从家长制到自由放任
摘要
美国的种族问题是伴随着美国的成长而发展起来的，对种族问题的研究自十九世纪就已在学界展开。综合国内及美国本土学者的研究成果，我们大致可以将美国的种族问题研究划分为历史研究和社会学研究两大类。对种族问题的历史研究是从历史学的角度、用历史学的方法对种族关系及美国历史上关于种族问题的重要事件，尤其是与黑人有关的事件进行描述与分析。这部分研究以对历史事件的分析为主，也包括少量从政治学角度所作的尝试与努力。这些研究成果对美国有关种族问题的历史进行了周到、详细的描述与分析，积累了大量资料，为人类学家、社会学家及其他学科对种族问题进行理论探讨提供了不可或缺的素材。从社会学角度对种族关系进行的研究又常常与民族问题相联系，与历史研究相比，社会学研究更注重现实，而且偏重于理论研究，其目的是通过对恒量及各种变量的分析，建构起具有广泛适用性和解释性的理论框架。
当然，本文并不是对上述种种理论和观点的检讨，但是，通过对这些研究进行回顾，我们可以发现，无论是从历史学角度还是从社会学角度入手，这些理论似乎都有一个共同的缺点，那就是缺乏对政府政策的关照。因此，本文将用民族社会学和人类学相结合的方法，着重于对美国政府种族政策的制定及其在不同历史时期的转变进行动因分析，从大的方面将对政策的发展变革起决定作用的变量划分为两类——支持种族主义的变量和反对种族主义的变量，并利用恩格斯的平行四边形理论建立起解释政府政策制定及变革的理论图示，同时结合历史文献对这一图示中的具体因素加以分析，以对其合理性进行验证。
全文共分为导论、种族与种族主义、家长制种族主义、制度化种族主义、自由放任式种族主义和结语六个部分。
导论部分对国内外学界关于美国种族问题的研究进行了回顾，并对本文的选题缘由、观点、方法、以及材料来源进行了论述与说明。
基于意识形态的稳定性和它与历史实践的不可分割性，本文在第一章中对种族主义意识形态进行了介绍，对“种族”与“种族主义”的概念之争、种族主义意识形态的产生及渊源之争做了概括性叙述，并将种族主义划分为生物种族主义和文化种族主义，认为尽管政府的种族政策始终以种族主义意识形态为基础，但不同时期的种族主义意识形态基础又有生物和文化种族主义之分。
接下来笔者将美国政府的种族政策及黑人与白人关系史按性质划分为三个时期一
一家长制种族主义阶段、制度化种族主义阶段以及自由放任式种族主义阶段。为了对
美国种族政策变革的动因进行研究，上述三章中笔者均结合当时的历史事实对影响政
策制定的主要变量进行了分析，三个时期在文中各占一章。第二章集中于家长制种族
主义政策体系进行分析。笔者首先对“家长制种族主义”中aternalistic racism）的含义
进行了解释，认为家长制种族主义社会是与早期种植园经济相适应、黑人与白人之间
社会距离较大但空间距离较小、白人种植园主对黑人实行家长式统治的种姓社会。这
一政策体系确立于十七世纪六十年代至十八世纪初期，以禁止种族通婚、剥夺黑人（包
括自由民）各项权利的法律法规的广泛制定为标志，通过颁布奴隶法典以及迫使黑人
自由民成为奴隶而不断深化，而它的解体则是随着内战前后诸条宪法修正案及相关法
律的颁布而实现的。通过对历史事实及政策法规的分析，笔者认为，家长制种族政策
体系的建立主要依赖于经济发展和意识形态两个因素，而它的解体则主要受到资本主
义大工业生产的迅速发展、废奴派的社会运动等外部因素以及来自共和党和民主党党
派斗争等内部因素的推动。
第三章“制度化种族主义”（institutional racism）主要探讨十九世纪末至二十世纪
八十年代近一个世纪的种族政策和种族关系。这一政策体系主要包括三方面的内容：
种族隔离、剥夺黑人政治权利及在社会生活的各个方面对黑人实行歧视。十九世纪末
期黑人与白人之间社会距离的缩小、种族优越论、社会达尔文主义等来自生物学界理
论的流行以及大迁徙之后黑人对白人在社会资源方面构成的“威胁” 组成了支持制度
化种族主义的变量，它们的共同作用使白人精英逐渐建立起一套新的社会机制，以取
代刚刚解体的“种姓”社会，从而使美国的种族政策进入了一个新的阶段。制度化种
族主义政策持续了近一百年的时间，二十世纪中期随着一系列消除种族隔离与种族歧
视以及保障黑人政治权利的行政命令、法律法规的颁布和最高法院的判决而解体。制
度化种族主义所跨越的历史阶段是美国各方面发生剧烈变化的阶段，这些变化也为种
族政策的变革带来了巨大影响。作者在此的结论是，这一政策体系的解体是外部和内
部两方面因素共同作用的结果，其中外部因素主要包括生物种族主义意识形态的转型。
国内的民权运动以及二战及冷战时期来自国际舆论的压力，内部因素则包括来自总统
和政党两方面的影响。笔者在对这些变量进行分析时提出，与以往种族政策的变迁不
同，这一时期来自白人精英内部的因素起到了前所未有的巨大作用，政府与黑人运动
之间的互动关系也表现得更为明显
Racial problem has been one of the most thorny social problems in American history. Up till now, most of the research and studies on American racial problem can be divided into two categories: historical and sociological. Historical studies focus on the descriptions and analysis of important historical events and periods concerning with African-Americans, which include some attempts from the perspective of political science as well, thus accumulating abundant materials for further study. Research from sociological perspective is usually associated with ethnic studies. It puts more emphasis on contemporary events and on theoretical studies in order to analyze the constants and variables concerned to put up more adaptable theoretical frameworks.
