唐代铁券相关问题研究

【作者】 洪海安；

【导师】 王双怀；

【作者基本信息】 陕西师范大学 ， 中国古代史， 2010， 博士

【摘要】 铁券是古代帝王赏赐给勋臣或重臣的一种带有盟约性质的信物。其内容镌刻在铁制的器物之上,主要是著录受赐者的显赫功勋,赞颂其美德,并具有一定免死特权。据文献记载,铁券出现于西汉,魏晋以降多有颁赐。其功用主要体现两个方面：一是褒奖勋功,二是安抚和笼络。有唐一代,也曾颁赐过大量的铁券。铁券具有浓厚的政治性功能,在唐朝的政治生活中起到不可忽视的重要作用,是维护和巩固统治的有力法宝。本文在前人研究的基础上另辟蹊径,进一步搜集、整理铁券的相关文献和考古资料,全方面、多角度地对唐代铁券进行系统、深入的研究。全文包括绪论、正文和总结三个部分,共分七章：第一章,回顾20世纪50年代以来学术界研究唐代铁券的历程,说明研究唐代铁券的学术价值和理论意义。唐代铁券的研究经历了徘徊迷茫,渐入佳境,到趋于深化的过程。前辈学者主要是从档案学角度,以武周盟誓铁券和钱镠铁券为对象,对唐代铁券的形制和券文做了一些研究。总体而言,目前学术界对唐代铁券的相关研究无论是宏观还是微观仍比较薄弱。因此,有必要继续对唐代铁券的内涵、特征、功能、价值取向等方面进行深入考察。从学术的角度讲,探究唐代时期铁券制度对当时的作用和后世的影响,无疑是一项十分有意义的工作。第二章,研究铁券的渊源及其形制,旨在对认识唐代铁券奠定良好的基础。唐代铁券的渊源可以追溯到汉代。汉高祖为了酬赏立下汗马功劳的功臣,开始用铁券与功臣盟誓。魏晋南北朝时期,统治者也颁赐了不少铁券,从而使铁券颁赐逐渐制度化。铁券因制作材料和工艺不同,有“银券”“金券”等不同称呼,其形制大同小异,都是统治阶级维护和巩固自己统治的工具。第三章,按时间顺序论述唐代的铁券颁赐,揭示唐代铁券颁赐的时代特征。以安史之乱为界,将唐代的铁券颁赐分为前后两个时期。唐代前期,高祖、高宗、武则天、中宗、睿宗和玄宗都有颁赐铁券之举。这一时期对铁券的颁赐较为严格,主要是用来褒奖功臣或羁縻外蕃的,铁券的功能主要体现在盟誓方面。唐代后期,由于政治局面发生了巨大变化,铁券颁赐明显增多,特别是肃宗、代宗、德宗诸朝,曾大量颁赐铁券,甚至出现滥赐的现象。铁券赏赐成为缓和矛盾的一种权宜之计,无法从根本上解决问题。第四章,选择典型对唐代铁券进行个案研究,揭示唐代颁赐铁券的具体情况。以刘文静、安禄山、郭子仪、仆固怀恩、钱镠等人为例,详细考察了唐代几个最有代表性的铁券受赐者。唐代获赐铁券者的命运是不同的,有对朝廷忠心耿耿,荣宠一生；也有恃券而骄恣跋扈,甚至走向叛乱之路的,其个人的命运与唐代历史背景、帝王个人喜好、猜忌因素是紧密相连的。铁券只是帝王用来维护和巩固统治的策略和手段,在不危及其统治时,获赐者有一个好的结局,反之,铁券便失去免死功效。第五章,研究唐代铁券的颁赐对象,分析唐代铁券授受的特点。纵观唐代铁券颁赐的实态,可知赏赐的对象主要有开国元勋及拥立功臣、靖难功臣、归附的蕃酋首领、强藩悍将、有功宦官及其他宠臣六种。唐初铁券颁赐的对象主要是开国元勋,中、睿宗时期主要颁赐给拥立功臣,玄宗主要是颁赐个少数民族首领,安史之乱后则以平乱功臣和藩帅悍将为主。安史之乱前,铁券颁赐的范围较小。安史之乱后,铁券颁赐的对象明显扩大。其基本特点是：颁赐范围广、羁縻外蕃、恩宠蕃将、褒奖武官等。第六章,探讨唐代颁赐铁券的原因及其免死特权。唐代铁券的赏赐主要有沿袭旧制、尚武风气、中央集权逐渐衰弱三个方面原因。它的运用与政治的现实需要是紧密相连的。通过对唐代获赐铁券者的免死次数、死亡情况的分析,发现随着政局的演变,唐政府将铁券免死次数和相关特权的筹码不断增加,并达到前所未有的高潮。总体上,唐代铁券免死功能较好地实现。但因为铁券的免死特权与皇权二者存在的矛盾和冲突是不可避免的,在具体实践过程中,铁券免死不是一成不变的。在君臣矛盾加剧时,铁券盟誓的免死功能与信用原则也随之而弱化与丧失而成为一纸空文。同时,铁券免死特权对法律的公正性,正常的国家行政也会产生了一定的干扰和破坏,这是皇权专政不可避免的一个弊端体现。第七章,论述唐代帝王在赏赐铁券时所产生的影响以及其价值取向。帝王在颁赐铁券时,铁券不仅仅是荣耀,还赋予了政治上、经济上、司法上诸多的特权,甚至还荫及其子孙后代。很多获赐铁券的勋功在当时或是死后都享受到统治者礼制上的尊崇。此外,唐代铁券对后世产生深远影响,尤其是明朝,明代铁券是以唐末颁赐给钱锣铁券为蓝本,仿唐而制,并已经建立起了一套比较严格的铁券赏赐的制度。通过唐宋至明清时期的文学作品分析得知,有些人还将获取铁券作为自己的奋斗目标。这种价值取向不仅仅在达官贵族上层社会出现,对普通大众人们的思想和观念也产生了深远的影响。本文的创新之处主要是采用微观与宏观相结合的方法,对唐代铁券相关问题进行了全面深入的探讨,着重论述了唐代铁券颁赐的时代特征,分析了唐人铁券颁赐的原因及作用。认为唐代铁券在颁赐对象、表现内容和形式上都发生了很大的变化,具有明显的时代性特征。铁券在唐朝的政治生活中具有浓厚的政治性功能,起到不可忽视的重要作用,同时也存在一些问题。从唐代铁券制度的演变轨迹来看,礼法制度下的铁券免死特权的实现是一把双刃剑,一方面可能维护皇权,另一方面也可能对皇权造成伤害。更多还原

