北宋三司若干问题研究

摘要
北宋三司是指盐铁、度支和户部三个部门的合称。它最早萌芽于唐朝中前期、确立于
唐朝后期、初步发展于五代、完善于北宋前期、衰落和结束于北宋熙丰变革时期。它是北
宋元丰改制前最重要的中央理财机构和政府重要事务的参与决策机构。论文以三司的经济
管理为中心，分别就三司与元丰改制前的政治、军事和礼仪的关系进行论述。为便于开展
研究，论文又以皇帝、大臣以及三司机构自身在经济、政治、军事、礼仪等方面的管理为
主线。
论文除绪论和结论外，主要分为五个部分，即论文的五章。第一章为三司的发展和变
迁。本部分主要论述两方面内容：一是对北宋之前三司的萌芽、确立以及初步发展情况进
行梳理，理清北宋之前三司发展的来龙去脉；二是对北宋时期三司的发展和变迁进行论述。
此阶段又分为两部分，一是对熙丰变法前三司内部机构和主要官员的设置和发展进行研
究；二是对熙丰变法时期三司内部机构的变迁以及外部财政管理机构的设立和变迁进行研
究。从三司的发展变迁过程不难看出，一个机构的发展在于其内部优势的不断发挥和机构
制度的不断完善，反之，一个机构的衰亡则在于其劣势的不断扩大和管理权的不断丧失，
当内部动力不能继续推动其发展时，被新机构取代便成为可能。熙丰变法时期的三司机构，
随着内部管理范围的不断缩减和外部其他经济管理机构权力的不断增加，缺少内部发展动
力的三司、加之宽泛而效率低下的管理，成为其转型的重要原因。第二章是三司与经济的
关系。作为一个新生机构，三司理财是对以户部为中心的传统财政管理模式的颠覆。财政
管理是其诸多职能的核心功能，论文对其研究主要分为两个部分：一是三司与外部经济管
理机构的关系，主要论述三司与皇帝财物的储存机构内藏库以及三司与代表管理地方财政
机构转运司的关系。在三司与内藏库的关系上，一方面三司是内藏库物资筹集的重要保证
机构，皇帝要求三司通过对地方经济的管理，进一步保障对内藏库的供给，使内藏库具有
稳定的收入；另一方面内藏库则在皇帝管理下成为三司发展的备用库，在皇室活动、军事
补给以及赈灾等诸多活动出现运转困难时，皇帝则多通过内藏库对其进行钱物的拨付和借
贷，使其度过难关。毕竟三司既是国家的三司，也是皇帝的三司。同样，在三司与地方财
政关系上，三司通过对转运司的管理，一方面保障了地方经济对三司和国家的供给；另一
方面通过皇帝、三司对地方经济的转运方式、转运数目和转运人员的选定以及转运官员的
摘要
II
管理，加强了中央对地方经济的具体控制。二是三司与内部三大经济部门的关系，即皇帝、
大臣和三司对盐铁、度支和户部的管理，以实现国家经济的正常运转。对三司内部的管理，
主要表现为对三司内部诸案和三司收支的管理。在三司经济管理中，三司主要充当了三个
角色：一是诏令制度的执行者；二是具体财政事务的管理者；三是经济政策的重要决策者。
第三章是三司与政治的关系。本章重点论述三司与元丰改制前的皇帝、三司与宰执的关系，
三司对内部监管、外部对三司的监管以及三司官吏的俸禄和三司官吏政治地位的升迁。在
具体的管理中，皇帝的诏令往往直接决定着三司机构的变动和三司官吏的升迁，毕竟皇帝
对三司具有绝对的领导权和监督管理权；而三司掌管中央财政的运转，常常提出一些推动
社会政治经稳定、社会发展的建议，并对皇族事务在一定程度上起到监督制约。在三司与
宰执的关系上，主要表现为三个方面：一是宰执的政治地位高于三司，三司使是进入宰执
行列的最佳人选；二是宰相对三司官员的晋升具有进拟权，在很大程度上决定着三司官员
的政治前途；三是三司分割了宰执的部分政治、经济和军事权力。在三司的内部监督上，
三司对内部的监管本应是一个闭合线路，从三司管理制度的制订开始，到制度的实施，再
到物资的运转、账籍的管理、经验的总结等多个环节串联在一起，每一个环节都离不开监
管。然而由于三司财权的高度集权、事务运转的繁杂、机构本身的多次变迁，严重影响到
了三司内部监管的实施。三司内部监管主要表现为相关制度的制订、内部监管机构的设立
以及三司对内部官吏的监管三个方面。内部监管既是三司自己分内之事，也是完善皇权对
于三司的管理。外部对三司的监督是本部分研究的重点，主要包括皇帝高位的监管、平行
机构和大臣的监管以及下级官员对于三司的监督。另外，对于三司官吏的俸禄和升迁，本
章也进行了部分研究。宋代三司官员的俸禄，主要包括请受和添支两个部分，请受又包括
料钱、衣赐和禄粟；添支内容较多，包括赠给及日常生活用品的添支等多个部分。作为北
宋时期重要的使职，三司官员获得的钱物远远高于其实际官阶应得的俸禄，根据官职差遣
不同，三司官员的料钱和衣赐相差较为悬殊，宋朝并通过一定的添支进行弥补。三司官员
的升迁，包括多种原因，主要有皇帝的诏敕、磨勘制度的考核以及大臣的荐举，在人治社
