【作者】 王灿；

【导师】 张富祥；

【作者基本信息】 山东大学 ， 史学理论与史学史， 2011， 博士

【摘要】 《尚书》是中国原生本土文化的第一次凝聚成书；它奠定了中国史学的根基,型塑了其基本面貌,涵盖了其基本主题；在某种意义上塑造了中华民族的性格。关于《尚书》历史思想研究,学界已有部分成果,只是系统性还显得欠缺,而且没有相关的专题论文、论著；在某些具体方面也应该深入挖掘。今本《尚书》的“今文”部分基本上都有文献依据；“古文”部分也不是凭空捏造,至少可视为后人讲章的汇编或相关材料的辑佚。本论文在研究《尚书》历史思想时,既注意历时性地看待《尚书》文本源流,同时尽量从《尚书》整体思想、编纂体例等方面着眼,不斤斤计较于《尚书》的某一具体细节或个别语句,并且一般不再区分“今文”“古文”,而是把今本《尚书》整体作为研究的文本基础。本论文所言“历史思想”,主要指对作为客观存在的“历史”(而非“史学”)的思考。凡是《尚书》对“历史”本身的观察、感受、议论,无论是明显表露出的观点,还是隐含在文本及其编纂体例之中的,都在探讨之列。本论文主要从历史天人观念、历史变动观念和历史功用思想等方面入手研究《尚书》历史思想。另外,《尚书》编纂中所反映出的华夏民族文化共同体历史意识也是研究的重要着力点。本论文中心观点是：《尚书》历史思想是中国农业文化背景下,带有鲜明实用理性主义色彩的“王道”史观。本论文要点是：《尚书》历史思想本身就经历了“神本”色彩渐淡、“人本”意味日重的过程。它以中国古代典型农业文化和宗法制度为背景,带有浓厚的人文主义、实用理性主义和“大一统”思想色彩。在历史天人观念上：它主张“天意”反映于“人心”,“人”在历史中最终起决定作用,历史并非“神”创,所有的“人”都是历史的主体；在历史变动观念上：《尚书》不设计历史“乌托邦”,不重玄想,而是从实用理性主义出发看待历史变动,既承认历史变动的必然,又肯定往昔淳厚、古朴的境界；在历史功用思想上：“殷鉴”思想、“忧患”意识和“先王”观念三者实为一体,均可视为历史思想范畴。从《尚书》编纂看,其“四代”观念突出表现了华夏历史意识和“大一统”政治观。本论文主体部分共分七章。第一章,探求《尚书》历史思想与先秦历史文化的关系。今本《尚书》基本可以看作先秦历史文献或其遗留,因而有必要置之于宏阔历史背景和学术发展脉络中,探讨它的学术地位和时代特色。作为中国第一部史书,《尚书》集中反映了先秦思想文化的主要特点,凝结了中国“三代”以来的历史意识和思想,带有宗法色彩,并经过了周人典型农业文化的改造。《尚书》既是对此前中国原生本土文化和史学的第一次总结,又成为后世推崇和研读的经典,其学术地位承前启后,诸子百家和历代学者都从中汲取营养。它的历史思想在号称“历史之国”的中国,影响极为深远。《尚书》历史思想本身还清晰地反映出由“神本”向“人本”逐渐演变的轨迹。《尚书》本身,堪称“王道”思想的最早凝聚。第二章,从《尚书》编纂体例、用语等方面探讨华夏民族文化共同体历史意识的起源、发展及其与“大一统”政治观等思想观念的关系。《尚书》从最初开始流传到编纂成书,经历了漫长的过程,因而它的编纂体例、用语等方面与《尚书》文本所记载的时代之间存在差异。《尚书》在中国学术史上,最早按照虞、夏、商、周四代的顺序编纂,这种“四代”观念多见于先秦古籍,应是春秋战国时代才形成,是反向构筑起来的华夏历史系统,即由周、商、夏依次上溯而至尧、舜时代,体现了华夏历史意识。这种历史意识的内涵是：历史是在“天下一统”的情形下运行的,历史的主体是“一统”的华夏民族文化共同体,而不是分裂的各个小族群。从另一个角度看,这种华夏历史意识也是一种“大一统”政治观,对后世产生了重要影响。华夏历史意识还与“华夷之辨”密切相关。《尚书》“华夷”思想以文化为根本标准,并没有绝对的血缘界限和地域区隔,具有很强的包容性和灵活性,与现代民族意识有很大不同,这是王道史观最重要的体现之第三章,探讨《尚书》历史天人观念(含历史本原思想和历史主体思想)。在《尚书》中,历史是本然的客观存在,并非“天”(“神”)创；“天”看似对历史中的“人”起决定作用,但这只是“虚悬一格”,最终起作用的是“人”,即《尚书》中所说的“天视自我民视,天听自我民听”之意；历史的主体既不是“天”,也不仅仅是统治者,而是所有的“人”,甚至主要是一般的人民。《尚书》天人观念的和谐性；历史本原的客观性；历史主体的人本性和平等性——这些都反映出《尚书》历史思想的人文主义色彩。《尚书》天人观念还含有中国式宗法色彩。《尚书》历史天人观念,体现出明显的人文主义倾向和“民本”色彩；同时,它也是《尚书》历史变动思想和功用思想的基础。第四章,探讨《尚书》历史变动观念。《尚书》“稽古”思想,表现出它对历史连续性和继承性的重视。它认为：由于“天命”的改变(实指民心的向背),发生“革命”是正当的、必要的。《尚书》认为,人类历史既非前进,亦非后退,而是不同时代的递嬗和“盛”“衰”的循环。《尚书》从道德和社会变动的两重性视角看待历史的变动,认为：在道德的淳朴和社会的和谐、稳定上,今不如古；但是社会的变动又有不可否认和抗拒的必然性。这些较突出地体现了《尚书》历史思想的辩证性和实用理性主义色彩。《尚书·洪范》“五行说”被后世阐发、引申成为循环论,影响极大。第五章,探讨《尚书》历史功用思想。“殷鉴”思想发端于《尚书》,是《尚书》和中国历史思想最突出方面之一,历来受到重视；而同样发端于《尚书》的“忧患”意识和“先王”观念也属历史思想范畴,这三者共同构成《尚书》历史功用思想的三个方面：“忧患”意识是其心理表现,“殷鉴”思想是其心理来源及事实、理论依据,而“先王”则是效法的对象。它们相互作用的机制可以概括为：借鉴历史——得到正反两方面经验教训——联系现实——产生“忧患”意识——以历史为“鉴戒”——效法“先王”以趋利避患。《尚书》“殷鉴”思想是“资治”思想的原型。就内涵言,“资治”思想也隐含着“先王”观念(效法的对象是“先王”)、“殷鉴”思想(吸取历史上的经验教训以求有利于现实)和“忧患”意识(考察历史而产生“忧患”意识)三个方面,实乃《尚书》历史功用思想的正常延伸。《尚书》历史功用思想及“资治”思想,与中国史官制度密切相关,其价值应正确评价。《尚书》历史功用思想都服务于它实现“王道”这一根本目的。第六章,探讨《尚书》其他历史思想。主要包括家族历史思想、如何看待杰出人物的历史作用和历史审美思想三个方面。《尚书》有自己独特的家族观念和后嗣观念,认为家族延续及其福祉非常重要,每个人都对他在历史中的所作所为负责,世人行为的善恶会影响后嗣的延续与否和福祉的大小。《尚书》认为少数杰出人物对历史有推动作用,但是他们不能脱离广大人民群众。这些杰出人物是中国文化所特有的“圣贤”型,与西方“先知”型和“英雄”型人物有很大差别。《尚书》历史审美对象包括“人”的品德、功业、力量和历史功用等方面。第七章,在前六章基础上,探讨《尚书》历史思想的影响和当代价值。作为“王道”史观,《尚书》历史思想中的人文主义、实用理性主义倾向以及崇尚和平和包容的精神因素,给中国历史、史学和民族精神烙下了深刻印记,是中华民族精神家园的重要组成部分。它对维护国家统一、保持文化连续性和加强民族凝聚力发挥了重要作用。当今时代,文化“多元化”,政治“多极化”,中国正在和平“崛起”,中国传统文化愈来愈受重视。在这种时代背景之下,汲取和发扬《尚书》历史思想中的精华部分,对矫正当今世界民族主义的流弊、建设和谐、共生的新世界,具有重要借鉴价值和深刻现实意义。本论文力求在以下几方面有所创新：首先,系统梳理《尚书》历史思想,弥补空缺。其次,力求提出一些新看法,比如：从总体上看,《尚书》历史思想是中国农业文化背景下,带有鲜明实用理性主义色彩的“王道”史观；《尚书》编纂与华夏历史意识及“大一统”政治观等思想观念的关系；“革命”论和“忧患”意识在《尚书》中的最早提出及其意义；“忧患”意识与“殷鉴”思想及“先王”观念三者作为历史思想之间的关系；对历史连续性的重视；道德和社会变动的两重性视角；家族历史思想、历史审美思想,等等。这些看法并不成熟,供学界参考。更多还原

【Abstract】 The Book of History (《尚书》) is the first book of Chinese original and local culture in Chinese history, also called the masterpiece synthesized and heightened from the early Chinese culture. It laid the foundation of traditional Chinese history, shaped its basic features, covered its basic theme; and to some extent shaped the overall character of the Chinese nation. China has very rich history intellectual resources, and The Book of History is of no exception. On the History of ideas in The Book of History, although scholars have a considerable number of results of research, they are still not systematic, there are still no special papers for the historical thinking of The Book of History and deeper search is also necessary in some specific aspects.The research of The Book of History taken together by, the part written in the New Text (Chinese character of Qin Dynasty) is dependable; the part written in ancient