肯定性行动计划的悖论及其文化影响
摘要
二十世纪六十年代，美国不少城市爆发了大规模的黑人骚乱，黑人经济上的困境是造
成骚乱的直接原因。为了平息当时日益激化的种族矛盾和冲突，林登·约翰逊总统经过权衡，
出于实际的考虑，于1965年9月24日签署了第11246号行政命令，宣布实施肯定性行动计划。
该计划旨在要求企业主通过广告或其他方式招募合格的参加求职的少数种族人员。企业主
将不分肤色地对求职者进行平等的挑选。肯定性行动计划出台的初期，由于美国社会中对
黑人的歧视比比皆是，黑人的境遇凄惨，这很容易使白人产生良心自责。基于此，肯定性
行动计划在实施初期得到了大多数人的肯定。可以说，大多数公众是出于良心和道德感而
对肯定性行动计划给予肯定。后来，尼克松政府为进一步提高肯定性行动计划的效果而颁
布费城计划，该计划规定了黑人就业的具体比例和指标，这种做法遭到了一些人的反对。
随着时间的推移，民权运动进一步发展，各项平等政策出台，种族问题逐步缓解，人
们对肯定性行动计划的态度也开始转变。各届政府对肯定性行动计划的态度也有所不同。
在肯定性行动计划实施的35年中，有关于此的辩论席卷整个社会，从未间断过。每当总统
大选期间这一辩论尤为激烈和尖锐。在美国主流政治中，自由主义者和保守主义者出于各
自的政治目的，分别支持和反对肯定性行动计划。支持肯定性行动计划的自由主义者为赢
得黑人，妇女和劳工组织的支持而赞同肯定性行动计划，他们认为肯定性行动计划符合宪
法原则，有利于少数人种平等地参与社会生活并逐渐融入主流社会，吸纳主流文化，有利
于美国社会的文化多元性。总的来说，肯定性行动计划是有效的，并与美国的传统思想协
调，符合广大白人在内的美国公众的利益。不仅如此，由于深层次的经济文化原因，无形
的心理上的歧视仍然存在，肯定性行动计划便有其存在的必要。反对肯定性行动计划的保
守主义者则强烈地维护美国几百年来“一贯遵循”的以个体主义为基础的价值观，他们认为
肯定性行动计划赋予某个群体优惠待遇，因而违背了人人平等的价值观和机会均等的原
则，是对白人的一种反向歧视。不仅如此，肯定性行动计划作为一项政策，它本身的含义
模糊不清，效果不佳。随着种族关系的缓和，美国社会已实现了不分肤色，机会均等，因
而肯定性行动计划没有继续存在的必要了。在肯定性行动计划的辩论中双方各执一词，互
不相让，使得这一问题呈现出越来越复杂的趋势。正是基于有关肯定性行动计划的争论，
本篇论文以文化为着眼点，力求分析肯定性行动计划在美国掀起轩然大波的深层次原因。
要做到这一点．就必须研究以下两个问题：一，肯定’件行动计划出台的历史背景及其本身
的某些停论；为何肯定性行动计划不能为美国社会所接纳？耍解答这个问题，我们必须重
新审视深入人）w．代代相传的美国文化和价值观及其与肯定性行动计划相左之处。这里着
重讨论的是美国的平等原则，美国的劳动价值观及个体主义等与肯定性行动计划有冲突的
三个方面。
本文分为三个部分：一，肖定性行动计划的定义．计划出台的时代背景及政策演变；
二．对肯定性行动计划有代表性的支持和反对意见；三．由齿定性行动计划反映出的美国
文化及价值观的矛眉之处。
可以说，美国文化和美国价值观本身就存在许多矛眉之处，而肯定性行动计划则把美
国文化中的矛詹之处表面化，并将美国社会和美国政治中的新旧价值观念之间的冲突呈现
出来．真中包括绝对的人人平等与特殊待遇，美国人自由主义的劳动价值观与政府干预．
个体主义与群体导向等等一系列的矛盾。不仅如此，这些问固的讨论一旦与种族问题挂钩，
便勇加复杂。
归根结底，美国社会中白人对黑人的歧视表面似乎有所改窒，但坯远末根除。黑人在
经济和社舍主活中仍锨处于劣势，绝大部分黑人还处在社台下层．因而政策扶檀对他们来
讲坯很有汹要。然而美国社会却很难容忍这种对某个群体的优恿政策，于是有夫肯定性行
动计划的讨论几十年来一喜末得平息。总的来蕾，在美国这样一个存在巨大经济和文化差
异的国家．肯定性行动计划为统治者妥善处理种族夫系提供了润谓剂的作用，但又与美国
最基本的信条和价值观相冲突。在这场持久的辩论中，由于双方势泪力敌，胜负难下定论，
我们只好密切夫注肯定性行动计划的进一步发展。
In modem society work is of prime importance as it provides the main source of income to
maintain a family's standard of living and to secure its economic futUre. However, in the United
States, which is widely heralded aS the "1and of OPPobeity",, equal emplOyment oPPohaty
aPplied almost exclusively to whitC men in the l960s and before. Over many generations in the
history of the United StatCs, discrimination and the systematic exclusion of ethnic minorities and
women ftom full participation in the economy became embedded in the attitudes, values and
behavior of vimially all institUtions in American life. The labor market was replere with
occuPations in which it was exPected that no minorities or women would be employed. The
