建国前中国共产党文书工作的现代化进程研究

【作者】 胡明波；

【导师】 丁晓昌；

【作者基本信息】 南京师范大学 ， 应用文体学， 2014， 博士

【摘要】 20世纪20-40年代,随着中国共产主义运动的兴起与中国共产党的诞生,在中国文书工作的历史上出现了中国共产党的文书工作。中国共产党文书工作的出现标志着公文由为剥削阶级少数人服务到为工农多数人服务的根本转变,在中国文书工作史上具有划时代的意义。“五四”运动以前,中国革命一再遭受挫折和失败,一个重要的原因就是缺少正确的理论指导。“十月革命”把马列主义这个正确的革命理论传到了中国,马列主义同中国革命实际相结合经历了一个认识、实践、再认识、再实践的反复过程,我们可以从这一时期中国共产党的文书中找到这个过程的演变轨迹,集中反映这一认识过程的文书是具有重要价值的历史文献。为了提高文书处理的质量与效率,在这一时期,中共中央机关和根据地政府还建立健全了包括文书保密制度、文书审核签署制度在内的一系列制度,这些制度和经验为新中国成立后文书工作的科学化、规范化奠定了基础,也加速了中国文书工作从古代系统、近代系统向现代系统的转型。本文对建国前中国共产党文书工作的现代化进程进行了梳理,对中共中央机关和根据地政府使用的文书种类进行了整理,对这一时期文书工作的相关制度进行了考查,对具体的文书体式、文书语用等进行了分析。试图在揭示建国前中国共产党文书工作全貌的基础上,进一步探究中国共产党文书工作的现代化进程。绪论部分概述了前辈学者对于建国前中国共产党文书工作的研究情况和研究成果,并提出了论文的核心问题、研究方法和研究思路。本文认为,把握一段历史进程,学术研究大体在两个方向上用力,一是还原,一是阐释。论文从档案文献出发,还原建国前中国共产党文书工作变革与发展的历史过程。在还原历史过程的基础上力图能对建国前中国共产党文书工作现代化进程的各个阶段和层面作出学理性的阐释。顺着这一思路,本文分为六章予以具体探讨：第一章探讨了建国前中国共产党文书工作现代化的历史地位。本文指出,现代化是近代世界历史发展的主线,也是近代中国历史发展的基本走向。1840年以来,在西方挑战的持续冲击下,在民族危机所引起的强大生存压力下,一批又一批的仁人志士,通过体制创新来改造中国,并为中华民族寻求新的历史出路。自此,中国历史摆脱了两千年治乱相替的“朝代循环”,展示了一个全新的现代化发展走向。本文认为,在中国现代化的历史过程中,中国共产党既是现代化的产物,又是现代化的旗手、设计者和领导者。建国前中国共产党的文书工作是中国共产党革命工作的组成部分和重要体现,它全程参与了中国的现代化进程,它与中国的现代化密不可分。本文还指出,建国前中国共产党文书工作的现代化只是中国现代化进程的一部分,还处在中国现代化进程的初步阶段,过分地拔高其在中国现代化进程中的地位是不科学的。第二章呈现了建国前中国共产党文书工作现代化的历程。本文认为,探讨文书工作的现代化历程,应从静态和动态两个视角进行观照。一方面要在静态视角下将文书工作的现代化进程划分为不同的阶段,另一方面还要在动态视角下关注文书工作现代化进程的不同层面。本文紧扣文书“为谁写”(对象)、“为什么写(或为什么内容写、为什么工作写、为什么事写)”的根本问题对建国前中国共产党文书工作的现代化进程进行了三阶段划分,即：1921-1937年是第一阶段,回答了文书“为谁写——为中国半殖民地半封建社会的劳苦大众”、“为什么写一一为反帝反封建的革命任务”的根本问题；1937～1945年是第二阶段,回答了文书“为谁写——为中华民族”、“为什么写——为打倒日本帝国主义”的根本问题；1945-1949年是第三阶段,回答了文书“为谁写——为新中国的成立”、“为什么写——为反对国民党反动派的统治”的根本问题。在分阶段的基础上,本文还对每个阶段文书工作的面貌进行了梳理,对文书工作所体现的现代化特点进行了归纳总结。本文指出,建国前中国共产党文书工作的现代化进程同时也是观念现代化、手段现代化、制度现代化、组织现代化的进程。建国前中国共产党文书工作的现代化除了上述四个层面外,还有一个物质层面的现代化。探讨文书工作物质层面的现代化,就是要研究在中国共产党文书工作的现代化进程中文书种类、文书体式、文书语用的现代化问题。第三章探讨了建国前中国共产党文书工作现代化进程中文书种类的现代化问题。本文首先梳理了文书工作现代化进程的不同阶段中国共产党机关系统和根据地政府系统文种使用的情况。在此基础上,本文对文书工作现代化进程不同阶段的文种演变规律进行了分析总结：首先,社会的实际需要是文种产生、发展、消亡的根本动力；其次,生命力强的文种使用时间久、政务适应能力强；第三,这一时期的文种呈现出分工逐步明确、功能日趋明晰、数量逐渐简化的特点。此外,本文还对中国共产党机关和根据地政府文种使用的情况进行了比较分析。本文指出,建国前中国共产党机关和根据地政府两个系统中相同的文种有二十种,不相同的有九种,这说明党、政机关的文种多是互通互用的,为新中国成立后确立党政机关公文一体化奠定了基础。本文还对中国共产党机关文种的使用规律进行了分析总结：首先,文书种类广泛、多样、创新,是近代后期文书所未曾有过的；其次,文种按照行文走向和实际工作需要设置,废除了封建等级尊卑；第三,文种的使用频率不平衡,呈现两极趋势；第四,一些文种的功能相互交叉,使用范围无严格的界定,文种出现同名实异与异名同实的现象。第四章从文书载体规格的现代化、文书文面款式的现代化和文书结构程式的现代化三个方面探讨了建国前中国共产党文书工作现代化进程中文书体式的现代化。本文认为,在封建社会,公文程式被纳入封建礼制的轨道后,公文不仅是处理政务的工具,还维系着礼仪背后的权力秩序。民国时期,公文的缮写程式,呈现出一个变化的过程：抬写格式逐渐被隐退,缮写字体也趋于一致,其一体化的趋势显而易见。公文缮写程式在不同的行文方向中不再各不相同,公文程式对礼仪权力秩序的维系功能逐渐消弭。本文指出,建国前中国共产党的文书在文书载体规格、文书文面款式和文书结构程式三个方面较之于这一时间段的民国公文,又有了进步与发展,这些进步与发展使得文书处理政务的工具性能被凸显出来,文书程式日益简单、明了,文书处理更加迅速有效,文书效率开始成为核心的价值追求。第五章分“文书语言的白话问题研究”和“文书语言的套语问题研究”两个专题探讨了建国前中国共产党文书工作现代化进程中文书语用的现代化。本文指出,中国古代公文一直是官僚士大夫们的专属。晦涩的文言词汇、不加标点和分段的文面、带有强烈尊卑色彩的套语、无用费解的冗词赘语等等如同是一道道无形的屏障,制造出种种符号的区隔,将官僚士大夫与普通民众隔开,于是公文高高在上,更与平民大众无缘。建国前中国共产党的文书以实事求是为原则,以革除“一切旧政权那一套”为手段,以完成“革命职务”为出发点：文书使用白话文和新式标点,书写文书一律使用标点符号；反对旧文书的繁文缛节、陈词滥调和等级观念；文书套语的使用更加简化。本文认为,中国共产党文书语用的现代化过程,同时也是文书祛魅化、去神圣化的现代性发展过程。本文也注意到了在文书语用的现代化进程中,中国共产党文书中部分字句的使用不符合现代的规范标准。本文认为,规范是动态的,它存在于特定的时空,我们不能简单地用现在的规范苛求过去的语言运用,这种由不规范向规范的发展过程也正是文书现代化的发展进程。第六章对建国前中国共产党文书工作现代化进程中的现代化精神进行了探究。本文认为,1921-1949年,中国共产党的文书经过近30年的渐进发展,从格式到结构,从用语到文腔,都有了显著的变化：程式趋于简化,形式逐渐统一,意义趋于明确,白话终于推广,套语只留必要。封建文书的影子已不多见,现代文书的精神终于确立。本文指出,纵观近30年的发展,中国共产党文书的现代化进程主要呈现一种“简化”的趋势：文种的简化、句读行款的简化、结构程式的简化和文书用语的简化。中国共产党文书的简化趋势体现的是世俗化、平等化与大众化、工具化与效率化的现代化精神。“民主”与“科学”贯穿中国共产党文书工作现代化进程的全过程,中国共产党文书工作的现代化进程也正是实现“工具理性”和“价值理性”相统一的过程。结语部分对本文的主要观点、主要内容进行了总结,对本课题的后续研究进行了展望。更多还原

【Abstract】 From the1920s to the1940s, with the rise of the Chinese communist movements and the birth of the Chinese Communist Party (the CCP), the Party’s document activity appears in the history of the Chinese document activity. The emergence of the Party’s document activity marks a fundamental shift of the official documents from serving for the minority exploiting class to serving for the majority workers and peasants, which is of epoch-making significance in the history of Chinese document activity. Before the May4th Movement, the Chinese revolution has repeatedly suffered setbacks and failures. One important reason is the lack of correct theoretical guidance. The October Revolution spread the correct revolutionary theory--the Marxism-Leninism to China. The