the pattern of the political positions.This article will correct the offcial primary rank basing on the right setting time of the entitlement of the Manchu and the Han. And on these conditions,this article will reflect the difference of the rank of the Manchu and the Han ,the change of the official title,the adjustment of the official rising and falling,and principle which the goverors following in the uniform process in the period of the 1645-1658 and 1667-1670.And the difference on the system of the salary not only reflected the different setting time,but also revealed the differnce on the number and the pattern.As to the ritual systems of the functioning office,this article mainly research the Dingyou system.On the basing of making the process of its forming and changing,we will reveal the different time limit and the treatment in the Dingyou period between the Manchu and the Han nationality,the distinguish among the Manchu,and the special regulations for the isolated district and individual official.At the ending of the 19^th century and the beginning of the 20^th century,the system of the Qing functioning official was strongly striked by the new political ideas.The emperors began to settled the differences in order to protect against damage :First,assigning officials without distinguishing between Manchu and Han;Second,eliminating the entitlement prepared only for the Manchu;Third,unifing the Dingyou system of the Manchu and the Han,and the official title before the emperors. As for that the behavior of eliminating the distinguish was with reservations,so the reformation couldn’t save the fate of the Qing dynasty.To sum up,the distinguishing between the Manchu and the Han in the system of the functioning official,was the inevitable phenomena because of the dominate form which was the system of joint Manchu and Han.It was not only determined by the different positions,but also reflected the objective needs in the political operation process.And the national consciousness of the emperor was aslo the subjective factor.In the condition of correctly understanding the nation nature of the Manchu and the Han and the political appropriateness,the Qing dominatros emphasized the domainte position of the Manchu,and gave attentions to the Han officials’political function,which were the keys to success.Objective speaking,in the progress of the Qing dynasty developing,the different political positions of the Manchu and the Han officials promoted the Qing dynasty developing.The the distinguishing between the Manchu and the Han in the system of the functioning official represented the inequality positions,influnced the administrative efficiency of the Qing dynasty and the mental attitude of the Han officials.But ,when the western countries invaded the Qing dynasty,the national cause of the nation became the common choice of the Manchu and the Han officials.更多还原