【作者】 李玉诚；

【导师】 张富祥；

【作者基本信息】 山东大学 ， 史学理论及史学史， 2014， 博士

【摘要】 中国古代历史思想有着丰富的理论命题,并且自成体系,有着自身的理论形态、框架结构、内在逻辑。但是,中国古代的思维方式具有“一天人”、“合知行”、“同真善”、“不别主客观世界”等特征,这就使得本体、认识、实践三者的界域十分模糊,事实判断与价值判断难以明确介分,人类社会与自然界的区别不够清晰。在中国古代的思想世界中,在“天”与“物”或者“道”与“物”、“道”与“器”相对应的世界体系内,宇宙的秩序、人类社会的秩序、个体的身心秩序,三者自始至终存在着一种内在相通的机制,从而导致自然界的法则、人类社会的管理方式、个体修养的途径,三者也内在相通。这些特征深刻影响着中国古代的历史认识,并在历史思想中有着较为全面的反映。先秦时期是中国史学的童年时期,中国古代历史思想的所有核心命题,几乎在这一时期都已形成。而从现存载籍来看,先秦时期的历史思想初步形成于西周初年的历史鉴戒思潮。西周前期的统治阶层出于政治原因,以宗教性的天作为基础,初步形成了“天命—祖德—天子—保民—一姓子孙福祚永续”的宏观历史认识框架。历史认识与当时的宗教思想、国家观念、政治诉求、祖先崇拜意识互为表里,因而带有浓厚的宗教色彩、政治实用倾向、血缘种族因素。而自西周中后期至春秋末期,社会进入转型期,思想界对天人关系与民族关系的认识发生了巨大转变,深刻影响着当时的历史认识。天的宗教性含义,渐渐由至上的人格神向着至上的理性一神发展；对人的认识深入到了人性层面,渐渐发现了人性的普遍特质；对天人关系的认识不断地强化着“治乱由人”、“祸福在己”、“不怨天,不尤人”等观念,天人交通的中介也逐渐由“天子”而转变为一种恒定的“群体规范”,集中体现为“治道”。天道、人性与治道三者逐渐聚拢,初步形成了以天道、人性作为依据,以“神道设教”、“因情而治”、“作时寄政”作为内在关联机制的治道观。而此时的民族观念集中体现为“夷夏观”,伴随着夷夏交争局势的演变,少数民族对于华夏族的种族危机逐渐解除,夷夏观中的血缘种族因素渐渐消解,文化因素凸显起来,“礼乐政教”成为夷夏之辨的核心标准,夷夏观渐渐与天下观合流,“大一统的天下观”初露端倪。时人对于历史的认识也返本开新,摇摆于宗教性的天与义理的天之间,初步形成了以治道诠释历史,将治道亘贯历史、现实与未来的历史认识取向。迄至战国,社会变动加剧,以诸子为代表,以“天人不二”作为基本理论预设,借助天道、人性建构治道,以治道解读历史,将历史认识纳入了义理框架。而韩非的历史思想,既从属于这一宏观发展过程,也有自身的理论特点。韩非身处战国晚期,作为先秦法家的集大成者,他的学说取法百家,自成一家。他对历史的认识也自成系统,有着自身的认识框架、理论命题、判断取舍标准。而以往学界以“进化论”、“唯物论”作为理论依据,探究韩非的历史思想,虽然取得了丰硕的理论成果,但是韩非的“主体”地位不够突出,韩非历史思想的内在逻辑不够明晰。而以“变古论”作为研究视角,又难以全面含蕴韩非历史思想的丰富命题。因此,我们尝试将韩非作为中心,以今本《韩非子》作为文本依据,探究其历史思想内在的理论形态、逻辑框架；以诸子比较作为研究方法,系统梳理韩非历史思想的理论渊源；在思想与社会的互动模式中,探究韩非历史思想与当时社会的互动关系。韩非以“道理论”作为哲学基础,“因道全法”,将“道”转化为“理”,借助“圣人”之手将其投射为现实中的“法”。并以“圣人”与“众人”的对立不对等关系,实现了“法”与“众人”本性的合一,统合于“道理”。他以“法”吸收“术”,用“法”统摄“势”,将“法”、“术”、“势”合三为一,上合于“道”。在韩非看来,他的“法”实际上已经成为“道”与“理”的现实体现,成为贯通历史、现实与未来,综括人情、事理、物理的宇内总规则。而韩非正是以其法治学说作为直接依据,展开了全面的历史批判。韩非提出“自然之势”,以此排除了人力所不及的因素对人类社会治乱盛衰的干预。在他看来人类社会的历史是一部贯彻法治、违背法治的历史。出于对“必然之道”的追求,他没有将法治的历史起点设定在“生民之初”,而是以有史可征的尧的时代作为始点。其后,历史便遵循着“先圣创制、后圣绍述、治乱交替”的理路演进,治乱周期的长短则以“圣人”的出现作为分割点。他以“三世论”划分历史,体现出他对宏观历史进程的理论抽象水平；但他也重视“五帝—三王—五霸—当今之世”的历史分期法,这种历史分期法与治乱交替的宏观历史进程相吻合,将韩非的历史思想与诸子的历史思想纳入了公共论域当中。他对历史变动的认识,主要集中于对古今关系及历史发展方向的判断。他的古今观,以法治作为为评判标准,涉及法古、变古、反古、不变古、古今一度等方面；他对历史发展方向的判断,则以治乱交替的历史进程作为宏观框架,囊括进化、退化、循环、变化、不变等诸多方面。在法治学说框架之内,韩非对一系列重大历史问题展开了系统批判。他结合着当时的时代主题,别择古史,对德治、尚贤、禅让、革命、摄政、争霸、战争、鬼神迷信等一系列问题,进行了全面深入的批判。并且,他对历史问题的认识始终融合着对现实问题的批判、对社会理想的批判,并将其对百家学说的批判贯穿其中。在百家争鸣、相反相成、殊途同归的共生形态中,韩非的终极诉求、具体主张,无一不与诸子处于共通的论域之中。韩非围绕着专制君主、官僚集团、普通民众三个社会等级、三种社会角色,将君臣关系、君民关系、臣民关系一并纳入了法治轨道,勾画了一个“以道为舍”的“至安之世”。但是,“革命”问题在他的学说中获得了合法的解释,因此,在君国一体的等级社会中,君臣关系、君民关系由于暴力、权谋机诈等因素的影响,始终处于动态可变的状态；他所认同的理想民众,在“道理”层面具有“被统治”的必然合理性；他的法治学说对应着天下治平,代表着绝对秩序,但是,社会成员之间先天的不平等,以及由等级制度所带来的财富、智能、职业、权利、机遇等方面的后天不平等被凝固化,他并没有对统治阶层的过度膨胀作出有效的制约,对不同等级成员之间的流动也缺乏稳定有效的后天机制。因此,他的理想社会,若不是“小国寡民”形态,最终会因为法治框架内权利与义务的严重不对称,以及人口膨胀与资源分配机制的倒置而难以实现。韩非将人类社会的历史诠释为法治的历史,通过“法”而衔接在“道”上,通过“心—身—家—乡—邦—天下”的结构将个体的身心秩序、人类社会的秩序、宇宙的秩序纽结为一,安置在“道理论”的框架之内。但是,在韩非的学说中,本体、认识、实践三合一,事实判断与价值判断二合一。在这一框架内,“道”、“理”、“法”三态合一,历史认识与历史本体合二而一,“法治”既是人类社会乃至宇内万事万物的总规律,也是人类认识、实践活动的具体准则。因此,在韩非看来“法治”既是人类历史的内在理则,也是其外在规范,更是具体的历史事实。韩非的学说偏重于经验、理性,排除了鬼神迷信对人类社会的干预。但是,历史是治乱交替的过程,贯彻法治代表着天下治平,社会的动乱似乎是产生于法治框架之外的因素,带有某种不可知、人所无能为力的神秘性。他的学说中保留了天、命、数、“自然”等范畴,这就使得他的法治学说的有效性禁锢在“道理论”的框架之内,这一点韩非并未作出进一步的解释。更多还原

【Abstract】 The historical thought in ancient China has its own theoretical proposition, theoretical form, frame structure and internal logic. But the mode of thinking in ancient China also has its own features, the distinction of ontology, epistemology and praxis is so vague; the divide between fact judgment and value judgment is not clear; the boundary between objective world and subjective world is not obvious. So the world outlook in ancient China such as "Tian(天)versus Wu(物)”,‘’Dao(道)versus Wu(物)”or"Dao versus Qi(器)”,also has the same characteristic like the mode of thinking. In ancient China there always has some communication way among the universe, society and individual. All these things have a profound impact on the historical thought in ancient China.The origin of historical thought in the pre-Qin Period is pretty early, but the comparative mature thought originates from the historical warning