Though this dissertation is not totally based on the criticism of the studies mentioned above, yet a thorough literature review reveals that neither of them gives much concern to government policies. Therefore, the author here tries to build the theoretical framework of American racial policy in order to find out the dynamics of policy changing and to give a more persuasive explanation to the making and reforming of federal racial policies through history. This will be done from both anthropological and sociological perspectives. The dissertation includes six parts.
The introduction gives a literature review and a brief account to the reason of taking up the studies of American racial problems, the viewpoint, and methodology and the materials used in the dissertation.
Since history cannot be separated from the ideology in which it grows, the first chapter gives an introduction to racist ideology in American history. The concept of "race" and "racism", the origins of racist ideology and the controversies concerned are presented as well. The conclusion is that the American racial policies have been based on racist ideology since the colonial times, even though two different kinds of ideology serve at different periods, namely biological racism and cultural racism.
The following three chapters are specifically devoted to the three periods in the development of American racial policies-paternalistic, institutional and laissez-faire racism. Chapter two dwells on the first period. Race relations and racial policies in
paternalistic period are compatible with agricultural, pastoral or handicraft economy, to be specific, with plantation economy in colonial times and early American history. Racial roles and statuses are sharply defined so that there is little possibility of social mobility. Spatial segregation is minimal since the wide status gap allows close but unequal contact. Whites are inclined to adopt an attitude of benevolent despotism towards blacks, treating them as perpetual children, lovable but ought to keep in line. In American history, the government racial policies and race relations of the period from colonial times up to the end of the Civil War bear the characteristics of paternalistic racism. The system starts with the implementation of such laws and regulations as prohibiting interracial marriage and depriving African-Americans of civil and political rights, and becomes institutionalized with the promulgation of Negro codes and the enslavement of free blacks. It comes to an end with the issuing of several constitutional amendments and laws concerned during and after the civil war. Through studying the history of that period, the author comes to the conclusion that the founding of paternalistic racism is mainly depended on ideological and economical factors, while its collapse is brought up by more elements such as the rapid development of capitalistic manufacture, the social movements of abolitionists and the conflicts between the Democratic and Republican parties.
Chapter three focuses on the system of institutional racism that covers the nearly-a-century-span from the end of 19th century to 1980s. The system is mainly devoted to racial segregation, depriving blacks of political rights and racial discrimination. The narrowing of social distance betwee
当然，本文并不是对上述种种理论和观点的检讨，但是，通过对这些研究进行回顾，我们可以发现，无论是从历史学角度还是从社会学角度入手，这些理论似乎都有一个共同的缺点，那就是缺乏对政府政策的关照。因此，本文将用民族社会学和人类学相结合的方法，着重于对美国政府种族政策的制定及其在不同历史时期的转变进行动因分析，从大的方面将对政策的发展变革起决定作用的变量划分为两类——支持种族主义的变量和反对种族主义的变量，并利用恩格斯的平行四边形理论建立起解释政府政策制定及变革的理论图示，同时结合历史文献对这一图示中的具体因素加以分析，以对其合理性进行验证。
全文共分为导论、种族与种族主义、家长制种族主义、制度化种族主义、自由放任式种族主义和结语六个部分。
导论部分对国内外学界关于美国种族问题的研究进行了回顾，并对本文的选题缘由、观点、方法、以及材料来源进行了论述与说明。
基于意识形态的稳定性和它与历史实践的不可分割性，本文在第一章中对种族主义意识形态进行了介绍，对“种族”与“种族主义”的概念之争、种族主义意识形态的产生及渊源之争做了概括性叙述，并将种族主义划分为生物种族主义和文化种族主义，认为尽管政府的种族政策始终以种族主义意识形态为基础，但不同时期的种族主义意识形态基础又有生物和文化种族主义之分。
接下来笔者将美国政府的种族政策及黑人与白人关系史按性质划分为三个时期一
一家长制种族主义阶段、制度化种族主义阶段以及自由放任式种族主义阶段。为了对
美国种族政策变革的动因进行研究，上述三章中笔者均结合当时的历史事实对影响政
策制定的主要变量进行了分析，三个时期在文中各占一章。第二章集中于家长制种族
主义政策体系进行分析。笔者首先对“家长制种族主义”中aternalistic racism）的含义
进行了解释，认为家长制种族主义社会是与早期种植园经济相适应、黑人与白人之间
社会距离较大但空间距离较小、白人种植园主对黑人实行家长式统治的种姓社会。这
一政策体系确立于十七世纪六十年代至十八世纪初期，以禁止种族通婚、剥夺黑人（包
括自由民）各项权利的法律法规的广泛制定为标志，通过颁布奴隶法典以及迫使黑人
自由民成为奴隶而不断深化，而它的解体则是随着内战前后诸条宪法修正案及相关法
律的颁布而实现的。通过对历史事实及政策法规的分析，笔者认为，家长制种族政策
体系的建立主要依赖于经济发展和意识形态两个因素，而它的解体则主要受到资本主
义大工业生产的迅速发展、废奴派的社会运动等外部因素以及来自共和党和民主党党
派斗争等内部因素的推动。
第三章“制度化种族主义”（institutional racism）主要探讨十九世纪末至二十世纪
八十年代近一个世纪的种族政策和种族关系。这一政策体系主要包括三方面的内容：
种族隔离、剥夺黑人政治权利及在社会生活的各个方面对黑人实行歧视。十九世纪末
期黑人与白人之间社会距离的缩小、种族优越论、社会达尔文主义等来自生物学界理