【Abstract】 The iron credential, which the emperors award to their official’s records or in important position, is a kind of authenticating object with the feature of oath of alliance. It is often engraved on the utensils to record the illustrious merits and achievements, to praise their virtue, and it can save one’s life from death. The emperors of past dynasties have imitated the example since the appearance of it in the Western Han Dynasty. It has two main functions:first, it is used to appease and win the public’s supports. In Tang Dynasty, many iron credentials were awarded in accordance with the time and need. Since the An-Shi Rebellion, it played a significant role in Tang’s political life, and also can be treated as the most effective method to defend and strengthen the Tang’s domination.In the bases of the study of predecessors,I try more chances.This article re-collects some literature and archaeological materials about the iron credential, which aim to get a holistic, deep study from overall and extensive aspect. The article can be divided into three parts and has seven chapters in all.In chapter one, it mainly to review the course of Tang’s iron credential research of 1950s in the academia. which explains academic value and theory of meaning of the research of iron credential in the Tang Dynasty. In the beginning the research was empty and got less achievement. Nowadays the research goes deeply. However, Past worthies scholar mainly research objects such as file study, make an oath of alliance by the iron credential in Wu Zhou period and QianLiu’s iron credential,which makes some progresses in iron credential’s shape and contend. Overall, the domestic scholars emphasize particularly on the Tang’s iron credential change from the macroscopic view. At present, the research in the Tang’s iron credential is weak and poor no matter in the macroscopic or the microcosmic view. Therefore, it needs a further study in content, character, function and value orientation of the Tang’s iron credential.Form academic angle,research institution of Tang’s iron credential effect to that time and future generations,which is a very meaningful work beyond doubt.In chapter two, it explains from many aspects about the origin of the iron credential appearance and its shape structure, in order to better relealize Tang’s iron credential. Which origin can trace back to the Han Dynasty, Emperor Han Gaozu rewarded persons having rendered outstanding service and make an oath of alliance by the iron credential. In Wei, Jin, Southern-Northern and Sui-Tang Dynasties,the ruler bestowed some few iron credential,and had become institutional ized.Because of manufacture materials and workmanship different,there have some different name,such as ’YinQuan’,’JinQuan’.which mostly maintains the rule.In chapter three, discuss the iron credential’s bestowing form the Tang Dynasty’s time sequence which purpose disclosure historical characteristics. Take An-shi Rebellion as the turning point,which divides into two periods. In earlier period Tang Dynasty,Emperor Tang Gaozu; Gaozong, Empress Wu Zentian period; in the case of Zhongzong and Ruizong period and Xuanzong period had bestowed the iron credential and was quite strict in this time.which mainly used for rewarding persons having rendered outstanding service or controlling aborigines chieftain and mainly manifests function of making an oath of alliance. In later period Tang Dynasty, the amount of iron credential increased obviously, especiallySuzong, Daizong andDezon period, even was in flood. Bestowing the iron credential which relaxed contradiction as a temporary shift,and not from solving a problem fundamentally.In chapter four, choice model the case studies to Tang Dynasty Iron credential,which show bestowing the particular case of iron credential.for typical example,Liu Wenjing,An Lushan,Guo Ziyi,Pugu Huaien and Qian Liu.We can find the fate of iron coupons are different, some are loyal to the court, Jung in lifetime,some are also proud of paternity coupons defiant of authority, and even in the road toward rebellion,of whom their personal destiny,the historical background of the Tang Dynasty, emperors’s personal preferences, mistrust of factors are closely linked. Rail voucher is only used