从威权控制到体制吸纳：国家与上海邻里空间，1949-2008

【作者】 国云丹；

【导师】 张乐天；

【作者基本信息】 复旦大学 ， 社会学， 2009， 博士

【摘要】 就上海城市而言，其基层社会包括两个部分，一是地域性的社会空间，二是非地域的或跨地域的社会空间。前者最典型的就是邻里空间。近代以来上海城市社会的成长为学术研究提供了丰富的资源，但是关于邻里空间的研究却出现断裂，目前未有关于解放以来上海邻里变迁的整体性研究。本文的问题是：解放至今六十年的历史变迁中，上海城市邻里的社会形态经历了怎样的变化，这种变化的内在逻辑是什么?反映了怎样的国家与社会关系?为了回答上述问题，本研究采取“国家与社会关系”的理论视角，在现有理论和文献的基础上，提出关于解放以来国家与上海邻里空间的关系“从威权控制到体制吸纳”的理论命题以及以下四个分命题，分别为：(1)解放初期国家通过重构邻里空间，在城市基层设立居民委员会这一国家行政权力的代理人，实现了国家权力的嵌入，从而在城市基层构建了“威权控制”的政治基础。(2)集体化时期，在“威权控制”的逻辑下，国家将“向共产主义跃进”的宏大蓝图推向城市基层，在城市里弄掀起大规模的跃进运动，其结果却导致邻里现实极大地违背其内在的发展逻辑。(3)“四清”和文化革命时期，国家政治生活的非理性化，使得处于“威权控制”之下的城市邻里也出现失控和无序化。(4)转型以来，国家与城市邻里空间的关系转向策略性的“体制吸纳”。在社区建设的话语下，国家为社会创设一定空间，但国家通过其在基层的代理人“居民委员会”的制度运作，始终将生长中的社会力量吸纳入国家可控的轨道之中。研究采取个案研究和文献研究相结合的方法，对社会转型之前上海城市邻里发展的三个阶段(政权初建、里弄集体化与文化革命的非理性时期)和转型以来城市社区建设共四个不同时期分别进行了考察，研究验证了本文所预设的理论命题。一个总的结论是：1949年解放以来，国家与上海城市邻里关系的基本格局始终表现为“国家主导社会”，社会转型前后这一基本格局的具体形式发生从“威权控制”到“体制吸纳”的转变。本文认为，国家相对于城市邻里的这种强势关系，源自于解放之初新生政权通过改造邻里空间在城市基层构建的“威权控制”，国家的强势关系一直延续到社会转型之后，从“威权控制”到“体制吸纳”，只是其形式发生了变化。论文主体由五章构成。第一章对近代上海都市社会特质进行了考察。结合史料和他人研究成果发现，帝国晚期以来的近代上海都市具有高度发达的社团网络，其城市基层社会社团交错、帮会林立，形成一个相对独立于国家的自主空间，直至国民政府登场，通过重组社团网络以及在里弄基层建立保甲制度，才开始初步实现对城市邻里空间的控制和渗透。接下来四章分别对本研究的四个分命题进行了论证。一是通过对上海一个典型里弄“宝兴里”的解放以及新政权在里弄建立基层政权组织的过程考察，发现解放初期国家改造和重构城市邻里的政治策略，即通过彻底清除里弄旧组织来纯洁里弄空间，和运用“阶级净化机制”来不断甄别政治“不洁分子”来达到改造里弄群众的目的，在此基础上新政权在城市基层设立了居民委员会这一国家行政权力的代理人，以此重构邻里空间，实现了国家权力的嵌入，从而在城市基层构建了“威权控制”的政治基础。二是通过考察全面进入社会主义建设时期以后，里弄居民委员会的制度化过程，以及里弄跃进时期上海邻里空间的真实生活和现实发展状况，发现国家“威权控制”的逻辑与邻里社会现实的相背离是造成里弄集体化之所以挫败的根源。威权国家的政治逻辑试图将邻里人群的生活和生产最大程度的组织起来，以将整个城市纳入国家的计划体系，其做法极大违背了邻里人群的基本生活节奏和劳动特点，干扰了城市社会生活的正常运行。三是通过考察上世纪60年代大张旗鼓的“城市人民公社”乌托邦在邻里空间中遭遇的现实困境，以及随之而来的“四清”和里弄文化革命造成城市邻里一度失控的现实局面，发现在“威权控制”的格局下，国家意识形态的非理性斗争，也将通过一定的政治通道传达到基层社会，成为里弄群众解决私人恩怨的政治武器，演化成群众内部以及与里弄干部之间的政治斗争，造成里弄空间的无序化。四是通过考察社会转型以来城市邻里空间的变迁，以及国家在期间扮演的角色，发现随着单位制解体，邻里社区开始在城市社会管理中发挥重要社会功能，在“社区建设”的话语下，国家与城市邻里空间的关系从原来的“威权控制”转向“体制吸纳”，国家策略性地为社会创设一定空间，通过其在基层的代理人“居民委员会”的制度运作，始终将生长中的社会力量吸纳入国家体制可控的轨道之中。通过以上四个论证过程，本文完成了对解放以来国家对上海邻里空间“威权控制到体制吸纳”命题的论证，并得出国家与城市邻里关系的基本格局始终为“国家主导社会”的结论。更多还原

