【作者】 赵莹波；

【导师】 高荣盛；

【作者基本信息】 南京大学 ， 中国古代史， 2012， 博士

【副题名】以在日宋商为中心

【摘要】 十世纪前半叶,是东亚的动乱期。在中国,唐朝灭亡、五代十国分裂。到十世纪后半叶,宋朝平定十国,在广州、明州、杭州设立市舶司。这是负责管理外国海商和宋朝商人出入国手续以及征税事务的机构。在日本,虽然没有实现王朝的交替,但也迎来了律令制统治管理的大转变,对海外客商采取更为严格的检查制度。宋商们就是在这个时期登上两国的历史舞台。本文拟对两宋的“在日宋商”作一总体考察,探明这一民间群体在宋日贸易交流中具有的政治、经济地位和在文化传播中所充当的角色以及历史作用。全文共分八章,导论部分首先回顾中日两国关系的政治、经济发展进程,评述中日学者的研究成果及其现状。其次阐述了本课题的研究目的、研究方法以及创新之处。第一章和第二章对宋日两国海外贸易管理制度进行分析和对比。在中日学者研究成果的基础上,全面系统地介绍宋代的“禁榷”、“抽解”和“和买”等市舶司制度,分析其设立的背景、功能、法规以及执行情况；细致地考证日本海关对宋朝商船的“存问”、“阵定”、“廻却”和“和市”等检查制度以及日本建立这些制度的历史背景。研究并探讨日本“延喜”年间所制定的一系列有关海外贸易禁令,这些近乎“锁国”的禁令对日本以后的对外关系和宋日贸易都将产生重大影响,并具有深远的历史意义。第三章主要探讨宋日贸易及其海上交通情况。对两国史料进行分析和实证研究,对两国贸易港口,贸易线路,航海时间和商船建造等情况进行对比并做进一步地研究和说明。第四章“宋日贸易与平氏”章节。揭示日本太政大臣平盛清如何治理濑户内海,修建大轮田泊港口,扩大与南宋的贸易往来,为日本开创一条开国之路。第五章主要研究“在日宋商的贸易活动及其与当地社会”的问题。结合中日学者的研究成果和大量出土文物,揭示了宋商“纲首”们在日本贸易的实际状况；探讨“在日宋商”在贸易中所使用的“语言”、“唐货”、“倭货”、“货币”、“贸易冲突”以及“联姻”情况。北宋时期“砂金”已变成两国贸易中的通用货币,后来,宋朝“铜钱”取代“砂金”成为当时宋日贸易的国际货币,日本已经被完全纳入宋朝的金融体系。在这一章里还将探讨“在日宋商”们从北宋时期宾馆式的“封闭贸易”演变为南宋时期自建“唐房”的“住番贸易”过程和原因。这一进程可视为日本海外贸易政策逐渐从“锁国”脱离出来的一种标志,因而,这也显示了“在日宋商”们对当地经济的融入和影响,更显示了南北宋“在日宋商”经营实态的不同。第六章主要研究“宋商的政治作用——为多国政府传递国书”的问题。研究对比唐宋时期两国僧人和宋商所使用“公凭”、“公检”、“官符”和“国牒”、“国书”的情况,并探讨“在日宋商”们除经济功能之外的政治功能。通过对日本入唐僧元珍的“大宰府公检”和他在唐境内所使用的“福州牒”、“温州牒”、“台州牒”进行对比,以及对宋商李充的“提举两浙路市舶司公凭”和日本入宋僧嘉因的“太政官符”进行对比研究,揭示宋日两国在当时没有正式外交关系的情况下是如何发放通行证“公凭(检)”?“在日宋商”又是如何接受通关检查?另外,还研究解析了北宋初期日本官方“派遣僧”和“偷渡僧”产生的原因,这种现象到了南宋时期为什么又慢慢消失了?