馬端臨《文獻通考》的歷史編纂與歷史思想

Historiography and Historical Thought in Ma Duanlin’s Wenxian tongkao (Comprehensive Investigations of Records and Documents)

吳政龍(Cheng-lung WU)

指導教授 ： 李弘祺

國立清華大學/人文社會學院/歷史研究所/碩士(2014年)

https://doi.org/10.6843/NTHU.2014.00380

摘要

過往的研究，對於馬端臨（1254–約1333~35）的《文獻通考》（1307）多半注意以下幾個面向：對杜佑（735–812）《通典》（801）開創的體裁規模加以繼承與擴展、制度史料蒐羅豐富（特別是宋代）、〈經籍考〉的圖書分類及其按語分析。本論文將把《文獻通考》置於中國史學史與思想史、以及宋代史學與思想環境中，考察馬端臨對一些重要課題與觀念的思索。並特別著重於對書中的體裁源流、結構設計、材料安排、馬氏按語及所徵引的前人議論等以前學者較少注意之處。
第一章〈緒論〉，首先指出馬端臨生命中的三個重要人物：父親馬廷鸞（1222–98）、老師曹涇（1234–1315）、好友程時登（1249–1328），皆與道學有相當的關聯，也使得馬端臨深受道學思想的影響。接著回顧《文獻通考》自刊印之後，雖讀者甚眾，但少有人注意其整體的思想，並大多忽略馬端臨本人的想法。
第二章，則考察馬端臨設計《文獻通考》體例的史學與思想源流。首先，關於《文獻通考》的門類設計，除了杜佑《通典》的影響之外，還承繼了四個源流：（一）正史的書、志；（二）劉知幾（661–721）的《史通》（710）；（三）各種會要著作；（四）宋代以制度、歷史為主要內容的類書。其次，則考察馬端臨在安排材料時，基本上對正統論與正統問題採取傳統的立場，但仍在「三國」（至少從196–280）的例子上受到一些朱熹的影響。
第三章，則分析馬端臨的歷史分期觀與對古史的追溯。在歷史分期上，馬端臨雖深受「三代史觀」的影響，但又在對制度歷史演變的考究之中，指出許多不甚相符之處。這顯示出馬端臨在面對三代與秦以下歷史之間的本質差異時，態度比較遊移不定。而在古史追溯的問題上，馬端臨認同經書的權威，因此盡可能利用經書提供的材料，補上杜佑《通典》缺漏的古代聖王留下的制度事跡。並且，馬端臨對於經書權威的尊重，是同時兼取其作為「歷史事實」與「道德訓誡」兩方面的價值。由本章的分析可知，馬端臨試圖調和經書所代表的理想古史觀與比較實際的史學，但未竟全功，這代表著馬端臨在道學思想的限制下，所做的最大努力。
第四章，以「勢」、「權」與「公心」三個觀念來解析馬端臨對於在歷史的環境限制與趨勢之中，人的道德意念如何面對。首先，馬端臨充分認識到客觀的環境條件與歷史規律對於制度的演變與成敗有重大的影響，因此他雖然重視道德在制度的設置與運作中的重要性，但仍同意不可忽視對「勢」的把握與理解。其次，馬端臨大致肯定人在一些重要制度的大事關鍵上應該權衡變通，而非拘泥於聖王立下的古制，這使他有別於朱熹（1130–1200）與呂祖謙（1137–81）嚴格限制只有聖人方可行「權」。儘管如此，他也明白並同意運用「權」所可能帶來的負面影響。最後，馬端臨特別強調「公心」的意義，認為人唯有秉持「公心」才能在時局之中選擇最適切的制度、做出最恰當的變革或正確實踐良法美意。而這種「公心」雖然只有在秦以前的理想古代中完美展現，但在秦以下的歷史之中，仍然不時或存。總結而言，馬端臨的歷史思想，折衷了宋代歷史思考中的對道德真理的堅持與務實看待現實歷史的兩大潮流。
第五章〈結論〉，則在評斷馬端臨繼承了宋代史學發展的那些成分，並認為馬端臨的《文獻通考》主要在綜合了宋代史學的成果，而非做出劃時代的突破。儘管他在一些面向上，未能達至宋人的最高限制，而有所退縮，究其原因大抵是受到道學（特別是朱熹）的影響。因此，馬端臨《文獻通考》在中國史學史上的重要地位，在於展現宋代史學各方面的重要成就，並表現出一位生於宋末、但大半生活於蒙古人統治下的宋遺民，如何回顧過往的文明遺產。

