【作者】 王刚；

【导师】 马新；

【作者基本信息】 山东大学 ， 中国史， 2024， 博士

【摘要】 乡里制度是古代中国延续两千余年的地方行政制度。乡里组织作为地方基层行政组织,其制度设计与运行实态事关国家治乱,“天下大稔,乡里咸安”是古代治政者的追求。中国古代乡里制度发生、发展并形成于春秋战国时期,后世乡里组织虽有“保”“甲”“牌”等形式变迁,但其内涵与职能并未超出春秋战国乡里制度的基本范畴。而春秋战国时代在中国古代历史进程中占有重要地位,其变革发展对后世产生深远影响。以春秋战国乡里制度为视角,可以深化对春秋战国社会变迁的认识,尤其可对其经济形态、社会结构和基层居民结构的变迁作细致观察。“乡”和“里”在西周时期就已出现,但西周的“乡”“里”都不具备后世基层行政组织的意义。西周的乡是一种局限于“国”中地区,具有军事编组色彩的区划。西周的里最初设置在王都大邑中,后在城郊和“野”中地区亦有设置。里是一种特殊的“邑”,与野中小邑相比,二者最重要的区别是里中居民主体是“国人”,而野中邑内居民主体是“野人”。西周里中居民多里聚合一,其内部一里一族和一里数族的现象都存在。春秋战国时期的“乡”和“里”突破“国”的地域限制,在国野地域范围内更为普遍地设置,乡的层阶降低而数量变多。那些原本在“野”中的邑、鄙、州、县之类小聚落也被逐渐纳入里制。春秋时期,一部分邑、里被贵族占有,构成都鄙系统,并在此基础上构建乡里行政体系;公室则占有并统合其所能掌控的邑、里,构成地域性的乡里行政体系,其时地方行政体系并不统一。战国诸雄并立,各国地方行政体系亦未统一,诸国内部地方行政体系亦非一以贯之,而是逐步建立。到战国末期,诸国普遍建立乡里基层行政体系,乡和里方具备基层行政组织之义。春秋战国时期,随着各国逐渐构建起乡里行政体系,乡官里吏的职能也逐渐充实、具体。春秋早期的乡官职能不显,后日益具化,战国乡官政务繁多。主要有贯彻朝廷政教法令,协理讼狱,维持治安,堡聚乡里,追亡捕逃,纠察非法流亡人口,案比户口,编制户籍等行政职能;乡官还负责计户授田,征发徭役,征缴租赋,发展农业生产等经济事务;另外乡官还负有教化职能。战国里吏职能附丽于乡,且带有差役的性质。总体而言,乡官里吏对里中百姓的管控是全面且深入的。战国什伍组织是脱胎于军制的居民编组,其职能相对简单。战国诸国创立县—乡—里地方行政体系,而尤以秦国为典型。秦国县乡政务运行颇具地域和时代特色。秦县在令、丞、尉这类长吏之外,分曹置官,县廷负责乡官里吏的任免、考课和迁转。秦乡内设乡部和田部,乡部吏统管一乡政务,田部吏负责计户授田,编订田籍,兴修农田水利,督课农业生产,征收田租刍稾,组织公田生产和蓄养官畜等,二者职能有所交叉又各有侧重。乡中还设乡仓、乡亭、乡库这类“离官”,乡部吏部分政务需与乡中离官协同办理,并在县廷领导下展开政务。对于临时性事务,县廷通过行政文书的方式通告乡廷;常规性的公务,由归口的相关列曹处理。秦乡政的实质是县政的延伸,基本事务均需县廷及有司决策或安排。春秋战国时期社会变迁,尤其是社会经济形态变迁,社会结构调整和基层居民结构的变化共同推动了春秋战国乡里制度发生、发展和形成。首先,以社会经济形态变迁为视角。春秋中后期,井田制越发不适应时代需求,尽管各国对井田制不断调整补充,但受传统宗法血缘社会影响,宗法贵族主导的赋税和田制改革不能超越宗族土地所有制,不足以完全改变父家长大家庭的劳动组合形式。而个体小家庭之类更小的劳动组合形式在不断发展壮大,这就为战国授田制的施行提供了现实需求。战国时期各国施行普遍授田制,这是土地国有制向土地私有制过渡的一种制度,其内核是土地国有制,但其中蕴含着土地私有化的因素。它确保了国家政权对土地的调配权与最终所有权,有利于旧有土地制度的打破与新土地关系的推进。授田制推动了以个体家庭为单位的小农经济的发展,也促进了社会流动。西周春秋时期,基层社会的经济结构较为单一,在工商食官的大格局下,以粮食生产为主的农业生产是基本经济门类。战国时期,随着授田制与个体小农经济的发展,经济结构在以粮食生产为主的基础上,逐步多元化、复合化。除粮食生产外,战国农民还兼营家庭副业,与商人和手工业者也发生了广泛的经济联系。其次,以社会结构调整为视角。春秋时期,社会由大小不一的家族构成,家族是相对独立的政治经济实体。个体命运隐没在家族之内,其身份地位由其所在家族地位及其在家族内血缘关系所决定。士以上拥有爵位的贵族有相对严格的等级区分,数量众多的庶民则社会地位相近,其生活水平也约略无差。战国时期,各国推行崇尚军功的爵位体系,促进了社会身份性结构的调整。有爵者显华,无爵者虽富不贵,爵位即决定个体的身份与社会地位。随着小农经济的发展,过去农民家庭生活水平约略无差的局面被打破,社会上贫富分化现象已比较严重。农民也分化成地主、自耕农、庸耕农、依附民和徒隶五个阶层。最后,以基层社会居民结构为视角。春秋时期,人们族居于里、邑之中,“生相聚,死相从”的家族为基本构成单位,一里一族的情况在贵族居里中应更常见。但里中血缘关系也逐渐遭到有限的破坏,具有不同血缘关系的数个家族成员族居一里的现象也逐渐发展起来。其时里中地缘关系发展尚不充分,“伍伍相比”的地缘外壳下包裹着浓重的血缘内核。战国时期,里中居民多由具有不同血缘背景的小家庭构成,其内部形成较纯粹的地缘关系。受历史惯性影响,里中也不排斥家族的存在,其由具有一定宗法血缘关系的家庭组成。无论哪一种居民结构,所有居民都处在地缘性的乡里组织体系中。探究春秋战国乡里制度,知春秋战国乡里制度是古人为适应社会变迁而进行的地方行政体系的调整和重构,这对后世产生了重要影响。其不仅是古人治国智慧的体现,也是古代中国制度文明的重要组成部分。更多还原

【Abstract】 The village system is a local administrative system that lasted for more than two thousand years in ancient China.As a local grass-roots administrative organization,the village organization’s system design and operation status are related to the world’s governance."The world is harvested and the village is peaceful" is the pursuit of ancient governors.The village system in ancient China occurred,developed,evolved and finalized in the Spring and Autumn Period.Although the village organization of later generations had the forms of "bao","Jia" and "pai",its connotation and function did not exceed the basic scope of the village system in the Spring and Autumn Period.The Spring and Autumn Period occupies an important position in the process of ancient Chinese history,and its transformation and development have a profound impact on later generations.Taking the village system in the Spring and Autumn Period as the perspective,we can deepen the understanding of the social changes in the Spring and Autumn Period,especially the economic form,social structure and grass-roots residents structure.Xiang and Li had already appeared in the Western Zhou Dynasty.But neither Xiang nor Li had the significance of grass-roots administrative organization in later ages.Xiang of the Western Zhou Dynasty was a kind of regionalization limited to the areas of the "guo" with military organization.Li of the Western Zhou Dynasty was initially set up in the big towns of the capital,and later in the suburbs and the "yeo"areas.Li was a special "yeo".Compared with the small towns in the wild,the most important difference between the two was that the main inhabitants in Li were "guo people",while the main inhabitants in the towns in the wild were "yeo people".The inhabitants in Li of the Western Zhou Dynasty gathered together in many Li,and the phenomenon of one family in one Li and several families in one Li both existed.The "Xiang" and "Li" in the Spring and Autumn Period broke