施坚雅模式研究

【作者】 刘招成；

【导师】 朱政惠；

【作者基本信息】 华东师范大学 ， 史学理论及史学史， 2003， 博士

【摘要】 施坚雅模式(Skinnerian Model)是美国著名中国学家施坚雅在20世纪60—80年代提出的一套研究中国明、清社会历史的理论模式。在理论与方法上，它融合了经济人类学、历史学、地理学、人口统计学、社会学、生态学等多种人文学科和社会科学的理论与方法。施坚雅模式出现后，影响了整整一代美国中国学家，至今在国际学术界仍有很大影响。诚然，对于这样一套系统的研究模式，目前国内外进行系统研究和探讨的还不多。本文拟从史学理论与史学史的角度，对施坚雅模式做一个案分析，意在探求其理论的内涵和外延，并籍此进一步了解近几十年美国中国学的发展变化。笔者期望这样的研究，庶几有助于我国历史学研究的探讨和借鉴工作。 本文采取学术史的研究方法，较为全面地研究了施坚雅模式。首先从施坚雅的学术生涯入手，叙述了其研究活动，接着系统梳理了施坚雅模式的理论体系；然后分析了施坚雅模式的学术借鉴、理论特点和研究方法；再分析了施坚雅模式得以出现的社会背景和学术思潮；最后又从学术界对施坚雅模式的争论和实践两方面讨论了它的学术影响。全文除导言、结语和附录外，正文共分五篇。 甲篇首先叙述了施坚雅迄今为止的生平简历和学术活动。施坚雅1948年23岁时就开始了人类学研究，1949年进入中国四川做人类学调查，从此与中国研究结下了不解之缘。在迄今55年的研究活动中，既有对中国本土的研究，也有对海外华人的关注；既有对中国历史的分析，也有对中国现状的追踪观察与研究；既有宏观理论构架，又有微观个案剖析；既有对中国问题的实际研究，又不忘中国学的学科规范与建设。其理论体系集中体现在《中国农村的市场和社会结构》、《中华帝国晚期的城市》两书及《中国历史的结构》等论文中。本文采取了空间-时间的方式来把握施坚雅模式，即先从宏观到微观、从上至下的角度来把握施坚雅模式的空间结构，再从微观到宏观、从下至上来把握其时间结构，从而将其理论体系分为“宏观区域说”、“核心—边缘理论”、“区域体系下中心地的层级及其排列关系”、“农村集市集期排列规律”、“基层市场社区理论”、“传统时代市场与中心地的变迁”以及“区域发展周期说”等七个部分。 乙篇着重分析了施坚雅模式的学术借鉴和特点。施坚雅模式最主要的理论来源是克里斯塔勒的中心地理论，这也是其理论模式的基础与核心；此外它还借鉴了弗里德曼的人类学研究成果、济弗的等级-规模理论，与罗兹曼的城市空间网络学说也有颇多交流。就其理论层面看，施坚雅模式的第一个特点在于它是研究模式与原创性理沦的结合。它一方而具有其它模式指导、构架中国研究的功能，另一方而从问题的原发性、研究材半牛的原始性、结论的独特性和创新性来看，也可以说具备中叫学原创性理沦的条件。此外，它运用了系统论来构建中国传统社会的区域体系，并体现了“中国中心观”研究取向。就其方法层而石，施’l圣雅模式运用了区域研究方法以突出中国社会内部的签异肚，采用了计员分析、比较研究等手段来揭示中国社会的变化，还采用了跨学科方法以推进中国学的社会科学化。此外，强调史料实证、运用翔实的资料做充分有力的沦证也是其特点。 丙篇则从施坚雅模式中跳了出来，以历史的眼光从时代背景和学术思潮等方面来把握施.坚雅模式的出现。施坚稚模式出现的大背景是二战后美国人文社会科学的发展，它使美国人文社会科学研究进入了“跨学科研究的时代”、“社会科学的时代”，研究手段也大为改善，研究资金亦大大增加。战后美国历史学一方面走向社会科学化，其研究方法、指导理论较多关注社会科学领域的前沿状况;另一方面又深受年鉴派思想的影响。美国中国学颇受之影响。施坚雅的中国学研究一直贯穿着“中国学社会科学化”的精神。二战后，随着区域研究在中国学领域的兴起，到60一70年代，中国学领域注意吸收人类学的理论与方法，促成60年代中期一场关于中国学的学科大讨论，施坚雅认为应采用人类学及其他多种社会科学方法来研究中国。美国中国学自二战后就被纳入区域研究的范围，经历麦卡锡主义迫害之后，从50年代末期起，随着各种研究机构的广泛建立、基金会和政府部门资金的源源不断注入，到70年代，美国中国学获得了极为蓬勃的发展，出现了繁荣景象。而中美关系的逐渐改善，也为施坚雅进入中国收集资料、学术交流提供了方便。所有这些都为施坚雅模式的出现提供了适宜的学术气候与土壤。 丁篇主要分析了国内外学术界对施坚雅模式的争论。赞同者肯定施坚雅所使用的地理学等社会科学方法来研究中国，还认为近年来在分析中国文化地理上，施坚雅模式中的区域系统理论确实是最具影响力的了，它有助于研究中华帝国晚期的人们掌握一种新的学术方法和理念。施坚雅成为美国第二代中国学家中取得突破性成就的主要代表人物之一，他不仅对中国的基层社会作出了清晰的研究模型，并进一步把中心地理论上推到县城和大都市，把中国分为九大独立的区域，倡导由局部的区域研究突破对全局的认识。这种做法打破了传统上以政治边界划分中国展开研究更多还原