会里，三司官员升迁，多是由最高统治者的意决定志。第四章主要论述三司和军事的关系。
宋朝部分大臣认为三司与宰相、枢密使分立治事，不利于军队建设，分而治之、缺乏联系
是导致战争失败的主要原因。但实际上三司与军费、军需物资的供给、军事武器的制造以
及军事政策的制定等军事活动的多个方面都有着紧密的联系，对其研究也是北宋军事深入
摘要
III
研究中不可缺少的内容。通过研究发现：三司不仅承担着军事活动中绝大部分物资费用的
供给和筹划，而且三司官员还经常出任军事官员以及参与部分军事政策的制订。三司与军
事的关系，主要表现为两个方面：一是三司是军事费用的主要筹划者；二是三司是军需物
资的重要保障者。另外，三司也是军事决策的重要参与者。论文还将对作为战马的管理机
构群牧司与三司的关系进行专门研究，二者主要是以军事为中心，主要表现为政治关系和
经济关系。第五章主要论述三司官员与宋代礼仪的关系。作为政治延续的礼仪，是三司官
员政治活动研究中不可或缺的重要内容之一，对三司官员的礼仪研究，将有助于对北宋中
前期政治生活的再现和深入研究的推进。论文将其分为两部分论述：一是论述三司官员在
宋代所享有的主要礼仪。三司作为宋朝整个管理体系中的一个重要组成部分，其官员既享
受着与其他官员同样的礼仪，又由于自己地位的特殊，享受着特有的礼仪，本部分主要研
究三司内部官员间的礼仪和三司官员享有的外部主要礼仪，这些外部礼仪主要包括閤门之
仪、朝参之仪、导从之仪、辞谢之仪和奏事之仪；在各种礼仪中，三司官员占有非常重要
的地位，在不同时期，其礼仪也有不同的变化。一是主要论述三司官员享有的优待。三司
官员享有的优待主要包括恩荫、宴请、丧葬赙赠及赏赐等诸多方面的优待，在不同时期又
有着不同的具体表现。
三司的出现，既是唐朝中后期至元丰改制前这一特定阶段的产物，是以三省六部制为
核心的政治架构向以三司为核心的经济管理架构转变的经济产物，又是安史之乱后分割宰
相之相权、用以加强皇权的政治产物，还是打击地方武装割据，收地方之财权归中央的军
事产物。宋代三司机构的建立，使元丰改制前的财权和政权、军权形成二府三司独特的经
济政治管理格局，三个机构互相监督，共同达到权利制衡的目的，有利于皇权的统治和政
治的长期稳定。北宋三司管理机构的设立，是中国财政管理史上一次大胆的改革，与其他
朝代的理财机构有着明显的区别，在中国古代经济管理中占有重要地位，为后代财政管理
和政治改革积累了丰富的经验。
关键词北宋三司经济政治军事礼仪
Abstract
IV
Abstract
Sansi in Northern Song Dynasty is the composition made up of salt and iron department,
Duzhi department and the Ministry of Revenue. It sprout in the middle and early Tang dynasty,
established in the late Tang dynasty, developed initially in the Five dynasties, perfected in the
early Northern Song Dynasty, declined and ended in the changing period of Xifeng Northern
Song dynasty. It is the most important central financial ministries and decision-making body
for important government affairs before the Yuanfeng restructure in Northern Song dynasty. In
the paper, the relation between the Sansi and the politics, military and ceremonial matters
before the Yuanfeng restructure is discussed centering on economic management of Sansi. In
order to facilitate the research, the paper takes the management of the emperors, ministers and
Sansi on the economy, politics, military and etiquette as the main line.
