宋金元公据碑整理与研究

Reorganization and Study on the Gongju Tablets of Song,Jin and Yuan Dynasties

作者: 专业:历史文献学 导师:李雪梅 年度:2018 学位:硕士  院校: 中国政法大学

Keywords

tablets, Gongju, document, certificate

        公据是行用于宋金元时期的公文书,用于上之逮下。由申请者申请,经官府勘查证实后颁发,或官府基于一定事由颁发。宋太宗时,公据已开始使用;到南宋,已相当成熟,并适用于诸多领域;自明代以后,逐渐废除。公据碑是将公据镌刻于石而成的公文碑。宋金元时期,把公据作为权利保障文书大量镌刻于石,是值得关注的现象。传世文献中记载的公据文书,较为有限,且不具原公文格式,但碑石所载公据,除载有较为完整的公文内容外,还可见公文的格式及落款。通过碑石或拓片,可再现公据文书的样貌,为公据研究提供了重要史料。第一章宋金元公据碑概观。首先归纳公据适用范围,界定公据碑的涵义,简要梳理公据碑在宋金元的发展脉络。据历代金石录、近现代碑刻辑录及实地访碑获得的九十余通公据碑资料,整理、统计、归纳宋金元公据碑的时代与地域分布特点,并对时间分布上的高峰和地域上的集中分布,作简要分析。形成对宋金元公据碑的基础性认识。第二章公据碑之归类与命名。在对宋金元公据碑整体认识的基础上,将公据碑划分为三类,即规范公据碑、特殊型公据碑(南宋部据碑)与功能型公据碑。以具体碑刻为例,归纳不同类型及不同时段公据碑所存公据的格式特点。由于公据在碑石上有多种表现形式,且中国古代金石学家对公据的定性及公据碑的命名呈现紊乱状态,因此根据传统金石志书及当代金石编著对公据碑的定性、定名方法进行总结,以提供较为有效的命名方法。第三章以公据碑为基础的公据复原研究。复原公据首先需要对公据文书进行全面把握,但宋金元公据的原件尚未发现,而作为“准文书”的公据碑保留了比较完整的公据原貌。本章首先分析宋金元公据的格式,概括公据的一般性格式,并比较宋金元公据文书格式的传承与演变。其次,从文书的结构入手,归纳并分析公据的颁发机构、收执者及公据事书部分的主要内容。第三,从署押、用印、日期、抬行与空格角度,探究公据的合法性标志。第四章公据及公据碑程序研究。宋金元公据碑能够揭示公据的行政审批及刻立过程和公据的“行政路径”。公据的行政审批与刻立流程,包含申请、官府勘查、核准、出给,然后刻立。公据的“行政路径”,即申请者申状上呈与公据下达的文书传递流程。本章以不同时段的具体碑刻为例,展现公据碑所存公据的行政路径。第五章公据及公据碑功能探究。根据法律碑刻的文献、文物及制度属性,本章从法律与秩序、国家治国理政角度,论证公据及公据碑的法律功能、秩序功能与行政作用。公据碑的法律功能从公据的属性和公据的对抗效力、证据效力及溯及效力可得体现。公据的秩序功能,在官府通过行政审批将私约上升为法律规范或官府以颁发公据确定权属时呈现出来。而法律功能与秩序功能实现,都需经过中央机构或地方官府的行政运作过程。
    Gongju(公据)was used in the Song,Jin and Yuan period,which was the official document issued by the Central goverment or local government to Buddhist monastery,Taoist temple,Confucianism and so on.It is the application by the applicant,and issued after the investigation,verification and approval,or the official government issued Gongju based on certain causes.It is widely used as a credential document.In the Emperor Taizong of Song,Gongju was already in used.After the Southern Song dynasty,more fields were applied.When to Ming dynasty,it was gradually abolished.Gongju Tablet(公据碑)was carved the Gongju document on the tablet.During the Song,Jin and Yuan dynasties,it was a remarkable phenomenon to carve the Gongju on the tablet as an instrument for safeguarding interests and rights.Because the Gongju documents carved as books are rare and no official document format,Given that the considerable of Gongju Tablets have preserved the original feature of Gongju to a certain extent,it provide us with valuable materials to research Gongju document.The Chapter One is an overview of the Gongju Tablet in Song,Jin and Yuan dynasties.Firstly,the essay summarizes the scope of application and defines the meaning of Gongju Tablets.From about 93 Gongju Tablets of the inscriptional in about ancient and modern times and on-the-spot investigation,a regular pattern of the temporal and spatial distribution of Gongju will be drawn and the features,such as the peak in tine and geographical concentration,will also be analyzed.The Second Chapter is the categorize and naming convention of the Gongju tablets.When summarizing the format features of the Gongju tablets in Song,Jin and Yuan dynasties,it concludes that official document form of Gongju tablets contains three types,namely,the normal forms,special forms(the Ministry of Rites of Southern Song issue Gongju)and functional forms.As Ancient Chinese stone scientist named the Gongju in the“Jinshizhi”(金石志),lack of standard and inordinate.Therefore,the method of qualitative and naming of the tablets is summarized and so as to provide effective naming methods.The Chapter Three sketches out the rehabilitation of Gongju scripts based on the Gongju tablets.Having an overall view of Gongju scripts is the foundation to master the Gongju document roundly.This essay first analyzes the format of Gongju,to sum up the general format,and compares the inheritance and development of the Gongju document in the Song,Jin and Yuan dynasties.Secondly,from the structure of the Gongju documents,organize,statistic and analyzed the certification authority,the recipient and“Shishu”(事书)of Gongju.Finally,form the four aspects of department,namely printing,date,carrying and space,to explore the sign of the Gongju’s legality.The Chapter Four focuses on the procedures of Gongju and Gongju Tablest.It contains application and approval procedure and “the administrative paths”of Gongju Tablest.The acquisition of the Gongju documents shall be applied.After exploration and approval,Gongju documents would be issue by the central authority or the local government.Finally,it was engraved on the stone tablet.“The administrative path”of Gongju,which means the transportation process of the Gongju document from application to delivery.This chapter is presented with a specific inscription in different periods as instances.The Chapter Five “research on the functional of the Gongju and the Gongju Tablet”.This chapter explores the legal functions,order functions and administrative functions of the Gongju and the Gongju tablets from the perspective of law and order and state administration.The legal function is reflected by the property of the Gongju and the confrontation effect,evidential effect and retrospective effect.The order function is presented when the government approves the conversion of the private contract into a legal norm through administrative examination and approval or the official government authority to determine the ownership of the government by issuing Gongju.And the implementation of these functions needs to be operated by the central government or the local government.
        

