【作者】 郑鹏；

【导师】 尹成杰； 左停；

【作者基本信息】 中国农业大学 ， 农村发展与管理， 2014， 博士

【摘要】 转型与现代性是社会学的根本议题。本研究旨在对毛泽东时代社会主义现代性追求过程及其独特性进行探究和阐释,试图给出一个关于社会主义现代性的竞争性解释版本。现代性的核心意识形态是对其所辖的人口满足与解放的承诺。在历史上,马尔萨斯与马克思/恩格斯就现代性的前景与可欲性进行过激烈的争论。前者认为,“大自然宴席的席位”极其有限,现代性只能扩展到有限的人群,没有席位的多余人必须离开。后者认为,只要解除资本主义对物质技术现代性的桎梏以及对解放现代性的异化,现代性能够为所有人带来美好的承诺,即社会主义接管的现代性能够“保证永远不再因人口过剩而恐惧不安”。不过,马克思的人口理论同样指出过,“每一种特殊的、历史的生产方式都有其特殊的、历史地起作用的人口规律”；“不同的社会生产方式,有不同的人口增长规律和过剩人口增长规律”,那么是否能够对社会主义的人口规律做出归纳?沿寻这一个问题,本研究的视角聚焦在1949年以后毛泽东的时代,这是一个用理想建构现实的时代,然而现实却并不乐观。社会主义国家不得不竭尽全力弥合社会主义的“短缺”与给予其人民生命确定性之间的紧张。在改善意愿的逻辑之下,社会主义国家设计—实施了持续不断的社会工程,如福柯所言,在这些社会工程的施工中,国家必须构建出相应的人口治理术。既然“国家只是一个多重治理术体制所带来的可变结果”,既然“历史已经表明,社会主义只有嫁接到各种治理术的类型之上才能运转”,那么,“为了追求社会主义现代性,国家构建并实施了怎样的人口治理术呢?”。这就是本研究所展开探讨的问题。本研究在性质上属于理论性探讨,在文本呈现上是批判的、解释性的,本文采取了国家对人口筹划的事件——过程为研究切入点。首先,本文在总体上提出了一个“国家—现代性—人口治理术”的研究框架,以此对社会主义现代性追求过程中所实施的各种社会工程,特别是对社会主义剩余人口的管理工程做出阐释。根据毛时代社会主义现代性的历史与逻辑,“社会主义现代性—国家—人口治理术”的解释框架包括三个方面的核心要点：(1)价值—乌托邦性,即社会主义现代性的动力与归宿：普遍拯救的承诺；(2)控制—工程性,即为物质技术现代性与解放现代性而开启的经济现代化赶超与人口改造；(3)等级化—分类—排除性,即下放经济剩余人口和秩序剩余人口,既以“下放”本身证明“拯救”的事实性,又迫使失序的社会恢复到社会主义现代性所承诺的状态。最终,以拯救为出发点和归宿,国家追求现代性的过程制造出了：“‘组织起来’/‘人口单位化—‘包下来’—‘等级化/分类/排除’—‘改造’”的人口治理环路。为了对本研究提出的解释框架做出应用或再解释,在本文的接下来的第四、五章进行了相对独立的案例研究,研究对象选取了毛时代的重大事件,分别是“大跃进”(1958)及“大精简”(1962-1963)、知识青年上山下乡运动(1950—1980)。事件清晰地展示了毛时代社会主义现代性追求过程,现代性层次的转换,所采取的整体性方案、程式、技术。“大跃进”是毛时代时里的一场时空压缩的赶超型经济现代化试验。它试图在资本极度短缺的条件下,以共产党娴熟的群众运动方式将无限供给的过剩劳动力转换为资本,以此完成国家的经济现代化赶超。大跃进”引爆的“大危机”导致的直接后果是在最密集的时空里制造出大规模的经济过剩人口。庞大的经济剩余人口相对于冷却的现代化显得极为多余,而相对于社会主义国家“包下来”的现代性承诺而言则是无法承受的人口包袱。因此,紧急性地、大规模地清理—排除城市经济剩余人口成为治理危机的根本途径。事先制造的农村剩余人口堆积地为转嫁城市危机提供了运作空间。如果说大跃进引发的大精简是一项危机治理,那么知青下放运动则说明了毛时代里周期性的政治经济危机治理手段的常态化。知识青年上山下乡运动前后持续长达1/4个世纪,改变了近2000万青年人命运,是一项堪称设计周密、动员完备,共和国历史上最旷日持久的社会工程。知青下放运动的工程性质与目的是多重的、并且处于变化之中。在运动之初,它主要是为了解决受教育的失业者的就业问题,一直到1968年经济动机都处于首要地位,同时,它也是应对周期性的经济危机的常规方式。但到1968年,它成为重建社会政治秩序的政治危机治理手段,之后,政治动机越发超越经济动机,导致知青下放转为一场青年人口的政治改造工程。此外,它还笼罩着建设社会主义新农村,成为社会主义新型农民,缩小三大差的光环。总体而言,知识青年上山下乡运动的本质是毛时代社会主义中国对剩余人口——经济与秩序的双重剩余——管理与改造的工程。毛去世之后,现代性层次从解放现代性降入技术物质现代性,人口治理术也随之转型。新的人口治理术宗旨是：国家将“包下来”的生命政治框架中的人口再生产成本转给个人,将人口包袱交给市场管理。知青自发形成的返城运动冲击波是促成这场转型的关键性力量之一。知青运动的终结标志着毛时代乌托邦工程谢幕。最后,本文提出了反思现代性的愿景。马克思的“自由人”；市场经济下的“无印痕公民”；马尔库塞的“单向度的人”；资本主义下的“庸众”；福柯微观权力技术下的“驯顺的肉体”,这都是现代性理论家为寻求真实的自由而对现实的人的境遇的反思。本文提出,在一个复杂社会里的自由既需要面对现实,又需要为现实加入理想。如果国家真诚地为所有人创造自由,就无须惧怕权力或计划转而与它作对。但是,多元开放、包容异见、允许不服从是将国家建设为人们获得自由的工具(而不是异化为压迫手段)的先决条件。在现代社会里,知识分子必须重拾批判与自我解放,与主流保持距离和张力,利用自己的专业知识提出主流之外的叙事,由此为社会提供另一种可能性。并且倡导一种自我的生存美学。更多还原

【Abstract】 Transformation and mordenity is the fundamental issue in sociology. This study was designed to explored and explained the process of persuing socialist modernity and the uniqueness in the Mao era, trying to give a competitive version of explanation on the socialist modernity.The core ideology of modernity is to meet the commitments and liberation of the population who under the jurisdiction. Historically, Malthus and Marx/Engels had a heated debate on the outlook and desirability of modernity. The former believed that "nature banquet seats" is extremely limited, modernity can only be extended to a limited crowd, while the left must leave. The latter believed that as long as the lifting of the shackles of material technical modernity and the alienation of modernity liberation coused by capitalism, modernity can bring about a better promise for all, that means the modernity of socialist can "guarantee that no anxiety and fear coused by excess population ever". However, Marx also pointed out in his population theory that "every special, historical