【作者】 陈明明；

【导师】 陈峰；

【作者基本信息】 西北大学 ， 中国古代史， 2011， 硕士

【摘要】 作为中国古代社会历史上中央集权发展、成熟的时期,北宋对其地方行政体系的设计也颇具特色。对县进行等级划分时,在继承、发展前代以户口为依据划等方式的基础上,日常行政中还另有一套综合政治、军事诸因素的划等方式实际行用,且后者作为非正式的存在可以迅速的因应现实环境的变化而作出调整,而县行政组织的人员组成则被大力精简,没有了前代“四等官制”下的众多官员,在编制上实现了“小县”的概念。透过府际关系(intergovernmental relation,即政府间关系)的视角,可以看到北宋的县在府际的制度方面承担着信息收集、上传,行政执行的职任,但因中央以及地方的中、高层行政组织皆有诸多手段可以影响县官的身家前途,故而其真实用心的职任却绝不在书面的华美辞藻堆积的虚假图景,而在逢迎上级、在自身前程所需的经营。同时进而为自身利益而侵夺县之资源,有时甚至形成县之职责虽在,却无相应资源的局面。为了自身利益,也为了能贯彻对上级政令的执行,县级行政组织虽然缺乏相应的合法手段,却也不得不与其上级展开博弈,为了资源的争夺,各种手段层出不穷,但县所倚仗为根本法宝的仍是作为最基层政权,县对于信息作出的有利于自己的歪曲,甚至将相关信息垄断,不让上级所知,同时因为县级行政组织处在最基层,最接近信息源,利用信息的不对称性也可衍生出其本不拥有的权力——即形成非制度化分权。而在府际关系的人际交往方面,县级行政组织对上讲求殷勤、恭敬,但亦不乏县官敢于拒绝上级的无理要求。同僚之间虽然倡导和为贵,当官员间不合的时候因为彼此间都无黜陟之权,往往是较强者借非正式权威主导；诸县之间因缺乏有效的沟通渠道与制度规范,其地理、行政联系更是常见以邻为壑的现象。而对胥吏与地方精英,各县一边需要借助其力量进行统治,贯彻政令,一方面又不得不加以防范,以免强弱易势,出现类似“吏强官弱”的局面。归根结底,封建时代地方行政体系的府际关系严重受制于“官大一级压死人”的层级制规则,虽然也有下级为了自身利益而与上级博弈的状况,但是中央集权下的压力顺着层级不断向下强化才是主流,最终造就的仍是府际关系的恶化,地方社会的黑暗,百姓的苦难。更多还原

【Abstract】 In the history of Chinese feudal society, Northern Song Dynasty (NSD) belongs to a period when centralization was developed and matured. The design of the local administration system during that period was distinctive. When they divided countries into different classes, they not only inherited and developed methods from the previous generation based on the population but also created a new method integrating more factors which were used in daily administrative activities, such as politic military and economy etc. The new system was an informal system, which can quickly response to the realistic situation changes and take adjustment. This shows that the administrative activities were rather flexible and practical. County’s administration system was streamlined, without any positions that were equivalent to or lower than the "Si Deng Guan Zhi" defined by the previous generation. The concept of "small country" was realized.From the viewpoint of intergovernmental relation, it seemed that the counties in NSD as part of the regime undertook duties such as information gathering、submission and execution. But their real intentions weren’t lying in the illusive vision described by the rhetoric, but ingratiating themselves with superiors and ambition of the future career. At the same time, county administration was at the most grassroots level. As a result, it could get extra power which we call it as non-institutional decentralization from the asymmetry of the information. On the other hand, the central and local higher-level administration had many methods to control the county administration, even took away the resources from the county like robbers. For their own interests, and also for implementing the orders from the superiors, the county administration had to struggle with their superiors for the resources even though they were lacking of corresponding legal methods. In general, the greatest advantage of the counties as the grassroots that can be used for struggling with superiors and the non-institutionalized decentralization came from the distortion, monopolization, and concealment of the information.From the viewpoint of the interpersonal interactions between the county administration and other functional bodies of the government, it played very different roles. The county administration usually shown complaisant respect to the superiors, but it was possible that the magistrates would disobey authority of their superiors due to unreasonable demands. Even though harmonious relationships had been officially advocated between the colleagues, they still struggled with others when they couldn’t get along well with each other. They couldn’t promote and demote among themselves, however, always the ones who had informal authority would surpass in such factions. The counties lacked effective communication between each other. As a result, they tended to shift their own geographical and administrative troubles onto their neighbors. As for local elites and unofficial authorities, on the one hand, county administration needed their forces to govern the local society, but on the other hand the administration by all means wanted to contain the forces so that the unofficial couldn’t take over the real power and be stronger than the government.In the final analysis, in the Chinese feudal society, the intergovernmental relation of the local administration system was seriously subject to the hierarchical rules. The counties might fight with their superiors for their own interests, but in general the pressure of the centralization strengthened along the descending of the hierarchical levels, resulting in the darkness of the local societies and the suffering of the civilians.更多还原