清代六科行政监控机制研究

【作者】 徐明一；

【导师】 柏桦；

【作者基本信息】 南开大学 ， 中外政治制度， 2009， 博士

【摘要】 清王朝在因循前代制度的基础上,构建了利于统治的,具有多民族色彩的,多层次、立体交叉、复杂的行政监控机制。作为承袭明代的六科,是其行政监控机制的一个环节,也是融合汉族传统政治体制,具有贵族与官僚政治相结合的特点,在一定程度上起到监控整个官僚机构的运转,提高统治效能的作用,同时也应该承认,贵族政治与官僚政治在实际政务运行过程中,缺乏政治权力及行政监控地位低下,是制约行政监控正常发挥其效能的重要因素之一。目前,国内外学者关于清代制度史的论著,只是零星地涉及到六科制度的某些方面,系统研究清代六科行政监控机制的论著尚未出现,本文试图尽力弥补该领域的这一缺陷。清代的六科行政监控机制是继承前代的基本架构,又“参汉酌金”融入满蒙民族色彩的管理体制。从六科行政监控机制因袭与发展变化的过程来看,野蛮人的征服者一旦被先进文明的社会形态和思想意识所征服,其本身也就从野蛮状态中摆脱出来,也标志着落后向先进的转变。在满族与蒙、汉等民族频繁交往的过程中,相互增强了理解,缩短社会发展的差距,也加快自身社会发展的历史进程。六科行政监控机制的满汉杂糅,不但彰显了满洲贵族的统治地位,而且将统治者政治理念融入其中。六科行政监控在政治体制中的地位与发挥作用的大小,既反映出君主专制中央集权制度发展到顶峰时期的制度构建理念,又表现出专制政体的礼法观念。不但等级、宗法、伦理纲常等传统的政治理念在其中有所体现,而且专制政体的构成原则和运行规则也时刻影响其效能的发挥,从中折射出权力结构的重组、社会文化心态的更新,以及决定这些变化的根本性因素——社会经济、政治、文化的发展和社会环境的变迁,更决定该体制的兴衰。清朝统治者建起了一个疆域辽阔、文化灿烂的帝国,全盛时期没有对手能够威胁其统治,因而没有顺应社会发展作出制度上的选择,因循守旧,姑息养奸,导致整个政治结构的崩溃,没有使应有的行政监控效能正常发挥,甚至促进政治腐败。这固然有不可逆转的历史发展规律,然而顺应社会作出适当的制度选择,至少不至于给社会带来更多的灾难,也是值得我们深思的问题。清统治者初定中原时,稳定时局是其核心政策,因此在制度的制定和运作上对明代制度多有沿用,但是清入关前原有的满蒙制度也是重要的国策,两种制度在不同文化环境下正处于交融之时。在具体实施过程中,满蒙制度则发挥更为重要的效用。而随着时局的逐步稳定,具有交融性的制度变革也势在必然,然而随着所谓的“康雍乾盛世”出现,统治者骄傲自大的心理与日俱增,不可能去关注世界的发展变化,其制度的惰性也日益显现。在外来势力的冲击下,既想检讨政策上的失误,又不愿意接受新的政治理念。在屈辱挨打的情况下,被迫实行所谓的“新政”。这种传统政治体制向近代政治体制嬗变的过程,不仅折射出当时落后挨打的根源,而且在惯性中使政治制度文明在超经济强制中迷失了前进方向。不但制度不能科学地创新和发展,而且束缚人们的思想,直接导致在近代的国家竞争中丧失主动权,也得不到广大人民的支持。在忧患中警醒,在升平中思危,这是国家和民族前进发展的重要原动力。本文在《清实录》、《清会典事例》、《清史稿》等文献资料以及一些清人笔记的基础上,结合今人的研究成果,对清代六科行政监控机制进行系统分析,并力图运用制度学、系统论和社会控制论等学科的一些理论与方法,采取宏观制度叙述与微观个案分析相结合的方法,进行必要的统计,举出一些有代表性的事例佐以论述。在此基础上,探讨六科行政监控机制在维护政治统治、保障行政运行方面的作用,并将六科行政监控机制作为观察清代政治,解读制度背后深层次东西的一个独特视角。全文共分为六章内容:第一章为绪论部分,主要阐述本课题的选择依据、研究所具有的学科和现实意义、先行研究成果、运用的理论和研究方法,以及论文的基本研究框架。第二章主要研究六科制度的历史沿革及演变过程。通过对六科制度的历史追溯,结合清代六科的衍变过程,梳理出六科在政治体制中的地位和作用,在对清代六科定制分析同时,构建六科相对完整的制度架构。第三章通过对六科参入朝政的制度分析,了解六科在中央决策制定中的作用和局限。在叙述封驳权、注销权、抄录史书权的同时,探讨六科在中枢决策过程中的地位,分析其监控中枢决策与政策执行过程中的作用,以及存在的不足。第四章是对各科在具体政务中监控作用的叙述,以揭示六科是否对口六部政务。事实上,六科不仅仅是对六部进行对口监控,还分工监控各部院衙门。而通过具体案例的分析,可以看出科道官的区别,对当前科道不分,以及台谏合一的认识提出看法,证实六科与监察御史看似权责不分,实际还是有分。第五章意在分析评价。清代六科行政监控机制,既是传统政治制度的重要组成部分,又融入民族色彩,不但继承了前代行政管理的模式和理念,而且具有满洲贵族为主体的特色,君主专制中央集权制度发展到顶峰时期的鲜明特点。因此从制度构建期待预期的效果,制度实现过程及实施效果,以及与其他制度的关系等方面进行分析,总结经验教训,提出有益的启示。更多还原