combination of the Marxism-Leninism and the concrete practice of Chinese revolution have experienced a repeated process which is from cognition, practice, renewing to re-practice. We can find this evolution process from the Party’s official documents during this period. The official documents intensively reflecting this cognitive process are the historical documents of important value. In order to improve the quality and efficiency of the document processing procedure, the central authorities of the CCP and the governments of the base areas also establish and perfect the systems about official documents confidentiality, check and sign, etc. These systems and experience lay a solid foundation for the scientific process and standardization of the document activity after the founding of the new China, meanwhile accelerating the transformation of the Chinese document activities from ancient systems to modern systems and contemporary systems. This thesis depicts the modernization progress of the CCP’s document activities before the founding of the People’s Republic of China(the PRC), systemizes the official document types used by the central authorities of the Communist Party and the governments of the base areas, investigates the related systems of the document activities in this period and analyzes the formats, words and structures of the specific texts. Based on revealing the panorama of the document activities of the Party from1921to1949, the thesis tries to explore the modernization process of the CCP’s document activities.The introduction part summarizes the previous research achievements about the CCP’s official documents and the document activities from1921to1940and then puts forward the core, research methods and thought train of the thesis. As this thesis argues, to understand one period of historical process, we usually focus on two points during the academic studies--restoring and explaining. From the archives, the thesis represents the historical revolution and development of the document activities of the Communist Party of China before the PRC was founded. Based on the representation, the thesis tries to rationally interpret all the procedures of the modernization process of the Party’s document activities before the founding of the PRC. Along this train of thought, this thesis is divided to six chapters for detailed studies:Chapter One discusses the modern historical status of the Party’s document activity before the founding of the PRC. The thesis argues that modernization is the main line of the history of modern times, and also of the modern China. From1840, under the continuing challenges from the western countries and the strong survival pressures caused by the national crisis, batch after batch of patriots have renovated China through institutional innovation and seek a new way for the whole nation. Since then, China has gotten rid of the two thousand "dynasty cycle" between well-governed and political chaos, presenting a completely new modernization development direction. This thesis insists that during the process of the Chinese modernization, the CCP is not only the product of the modernization, but also the standard-bearer, designers and leaders of the modernization. Without the CCP, there is no modernization of China. Before the founding of the Party, the Party’s document activity is an important part and reflection of the Party’s revolution. It fully involves in the process of Chinese modernization. In another word, it is closely connected with the modernization of China. The thesis also points out that the modernization of the Party’s document activity before the founding of the PRC is only a part of the entire Chinese modernization process, which is an initial stage. It’s unscientific to excessively highlight the role the document activity plays among the modernization of China. Chapter Two presents the modernization progress of the Party’s document activity before the founding of the PRC. The thesis argues that the modernization progress of the document activity should be investigated from static and dynamic perspectives. From static perspective, the process should be divided into different stages; from dynamic perspective, we