thought(历史鉴戒)in the early Western Zhou Dynasty. Since then the rulers constructed a macroscopical framework like "Tian-Merit of the ancestors-Emperor-protecting the populace-maintaining the benefit for one family’s descendants", based on the religious Tian. So that the historical thought has a tight relationship with the religious thought, the concept of state, the political aspirations, and the ancestor worship consciousness. And between the late Western Zhou Dynasty and the late Spring and Autumn Period, many great ideologists developed a new social administration theory based on philosophical Tian and human nature by the social transformation. The religious Tian has transformed from a personal god to a supreme rational god. The scholars also have found the general characteristics of human nature. The social development has been interpreted as the history of human being, one person’s destiny is totally decided by itself, human being as a community should hold their own destiny, and the emperor’s status has been instead by the political regulation in the interaction way between Tian and human being. Ruling populace by god, human nature and science has become a general political system. And the national concept also has transformed from a racial concept to a cultural concept by the military threat declining between the minority race and Huaxia(华夏)group. One world one culture and one world one administrative system have become a consensus. In this time, the historical thought is regulated by the religious Tian and philosophical Tian. Up to the Warring States Period, a lot of scholars continue to developing the social administration theory originated from the Spring and Autumn Period, and have made the historical thought into a mature philosophical system. Han Fei’s historical thought is a part of this historical developing process, and also has its own theoretical characteristics.The great ideologist named Han Fei lived in late Warring States Period, who is one of the greatest representative figures of the Legalists in the pre-Qin period. His understanding of history also grouped into a system, has its own understanding perspectives, theoretical propositions, judging and selection criteria. So we try to put Han Fei in the central position, explore the theoretical morphology and internal logic of his historical thought. There were three research methods about Han Fei’s historical thought in the past one hundred years, the fist two using evolutionism and materialism as the theoretical foundation, and the third putting Han Fei’s historical thought into historical changing theory. We might see the theoretical level of Han Fei’s historical thought by evolutionism and materialism, but Han Fei’s subjective stature was instead of by the theories. And through the historical changing theory, we can not see the full view of Han Fei’s historical thought. Therefore, we convert perspective, try to research the theoretical morphology of Han Fei’s historical thought under the grounds of the development trend of historical thought in the pre-Qin Period, the relationships among the scholars in the pre-Qin Period, the interaction between thought and society.Han Fei’s law theory based on human nature, takes Dao and Li(理) as the philosophical foundation. And in Han Fei’s mind, the law is the Li of society, so the law and human nature are connected by Li in metaphysic field, and the sages ruling common people by law in society becomes the people’s Daoli(道理), and then the law and human nature become a unitary paradigm. In his law theory the conspiratorial tactics and power also have been controlled by the law and Dao. So in Han Fei’s mind, his law theory has become a general rule including the universe, human nature, society, history, contemporary era, future and etc. His historical thought just was constructed on his law theory.Han Fei excluded uncontrollable factors from the historical