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完整制与分离制 :
Ξ
宋代地方行政权力的转移
余 蔚
Ξ
“完整制”和 “分离制”, 是行政学上依据同一层次上的各个行政组织所受上级指挥和控制的异同来划
分的一对概念 。同一层次的各行政组织或同一行政组织各机构 , 如果只受同一上级组织或同一首长的
统一指挥 、控制与监督 , 这种组织体制就称为 “完整制”, 如受两个以上上级机关或首长的指挥 , 则称
为 “分离制”。参见竺乾威 : 《公共行政学》, 上海 : 复旦大学出版社 , 2000 年 , 第 37 页 。
① 在五代之前 , 只有北魏曾尝试过一州三刺史 、一郡三太守 、一县三令长的制度 , 但这种 “分离制”只
是一种雏形 , 尚未跨出在同一个高层政区建立多个同等地位的机构这最重要的一步 。
② 制置司和总领所负责辖区内的军事与后勤 。这些机构管辖的区域往往在两路以上 , 并且挟军事 、财政
上的权力 , 逐渐取得了辖区内部分行政事务的决定权 , 确立起对监 、帅司的领导地位 , 故下文称之为
“跨高层准行政组织”。
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完整制与分离制 : 宋代地方行政权力的转移
一 北宋地方行政机构的重建与分离制
二 分离制下的行政幅度
三 分离制的利与弊
四 向完整制回归的南宋地方行政制度
① 《历代名臣奏议》卷 44 、45 。
② 毕仲游 : 《西台集》卷 4 《封建郡县议》, 文渊阁四库全书本 。
③ 如熙宁八年河北西路转运司言边事 , 元丰二年京西南路提举司治提刑司事 , 元丰三年京西北路提刑司
治提举司事 , 徽宗时黔中提举司言边事 , 皆以越职受责 , 甚则有因此免官者 。分见《续资治通鉴长编》
卷 262 , 熙宁八年四月庚辰 ; 卷 299 , 元丰二年八月丁巳 ; 卷 302 , 元丰三年二月壬戌 ; 李纲 : 《梁溪
集》卷 168 《宋故左中奉大夫直秘阁张公墓志铭》, 文渊阁四库全书本 。
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完整制与分离制 : 宋代地方行政权力的转移
五 “中级机关无意义化”质疑
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历 史 研 究 2005 年第 4 期
面的指示 , 是不可能完成经界法的 。
”其二 , 南宋初年指定四十大邑的制度 , 也可以由国家与县
越过路 、州直接相连的方向来思考 。这些事实都表现出 “在中央 —路 、府 、州 —县三级中 , 中
间的中级地方统治机构支配力后退的趋势”。①
笔者认为 , 寺地先生在得出这些推论的过程中 , 没有注意到一些相反的论据 。“强县”说及
“中级机关无意义化”的观点 , 似可商榷 。
其一 , 县级行政组织贯彻上级指令是其日常工作 , 与 “县机能的活泼化”无干 。行政事务
最终是要推行贯彻到底层的 , 以处于行政体系终端的知县为执行主体是必然的 , 北宋对知县
( 县令) 的 “四善三最”的考核内容 , 就包含了极为繁复的要求 , 又何尝要等到南宋初 , 知县才
负有众多的行政任务 ? 北宋时 , 几乎任何行政事务 , 都会有类似 “全藉知县 ( 县令) ”的鼓励性
的文字出现 , 又何尝止于一时一事 , 要县官 “用心干当”? 如北宋宣和三年 ( 1121 ) , “江浙州县
经贼去处 , 整葺事务 , 全藉守 、令得人 , 方可办治”, 元祐元年 ( 1086 ) 灾伤州县 “所以能使民
不流移者 , 全在本县令 、佐得人”, ② 等等 , 不胜枚举 。由一个 “用心干当”, 得出县级政区的官
员重要性在其他层级之上的结论 , 这一推断无法成立 , 当然也无法看出县在南宋初 “活泼化”
的趋势 。
其二 , 知县的 “堂除”与 “吏部铨”, 同属于中央铨选 , 不能由任命途径的改变而得出中央
与县 “直接相连”的结论 。绍兴中 “堂除”四十知县 , 自然是体现了朝廷对县一级的重视 。但
使用 “堂除”这种任命途径 , 只是为了改变 “吏部铨”选人不精 , 以致县官素质低下 , 普遍对
行政事务不负责任的现象 , 而并不意味着县一级行政组织与朝廷的关系有所改变 。而具体案例
反映的情况 , 也与寺地先生的推论相反 。北宋还有个别县保留了直接与朝廷联系的权力 , 如三
泉县 , “不隶州郡”而直隶朝廷 , 若申奏公事 , 表章直达朝廷 。③ 西县在乾德五年至至道二年间
也是如此 。④ 在南宋却未见类似例子 。这或许是由于跨高层准行政组织的普遍设置与逐渐成熟 ,
使朝廷与县之间又多了一个层级 , 使行政体系的最上端与最下端的直接联系更为困难 。寺地先
生将 “堂除”所体现的朝廷对县的 “重视”, 理解为朝廷越过路 、州与县 “直接相连”, 在行政
事务上县摆脱州 、路 、制置 、总领的控制而直接向朝廷负责的观点 , 似乎不能成立 。
中国历代的行政体制 , 向来是 “权”、“责”分离 , 宋代尤为如此 , 自县至路 , 权力是层层
上收 , 而责任是层层下压 。南宋前期就有人指出 , “监司之职权重而事简 , 郡守之责任重而事
繁”, ⑤“职权”与 “责任”并没有被混为一谈 , 而所谓的 “中级机关” —
——路之 “监司”与府 、
州之 “郡守”, 没有被视作一个整体 。县所负担的大量行政任务 , 在 “责任重”这一点上与州极
为相似 , 但并未因此改变州 “责任重”的现象 。尽管州 、县所承担的行政 “责任”可以罗列出
许多 , 却无以改变它们 “权轻”之共性 。它们都很少拥有决策权 , 其职权受到高层行政组织和
跨高层准行政组织的随意干涉 , 从北宋到南宋 , 这一点未曾有改变的迹象 , 只有愈演愈烈之趋
势 , “郡 、县太轻于下”⑥ 的事实一直没有改变 。
因此 , 从行政责任之重以及行政权力之轻这个角度看 , 府 、州一级与县之间的共性 , 要远
势形成对比 。
( 责任编辑 : 仲伟民)
wei while the latter took his ideas of managing the country from both the New Text and the Old Text ( Gu2
wen J ingx ue) approaches. However , when the old approach of J ingx ue was proved to be ineffective in a
time of social turmoil , it is highly likely that Kangπs new approach was stimulated by Liao Pingπs B i L iu
Pian (辟刘篇) , and particularly the latterπs interpretations of the Rites of the Zhou Dynasty (周礼) .
Gender Conflicts and the Limits of Political Democratization in the Early Republican Period : As Exemplif ied by
the Struggle for Womenπs Rights to Political Participation Li Xizhu (69)
The struggle for womenπs rights to political participation in the early Republican period reflected the
wholesale suppression and exclusion of womenπs political pursuits in a patriarchal society. It serves as an
unmistakable case of gender discrimination. The feudal dictatorship , represented by Yuan Shikai , was not
the only one to blame for the failure of the movement for womenπs rights to political participation. The Sun
Yat2sen2led revolutionary party also had its limitations and failed to transcend its times. Women as a whole
were excluded from the political arena , which , without doubt , seriously restricted the political democratiza2
