学而优则“仕”

【作者】 王安华；

【导师】 刘建军；

【作者基本信息】 复旦大学 ， 中外政治制度， 2011， 博士

【副题名】1978年后的中国大学场域与权力精英生产研究

【摘要】 人是天生的政治动物,政治是人围绕权力展开的活动的集合。什么人掌握权力,采取何种方式统治；什么人被统治又为何认可统治。这一组关系构成了政治活动的基本内容,也是政治学所关心的基本问题。那些掌握权力的人,或被称为“统治者”、“统治精英”,构成了这对关系中的一方主体。对这一群体、社会集团或阶级的研究,形成了政治学的一个重要议题——“精英主义”理论。传统的精英主义理论对这一问题的关注更偏向于政治哲学范畴。近世以降,比较政治学者注意到,发展中国家的政治精英不仅主导了现代化进程,而且深深卷入了社会结构的变化过程中,并在此过程中发生了历史性更替,精英群体的特质发生了改变。对中国而言,由政治精英群体主导的“改革开放”开启了现代化转型过程,转型对利益关系和分层结构的影响,又集中地体现在其后的精英转换过程中,推动精英形成和更替模式的改革。改革开放后的社会经济环境和新产生的政治压力,不仅改变了旧精英的处境、对新精英的要求,也改变了大众的利益诉求；而新政治精英和新大众的互动,又反过来影响改革开放的进程。换句话说,对当前中国精英团其尤其是新精英生产的研究,是理解中国改革开放历史和未来的重要路径。“大学生”是中国近现代政治精英群体的一个重要来源和组成部分。作为掌握现代知识和技术的年轻人,他们在科举传统被打破后,成为替代中国传统知识分子的继承人,肩负起推动中国现代化的历史使命。而教育场域正日益成为一个人获取政治权力的重要途径：其一,教育机构为社会的发展提供思想动力与人才储备；其二,教育过程规范一个人的成长过程,通过授予文凭,赋予个体获取职业的基本素养与能力,由此间接地决定了个体在政权体系中的起点和位置；其三,高等教育在现代教育体系中居于顶点,是现代国家的教育中心；20世纪以来,经济高速发展、人口大规模增长和国家间竞争的增强,推动了高等教育的大发展,大学仅次于政府成为社会的主要服务者和社会变革的主要工具。中国的高等教育体系和大学,在历史传统与现实需求影响下,呈现出独特的政治生态。改革开放以来,它历经恢复、扩张、改革,与社会、政治和经济发展紧密相连,既体现了改革开放的成果,也映射了其中的问题。从政治学视角审视改革开放后中国大学和高等教育场域的发展情况,将它与政治精英更替、社会阶层流动等问题联系起来,分析、阐释其政治内涵,不仅具有现实意义,而且具有十分重要的理论意义。本文从精英主义理论出发,通过政治经济学分析的方法,运用教育政治学的工具,对改革开放以后新精英生产与大学场域的关系进行研究。对精英主义理论的综述试图提炼精英群体的基本特征和更替原因,从而提出“准精英生产”和“大学场域”的概念。政治经济学从政治、经济两个维度对改革开放前后精英群体及大学场域的变化进行分析,描述了这种变化是如何被融合、反映到准精英生产过程中,并通过哪些制度或机制实施的。教育政治学的理论工具为认识和分析大学场域提供了基本视角。准精英生产是一个动态过程,对它的研究应当始终被置于中国的历史背景、社会现实和制度框架中,并在社会转型的政治语境中,理解这一具有丰厚历史意味和现实影响的现象。本文将讨论这些问题：首先,中国社会转型的过程与结果,对权力(政治)精英的提出了怎样的新要求,在此过程中,大学场域发生了怎样的改变?其次,大学生作为“准精英”群体相应地发生了怎样的改变,其获取精英资格取决于哪些条件?最后,大学场域是通过何种制度、机制对大学生的权力(政治)精英身份获得发挥影响的,这些机制又在多大程度上分化了大学生群体?那些未能获得权力(政治)精英身份的大学生,是成为了分层结果的接受者,还是构成了一个相对于精英群体存在的底层群体或“影子精英”群体?本文除导言外,共分六章。导言对准精英生产、大学场域及两者关系作了简要的界定和概述,并对精英主义理论和教育政治学进行了文献综述。这是本文的研究背景和理论基础。本文第一章提出了精英生产模式的变化主要是随合法性变化而变化的。1949年后,中国的政治合法性是以“革命”为基础的。因此,这一时期的精英生产是革命化的,大学场域是政治场域的附属,而不是精英生产的独立场域。第二章指出,随着1978年改革开放以后合法性根基从“革命”转向“建设”,精英类型从政治、经济两个维度发生了转型。在有序社会的条件下,大学成为精英代际生产的主要场域,其制度与机制同时受到政治与经济变革的影响。第三章从考试制度切入,探究科举制度废除后大学入学考试制度对中国精英生产的影响,认为它在为准精英的“素质”提供合法性证明的同时,也造成了一种隐性的不平等。第四章从政府、市场与大学关系探讨了大学内、外部治理中的制度、机制对准精英生产的影响,并指出在培养过程中,由于制度性不平等的存在导致了准精英与准大众的分野。第五章提出了职业获取与准精英身份确认的关系,分析了市场经济转型过程中的“体制洞”及人际关系网络等非正式制度在职业获取过程中的作用。这一作用在准精英生产中造成了遗传性不平等。第六章作为结论章,对全文观点作了简要总结,试图在合法性转换、精英生产模式和大学场域的制度与机制之间建立起一种理论联系,及其现实政治影响和理论意义,以期对精英主义的一般理论进行补充。更多还原

