【作者】 沈瑞英；

【导师】 程竹汝；

【作者基本信息】 上海大学 ， 思想政治教育， 2008， 博士

【摘要】 近年来,对中产阶级的研究已成为国内外学术领域日趋高度重视的问题,引起政治学、社会学以及经济学等方面专家学者的普遍关注。本论文研究所要探讨的主要问题是在社会政治、经济和思想文化变迁的现代化过程中,西方中产阶级与社会秩序稳定的关系。本论文研究采用了政治社会学的现代化理论为背景,以社会分层理论为分析框架。研究是在历史唯物主义和辩证唯物主义作为指导性方法论的基础上展开,具体研究方法为比较研究方法、阶级分析方法、制度分析法以及案例研究方法等。西方中产阶级研究的理论预设为:中产阶级是历经西方工商业和市民社会发展而形成的具有相近的自我评价、价值取向、生活方式和心理特征以及有市场能力的社会阶层和群体,因此在市场取向和社会秩序稳定与发展方面有着重要的作用。本论文主要理论取向则不同于西方中产阶级理论研究中的“稳定器”、“平衡轮”、“缓冲器”等理论观点,论文理论起点和支撑的基本假设是:自近代社会转型以来,中产阶级的分化、组合和发展变化,使其自身充满着矛盾性、异质性和复杂性,其并非是一个自为的阶级。从社会系统变量视角辨证分析,在市场经济多元化促发的利益主体多元化、价值取向多元化的现代化发展过程中,中产阶级不仅在现实社会中的群体意识与行为取向是一个复杂的变数,而且其对社会秩序稳定和发展的关系也是一个重要的变量。此外,在不同政治与文化背景的国家,各自还有着不同的内涵与特征。因此中产阶级与社会秩序稳定关系,不仅仅在于其市场能力,还取决于他们是否有赢得其他社会阶层广泛合作与支持的能力,取决于其是否有参与和推动政治民主的能力以及国家与社会互构、互动的关系的制度背景。本文由六部分构成,主要内容如下:导论,对本论文研究的缘起和研究意义进行阐述,并对西方中产阶级相关的文献加以综述。同时介绍了本文的理论架构、基本概念、研究方法和主要创新之处。第一章是有关社会稳定理论构建与结均特征的论述。本论文从政治社会学的视野审度,认为社会稳定是一个多维度的复杂系统工程,其子系统为相互依存、相互作用、相互制约和互为因果的辨证统一关系,社会稳定就是各子系统动态发展的综合作用结果。而中产阶级仅是这一系统工程中的一个要素和变量;是必要条件,而不是充分条件。社会稳定与发展,应该是国家与社会良性互动、互构的结果;是社会各阶级阶层利益相互竞争和合作、妥协和均衡的结果,中产阶级只能是这种充分博弈中的共同赢家之一。故具有理论预设的“稳定器”说存在不足之处,相对而论只是一种单向思维的静态理论观念。第二章主要是从历史考察西方中产阶级与社会变迁的关系。本文以马克思主义经典理论为思想指导,认为“稳定”并非是中产阶级固有特征或必然属性,“平衡轮”、“安全阀”也不是其先天的社会功能,中庸、温和、保守更不是其先赋的社会性格,在社会历史发展过程中中产阶级没有固定模式。从一方面而言,在各种对政治秩序可能形成压力的阶层力量中,利益主体多元化和价值取向多元化的中产阶级往往可能是一种不稳定的因素;从另一方面而论,任何一个社会中的各阶级(包括中产阶级)如不能获得应有的社会资源和制度安排,那么它就可能构成社会秩序失稳、失范之原因。因此,如何引导、把握和发挥中产阶级的社会功能和作用,仍是每一个选择不同发展路径的资本主义国家所面临的重要社会课题。第三章主要对阶级理论视野中的西方中产阶级进行论述,这是本论文立论的主体部分。本文在对具有动态变化概念的中产阶级进行分析基础上,从社会系统变量角度分析,中产阶级虽在社会博弈中具有矛盾性格,但却始终是社会发展的一个动态变量。他们无论选择何种角色形象出现在社会政治舞台上,都是由当时中产阶级的期望张力与阶层力量对比,以及政治、经济、文化背景形势所决定的;他们在与各阶层的对立与妥协、斗争与合作的周旋中,在社会政治的进退取舍中,都是坚持以功利权益为准则,以功利权益的转移来调整目标,来“理性”选择朋友或对手,中产阶级难以成为主导性阶级。不论是“管理革命”理论,还是“科技革命”理论,其意义都只能是私有制领域内的一种调节,其限度以无损于资产阶级对企业有效控制为分水岭,这也是中产阶级与上层阶级之间的一条不可逾越的权力边界。第四章本着理论联系实际的原则,从现状思考中产阶级与社会秩序的关系。本文对当代西方社会中产阶级的经济地位、文化生活和社会政治态度进行了考察研究,认为其充满了多重性、矛盾性和复杂性。同时从比较研究中阐论西方文化语境中的中产阶级模式是不能“克隆”(只能借鉴,不能照搬套用)的观点。因为中产阶级本身经济、政治地位并不稳固,自身处于一种不断分化、重构的过程中。故其不仅在不同的文化背景和意识形态中有着不同的内涵,而且在不同的社会阶段和形势下也有着不同的社会态度。所以中产阶级应是社会历史发展中具有相应动态变化的概念,是一个文化和社会时空差异性的概念。因此,对中产阶级的研究不能是静态的,尤其对“后发型”国家的发展研究不能简单的“理论消费”,否则将不可能真正了解和认识其自身的社会发展特征。第五章从制度分析的视角,论述了西方发达国家社会政治稳定的制度、组织与机制,强调国家与社会的良性互动是社会秩序稳定的关键;而推动、调节与维护国家与社会关系的良性互动则是以政治制度为核心的各项制度安排与导向。本文同时还力图结合当代西方社会多元化的发展趋势,论述了当代西方社会政治运作形式,已不是阶级或阶层的模式,而主要是以利益集团、社会团体的组织形式出现的。这是因为阶级从事政治行动的能力已经被社会多元化所削弱,阶级内部的利益聚合已很难达成,相关利益更加紧密的行业、职业和社会生活背景关系的发展逐渐取代了阶级的组织作用。中产阶级中的不同群体往往就是在行业、职业为背景的利益集团中,发挥其社会政治作用。而在社会秩序和制度的约束与整合下,利益集团或社会团体以政治参与者的身份作为利益表达和均衡的有效机制,使社会张力保持在可控限度内,这是有助于社会稳定的。最后本文认为,西方发达国家政制虽也存在着弊病,并面临问题与挑战,但是从一方面考量,长期以来发达国家并没有经历一次政变和革命,公众对体制、制度与政策持有一定的政治认同感,反映了政权的合法性和政府的权威性;从另一方面审视,资本主义决不是一个封闭、僵化的体系,它是一种在社会主义批判和冲击下,不断调整、变革和演进的文明。当代资本主义仍在持续发展,这说明其体制与制度安排具有一定合理性,适应社会政治、经济和文化的基础与发展。尽管西方社会运动此起彼伏,但都能采取各种手段将其控制在公共秩序允许的范围之内,各种突发事件也能够在体制架构和法律制度的范围内化解。公众的宣泄渠道、利益表达渠道、政治参与渠道都比较畅通,这使单方面的社会问题不致集聚与扭结成综合性的社会问题,局部性的社会冲突或动荡、骚乱不会酝酿与演变成全局性的社会危机。因此,从政治社会学视野审度,西方发达国家的社会政治稳定是与合理的制度设计与安排紧密联系的,而不仅仅由中产阶级与市场力量所决定!更多还原

【Abstract】 In recent years the research of middle class have become domestic and international sphere of learning with the problem that highly paid attention to, and arouse the universal solicitude of the scholars such as politics, sociology as well as economics. Paper researching the major problem that will be discussed is the relationship between western middle class and social order in the modern course of social political, economic and ideological cultural changes. Paper research has adopted the theory of modernization in political sociology for background, and social stratified theory for analysis frame. It is in historical materialism and dialectics materialism as the foundation to study, and specific research technique are method of comparison, class analysis method, system method as well as the case method.Theory of the western research of middle class set up in advance is: Middle class experienced from industrial and commercial development and civil society is the social stratum and group with similar to self appraises, worth orientation, way of life and psychological feature as well, therefore, takes important affection in market orientation, stability and development of society. Paper major theoretical orientation is different from theoretical viewpoint of the "stabilizer", " balanced ship " , and " buffer " the etc. in western theoretical research of middle class. Paper theoretical starting point and the basic assumption that sustains are: Since modern social transition middle class has broken up, made up and developed that makes