华东师范大学(哲学社会科学版) ›› 2014, Vol. 46 ›› Issue (4): 21-40.

• 学术对话 • 上一篇    下一篇

历史与现实纠葛中的“国家”概念

李磊,瞿骏,孟钟捷,邱立波,刘拥华,王向民,牟发松,刘擎,许纪霖   

  1. 华东师范大学历史系,政治系
  • 出版日期:2014-07-15 发布日期:2014-10-02
  • 通讯作者: 李磊,瞿骏,孟钟捷,邱立波,刘拥华,王向民,牟发松,刘擎,许纪霖
  • 作者简介:李磊,瞿骏,孟钟捷,邱立波,刘拥华,王向民,牟发松,刘擎,许纪霖

The Concept of the “State” in the Entanglement of History and Reality

LI Lei, QU Jun, MENG Zhong-jie, QIU Li-bo, LIU Yong-hua, WANG Xiang-min, MOU Fa-song, LIU Qing, and XU Ji-lin   

  • Online:2014-07-15 Published:2014-10-02
  • Contact: LI Lei, QU Jun, MENG Zhong-jie, QIU Li-bo, LIU Yong-hua, WANG Xiang-min, MOU Fa-song, LIU Qing, and XU Ji-lin
  • About author:LI Lei, QU Jun, MENG Zhong-jie, QIU Li-bo, LIU Yong-hua, WANG Xiang-min, MOU Fa-song, LIU Qing, and XU Ji-lin