【Abstract】 The grass-roots of Shanghai society include two parts,one is“the regionally”,and theother“non-geographic one”.The most typical of the former is neighborhood.ModernShanghai society has provided a wealth of resource for academic research,however,few of them is on neighborhood;there have no comprehensive studies on the changesof Shanghai neighborhood since the liberation of Shanghai.How the Shanghai neighborhood changed during the sixty years since theliberation? And what’s the reason of it? It reflects what kind of relationship betweenstate and society?In order to answer these questions,with the perspective of“state and society”theory,on basis of the existing theory and literature,this dissertation set forth aproposition of“the relationship between the state and neighborhood since theliberation of Shanghai is from‘authoritarian control’to‘institution to absorb’”aswell as the following four sub-proposition,namely:(1) Just after Shanghai liberation,in order to build the political foundation of“authoritarian control”in the urbangrass-roots,the state reconstruct the urban neighborhood,establish the neighborhoodcommittees which is“the administrative agent”of the state power.(2)In the period ofcollectivization,with the ideology of“authoritarian control”,the state schemed a theambitious blueprint of“leaping to communism”for the urban neighborhood,andinitiated a large-scale“Yue-jin”campaign in linong,which go against the inherentlogic of neighborhood development.(3)In the period of“Si-qing”and the CulturalRevolution,on the impact of the state’s non-rational politics,the urban neighborhoodalso got out of control and was disordered under the“authoritarian control”.(4)Sincethe social transition,the relationship between the state and urban neighborhoodshifted to“institution to absorb”strategically,on the discourse of“communityconstruction”,although the state have created development space for the community,with agents in the grass-roots“neighborhood”,the state always bring the initial socialforces into the institutional orbit of controllable.With the method of Case studies and literature research,the dissertationexplored urban neighborhood development in three stages (the initial regime,neighborhood collectivization and the Cultural Revolution period of non-rational)before the social transformation and in the“community construction”stage after thetransformation,and tested the proposition aforementioned.The general conclusion is:since the liberation in 1949,the relationship between the state and urbanneighborhood has always been the basic pattern as“state-led society”,its specificform has changed from“authoritarian control”to“institution to absorb”before andafter the social transformation.This dissertation holds that the power of the state in the relationship should betrace back to the beginning of liberation.The new regime built grass-roots level of“authoritarian control”at the beginning through reconstructing neighborhood inShanghai,the strong power of the state continued after the transition,from“authoritarian control”to“institution to absorb”,what’s changed is the specific form. Five chapters constitute the main dissertation.In first chapter,the social characteristic of the modern city of Shanghai wasstudied.Combination of historical data and research results of others,it found inmodern times since the late imperial city of Shanghai has a highly developed networkof associations,which formed a relatively independent social space in grass-roots.Until the Nationalist government entered the stage,through the restructuring ofsociety grass-roots network and the establishment of the neighborhood Bao-jia system,only the initial realization of administerial control and penetration in the urbanneighborhood.The next four chapters of this study were four sub-propositions for the proof.First,through the case of a typical neighborhood of Shanghai“Baoxing li”,theprocess of liberation and establishment of grass-roots political organization in theneighborhood was studied;it found that the state’s political strategies of rehabilitationand reconstruction of urban neighborhoods in early liberation.Through theelimination of the old neighborhood organizations、purifing neighborhood space,andthe use of“class purification mechanism”to keep the screening of political“dirtyelements”,the government achieved the purpose of transforming the massesneighborhood,on base of it the new regime set up the agent of the state administrativeauthority in urban neighborhood.Thus,the state established the political foundationof“authority control”in Shanghai grass-roots.The second,with a comprehensive investigation on the institutionalization ofresidents committee and real-life in neighborhood during linong Yue-jin period,itfound that the logic of“authority control”goes against the neighborhood social realitywas the reason why the defeat of neighborhood collectivization.The authoritarianstate was trying to organize the neighborhood life and production to the greatestdegree,and bring the entire city into the country’s“planning system”,which wentagainst the life rhythm and labor characteristics of the very basic neighborhoodgroups,disturbed the normal operation of the city.Third,the dissertation observe the defeat of“urban people’s commune”utopian,the followed“Si-qing”and the urban neighborhood cultural revolution in 60s of lastcentury,found that with“authoritarian control”,the irrational struggle of politicalideology,reach to the grass-roots society through political channels.It turned into apolitical weapon of neighborhood people to resolve personal matters of,as well asinto the masses of cadres and neighborhood political struggle,resulting in the disorderof neighborhood space.The fourth,through the study of the change of urban neighborhood,as well asthe country’s role in the period after social transformation,it found that along with thedisintegration of“danwei”system,urban neighborhood played a more importantsocial function in the management of urban society,in the discourse of“communityconstruction”,the relationship between state and urban neighborhood transferred fromthe original“authoritarian control”to“institution to absorb”,on the discourse of“community construction”,although the state created development space for thecommunity,with agents in the grass-roots“neighborhood”,the state always bring theinitial social forces into the institutional orbit of controllable.. Through these four appraisal process,this dissertation demonstrated theproposition of“the relationship between the state and neighborhood since theliberation of Shanghai is from‘authoritarian control’to‘institution to absorb’”,andcame to the conclusion of“the state and urban neighborhood has always been thebasic pattern of relations as‘state-led society’”.更多还原