In addition to the introduction and conclusion, the thesis is divided into five parts,
namely five chapters. The first chapter is the development and changes of Sansi. In this part,
two aspects are discussed. First, it sorts out the rudiment, establishment and initial
development of Sansi in Northern Song dynasty, clarifies the development of Sansi before
Northern Song dynasty; Secondly, the changes and development of Sansi in Northern Song
dynasty is discussed. This stage is divided into two parts; one is to study the change of the
internal organization of Sansi and the establishment and development of external financial
management agency during the Xifeng reform. It is not difficult to see from the development
and change of Sansi that the development of an institution lies in the continuously
development of its internal advantages and the improvement of institutions, on the contrary,
the decline of an institution lies in the constant expansion of its disadvantage and the constant
loss of its management power. When the internal dynamic can not continue to promote its
development, it is possible to be replaced by a new one. With the continuous reduction of
scope of internal management and the increase of powers of other external economic
management agencies, Sansi undergone transformation during the Xifeng reform, which
mainly due to the lack of internal motivation for development and loose and inefficient
Abstract
V
management. The second chapter is the relationship between Sansi and the economy. As a
new-born institution, Sansi that managing money is a subversion to the traditional fiscal
management mode centered on ministry of revenue. Financial management is the core
function of many of its functions. The dissertation on it is mainly divided into two parts: one
is the relationship between Sansi and the external economic management agencies, which
mainly discusses the relation of the Neicangku and Sansi and Zhuanyunsi managing the local
financial institutions on empeor’s behalf. In terms of the relationship between Sansi and
Neicangku, on the one hand, Sansi is the important guarantee agencies for the collecting of
goods and materials of Neicangku. The emperor requires Sansi to further secure the supply of
Neicangku through the management of the local economy, ensuring the stable income of
Neicangku. On the other hand, Neicangku become a standby library for development of Sansi
under the emperor's administration. When the activities such as royal activities, military
supplies and relief activities suffer difficulties, the emperor always appropriate and borrow
money from Neicangku to carry through the activities. After all, Sansi not only belong to the
nation, but also the emperor. Similarly, in respect of the relation between Sansi and the local
finance, Sansi on the one hand ensure the supply to local economy and the nation through the
management of Zhuangyunsi, on the other hand the central government's control over the
local economy has been strengthened through the designation of operation mode, number and
personal of local economy and the management of operation officer. Secondly is about the
relationship between Sansi and the internal three economy departments, that is, the emperor,
minister and Sansi achieve the normal operation of the national economy through the
management on iron and salt department, Duzhi department and the ministry of revenue. The
management on internal Sansi is mainly reflected on the management of internal cases and
balances of Sansi. In the economic management, Sansi mainly serve three roles: one is the
executive of imperial edict and system, the other is the manager of specific financial affairs;
and the third is the important decision-makers of economic policy. The third chapter is about
the relationship between Sansi and politics. This chapter focuses on the relationship between
Sansi and emperor and the prime minister before Yuanfeng reform, the supervision of Sansi
Abstract
VI
on the internal, and the external on Sansi, the salary and the promotion of political positions
of Sansi officials. In the specific management, the imperial edict often directly determines the
changes of Sansi and the promotion of Sansi officials. After all, the emperor has absolute
leadership and supervision over Sansi. However Sansi are in charge of the operation of the
central finance and often put forward some proposals promoting social and political stability
and social development, and exert monitor and restrictions to the affairs of the royal family to
a certain extent. The relationships between Sansi and the prime minister are mainly reflected
on three aspects: first,the political status of the prime minister is higher than Sansi, so
Sansishi is the best candidates for the prime minister; second, the prime minister has right to
inquire about the promotion of Sansi, to a large extent, it determines the political future of
Sansi officials. Third is that Sansi separate part of political, economic and military powers of
the prime minister. For the internal supervision of Sansi, it should be a closed line from the
formulation of management system, the implementation of the system to the operation of
supplies, management of account book and the summary of the experience, etc. Each link can
not be separated from supervision. However, due to the high degree of centralization of
financial power of Sansi, the complication of the running of affairs and the multiple changes
of the organization itself, the implementation of the internal supervision of Sansi have been
seriously affected. The internal supervision of Sansi is mainly manifested in the formulation
