宋朝地方官員考核制度研究
發(fā)布時間：2018-08-02 08:43
【摘要】：宋朝是繼唐末五代分崩離析之后建立的、一個統(tǒng)一了大半個中國的、新的中央集權(quán)的專制王朝。立國后的宋朝統(tǒng)治集團,總結(jié)了前代尤其是唐末以來治亂興衰的經(jīng)驗教訓,以“事為之防,曲為之制”的原則為指導,采取了崇文抑武、強干弱枝、分割地方權(quán)力、加強中央集權(quán)、分割部門權(quán)力、加強皇帝集權(quán)等一系列政治措施,雖然比較好地扭轉(zhuǎn)了唐末以來地方藩鎮(zhèn)割據(jù)、尾大不掉,以及五代以來王朝更替頻繁的局面,但也付出了巨大的代價,那就是疊床架屋的政府機構(gòu)和不斷膨脹的官員人數(shù)。為了擴大統(tǒng)治基礎,宋朝統(tǒng)治者通過科舉考試、恩蔭等方式,將大量的讀書人吸收到其政治體制之中,從而在中國歷史上形成了一支數(shù)量遠比前代龐大的官僚群體。 為了解決官員管理的問題,宋朝創(chuàng)立或改進了一系列官員管理制度,諸如選官制度、俸祿制度、磨勘制度、考課制度、注授差遣制度、官階制度、印紙批書制度、監(jiān)察制度、監(jiān)司巡歷制度、特使按察制度、任職回避制度、丁憂制度、迎送制度、致仕制度等等。本文著重論述宋朝的官員考核制度和影響該制度運行效果的各種制度因素和非制度因素。 在中國古代,考核被稱為“考課”或“考績”。宋朝的官員考核制度是在繼承前代官員考核經(jīng)驗的基礎上,結(jié)合本朝的實際,逐步發(fā)展完善,并形成了宋朝官員考核制度的特點：差遣職任考核與官階晉升考核相結(jié)合。 宋朝對官員的考核,既是朝廷了解各地、各部門治理情況以及官員治績的重要渠道,又是官員升遷階官、銓選差遣的重要依據(jù)之一。為了激勵和督促各級官員盡職盡責,宋朝政府幾乎將所有的官員納入了考核的范圍。它不僅對諸司郎官進行考核,更注重對路級監(jiān)司、州縣官員的考核；不僅對親民官進行考核,而且對直接負責商稅、課利征收的監(jiān)當官進行考核。 根據(jù)各級、各類官員職責的不同,宋朝制訂了不同的考核指標。對六部郎官的考核,主要側(cè)重其處理政務的多少以及錯誤率的高低；對路級監(jiān)司、州縣官的考核,除了其履行職責的情況外,也考核其品行,不僅每年對官員進行綜合性的考評并寫出考詞,而且更有大量的專項考核；對監(jiān)當官則主要考核其征收商稅、課利的業(yè)績。 為了全面掌握官員的為政業(yè)績,宋朝開創(chuàng)了官員印紙歷子批書功過的制度,即官員上任之時,由政府發(fā)給印紙歷子,用于記錄其任職期間的功過,待其任滿后由主管部門對所批內(nèi)容進行審查和考核。在宋朝,負責考核官員的機構(gòu)不僅有像考課院、磨勘院,以及元豐改制后的吏部等專門的人事管理機構(gòu),而且一些業(yè)務主管部門也參與對地方官員與本部門主管業(yè)務相關(guān)的業(yè)績之考核,如三司、元豐改制后的戶部、南宋時的總領(lǐng)所等就直接負責考核官員的財經(jīng)業(yè)績,而刑部和大理寺則負責對官員的審案斷獄業(yè)績的考核。 宋朝官員考核制度的特點還體現(xiàn)在以下幾個方面：一、在考核對象方面,尤其注重對地方官的考核。二、在考核內(nèi)容方面,除了對官員進行全面的考核之外,更加注重對官員財經(jīng)業(yè)績的考核。三、在考核方法上,體現(xiàn)了綜合考評與重點考評相結(jié)合,既有全面記錄官員業(yè)績以供考核的印紙批書、上級為下屬撰寫評語——考詞,對官員進行綜合考評,更有針對某一項業(yè)務的專項考核,如針對州縣戶口增減的考核,針對地方政府上供錢物完成情況的考核等,并且在多數(shù)情況下,專項考核方法應用更為普遍。四、注重量化考核,尤其是在對官員課利征收業(yè)績的考核方面,多采用與定額或前界比較增虧的方式,并根據(jù)增虧的比例決定對官員的賞罰。五、宋朝與官員政績考核結(jié)果相關(guān)的賞罰主要有兩種類型：一是經(jīng)濟獎懲,即增俸、罰俸,或賞錢、罰錢；二是行政獎懲,而行政獎懲又有以下分別：1、與磨勘轉(zhuǎn)升官階相關(guān)的獎懲,最常見的是對官吏給予提前晉升或推遲晉升的行政獎懲,即減磨勘或展磨勘若干年等；2、直接的升官階或降官階；3、與差遣相關(guān)的獎懲,即直接予以升陟或降差遣。凡是考核在優(yōu)等者,往往得到減磨勘年、減舉主,甚至升官階、升差遣的獎勵；而考核在劣等者則往往會受到展磨勘年、加舉主,甚至降官階、降差遣的處罰。再就是考核優(yōu)等者,給與“優(yōu)便”差遣。