【Abstract】 Skinnerian Model, proposed by a famous expert at Chinese studies named George William Skinner during the period of 1960s-1980s, is a kind of theoretical model for the study of the Chinese society and history in late imperial China. It absorbs theories and approaches from other social and humane studies like economic anthropology, historiography, geography, demography, sociology and ecology, etc., and has influenced a whole generation of Chinese studies scholars. The impact of this model can still been found abroad today, whereas, there is no systematic study on Skinner and his model at home and abroad. My dissertation attempts to make a case study of Skinner from angles of historiography so that it can provide a further understanding of the development of American Chinese studies and their experiences of which we may make use.The current dissertation has made a comprehensive study of Skinnerian Model with methodology of academic history by recounting Skinner’s academic career, sorting out Skinnerian Model system, analyzing social and academic backgrounds, and discussing its academic impact from the debates it has aroused in the academic circle and its practice. The dissertation consists of five parts except preface, conclusion and appendix.The first part is an account of Skinner’s life and research activities. In 1948, Skinner started his anthropological study and in 1949, he came to Sichuan Province to do fieldwork, from then on he developed a liking for Chinese studies. In his 55-year academic career so far, Skinner has studied Chinese mainland as well as overseas Chinese. He has made an analysis of Chinese history and a tracking observation of Chinese status quo, and thus, in his works, there are both macroscopic theoretical frame and microcosmic case studies, which shows a research of Chinese practical problems and norm and construction the discipline of Chinese studies. His theories are mainly illustrated in such "Marketing and Social Structure in Rural China" (1964-1965), The City in Late Imperial China (1977), and "The structure of Chinese history" (1985). The dissertation does not adapt the two principal models of "marketing system theory" and "macro regional theory" but cracks the spatial structure of Skinnerian Model from macroscopic to microcosmic aspects and temporal structure from microcosmic to macroscopic aspects. Therefore, in our research his theories are divided into 7 parts: 1) macro regional hypothesis; 2) core-periphery theory; 3) Scale and arrangement of center in a regional system; 4) the rule of date arrangement of rural marketing; 5) theory of standard marketing community; 6) changes of traditional marketing and center places; and 7) regional development cycle hypothesis.The second part is mainly an analysis of the academic properties and origins of Skinnerian Model. Theoretically, the model derives primarily from Walter Christaller’s central place theory which is also the base and core of the model. Besides, it also makes use of Maurice Freedman’s anthropology, George K. Zipf’s rank-size theory and Gilbert Rozman’s municipal space net hypothesis. In its theoretical dimension, the most obviousIVfeature of Skinnerian Model lies in its combination of research model and original theories. Thus, on the one hand, the model has the functions of other models in guiding and constructing Chinese studies; on the other hand, it is qualified for being the original theory of Chinese studies since the problems under studying are original, the materials are firsthand and the conclusions are creative. Moreover, it constructs the regional system of Chinese traditional society with system theory, displaying another theoretical feature of "Chinese center orientation". In the dimension of methodology, Skinner uses area study to highlight the diversity of Chinese society by adapting such means of quantitative analysis and comparison to show the changes of the society, making advantage of other disciplines’ approaches to develop Chinese studies into an authentic social science. In addition, pos更多还原