【作者】 韩瑞军；

【导师】 刘秋根；

【作者基本信息】 河北大学 ， 中国古代史， 2008， 博士

【摘要】 宋代是中国封建社会承前启后、继往开来的转折时期,其物质文明和精神文明达到了前所未有的高度,对后世产生了巨大而深远的影响。但宋代的社会问题也很突出,官员经济犯罪的屡禁不止便是其中之一。官员经济犯罪是指政府官员利用职权,以谋取不正当经济利益为目的,在其行使社会管理职能和参与经济活动中实施的违反法律规定,侵害社会经济关系,破坏经济秩序,依法应受到处罚的犯罪行为。官员经济犯罪对国家政权有着很大的危害性,能否对其进行有效预防和惩治,直接关系到国家的兴衰存亡。宋代官员经济犯罪涉及范围广、参与人员多、社会危害大。本文全面考察了宋代官员经济犯罪的各种类型,将其分属两个领域进行研究,分别是公共管理中的官员经济犯罪和经济运行中的官员经济犯罪。公共管理中的经济犯罪包括贪污贿赂、假公济私、额外征敛等；经济运行中的经济犯罪主要是非法经商、强买强卖、偷逃税款、金融犯罪等。宋代统治者对官员经济犯罪采取了积极的应对措施,制定了严密的防范机制。在制度建设上,一是注重完善法制建设,使得打击经济犯罪有法可依；二是加大监察力度,通过健全监察机构、完善监察措施等举措,对官员经济犯罪起到积极的预防作用；三是加强财政监审,形成了一套从中央到地方的多层次、多渠道的财政监督系统,减少国有财产被侵犯的机率；四是通过加强考核制度,鞭策和激励各级官员廉洁奉公,恪尽职守；五是进一步完善任官回避制度,防止官员徇私枉法、谋取不正当经济利益。宋政府注重廉政建设,通过严格选拔、官箴教育、法律考试等措施提高官员的素质,通过社会舆论等加强对官员的监督,通过增加俸禄、致仕优待等优抚政策调动官员为官行政的积极性。还特别注重对赃罪多发领域和重点群体的防范,增强了防范的针对性。本文对宋代官员经济犯罪的惩治方式及实践进行了分析研究,宋代在吸收前代经验教训的基础上,使惩治措施更加完善,但由于封建制度本身难以克服的局限性,这一机制没有得到有效地运转,而是经历了由严而宽、由重而轻的变化曲线,使得打击和防范官员经济犯罪的实际成效大打折扣。宋代对官员经济犯罪的防治既有成效,也有不足。本文对宋代官员经济犯罪及其防治进行研究和总结,对当今防范和惩治官员经济犯罪也将有所裨益。更多还原

【Abstract】 During the time of Song Dynasty material civilization and cultural progress had arrived at a higher level than before. This highly developed civilization had a profound influence on later dynasties and was responsible for a major turning point in Chinese feudal society. Nonetheless, a social problem such as official economic crime was obvious-wide-spread in the Song dynasty. Ancient official economic crime was a commonplace social phenomenon in feudalistic autocratic politics, which means that officer’s broke the laws and regulations in order to give themselves and others economic benefits. This in turn made inroads into the social economy and destroyed the economic order. These officers were responsible for managing and supervised the economic activities of the state. Their crimes deserved severe penalties. Official crime was closely associated with the government, and it seriously damaged the state political power. The extent of official economic crime and the prevention and punishment of the economic crime determines the rise or fall of a country.This crime was never stopping. It was extensive and involved many people and damaged the society to the core. Facing the wave of official economic crime, the governors including Taizu and Taizong initiated a well-organized system to punish the officers who perverted justice for a bribe. The preventive and punitive measures had decreased the official crime which relieved the social disruption and increase productivity. Although the effect of the measure did not meet the governor’s original intention, it did control the crime for a certain term and to certain degree. So, to study and analyze the official economic crime and preventive mechanism of the Song dynasty is not only helpful to better understand how the Song dynasty declined from prosperity to ruin, but may also be helpful to prevent and punish the official economic crime in our own times.In this dissertation, the official economic crimes of Song dynasty is classified into two fields:public management and economic operation. The public management section deals with corruption, stealing, use of public office for private gain and extra taxation; in the economic operation deals with illegal business, enforced buying and selling, evading paying taxes and financial crimes.The governors had active measures and made the institutional construction of the preventative mechanism from the official economic crime of Song dynasty. Firstly, paying attention to make legal system so that there would be laws to follow when punishing the economic crimes; secondly, preventing the economic crimes through the setting up supervising organizations and strict selection and use of the supervising officers; thirdly, protecting national resources from encroachment, strengthening financial audit by a system with many grade from central to basic level; fourthly, encouraging officers to be honest and do their duty by enforcement examination institution; fifthly, constructing the perfect avoiding system for preventing officers abusing the law and practice favoritism.For the construction of a clean politics, Song government raised qualification requirements of all officials by implementing Guanzhen education system and legal examinations. The Song government also sought to supervise officials strictly by instituting better evaluation schemes and social public opinion; inspired officers with enthusiasm to work hard through the use of rewards and punishment, increasing salary (Fenglu) and Zhishi, and so on. Besides, the Song government paid more attention to incidental departments and focal groups and had a good effect.In this dissertation, the penal procedures and practice to eliminate official economic crimes are discussed. The Song government used three kinds of penalties based on the experience of former dynasties. The mechanism was not coherent and due to the limitation of the feudal institution itself. Some changes, from strict to lenient, from severe to relaxed, that reduced the positive effect of the punishment meted out to officials who committed economic crime.Both the successes and deficiencies we can find in the measures to prevent and punish the official economic crime of Song dynasty, and the main experiences are discussed. Some useful suggestions are presented for the government in present times.更多还原