中文题名: | 西周至春秋时期用兵观念及其书写研究 |
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保密级别: | 公开 |
论文语种: | chi |
学科代码: | 050105 |
学科专业: | |
学生类型: | 博士 |
学位: | 文学博士 |
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学位年度: | 2023 |
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学院: | |
研究方向: | 先秦两汉魏晋南北朝 |
第一导师姓名: | |
第一导师单位: | |
提交日期: | 2023-06-20 |
答辩日期: | 2023-05-20 |
外文题名: | RESEARCH ON THE CONCEPT OF MILITARY USE AND ITS WRITING FROM THE WESTERN ZHOU DYNASTY TO THE CHUNQIU PERIOD |
中文关键词: | 西周春秋时期用兵观念 ; 用兵制度 ; 用兵书写 ; 用兵书写策略 |
外文关键词: | Military Strategy Research during the Western Zhou and Spring and Autumn periods ; The system of military strategy ; The writing of military treatises ; Military knowledge |
中文摘要: |
春秋末至战国时期,以《孙子兵法》《孙膑兵法》《吴起兵法》等为代表的一系列兵学 著作形成了成熟的文献群体,而这些其实是自西周、春秋跨度近六百年以来用兵知识、观 念发展的产物。那么在前兵学时代,用兵知识、观念的发展就成为本文观照的重点所在。 自“用兵”来说,不同于“兵学”(《冲晦郭氏兵学》)“兵家”(《汉书·艺文志》)① 等先秦 之后兴起的概念,它们作为具体而专业的兵学理论研究,容易为各种学科、定义所束缚的 同时,但也涵盖了自传统至近现代对兵的理解与研究模式。而“用兵”在前兵学时代的概 念指涉,更为强调与兵有关的一类知识观念,它有着与制度、权力等杂糅的性质,并在对 “用兵”之主体身份的探究中可被识别与捕捉。因此文本的研究主体包含用兵知识观念的 萌生、发展与演变,以及相关用兵知识的处理过程(包含相应的制度)与书写方式等的问 题。 第一章先述用兵观念的起源与发展。西周时期知识与观念杂糅,用兵既表现为观念, 也呈现为一种知识。西周时期,由于周革殷命引起的巨大社会动荡,周人的用兵观念整体 呈现出对“合法性”的需求到对“合理化”构建的转变思维,即“征伐如何合法”至“征 伐何以成立”,前者呈现为“天罚”,后者示以“德刑”。这一转化过程是线性发展的:前 者以殷革周命的牧野之战、对文王时期战争故事的追溯与武王之武三个单元构成;后者以 制礼作乐后,德刑观下用兵观如何限制性发展,用兵观念逐渐趋向着教化方式、隐藏暴力 来体现。至春秋时期为了迎合争霸的现实,又形成了“礼乐征伐”观念体系,这一节又可 细分为“礼乐征伐”“事在祀戎”等观念,其中,“德刑礼义”虽然承自前述观念体系,但 又存在诸如“师直为壮”“观衅而动”“有备无患”等的用兵拓展,发展了经验理性。用兵 观念由观念上的合法性彻底体现为事实上的合理性。 用兵观念、知识由于相关制度的发展和完善得到了初步整理和纂汇的契机,这里的“制 度”不仅指代军事制度,也指礼仪制度。因此第二章自西周与春秋两个部分论述用兵制度 的创设、发展与具体的实践。西周时期,由于周公的制礼作乐,使得西周时期的制度凝结 成“礼”,并以“礼”的形制来维护周王朝的社会政治秩序。那么军制为何称之为礼,军制 为何由礼至仪的功能转向成为本章行文目的,而“司马”作为周代重要的军事部门与职官, 其创设动机也值得探究。春秋时期,军制更趋向为“制”,为了适应争霸与土地掠夺与兼并 的社会现实,在传统军礼的束缚下有着将领选拔方式、军队组织模式、军事资源分配模式 等的转变。 书写是基于观念的文化表达,并在制度的规范下得以形成。因此第三章侧重说明用兵 ① (宋)郭雍:《冲晦郭氏兵学》。转引自赵国华《中国兵学史》,福州:福建人民出版社,2004 年版,第 2 页。 书写所具有的文化功能。自西周来说,由于始终存在对合法性的关注,有周一代对战争的 表达方式整体侧重于对战争的战因叙述与战后总结,而不同政治身份的群体对战争有着观 念的差异。首先,彝器铭文主要体现的是诸侯、贵族对自身军功的夸耀性。用兵记录的文 字虽然包裹在册命仪式下,却有结构上的破格,由对扬王休变为对祖宗、对族内子孙的训 诫与勉励。其次,《尚书》中的“誓”类文献,是一类自行为方式演变为用于政教的文献指 称。誓本质是一种特殊契约,原本刻铸于器,文字与器物的不易更改性共同造就了誓之权 威性,而脱离物质载体的存证之誓趋向勒令、劝勉将士奋勇杀敌之誓的转化过程,其根源 在于兵权性质:可转借性,因此周人也设置了各项措施来约束、统一兵权。第三,《诗经》 中的战争诗类,是前辈大家着笔较多之处。自《雅》《风》二者来说,由于主体差异,所着 墨点也存在书写上的差异:前者对象所描述的诸侯上卿可能并不能参与战事,对其书写偏 重个人功勋。而《风》之百姓是实际的参战者。他们在肝髓流野刀折矢尽的战中体会到更 多的是战争的残酷。对部分篇章的选取与文本分析,我们可以说明,前者是为了凝固礼制, 后者存在对国中之家的稳固功能。 第四章与前章是自不同的角度来分析用兵知识的书写过程。得益于春秋时期的史传文 献,我们对当时战争面貌、军事制度、军事知识等都有细致的了解。在《春秋》《左传》等 史传文献载录用兵知识的过程中,为了维护“礼乐征伐”的需求,也形成了几点书写策略: 以选择性的记录方式强调战争中的价值因素;对于战争行为具有一定的叙事自觉,如对“凡 师”等结构的使用;以某些固定提示语如“子姑待之”来倡导和书写战争伦理等。由于不 同的政治身份,时人对战争的看待方式也有所不同。这呈现出用兵书写之话语主体上的差 异。卿、士大夫等上层贵族常常依托于自身的经验知识、军事理论,以及道德伦理来赋予 战争以价值。这一群体具有的权力地位与社会身份为他们提供了话语权,成为这一时期战 争阐释的主流。底层士人的言论也因其身份与地位的逐渐上升、其言论的合理性与有效针 对性而被史官所载录,继而为后人提供了对于战争理解的不同维度。要而言之,前者多依 托于价值、历史、思辨等因素,后者则由于身份受限,更加注重提供“谋”的渠道,这成 为后世“兵权谋”的来源。 |
外文摘要: |
During the period from the end of the Spring and Autumn period to the Warring States period, a mature body of literature on military studies was formed, represented by works such as "The Art of War" by Sun Tzu, "The Art of War" by Sun Bin, and "The Art of War" by Wu Qi. In fact, these works are the products of the development of military knowledge and concepts related to the use of troops since the Western Zhou Dynasty and the Spring and Autumn period, spanning nearly six hundred years. Therefore, the development of knowledge and concepts related to the use of troops in the pre-military studies era became the focus of this paper. In terms of the concept of "using troops", it is different from the concepts of "military studies" ("Chonghui Guoshi Military Studies") and "military families" ("Yiwen Zhi" in "The Book of Han") that emerged after the Pre-Qin period as specific and professional theoretical studies on military studies, which