【Abstract】 Human beings are born to be political animals. Politics is the congregation of human activities around power. Those who grasps the power and in what measure they rule; those who are being ruled while approving being ruled. Such a pair of relationships constitutes the basic content of political activities and has always been the fundamental question concerned in politics. Those grasp the power, namely "the Ruler", "the Ruling Elite", stand for the subject on one side of the pair of relationships. Studies on this social group or class form a significant topic for politics-theories of "elitism". Traditional theories of elitism focus more on political philosophy when handling the topic. In more recent studies, scholars of comparative politics realize that the political elites in developing countries not only play a leading role during the process of modernization, but also are deeply involved in the changing procedures of social structures, during which they have changed and experienced metabolism historically. The characteristics of the elite group have altered. As to China, the "Reform and Opening-up" led by the group of political elites starts the transitioning process of modernization. Laying effects on the interest relations and the stratification structures, the transition is reflected in the later conversion process of elites, which has propelled the reformation of elite-forming and replacement mode. The social economic environment after the Reform and Opening-up, together with the newly created political pressure, the situation of former elites and the requirement of the new elites have changed, so have the interest demands of the public; the interaction between the new political elites and the new public, in return, influences the process of Reform and Opening-up. In other words, the studies on the elite group in contemporary China and especially on the new elite production become the crucial route to comprehend the history and the future of the Reform and Opening-up within China."College Students" have been one important resource and component part of the political elite group in modern China. Being the young generation with modern knowledge and technology, they serve as the successor that replaces the traditional Chinese intelligentsia after breaking the tradition of imperial examination, thus shouldering the historic mission of advancing China’s modernization. And the field of education has become more and more vital a channel for a person to obtain political power:Firstly, education provides thought power and talent reserve for social development. Secondly, the procedure of education sets standard for a person’s growing-up. By granting a diploma, education endows an individual the basic quality and capacity to acquire a job. In this way, it indirectly determines the starting point and location of an individual in the whole power system. Thirdly, higher education is on the peak of modern education system, which is the centre of education in a modern country. Especially from the 20th century, the economy has developed at a high speed, the population has increased on a large scale, and the competition between countries has been enhanced. All of these have driven the great development of higher education, so that college has been regarded as a main servant for society and a major instrument for social transformation, just next to the government. The higher education system and colleges in china, under the influence of historic tradition and real requirements, have displayed a unique political ecosystem. Ever since the Reform and Opening-up, it has experiences restoration, expansion and reformation, which is closely connected with social, political and economic development. It reflects both the success and the problems of Reform and Opening-up. There is significance either in reality or in theories to examine the development situation of Chinese colleges and higher education field after Reform and Opening-up from the perspective of politics, to relate it to topics such as the alternation of political elites, the mobility of social hierarchies, and to analyze, illustrate its political connotation.This dissertation starts from the theories of elitism, and studies the relationship between the new elite production and the field of colleges by means of analysis in political economies with the help of tools in educational politics. The