of related systems, the establishment of internal regulatory agencies and the supervision of
internal officials in Sansi. Internal supervision is not only the matter of Sansi, but also the
management of imperial power over Sansi. External supervision over Sansi is the focus of this
research, including the supervision of Sansi to emperor, parallel agencies and ministers and
the supervision of junior officials over Sansi. Besides, the salary and promotion of Sansi
officials are also studied in this chapter. The salary of Sansi officials in Song dynasty mainly
includes Qingshou and Tianzhi. Qingshou includes materials pays, clothes and Lumi; Tianzhi
includes donations and daily necessities. As an important post in Northern song dynasty, Sansi
official received much more money than the salaries they deserved in their official rank. The
materials pay and clothe for Sansi official vary with the official positions, tianzhi serves as the
Abstract
VII
make up in Song dynasty. There are various reasons for the promotion of Sansi officials,
which mainly involve the emperor's edict, examination and the Minister's recommendation. In
the society governed by man, the promotion of Sansi officials mainly depend on the will of
emperor. The relationship between Sansi and military are discussed in Chapter four. Some
ministers in the Song Dynasty believed that the separate management of Sansi, the prime
minister and privy is not conducive to the army building, which is the main reason for the
failure of war. However, Sansi is closed linked to the supply of military expenditure, military
material, the manufacture of military weapons and the formulation of military policies. The
study on it is also an indispensable part of the research on the military in Northern Song
Dynasty. The study also found that Sansi is not only responsible for the supply and planning
of the vast majority of the materials and cost in military activities, but also the Sansi officials
often serve as military officials and participate in the formulation of some military policies.
The relations between Sansi and military are mainly manifested in two aspects: one is that
Sansi is the main planners of the military expenditures; the other is that it is the important
guarantors of the military supplies. Besides, Sansi is also the important participants in military
decision-making. The essay will also study on the relationship between Qunmusi and Sansi.
The two mainly focus on the military and are mainly characterized by political and economic
relations. In chapter five, the relation between Sansi and the etiquette in Song Dynasty is
discussed. Etiquette as the continuation of politics is one of the indispensable and important
contents in the study of the political activities of Sansi officials. The study on the rituals of
Sansi officials will help to the reproduction and in-depth study of the political life in the
middle and early of Northern Song Dynasty, which is divided into two parts in the thesis:
Firstly, the main etiquette enjoyed by the Sansi officials in the Song dynasty is discussed.
Sansi is an important part of the entire management system of the Song Dynasty, its officials
enjoyed both the same etiquette as other officials and the special etiquette because of their
special status. This section mainly studies the etiquette among the Sansi officials and the the
main external etiquette they enjoyed. These external rituals mainly include the etiquette of
closing door, court attendance, guide from, reject with thanks and statement to emperor; Sansi
Abstract
VIII
officials occupy a very important position in all kinds of etiquette and the etiquette also
changed at different times. First is to discuss the preferential treatment Sansi official enjoyed.
The benefits enjoyed by Sansi officials mainly include obtaining their official positions
according to the status of their elder members of a family, dinners and banquets, funeral gifts
and reward, which have different concrete manifestations in different periods.
The advent of Sansi is both the product of the specific stage before the reform in middle
and later Tang dynasty to Yuanfeng and the economic product of transformation from the
political structure with the system of Three Councils and Six Boards as the core to the economic
management architecture centered on Sansi. It is also the political product derived from the
separation of the power of prime minister after the Anshi rebellion to strengthen the imperial
power, and the military product of cracking down on the armed independent regime and
retrieving the financial power from the local to the central government. The establishment of
Sansi in Song dynasty contributes the unique economic management pattern of erfu and Sansi,
which originate from financial power, political power and military power before the Yuanfeng
reform. The three agencies supervise each other to achieve the balance of power which is
conducive the rule of imperial power and long-term political stability. The establishment of
Sansi in Song Dynasty was a bold reform in the history of fiscal management in China, which is
clearly different from the financial institutions in other dynasties. It played an important role in
the economic management of ancient China and accumulated rich experience for future
generations in financial administration and political reform.
Key words Northern Song Dynasty Sansi Economic Political Military Etiquett

原文地址：

http://www.hongfu951.info/file/resource-detail.do?id=63bf1131-f74a-4482-b90f-ec411d5df76f

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