【作者】 张祥稳；

【导师】 惠富平；

【作者基本信息】 南京农业大学 ， 科学技术史， 2007， 博士

【摘要】 “自古圣王之世，水旱之灾亦时有之”。康乾盛世时期的乾隆朝也不例外，它是我国历史上自然灾害的多发期之一。乾隆朝60年间，自然灾害的种类多，发生的频率高，被及的范围广，涉及的人口多，产生的危害大。面对频仍的自然灾害，乾隆在发出“灾民实可怜”叹息的同时，命令大小官吏，要把民饥民困视作己饥己困，务必以拯灾恤困为“国家第一要务”，“宁可国家多费帑金，断不可令闾阎一夫失所”，并制定和实施了一系列拯灾救荒的政策措施——荒政。乾隆时期的自然灾害和荒政，对当时的政治、经济、社会稳定、人民群众生活等方面产生了巨大的负面影响，并成为中国历史上最后一个封建盛世——康乾盛世衰落的重要因素。时至目前，史学界对上述问题研究较少，成果更是凤毛麟角。我们认为，对乾隆时期的自然灾害和荒政展开深入、全面的研究，一方面可以使我们对这一时期的自然灾害的发生情况有一个全面了解，从中归纳出乾隆朝60年间自然灾害发生的规律及人为因素；另一方面，乾隆时期的荒政不论是在当时，还是对于后世，都产生了重大和深远的影响，对我们今后的防灾、救灾和抗灾工作无疑也有积极的借鉴作用。同时，对于康乾盛世衰落的原因，史学界一直忽略了自然灾害、荒政这两大因素，但实际上它们之间存在着内在的、必然的联系。所以，本论文研究的主要内容大致分为三大板块：乾隆时期的自然灾害，乾隆时期的荒政，乾隆时期自然灾害、荒政与康乾盛世衰落之间的关系。本论文以清代乾隆时期(1736——1795年)全国18各直省的自然灾害与荒政为研究对象，阐述乾隆时期自然灾害发生的全貌，研究这一时期拯灾救荒的政策措施及其落实情况，分析自然灾害与荒政对康乾盛世产生的负面影响。在广泛查阅文献资料、占有材料的基础上，以辩证唯物主义和历史唯物主义为指导，以历史学的实证考察为基本研究方法，理论与实证紧密结合，综合运用计量、归纳、考证、演绎等研究手段。按照选题研究思路，充分利用和吸收自然灾害史、荒政史和清史研究领域的学术成果：借助灾害社会学、灾害经济学等学科的理论和研究方法，全面介绍乾隆时期的自然灾害，梳理乾隆时期的荒政体系，研究自然灾害、荒政与康乾盛世衰落之间的内在联系。在结构安排上，把整体研究与个案研究相结合，既有对乾隆时期自然灾害发生和荒政落实情况的整体描述，又有典型的个案分析；在行文过程中，把文字叙述与图表显示紧密结合。全文主要由六章组成：第一章，主要阐述国内外的相关研究动态，选题的依据和研究的意义，研究的目的、理论依据和方法，本论文的创新之处、可能存在的不足和研究方案，以及本论文研究的时间段和地理范围界定，等等。第二章，详细介绍清代乾隆时期水灾、旱灾、雹灾、虫灾、冻灾、风灾、瘟疫和地震等八种自然灾害的发生情况。乾隆朝60年间，各种自然灾害发生频繁，特别是水旱灾害。在上报至中央政府、确定已经“成灾”或已造成严重危害的自然灾害中，水灾被及的总州县次约为8074个，旱灾为3770个，雹灾为1148个，霜灾为163个，风灾为271个，人疫、牛疫共68个，地震111个。由此看来，乾隆时期，水旱雹灾发生最为频繁。在各类已发生的自然灾害中，有的被灾面积大，受灾人口多，危害严重，所以文中有选择地对一些特大自然灾害作专题介绍。第三章，主要是在把乾隆时期自然灾害发生情况与清初康雍朝进行比较的基础上，归纳乾隆时期自然灾害发生的特点，影响自然灾害发生的人为因素等。这一时期自然灾害的发生，呈现其自身的特点，如：灾害种类繁多，以水旱雹灾为主，地区分布不均衡，年发生情况差异较大，地形和地理位置的不同决定着灾种及其发生的频度，等等。显然，乾隆时期自然灾害的频繁发生，其原因是多方面的，但在这一部分主要是探讨乾隆时期的人为因素对自然灾害的影响，如政府在水利问题上的不作为，民间对水利兴修的消极态度，各地普遍存在的与水争地现象，生态环境的严重破坏，封建迷信思想盛行；等等。所有这些，使自然灾害发生更加频繁，危害更大。第四章，首先，简述清代以前我国古代荒政的发展历程，介绍清初顺康雍时期拯灾救荒的基本程序、主要措施及备荒情况，以便于对乾隆以前荒政有一个大致的了解，为下文阐述乾隆时期荒政作必要的铺垫。然后，着重研究乾隆时期，面对频繁的自然灾害，政府在借鉴前代荒政的基础上，制定了系统的救济灾荒的制度和政策，并在实际中加以落实。虽然这一时期关于荒政并没有一套系统完整的法律、法规出台，但在“以例治天下”的清代~①，已经出现过的拯灾行为即是以后救荒的范体。实际上，乾隆继位以后，在大约十年左右的时间里，就使政府救荒行为走上了经常化、制度化和法制化的轨道。可以说，这一时期是我国古代史上荒政的集大成时期，它也是我国古代荒政最完善的时期，不论是与有清一代的各朝相比，还是与清代以前的各代相比，这一结论是毋庸争议的。我国自进入文明社会以后，随着自然灾害的出现，荒政便应运而生了。随着时间的推移，到清初顺康雍时期，救荒的基本程序包括报灾、勘灾、审户扣给赈，主要措施包括蠲免、抚恤、赈济、借贷、缓征、平粜、安辑流民等，地方主要是通过常平仓、社仓、义仓等积谷备荒。乾隆时期，拯灾救荒的基本程序与康雍时期不存在多少差异，只是根据实际情况对一些时间上的规定作了变动，有利于灾后赈、贷、蠲、缓事宜。在赈济问题上，乾隆始终恪守一个原则，即成灾必赈，它包括灾后抚恤、正赈、加赈和厂堂赈济，特别是加赈，在这方面，乾隆朝的政策极其宽大，几乎每年都有此举；赈济的钱粮主要来源于国家财政，乾隆一贯反对私人钱粮参与其中，除了乡村的粥赈等慈善类行为；正是因为如此，仅赈济一项，60年间国家花费的银粮可谓不计其数，无法准确统计。在灾后借贷和钱粮缓征方面，乾隆时期的政策大大突破了前代的规定，政策上有越来越重视和宽松的趋势；特别是以往例不缓征的漕粮、漕项，在这一时期常常予以“法外开恩”。这对缓解灾民困苦，使灾区粮食充裕，稳定粮价和物价，起到了积极的作用。对灾区赋税的蠲免也是乾隆时期荒政的重要内容之一。在这一过程中，不但使蠲免的有关政策得以兑现，而且在皇帝巡幸、战争爆发、连年被灾和普蠲全国钱粮之际，灾民们也往往得到额外的蠲免，其数字惊人。为了使灾民有力购粮度日，乾隆还将政府所储或所购之粮减价出售，有按例减价，亦常有破格减价，即通过政府对灾民的粮价补贴，尽可能让灾民度过难关。除了政府直接向灾区调拨大量的粮、银外，乾隆还充分利用市场实现全国范围的粮食自由流动，最终在很大程度上达到了为灾区“裕食”的目标。令人遗感的是，尽管乾隆为救荒付出了不懈的努力，但在备荒特别是在地方积粮以备荒歉方面关注不够，因而使各地最终把救荒的希望寄托在中央政府的临时补苴上，这主要表现在各州县积储严重不足、积储制度徒有虚名，乾隆对这一情况也是一清二楚。总之，乾隆为了维护其封建专制统治，在荒政方面作出了艰辛的努力和尝试。这一时期的荒政有其自身的特点；但各地荒政落实情况差异较大，不尽人意，文中通过个案的分析，使我们可见这一问题之一斑；造成荒政落实不到位的原因是多方面的。第五章，它是在第二、第三、第四章的基础上，探讨我国历史上最后一个封建盛世——康乾盛世的衰落与乾隆时期自然灾害和荒政之间的关系。众所周知，康乾盛世是在乾隆朝中后期逐渐衰落的。但时至今日，没有一位学者把自然灾害、荒政与康乾盛世的衰落联系起来。实际上，笔者研究认为，它们之间存在着内在的、必然的联系。其主要表现在：自然灾害严重破坏了农业经济，使本来就停滞不前的传统农业出现了倒退的趋势，虽然从形式上看，这一时期的荒政在一定程度上有助于灾区农业经济的恢复和发展，但实际上其作用微乎其微；自然灾害的频繁发生，一方面迫使清廷花费大量的人、财、物力，用于对灾区的蠲赈贷等；另一方面，对被灾地钱粮的缓征和对灾民的借贷，也使数额巨大的钱粮因灾害连年、人民生活困苦等原因而最终无法征还，国家的财政收入受到严重影响；在严重的自然灾害面前，小农经济条件下的广大农民不得不依靠政府度过难关，这样就使得政府与百姓暂时紧密地联系在一起，但人民群众在与官员的面对面接触中，更进一步清楚地认识到吏治败坏等社会深层次的问题；还有，自然灾害特别是水旱灾害的频繁发生，本身就暴露了政府在水利问题上的不作为。在我国封建社会，“四民之中，最苦者农也”，毫无疑问，在自然灾害中真正受苦受难的是平民百姓，他们本来生活就十分困苦，劳作终年，食不裹腹，衣不蔽体，可以想象在自然灾害的频繁侵袭下是一幅怎样的不堪入目的灾民图。