【作者】 左华明；

【导师】 何德章；

【作者基本信息】 武汉大学 ， 中国古代史， 2010， 博士

【摘要】 本文通过对东晋末年和南朝刘宋前期政治史的研究和分析,以晋末和刘宋时期各种政治势力争夺权力的斗争和各政治集团的兴衰起伏为主线,力图勾勒出晋末宋初政治格局演进的基本轮廓。刘宋政治的复杂性也埋下了此后南朝政治异常复杂、混乱局面的根源,研究晋末宋初政治历史可以帮助我们更好地了解和理解整个南朝的历史。本文首先概要分析了东晋门阀政治形成的原因和门阀政治背后的皇权因素,认为东晋时期皇权力量的衰微是由于历史和现实的原因造成的。由于历史原因,东晋承西晋衰亡之局面,皇室嫡亲多在战乱中罹难,司马睿等五马渡江,实为皇室远支,原本无多少实力；西晋末年的方镇坐大,拥兵一方,东晋朝廷自始至终没有掌握强大的中央军队。这些都是造成门阀士族能长期操纵政权的重要原因。同时,东晋门阀政治背后又有着皇权的因素,先后当轴的各门阀士族能执政很大程度上是由于和皇帝的姻亲关系。淝水之战后,孝武帝年龄渐长,有了恢复皇权政治的冲动。淝水之战也使得出身次等士族的北府兵将领声望上升,门阀士族已很难指挥他们。这也为孝武帝打击门阀士族,强化皇权创造了条件。不过在东晋末年,无论司马氏还是门阀士族,都没有掌握可靠的武力,不得不倚重次等士族将领。刘裕之所以能在东晋末年迅速崛起,控制东晋政权并最终移晋鼎,关键在于他掌握了强大的军队。刘宋能一改东晋皇权式微的局面,牢牢地控制政权,压制住门阀士族,也是由于刘宋建立了东晋从来没有过的强大的中央军队。史学界历来比较注意北府兵集团在刘裕代晋建宋过程中所起的重要作用。在刘宋建立过程中,还有一部分人也起了非常重要的作用,他们就是次等士族文人集团,其代表人物是刘穆之、徐羡之、傅亮。对刘穆之等人的阶层属性史学界存在争论,本文通过对刘穆之、徐羡之、傅亮等人的祖先和他们本人的仕宦进行考察,说明他们在东晋末年是属于不得志的次等士族阶层。进入刘宋后,由于刘穆之、徐羡之等人在建立刘宋过程中立下的巨大功劳,他们子弟获得好的仕途,徐氏还结姻亲于帝室,刘、徐等家族才暂时跻身于高门士族行列。本文还对北府诸将在东晋末年的遭遇及仕途不顺的情况做了考察,探讨了他们与刘裕一同起兵反对桓玄的原因。在东晋末年仕途被阻隔的还有三吴次等士族吴兴沈氏和会稽孔氏,其中吴兴沈氏还为争取更大的政治权益而参与了孙恩起义。正是由于同样在东晋门阀政治体制下被压抑,仕途不顺,以上三个阶层,侨姓次等士族文人、北府诸将(侨姓次等士族武人)、三吴次等士族才结合在一起,以刘裕为首领推翻了以桓玄为代表的门阀士族统治。他们试图建立新的统治秩序。这三个阶层又都具有扬州这一共同的地域背景,这使他们反桓玄的斗争不自觉地带有了荆扬之争地域斗争的色彩。正因为刘裕集团具有的扬州地域特征,桓玄家族在荆州经营数十年,还有东晋以来荆扬对峙的背景,刘裕集团反对桓玄的斗争具有了荆扬之争的意味。刘裕以击败桓玄作为解决荆州问题的开始。桓玄死后,桓氏还能利用其在荆州的影响屡次作乱。以后坐镇荆州的刘毅、司马休之等人也企图利用荆州对抗刘裕。在平定反抗的同时,刘裕采取了以子弟次第居荆州和初步分割荆州的策略,将荆州置于朝廷控制之下,初步解决了荆州问题。宋文帝平定谢晦后,荆州由于北伐和内政的需要,屡分屡合。孝武帝初年刘义宣之乱使孝武帝下定决心分割荆州。此后,荆州无论做为州还是都督府的实力都比东晋末和刘宋初有较大的削弱。不过孝武帝以后,一直到梁末,荆州仍然是南朝最重要的藩镇之一。刘裕依靠三股主要的支持力量,即次等士族文人、北府的次等士族武人、三吴次等士族,取代东晋,建立刘宋。刘裕政权也注意吸纳部分门阀士族人物,但除了谢晦表现积极且受到刘裕重用外,其他大部分高门士族不过敷衍其间,甚至还出现谢混等少数反对刘裕者。刘裕建立刘宋后也主要重用支持他的次等士族。刘裕朝和少帝朝的政治架构主要是以次等士族为主建立的,这一时期门阀士族的政治地位被次等士族压制。这一政治格局可以从刘裕临死时安排的辅政大臣看出。少帝即位后,荒淫无度。徐、傅等为了维护刘宋政权,废杀少帝和庐陵王刘义真。这一举动虽然维护了刘宋统治,却是对皇权政治的极大挑战。这使新即位的文帝极为不安。门阀士族本来就对次等士族把持朝政大权不满,这次正可借机除掉次等士族徐、傅,夺回朝权。著名高门琅琊王氏兄弟王弘、王华、王昙首在诛杀徐、傅等人中起到推动作用。经过元嘉初年这场政治斗争,门阀士族暂时夺回了朝中大权。在诛杀徐、傅等人后,宋文帝积极整合朝中各种政治势力,努力使他们能够较好地合作。文帝的努力获得了一定的效果,门阀士族、宗室、次等士族暂时相安无事。元嘉朝前期相对稳定的政局使刘宋经济、文化、军事得到长足的发展,国力大增,开创了东晋南朝历史上少有的繁荣阶段,是为“元嘉之治”。元嘉十七年(440年)刘义康被出之前的政治格局是以宗室和门阀士族执掌朝政,次等士族为辅。不过政局的稳定只是暂时的,各种政治势力蓄势待发,政治面临分裂的危险。次等士族并不甘心失败。元嘉中期,次等士族依附于宰相、宗室彭城王义康,展开了两次争夺权力的斗争。