summarizing of the theories of elitism attempts to extract the fundamental characteristics and the reason for alteration of the elite group, so as to propose the concepts of "Quasi-elite Production" and "College Field". Political economics analyzes the change of elite groups and college fields before and after the Reform and Opening-up from the two dimensions of politics and economics. It describes how this change is merged and reflected in the Quasi-elite Production, and by which system or mechanism it is put into practice. The theoretical instrument of educational politics supplies the basic perspective for recognition and analysis of College Field. Quasi-elite Production is a dynamic process. Therefore, its analysis ought to be placed within the historic background, social reality and system framework of China and to be understood of the phenomenon filled with rich history and reality influence within the political context of social transition. This dissertation discusses these questions:First of al, what new requirements do the process and the result of social transition in China raise to power (political) elites, and during that process, what change occurs of the College Field? Furthermore, what is the change for college students as "Quasi-elites", and which are the demands that determine the qualifications of elites? Finally, by what system or mechanism does the College Field interfere with the power (political) elite identity of college students, and to what extent does such a mechanism polarize the group of college students? Whether those college students who have not yet obtained the power (political) elite identity become the result-accepter, or compose a bottom group or a "Shadow Elite" group in contrast to the elite group?Apart from the Introduction, this dissertation is divided into six chapters. The Introduction makes a brief demarcation and a panorama of Quasi-elite Production, College Field and the relationship between the two, and provides a literature review of the theories of elitism and educational politics. This is the research background and the theoretical foundation of the dissertation. The first chapter proposes that the Elite Production Mode changes with its legitimacy. After 1949, the legitimacy of Chinese politics is based on "Revolution". Therefore, the Elite Production during this period is revolutionary. The College Field is not an independent field for elite production, but subordination to the political field. The second chapter points out that the legitimacy alters from "Revolution" to "Construction" after the Reform and Opening-up in 1978. The categories of elites experience transition in both dimensions of politics and economics. Under circumstances of an orderly society, colleges have become the main field to produce generations of elites, whose system and mechanism are under the influence of political and economical reformation as well. The third chapter investigates the influence of college entrance examination system upon elite production within China after abolishing the imperial examinations, with the cutting point of examination systems. It is stated that the system supplies the legitimacy certificate of "quality" for quasi-elites on the one hand, but on the other hand, it also leads to a recessive unfairness. The fourth chapter probes into the influence of system and mechanism both inside and outside the management of colleges upon the Quasi-elite Production from angles of government, market and their relationship with colleges. It points out that during the process of cultivation the unfairness of systems causes a borderline between the quasi-elites and the quasi-public. The fifth chapter addresses the relationship between career-acquisition and confirmation of the quasi-elite identity. It analyzes the function of "System Holes" in the transitioning process of market economy and the informal systems like interpersonal network on acquiring an occupation. Such a function renders the Quasi-elite Production unfair hereditarily. As a conclusion, the sixth chapter is the concise summary of the view in the whole dissertation. It tries to establish a theoretical connection among legitimacy conversion, elite production mode and system and mechanism of college field, and explores the influence of reality and politics and its theoretical significance, so as to supplement the general theories of elitism.更多还原