【作者】 赵红；

【导师】 晁中辰；

【作者基本信息】 山东大学 ， 中国古代史， 2007， 博士

【摘要】 明代以前，历代中央王朝的主要威胁都来自北方，故统治者在边防问题上都重北轻南，重陆上，轻海洋。明清(鸦片战争前)时期，西方世界掀起了一浪高过一浪的航海高潮，一些西方国家陆续来到中国沿海，从而为中国的海防提出了新课题。再加上明清国内形势及日本等周边国家的新动向，海防就成为中国日益突出的大问题。明清统治者在筹海问题上有得有失，中国近代海防的破败和落后挨打都可在明清找到深层的原因。目前，就明清区域海防史研究现状来看，存在“南热北冷”现象。学者们大都把研究目光放在了浙江、福建、广东、台湾等南部沿海省份，对于山东海防的研究则几乎还是空白，至今尚未有专著面世，只是在一些论著和论文中偶有涉及。其实，山东海防是国家整体海防链条上极为重要的一环，并有不同于南方的特点。对其进行系统而深入的探析，不仅可以填补此项学术空白，有助于了解和把握明清时期中国海防的职能、总体战略规划、特质和实施效果等问题，而且对于探索明代以来中国海洋文化由传统走向现代的艰难历程有重要意义，从而为廓清西进中退的海洋迷思提供帮助，并为今天的海防事业提供历史借鉴。鉴于海防研究牵扯面广，史料分散，本文不可能对明清时期的山东海防作面面俱到的考察，而是侧重从军事角度，以山东海防建设为主线，对明清不同历史时段的山东海防对缘、主体、手段、得失等方面进行论述。通过这种论述，探索海防与社会经济、政治、思想、文化等的互动关系，并从中找出一些规律性的问题。为此，本文主要分以下几个部分展开讨论。第一章：明清时期的山东海疆行政区划和海防地理形势。海洋政治和自然地理因素对海防活动的影响是不言而喻的，这种影响具有稳定性和持久性。明清时期，山东海疆行政区划经过逐步调整，趋于稳定，区域视觉鲜明；山东海岸线绵长，沿海岛屿星罗棋布，港湾众多。这些海疆要素，为山东海防部署提供了重要依据。第二章：明代前期的山东海防(洪武至正德)。明代前期，山东海防主要为防御和抗击倭寇的侵扰而设，经历了一个从初步建立到充实完善再到逐渐废弛的动态发展过程。洪武时期，山东是罹受倭害较为严重的沿海省份之一。鉴于此，明朝政府在山东海疆初步建立了水陆配合的海防卫所体系。海防卫所体系发挥了稳定海疆的积极作用，同时蕴藏着诸多消极因素，为其日后的发展埋下了隐患。永乐至宣德时期，山东沿海倭害相对减轻，山东海防在洪武基础上得到进一步充实和完善，但仍存在弊端，并受到了国家某些既定政策的负面影响。正统至正德时期，山东沿海的倭寇事件鲜有发生。海疆的承平日久，政治的日趋腐败，致使明朝政府的海防建设力度不大，再加上卫所体系自身存在的弊端没有得到解决，山东海防逐渐废弛。明代前期，明朝政府经营山东海防的作为并非都是积极的，最为突出的表现就是海禁政策的实行。海禁政策是一种消极色彩浓厚的海防政策，对山东海洋经济的发展造成了极为严重的负面影响。第三章：明代后期的山东海防(嘉靖至崇祯)。明代后期，山东海防因时代的演变有了新的内容，并呈现出明显的阶段性特征。嘉靖年间，山东海防仍以防御倭寇为主。这一时期，东南沿海出现了“嘉靖倭乱”。在这场斗争中，山东沿海亦发生了倭寇事件。但与南方沿海省份相比，山东的倭害轻得多。隆庆至万历中期，海防卫所体系已经破败不堪，日本又在朝鲜燃起战火，并想进而侵略中国，山东海疆安全受到威胁。严重的海防危机，迫使军界人士和明政府不得不认真思考海防问题。在这种合力作用下，山东海防得到了重建和发展，海防兵力、海防指挥体系、海防布局都出现了不同于以前海防卫所体系的变化。这是明代后期山东海防发展的高峰。万历中期之后，山东海防重任由防倭转为防御后金(清)政权渡海南下。明末山东海防虽肩负重任，却未得到很好的建设，并随着明朝统治危机的日趋加深再度走向衰败。第四章：清代前期的山东海防(1644—1840)。清代前期，山东海疆形势严峻，海防压力有增无减。清廷着手建立了以绿营和八旗相结合的水陆相维的海防体系。山东海防武力的发展具有明显的阶段性，顺治朝是初建时期，康、雍两朝发展到顶峰，乾隆以后则逐渐削弱。这折射出康乾时期的盛世与隐患并存的时代特征。山东海防的衰微，与清廷重陆轻海、消极防御的海防建置理念密不可分。清廷昧于国外情势，盲目自大，缺乏长远的世界战略眼光，也是重要因素。清初承明制，厉行禁海和迁界。海禁的实行，引发了严重的社会危机。要求开海的呼声从未停止，致使山东局部开海比南方要早。第五章：山东海防与山东社会经济。海防除保卫海疆安全外，另一主要任务就是为沿海地区营建和谐安定的社会环境，谋求沿海社会的经济、政治等各方面的全面进步。而沿海社会的进步，又为海防的建设发展提供了有利条件。二者是相互影响、相互促进的。明清时期的山东海防则是一把双刃剑，在促进海疆开发的同时，也束缚了沿海人民向海洋发展的步伐。第六章：明清时期山东海防的特点和得失。明清是历史上山东海防发展的关键时期。梳理这一时期的山东海防，可以清晰地看出其有鲜明的特点和得失。前事不忘，后事之师。透析这些特点，总结其经验教训，无疑可为今天的海防建设提供有益的借鉴。更多还原

【Abstract】 Before the Ming Dynasty, the main menaces to China came from the North, So the rulers attached more importance to the land than to the sea. During the Ming and Qing Dynasties (before the First Opium War), the Occident got increasingly enthusiastic about navigation. Some Western nations came to the Chinese littoral in succession, thus causing a new problem on the Chinese coast defense. Meanwhile the home situation and the new pulse of the circumjacent countries such as Japan, the coast defense became more and more a tough problem of China. The rulers of the Ming and Qing Dynasties had gains and loss concerning this issue. We can find reasons from the Ming and Qing Dynasties for the coast defense’s dilapidation of modern China and why modern China dropped behind and took a beating.At present, there is a phenomenon in the research field that the South is hot and the North is cold when the area coast defense of the Ming and Qing Dynasties is considered. The scholars have paid more attention to the south coastal provinces like Zhe Jiang, Fu Jian, Guang Dong and Tai Wan. However the research on the Shandong’s coast defense is nearly blank. So far, no monograph about Shandong’s coast defense has come into being yet, only being touched upon in works or treatises incidentally. In fact, Shandong’s coast defense is one of the most important parts of the whole coast defense chain of China, and has its own traits that are different from the southern parts. A systemic and in-depth research on it may not only fill up this academic blank, help understand and grasp such questions as functions, the whole stratagem layout, traits, effects and so forth of the Chinese coast