Civil Rights movement, often called America's second revolUtion, began to change the status quo
by challenging the denial of basic rights and insisting upon the protection of equal opportUnity
As a result, the nation was forced to abandon its support of segregation and discrimination and to
address the pervasive and stUbbom barriers to full paticipation by minorities and women in
American life.
In l964, the Civil Rights ACt was passed. Howevef, lnye-scale Black riots broke out in
many American cities. This showed that the Blacks harbored: strong dissatisfaction with the
stabo quo of the African Americans. In l965, President Lyndon Johnson followed up the Civil
Rights Act with Executive Order No. l l246. This commtheent to affirmative action continued in
the executive branch during the administrations of Presidents Nixon and Ford. Meanwhile, there
were Reagan and Bush who showed their opposition to it. Still today as a presidential candidate,
George W Bush calls for an immediate stop of Affirmative action.
This paPer is made up of three chapters. The first chaPter: has retrospeCtively viewed the
conception of affirm8tive action and its evolution over the past 35 years. The second chaPtCr
elaborates on the pros and cons in the debate of affirmative action. Howevef, this debate does
not exist in the political circles aIone and the views of many common peOPle are also represented
to a large extent. Why is the affirmative action such a controversial issue? Based on the first
tWo chaPters, the author goes deeper into the issue and attemptS to analyze itS cultural roOts and
implications in the third chaPter In this chaPtef, I will consider the relationship between
affirmative acion and some core American values that shaPe American people's attitIJde toward
affirmative action. Here, the unique American ideas of equality the American work ethic and the
4
affirmative achon. Here, the tmique American ideas of equality the American work ethic and the
most exclusive American possess ionAndividual il sm wi l l be d iscussed respective ly
In sum, affirmative action as a policy was out of the unique background of multi-racial
American society. As a very impobot public issue, its controversy reflects the paradoxical side
of American cultUre.
As the affirmative action issue is very complex, this paPer seeks to focus the clientS of the
affirmative achon program on the black people in the United States.