第一次是刘湛事件,在这次权力斗争中,刘义康集团的核心是南阳刘湛。第二次是范晔谋反事件。这两次斗争虽然都失败了,却对刘宋和以后南朝政治产生了影响。这些事件说明了次等士族的崛起是不可避免的,他们必将在未来的政治格局中分享到自己的权力。史学界有部分学者认为门阀士族在东晋末年已经衰落。笔者以为门阀士族在东晋末年和刘宋前期的地位暂时下降,是由于次等士族的觉醒和刘宋皇权的强化,使门阀士族相对于东晋看起来衰落了。门阀士族在刘裕代晋过程中表现不积极,大部分高门敷衍而已。谢混等少数门阀士族人物因企图支持刘毅对抗刘裕还遭到诛杀。此后,高门士族对刘裕采取了观望和等待时机的态度。很多高门士族人物在此时退到地方去了。刘裕一方面对反对自己改朝换代的高门士族进行打击；另一方面,对不明确反对自己的高门士族还是不得不加以利用的。刘裕乐于见到高门士族不再干涉他改朝换代和重建皇权的态度,所以一方面任用宗室子弟为重要方镇的都督、刺史,强化皇权；同时又任命高门大族人物做这些州府的主要僚佐。这一时期由于刘裕的儿子们大都年纪尚幼,不能处理州府事务,刘裕不得不将方镇实际事务交给高门士族处理。行府州事这一职务就产生于此时。设立行府州事既是幼王出镇这一现实的需要,也是对高门士族的一种优渥和拉拢政策。本文在前人基础上对行府州事一职进行了进一步研究。刘宋政治格局在孝武帝时期发生了重大变化,寒人恩悻的崛起,雍州豪族兴起,宗室内讧加剧。东晋时期就有寒人在司马元显身边。在宋文帝时期也有个别寒人参与朝政,不过宋文帝对寒人是严格限制的,此时寒人还没成大气候。元嘉之治,刘宋出现了繁荣局面,南方广大地区得到开发和发展。南方的寒人地主也进一步兴起。新兴寒人地主、商人阶层的崛起使宋文帝时期相对稳定的政治格局面临挑战。寒人既不能在朝廷中得到重用,他们就投奔到宗室诸王那里去了。元凶刘劭叛乱弑父,他的阵营里就有很多是寒人。孝武帝虽然讨伐并击杀刘劭,但他所倚重的力量之一也是寒人。寒人在政治上的兴起对原先政治格局的冲击,意味着刘宋后期政治格局出现了裂痕,它将给刘宋后期历史和此后的南朝历史带来不稳定的因素。刘宋后期的历史和以后的南朝历史正是由于各种新兴势力集团不断加入,他们互相排挤,争权夺利,使得此后的南朝历史显得异常动荡。学界历来将寒人崛起归功于寒人在经济上的崛起。本文试图在经济原因之外再寻找其文化的原因,并探究新兴寒人的地域来源及其对地方行政区划产生的影响。在文中,笔者考察了部分重要寒人恩悻代表人物的籍贯,发现他们大多来自于当时的扬州区域之内,特别是三吴的几个郡。寒人来自三吴与任用寒人的孝武帝设置东扬州之间存在着一定的联系。在考察主要寒人代表人物的情况中,笔者注意到寒人的崛起不仅得益于寒人在经济上的兴起,他们文化素养的提高并具备了一定的行政能力也是他们能得到重用的重要原因之一。寒人文化素质的提高又是由于永嘉南渡后来自北方的大批文化高门士族定居于扬州附近和三吴地区,其中会稽又是这些文化高门们求田问舍的主要地区。在南渡后的百余年中,高门文化名士的文化活动也主要在这些地区进行。谢安、王羲之、谢灵运等人先后游玩于三吴的山水之间,进行文化活动。高门文化士族还在三吴地区招收门生。自东汉以来,门生很大程度上带有了依附人口的含义。不过不能想象这些文化名人的门生没有任何传授知识文化的内容。总之,南渡百余年来文化高门士族在三吴等地的活动,直接或间接地对当地寒人产生了巨大影响,使得寒人文化素养得到极大地提升。到刘宋中期,其中一部分寒人的文化素养使得他们具备了管理国家事务的能力,从而使寒人在政治上崛起成为可能。以上是本文的主要内容。文章对东晋末和刘宋前期政治中众多问题进行了研究,涉及许多历史事件,这些事件看似纷繁复杂,甚至是杂乱无章。本文以晋末宋初政治格局演变为主线,试图通过对东晋末年及刘宋诸位统治者面对时局,如何处理各种政治集团之间的关系,探讨他们统治兴衰成败的原因。简单言之,谁能正确分析把握各政治集团的情况,联合最有力量的几个集团,则其统治较为稳定；只是依靠其中之一个集团而忽略其它有实力的集团,他的统治就会动荡甚至无法继续,如东晋孝武帝和桓玄。统治者既要对新兴集团的出现及时把握并加以利用,也不能忽视已经成熟的集团和阶层。建立拥有广泛社会基础的政治是执政者保持稳定统治的重要条件。具体到本文研究的的晋末宋初历史,这一时期的政治格局可以用分裂-------整合-------再次出现裂痕——再平衡来简单概括,即东晋孝武帝时期的政治分裂,桓玄继续分裂,到刘裕的初步整合,宋文帝更好地整合,宋文帝后期的再次出现裂痕,新兴势力出现导致政治的动荡,最后到孝武帝时期新旧集团的再结合。晋末宋初政治就是在这些分分合合、起起伏伏中完成了东晋门阀政治到刘宋皇权政治的转型,这种政治转型背后是经济、社会发展导致的社会阶层变动在政治上的反映和影响。更多还原

