【作者】 郭台辉；

【导师】 孙关宏；

【作者基本信息】 复旦大学 ， 政治学理论， 2006， 博士

【摘要】 本论文以萨拜因的“历史主义”政治理论研究范式为方法论，以个体的生存境况变迁为分析视角，从规范与经验层面对研究对象——当代西方著名思想家齐格蒙特·鲍曼的思想——展开理解和分析。同时，紧紧围绕个体与政治在理想与现实两层面的密切关联性，力图回答当前欧洲的社会政治变迁是否处于历史的断裂中这一重大的理论和现实问题。我们从解释和分析鲍曼思想的方法论基础入手，通过理解个体的存在方式、特征和价值，表明，个体与社会的互动关系使西方历史变迁呈现出一种个体化的逻辑进路。在此微观分析的基础上，我们揭开鲍曼思想的复杂源流，发现葛兰西、齐美尔和阿伦特等思想家是他转向勒维纳斯它者哲学的关键。鲍曼以后者为底色，强调个体的道德责任不是来源于社会而是为社会所操纵，并以对它者负责的伦理学为原初场景，绘制出一种个体伦理观的积极乌托邦图景。但是，个体伦理具有先验的局限性，只有通过作为公共生活的政治才得以维系和延续。这样，个体与政治在伦理意义上有着内在关联性。然而，在启蒙运动之后，西方现代社会和政治的目标是如何设计一套更趋完美、确定而永恒的秩序，其代价是压制了完整意义上的个体内在的道德责任和价值。我们运用权力修辞学的方式来揭示文明进程中的权力关系、理性主义及其所导致的道德沉沦。少数精英以知识与权力的共生关系为支撑，运用暴力合法化的手段，确立一套全能性的监控体系。其中，以理性官僚制为运作主体的民族国家是知识和权力结合得最有效的现代政治结构，对它者实施规训和惩罚。因此，现代社会的多数人都被对象化，甚至被非人化为大屠杀的对象。尽管如此，现代秩序的追求并不总是成功的，因为代表矛盾状态的陌生人始终破坏和颠覆其确定性。20世纪70、80年代之后，资本自由充斥于全球空间并诱发两大对立阵营解体，其后果是，全球资本在世界范围内获得了治外法权。在资本主义全球化的冲击下，民族国家虽然是现代秩序最坚固的樊篱，但其结构和功能出现崩溃的迹象，表现为：国家与民族的分离、国家与主权的分离、国家与福利的分离。相应地，民族国家的解构使社会的控制模式和个体的生存境况也发生巨大改变。被压制的个体逐渐从现代秩序的“铁笼”中再次解放出来，并以不同的方式力图实现其个体化。然而，这种个体化是受消费欲望所诱惑和主宰，是一种没有确定性和安全感的实现形式，因此，个体在实现自由和个体性的同时，又向往各种温馨而稳定的共同体形式。同时，穷人被排斥于消费社会之外而失去其应具有的个体伦理和价值。这样，与全球化相呼应的个体化就陷入于双重困境，个体化社会从而出现其结构性危机。在鲍曼看来，要解除个体化社会的危机并解脱个体对不确定性的焦虑，重新塑造政治的原则、性质和目标是根本途径。这是因为，在民族国家失宠之后，政治的功能和目标有着重新再造的机遇，它能够以全球空间中的人类福祉为终极关怀，以道德责任和正义为根本原则，在三个层面上重新发挥功效：全球政治、新部落政治和公民资格。本文通过对鲍曼思想的理解和分析，最后得出的结论是：鲍曼并不是后现代的支持者，而是始终以一种矛盾的态度关怀欧洲，并着眼于现实社会中的个体生存境况变迁，探究全球大变革的深远影响。但更重要的是，我们通过鲍曼思想可以证明，当前的全球化时代是处于一种新的历史过渡期，即，以民族国家为认同单位的旧的制度框架、行为方式和思维模式已难存续，而新的认同和组织结构模式尚未生成。在比较吉登斯、贝克和鲍曼的社会理论中，这个历史过渡期的论断可以得到进一步的确证。当然，对当前政治学研究尤为重要的是，政治学者应运用历史和理论知识，发挥政治学想象力，立足于全球化时代的时空视野，及时反思并重构个体与政治在规范与经验层面的双重关联性。更多还原