成骚乱的直接原因。为了平息当时日益激化的种族矛盾和冲突，林登·约翰逊总统经过权衡，
出于实际的考虑，于1965年9月24日签署了第11246号行政命令，宣布实施肯定性行动计划。
该计划旨在要求企业主通过广告或其他方式招募合格的参加求职的少数种族人员。企业主
将不分肤色地对求职者进行平等的挑选。肯定性行动计划出台的初期，由于美国社会中对
黑人的歧视比比皆是，黑人的境遇凄惨，这很容易使白人产生良心自责。基于此，肯定性
行动计划在实施初期得到了大多数人的肯定。可以说，大多数公众是出于良心和道德感而
对肯定性行动计划给予肯定。后来，尼克松政府为进一步提高肯定性行动计划的效果而颁
布费城计划，该计划规定了黑人就业的具体比例和指标，这种做法遭到了一些人的反对。
随着时间的推移，民权运动进一步发展，各项平等政策出台，种族问题逐步缓解，人
们对肯定性行动计划的态度也开始转变。各届政府对肯定性行动计划的态度也有所不同。
在肯定性行动计划实施的35年中，有关于此的辩论席卷整个社会，从未间断过。每当总统
大选期间这一辩论尤为激烈和尖锐。在美国主流政治中，自由主义者和保守主义者出于各
自的政治目的，分别支持和反对肯定性行动计划。支持肯定性行动计划的自由主义者为赢
得黑人，妇女和劳工组织的支持而赞同肯定性行动计划，他们认为肯定性行动计划符合宪
法原则，有利于少数人种平等地参与社会生活并逐渐融入主流社会，吸纳主流文化，有利
于美国社会的文化多元性。总的来说，肯定性行动计划是有效的，并与美国的传统思想协
调，符合广大白人在内的美国公众的利益。不仅如此，由于深层次的经济文化原因，无形
的心理上的歧视仍然存在，肯定性行动计划便有其存在的必要。反对肯定性行动计划的保
守主义者则强烈地维护美国几百年来“一贯遵循”的以个体主义为基础的价值观，他们认为
肯定性行动计划赋予某个群体优惠待遇，因而违背了人人平等的价值观和机会均等的原
则，是对白人的一种反向歧视。不仅如此，肯定性行动计划作为一项政策，它本身的含义
模糊不清，效果不佳。随着种族关系的缓和，美国社会已实现了不分肤色，机会均等，因
而肯定性行动计划没有继续存在的必要了。在肯定性行动计划的辩论中双方各执一词，互
不相让，使得这一问题呈现出越来越复杂的趋势。正是基于有关肯定性行动计划的争论，
本篇论文以文化为着眼点，力求分析肯定性行动计划在美国掀起轩然大波的深层次原因。
要做到这一点．就必须研究以下两个问题：一，肯定’件行动计划出台的历史背景及其本身
的某些停论；为何肯定性行动计划不能为美国社会所接纳？耍解答这个问题，我们必须重
新审视深入人）w．代代相传的美国文化和价值观及其与肯定性行动计划相左之处。这里着
重讨论的是美国的平等原则，美国的劳动价值观及个体主义等与肯定性行动计划有冲突的
三个方面。
本文分为三个部分：一，肖定性行动计划的定义．计划出台的时代背景及政策演变；
二．对肯定性行动计划有代表性的支持和反对意见；三．由齿定性行动计划反映出的美国
文化及价值观的矛眉之处。
可以说，美国文化和美国价值观本身就存在许多矛眉之处，而肯定性行动计划则把美
国文化中的矛詹之处表面化，并将美国社会和美国政治中的新旧价值观念之间的冲突呈现
出来．真中包括绝对的人人平等与特殊待遇，美国人自由主义的劳动价值观与政府干预．
个体主义与群体导向等等一系列的矛盾。不仅如此，这些问固的讨论一旦与种族问题挂钩，
便勇加复杂。
归根结底，美国社会中白人对黑人的歧视表面似乎有所改窒，但坯远末根除。黑人在
经济和社舍主活中仍锨处于劣势，绝大部分黑人还处在社台下层．因而政策扶檀对他们来
讲坯很有汹要。然而美国社会却很难容忍这种对某个群体的优恿政策，于是有夫肯定性行
动计划的讨论几十年来一喜末得平息。总的来蕾，在美国这样一个存在巨大经济和文化差
异的国家．肯定性行动计划为统治者妥善处理种族夫系提供了润谓剂的作用，但又与美国
最基本的信条和价值观相冲突。在这场持久的辩论中，由于双方势泪力敌，胜负难下定论，
我们只好密切夫注肯定性行动计划的进一步发展。
In modem society work is of prime importance as it provides the main source of income to
maintain a family's standard of living and to secure its economic futUre. However, in the United
States, which is widely heralded aS the "1and of OPPobeity",, equal emplOyment oPPohaty
aPplied almost exclusively to whitC men in the l960s and before. Over many generations in the
history of the United StatCs, discrimination and the systematic exclusion of ethnic minorities and
women ftom full participation in the economy became embedded in the attitudes, values and
behavior of vimially all institUtions in American life. The labor market was replere with
occuPations in which it was exPected that no minorities or women would be employed. The
Civil Rights movement, often called America's second revolUtion, began to change the status quo
by challenging the denial of basic rights and insisting upon the protection of equal opportUnity
As a result, the nation was forced to abandon its support of segregation and discrimination and to
address the pervasive and stUbbom barriers to full paticipation by minorities and women in
American life.