should pay attention to the different levels of the process. Focused on the fundamental questions "who are these documents written for "(the object) and "why these documents are written"(or for which content, which work, which issue), the thesis divides the process into three stages. The first period is from1921to1937which tells us who the documents are written for are the toiling masses in semi-colonial and semi-feudal society and the reason why documents are written is to fulfill the anti-imperialist and anti-feudal revolutionary task. The second period is from1937to1945which tells us the documents are written for the whole Chinese nation, and the reason why documents are written is to overthrow the Japanese imperialism. The third period is from1945to1949which tells us the documents are written for the founding of the new China and to fight against the governing of the Kuomintang reactionaries. Based on the division of three stages, the thesis summarizes the document activities of every stage, concluding the characteristics of the modernization those document activities have reflected. The thesis also points out that the modernization progress of the CCP’s document activity takes place simultaneously with the progress of the ideas, methods, systems and organizations. Besides the four aspects, there is also a kind of modernization in material. Research on the material aspect of the document activity modernization is focused on the document types, the format and the phrase used in the documents.Chapter Three discusses the modernization of the document types in the progress of the CCP’s document activity before the founding of the PRC. In the first place, the thesis summarizes the information of different kinds of the documents used by the CCP systems and the base area government in different stages of the modernization progress of the document activities. Based on this, conclusions about the evolvement role of the document types in different stages in the modernization progress are drawn: firstly, the practical request of the society is the core motivation of the emergence, development and demise of the document types; secondly, document types with strong vitality can be used quite a long time and are adaptable for government affairs; thirdly, in this period, divisions and functions of the document types are increasingly clear, and the quantity is gradually simplified. In addition, the thesis also comparatively analyzes the usage of the document types of the CCP systems and the base area government. The thesis points out that, twenty document types are same in systems of the CCP systems and the base area government while nine types are different. This shows that the document types almost can be shared in the party’s and the government’s systems, which lays a foundation for the official document integration of both the party’s and the government’s systems. The thesis also concludes the usage patterns of the document types used by the CCP systems:firstly, the document types are wind-ranged, various and innovative which is beyond later documents in modern times; secondly, according to the direction and practical working request, the feudal hierarchy containing social status is abolished; thirdly, the use frequency of the document types is unbalanced and trends to be polarized, fourthly, the phenomena turn up that documents of the same type contain different elements or documents of different types are same in contain. It is resulted from the function overlapping of some document types and the unclear range about using different types.Chapter Four discusses the modernization of the document forms in the CCP’s modernization progress before the founding of the PRC from three perspectives:the modernization of the document carrier standards, the modernization of the format of the words and phrases and the modernization of the structures of the documents. The thesis argues that in the feudal society, loaded into the orbit of the feudal ritual, the official documents not only are tools to handling political affairs but also sustains the power order behind the etiquette. During the period of the republic of China, the writing patterns of the official documents present