defense during the Ming and Qing Dynasties, but also be of significance to explore the rough course from the past Chinese ocean culture to the modern since Ming Dynasty, thus helping to make clear the ocean haze that the western nations advanced and China dropped behind and offering historic reference for today’s coast defense.Because coast defense research involves a lot of fields and the historical materials are discrete, the thesis can not look into every aspect of Shandong’s coast defense during the Ming and Qing Dynasties, but emphasize particularly on the perspective of military affairs, along the coast defense construction to discuss some aspects of Shandong’s coast defense like the objects, bodies, means, gains and loss and so on. By the means of discussion, the thesis is going to probe into the interactive relations between Shandong’s coast defense and social politics, economy, thought, culture etc, and find out some rules. Therefore discussion develops from the following parts.Chapter one is the Shandong’s coastal areas regionalism and coast defense geographical situation. The sea politics and natural geography factors can affect coast defense activities. Such influence is stable and permanent. In the Ming and Qing Dynasties, being adjusted step by step, the coastal areas regionalism in Shandong tended to stability and had clear region vision. The coastline of Shandong was long, along which were plenty of islands and seaports. These coastal area factors provided important support for the coast defense.Chapter two is the Shandong’s coast defense in the early Ming Dynasty (from Hongwu to Zhengde period). The Shandong’s coast defense was set for fighting against Japanese pirates, and underwent a dynamic development course from the principium foundation to the substantiation and perfection and to the gradual downfall. During Hong Wu period, Shandong was one of the coastal provinces that suffered from the infraction of Japanese pirates. Because of this, the Ming government elementarily established a land-and-water integrated coast defense system. The system exerted positive action in stabilizing the coastal areas, and also contained many negative factors, which buried troubles for the future. From Yongle to Xuande period, the infraction of Japanese pirates to Shandong relatively eased off, and Shandong’s coast defense got substantial and perfect on the base of Hongwu’s. But it still had shortcomings and got some negative influences from the country’s established policies. From Zhengtong to Zhengde period, the intrusion of Japanese pirates into Shandong’s coastal areas happened scarcely. With the long calmness of sea and the increasing corruption of politics, the Ming government took fewer measures to reinforce the coast defense, and besides, the shortcoming of the wei suo system was not solved. Under such condition, Shandong’s coast defense ruined gradually. In the early Ming Dynasty, not all the measures that the Ming government took to build Shandong’s coast defense were positive. The most typical one was the practice of the banning maritime trade policy, which was excessively negative. Its influence was highly grave and damaging on the healthy development of Shandong’s ocean economy.Chapter tree is the coast defense of Shandong in the late Ming Dynasty (from Jiajing to Chongzhen period). In the late Ming Dynasty, as time went on, Shandong’s coast defense took on new contents and developed stage by stage. During Jiajing period, Shandong’s coast defense hinged on fighting against Japanese pirates. In this period, a large-scale Japanese pirates’ attack took place in the southeast coastal areas. In the war, Shandong’s coastal areas also suffered the intrusion of Japanese pirates. But compared with the south coastal provinces, Shandong’s Japanese pirates