【Abstract】 On the basis of previous system, the Qing Dynasty constructed the complicated administrative supervision mechanisms favorable for dynastic rule, with the characteristics of multi-national color, multi-level and mutual chiasm. As six administrative sections adopted the essence in Qing Dynasty, it was a link of administrative supervision mechanisms and also a blend of Chinese traditional political system. Characterized by the combination of aristocrat and bureaucracy, to some degree, it played a role in monitoring the operation of the whole bureaucratic apparatus and improving the efficiency of domination. At the same time, it had to admit that aristocrat and bureaucracy were lack of political power and had a low status of supervision when exercising the government affairs, which was one of the important factors restricting the exertions of supervision. At present, some aspects of the systems of six administrative sections are sparsely mentioned by the scholars both abroad and at home in their studies. Actually there is still no systematic study to research its administrative supervision mechanisms in Qing Dynasty. This dissertation attempts to remedy the defect in this area.Adopting the previous basic framework, the administrative supervision mechanisms of six administrative sections in Qing dynasty were based on the systems of Han and King and then formed its own management system with the national features of Manchu and Mongolian. From the process of its adoption and development, once the barbarians’ conquerors were vanquished by the social forms and ideology of an advanced civilization, they themselves emerged from barbarism, which thus marked the transition from the backward to the advanced. During the process of frequent communication between Manchu and Mongolian, Han and other ethnic groups, they came to a much better understanding of each other, bridged the gap of social development and accelerated the historical course and the pace of their social development. The fusions of Manchu and Han in the administrative supervision mechanisms of six administrative sections not only manifested the dominate position of Manchu aristocratic, but also revealed the ruler’s political philosophy.The position and function of the administrative supervision mechanisms of six administrative sections in the political system reflected both the ideas at the peak of centralized system and the Confucianism conception in autocratic monarchy. Not only could it embody the different ranks, agnate systems, ethics and other traditional political philosophy, but also the shaping principles and operating rules could influence its exertion every way. Also, it mirrored the power structure restructuring, the renewal of social and cultural awareness, and the fundamental factors determining these changes: the development of social economy, politics and culture and change of social environment, which even decided the rise and decline of this system. The Qing Dynasty’s rulers built an empire with vast territory and brilliant culture, and there was no rival to threaten the domination in its splendors. At that time, the government did not meet the demand of social development and stuck to old ways and tolerated evil rather than adjusting the systems. Finally, it resulted in the collapse of administrative structure, making the administrative supervision ineffective, even heating up political corruption. This is the irreversible historical development, but if the proper choices of social system had been made, so many disasters would have not been brought to the society at least. That is the problem worthy of profound thinking.When Qing Dynasty’s rulers governed Central Plains initially, the core policy of the system was to stabilize the current political situation, so Ming’s system was often adopted in the establishment and operation of the policies. But the original system was also important before entering Central Plains. When two systems in different cultural environment were in communion, Manchu and Mongolian system played a more important role in the process of implementation. However, with the gradual stability of the current political situation, the blending systems needed to make an inevitable reform. The arrogance of the rulers grew day and day, with the so-called "KangYongQian time" coming, thus it was impossible for