尽管乾隆政府在实际中为了救民于水火也进行了相应的努力，但由于存在全国粮食总量严重不足、自然灾害过于频繁、吏治败坏等多方面因素，使这一时期的荒政并没有能够解决灾民的实际问题，因而灾区的闹赈、遏籴、抢米等斗争此伏彼起，虽然它们都无一例外地遭到政府的残酷镇压；灾民流离于道络绎不绝，政府也采取了相应的安置措施，但最终没有遏制住流民大潮，使他们最终成为清代中后期反抗封建专制统治的主力军。所以，自然灾害加剧了社会的动荡和不安。最终，中国历史上最后一个封建盛世正是在乾隆时期自然灾害的风风雨雨声和人民群众的反抗斗争浪潮中落下了帷幕。第六章，对本论文的第二至第五章进行总结和提炼，认为：清代乾隆时期是我国古代史上自然灾害的多发期之一。这一时期自然灾害有其自身的特点是。自然因素是导致灾害频繁的最直接的原因，但人为原因却不可忽视。自然灾害使农业生产损失惨重，严重影响国家财政。它使人民群众的生命财产安全受到严重威胁，灾民生活更加贫困，流民问题越来越严重。乾隆在荒政上可谓不遗余力，慷慨大度，他这样做的根本目的是为了维护其封建专制统治，另外，还应与他的个性和信仰佛教有关。康乾盛世是我国历史上最后一个封建盛世，它开始衰落于乾隆中期，其原因是多方面的，但自然灾害及荒政的影响不应忽视。透过乾隆时期的自然灾害、荒政及其对康乾盛世衰落的影响的全面考察和研究，我们至少可以得到以下四点启示：一是自然灾害的发生是不可避免的；二是自然灾害是影响和制约经济、社会发展的重要因素；三是荒政是一把“双刃剑”，要重在落实；四是在建设社会主义新农村、构建社会主义和谐社会过程，必须把科学防灾、救灾工作放在突出位置，也必须把依法救灾和以德救灾有机结合。尽管本文在撰写过程中，笔者广泛地搜集资料，进行了大量的统计和深入的分析，但由于涉及的资料繁多、撰写时间仓促和个人专业水平有限等因素的存在，文章的不足甚至舛误之处在所难免，如对自然灾害被及州县次、荒政实施过程中相关数据统计不够全面，只对自然灾害发生的人为因素进行分析，对康乾盛世的衰落与自然灾害、荒政之间的关系分析也不够全面、透彻，等等。更多还原

【Abstract】 "Natural disasters like floods and droughts have always been something common since our earliest kings, and the reign of Emperor Qianlong, despite its prosperity, was no exception". It was actually one of the historical periods in China that witnessed the most natural disasters coming in great varieties and with high frequencies, inflicting damages on numerous people in large areas. In face of such frequent natural disasters, Emperor Qianlong, showing great pity on the victims, ordered officials of all levels to take the sufferings of the victims as their own and to regard disaster relief as the most important of all state affairs, instructing that they should never tolerate one single family being rendered homeless, however much it’d cost the state revenue. He also formulated and put into effect a series of policies regarding disaster relief, which we now refer to as Emperor Qianlong’s policy of reliving victims of disaster. Natural disasters as well as the policy of reliving victims of disaster during Emperor Qianlong reign had great influences on politics, economy, social stability and the life of the grassroots people, though his period of prosperity eventually passed into oblivion after all.Yet, little fruitful study has so far been done by historians in this realm. Study into natural disasters and their management during the Qianlong reign will, on the one hand, provide a comprehensive view of the various aspects of natural disasters of that period, thus enabling us to better explore into the rule governing the various natural disasters. On the other hand, the policy of reliving victims of disaster during the reign of Emperor Qianlong, which had its sway not only in its own time, but also in later times, will still undoubtedly provide reference and experience for disaster prevention and relief work today. Besides, historians studying the decline of the Kangxi-Qianlong’s period of prosperity have always ignored the part that natural disasters and the policy of reliving victims of disaster played in it, regardless of the irrefutable intrinsic relationship between the three. The present study will deal with the natural disasters and the policy of reliving victims of disaster during the reign of Emperor Qianlong, hoping to reveal their relationship with the decline of Kangxi-Qianlong prosperity. This present study, based on historical data of the natural disasters in 18 provincesduring the reign of Emperor Qianlong (1736AD──1795AD), tries to present acomprehensive view of the natural disasters of this period and, by systematically studying the policy