總之,宋朝試圖在制度設計方面將循名責實的考課法與論資排輩的年勞法結(jié)合起來,這一點對后世的官員考核與管理影響深遠。 本文在吸收前人研究成果的基礎上,力爭推陳出新,區(qū)分了宋朝官員的職任考核(歲考、任滿考)與升轉(zhuǎn)階官的晉級考核(磨勘考課),并論述了職任考核與磨勘考課、注授差遣的聯(lián)系；對宋朝官員職任考核的基本措施——印紙批書制度的論述較前人更加系統(tǒng)、深入；對宋朝考核官員的方式、指標和獎懲辦法之分析也較前人細化；得出了宋朝官員考核制度細膩、詳備是前所未有的；宋朝地方官員考核制度是宋朝官員管理體系中的重要組成部分,因此,宋朝考課法不振的傳統(tǒng)觀點是不全面的。 宋朝的官員考核制度適應了宋朝官員管理的需要,既有人事管理部門對官員的綜合考核,也有業(yè)務主管部門對官員的對口業(yè)務考核,考核程序規(guī)范化、考核指標與等級明確化、考核結(jié)果與獎懲對應。這些對于當今我國政府對公務員的考核、企事業(yè)單位對員工的考核都有重要的借鑒意義。但宋朝在官員的選任管理方面,實行的仍然是君主專制政體下的等級授職制。在這種體制下,上級部門制定的剛性考核指標對于官員往往有指揮棒的作用。由于受財政壓力的影響,宋朝在考核官員方面過分偏重對官員財經(jīng)業(yè)績的考核,導致了官員的過分征斂,加劇了官民矛盾。這則是值得我們汲取的教訓。此外,由于區(qū)域性的巨大差別,官員考核制度在不同地區(qū)的執(zhí)行情況也各有不同。由于皇帝、權(quán)臣等權(quán)勢者的濫用權(quán)力,考核銓選部門官吏的貪婪,導致官場潛規(guī)則大行其道。包括官員考核制度在內(nèi)的各種官員管理制度,在實際運行過程中總是遭到權(quán)勢、金錢、人情等非制度因素的破壞,其中的歷史經(jīng)驗教訓也發(fā)人深省。
[Abstract]:The Song Dynasty was established after the collapse of the Five Dynasties in the late Tang Dynasty, a reunification of more than half of China and a new centralized autocratic Dynasty. After the founding of the state, the Song Dynasty ruling group summed up the experience and lessons of the prosperity and decline of the former generation, especially since the end of the Tang Dynasty, guided by the principle of "prevention of things for it, and the system of Qu for it", taking Chongwen to suppress and strong and weak. The branches, the division of local power, the strengthening of centralization, division of power, and the strengthening of the centralization of the emperor are a series of political measures. Although it has better reversed the local separatist regime since the end of the Tang Dynasty, as well as the situation of the frequent replacement of the Five Dynasties since the end of the Tang Dynasty, it has also paid a great price. To expand the number of officials, in order to expand the rule base, the rulers of the Song Dynasty absorbed a large number of readers into their political system through the imperial examinations and en Yin, thus forming a large number of bureaucratic groups in Chinese history.