摘要: 李磊《中国古代的国家概念与国家的自我赋权》指出:需划分出研究者主体性赋予的“国家”意义、古代国家的自我言说、事实上的国家构造这三个相互关联的层面。西方政治语境中的“国家”概念至少无法表达中国古代国家的自我叙述,而这种自我叙述又深刻地影响其国家建构及其动态变化。中国古代“国家”之“政”,是需要“天下”这个范畴赋予其正当性的。瞿骏《教化天下与竞雄世界的绞缠———转型时代读书人国家认知的一个基础》指出:关于转型时代(1895—1925 年)读书人的国家认知,学界多关注在中国由传统向现代转变过程中,“天朝上国”的认知如何一步步崩溃,现代民族国家的认知怎样一点点建立的问题。简言之可称为:“天下如何缩变为国家”?但如侧重读书人的思考对象,则“更多是一个从‘天下’转变为‘世界’的进程”,因此,讨论当时读书人的国家认知似还有另一条路向即他们如何在发现“世界”中塑造中国,揭示“教化天下”理想之余绪与“竞雄世界”心态的交缠互动。孟钟捷《德国历史中的“国家”》指出:德国是少有的一类在历史中拥有几乎所有类型的国家,包括:德意志王国、神圣罗马帝国、德意志联盟、德意志帝国、魏玛共和国、纳粹德国、联邦德国(民主德国)。对此进行讨论,可以认识:1.不同类型国家在形成中的权力来源自证各是什么?(国家的产生)2.它们如何构建一个有效的治理结构?(国家的续存)3.造成国家转变的动力是什么?(国家的转型)三个问题结合在一起,便是对如何形成对“国家”的合法性认同所进行的反思。邱立波《历史资源和合法性建构》指出:对中国历史从而对中国历史性的国家型态的超越,无法在中国历史—国家内部实现,甚至无法通过将中国历史—政治资源的简单加总来实现。因为,就前者而言,现有历史要素间的矛盾性,将使得任何一种以某种具体基点为基础的历史重述无法实现;就后者而言,中国内部诸历史要素的矛盾性,使得加总本身无法实现,或者根本提供不出加总的算法规则。或者这样说也可以,对中国历史—国家的超越,无法以回溯历史的方式实现,而应该是通过眺望未来的方式实现。不是让过去闭锁未来,而是让未来解放过去。刘拥华《走向理性国家———孔飞力的国家观》指出:孔飞力认为,中国国家建构所依据的不是别人的条件,而是中国自己的条件,国家建构的知识基础不在别处,就在我们自己的身边。理解这个论断的关键是,政治参与不是“文人中流”的责任,也不是其他阶级的责任,而是所有中国人的责任,人民有能力和智慧去完成他们应该完成的“根本性议题”,关键是,要让人民能够参与政治,参与政治竞争。人民通过自由地参与政治,在公共领域中就政治体制应该秉持的基本原则达成的共识,这些共识是稳定的,这是一部“看不见的宪法”。王向民《美国政治学中的国家境遇》指出:从美国政治学的不同发展阶段看,国家曾指涉如下形态或含义:1.国家就是政权或政府形态,其研究核心是合法性与制度结构,这是欧洲政治学的遗产;2.国家指政治体系或政治系统,其研究核心是决策过程,这是美国政治学的主题;3.国家指从传统到现代转型的共同体形态,它以民主化与现代化为特征,这是比较政治学的价值;4.国家指相对于社会有其自主性的权力领域,它以国家治理和国家自主性为指向,这是“回归国家”学派的旨趣。所以,从方法论上说,当我们使用国家概念,及其相关的市民社会、公民社会、治理善治等概念时,必须考虑其具体的历史所指与理论方位。牟发松《国家与天下:国家之上的政治组织如何可能》指出所谓天下和国家乍然两分的问题。作为国家之上的政治组织,如果有的话,或者将来可能有的话,那么它的产生是一个矛盾的,辩证的过程,一方面是世界的一体化进程,另一方面则是分离、分化甚至具有暴力性质的分裂倾向。这两种趋势对我们自己的国家来说,在历史上和现实中都有体现。就中国历史而言,至少在宋代以前,天下就是我们一家。只有到了宋代的时候,周边似乎突然出现了很多与赵宋王朝分庭抗礼的政治实体,他们的外交地位甚至高于秦汉以来代表天下的中原王朝。所以这个时候,国家合法性论证才显得尤为必要。在此前的分立时期,像三国鼎立南北朝对峙时期,大家都在争正统,但形势没有像宋代那么严峻。在宋代以后,只要有一个国家性质的政治实体出现在中国大地上,都必须证明自己的合法性,或者存在的理由。刘擎《国家与权威》指出:“国家”的概念是如此多变和复杂,它有三个重要纬度,一是合法性来源,一是治理能力,一是转变能力。它们之间存在密切的关联。某种合法性的类型在某种条件具有治理能力,但换一种条件就可能失败。只有当一个政体可以被想象成“不合法”的时候,合法性才真正成为问题。古代的合法性基本上是一个权威性的合法性质,不太诉诸说理。但现代国家的问题就在于传位权威的式微。我们现在很难再把国家权力想象成一个父权,这在中国和西方都是如此。许纪霖《国家认同与家国天下》指出:在古代中国人的“家国天下”之中,天下是最高的理想,不仅是适合华夏—汉民族的特殊价值,而是包括华夏、蛮夷在内的全人类都普遍适用的普世价值。中国作为一个连续性的政治—文明共同体,天下即代表普世的文明,但文明只是灵魂,它需要一个结构性的肉身,那就是“国”。这个“国”,是与文明共同体相重合的政治共同体“中国”,但这个“中国”,并非现在我们所说的有着明确主权、疆域和人民的近代民族国家,而是由前后相继、时而分裂、时而统一的一个个王朝国家所形成。古代中国人对抽象的“中国”之认同,乃是通过对某些具体代表“中国”的正统王朝的认同表现出来。从“家国天下”之中可以看到,所谓的“中国”只有两种表现形态,一种是抽象的文明价值与典章制度,另一种是具体的正统王朝,所缺少的正是近代以后才出现的nation-state。所谓近代意义上的民族认同,就是中华民族认同。中华民族作为一种国族想象,只是“倒放电影”式的今人对古代的理解框架,是一个晚清之后被重新建构的、想象性的“民族虚体”,而非有实证依据的、有自觉意识的“民族实体”。虽然中华民族以华夏—汉民族为主体,但华夏—汉民族不等同于中华民族。