In l964, the Civil Rights ACt was passed. Howevef, lnye-scale Black riots broke out in
many American cities. This showed that the Blacks harbored: strong dissatisfaction with the
stabo quo of the African Americans. In l965, President Lyndon Johnson followed up the Civil
Rights Act with Executive Order No. l l246. This commtheent to affirmative action continued in
the executive branch during the administrations of Presidents Nixon and Ford. Meanwhile, there
were Reagan and Bush who showed their opposition to it. Still today as a presidential candidate,
George W Bush calls for an immediate stop of Affirmative action.
This paPer is made up of three chapters. The first chaPter: has retrospeCtively viewed the
conception of affirm8tive action and its evolution over the past 35 years. The second chaPtCr
elaborates on the pros and cons in the debate of affirmative action. Howevef, this debate does
not exist in the political circles aIone and the views of many common peOPle are also represented
to a large extent. Why is the affirmative action such a controversial issue? Based on the first
tWo chaPters, the author goes deeper into the issue and attemptS to analyze itS cultural roOts and
implications in the third chaPter In this chaPtef, I will consider the relationship between
affirmative acion and some core American values that shaPe American people's attitIJde toward
affirmative action. Here, the unique American ideas of equality the American work ethic and the
4
affirmative achon. Here, the tmique American ideas of equality the American work ethic and the
most exclusive American possess ionAndividual il sm wi l l be d iscussed respective ly
In sum, affirmative action as a policy was out of the unique background of multi-racial
American society. As a very impobot public issue, its controversy reflects the paradoxical side
of American cultUre.
As the affirmative action issue is very complex, this paPer seeks to focus the clientS of the
affirmative achon program on the black people in the United States.
引文
1． Badgett, M.V. Lee. 1995． Economic Perspectives on Affirmative Action. Washington, DC: Joint Center for Political and Economic Studies.
2． Bown, William G. & Bok, Derek. 1998． The shape of the river: long-term consequences of considering race in college and university admissions. Princeton, N.J.; Princeton University Press.
3． Carnevale, Anthony Patrick& Stone, Susan Carol. 1995． The American Mosaic: an in-depth report on the future of diversity at work. New York: McCraw Hill.
4． Combs, Michael W. & Jefferson, John Gruhl (eds.). 1986． Affirmative Action: theory, analysis and prospects. Jefferson, N.C.: McFarland & Co.
5． Drake, Avon and H.olsworth, Robert D.. 1996． Affirmative Action and the Stalled Quest for Black Progress. Urbana: University of Illinois Press.
6． Fiscus, Ronald J.. 1992． The constitutional logic of affirmative action. Durham: Duke University Press.
7． Gare, Midred (ed.). 1997． Affirmative action's testament of hope: strategies for anew era in higher education. Albany: State University of New York Press.
8． Graham, Hugh Davis. 1990． The Civil Rights Era-Origins and Development of National Policy 1960-1972． New York: Oxford Press.
9． Graham, Hugh Davis. 1992． Civil rights and the presidency: race and gender in American politics, 1960-1972． New York: Oxford University Press.
10． Home, Gerald. 1992． Reversing Discrimination: the case for affirmative action. New York: International Publishers.
11． Jones, Augustus J. Jr.. 1991． Affirmative Talk, Affirmative Action: a comparative study of the politics of affirmative action. New York: Praeger.
12． Kull, Andrew. 1992． The color-blind constitution. Cambridge, Mass.: Harvard University Press.
13． Lynch, Frederich R.. 1991． Invisible Victims: white males and the crisis of affirmative action. New York: Praeger.
14． Mosley, Albert G. & Capakdi, Nicholas. 1996． Affirmative Action: social justice or unfair preference? Lanham: Rowman & Littlefield Publishers.
15． Myers, Samuel L. Jr. (ed.). 1997． Civil Rights and race relations in the post Reagan-Bush era. Conn.: Praeger.