In order to solve the problem of official management, the Song Dynasty established or improved a series of official management systems, such as the official system, the salary system, the grinding system, the examination system, the injection system, the official order system, the printing and batch book system, the supervision system, the supervisor system, the system of inspection, the system of job avoidance, the system of Ding, the welcome system, and the official official. This paper focuses on the official examination system of the Song Dynasty and the various institutional and non-institutional factors that affect the operation of the system.
In ancient China, the assessment was called "examination class" or "performance appraisal". The official assessment system of the Song Dynasty was based on the assessment of the former officials, and gradually developed and perfected in combination with the reality of the dynasty, and formed the characteristics of the examination system of the officials in the song Dynasty.
The assessment of the officials in the Song Dynasty is not only an important channel for the government to understand the various parts of the government, the administration of various departments and the performance of officials, but also one of the important bases for the official promotion and the selection of the officials. In order to encourage and urge all officials at all levels to do their duty, the government of the Song Dynasty almost brought all officers into the scope of assessment. It was not only to Lang Guanjin. We should pay more attention to the assessment of the officers of the prefectures and prefectures, not only to examine the officials of the people, but also to the officers who are directly responsible for the business tax and the levying of the class.
According to the different duties of various officials at all levels and all kinds of officials, the Song Dynasty has formulated different assessment indicators. The assessment of the six officials mainly focuses on how much they deal with government affairs and the rate of error. And write out the test words, and have a large number of special assessment; for the officers in charge, they mainly assess their business tax, the performance of the class.
In order to fully grasp the official performance of the officials, the Song Dynasty opened the system of official printing and paper calendar, that is, when officials took office, the government sent the printing paper calendar to record the achievements during the period of his service. After the official appointment, the competent department examined and examined the contents approved by the competent authorities. In the Song Dynasty, the institutions responsible for the assessment of officials were not only similar to those of the officials. Some specialized personnel management institutions, such as the examination academy, the grinding hospital, and the official department after the reform of Yuanfeng, are also involved in the assessment of the performance related to the local officials and the departments in charge of the Department, such as the three divisions, the household department after the reform of the yuan Feng, and the head office of the Southern Song Dynasty, which are directly responsible for the financial performance of the officials, and the Ministry of punishment and the Ministry of justice. Dali temple is responsible for assessing the performance of officials.
The characteristics of the official assessment system in the Song Dynasty are also reflected in the following aspects: first, in the assessment object, especially the assessment of the local officials. Two, in the assessment content, in addition to the comprehensive assessment of the officials, more attention is paid to the assessment of the financial performance of the officials. Three, in the assessment method, the comprehensive evaluation and key evaluation are reflected. In combination, there are printed paper batch books that fully record the performance of officials for examination, and the superiors write comments for the subordinates - the comprehensive evaluation of the officials and the special assessment of a certain business, such as the assessment of the increase and decrease in the state and county accounts, the assessment of the completion of the money and material for the local government, and in most cases The application of the item assessment method is more universal. Four, pay attention to the quantitative assessment, especially in the assessment of the performance of the levy on the interest of the officials, mostly using the way of increasing the deficit with the quota or the front, and determining the reward and punishment of the officials according to the proportion of the increase. Five, there are two types of rewards and punishments related to the performance assessment of the Song Dynasty: the first is the economy. Rewards and punishments, namely, salary increase, salary punishment, or reward and penalty, two are administrative rewards and punishments, and the administrative rewards and punishments are as follows: 1, and the rewards and punishments related to the exploration to the rank of ascending officials, the most common is the administrative rewards and punishments for officials to be promoted ahead of time or postponed promotion, that is, to reduce or extend the work of the year; 2, direct ascending or descending order; 3, and assignment. The rewards and punishments of the customs shall be directly promoted or sent out. The reward for the examination of the superior is often reduced by the year of exploration, the reduction of the owner, the promotion of the official rank, and the reward of the promotion; and the assessment of the inferior is often subject to the years of exploration, the addition of the Lord, even the rank of the rank, and the penalty of submission. The Song Dynasty tried to combine the proper examination method with the seniority of the seniority law in the design of the system, which had a profound influence on the assessment and management of the later generations.
On the basis of absorbing the achievements of the predecessors, this paper strives to make a new study, distinguishes the assessment of the officials in the Song Dynasty (years of examination, the full examination) and the promotion of the rank of the ascending officers (examination courses), and discusses the connection between the examination and the examination of the post and the teaching of the post, and the basic measures for the examination of the official duties of the officials in the Song Dynasty, the system of printing and batch books. The analysis of the ways, indexes and rewards and punishments of the officials in the Song Dynasty is more detailed and more detailed. It is concluded that the examination system of the officials in the Song Dynasty is fine and detailed. The assessment system of the local officials in the Song Dynasty is an important part of the official management system in the Song Dynasty. Therefore, the examination law of the Song Dynasty is not vibrant. The traditional view is not comprehensive.