writings (Chinese character of Post-Qin Dynasty) is definitely not a fabrication, but at least can be regarded as descendants of a compilation of sermons or related materials COLLECTIONS. This dissertation treats The Book of History from the historical thought,from the overall strategy rather than specific details to discuss objects, takes the text of today’s The Book of History as an object, from compiling and text to content systematically all aspects of its history thinking systems, and seeks to put forward some new views in some areas."Historical Thinking" mentioned in this article means an objective existence of the "history" (the evolution of human) rather than "Discipline of History". All the thinking, observation, experience, and comment of The Book of History about "history" itself, whether it is the point of view directly revealed, or concealed in the texts, both will become the object of study.Although the areas of historical thought bear with more contents, this dissertation mainly studies from three aspects including the relationship between Heaven and Man(“天人关系”),historical change and historical function; at the same time, this paper will study conformation of the historical consciousness about Huaxia Nation Cultural Community (the predecessor of the Han nation of Pre-Qin Dynasty, or can be said to be "Huaxia nation") Compilation of The Book of History. On this basis, the last aspect of this paper will study the historical thought of The Book of History’s Historical impact in the history and its contemporary values.The central point of this thesis is:The Book of History’ historical thought is in the context of China’s agricultural cultur, with a clear and practical rationalism of the "benevolent" view of history.The dissertation suggests that the historical thinking of The Book of History take a typical ancient Chinese agricultural culture and the Chinese patriarchal system as its background, take the people as the country’s fundamental, with a strong practical rationalism, human tendencies and the concept of "emphasis on national unity"; If from the duration of the look, the mindset of taking the "God" as the fundamental of mankind and everything in the world gradually give way to taking mankind.. These characteristics are reflected in the concept of Heaven, that is, The will of God depends on the will of the human, "person" eventually plays a decisive role, "man" is the subject of history, and history is not created by "God"; in the history of conceptual change, The Book of History was not designed on a utopia, but based on reality and experience, both the recognition of the inevitable historical change, and longing for past moral realm; for the concept of taking the people as the country’s fundamental, The Book of History particularly focus on the function of history, stressing that The Thought of Yinjian(“殷鉴”思想,the thought of "history can serve as a warning"), The Consciousness of Youhuan(“忧患”意识,the consciousness of trying hard in order to guard against the difficulties) The Concept of Xianwang(“先王”观念,the concept of esteeming and learning the great king of very old ancient). Yinjian Thought, originating from The Book of History, is a unified whole. These are expressing my views on ideological content; if from the perspective of the compilation of The Book of History, its concept of "fourth Dynasties" expresses outstandingly historical consciousness of Huaxia and the political outlook of "emphasis on national unity". All these ideas are all filled with typical Chinese agricultural and patriarchal culture color.The main part of this thesis is divided into seven chapters.Because The Book of History mainly can be seen as basic historical documents of the period of Pre-Qin dynasty, ChapterⅠof this paper aims to explore the relationship among the historical thinking of The Book of History, the historical thinking of the period of Pre-Qin dynasty and the whole ideological trend of history and culture of the period of Pre-Qin dynasty. Because we should avoid discussing The Book of History in isolation, we put it in the broad historical background and the broad context of academic research. As the first history books and writings in the history of China, The Book of History reflects the main features of Pre-Qin Dynasty’s thought and culture, contains