论的流行以及大迁徙之后黑人对白人在社会资源方面构成的“威胁” 组成了支持制度
化种族主义的变量，它们的共同作用使白人精英逐渐建立起一套新的社会机制，以取
代刚刚解体的“种姓”社会，从而使美国的种族政策进入了一个新的阶段。制度化种
族主义政策持续了近一百年的时间，二十世纪中期随着一系列消除种族隔离与种族歧
视以及保障黑人政治权利的行政命令、法律法规的颁布和最高法院的判决而解体。制
度化种族主义所跨越的历史阶段是美国各方面发生剧烈变化的阶段，这些变化也为种
族政策的变革带来了巨大影响。作者在此的结论是，这一政策体系的解体是外部和内
部两方面因素共同作用的结果，其中外部因素主要包括生物种族主义意识形态的转型。
国内的民权运动以及二战及冷战时期来自国际舆论的压力，内部因素则包括来自总统
和政党两方面的影响。笔者在对这些变量进行分析时提出，与以往种族政策的变迁不
同，这一时期来自白人精英内部的因素起到了前所未有的巨大作用，政府与黑人运动
之间的互动关系也表现得更为明显
Racial problem has been one of the most thorny social problems in American history. Up till now, most of the research and studies on American racial problem can be divided into two categories: historical and sociological. Historical studies focus on the descriptions and analysis of important historical events and periods concerning with African-Americans, which include some attempts from the perspective of political science as well, thus accumulating abundant materials for further study. Research from sociological perspective is usually associated with ethnic studies. It puts more emphasis on contemporary events and on theoretical studies in order to analyze the constants and variables concerned to put up more adaptable theoretical frameworks.
Though this dissertation is not totally based on the criticism of the studies mentioned above, yet a thorough literature review reveals that neither of them gives much concern to government policies. Therefore, the author here tries to build the theoretical framework of American racial policy in order to find out the dynamics of policy changing and to give a more persuasive explanation to the making and reforming of federal racial policies through history. This will be done from both anthropological and sociological perspectives. The dissertation includes six parts.
The introduction gives a literature review and a brief account to the reason of taking up the studies of American racial problems, the viewpoint, and methodology and the materials used in the dissertation.
Since history cannot be separated from the ideology in which it grows, the first chapter gives an introduction to racist ideology in American history. The concept of "race" and "racism", the origins of racist ideology and the controversies concerned are presented as well. The conclusion is that the American racial policies have been based on racist ideology since the colonial times, even though two different kinds of ideology serve at different periods, namely biological racism and cultural racism.
The following three chapters are specifically devoted to the three periods in the development of American racial policies-paternalistic, institutional and laissez-faire racism. Chapter two dwells on the first period. Race relations and racial policies in
paternalistic period are compatible with agricultural, pastoral or handicraft economy, to be specific, with plantation economy in colonial times and early American history. Racial roles and statuses are sharply defined so that there is little possibility of social mobility. Spatial segregation is minimal since the wide status gap allows close but unequal contact. Whites are inclined to adopt an attitude of benevolent despotism towards blacks, treating them as perpetual children, lovable but ought to keep in line. In American history, the government racial policies and race relations of the period from colonial times up to the end of the Civil War bear the characteristics of paternalistic racism. The system starts with the implementation of such laws and regulations as prohibiting interracial marriage and depriving African-Americans of civil and political rights, and becomes institutionalized with the promulgation of Negro codes and the enslavement of free blacks. It comes to an end with the issuing of several constitutional amendments and laws concerned during and after the civil war. Through studying the history of that period, the author comes to the conclusion that the founding of paternalistic racism is mainly depended on ideological and economical factors, while its collapse is brought up by more elements such as the rapid development of capitalistic manufacture, the social movements of abolitionists and the conflicts between the Democratic and Republican parties.
Chapter three focuses on the system of institutional racism that covers the nearly-a-century-span from the end of 19th century to 1980s. The system is mainly devoted to racial segregation, depriving blacks of political rights and racial discrimination. The narrowing of social distance betwee
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