宋代专门档案管理研究

【作者】 刘学健；

【导师】 王星光；

【作者基本信息】 郑州大学 ， 中国古代史， 2006， 硕士

【摘要】 宋代档案工作达到了前所未有的水平，取得了突出的成就。在“文人治国”的背景下，宋代产生了浩繁的文书，形成了公文世界。其中，在赋役征派、财务运行、立法和司法审判的过程中，相应地形成了赋役、财会、律法和狱讼四种专门档案，形成了一整套的管理办法。本文在学人研究的基础上，以辩证唯物主义和历史唯物主义为指导，充分运用史学、档案学等学科的理论和方法，分析了专门档案产生的背景，梳理了专门档案的种类和内容，理清了专门档案的管理办法，并指出了专门档案的管理对当前档案工作的理论与实践具有重要的借鉴参考价值。本文分六大部分。 一、宋代的档案工作特征。阐述了宋代档案工作发展的时代背景，指出了宋代在档案工作方面取得的突出成就，包括宋代君臣的档案思想、富有特色的档案管理办法、架阁库制度和系统的档案法规。这些成就的取得，为专门档案工作的发展作了很好的诠释。 二、赋役档案。从赋役制度入手，对宋代的赋税和差役作了详细介绍。指出了一些官员和胥吏在赋役征派过程中，通过涂改、隐匿档案等方法违法舞弊，谋取私利。宋代统治者为了有效地征派赋役，非常重视赋役档案。随后，介绍了宋代户籍、税租簿、丁帐、保甲簿，以及钞、公凭等主要的赋役档案，并从归档、价值鉴定和保管、鉴定销毁等方面，系统阐述了赋役档案的管理办法。 三、财会档案。从宋代的财政制度入手，介绍了财务收支历、簿、帐和旁通册四种财会档案的种类和内容。随后，介绍了财会档案中央和地方的管理机构、分类管理办法、整理和归档以及编纂利用。 四、律法档案。深入探讨了宋代的立法活动，对敕和例两种法律档案作了详细论述。从归档办法、保管、鉴定销毁办法和编纂等方面，对律法档案的管理作了系统梳理和分析。更多还原

【Abstract】 The Archives management of Song Dynasty made unprecedented achievements and reached a high standard. In Song Dynasty, the dominating idea of "governing the regime by intellects" resulted in a complicated construction made up of various types of archives. Among those achieves, those types regarding taxes and services, finance and accounting, legislation, lawsuit and court have been managed with self-improving systematical measures. Guided by dialectic materialism and historic materialism and based on the previous research of scholars and theories and principles of History, Archive and other disciplines, this dissertation firstly analyses the historical background which contributed to the formation of special archives and then classified the types and contents of selected special archives. It also summarized the solutions to manage selected special archives and revealed the value of using both the concepts and practices of Song dynasty’s special archive management solutions as references to improve contemporary archives management. This article consists of six parts.Part one focused on the features of Song Dynasty Archives. This part stated the historical development of song dynasty archive work and listed distinguish achievements including the liege idea, characteristic solutions, room, cabinet and shelve method and systematic legislation. It was those achievements that explained the development of special archive solutions.Part two started with a special archive type for taxes and services. This part introduced the taxes and services of Song Dynasty in details and pointed out the fraudulent facts when some officials tried to figure for self-interests by amending or hiding archives while they were on duty. In order to effectively collect taxes and allocate services, the governors of Song dynasty were very concerned about the archive management of this type. Subsequently, important archives like residence book, taxes and rent account, population record, and the civil administration units named Bao and Jia and also paper money and public vouchers had been gradually out into use. Meanwhile, systematic archive management solutions were更多还原