The assessment system of the officials in the Song Dynasty adapted to the needs of the officials in the Song Dynasty, including the comprehensive assessment of the officials by the personnel management department, the assessment of the counterpart business of the officials, the standardization of the assessment procedures, the clarification of the evaluation indexes and grades, the evaluation results and the rewards and punishments. These are the examination of the civil servants in our government today. Nuclear, enterprises and institutions have important reference significance for the assessment of employees. But in the Song Dynasty, the management of officials was still a hierarchical system under the autocratic monarchy. Under this system, the rigid assessment indicators made by the superior departments often have a baton to the officials. Due to the influence of financial pressure, the Song Dynasty The excessive emphasis on the assessment of officials' financial performance in the assessment of officials has led to the excessive levy of officials and the aggravation of the contradictions between the officials and the people. This is a lesson worth drawing from. In addition, the performance of the official assessment system in different regions is different because of the great regional differences. In the course of actual operation, the administrative system of officials, including the official assessment system, has been destroyed by non institutional factors such as power, money and human feelings, and the historical experience and lessons are also thought-provoking.
【學位授予單位】：河北大學
【學位級別】：博士
【學位授予年份】：2009
【分類號】：K244
本文編號：2158863
[Abstract]:The Song Dynasty was established after the collapse of the Five Dynasties in the late Tang Dynasty, a reunification of more than half of China and a new centralized autocratic Dynasty. After the founding of the state, the Song Dynasty ruling group summed up the experience and lessons of the prosperity and decline of the former generation, especially since the end of the Tang Dynasty, guided by the principle of "prevention of things for it, and the system of Qu for it", taking Chongwen to suppress and strong and weak. The branches, the division of local power, the strengthening of centralization, division of power, and the strengthening of the centralization of the emperor are a series of political measures. Although it has better reversed the local separatist regime since the end of the Tang Dynasty, as well as the situation of the frequent replacement of the Five Dynasties since the end of the Tang Dynasty, it has also paid a great price. To expand the number of officials, in order to expand the rule base, the rulers of the Song Dynasty absorbed a large number of readers into their political system through the imperial examinations and en Yin, thus forming a large number of bureaucratic groups in Chinese history.
In order to solve the problem of official management, the Song Dynasty established or improved a series of official management systems, such as the official system, the salary system, the grinding system, the examination system, the injection system, the official order system, the printing and batch book system, the supervision system, the supervisor system, the system of inspection, the system of job avoidance, the system of Ding, the welcome system, and the official official. This paper focuses on the official examination system of the Song Dynasty and the various institutional and non-institutional factors that affect the operation of the system.
In ancient China, the assessment was called "examination class" or "performance appraisal". The official assessment system of the Song Dynasty was based on the assessment of the former officials, and gradually developed and perfected in combination with the reality of the dynasty, and formed the characteristics of the examination system of the officials in the song Dynasty.
The assessment of the officials in the Song Dynasty is not only an important channel for the government to understand the various parts of the government, the administration of various departments and the performance of officials, but also one of the important bases for the official promotion and the selection of the officials. In order to encourage and urge all officials at all levels to do their duty, the government of the Song Dynasty almost brought all officers into the scope of assessment. It was not only to Lang Guanjin. We should pay more attention to the assessment of the officers of the prefectures and prefectures, not only to examine the officials of the people, but also to the officers who are directly responsible for the business tax and the levying of the class.
According to the different duties of various officials at all levels and all kinds of officials, the Song Dynasty has formulated different assessment indicators. The assessment of the six officials mainly focuses on how much they deal with government affairs and the rate of error. And write out the test words, and have a large number of special assessment; for the officers in charge, they mainly assess their business tax, the performance of the class.
In order to fully grasp the official performance of the officials, the Song Dynasty opened the system of official printing and paper calendar, that is, when officials took office, the government sent the printing paper calendar to record the achievements during the period of his service. After the official appointment, the competent department examined and examined the contents approved by the competent authorities. In the Song Dynasty, the institutions responsible for the assessment of officials were not only similar to those of the officials. Some specialized personnel management institutions, such as the examination academy, the grinding hospital, and the official department after the reform of Yuanfeng, are also involved in the assessment of the performance related to the local officials and the departments in charge of the Department, such as the three divisions, the household department after the reform of the yuan Feng, and the head office of the Southern Song Dynasty, which are directly responsible for the financial performance of the officials, and the Ministry of punishment and the Ministry of justice. Dali temple is responsible for assessing the performance of officials.