关键词: 古代国家, 家国天下, 国家概念, 转型时代, 国家认知, 历史资源, 合法性建构, 中国国家建构

Abstract: In “The Notion and Self Empowerment of the State in Ancient China”, LI Lei states that it is necessary to make a distinction among the significance of the “state” endowed by researchers, the self statement of the ancient state and the actual structure of the state. The notion of the state in the Western political context cannot express the self statement of the ancient Chinese state, which has had profound impact on the construction of China and its dynamic change. The “politics” of the “state” in ancient China need be justified with the notion of tianxia. In “The Entanglement of Cultivating tianxia and Competing in the World: An Element of Intellectuals’ Cognition of the State in the Transitional Age”, QU Jun argues that in regards to the intellectuals’ cognition of the state in the transitional age (1895-1925), the academic circle is mainly concerned about “how tianxia shrank into a state”; however, if probe into the intellectuals’ understanding, we will more easily find a process transforming from tianxia to the “world”. Therefore, this provides another dimension to examine how the intellectuals molded China with the discovery of the “world” and how cultivating tianxia and competing in the world entangled with each other. In “The ‘State’ in German History”, MENG Zhong-jie argues that Germany is one of few countries that embrace all types of state. By discussing this, we can understand: What are the self proofs of the power in the formation of different types of state? How does each of them construct an effective governance structure? What is the motivation for the state transformation? The combination of these three questions leads to reflection on how the legitimacy of the “state” formed. In “Historical Resources and Legitimacy Construction”, QIU Li-bo states that the transcendence of Chinese history and the historical types of state in China can hardly be realized within China’s historical state, or by simply adding up Chinese historical and political resources. In other words, the transcendence of China’s historical state can hardly be realized in the way of looking back at history. Instead, it should be realized by looking into the future. We should let the future emancipate the past rather than let the past enclose the future. In “Towards a Rational State: On KONG Fei-li’s View on the State”, LIU Yong-hua states that KONG Fei-li concludes that China’s national construction shall be founded on rather China’s own conditions than others. The key to understand this conclusion lies in the fact that people are capable and wise enough to realize the “fundamental task” that they should accomplish. What we should do is to let people participate in politics and political competition. Through the free participation in politics, people will reach common views on the basic principles that we should hold in the political system in public domain. These common views are stable and constitute “an invisible constitution”. In “The National Situations in American Politics”, WANG Xiang-min claims that the notion of state refers to many forms and meanings from the perspective of different stages in American politics. Therefore, methodologically speaking, we must take the particular historical context and theoretical direction into account in using the notions such as state, civil society and benign governance. In “The State and Tianxia: How a Political Organization above the State Is Possible?”, MOU Fa-Song discusses the relationship between tianxia and the state, which seem to be separated from each other at the first glance. If there is or there will be a political organization above the state, it must emerge in a contradictory and dialectical process. On the one hand, there is the integration process of the world; on the other hand, there is a tendency of separation, polarization and even violent division. These two trends existed in China’s history and exist in her reality. In terms of Chinese history, at least before the Song Dynasty, tianxia had been a big state. Only in the Song Dynasty, the demonstration of the legitimacy of the state became especially necessary. After the Song Dynasty, whenever a political entity as a state appears in China, it has to prove its legitimacy or the rationality of its existence. In “The State and Authority”, LIU Qing points out that the notion of the “state” is varied and complicated. It has three important correlative dimensions, that is, the origin of legitimacy, the governance capacity, and transformation ability. The legitimacy in ancient time is founded on authority rather than rational argumentations. Nevertheless, with the decline of hereditary authority, it is hard for us to imagine a modern Chinese or Western state of paternity In “The State Identity and Family-State-Tianxia”, XU Ji-lin argues that in the ancient Chinese notion of “family-state-tianxia”, tianxia represents universal civilization. As the soul, civilization needs a structural body, that is, “state”. The “state” is “China” as a political entity, which overlaps “China” as a civilization entity. However, “China” as a political entity in this sense is not a modern nation-state with its definite sovereignty, territory and people; instead, it is comprised of successive dynasties featured by disruption and unification from time to time. The identity of abstract “China” in ancient China was manifested through the identity of some orthodox dynasties that represented “China” concretely. The nation identity in modern sense is the identity of Chinese nation. Chinese nation is an imaginary “empty body of nation” that has been constructed since the late Qing Dynasty rather than a “national entity” with empirical evidences and self-consciousness. Although Chinese nation regards Huaxia-Han people as its main body, Huaxia-Han people is not equal to Chinese nation.

Key words: ancient state, family-state-tianxia, the notion of the state, transitional age, cognition of the state, historical resources, legitimacy construction, China&rsquo, s national construction