a process of change such as the title format is gradually vanished and the font tends to be consistent. Thus, the integration trend is obvious. The writing patterns of different documents aimed at different audiences are no longer un-identical and the power of the official document format to maintain the etiquette order gradually diminish. Compared with the official documents of the republic of China in this period, the CCP’s documents have improved and developed in the document carrier standards, the format of the words and phrases and the structures of the documents. The progress and development highlight the importance of the documents as a tool to handle political affairs. The document formats are simpler and more clear, and the document processing becomes more efficiently. The efficiency of the document activity turns to be the core pursuit.Chapter Five is divided into two subjects:colloquialism of document language and study on conventional phraseology of official document language, exploring language pattern changes in the modernization of the CCP’s document activity. This thesis holds that ancient document activities, exclusive to government officials and scholar-bureaucrats all along, includes characteristics like total use of classic style of Chinese writing, no punctuation and paragraph, old-fashioned conventional phraseology containing strong colors of social status and useless, incomprehensible pleonasm, which separated government officials from common people by making all kinds of symbol distinction just like invisible barriers. That’s why official documents stood high above the masses. Before the founding of the PRC, the document activity of the CCP was based on the simplified one of Kuomintang government in the Republican period, under the principle of seeking truth from facts, by means of abolishing the old regime’s document format. The writing style took the fulfillment of revolution task as its starting point, using colloquialism and new-style punctuation, and all the documents should use punctuation. Old documents’unnecessary and over elaborate formalities, cliche, and rating were opposed.The conventional phraseology use of documents is more simplified. The thesis also insists that the changing course of the CCP’s document language format also is the course to dispel its mystical or sacred feeling. This article also notices the words and sentences of the CCP’s document activity still not accord modern standards in this course. It’s believed in this thesis that the standards are dynamic and exist in certain time and space.Obviously we can’t use standards today to judge the language use in the past.This development from nonstandard to standard is just the transition states of modernization of official document writing.Chapter Six explores the spirit of the modernization in the modernization progress of the CCP’s document activity before the founding of the PRC. The thesis argues that from1921to1949, after nearly30years of gradual development of the official document of the communist party of China, from format to structure, from language to the cavity, has changed dramatically:programs tended to be simplified, form unified gradually, meaning tended to be more clear, the vernacular had be promoted. The shadow of the feudal documents has been rare and the spirit of the modern document was finally established. This thesis points out that in the30years of development, the modernization evolution of the CCP’s official document mainly presents a trend of "simplified":The simplified of document kinds, the simplified of the rules, the simplified of the structure and the program, the simplified of the phraseology. The trend of "simplified" of the CCP’s official document reflects the spirit of "modernization" for the secularization, equalization and popularization and efficiency."Democracy" and "science" are throughout the whole modernization progress of the CCP’s document activities. The modernization of the Chinese Communist Party’s clerical work is to achieve the unity of "tool rationality" and "value rationality".The conclusion part summarized the main point and contents of the thesis, and look forward to further studies of this subject.更多还原