The characteristics of the official assessment system in the Song Dynasty are also reflected in the following aspects: first, in the assessment object, especially the assessment of the local officials. Two, in the assessment content, in addition to the comprehensive assessment of the officials, more attention is paid to the assessment of the financial performance of the officials. Three, in the assessment method, the comprehensive evaluation and key evaluation are reflected. In combination, there are printed paper batch books that fully record the performance of officials for examination, and the superiors write comments for the subordinates - the comprehensive evaluation of the officials and the special assessment of a certain business, such as the assessment of the increase and decrease in the state and county accounts, the assessment of the completion of the money and material for the local government, and in most cases The application of the item assessment method is more universal. Four, pay attention to the quantitative assessment, especially in the assessment of the performance of the levy on the interest of the officials, mostly using the way of increasing the deficit with the quota or the front, and determining the reward and punishment of the officials according to the proportion of the increase. Five, there are two types of rewards and punishments related to the performance assessment of the Song Dynasty: the first is the economy. Rewards and punishments, namely, salary increase, salary punishment, or reward and penalty, two are administrative rewards and punishments, and the administrative rewards and punishments are as follows: 1, and the rewards and punishments related to the exploration to the rank of ascending officials, the most common is the administrative rewards and punishments for officials to be promoted ahead of time or postponed promotion, that is, to reduce or extend the work of the year; 2, direct ascending or descending order; 3, and assignment. The rewards and punishments of the customs shall be directly promoted or sent out. The reward for the examination of the superior is often reduced by the year of exploration, the reduction of the owner, the promotion of the official rank, and the reward of the promotion; and the assessment of the inferior is often subject to the years of exploration, the addition of the Lord, even the rank of the rank, and the penalty of submission. The Song Dynasty tried to combine the proper examination method with the seniority of the seniority law in the design of the system, which had a profound influence on the assessment and management of the later generations.
On the basis of absorbing the achievements of the predecessors, this paper strives to make a new study, distinguishes the assessment of the officials in the Song Dynasty (years of examination, the full examination) and the promotion of the rank of the ascending officers (examination courses), and discusses the connection between the examination and the examination of the post and the teaching of the post, and the basic measures for the examination of the official duties of the officials in the Song Dynasty, the system of printing and batch books. The analysis of the ways, indexes and rewards and punishments of the officials in the Song Dynasty is more detailed and more detailed. It is concluded that the examination system of the officials in the Song Dynasty is fine and detailed. The assessment system of the local officials in the Song Dynasty is an important part of the official management system in the Song Dynasty. Therefore, the examination law of the Song Dynasty is not vibrant. The traditional view is not comprehensive.
The assessment system of the officials in the Song Dynasty adapted to the needs of the officials in the Song Dynasty, including the comprehensive assessment of the officials by the personnel management department, the assessment of the counterpart business of the officials, the standardization of the assessment procedures, the clarification of the evaluation indexes and grades, the evaluation results and the rewards and punishments. These are the examination of the civil servants in our government today. Nuclear, enterprises and institutions have important reference significance for the assessment of employees. But in the Song Dynasty, the management of officials was still a hierarchical system under the autocratic monarchy. Under this system, the rigid assessment indicators made by the superior departments often have a baton to the officials. Due to the influence of financial pressure, the Song Dynasty The excessive emphasis on the assessment of officials' financial performance in the assessment of officials has led to the excessive levy of officials and the aggravation of the contradictions between the officials and the people. This is a lesson worth drawing from. In addition, the performance of the official assessment system in different regions is different because of the great regional differences. In the course of actual operation, the administrative system of officials, including the official assessment system, has been destroyed by non institutional factors such as power, money and human feelings, and the historical experience and lessons are also thought-provoking.
【學位授予單位】：河北大學
【學位級別】：博士
【學位授予年份】：2009
【分類號】：K244
【引證文獻】
相關(guān)碩士學位論文 前1條
1 張廣設;兩《唐書》“循吏傳”之循吏群體研究[D];湖北大學;2013年
，本文編號：2158863
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