【作者简介】王泉伟，中国海洋大学政治学系。

【文章来源】《社会》2023年第4期。

【内容提要】本文试图论证，官吏分途从治理逻辑来看是一个非常糟糕的制度安排，其形成与持续主要是政治逻辑支配的结果。古代中国一直存在着朋党与官僚贵族化等官僚人事风险，导致统治者的人事权力受到侵蚀，危及统治基础。胥吏人事制度涉及各级政府如何安排僚属的问题，因而与上述官僚人事风险紧密关联。文章认为，官吏分途的形成是东汉以来官僚贵族化的结果，贵族与庶族的社会身份差异影响了正式官制的设置，造成官与吏在来源人群、等级地位与道德评价上的全面分途。官吏分途的持续则与后世统治者对官僚人事风险的防范有关。胥吏人事的合理化需要重新引入政治上风险巨大的辟署制，统治者宁愿忍受官吏分途导致的治理弊病也不愿变革。本文的研究拓展了“风险论”的视野，揭示了此前较少为人关注的官僚人事风险及其对中国古代官僚体制的深远影响。值得注意的是，类似的统治风险在当代依然部分存在，也受到中央越来越多的关注重视，并着手防范整治。

【关 键 词】胥吏；官吏分途；统治风险；辟署制

【全文链接】https://www.society.shu.edu.cn/CN/Y2023/V43/I4/214

Governance Risk and Staff Personnel Management：A PoliticalLogic Analysis of the Formation of Officials and Local StaffSeparation and Its Persistence

WANG Quanwei

Abstract:The separation of officials and local staff （官吏分途）was an importantphenomenon in the history of Chinese political system. Recently，some scholars haveargued for the rationality of its existence from the logic of governance. This paperattempts to demonstrate that the division between officials and local staff is atroublesome institutional arrangement from the perspective of governance，and itsformation and persistence are mainly the result of political logic. In ancient China，problems of bureaucratic cliques and aristocratization often led to the erosion ofimperial governance power and endangerment of the ruling power. The managementsystem handling petty bureaucratic functionaries at all levels was thus closelyassociated with governance risk prevention. First of all， this study argued thatseparating officials from local staff began with the bureaucratic aristocratization duringthe Eastern Han dynasty. The difference in social status between nobles andcommoners affected the establishment of formal official ranking system，resulting in atotal separation between officials and local staff in recruitment，ranking and moralprestige. Secondly，the continuity of this separation after the Tang dynasty was closelyrelated to the rulers’desire to prevent governance risks. After Song dynasty，theproblems associated with the separation between officials and local staff became wellrecognised. For each succeeding dynasty，reform proposals were attempted but moreor less all wanted to go back to the open but politically highly risky selection system（pishu ，辟署制）. The Imperial rulers would rather endure the ills of the system thanchange it. This paper reveals the bureaucratic personnel risks that have not beenexplored previously and its profound influence on the ancient Chinese bureaucracy. Itis worth noting that similar political risks still exist in contemporary times，and theyare now receiving increasing attention and rectification.

Key words:local staff，the separation of officials and local staff，ruling risk，selectionsystem（pishu）