“在日宋商”们经商之余,时常作为两国政府的外交使者互相传递国书和政治信号,本章对此也作了较深入的分析,并全面细致考证了北宋初期宋商连续传递国书和北宋末期宋商传递国书现象的始末及其原因。到了南宋,这种通过宋商传递国书的现象也慢慢消失了,这和南宋时期日本经过平清盛暂短的“开国”改革,政策有所变化是相吻合的。另外,宋日两国(间或兼及高丽)文书对年号的书写大致有5种方式,其中“年号殊、日月同”和“采用对方国号、日月同”的现象较为常见。而高丽国在递交给日本国书以及宋朝市舶司公凭上则出现过“双年号、日月同”的现象。在个人之间来往的文书中也出现过不标注年号的现象。而日本对来自宋朝的国书和宋商文书不注明年号的现象往往表示不满和关注。此外,在高丽国书和宋朝市舶司“公凭”中曾出现同时标注两个国家年号的现象,这是本着双方对等的原则,还是日本单方面主动要求的结果,这将是今后继续研究的一个课题。本章还探讨了宋朝在两国没有外交关系下,如何极力拉近和日本的距离,试图把日本纳入自己的贸易体系,即像唐朝那样,先使其进行朝贡,然后再对其进行册封,最后建立起由宋朝主导的东亚华夷秩序。而日本则又如何极力回避和宋朝建立正式国家关系,坚守自己孤立、封闭的外交立场。“在日宋商”们不仅为两国的政治经济作出了贡献,而且还传播了中华文明,其过程壮丽而又艰辛,其贡献伟大而又卓绝。第七章是为“在日宋商”立传。将重点介绍中日两国史书中出现的杰出“在日宋商”,他们是整个宋商群体的代表和缩影。第八章对中日史料中所出现的几处疑点进行质疑和解析。在疑点一“宋日贸易中宋商易名探析”的问题上,通过考证、研究史料发现,宋商们在当时日本严格的入国检查体制下,时常采取易名的方法以达到回避“年纪制”制约的目的,这也是笔者在调查考证中日两国史料中的一个新发现。在疑点二中,通过对“日本史书中李充‘公凭’中出现的漏记”这一问题的实地考察、取证和对比,发现日本史料《朝野群载》所收录的宋商李充“提举两浙市舶司的公凭”与实际真实的“李充公凭”(见附图)有很大的误差,对此也予以了纠正和说明。在对疑点三“诚寻究竟是坐谁的船渡宋的”的问题考证时,发现宋商纲首并不是每次都要亲自随船出海,有时会委托别人代劳。结论部分指出,北宋商人大多是开展“封闭贸易”,活动范围受到极大地限制,由于受到日本延喜年禁令的影响,宋商们常常面临被“廻却”遣返的危险。而且两国政府也会利用宋商的经济活动来达到其政治目的,让他们担任国家信使或者国使,借用他们的商船馈赠对方礼物。这个时期北宋商人的贸易又可以看做是“定点贸易”。南宋商人已经从宾馆的“封闭贸易”变成了自建“唐房”的“住番贸易”,大商人纲首们和当地上层权贵关系密切,他们在日本娶妻生子,那些在“唐房”长大的二代、三代混血“在日宋商”也已经登上两国的历史舞台,而且,其主要贸易方式也变成了和当地大神社、大寺庙的贸易,可以说此时“在日宋商”们已经全面地渗入了日本社会各个角落。这个时期可以说是“住番贸易”。“在日宋商”不仅为“宋日贸易”做出了不可磨灭的贡献,开辟了一条海上贸易之路,一条东方海上“丝绸之路”；还为宋日两国携带国书甚至为高丽国携带国书,为两国的政治接触和交往发挥了巨大作用。宋商们为中华文明和中华思想的传播做出了卓越贡献,他们是中华文明的移动载体,是中华文明圈的建设者和实践者。更多还原