of reliving victims of disaster and their implementation, tries to reveal the part that natural disasters played in the decline of Kangxi-Qianlong prosperity. Taking advantage of possession of extensive historical documents and data, under the guidelines of dialectic materialism and historical materialism, this research adopts historical evidence study as a basic approach, combining theories with historical evidence. It applies metrological, deductive and inductive instruments, makes full use of relevant previous research results in the realm of the history of natural disasters and its policy of reliving victims of disaster, and employs theories and research instruments of disciplines like disaster sociology, disaster economics etc, so as to give a comprehensive introduction of disasters during the reign of Emperor Qianlong and its policy of reliving victims of disaster system, and to reveal the intrinsic relationship among natural disasters, the policy of reliving victims of disaster and the decline of the Kangxi-Qianlong prosperity, which is in line with the preset research scheme. As for the structuring of this research, it incorporates case studies into the general study, presenting not only a general description of disasters and implementation of relief policies in the period but also descriptions of typical individual cases. To enhance the literal narration, it also provides illustrations like diagrams and charts.The whole paper comprises the following six component chapters:Chapter One is mainly on the present situation of related research both at home and abroad, the significance, purposes, theoretical background and methodology of the research, what’s new about this present research and problems for further study.Chapter Two gives a detailed description of eight kinds of natural disasters during the reign of Emperor Qianlong of the Qing Dynasty, namely floods, droughts, hailstorms, insect plagues, frosts, windstorms, epidemic diseases and earthquakes etc. In the year of Qianlong 60, various natural disasters struck frequently, especially floods and droughts. According to official statistics of the imperial government, the number of counties affected by floods that year reached 8074, the number by droughts 3770,1148 by hailstorms, 163 by frosts, 271 by windstorms, 68 by either human plague or cattle plague, and 111 counties were affected by earthquakes. Considering that all those disasters differed greatly in range and severity, the author only picks some severe ones for monographic examination. Chapter Three. First, we will reveal and compare the general picture of natural disasters during KangXi, YongZheng and QianLong reign. Then, examining their characteristics and human factors of the disasters in QianLong reign. General speaking, natural disasters of this period displayed certain characteristics, e.g. diversity of disasters with floods, droughts and hailstorms striking most frequently, uneven distribution of earthquakes both in space and in time, their swings determined mainly by local geographical features and landscapes etc. which signify that natural disasters were caused by different factors though Chapter Three highlights mainly human activities as an important factor of the occurrence of natural disasters in the Qianlong era, such as the government’s malfunction in and people’s passive attitude towards maintenance of irrigation works, the common phenomenon of demanding farming land from lakes all over the