【作者】 丁建军；

【导师】 汪圣铎； 姜锡东；

【作者基本信息】 河北大学 ， 中国古代史， 2009， 博士

【摘要】 宋朝是继唐末五代分崩离析之后建立的、一个统一了大半个中国的、新的中央集权的专制王朝。立国后的宋朝统治集团,总结了前代尤其是唐末以来治乱兴衰的经验教训,以“事为之防,曲为之制”的原则为指导,采取了崇文抑武、强干弱枝、分割地方权力、加强中央集权、分割部门权力、加强皇帝集权等一系列政治措施,虽然比较好地扭转了唐末以来地方藩镇割据、尾大不掉,以及五代以来王朝更替频繁的局面,但也付出了巨大的代价,那就是叠床架屋的政府机构和不断膨胀的官员人数。为了扩大统治基础,宋朝统治者通过科举考试、恩荫等方式,将大量的读书人吸收到其政治体制之中,从而在中国历史上形成了一支数量远比前代庞大的官僚群体。为了解决官员管理的问题,宋朝创立或改进了一系列官员管理制度,诸如选官制度、俸禄制度、磨勘制度、考课制度、注授差遣制度、官阶制度、印纸批书制度、监察制度、监司巡历制度、特使按察制度、任职回避制度、丁忧制度、迎送制度、致仕制度等等。本文着重论述宋朝的官员考核制度和影响该制度运行效果的各种制度因素和非制度因素。在中国古代,考核被称为“考课”或“考绩”。宋朝的官员考核制度是在继承前代官员考核经验的基础上,结合本朝的实际,逐步发展完善,并形成了宋朝官员考核制度的特点：差遣职任考核与官阶晋升考核相结合。宋朝对官员的考核,既是朝廷了解各地、各部门治理情况以及官员治绩的重要渠道,又是官员升迁阶官、铨选差遣的重要依据之一。为了激励和督促各级官员尽职尽责,宋朝政府几乎将所有的官员纳入了考核的范围。它不仅对诸司郎官进行考核,更注重对路级监司、州县官员的考核；不仅对亲民官进行考核,而且对直接负责商税、课利征收的监当官进行考核。根据各级、各类官员职责的不同,宋朝制订了不同的考核指标。对六部郎官的考核,主要侧重其处理政务的多少以及错误率的高低；对路级监司、州县官的考核,除了其履行职责的情况外,也考核其品行,不仅每年对官员进行综合性的考评并写出考词,而且更有大量的专项考核；对监当官则主要考核其征收商税、课利的业绩。为了全面掌握官员的为政业绩,宋朝开创了官员印纸历子批书功过的制度,即官员上任之时,由政府发给印纸历子,用于记录其任职期间的功过,待其任满后由主管部门对所批内容进行审查和考核。在宋朝,负责考核官员的机构不仅有像考课院、磨勘院,以及元丰改制后的吏部等专门的人事管理机构,而且一些业务主管部门也参与对地方官员与本部门主管业务相关的业绩之考核,如三司、元丰改制后的户部、南宋时的总领所等就直接负责考核官员的财经业绩,而刑部和大理寺则负责对官员的审案断狱业绩的考核。宋朝官员考核制度的特点还体现在以下几个方面：一、在考核对象方面,尤其注重对地方官的考核。二、在考核内容方面,除了对官员进行全面的考核之外,更加注重对官员财经业绩的考核。三、在考核方法上,体现了综合考评与重点考评相结合,既有全面记录官员业绩以供考核的印纸批书、上级为下属撰写评语——考词,对官员进行综合考评,更有针对某一项业务的专项考核,如针对州县户口增减的考核,针对地方政府上供钱物完成情况的考核等,并且在多数情况下,专项考核方法应用更为普遍。四、注重量化考核,尤其是在对官员课利征收业绩的考核方面,多采用与定额或前界比较增亏的方式,并根据增亏的比例决定对官员的赏罚。五、宋朝与官员政绩考核结果相关的赏罚主要有两种类型：一是经济奖惩,即增俸、罚俸,或赏钱、罚钱；二是行政奖惩,而行政奖惩又有以下分别：1、与磨勘转升官阶相关的奖惩,最常见的是对官吏给予提前晋升或推迟晋升的行政奖惩,即减磨勘或展磨勘若干年等；2、直接的升官阶或降官阶；3、与差遣相关的奖惩,即直接予以升陟或降差遣。凡是考核在优等者,往往得到减磨勘年、减举主,甚至升官阶、升差遣的奖励；而考核在劣等者则往往会受到展磨勘年、加举主,甚至降官阶、降差遣的处罚。再就是考核优等者,给与“优便”差遣。总之,宋朝试图在制度设计方面将循名责实的考课法与论资排辈的年劳法结合起来,这一点对后世的官员考核与管理影响深远。本文在吸收前人研究成果的基础上,力争推陈出新,区分了宋朝官员的职任考核(岁考、任满考)与升转阶官的晋级考核(磨勘考课),并论述了职任考核与磨勘考课、注授差遣的联系；对宋朝官员职任考核的基本措施——印纸批书制度的论述较前人更加系统、深入；对宋朝考核官员的方式、指标和奖惩办法之分析也较前人细化；得出了宋朝官员考核制度细腻、详备是前所未有的；宋朝地方官员考核制度是宋朝官员管理体系中的重要组成部分,因此,宋朝考课法不振的传统观点是不全面的。宋朝的官员考核制度适应了宋朝官员管理的需要,既有人事管理部门对官员的综合考核,也有业务主管部门对官员的对口业务考核,考核程序规范化、考核指标与等级明确化、考核结果与奖惩对应。这些对于当今我国政府对公务员的考核、企事业单位对员工的考核都有重要的借鉴意义。但宋朝在官员的选任管理方面,实行的仍然是君主专制政体下的等级授职制。在这种体制下,上级部门制定的刚性考核指标对于官员往往有指挥棒的作用。由于受财政压力的影响,宋朝在考核官员方面过分偏重对官员财经业绩的考核,导致了官员的过分征敛,加剧了官民矛盾。这则是值得我们汲取的教训。此外,由于区域性的巨大差别,官员考核制度在不同地区的执行情况也各有不同。由于皇帝、权臣等权势者的滥用权力,考核铨选部门官吏的贪婪,导致官场潜规则大行其道。包括官员考核制度在内的各种官员管理制度,在实际运行过程中总是遭到权势、金钱、人情等非制度因素的破坏,其中的历史经验教训也发人深省。更多还原