關鍵字

宋代史學 ； 道學 ； 經學 ； 杜佑 ； 《通典》 ； 朱熹 ； 呂祖謙 ； 道德真理 ； 歷史真實 ； 正統 ； 歷史分期觀 ； 古史觀 ； 三代史觀 ； 制度史 ； 勢 ； 權 ； 公心

並列摘要

Past research on Ma Duanlin’s 馬端臨 (1254–ca. 1333~35) Wenxian tongkao 文獻通考 (Comprehensive Investigations of Records and Documents, 1307, hereafter WXTK) focused mainly on the following aspects: 1) Ma followed and expanded the genre of Tongdian 通典 (Comprehensive Institutions, 801, hereafter TD) created by Du You 杜佑 (735–812); 2) in WXTK, Ma collected a great number of sources about institutional history (especially about the institution of Song 宋 dynasty); 3) in “Jingji kao” 經籍考 (Investigation on bibliography), Ma made a special classification of books, and his analytic comments in “Jingji kao” are highly valued. Based on past research, the present thesis will study WXTK both in the context of general Chinese historiography and intellectual history and in the context of Song historiography and intellectual milieu, trying to explore what Ma thought about certain important topics and concepts. The author will put special emphasis on several aspects of WXTK in which scholars have been less interested, like the origins of its genre, the design of its structure, the arrangement of sources, Ma’s comments, Ma’s quotations from other people’s arguments, etc.
In Chapter One “Introduction,” it is pointed out first that there were three people very influential to Ma Duanlin’s life: his father Ma Tingluan 馬廷鸞 (1222–98), his mentor Cao Jing 曹涇 (1234–1315), and his good friend Cheng Shideng 程時登 (1249–1328). Because the three of them all played some roles in the community of daoxue 道學 (Learning of the Way), Ma Daunlin’s thoughts were deeply influenced by daoxue. It is also pointed out in this chapter that, since WXTK was published, it had attracted many readers from generation to generation, but the book’s system of ideas was barely noticed, and most of the readers paid no attention to what Ma’s own thoughts were about.
In Chapter Two, the author will examine the origins of WXTK’s writing style in the context of Chinese historiography and historical thinking. First, the categorization in WXTK was influenced by Du’s TD, but except that, it also derived from (1) shu 書 and zhi 志 (monographs/treatises) in zhengshi 正史 (standard histories/official dynastic histories), (2) Shitong 史通 (Comprehensive Perspectives on Historiography, 710) written by Liu Zhiji 劉知幾 (661–721), (3) all kinds of huiyao 會要 (collection of important documents), and (4) Song leishu 類書 (encyclopedia), which is mainly about institution and history. Second, the way Ma arranged his sources shows that, when it came to the issue of zhengtong (legitimacy/legitimation/legitimate political transmission), he took a stand for traditional view. However, in the case of “Sanguo” 三國 (Three Kingdoms, at least from 196 to 280), he was somewhat influenced by Zhu Xi 朱熹 (1130–1200).
In Chapter Three, the author will analyze Ma’s concept of stages in historical development and periodization and how he traced the history of antiquity. Although deeply influenced by the Sandai 三代 (three dynasties in antiquity) canonical interpretation of history, he found a lot of discrepancies between the canonical interpretation and historical truth as he did research on institutional histories. Therefore, Ma’s attitude became ambiguous when he talked about the different nature between the history of Sandai and the history since the beginning of Qin 秦 (221 BCE). As to the history of antiquity, since Ma acknowledged the authority of Confucian canons, he tried very hard to piece together the sources from the canons to show what the institutions were like under the rule of ancient sage kings and to fill the gaps Du’s TD had left. Moreover, Ma respected the canons so highly that he regarded them not only as the authority of historical truth, but also as the authority of moral truth. The analysis in this chapter shows that Ma tried to harmonize the canons which stood for the utopian perceptions of antiquity and the history which might be closer to the reality. But what he finished was not successful enough. After all, WXTK represents what all Ma could do under the limitations of daoxue.
In Chapter Four, the author will analyze Ma’s point of views on how human beings deal with ethical problems under certain limitations of historical circumstances and trends. Three concepts are used here to help the analysis: shi 勢 (propensity/trend/circumstances/situation), quan 權 (expediency/expedient), and gongxin 公心 (public-mindness). First, Ma was well aware that objective circumstantial conditions and regular historical patterns would affect the development of institution and would make or break it. So, although he argued that morals were of great importance when an institution was set and run, he agreed that it could not be neglected to grasp and figure out shi. Second, overall, Ma approved that, when faced with critical issues about major institutions, people should be flexible and do something expedient, not rigidly adhere to ancient institutions established by the sage kings. So his interpretation of quan was different from that of Zhu Xi and Lü Zuqian 呂祖謙 (1137–81), who argued that only sages were qualified to do things expedient. However, Ma was well aware that bad things might happen when quan was exercised. Finally, Ma put special emphasis on gongxin. He believed that only if people had gongxin at heart, when faced with institutional challenges, they would know how to choose the most suitable institution, make reforms just right, or make the best of the existing system. Although people showed gongxin perfectly only in the utopian antiquity before Qin dynasty, performance of gongxin could still be seen occasionally after Qin. In conclusion, Ma’s historical thought compromised between the two main trends in Song historiography: the insistence on moral truth and a practical way to face the historical truth.
In Chapter Five “Conclusion,” the author will conclude what elements of Song historiography were carried on by Ma and point out that Ma’s WXTK was meant to integrate what Song had achieved, not to be an epochal breakthrough. In some aspects, Ma did not get as far as the top performance of Song historiography and went backward a little. His limitation was mainly resulted from the influence of daoxue (especially that of Zhu Xi). Therefore, the importance of Ma’s WXTK in the Chinese historiography lies in that it shows all major achievements of Song historiography and that it reflects how a Song loyalist (born in the end of Song, but mostly lived under Mongol rule) looked back and did a retrospective study on the legacy of civilization.