the historical consciousness and historical thought of Three Dynasty(“三代”,Xia,Shang and Zhou Dynasty),and its background of thought is humanistic, practical rationalism, and with the color of Chinese patriarchal ideology. As the source of thinking and an important historical classics, The Book of History is the first summary to the Chinese native previous culture and history, also the classics been worshiped and studied, almost all the philosophers of Spring and Autumn Period and all the later dynasties have been great impacted by it, so the status of it is very important, following the former, affecting the later, and carring a special value, and its historical thought was bound to have a far-reaching effect in the history of China known as "the country of history". The historical thinking of The Book of History itself clearly reflected the development path of historical thinking from taking God to human being as the fundamental of history, then had an important impact on historical thinking of Pre-Qin Period.We could understand the cause of historical thinking of Pre-Qin Period from The Book of History. The Book of History itself could be called earliest cohesion of "benevolent" view of history in The Book of History.ChapterⅡdiscusses the origin and development of historical consciousness of Huaxia Nation Cultural Community (the predecessor of the Han nation of pre-Qin Dynasty, or can be said to be "Huaxia natio") from the compiling of The Book of History. The Book of History from the initial spread to be compiled into a book, experienced a relatively long process, which makes the differences between The Book of History and the era depicted in the text in the compilation of style, language, etc. The Book of History first compiled into a book in accordance with the order of The First Four Dynasty (Yu,Xia,Shang and Zhou Dynasty, the earliest dynasty), this concept of "four dynasties"(“四代”观念)embodies the historical awareness of Huaxia Nation Cultural Community. The Book of History been codified according to the order of The Four Generations, Yu, Xia, Shang and Zhou. This "four dynasties" concept prevalent in the ancient Pre-Qin Dynasty, should take shape in the Spring and Autumn Period and Warring States Period. This history system of Huaxia nation had been constructed in the opposite direction of time, and this also was traced from Zhou, Shang and Xia Dynasty to the period of Yao and Shun, and reflected Community of Chinese national culture of Huaxia’ Historical Consciousness (preferred to as "Historical Consciousness of Huaxia Groups").This historical awareness indicates that the history runs in development model of the "World Unity". That means the history is unified in a subject and this thought is respectively inclusive and broad-mindedness, with the pursuit of peace and making people to obey by virtue to achieve this goal. This awareness directly affects the history book Spring and Autumn’s Concept of "emphasis on national unity" (“大一统”)in the political outlook, and have an important impact on China’s future generations. Chinese national historical consciousness was related to the Concept of "emphasis on national unity"(“大一统”),but also related to another problem, that is the difference between "Hua" and "Yi"(华夷之辨)The Book of History tends to the greatest degree of tolerance in the ethnic issues. "Hua" and "yi" criteria for the classification of culture, and there is no absolute limit, and the culture also has human and inclusive as a standard. The Book of History suggests that the subject of history is all people in this world but not only the people of "Hua" and "Xia", which is substantially different to the modern sense of national consciousness or the West. As the first Chinese national historical consciousness in The Book of History is the modern sense of national pride. This is one of the most importanf "benevolent" view of history in The Book of History.Chapter III accesses issues from the relationship between God and man, focusing on the thought of the primitive and subject of history in The Book of History. In The Book of History, the history is authentic objective reality, not created by "God", "God" appears to play a decisive role in the history, but this is only a superficial phenomenon, and is a symbol without practical effect. Its