movement through the power named Ziran(自然). His historical thought based on his law theory, and the total history is the history of ruling by law. The historical beginning is settled on the era of Yao(尧) but not the beginning of human being. After the era of Yao, the development of history has been included into the process like "the sages creating the civilization-the inherited sages interpreting the historical achievements-social development transforming between order and disorder". He used the trichotomy to divide the historical stage, and also approved on the general method like "Five Emperors Period-Three Kings Period-Five Hegemons Period-Contemporary era". The former represents Han Fei’s theoretical mind of historical development, and the latter makes Han Fei’s thought into a common field with another scholars in the pre-Qin Period. The relationship between history and contemporary era in his law theory includes diverse aspects, and the historical development direction appears to different dimensions in the historical process which is alternating between order and disorder.There is a direct relationship between the authenticity of the history and the authority among different doctrines, so nearly every scholar in the Warring States Period who has to interpret the history through their own theories. Therefore Han Fei also criticized many problems such as ruling by morality, assigning the efficiency man to the social administrative posts, making the king give the highest power to a great man, overturning the corrupt dynasty, holding the political power temporarily by a great man, fighting for the hegemony among different kingdoms, lasting war among different kingdoms, worshiping ghosts and gods and etc. His attitude towards the historical problems has a tight relationship with his criticizing on social problems, social ideals and another scholars’doctrines. So generally they all have a series of problems about social administration and also have reached some consensus through the argument process.In Han Fei’s law theory, the ideal society includes three social roles, social hierarchies, and the relationship among monarch, bureaucrat and populace also has been arranged into his law system. But the revolution problem has got a legal position in his theory, and the populace has to be ruled by the monarch and bureaucrat, and living in his ideal society the congenital and acquired inequality has been decided by the law, there is no transforming mechanism among different hierarchies in the peacetime. So that the right and obligation for the lowest hierarchy are so tortile, they have to afford heavy obligation but nearly have no right, and the distribution mechanism along with the population growth also has been decided. Therefore Han Fei’s ideal society just is a utopia.We followed three frame structures such as "Dao-law-history","history-contemporary era-future" and "monarch-bureaucrat-populace" to research Han Fei’s historical thought. And based on his law theory, every social role, social hierarchy got its own position appropriately, and the body order, social order and universe order have been gotten together through the structure of "heart-body-family-substratum administrative unit-kingdom-the whole world"In Han Fei’s doctrine, ontology, epistemology and praxis, fact or value judgment are mixed together, so Dao, Li and the law, historical cognition and historical ontology also have been banded together. The law is the general and particular rule of everything, and also is the inside and outside rule of everything. So in Han Fei’s mind, the history of human being is a history of ruling by law. He has got rid of the influence of god and ghosts, but reserved Tian, destiny, fate and Ziran, so the availability of his law is just appropriate for Dao Li theory. Therfore the disorder part of human being’s history maybe come from some unreasonable, mysterious factor.更多还原