【Abstract】 During the early period of the10th century, the East Asia was experiencing turbulence. In China, the Tang Dynasty came to an end, replaced by the Five Dynasties and Ten Kingdoms. Until the late period of the10th century, the Song Dynasty pacified the Ten Kingdoms and set up Shibosi (Bureau for Foreign Shipping) in Guangzhou, Ming Zhou and Hangzhou. Shibosi was an government institution which managed seaway inbound procedure(including taxation) for foreign merchants and immigration procedure for domestic merchants of Song Dynasty. Although Japan hadn’t realized the alternation of dynasties, but still, it experienced the transformation of governance under the statues system, including taking severer censorship aim at the overseas merchants. It was at that very time the merchants of Song dynasties appeared on the scene of the two countries’history. The article studied the general situation of the merchants of Song dynasty in Japan and looked deep into this group of people and found out their role and historical impact on China-Japan trade communication.The article is divided into eight parts. The introduction is a brief review of the process of politics and economics development between China and Japan and it also comments on the research results of the scholars in China and Japan as well as their weaknesses. Then it is about the aim and method of this study.The first two chapters compared the two countries’marine trade management system. Based on the research findings of Chinese and Japanese scholars, this chapter comprehensively and systemically introduced the Shibosi regime including the background, function, rules and implementation of "jinque","choujie" and "hemai" in Song Dynasty as well as the regimes named as "cunwen (materials to be checked when you enter a country)" and "age limit system" which Japanese customs used for Chinese business boats. It also approached a series of prohibition on marine trade during "yanxi" years which later had a very significant impact on trade between China and Japan in Song Dynasty as well as profound and lasting historical meanings.The third chapter mainly discussed about the seaborne transportation between China and Japan. It was done by inspecting the historical materials and demonstrations, studying the trade ports of two countries, the trade routes, navigation time and the construction of the boats.The fourth chapter revealed the evidence about merchants’trade activities in Japan. Combining the research achievements done by both Chinese and Japanese scholars as well as a large amount of unearth relics, it revealed the actual situations of Song merchants’leaders. It discussed the merchants’ language,"tanghuo"(products from china),"wohuo"(products from Japan),"huobi"(currency),"maoyichongtu"(trade conflicts) and "lianying"(connection through marriages) while trading in Japan. In the Northern Song period of time,"shajin" has already become the common-use currency which later was replaced by "tongqian"(copper cash). Japan was completely brought into the financial system of Song Dynasty. At first, it was "hotel trade" and then it turned into "stay in Japan to do business". It symbolized Japan’s transformation of foreign trade policies. In addition, it also well demonstrated Song businessmen’s involvement and influence on local economies. What’s more, it showed the differences of business module between South Song and North Song. Besides the trade, Song businessmen also served as two countries’ diplomatic envoys to send state documents and political signals. This article deeply analyzed about this and pointed out the fact that Song dynasty want to close its relationship with Japan and tried to pull Japan into its trade system. Just like the Tong dynasty, first paid tribute to the imperial and then confer its noble title and finally built up an East Asia order ruled by Song dynasty. On the other hand, Japan avoided to do so and was stick to its isolated diplomatic standing. Song businessmen not only made contributions to two countries’economy and politics but also spread Chinese splendid culture. It was an arduous and great process and its contribution was profound.The fifth chapter mainly tells us the comparison between the two countries of the Tang and Song Dynasties monks and Song by using the "gongpin"(public virtue),"gongjian"(public prosecutor),"guanfu"(official symbol), and "guodie"(dispatch),"guoshu"(credentials), and discussed the features of economic and political function of "Song merchants in Japan". Of Japan into the monk Yuan Zhen’s "Dazaifu public inspection," as well as in the Tang territory by using "Fuzhou, Wenzhou and Taizhou official dispatch," and the Song Dynasty businessman Li chong charge of "public virtue", comparing Japanese "taizheng official dispatch, reveals how did Song China and Japan deliver the pass "to the public by (check) in the condition of without formal diplomatic relations. In addition, it also studied early Northern Song Dynasty, the Japanese official to send monks to smuggle Monk causes of this phenomenon. And why they gradually disappear in Southern Song Dynasty? During the Southern Song Dynasty,"Song merchants in Japan" not only do business, often as a diplomatic emissary of the two governments with each other to pass the credentials and the political signal. This chapter has also made a profound analysis, and detailed and thorough research of the early Northern Song Dynasty’s passing credentials and the causes and the Northern Song Dynasty late Song providers pass credentials events. However, to the Southern Song, this just gradually disappeared. This also fits the changing of policy of Pingqingshen years. This chapter also discusses how they narrowed the distance, when there was no diplomatic relations between the two countries. And tried to put Japan into their own trading system, like the Tang Dynasty, first make the tribute, and then canonized their last Hua Yi order to establish dominated by the Song Dynasty East Asia. How Japan tried to avoid establishment of formal relations with Song, stick to itself isolated, closed diplomatic position. Song merchants in Japan not only contributed to the two countries’ politic and economics, but also spread the Chinese civilization. The process was magnificent and arduous; its contribution was great and extraordinary.The sixth chapter is based on the analysis and study of the Southern Song Dynasty. How did Ping Sheng Qing, government minister of Japan govern the Seto Inland Sea, the construction of a large round of Tian parked port to expand trade with the Southern Song Dynasty, and realized the dream.The seventh chapter is a biography of "Song merchants in Japan". Highlighted the outstanding "Song merchants in Japan", according to the two countries history books.They are representative and epitome of the whole business groups in Song.The eighth chapter analyzed some doubts in the historical materials. On the question whether "ZhongSun and JiSun is the same person?" we can see that some Song businessmen changed their names to avoid the restrains of "age limit system" and that is a new discovery I got from investigating the historical materials. Besides, on the question of "whose boat had XunChen took to steal into Song", I found out that the captains would not set sail by himself every time. Sometimes they would ask some else to do it. Finally, by on the spot investigation and taking evidence, I found out that the Song businessmen ChongLi in Japanese historical materials are different from the real "GongPing,ChongLi " and I corrected it.The solution pointed out that Northern Song merchants were inclined to do "closed trade" and they were poor at Japanese and they often served as the messengers and envoys of the country to bring presents and state documents to Song’s emperor. The government of Song made use of Song businessmen’s economic activities to achieve its political purposes. The trade of North Song businessmen in this period can also be seen as "fixed point trade" and "half-official trade"However, the South Song businessmen have already transformed into "stay in Japan to do the business". The leaders and big businessmen were close to local upper class dignitaries. Those half-blood second and third generations of Song businessmen grown up in Chinatown and got on the historical stage of China and Japan. Also, the major trade was about the trade with local big shrines and temples. We can say that Song businessmen of that time have entirely integrated into all corners of Japan’s society. This time can also be seen as "group trade" which means the commerce between big South Song businessmen, captains and temples.Merchants of Song Dynasty in Japan not only did great contribution to China-Japan trade, developed a seaborne trade route, a Eastern seaborne Silk Road, but also made great contribution to the political contact and exchanges of the two countries, even as Korea country to the northeast Mariana into the Song Dynasty dominated the political map to make a significantly contribution. Song merchants are also outstanding at making contributions to the spread of Chinese civilization and Chinese thoughts, they are a mobile carrier of the Chinese civilization as well as Chinese civilization circle builders and practitioners.更多还原