mode of production has its own special, historical population laws";"different social mode of production has its different laws of population growth and excess population growth law", then is there a possibility to generalise the population laws of socialism? With the question, the perspective of this study focused on the era of Mao Zedong which started from1949. It is the time that build reality upon ideal, however, the reality is not optimistic. The socialist countries have to make every effort to bridge tension between socialism "shortage" and the certainty of its people’s lives. Under the logic of improve the willingness the socialist state designed and implemented a continuous social engineering. As Foucault said, in the construction of these social engineering, the state must build the corresponding population governmentality. Since the "country is a variable result just brought by a multi-governance institution," and the "history has shown that socialism can only operate by grafting onto various types of governmentality," then "in order to pursue a socialist modernity what kind of population governmentality the country had built and implemented?"That is the issue the paper try to explore.This research in its nature is a theoretic exploration, and it is critical, interpretive in the text rendering. This research has taken the national population planning events-process as a starting point.Firstly,the research framework of this paper proposed generally is " state-modernity-population governmentality", then made an interpretation for the various social projects in the process of pursuing socialist modernity, especially the management of the remaining population. According to the history and logic of Maoist socialist modernity, the explanatory framework of "socialist modernity, state and population governmentality" includes three core elements:first, the value-Utopia, the motive power and destination of socialist modernity, which is the promise of universal salvation; second, control-engineering, the catching up economic modernization and demographic transformation that started by material technical modernity and modernity liberation; third, level-classification-exclusion, namely the decentralization economic surplus population and the order remaining population, which means taking "decentralization" itself to prove the fact of "save" and forcing the disorder sociaty return to the state that socialist modernity promised. During the countries seek modernity,"’organized’/’population unitised’-’pack down’-’hierarchical/category/exclusion’" constitute the logic of population governance.In order to make an application or re-interpretation of the framework that the study proposed, the fourth and fifth chapters were relatively independent case study, and selected the major events in the Mao era to study, namely the "Great Leap Forward"(1958) and "Big streamlining"(1962-1963), educated city youth movement (1950-1980). These events clearly demonstrated the process of pursuing a socialist modernity, the conversion of modernity level, the overall plan, programs and skill in Mao era."Great Leap Forward" is an instant experiment to catch up modernization of the economy. It attempts to complete the catch up of national modernization economy by taking mass movement to convert an unlimited supply of surplus labor into capital under conditions of severe shortage of capital. Producing large-scale economic surplus population