宋金元公据碑整理与研究

摘要5-7
abstract7-8
绪论13-22
    一、学术史梳理13-17
    二、选题缘由17-18
    三、研究方法与创新、不足之处18-19
    四、关于论文时段选取及相关概念解释19-22
第一章 宋金元公据碑概观22-31
    一、公据与公据碑22-25
        (一)公据22-24
        (二)公据碑24-25
    二、宋金元公据碑之特色25-31
        (一)时代特色26-27
        (二)地域特色27-31
第二章 公据碑之归类与定名31-49
    一、公据碑之归类31-45
        (一)规范公据碑31-38
            1.北宋公据格式32-33
            2.南宋公据格式33-34
            3.金代圣旨存留公据格式34-36
            4.蒙元公据格式36-38
        (二)特殊型公据碑(南宋部据碑)38-41
        (三)功能型公据碑41-45
            1.公据碑与执照碑41-43
            2.公据碑与公凭、给文碑43-45
    二、公据碑之规范命名45-49
第三章 以公据碑为基础的公据复原研究49-63
    一、公据碑所存公据格式分析49-52
        (一)格式传承49-50
        (二)格式演变50-52
            1.文书框架比较50-51
            2.文书用语比较51-52
    二、公据之结构分析52-55
        (一)颁发机构52-53
        (二)收执者53-54
        (三)事书54-55
    三、公据之“合法”标志55-63
        (一)署押55-57
        (二)用印57-58
        (三)日期58-59
        (四)抬行与空格59-63
第四章 公据及公据碑程序研究63-79
    一、公据文书之程序分析63-68
        (一)申请63-64
        (二)勘查64-65
        (三)核准与给付65-67
        (四)执行与刻立67-68
    二、公据之“行政路径”68-79
        (一)北宋公据申请与颁发流程69-70
        (二)南宋公据申请与颁发流程70-73
        (三)金代公据申请与颁发流程73-75
        (四)元代公据的申请与颁发流程75-79
第五章 公据及公据碑功能探究79-87
    一、公据之法律功能79-81
    二、公据之秩序功能81-83
    三、公据之行政作用83-87
结论87-89
附录1 文中所涉宋金元公据碑完整拓片或照片89-96
附录2 宋金元公据碑整理表及说明96-111
参考文献111-117
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