them to pay close attention to the development and changes of the world. Therefore, the inertia of system had become more and more obvious. Under the impact of foreign powers, the rulers reviewed policy mistakes. Having not been willing to accept a new political concept, they were forced to implement the so-called "New Policy" under attack and humiliation. In the process of evolution from the traditional political systems to the modern, the essence of being beating passively was reflected, and inertial political civilization got lost in the rapid development of the economy. The system couldn’t be scientifically innovated and developed, and it also restrained people’s minds. Consequently, the initiative of China was lost directly in the competition of modern countries. They couldn’t get the people’s support, either. Awakening from hardship and thinking of adversity in prosperity was an important motive force for the advance and development of a nation.In this paper, on the basis of several sorts of documents, the record of the Qing dynasty, the case of QingShiGao and scholars’ private notes in Qing dynasty and the present research. We have a systematical analysis on the administrative supervision mechanism, and try to use the theories and of system, system theory and social control, and also methods of macro statement and micro analysis system to give the necessary statistics and typical examples. Above all, this paper discusses the effect of the administrative supervision mechanism of six administrative sections in safeguarding the political ruling, and administrative operation .As a special perspective, administrative monitoring mechanism as six administrative sections can help us have a good interpretation on Qing dynasty’s political system and observe things behind the system. The dissertation can be divided into six parts.The first chapter is the introduction section, which mainly elaborated the topic of subjects, and realistic significance of research, literature review, the theory and research method, and the basic framework.The second chapter mainly researches the historical and evolutionary process of the six administrative sections. With the retrospection to the history and evolution of six administrative sections, the author works out its position and role in the political system and displays its relatively compete system framework through the analysis of the system of six administrative sections in Qing dynasty.In the third chapter, the dissertation deals with the functions and limitations of the six administrative sections in the central government decision-making through the institutional analysis. According to the narration of the right of objection, cancellation and transcribing history, it also discusses the role of six administrative sections in the process of central government decision-making and analyzes the function of supervision in the process of decision-making and exertion and their deficiency.The fourth and fifth chapters are the narrations of the specific monitoring role of every section in practical political affairs, in order to reveal whether it is correspond to six ministries. In fact, not only are the six ministries under supervision accordingly, but also the specific divisions of six ministries are supervised. Through analysis of concrete cases, the differences of the Ke and Dao are shown. Finally, the author puts forward the view on the confusion of the Ke and Dao and unification of governance and supervision and verifies that there are still distinctions between the rights and responsibilities of monitor officers and six administrative sections, which are seemingly no divisions before.The sixth chapter is evaluation. The administrative supervision mechanisms of six administrative sections are both important part of traditional political systems and blend of national characteristics in Qing dynasty. Not only does it adopt the previous administrative management mode and concept, but also it has the characteristics of Manchu noble as the main body and distinctive characteristics at the peak of centralized system and the Confucianism conception in autocratic monarchy. Finally, the dissertation summarizes the experience and lessons and provides some beneficial inspirations from the desired effect of system construction, system realization and implementation effect.更多还原