並列關鍵字

Song historiography ； daoxue (Learning of the Way) ； jingxue (Confucian canonical studies) ； Du You ； Tongdian (Comprehensive Institutions) ； Zhu Xi ； Lü Zuqian ； moral truth ； historical truth ； zhengtong (legitimacy/legitimation/legitimate political transmission) ； stages in historical development and periodization ； perceptions of antiquity ； the Sandai (three dynasties in antiquity) canonical interpretation of history ； institutional histories ； shi (propensity/trend/circumstances/situation) ； quan (expediency/expedient) ； gongxin (public-mindness)

參考文獻

王健文，《奉天承運——古代中國的「國家」概念及正當性基礎》，臺北：東大圖書，1995。

王德權，〈「士人入仕」的再詮釋——柳宗元〈封建論〉的一個側面〉，《漢學研究》，第26卷第2期（臺北，2008.6），頁71-100。

———，《朱熹的思維世界》， 臺北：允晨文化，1996。

———，《朱熹的歷史世界——宋代士大夫政治文化的研究》，上、下篇，臺北：允晨文化，2003。

吳雅婷，〈蒙元的政治，文化的蒙元——評介宮紀子，《モンゴル時代の出版文化》〉，《臺大歷史學報》，第45期（臺北，2010.6），頁327-40。