human really plays a role in history, as the so-called ’God see and hear through the people’s seeing and hearing’. The subject of history is not "God", and not only the rulers, but all the "people", among whom is the general people are even more important. The Book of History emphasizes the objectivity of the primitive of history, and the subject of history is "people oriented", united and harmonious. These all reflect the different cultural and social color between The Book of History and Western History and Thought. This kind of thought also establishes the basis of the thought about the historical changes and "History is useful" in "The Book of History’ChapterⅣstudies the ideas of history in "The Book of History" from the perspective of The Ideas of Jigu about history(“稽古史观”,the ideas of history of investigating history in The Book of History) and The Ideas of Geming about History(“革命”论,the ideas about history of changes in the will of God to overthrow the old dynasty establishment of a new dynasty in The Book of History). Jigu Ideas of History reflected its attaching importance to historical continuity and inheritance; on the other hand, it does not deny the changes in the will of God’s overthrowing the old dynasty and establishing a new dynasty at certain times. The Book of History consider that the continuity of human history is more than fracture; human history is not a kind of being forward or backward, but the Evolution of turn; history embodied in the form of external cycle between "governance, peace and stability"(“治”)and "chaos"(“乱”)The Book of History regards the changes from double perspective of change in the ethics and society, and the ancient was better than the present, but social change is undeniable and irresistible objective law. All these reflect that the ideas of history of The Book of History" were practical and rationalism. The thought about "Five Elements" in Hongfan of The Book of History was later expounded to be the idea of a cycle and has a great impact in Chinese history.ChapterⅤrespectively studies The Thought of History is Useful from The Thought of Yinjian(“殷鉴”思想,the thought of "history can serve as a warning"), The Consciousness of Youhuan(“忧患”意识,the consciousness of trying hard in order to guard against the difficulties) The Concept of Xianwang(“先王”观念,the concept of esteeming and learning the great king of very old ancient). Yinjian Thought originated from "The Book of History"), and was not only one of the most prominent aspects about historical thought in The Book of History but also in the whole Chinese historical thought, and it has always been taken seriously by scholors;but Youhuan Consciousness (also originated from "The Book of History") and Xianwang Concept actually belong to the scope of historical thought, and the three together constitute the three dimensions of historical function in The Book of History:Youhuan Consciousness is the psychological expression, Yinjian Thought is the psychological origin and the fact of the theoretical basis, and Xianwang Concept is the emulated-oriented. The mechanism of their producing and interacting mutually can be summarized as:Reading history -being aware of both positive and negative aspects-comparing with social reality-having a consciousness about "hardship" - taking history as "Warning" - learning the great emperors of ancient to be happy, to avoid disaster. The thought of "history can serve as a warning" of The Book of History is the first bud and prototype of the thought of The Idea of Zizhi ("studying of history is good on the rule",“资治”思想,The Book of History was the first source of the thought to the thought of "studying of history is good on the rule". To the both content, the thought of "studying of history is actually good on the rule" also contains three aspects:Yinjian Thought, Youhuan Consciousness and Xianwang Concept,and is the normal extension of the idea of historical function of The Book of History in essence, and there is no essential difference between the two. The reason why The Book of History could have an exceptionally strong idea of historical function, and develop into The Idea of Zizhi and become a tremendous impact, was related to the Official Historian System of which has the relevant major and unique role in China, which is the most important