【Abstract】 Following the late Tang dynasty and Five Dynasties, Song Dynasty set up a new centralized autocratic dynasty which unified more than half of China’s territory. Song Dynasty summarized the previous dynasties, especially the Tang Dynasty’s experiences and lessons of governing the country. Putting prevention as guidance, it takes a series of political actions such as advocating art and inhibiting force, strengthening central authority and weakening local authority, splitting local powers, strengthening central powers, splitting department powers, strengthening emperor centralization. Although these actions twist the Fanzhen separatism and agencies redundancy situation since the late Tang dynasty, they also pay the price for it, that is the plethora of government agencies setup and ever-expanding team of officials. In order to expand ruling basis, Song dynasty rulers take such measures as imperial civil examination, Enyin system and Jinna system, thereby absorbing a large number of the children of Literati, officials and landlords in this political system, which.eventually form a larger number of the people of the bureaucracy than that in previous dynasties in Chinese history.In order to solve the official management problem, Song Dynasty created or implemented a series of Official management system, such as Checking system, assessment system, rank system, paper printing and books wholesaling system, monitoring system, supervisor patrolling system, special envoy checking system, position avoiding system, funeral holding system, protocol system, querying duty system, and so on. This essay focuses on the Official examination system in Song Dynasty.Assessment was known as the "test" or "performance" in ancient China. The Official examination system in Song Dynasty inherited officials assessment experience in previous dynasties, combined the Song Dynasty’s reality and gradually developed and consummated, forming Song Dynasty official assessment system characteristicsAssessment of officials in the Song Dynasty is not only a key method for Court to know different localities and departments governance and officials’ Governance performance, but also one of the key reasons for officials’promotion. In order to encourage and urge officials at all levels fulfilling their duties, almost all of the Song Dynasty government officials were put into the scope of the assessment. It not only assessed those officials of all departments, but focused more on the assessment to supervisor of Lu level and officials in state and county; not only assessed officials who were close to residents, but also assessed officials who were responsible for levying tax.According to all kinds of different duty of different level of officials, the Song Dynasty developed the different types of assessment officials’target. Among them, the assessment to Lang officials in six departments focused mainly on the number of government affairs they dealt with and the number of error rate; the assessment to supervisor of Lu level and officials in state and county focused on both the performance of duty and their behavior. The assessment to officials who were responsible for levying tax focused mainly on achievement of the amount of tax they imposed.In order to completely control the government officials’performance, Song Dynasty created a regulation recording the scores of the officials on the papers of Yinzhi Lizi, that is when officials took office, the government would provided the papers of Yinzhi Lizi for recording the merits and demerits during their inauguration and the director department would assess and review the written contents after their expiration. In Song Dynasty, not only Assessment Department, Checking Department and Officials Department after Yuanfeng reform, but also some business departments are responsible for assessment and promotion, such as 3 Branches and Civil Department after Yuanfeng reform, General Council in Southern Song Dynasty which is directly responsible for assessing officials’financial performance, Criminal Department and Dalisi took part in assessing officials settling lawsuits performance.Official assessment system in Song Dynasty has its own characteristics. Firstly, regarding assessing objects, it particularly emphasized the assessment of local officials. Secondly, regarding assessment contents, except for officials’well-rounded assessment, it paid more attention on the assessment of officials’business performance. Thirdly, regarding assessing method, it has recording papers to record officials performance, the comment the superior wrote to the subordinate to assess officials generally and also special assessment of a business, such as the assessment to the change of the number of registered residents in states and counties, the assessment to the completion of government supplying money and goods. And in most cases, the latter special assessments were used more common. Fourthly, focusing on quantitative assessment, especially in the aspect of officials leaving tax performance, it should adopt the method of comparing to quota, award or punish officials according to the ratio of losses.Furthermore, the official management system in Song Dynasty is very complex and the official examination system always combines with Checking system, Recommending system and Selecting system. There are two main types of reward and punishment associating with official performance evaluation, one of which is economic incentive, including gratuities, fines, the other of which is administration incentive. As a result of Song Dynasty implemented the separation of rank and dispatch, the officials administration award and punishment in Song Dynasty can also be divided into three parts:1) the award and punishment about checking and promotion. The most common administration award and punishment is the officials’advanced promotion and delayed promotion, that is decreased checking or increased checking in several years; 2) Direct promotion and demotion; 3) the award and punishment about dispatch, that is direct promoting dispatch or demoting dispatch. The excellent officials in this assessment were usually achieve decreasing checking years and recommender, and even promotion or promoting dispatch as award; while the bad officials in this assessment were always got punishment such as increasing checking years, recommender, and even promoting and demoting dispatch.Because Song Dynasty remained emperor authoritarian, they implemented the system of level awarding grades under the control of emperor authoritarian in official selection management. Under this system, due to the abuse of power by people in power such as emperor and ministers, the greed of officials in assessment and promotion department, the effect of the unspoken rules of officialdom and various officials management system including official assessment system, it suffered numerous damage on power, money, human and other non-institutional factors when put into practice.更多还原