【作者】 王来特；

【导师】 韩东育；

【作者基本信息】 东北师范大学 ， 专门史， 2014， 博士

【摘要】 在近世亦即14世纪70年代至18世纪中期，中国与日本的贸易交涉模式经历了从“朝贡-勘合”贸易体制的建立到解体，以至重构为“往市贸易”的变动过程。通过考察这一过程和在此过程中引发出的政治性问题，分析中日两国间的贸易交涉与各自的国内经济、政治状况之关联，可以从一个侧面勾勒出近世东亚区域秩序变迁的历史轨迹及结构性特征。第一章：说明研究对象和问题意识的设定之原因，在对先行研究进行学术史回顾的基础上，阐明论文的基本构思框架、研究方法和研究意义。第二章：在概括明朝洪武时期对外政策基调的基础上考察这一阶段中日在政治外交方面的交涉。指出：明朝之所以对日本使团不断“却贡”以及最后决定中断与其往来，并非是因为明太祖对外观念和政策的僵硬，而是因为该时期日本内部政权分立，明朝面临的交涉对象流动且不确定。明太祖的对日交涉决策，实际上为日本由分立走向统一提供了良性的国际条件。第三章：探究从15世纪初到16世纪中期明朝和日本维系朝贡-勘合贸易体制的基础及在此过程中遭遇的问题和矛盾。分析双方解决问题的方法，以及未能化解矛盾的原因。着重考察大量铜钱由中国流向日本这一现象，以及由此导致的中国国内铜钱紧缺的状况。同时分析日本决策层和知识精英对朝贡-勘合贸易的不满，及其从中表达出的“神国思想”。第四章：分析丰臣秀吉侵略朝鲜的动机和目的，探究他向明朝提出重开勘合贸易的政治含义，并在此基础上考察德川初期幕府对丰臣所构想的日本型区域霸权之继承与调整。第五章：考察德川初期日本对中国交涉政策变动的区域背景，并分析其变动的原因。指出：明王朝构建并推行的以朝贡贸易为特征的区域政治经济秩序带动了东亚海域的商贸发展和多种政治势力的兴起，在该区域促生了一个多极化的交易网络和贸易体系，其结果导致明朝对外部的依存度升高，中心性主导地位动摇。而17世纪初统一日本的德川幕府依据内部的有利条件应对外部局势的变动，在纷乱的国际环境中占据了一定的优势位置，在经济上亦不再过多依赖中国的朝贡贸易体制。第六章：考察清朝中国和德川日本之间“往市”贸易模式的成立和展开的过程，以及双方国家权力的政治介入和政策调控。指出：清朝政府因需要日本的铜料默认其脱离中国主导的朝贡体制，而德川幕府则通过设置和修改贸易规则以及对输出品种类和数量进行调控，改变了输出品的结构，掌握了对清贸易的主导权，为其在东亚构建日本型区域秩序提供了经济基础。第七章：考察1715年德川幕府制定及实行正德新例和信牌制度的过程，以及清朝官方对日本信牌事件的处理。指出：德川幕府的对中国交涉模式是将政治权威附着于贸易事务，其原则是坚持幕府推行的政治经济秩序，其具体的操作策略则是对内对外作出双重的解释。而康熙帝的对日交涉策略则以解决经济问题为首要前提，并未囿于传统的华夷秩序规则，但同时在本国内部对这种行为给出了一个与传统意识形态没有冲突的解释。第八章：考察清代出海赴日的“唐船商人”群体在海域贸易活动中的位置、处境和作用。指出：“唐船商人”是清朝对日贸易及对外贸易体系最底层和最前沿的人群，在广袤的东亚海域上扮演着联结者的重要角色，他们不但要承担风险，还要在国家权力的挤压间挣扎求生。然而这一值得同情的弱势群体，他们在历史上的正向作用往往被忽视，负向作用却容易被无限放大，重新对其进行公正的评价是十分有必要的。第九章：考察清朝统治层围绕对外贸易中的政治问题的讨论，分析政治性议题波及到思想领域后所引发的思想性争论，探究争论之所以未能产生出思想性成果的原因。同时简要考察德川幕府在政治经济层面推行的“脱中国”化方针如何促使日本知识界在学术和道统方面的自立意识变得高涨，从而导致日本民族主义意识的强化。结语：总结近世中国与日本从朝贡-勘合贸易体制到“往市”型贸易模式的转换过程，概括两国贸易与政治交涉的结构性特点，并提出今后研究的课题。更多还原