features of Chinese HistoryChapter VI explores the other aspects of the historical thought in The Book of History, including three areas:the concept of family history, the role of outstanding figure in the history and the aesthetic ideas to the history. The Book of History suggests the continuation and well-being of the family is very important, everyone is responsible for his behavior in the history, and also affects their offspring generations on the fact whether they can continue in the history and their well-being. All these were related to their specific idea about offspring. They believe that people can and can only be obtained by the care of their male heirs of their own after the death, and only in this way can they have an eternal life. According to The Book of History, the few outstanding figures in history have a huge role in promoting, but they can not be divorced from the masses, because the subject of history, after all, is all the people. These outstanding figures are unique of Chinese culture, and are very different from the type of the "saints" and "Heroes" in the West. The aesthetic ideas of history in The Book of History include the aesthetic aspects of "human"character, exploits, strength and function of history.ChapterⅦexplores the historical thought of The Book of History’s historical influence and contemporary values on the basis of the first six chapters. As China’s most important cultural element Code, the historical thought of The Book of History bears a deep imprint in the Chinese history, Chinese history subject and the spirit of the Chinese nation and is an important part of spiritual home for its peace, noble and inclusive meaning; humanism, serving the community (taken the people as a foundation of the nation) and rational spirit; practical, empirical and patriarchal colors. The historical thought of The Book of History mainly played a positive and important role on the reunification of the country, maintaining cultural continuity, formation and cohesion of the Chinese nation in Chinese history. Under the background of the times of Cultural pluralism, political multi-polarization, China’s peaceful "rise", and the increasing importance attached Chinese traditional culture, its humanism, rationalism and Peace-loving historical thought of The Book of History can correct the abuses of narrow nationalism in today’s world, and has profound practical significance and important reference value for the construction of harmonious coexistence for a new world. Thought about The Book of History’historical function serve for the fundamental purpose of policy of benevolence.This dissertation seeks to contribute to the academic world in the following aspects: first, to systematically study the historical thinking of The Book of History and make up for this vacancy; secondly, put forward my own new views in some specific aspects such as:the relationship among the compiling of The Book of History, the historical consciousness of Hoaxes Nation Cultural Community and the thought about emphasis on national unity; Geming Theory about History and Youhuan Theory were expressed in The Book of History and their significance; the relationship among Youhuan Consciousness,Yinjian Thought and Xianwang Concept when they are as historical concepts; The Book of History regards the changes from double perspective of change in the ethics and society; aesthetic thought about history and the concept of family history; and so on. These views are not mature; I just put them available to the academic as reference.In short, as this dissertation argues, historical thinking of The Book of History has the following features:Overall, The Book of History’ historical thought is in the context of China’s agricultural cultur, with a clear and practical rationalism of the "benevolent" view of history, respect for peace, tolerance, humanity, practical rationality, and with Chinese patriarchal color; The historical consciousness of Huaxia Nation Cultural Community, attention to continuous history, double perspective of change in the ethics and society, attention to the continuity of history, Geming Thought, The Thought of Yinjian, The Consciousness of Youhuan, The Concept of Xianwang, etc., and all have far-reaching impact on Chinese history, and have practical value.更多还原