to preserve and strengthen the rule of imperial strategy and the means, without risk of its rule, the awared person may have a good outcome. Whereas,it will lose effectiveness.In chapter five, It focuses on the iron credential objects and analysis the characteristics of bestowing the iron credential in Tang Dynasty. Throughout the course of the Tang Dynasty Iron credential, rewarding target mainly focused on the founders who have rendered meritorious achievement, heros who put down rebellion,aborigines chieftain who submitted to Tang Dynasty,the powerful military commissioners,the contribution’s eunuch and other Sachiomi. In the early Tang Dynasty, most of bestowing the iron objects was founder who rendered meritorious achievement, and persons who supporting the emperor, and aborigines chieftain from Gaozong to Xuanzong period.After An-shi Rebellion,main awared objects have heros who put down rebellion and the powerful military commissioners.At the same time,the amount expanded significantly more than before An-shi Rebellion, By the changes, primarily reflects the following changes in and characteristics:awarding range extended,control aborigines chieftain,favor to minority generals, awarding generals.In chapter six,there is mainly about the discussion of the reason why the Tang Dynasty bestowed the iron credential and the the privilege of iron credential.In the Tang Dynasty, the reasons of the reward of the iron credential chiefly concluded following the old system, warrior astrosphere and the gradually decreasing of the central authority,the use of the iron credential was closely related to the political need. According to analyzing the people who got the iron credential saved their lives from death and their death condition, we found that with the evolvement of the political situation, the Tang Government constantly increased the counter of the privilege of the iron credential which reached the climax. In general, in the Tang Dynasty, the function of the iron credential could work well, however, the conflict between the privilege of the iron credential and the imperial power was unswayable. In the specific process of practical, the condition that the iron credential could save one’s life from death was changeable:if the imperial power was lost in the conflict of the monarch and his subjects, the function of the iron credential would decrease or lost at the same time. Meanwhile, the privilege of the iron credential disturbed and broke the equality of the law and the administration of the country, which was an unavoidable disadvantage of the imperial power.In chapter seven, mainly treatise the affect and value orientation of awarding the iron credential of the Tang Dynasty. When the king awarded it, it was not only a kind of honor, but also granted a lot of privilege on politics, economy, justice and even on protecting their later generation. There were many meritorious services and outstanding achievements which were venerated by the king on norm of etiquette for a long time. The iron credential in Tang Dynasty had great affect to the future, especially to the Ming Dynasty. In the Ming Dynasty, it was based on the iron credential which awarded to QianLiu at the end Tang. Then Ming took future action to improve the system of awarding it. which symbolized imperial power and was the target for people who eager to make great contributions and awomplish great take. According to the work of Tang to Qing Dynasty, this kind of value orientation not only existed in high dignitary, also affect the ordinary people.This article is innovates the place which take the macroscopic and microcosmic methods to complete and deeply study some questions of the iron credential in Tang Dynasty, the focus discusses historical characteristics and analyzes the reason and effect of being awarded the iron credential.Thingking,there have changes in the convention and expressions,which has remarkable historical characteristics. It had strong political function in Tang Dynasty and played a important role,form the development of the system of the iron credential in Tang, the privilege of iron credential has a two-edged sword in the system of etiquette and law,which can maintain imperial power, on the other hand,which can damage it too.更多还原