country, the deteriorating eco-system, as well as the prevalence of feudalistic superstitious ideas. All the above added to the frequency and destructiveness of natural disasters.Chapter Four.First,it gives a brief description of the policy of reliving victims of disasters before QianLong period, mainly about the basic procedures and main measures reliving victims of disasters, preparation for famine. So we will roughly know the survey of the policy of reliving victims of disasters before QianLong period, so also provides essential preparation for the following study about the development and change of it during QianLong reign.Then, it systematically examines how the imperial government during the reign of Emperor Qianlong, by referring to disaster relief measures taken in earlier times, worked out comprehensive laws, systems and policies to enhance disaster relief work and how it promoted their implementation. Though no complete written law governing disaster relief work was made in this period, present disaster relief measures would mean guidelines for future times in the Qing Dynasty, where "the ready-made examples ruled as laws" Within about ten years after he ascended the throne, Emperor Qianlong managed standardization and systematization of the government’s disaster relief work. The Qianlong era deserves to be called an era that achieved the most in ancient Chinese history in terms of disaster management with its most comprehensive disaster management policies, even when it is put into comparison with all preceding dynasties and reigns in ancient china, even including the reigns of every emperors in Qing dynasty.With the coming of civil society in china, the policy of reliving victims of disasters appeared with natural disasters. At the beginning of Qin dynasty, in ShunZhi, KangXi and YongZheng period, the basic procedure of reliving victims of disasters includes reporting disaster, prospecting disaster and checking househould, and the main measure contains post-disaster relief work, loans making, postponing and exemption of taxes. In this time, the government usually stored grains preparing for famine in ChangPing, She and Yi barns. The government’s practice of disaster management in the Qianlong era was largely the same as those of Kangxi and Yongzheng times except for certain time adjustments to better accommodate post-disaster relief work, Loans making and postponing and exemption of taxes etc. As for disaster relief work, Emperor Qianlong had always stuck to the principle that relief aids should be available to anyone victimized, which involved distribution of pensions, routine relief aids, additional relief aids and free porridge service, The disaster relief policies were generous, especially when it came to additional relief aids that were distributed almost every year. All relief aids came from state revenue and the emperor was against any official’s personal involvement in relief aids distribution except in the free porridge service to villagers. During the 60 years under Emperor Qianlong’s reign, mere relief aids cost the imperial government as much as beyond means of statistics and estimation. Emperor Qianlong also went further than preceding reigns in loans making and tax exemption, staging increasingly generous policies, which did allow disaster victims enough resources to sustain themselves and did have positive effects on stabilization of food prices. Tax exemptions in victimized areas were an important part of