through the geographical limits of "Guo",and were more commonly set up in the territory of the country.The number of Xiang decreased and the rank of Xiang increased.Those small settlements such as Yi,Bi,Zhou and County that were originally in the "Wild"were gradually included in the Li system.During the Spring and Autumn Period,some Yi and Li were occupied by the nobility,forming the Du Bi system.The government occupied and integrated the Yi and Li it could control,forming the regional Xiangli administrative system.The local administrative system was not unified.With the establishment of the Warring States,the local administrative system was not unified,and the local administrative system of each state was not established in a coherent manner,but gradually.To the end of the Warring States,the grass-roots administrative system of the village was generally established in the states,and Xiang and Li also had the meaning of grass-roots administrative organization.During the Spring and Autumn and the Warring States periods,as the administrative system of the villages was gradually established,the functions of the township officials were gradually enriched and specific.The functions of the township officials in the early Spring and Autumn period were not obvious,but in the Warring States period,they were very complicated.They mainly carried out the political and religious laws of the court,assisted in lawsuits and prisons,maintained public order,gathered the villages,pursued the dead and the fugitives,investigated the illegal exiled population,compared the household registration,compiled the household registration and other administrative functions;the township officials were also responsible for the economic affairs such as the granting of land by households,the collection of labor,the payment of rents,and the development of agricultural production;in addition,the township officials also had the function of education.The functions of the township officials in the Warring States period were attached to the township,and had the nature of a clerk.In general,the township officials’ control over the people in the town was comprehensive and in-depth.The Shiwu organization in the Warring States period was a resident organization born out of the military system,and its functions were relatively simple.The Warring States created the county-township-li local administrative system,especially the Qin Dynasty as a model.The county and township government affairs of the Qin Dynasty had regional and historical characteristics.In addition to the chief officials such as ling,cheng and yu,Qin county had Cao as officials,and the county court was responsible for the appointment,examination and transfer of township officials.Qin township had Xiangbu and Tianbu.Xiangbu officials controlled the affairs of the township;Tianbu officials were responsible for the calculation of household land grant,the compilation of land registration,the construction of farmland water conservancy,the supervision of agricultural production,the collection of land rent quotas,the organization of public land production and the raising of official livestock,etc.;the two functions were crossed and each had its emphasis.There were also "off-duty officials" such as township warehouses,township pavilions and township stores in the township.Some of the affairs of the township officials had to be handled with the off-duty officials in the township,and the affairs were carried out under the leadership of the county court.For temporary affairs,the county court notified the township court through administrative documents;routine public affairs were handled by the relevant Cao.The essence of township government was the extension of county government,and the basic affairs needed the decision or arrangement of the county court and the relevant divisions.The social changes,especially the social and economic changes,the social structure adjustment and the change of the basic residents structure in the Spring and Autumn and the Warring States periods,jointly promoted the emergence,development,evolution and finalization of the village system.Firstly,the changes of social and economic forms are taken as the perspective.In the middle and late period of the Spring and Autumn Period,the well-field system could not meet the needs of the times.Although the countries constantly