are easily restricted by various disciplines and definitions. However, it also encompasses the understanding and research models of troops from tradition to modern times. The concept of using troops in the pre-military studies era refers more to a kind of knowledge and concept related to troops, which has a mixed nature with systems, power, and other aspects, and can be identified and captured in the exploration of the subject identity of "using troops". Therefore, the research subject of this text includes the birth, development, and evolution of knowledge and concepts related to the use of troops, as well as the processing process (including corresponding systems) and writing methods of related knowledge of using troops. Chapter 1 discusses the origins and development of the concept of using military force. In terms of ideas, during the Western Zhou period, knowledge and ideas were mixed together, and the use of military force was both an idea and a type of knowledge. Due to the enormous social turmoil caused by the Zhou overthrowing the Shang dynasty, the military concepts of the Zhou people underwent a transformation from the need for "legitimacy" to the construction of "rationalization", from "how to make warfare legitimate" to "how to establish warfare". The former was manifested as "heaven's punishment", while the latter was exemplified by "virtue and punishment". This transformation process was linear: the former was made up of three elements - the Battle of Muye, the retrospective of war stories during the reign of King Wen, and the conquest of the Shang by King Wu. The latter, after the establishment of the system of rites and music, gradually tended toward an educational approach and the concealment of violence. By the time of the Spring and Autumn period, a conceptual system of "ritual, music, and conquest" had been formed, which could be subdivided into concepts such as "ritual, music, and conquest," "military affairs in sacrifice," and "virtue, punishment, ritual, and righteousness." The concept of using military force had evolved from the idea of legitimacy to that of rationality, from being an abstract concept to a practical one. With the development and improvement of relevant systems, the concepts of military strategy and knowledge have been preliminarily sorted and compiled. The term "system" here not only refers to military systems, but also to ceremonial systems. Therefore, the chapter 2 discusses the creation, development, and practice of military systems from the perspectives of both the Western Zhou and the Spring and Autumn periods. During the Western Zhou period, due to the establishment of ceremonies and music by the Duke of Zhou, the Zhou Dynasty's system was crystallized into "rites" and used the form of "rites" to maintain the social and political order of the Zhou Dynasty. So why was the military system referred to as "rites", why did the military system's function shift from "rites" to "ceremonies", and why was the establishment of the important military department and office, the "Sima", in the Zhou Dynasty worth exploring? During the Spring and Autumn period, the military system tended more towards regulation. In order to adapt to the social reality of hegemony, land plundering, and annexation, there were changes in the selection of generals, military organization patterns, and military resource allocation patterns under the constraints of traditional military ceremonies. Writing is a cultural expression based on ideas and is formed under the norms of institutions. Therefore, Chapter 3 focuses on illustrating the cultural functions of military writing. Since the Western Zhou Dynasty, due to the constant attention to legitimacy, the expression of war has been mainly focused on