【Abstract】 This thesis through the study and analysis to the politics of Liu-Song, mainly study each political force’s jockey for power and scramble for profit. The paper also study Liu Yu’s conquer to Southern-Yang and Later-Qin, explain the reason and influence of this conquer. The paper tries to sketch out the contour of Easter-Jin’s change to Liu-Song, finds the season of Southern-Dynasties confused politics.Scholars have seen the important role of Bee-Fu in the set up of Liu-Song. I find that some cultural inferior families also have important effect. Liu Muzhi, Xu xianzhi, and Fu Hang are they representative. Scholars have some different views to the three people’s social stratum. In the thesis, I examine there stratum and admit the view that they are inferior families in that time. Later because there contribution to new dynasty, there families only are look upon as first-class families. The three people and there class have not achieve government’s ambition in Easter-Jin.The thesis also examines some people’s situation in Bee-Fu, so to know the reason of there revolution with Liu-Yu together. In the reign of Eastern-Jin dynasty, the inferior families reside in the south of Yangzi-River also have not achieved government’s ambition. Wu-Xing Shen family and Kuai-Ji Kong family are the representative. Wu-Xing Shen even joined into Sun-En’s revolution for more political power. Because alike situation and same thirst to power, the three type people form an alliance. Liu-Yu is there leader. They have same region, Yang-Zhou. This make there objection to Huan Xuan coming from Jing-Zhou has region confrontation feature.The war between Liu Yu and Huan Xuan had region feature. Qiao-Guo Huan family had huge influence in Jing-Zhou. After Huan Xuan, Liu Yi and Sima Xiuzhi also tried to oppose Liu Yu depended on Jing-Zhou. Lin Yu began to dispose of Jing-Zhou question that had existed in Easter-Jin. In Liu Yilong’s time, Jing-Zhou was broken down and combined several times. In Liu Jiong’s time, Jing-Zhou was broken down forever. But in later times, Jing-Zhou also was an important place.As we have seen, Liu Yu’s success mainly came from the Second-class family’s support. They also were the main part of new dynasty. Xie