Emperor Qianlong’s disaster management policies. Not only were the exemption policies substantially carried out, but disaster victims were also often given preferential treatments in times of war etc. which cost surprisingly much at times. Emperor Qianlong sold government food reserves to disaster victims at lower prices than they had been bought in, which actually meant government food subsidy, so as to better ensure that the victims could make it through natural disasters. Besides food and fund allocations to disaster stricken areas, the emperor also made use of the market mechanism to promote easy transference of food throughout the country. All the above eventually helped guarantee food supply in victimized areas. Yet despite his continuous hectic efforts to promote disaster relief work, the emperor somehow ignored disaster-oriented food reserves, especially food reserves in localities, thus forcing the central government into having to undertake the burden of relief aids, even though the emperor himself had always been aware of the fact that food reserves at the county and city levels were far from enough. In his ardent efforts to sustain his feudalist dictatorship, Emperor Qianlong made tedious attempts with natural disaster management, formulating his disaster management policies that had certain characteristics. This present research will also, by looking into individual disaster management cases, try to reveal how these disaster management policies were carried out, hoping to reveal the many interacting factors underlying the issue.Chapter 5 mainly study the relation among the natural disasters, famine relief and the decline of the Kangxi-Qianlong prosperity-the last prosperity in ancient china, based on chapter 2,3 and 4.It is known to all that the Kangxi-Qianlong prosperity begins to decline at the middle-age in the QianLong era. But no one in the academic circles connects the decline of the Kangxi-Qianlong prosperity to the natural disasters and policy of reliving victims of disasters in the QianLong reign so far. In fact, there is inherent and essential law among them. It mainly shows that: The natural disasters destroy the agriculture,and makes the traditional stagnant agriculture lag behind. In form, the policy of reliving victims of disasters in the QianLong reign helps the agriculture recover and develop, but next to nothing in fact. On one hand, frequent natural disasters compel the government to relive victims of disasters in the disaster area. On the other hand, lending money or grain and postponing in the disaster area, makes huge sum of money or grain end up with nothing definite, also impact the public revenue. The government and the common pauper contact firmly temporary faced with severe natural disasters, because the pauper can not subsist without the government. In the meantime, the victims of a natural calamity are more clear about the situation of corruption,etc.And the frequent floods and droughts are the manifestation of maimed water conservancy. In the feudal society, the peasants are the most poor. Undoubtedly, the peasants suffer the natural disasters and famine, and they are very poor originally, labour all the year round, always feel hungry and cold, so we may visualize that the life of the victims of a natural calamity must be worse than anything imaginable. Although Emperor Qianlong makes great efforts to rescue the victims of a natural calamity, the total of grain is insufficient severely