the narration of war causes and post-war summaries, and different groups of political identities have different concepts of war. First, the inscriptions on the Yi vessels mainly reflect the boasting of princes and nobles about their military exploits. Although the text of military records is wrapped under the ritual of issuing a command, there is a structural deviation from praising the King Xuan of Zhou to instructing and encouraging ancestors and descendants within the clan. Secondly, the "oaths" in the Book of Documents are a type of literature that has evolved from self-expression to a political and religious document. Oaths are essentially a special contract, originally engraved on objects. The authority of oaths is jointly created by the difficulty of changing the text and the object. The transformation of the evidence-based oath from the physical object to an oath that tends to force and encourage soldiers to bravely kill the enemy is rooted in the nature of military power: transferability. Therefore, the Zhou people also set various measures to regulate and unify military power. Third, the war poetry in the Book of Songs is a common theme among predecessors. From the perspectives of the "Ya" and "Feng" sections, there are differences in writing due to differences in the subject matter. The former mainly describes the military exploits of princes and high officials who may not participate in the war, and the emphasis is on personal achievements. In contrast, the people described in "Feng" are actual participants in the war, experiencing more of the cruelty of war in the blood and sweat of battle. Through the selection and textual analysis of some chapters, we can illustrate that the former is to solidify the ritual system, while the latter has a stabilizing function for the families of the country. Chapter 4 analyzes the writing process of military knowledge from a different perspective than the previous chapters. Thanks to the historical records of the Spring and Autumn period, we have a detailed understanding of the warfare, military system, and military knowledge of that time. In the process of recording military knowledge in historical records such as "The Spring and Autumn Annals" and "The Zuo Tradition", several writing strategies were formed to maintain the needs of "ritual, music, and warfare." These strategies include emphasizing the value factors of warfare through selective recording, having a certain narrative consciousness of warfare behavior, such as the use of the "fan shi" structure, and advocating and writing the ethics of warfare through fixed prompts such as "zi gu dai zhi." Due to different political identities, people at that time had different ways of looking at war. This presents differences in the discourse subject of writing military books. The upper class aristocrats such as Qing and Shidafu often rely on their own experience, military theory, and moral ethics to give value to warfare. This group's power and social status provide them with discourse power, making them the mainstream of interpreting war during that period. The discourse of lowerclass scholars was also recorded by official historians due to their gradually rising identity and the rational and effective targeting of their comments, providing different dimensions of understanding for warfare to future generations. In summary, the former mostly relies on value, history, and speculation, while the latter, due to their limited identity, pays more attention to providing channels for "strategies," becoming the source of "military strategy" in later generations. |
参考文献总数: | 325 |
作者简介: | 谭妥,女,山东省潍坊市人。2013-2016年本校古代文献学硕士。博士研究专业是先秦两汉魏晋南北朝的古代文学。 |
馆藏地: | 图书馆学位论文阅览区(主馆南区三层BC区) |
馆藏号: | 博050105/23006 |
开放日期: | 2024-06-19 |