【作者】 戴卫红；

【导师】 李凭；

【作者基本信息】 中国社会科学院研究生院 ， 中国古代史， 2006， 博士

【摘要】 考课制度,是政府对官员的行政才能、道德素养等方面进行考核的制度,它是中国古代传统政治制度的重要一环。纵观北魏考课制度发展的历程,它经历了形成、确立、演变、破坏四个阶段。在道武帝到冯太后听政这一时期,考课制度逐渐形成。由于胡汉二重行政体制的存在,考课对象主要是实行传统州郡县管理体制下的地方官员,对于中央行政体制中的外朝和内朝官员,直接的考课资料阙如。考课的方式包括派遣大使巡行、皇帝亲巡、吏民举告地方官员不法等,太武帝太延元年,创建了刺史、太守、县令层级考课的方式。地方官员的考课内容除农业(力)、赋役(财)、户口(恩)、法律(刑)、用人(政)五个方面外,仍着重于官员在经济上是否贪赃受贿。官员考课后的黜陟并没有形成定制,政绩优良的官员得到衣、马、布帛等赏赐,直到延兴二年才制定了“岁积有成,迁位一级”的标准,这是北魏第一次明确地将考课的陟赏与官级的升迁联系起来。而对考课为劣绩的官员的黜罚是相当严酷的,轻则杖罚、免所居官,重则处死。孝文帝亲政后,重用汉族士人进行官制改革,胡汉二重行政体制逐渐向一元制转化,从而考课对象扩大到全体官员,考课后的黜陟也直接关系到官品的降、升。而且,孝文帝以“论考之事,理在不轻,问绩之方,应关朕听”为指导思想,亲自掌握对官员的考课。太和十五年,考课制度作为一项政治制度明确的以法令的形式确立下来。最早确立的是针对地方官员的外考令,规定每年年终州、镇以下首先实行分级考课,刺史、镇将依据本州镇所辖郡太守、县令的政绩定其品第上报中央,在中央进行统一考课时,其政绩考核品第作为黜陟的依据。太和十八年在拓跋羽的建议下,中央官员的考课也形成定制,即由各曹长官负责本部门官员的考课,依其政绩,分为上、中、下三等,上上、上中、上下、中等、下上、下中、下下七品,上下二等分别陟黜,中等守本。官品为六品以下的官员,由尚书省负责考课;五品以上的官员,皇帝与公卿论其政绩善恶。而且确定了“三年一考,考即黜陟”的原则。孝文帝时,中央政府对全部官员进行考课,此时的中央集权可视为北魏之最强时期。宣武帝时期,考课制度在各个方面更加完善,同时由于政治环境的变化,考更多还原

【Abstract】 Merit system was a system according to which the central government assessed the achievements, the administrative ability and morality of an official. It was a key component in ancient China’s political system. This paper provides a survey of the merit system in Northern Wei, with its formation, establishment, evolution and destruction as focuses.Merit system was formed gradually from the reign of Emperor Daowu to the holding court of Empress Dowager Feng. Because of the dual administrative system of no-Hans and Hans, the merit system was applied only to the local officials under the traditional system of prefectures and counties, while there were no direct merit documents regarding to the central officials. The merit ways included ambassadors’going the rounds, emperor’s going on an imperial tour and government clerks’and the common peoples’reporting of officials’malfeasance, etc. In Taiyan the first year there appeared another merit way, i.e. evaluating regional chief, grand protector and county magistrate level by level. The contents of local official merit were mainly directed to agriculture, taxation and corvee, households, jurisdiction and personnel designation, with the examination of whether an official committed graft and corruption as focus. There was no system of dismissing or promoting officials after merit was performed, but officials who got an excellent rank in the merit would be awarded clothing, horses and silk, etc. It was until Yanxing the second year when the standard of promoting officials with achievements was established that Northern Wei connected assessment of the merit system with the promotion of officials. The punishment inflicted on the officials with bad rank in the merit was harsh, ranging from bastinado, dismiss to death penalty.After Emperor Xiaowen ascended the throne, he designated the scholar-officials of the Hans to important positions to reform the civil service system. As a result, the administrative structure developed from the duality of no-Hans and Hans into the monopoly of Hans. And the scope of merit system was extended to all officials, including the local and central officials. Officials’ranks in the merit were directly related to their demotion or promotion. And Emperor Xiaowen himself was in charge of official merit. In Taihe the fifteenth year, merit system was established by law as one part of political system. According to the merit decree directed to local officials’merit, in the end of every year, merit was performed in the governments below that of prefectures. Regional chief would rank grand protectors and county magistrates according to their achievements and report the results to the central government. When the central government merited officials, the officials’achievements would be decisive to their promotion or demotion. In Taihe the eighteenth year, at T’o P’ayu’s suggestion, the merit decree directed to the officials of central government was established formally, i.e, head of each department was in charge of the merit of department officials and the officials’achievements would be rated in nine ranks. The first and last two ranks would be promoted and demoted respectively; the更多还原