宋朝地方官员考核制度研究
发布时间：2018-08-02 08:43
【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。
[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.
【学位授予单位】：河北大学
【学位级别】：博士
【学位授予年份】：2009
【分类号】：K244
本文编号：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.
【学位授予单位】：河北大学
【学位级别】：博士
【学位授予年份】：2009
【分类号】：K244
【引证文献】
相关硕士学位论文 前1条
1 张广设;两《唐书》“循吏传”之循吏群体研究[D];湖北大学;2013年
，本文编号：2158863
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