爵刑之间:秦及汉初的二十等爵与刑罚特权

A Study of the Rules Governingg Ranks and Penalties in the Qin and Han Dynasties

爵赏与刑罚是中国古代国家治理之中非常重要的两种手段。二者在国家治理的过程中并非泾渭分明,而是有所交集,具体表现为与爵位相关的刑罚规定。在秦及汉初,与爵位相关的刑罚规定是基于二十等爵制而产生的,主要有“爵减”“爵免”“爵赎”及“夺爵”四类。“爵减”“爵免”“爵赎”主要是对有爵位之人在刑罚上予以优待的规定,“夺爵”则可直接作为刑罚使用。四类规定的适用均会造成爵位的变动,但是刑罚的产生并不绝对意味着爵位的降低或消失。通过岳麓秦简五中的“解爵除赀赎”令可知,当事人在被处以赀赎之刑时,爵位仍然可能不发生变动。战国时期,随着集权体制的形成,各国统治者逐渐将军队完全收归中央管辖,并以爵位奖励有功之人,以提高军队战斗力。二十等爵制正是秦人在这一社会背景下采用的制度,这一制度极大地提高了秦国军队的战斗积极性,并帮助秦人最终一统天下。

Reward and punishment were the traditional measures of social governance in ancient China.They were connected by many specific rules.This research aims at the connections between the ranking system and the legal system in the Qin and Han Dynasties.The ranking system in the Qin and Han Dynasties was called Ershidengjue(二十等爵).The ranks in this system were acquired by meritorious military services.It gave various privileges to people who owned certain titles.Specifically,there were four basic categories of the rules in the Qin and Han Dynasties,which were Juejian(爵减),Juemian(爵免),Jueshu(爵赎)andDuojue(夺爵).Juejian,Juemian,and Jueshu were the rules that stipulated how to apply penalty privileges when a titled person violated the law.Duojue was the punishment only for the titled person.The specific meaning of Jueshu is unclear.It should mean transforming severe penalty to redemption based on the title.As is in Han Jiuyi(《汉旧仪》),there is a traditional impression that the penalties included ranking reduction and banishment,but this impression is not always true.There are exceptional cases.Based on"Jiejue Chuzishu Ling"(解爵除赀赎)in the bamboo slips of Qin Dynasty kept in Yuelu Academy,weknow that a title was possibly removed when the penalty was Zishu(赀赎).The penalty privilege rules were based on the Ershidengjue system which was connected with the formation of the centralized governing system.In its development process,the transformation of the military system was the key point.During the Warring States Period,noble private armies gradually disappeared.Almost all the armies of the state were directly controlled by the King.To encourage his soldiers to fight bravely,the King needed a reward systems,a military glory system called Ershidengjue in the Qin State,and it was extended to the Qin and Han Dynasties.