Hui was the only people that supported Liu Yu in first-class family. Liu Yu arranged Xu Xianzhi, Fu Liang and Xie Hui to look after his son when he died. But the new emperor was not fit. Those three people killed that emperor and gave the emperor place to Liu Yilong. This event makes Liu Yilong dissatisfied. Those people come from first-class family want to seize power back from second-class family too. They try to persuade Liu Yilong to kill the three people. Through this event, the first-class family master power again.But the second-class family was not reconciled to give up the power. In the later years, they struggled twice. The first time they relied on Liu Yilong’s brother, Liu Yikang and try to let Liu Yikang becoming emperor. Liu Zhang coming from Nanyang was the main organizer. They failed and Liu Zhang was killed. Several years later, some people from second-class family tried to kill Liu Yilong. This time they also failed and the organizer, Fang Ye was killed.The first-class family was not positive to Liu Yu’s cause. Xie Hun even was killed since opposing Liu Yu. After this event, most first-class family people quitted from center and enter locality government. Liu Yu was glad to see this phase. After killing opposes, Liu Yu arranged his sons to master locality government. But Liu Yu’s sons were too young and can not handle affairs. So Liu Yu wanted the people from first-class to help his sons. This arranges make the locality government’s structure have important change.Another important change happen in Liu-Song was the Han-Ren’s rising. Some scholars think that the development of business was the season that Han-Ren’s rising in Liu-Song. The paper thinks that Han-Ren’s knowledge increasing was also an important reason. After West-Jin, many first-class families migrated from Luoyang to Yangzhou. These first-class family people had very high culture level. They had many culture activities in Yangzhou. These culture activities influenced many people, including Han-Ren. Han-Ren studied knowledge from first-class family people and had ability to manage government affairs.更多还原