【Abstract】 This dissertation, on the methodology of George H. Sabine’s paradigm of Historicism, at the perspective of the changing situation of individual’s lives, and from the both dimensions of normal and experimental study, does an understanding and analysis to the thought of Zygmunt Bauman, the famous contemporary western thinker. Meanwhile, It surrounds closely the close relationship between the individual and politics on the ideal and realistic dimensions, and tries to give a reply to an important issue whether a break of the history appears in the social and political transition of the contemporary Europe.We begin with the explanation and analysis to the methodology in the Bauman’s thought, and through the understanding of the way and specialty and value of individual’s existence, from which we can see that it is the interdependent relationship between individuals and society that proves to be an individualization logic in the process of western civilization. On the base of such microanalysis, we can reveal the complex origins in Bauman’s thought, in which such thinkers as Gramsci, Simmel and Arendt are the key in his turn to the Other philosophy of Levinas. On the ground of the latter, Bauman argues that individual’s moral responsibility does not originate from but is controlled by the society, and draws an actively Utopian picture with his individual ethics, the primitive field of which is the ethics of a responsibility to the Other. However, the individual ethics has its transcendental limits, and only by the politics as a public life does it maintain and continue. So the individual and the politics have their inner relativity in the meaning of ethics.However, After the Enlightenment, the goal of modern western society and politics is how to design a more perfect, certain and permanent order at the expense of totally destroying individual’s moral responsibility and values. We use the way of power rhetoric to discover the power relation, rationalism and its outcome (moral degeneration) in the process of civilization. Under the support of co-existence between knowledge and power, and with the certain tricks of violence legitimation, the minority of elites designs a powerful system of surveillance. And the nation-state, whose main body is the rational bureaucracy, is the most efficient structure in modern politics which is the product of power united knowledge, executing the discipline and punish to the Other, so the majority of population in modern society is objectified, even inhumanized to be the objects of the holocaust. However, the pursuance ofmodern order is not always successful for the stranger in symbol of the ambivalence always destroys and subverts its certainty.After 1970s and 1980s, the capital has expanded in the scale of global freely and caused the disintegration of antagonism between both Camps, the consequences of which is that the global capital gains the extraterritoriality. Under the hit of the capitalist globalization, the structures and the functions of nation-state, although being the solidest fence of the modern orders, emerge to be collapsed, such as the separation between state and nation, state and sovereignty, state and welfare. Accordingly, the collapse of nation-state causes the model of the social control and the situation of individuals’ lives to change greatly, too. The individual being oppressed comes to be re-emancipated from the ’cage’ of the modern orders, and tries to achieve their individualization by different means. However, this individualization, being lured and dominated by the aspiration of consumption, has no certainty or safety. Therefore, the individual looks forward to the warm and stable communities at the time of attaining the freedom and individuality. At the same time, the poor, repelled from the consumer society, lose the individual ethics and values they should have. So, the individualization, as the respond of the globalization, sinks in the both difficult positions, and a structural crisis appears in the individualized society.Bauman urges that, if the crises in the individualized society need to be removed and the individual’s worries about the uncertainty need to be relieved, it is the fundamental channel that the principles, nature and goals of politics are reinvented completely. The reason is that, after the nation-state are in disfavor, the function and goal of politics get the opportunity to be rebuilt, and with the human welfare in the global space as its ultimate solicitude, with the moral responsibility and the justice as its principles, politics can operate on the three levels: the global politics, the new-tribal politics and the citizenship.Finally, Bauman, this dissertation gains a conclusion that, is not the supporter of the postmodern but constantly and ambivalently cares for the Europe, and from the changing situation of individual’s lives he goes into the profound influences of the global change. Furthermore, through the research into the thought of Bauman, we can get a verdict that the present age of globalization is in a new transition of western history, that is, the old institution frame, behavior fashions and thinking ways with the nation-state as the popular identity units are more and more difficult to continue, but the new identity and model of the organization and structure has never appeared. Thisverdict of the history transition can get further confirmed by comparison with the social theories of Giddens and Beck. And from this, perhaps more importantly for our political researches, the political researchers should apply the knowledges of history and theories, develop their political imagination, timely reflect and rebuild the dual relationships of the experience and the norm between the individual and the politics in the age of globalization.更多还原