tion process during the early Republican period.
The Transformation of the Base Structure of Society in the Song Dynasty in view of the Interactions between the
Central Government and Local Society Kuan2chung Huang (100)
After the foundation of the Song Dynasty , the imperial court endeavored to force its rule on local socie2
ty by directly appointing certain local officials ( qin min guan [ 亲民官 ] , for example) , installing various po2
sitions or forms of regional military forces ( x unj ian [ 巡检 ] , shibing [ 士兵 ] , xianwei [ 县尉 ] and gong2
shou [ 弓手 ]) , and incorporating wealthy citizens in the lower classes of officials , in pursuit of the centrali2
zation of power. Yet ironically , by the time the centralization of power reached its climax in form during the
reign of Emperor Huizong , local forces consisting of literati , magnates , and prefectural secretarial clerks
played a formidable role in maintaining security and social order , contributing financial resources , and help2
ing the local government with construction and education. Their role was reinforced in the Southern Song ,
which was plagued by perennial wars , as the prefectural government relied even more on local forces. Thus
local magnates and elite (court2appointed officials) , local military forces , with secretarial clerks , formed
three components of the local forces who functioned in succeeding ages as three inter2reliant and mutually
cooperative pillars of the base structure of Chinese society. The literati played a more important role than
previously in the base structure of society.
Centralized vs. Separate System : The Transfer of Local Administrative Power in the Song Dynasty
Yu Wei (118)
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CON TEN TS
The local administration of the Song dynasty was characterized by parallel administrative organizations
and officials at the same rank at high administrative levels , that is , the “separate system”at high local ad2
ministrative levels. In terms of administrative scope , the separate system enabled a redistribution of local
power in favor of the central government. It contributed directly to the increased degree of centralization in
the Song compared with previous dynasties. In the Southern Song , it was increasingly common for an offi2
cial to take several positions in different departments at the same level , which led to the de facto streamlin2
ing of government organs. In the meantime , a cross2level quasi2administrative division emerged between the
central government and high2level local administration. These two factors weakened the separate system and
centralization in the Southern Song period , compared with the Northern Song.
The Intercontinental Transference of Scientists2in2Exile from the Nazi Germany Li Gongzhen (143)
United States intellectual leaders saw in the Nazisπ cultural cleansing a good chance of promoting US
scientific development by receiving exiled scientists. Together with private sponsors , they employed a varie2
ty of means and managed to create favorable conditions by eliminating the wide2spread fearfulness over for2
eign scientists on campus. At the same time , the success of Nazi Germanyπs expansionist policy before
WWII and the blitzkrieg in the early stages of the war created a life2threatening situation that forced most of
emigrating scientists from Germany and German2occupied countries to give up their hope of staying in Eu2
rope. Hence there took place an unprecedented exodus to the United States of highly educated refugees , a
movement that saw a historical shift of the world center of culture and science across the continents.
Review Essays
Dunhuang Studies in China and International Perspectives Rong Xinjiang (165)
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