16． Pincus, Fred L & Ehrlich, Howard J (eds.). 1996． Race and Ethnic Conflict: Contending Views on Prejudice, Discrimination, and Ethnic Violence. Colo.:Westview Press.
17． Rosenfeld, Michel. 1991． Affirmative action and Justice: a philosophical and constitutional inquiry. New Haven: Yale University Press.
18． Skrentny, John David. 1996． The Ironies of the Affirmative Action: politics, culture and justice in America. Chicago: University of Chicago Press.
19． Swain, Carol M. (ed.). 1996． Race versus Class: the new affirmative action debate. Lanham: University Press of America.
20． Taylor, Bron Raymond. 1991． Affirmative Action at Work: law, politics, and ethics. Pittsburgh: University of Pittsburgh Press.
21． Tomasson, Rchard F., Crosby, Faye J., and Herzberger, Sharon D.. 1996． Affirmative Action, the Pros and Cons of Policy and Practice. Lanham: American University Press.
22 朱士达，《克林顿政府在肯定性行动计划中的两难处境》，《美国研究》1996年第三期。
2． Bown, William G. & Bok, Derek. 1998． The shape of the river: long-term consequences of considering race in college and university admissions. Princeton, N.J.; Princeton University Press.
3． Carnevale, Anthony Patrick& Stone, Susan Carol. 1995． The American Mosaic: an in-depth report on the future of diversity at work. New York: McCraw Hill.
4． Combs, Michael W. & Jefferson, John Gruhl (eds.). 1986． Affirmative Action: theory, analysis and prospects. Jefferson, N.C.: McFarland & Co.
5． Drake, Avon and H.olsworth, Robert D.. 1996． Affirmative Action and the Stalled Quest for Black Progress. Urbana: University of Illinois Press.
6． Fiscus, Ronald J.. 1992． The constitutional logic of affirmative action. Durham: Duke University Press.
7． Gare, Midred (ed.). 1997． Affirmative action's testament of hope: strategies for anew era in higher education. Albany: State University of New York Press.
8． Graham, Hugh Davis. 1990． The Civil Rights Era-Origins and Development of National Policy 1960-1972． New York: Oxford Press.
9． Graham, Hugh Davis. 1992． Civil rights and the presidency: race and gender in American politics, 1960-1972． New York: Oxford University Press.
10． Home, Gerald. 1992． Reversing Discrimination: the case for affirmative action. New York: International Publishers.
11． Jones, Augustus J. Jr.. 1991． Affirmative Talk, Affirmative Action: a comparative study of the politics of affirmative action. New York: Praeger.
12． Kull, Andrew. 1992． The color-blind constitution. Cambridge, Mass.: Harvard University Press.
13． Lynch, Frederich R.. 1991． Invisible Victims: white males and the crisis of affirmative action. New York: Praeger.
14． Mosley, Albert G. & Capakdi, Nicholas. 1996． Affirmative Action: social justice or unfair preference? Lanham: Rowman & Littlefield Publishers.
15． Myers, Samuel L. Jr. (ed.). 1997． Civil Rights and race relations in the post Reagan-Bush era. Conn.: Praeger.
16． Pincus, Fred L & Ehrlich, Howard J (eds.). 1996． Race and Ethnic Conflict: Contending Views on Prejudice, Discrimination, and Ethnic Violence. Colo.:Westview Press.
17． Rosenfeld, Michel. 1991． Affirmative action and Justice: a philosophical and constitutional inquiry. New Haven: Yale University Press.
18． Skrentny, John David. 1996． The Ironies of the Affirmative Action: politics, culture and justice in America. Chicago: University of Chicago Press.
19． Swain, Carol M. (ed.). 1996． Race versus Class: the new affirmative action debate. Lanham: University Press of America.
20． Taylor, Bron Raymond. 1991． Affirmative Action at Work: law, politics, and ethics. Pittsburgh: University of Pittsburgh Press.
21． Tomasson, Rchard F., Crosby, Faye J., and Herzberger, Sharon D.. 1996． Affirmative Action, the Pros and Cons of Policy and Practice. Lanham: American University Press.
22 朱士达，《克林顿政府在肯定性行动计划中的两难处境》，《美国研究》1996年第三期。