itself filling with contradictoriness, different quality and complexity, it is not one for class. From the visual angle of social systematic variable to analyze dialectically, in the diversity of market economy of the course of the modern development, promoting the diversity of benefit subject and diversity of value orientation, middle class not only behavior orientation and the group consciousness in realistic society is a complex variable, and is also an important variable in the relation of development and stability of society. In the countries of different political and cultural background, each still has different intension and feature. Therefore relation between middle class and stability of social order not only lies in middle class’ market ability, still depend on them whether have to win extensive cooperation and support of other social strata, mutually depend on it whether has the ability of participating in and promoting political democracy with the system background of country and society.This paper contains six chapters, which are outlined as follows:Introduction focuses on the reason and significance of the research, and summarizes the documents related to western middle class. At the same time, introduces the configuration of theory, basic concepts, research technique and major innovation. The first chapter discusses the theories of social stability and structural feature. This paper from the field of political sociology, thinks society stability be a complex systematic project of multidimensional degrees, its subsystems are depended on, interacted, restricted and affected mutually with dialectically unified relation. It is the comprehensive results of each subsystem developing to the stability of society. And middle class is variable and an essential factor in this systematic project only. Society stabilizes and develops should be the results of expressing benefits from each class and stratum of society in mutual competition, cooperation, compromise and balance, middle class can only is one of common winner in this kind of game. So the theoretical stabilizer that sets up in advance is not enough, merely a kind of static theoretical idea and unidirectional thought relatively.The second chapter is about the relation of western middle class and social changes from historical investigation. The paper relies on classical theory of Marxism as ideological guidance, does not think stability be the inherent feature or inevitable property of middle class, "balanced ship" and "safe valve" also do not be its congenital social function, commonplace, mild and conservative more do not be the social nature, and middle class has no fixed pattern in the course of social development. On the one hand, in the various stratum strengthens to pressure for political order, the middle class with benefit diversity and diversity of value orientation is often a kind of instability factor probably, on the other hand, each class in a society (include middle class) if can not get deserved social resource and system arrangement, it is the reason that it may form social order and normal to lose. Therefore how to guide, hold and develop the social function of middle class are still the important social program to the capitalist countries with different developing route.The third chapter focuses on the western middle class in class theory, it is the main part of this essay. This paper thinks the middle class with developing and changing, and then analyses from social systematic variance, though middle class in games of society with contradictory nature, it is a development variance of social development all along. Middle class regardless of opts what kind of role appeared in social political stage on, is compared by stratum strength and the expectation tension, as well as is political, economic, cultural background decided. They oppose and compromise, struggle and cooperation with each stratum, and insist to be subject of utility and interests in the choice of society politics, adjust goal with utility and interests to " reasonably " opt friend or competitor, middle class is hard to become leading class. Regardless of Theory of "management revolution" or Theory of "revolution of science and technology", the meaning is a kind of regulation in the field of private ownership only. Its limit is not destructive to bourgeois with controlling for enterprise efficiently as the watershed, it cannot be exceeded power