【作者】 肖建新；

【导师】 李华瑞；

【作者基本信息】 河北大学 ， 中国古代史， 2007， 博士

【摘要】 宋代行政责任追究制度是我国政治制度史、法制史上的一项重要内容,也是历史学研究与政治、行政、管理学研究相交叉的一个问题。尽管我国历史上行政、行政法、行政责任追究制度早已有之,宋代行政责任追究制度相关研究也在上世纪80年代以来,在宋代以及古代官吏管理制度、政法制度研究方面取得相对多一点的成果,但是,由于现代行政责任追究制度建设及其相关研究的薄弱,迄今尚未形成专门的研究方向或领域。而宋代行政责任追究制度的发展,则给我们留下了较为丰富而系统的法律法规、政典制度、纪传编年以及其它相关史料,尤其法律、政典等方面的史料具有基础性的意义,从而使本选题研究有了可能。事实上,我国古代行政责任追究制度经过长期的历史演变,至宋代发生了前所未有的变化,并取得很大的发展,如：责任和追究在行政中广泛运用,行政责任追究的相关法律法规日益丰富,敕的追究责任功能不断增强,行政责任追究方法逐步成熟并有体系等,特别是在行政责任追究的基本内容和方法上,无论是行政责任追究主体、程序、类型的日益清晰,还是行政责任追究的形式、方法的系统完整,都标志着宋代行政责任追究制度的新进展。当然,宋代行政责任追究制度仍然处在以方法代表责任和追究的时代,它在分权行政、制约权力基础上追究行政官吏的主体责任。这是以官治民、官民对立社会的必然产物,属于专制集权下的行政责任追究,与现代分权制衡和民主法制基础上的行政责任追究制度有着很大的差别。即使如此,宋代行政责任追究的方式方法还是很有体系和特色的,形成了以限制人生自由为特征、以剥夺或黜降官职爵位和以经济处罚为主要内容的责任形式和方法,并与行政性的刑事处罚方法结合起来,构成了一个层次分明、相互关联补充的方式方法体系,尤其通过剥夺或减降官吏的爵位利禄,进行惩罚性的责任追究,以保证政权机器的正常运行。同时,通过“官当”减免的原则和方法,来救济和庇护官吏的特权、利益,也正因如此,又影响了行政责任追究的功能和作用。基于宋代行政以及行政法制的发展,在官吏选任、财政税收、农桑水利、财物管理以及司法、军事、宗教、外交等方面形成了各种类型的行政责任追究。其中,官吏选任的责任主要是在科举、举官、考课、磨勘等中产生的,其核心内容和特色是,科举责任追究涉及科举的全程并具有举士、举官责任的二重性,举官责任追究根本的原则或方法则是连坐同罪,考课和磨勘中降考第、展磨勘直接影响或决定官爵和职位的黜降。在以官为本和设官而治的古代社会,官吏始终居于极其重要的地位,官吏的选任既是一种具体的行政过程和类型,又是一个涉及诸多行政领域的问题；选任责任既是一种专门责任,又是一种普遍责任,因而,官吏选任责任处在行政责任追究制度的基础性地位,也是行政责任追究制度研究中的基本问题。这对进一步进行分类研究宋代的行政责任追究制度具有重要的意义,并与上述内容构成宋代行政责任追究制度研究的基本问题。更多还原

【Abstract】 Administrative obligation-imposed system in Song Dynasty, is an important content of the political and legal system history, which also is an overlapping problem in history study, political, administrative, management science research. It does not form a special realm until now, for frailty of the research on modern obligation-imposed system construction and correlation research, although there has related positive results about management of government officials and the political and legal system in Song Dynasty from 1980s.The development of administrative obligation-imposed system in Song Dynasty, which giving aboundent and regular historical materials, especially laws and politics, enable this research possible. In fact, it changed deeply and developed tremendously in Song Dynasty, such as, the responsibility and investigated was used in the administration extensively, the related laws and regulations became rich gradually, the function of "Che"(one of documents about laws in Song Dynasty) was strengthened step by step, and the method of administrative obligation-imposed system came to full development, especially basic contents and methods, which indicated a new development in Song Dynasty. Surely, it was also in the times of method replacing responsibility. Investigating responsibility of government officials was based on restraining separating powers, which was inevitable the product of the despotic centralization, and obviously different from modern system.But the ways and means of it were systematic and distinguished, forming the responsibility form and method, which was characterized by limiting body freedom and depriving or demoting officials and economic punishment as the main content. In the meantime, it shielded officials’privilege and benefits by demoting officials’duty, to guaranteeing government work regularly by combining with criminal punishment. Based on the development of administration and the laws of administration, there were many types of systems in choosing officials, finance and tax revenue, agriculture, water conservancy, property management, judicature, military affairs, religion and diplomacy, and so on. The responsibility of choosing officials were produced in imperial examinations, recommending officials, "Kao Ke" and "Mo Kan". Imperial Examinations involved in electing scholar-officials and government officials. The principle of recommending officials was implication in punishment. "Kao Ke" and "Mo Kan" influenced officials’ promotion.The method of recommending officials had relations with official promotion, it was the result of importance of officials’function. In ancient time, choosing government officials involved many fields, which was a comprehensive administrative process. The responsibility of choosing officials not only was special, but universal. So it was the foundation of administrative obligation-imposed system, also was the basic problem of research. That was an important significance in research in Song Dynasty going a step further.更多还原