in the most intensive space and time is a direct consequence of "Great Leap Forward". Commpare to the cooling modernity.the huge economic surplus population is extremely redundant, and with respect to the promise of modernity in the socialist countries "pack down", the population is unbearable burden. Thus, an urgent, massive clean-up-exclude the remaining urban population became fundamental way to resolve crisis. The place where caused surplus rural population priorly provides the operational space for city to shift the crisis.If the large streamline that the Great Leap caused was a crisis triggered by management, then the youth movement is illustrated the normalization of cyclical political and economic crisis governance in Mao’s era. Educated youth going to the countryside lasts for up to1/4century, changing the fate of nearly20million young people. It can be called a well-designed, comprehensive organised and the most protracted social engineering in the history of the Republic. The nature and purpose of the Youth movement is multiple and in flux. From the very beginning of the movement to1968,the economic motive was in the primacy. It was mainly to solve the employment problem of educationed unemployee. At the same time, it was also a way to deal with the routine periodic economic crisis. But in1968, it became the governance means of political crisis to rebuild social and political order. Afterward political motive surpassed economic motive which made the movement became a political renovation project for youth population. It was also sugar coated by building a new socialist countryside, being a socialist new farmers, narrowing three poor aura. Overall,in Maoist,the nature of educated youth movement is a management and transformation projects that socialist China used to deal with the remaining population——a double surplus of economic and order. After Mao’s death, liberation from modernity levels down into the technical substance of modernity, population governmentality was also followed by transition. The aims of new population governmentality:the state transferred the population reproduction cost in the political framework that "pack down" to individuals and handed over the population burden to the market management. The shockness of youth spontaneously back to city is one of the key forces contributed to this transformation. Youth movement marked the end of the Mao era utopian project.In the end, this paper advocat the reflection on modernity. Marx’s "free man";"printless citizens" of market economy; Marcuse’s "One Dimensional Man";"mediocre public" under capitalism; Foucault’s "tame the flesh" under micro-power technology,all of these are modern theorists’ reflection on the real human condition for seeking true freedom.This paper put forward that freedom in a complex society needs to face reality and also needs to join ideal to reality. If the country in good faith to create freedom for all, we should not be afraid of authority and plans but turn against it. But in an open, pluralistic, and tolerant dissident sociaty is the presupposition which make the state become a tool to obtain the freedom rather than alienated into a means of oppression. In modern society, intellectuals must learn to critique and self-liberation, maintaining tension with the mainstream, to use their expertise to raise the narrative outside the mainstream, and provide another possibility and promote a self-survival aesthetics.更多还原