harm was fairly lighter. There were many reasons for this. From Longqing to the middle phase of Wanli, the wei suo system of coast defense had been in ruins, besides Japan was intruding Korea and intended to invade China which threatened Shandong’s coastal areas. The serious coast defense crises compelled the military officers and the Ming government to anew think about the matter of coast defense seriously. Under such pressures, Shandong’s coast defense got rebuilt and developed. Great changes had taken place in the military strength and the chain of command and the layout of the coast defense, which was different from the former wei suo system. This was the golden time of Shandong’s coast defense in the late Ming Dynasty. After the middle phase of Wanli, the task of Shandong’s coast defense conversed from fighting against Japanese pirates to fighting against the Hou Jin regime. During this period, although Shandong’s coast defense shouldered important task, it didn’t get a good construction and again tended to ruin along with the increasingly growing-on rule crisis of Ming government.Chapter four is the coast defense of Shandong in the early Qing Dynasty (from the year of 1644 to 1840). In the early Qing Dynasty, Shandong’s coastal area situation was austere, so the coast defense pressure increased. The Qing government set up a land-and-water integrated coast defense system, of which the troops were composed of Ba Qi and Lv Ying. Again Shandong’s coast defense developed stage by stage. It was elementarily built in Shunzhi period, and developed to the crest in Kangxi and Yongzheng period, and then weakened gradually after Qianlong period. The development of Shandong’s coast defense refracted the Kang Qian period’s era trait of royalty with hidden trouble. The decadency of Shandong’s coast defense had great deal to do with the Qing Dynasty’s coast defense construction thoughts which more importance was put on land rather than sea and the defense was negative. It was also a factor that the Qing government was ignorant of the overseas situation and blindly arrogant, lacking in long-range world strategy foresight. Early Qing Dynasty inherited the system of the Ming Dynasty, strictly enforcing the banning maritime trade policy and moving the people previously living in coastal areas to the hinterland. The practice of the banning maritime trade policy resulted in serious social crises. The voice of asking for opening maritime trade had never stopped, which rendered the partial opening maritime trade of Shandong earlier than that of the south coastal areas.Chapter five is the relation between Shandong’s coast defense and the social economy. Besides protecting the safety of coastal areas, coast defense attempted to build a harmonious and stable society environment for coastal areas and buck for the all-sided advancement of coastal areas. The advancement of the coastal areas also provides beneficial condition for the construction of the coast defense. They interact with each other and promote each other. Shandong’s coast defense in the Ming Dynasty has both positive and negative actions. It has accelerated the exploitation of the coast defense and also prevented the people living in coastal areas from marching to sea.Chapter six is the character and the gain and loss of Shandong’s coast defense in the Ming and Qing Dynasties. In the developing history of Shandong’s coast defense, the Ming and Qing Dynasty is the key period. Looking back to the developing course of Shandong’s coast defense, we can distinctly make out its sharp-cut characters and gain and loss. Taking history as a mirror and looking forward to the future. Dialyzing the characters and summarizing historic experience can assuredly supply beneficial reference to today’s coast defense construction.更多还原