throughout the country, and with frequent natural disaster and severe corruption, the policy of reliving victims of disasters in the QianLong reign can not resolve the fundamental questions of the victims of a natural calamity. At the same time, the victims of a natural calamity usually struggle for grain, although all is defeated by the government. The victims of a natural calamity roam about uninterruptedly, the government also takes measures to help them settle down, but can not keep the tide of roaming about within limits. At last, the victims of a natural calamity are the chief force of the insurrectionary army rebelling against the feudal lords in the middle and later period. Now we draw a conclusion that the natural disasters in the QianLong reign cause turbulence and unrest. At last, the Kangxi-Qianlong prosperity disappears accompanying with the natural disasters and people’s rebellion.Chapter 6 is a summery and refinement of Chapters 2 through 5, concluding that the Qianlong era of the Qing Dynasty was a time with the most frequent natural disasters in ancient China. Natural disasters of this period displayed certain characteristics, e.g. diversity and high frequencies of disasters, uneven distribution both in space and in time and their close connection with local geographical features and landscapes etc. Natural disasters greatly affected agriculture and state revenue of the time as well as threatening people’s lives and property and causing the severe problems like homelessness and social instability.Basically, it was to sustain his feudalist dictatorship that Emperor Qianlong spared no effort in disaster management though his faith in Buddhism also played an important part in all this. Disaster management of the time had the following features: vigilance and discretion of government officials of all levels; policies and measures varied according to actual situations; state revenue playing the sole key role; overwhelming formality with few substantial achievements; disaster aids unbalanced among provinces etc.The reigns of Emperors Kangxi and Qianlong as the last period of prosperity in China’s ancient history began its decline in the middle of the Qianlong era. Frequent natural disasters and their management were important reasons for the decline though many other factors lay behind it as well. We’d draw the following conclusions out of our comprehensive investigation into the natural disasters and their management during the reign of Emperor Qianlong, as well as the affect they had on the decline of his reign: First, natural disasters are inevitable; Second, Natural disasters are a key factor hindering social and economic development; Third, disaster management policies are a double-edge sword and requires vigilant implementation; Fourth, Construction of a harmonious socialist society presupposes priority being given to scientific disaster prevention and relief work.Despite the author’s ardent work with data collection and statistical analysis, inaccuracies and defects in the paper would still be inevitable considering the limitations of time and resources available, e.g. inaccuracy with the sequences in which certain disasters affected certain cities and counties, incomplete statistics regarding disaster management, analysis only made on human factors of disasters, description of the relationship between decline of the Kanxi-Qianlong period of prosperity and natural disasters being insufficient and incomplete etc.更多还原