adjusted and supplemented the well-field system,the tax and land system reform led by the patriarchal aristocracy could not go beyond the patriarchal land ownership and was not enough to completely change the form of labor combination of the patriarchal extended family.However,the smaller form of labor combination such as individual small family was constantly developing and growing,which provided a realistic demand for the implementation of the land grant system in the Warring States Period.In the Warring States Period,the countries implemented the universal land grant system.It was a system of land ownership transition to land private ownership,the core of which was land state ownership,but it contained the factor of land privatization.It ensured the state power to allocate and ultimately own the land,which was conducive to the break of the old land system and the promotion of new land relations.The land grant system promoted the development of small-scale peasant economy with individual family as the unit,and also promoted social mobility.In the Spring and Autumn Period of the Western Zhou Dynasty,the economic structure of the grass-roots society was relatively simple.Under the general pattern of industry and commerce and food officials,agricultural production mainly focused on grain production was the basic economic category.In the Warring States Period,with the development of the land grant system and individual small-scale peasant economy,the economic structure gradually diversified and complexed on the basis of grain production.In addition to grain production,the peasants also engaged in sideline businesses and had extensive economic ties with merchants and craftsmen.Secondly,the adjustment of social structure.In the Spring and Autumn Period,the society was composed of families of different sizes,which were relatively independent political and economic entities.The individual’s fate was hidden within the family,and his identity and status were determined by his family status and his blood relationship within the family.The nobles with titles above the officers had relatively strict hierarchical distinctions,while the numerous commoners had similar social status and their living standards were roughly the same.In the Warring States Period,the title system promoted military merit,which promoted the adjustment of social identity structure.Those with titles were distinguished,while those without titles were neither rich nor noble.Titles determined an individual’s identity and social status.With the development of small-scale peasant economy,the situation that farmers’ family living standards were roughly the same in the past was broken,and the social polarization of poverty was serious.Farmers were divided into five classes:landlords,yegongnong,Yonggengnong,dependent people and slaves.Finally,the basic social residents structure as a perspective.In the Spring and Autumn Period,people lived in the villages and towns.The family "gather together in life and follow each other in death" was the basic unit,and the situation of one family in one village was more common in the aristocracy.But the blood relationship in the village was gradually destroyed,and the phenomenon of several family members living in one village with different blood relationship gradually developed.But the geographical relationship in the village was not fully developed,and the geographical shell of "compared with each other" was wrapped with a thick blood core.In the Warring States Period,the residents in the village were mostly composed of small families with different blood backgrounds,forming a more pure geographical relationship within itself.Influenced by historical inertia,the village did not exclude the existence of families,which were composed of families with certain patriarchal blood relationship.No matter what kind of residents structure,all residents were in the geographical village organization system.The village system in the Spring and Autumn Period and the Warring States Period is the adjustment and reconstruction of the local administrative system carried out by ancient people to adapt to social changes,which has an important impact on later generations.It not only reflects the wisdom of the ancients in governing the country,but also an important part of the ancient Chinese institutional civilization.更多还原