boundary between the middle class and the class of upper levels.The fourth chapter thinks deeply from present situation about the relation of middle class and social order with the principle of Integration of theory with practice. This paper investigates the economic position、cultural life and social political attitude of middle class in the present western society, and thinks it has filled with multiplicity, contradictoriness and complexity. At the same time explains the pattern of middle class in language environment of western culture cannot be "clone" (only refer to, not copy to apply mechanically) with comparison, because economic and political positions of middle class are not firm, it is in course of breaking up and constructing continuously. So its intension that not only has difference in different ideology and the cultural background, also has different social attitude under different social stage and situation. Middle class should be the correspondingly developed concept in social historical development, is a concept of cultural and social space-time with discrepancy. Therefore the research for middle class cannot be static, especially for the country of "post-development form" can not "consume theoretically", otherwise will be impossible to understand the developing feature of society really.The fifth chapter is from the viewpoint of analysis of system to discuss the system, organization and mechanism for stability of social politics in western developed countries. It emphasizes mutually positive exchange between country and society, and to promote and regulate and maintenance the relation between country and society with mutually positive exchange should be political system, arrangement of system as well as orientation. At the same time, this paper tries to combine the tendency of diversity in present western society, to discuss political running form of present western society, it is not the pattern of class or stratum, and appears mainly with the forms of benefit group and social organization. Because of class, the ability of engagement in political action has been weakened by social diversity, the built-in benefit of class is nearly impossible, and the development of related the profession, occupation with more close benefit has replaced the organization role of class gradually. Different groups of middle class are playing their social political roles in the benefit groups with background of profession and occupation. Under the restraint of social order and system, benefit group or social organization as the political participator become the effective mechanism of benefit expression and balance, makes social tension keeping in controlled and helpful for society to stabilize.Finally, though political systems in western developed countries have drawback and are faced with problem and challenge, the essay considers that developed countries do not go through coup and the revolution from long-term, the public holds certain political identification for system, institution and policy, and has reflected the legality of regime and authoritativeness of government. On the other hand, capitalist to be not enclosed, rigid system, it is a kind of civilization impacted, adjusted, transformed and developed continuously by socialist criticism and lash. Presently capitalism is still developing continuously, it is explained that the system and institution arrangement have certain reasonability and meet foundation and development of social politics, economy and culture. Though western society movements to ebb and flow, can be controlled with various means in the scope that public order allows in, and various incidents can be also dissolved in the scope of system configuration and legal system. The channel of public leading off, benefit expression and politics participation is unblocked, it makes one-side social problem do not be gather and become comprehensive social problem, and local social conflict or upheaval、riot will not be brew and develop to social crisis with overall situation. Consequently, from the viewpoint of political sociology, stability of social politics in western developed countries relies on function of stability that political system and institutions have with, and can not be divided with the function of the political structure and system that maintain the balance and stability of various power relations, and this is not only relying on middle class or market power.更多还原