【Abstract】 This dissertation intends to take China-Japan trade in the Early modern period（1370s to themid-18thcentury）as a study object. I will put emphasis on the processes of founding, developing,deconstructing and reconstructing of the China-Japan trade system during this period，as well aspolitical issues which arose from these processes. Through analyzing the correlation betweenChina-Japan trade and their domestic political-economic status，I attempt to outline the historicpath and the structural feature of the regional order in Early modern East Asia.In Chapter1， I illustrate my study object and the reasons for setting the awareness ofthe issues，and set forth the framework，methods and purpose of this dissertation afterreviewing prior studies.In Chapter2， I review the diplomatic contacts between China and Japan duringHongwu period after summarizing the tone of Ming’s external policy in this stage. The reasonfor the continuous rejection of the tributes from Japan and the decision of severing relationwith it are not due to a rigid external policy of Mingtaizu， but the divided domestic status ofJapan increased the uncertainty for him to choose the contact. Mingtaizu’s policy on Japanhad practically provided it an optimum international environment from disruption to unity.Chapter3inquires the fundaments that held the Ming-Japan Tribute-Kanhe trade systemfrom early15thtill mid16thas well as the issues and conflicts that they had encountered. Ianalyze how China and Japan settled these issues or why they couldn’t make it， and then payspecial attention on the phenomenon of the large quantity of copper coins flow form China toJapan and the deficiency of coins in China which lead by it. On the other side，this chapteralso analyzes the Japanese authorities and intellectual elites’ discontentment againstTribute-Kanhe trade，along with the “Shinkoku ideology” that they had conveyed.Chapter4analyzes the motive and intents for Toyotomi Hideyosi’s invasion of Korea，and inquires the political implication of his demand on the restart of Kanhe trade. On thisbasis I intent to view early tokugawa Bakufu’s succession and modification to the Japaneseregional hegemony which conceived by Toyotomi.Chapter5concentrates on the regional background in which early Tokugawa Japanadjusted its China policy，and analyzes its motives. The political-economic order featured byTribute-Kanhe trade that founded and implemented by Ming Dynasty initiated the prosperityof commerce as well as the rise of multiple political forces in East Asia sea area，andpromoted a multi-polar transport network along with its trade system. This outcome led to aincrease of Ming’s dependence on external，and shook its central dominant position. On thecontrary，in the early17th，Tokugawa Bakufu unified Japan’s domestic monetary system andmonopolized the mining and export of precious metals. By countering external changes withinternal advantages Japan held certain ascendency in a chaotic international environment，and its dependence on China’s Tribute-Trade system had also declined remarkably.Chapter6concerns the establish and progress of Qing-Japan “Wangshi” Trade pattern，as well as the political intervention and the policy control from both sides. Because of theneed of Japanese copper，Qing government acquiesced in the secession of Japan from China’sTributary system, whereas Tokugawa Bakufu made sea food as a main export commodityinstead of the over outflow of precious metals. By regulating the commodity component，Japan seized the initiative in its trade to Qing，and provided an economic foundation for theestablishment of Japanese regional order.In chapter7, I pay a special examination on Tokugawa Bakufu’s framing and implementingprocesses on the Shotokusinrei and Xinpai system，and focus on how the Qing governmentmanaged the Japanese xinpai event. Tokugawa Bakufu’s policy on China is to attach politicalauthority on trade affairs. Its principal is to persist in Bakufu’s political-economic order, and thestrategy to practice this principal is to give out double interpretations at Japan and abroad. On theother side, Emperor Kangxi’s method on Japan policy is based on the concern on economicproblems， rather than traditional ideology. Meanwhile, he provided an explanation which doesnot conflict with the traditional view for his act.Chapter8：clarifies the place,situation and roles of the Tangchuan merchants. TheTangchuan merchants were at the bottom and frontier of Qing’s Japan/foreign trade system.They provided supplies、information and technology for both China and Japan and played aslinks on the vast East Asia sea area. They were not only undertaking the highest risks but alsohad to struggle under the press of official authorities. However, such a disadvantaged group，in most cases， their positive roles have been neglected， whereas the negative acts wereenlarged. As researchers we have the responsibility to save them from history.Chapter9observes the debates over the political issues on foreign trade among theauthorities of Qing. I put stress on the ideological debates which initiated when politicalissues spread to ideological sphere, and inquire why these debates did not come into anyideological achievement. Meanwhile，I briefly observe how the desinicize policy whichimplemented by Tokugawa Bakufu in political-economic level promoted the rise of selfawareness on both academy and orthodoxy sphere over the intellectual elites，and how thisconsequence intensified the Japanese nationalism.The final chapter summarizes the transition process from Tribute-Kanhe trade system to“Wangshi” trade pattern between China and Japan in Early modern period. I will generalizethe structural features of their economical and political contacts， and put forward the furtherstudy subjects.更多还原