當代中國左翼知識分子與國家（中共）關係 (1935-1966)： 知識生產、日常實作與意義建構

本文通過對從1935-1966年中國左翼知識分子與國家（中共）關係形成的討論，從理論和案例層面回答兩個主要的問題。首先，在案例層面，本文提供一個橫跨延安時期與中華人民共和國前期，解釋當代中國知識分子與國家關係週期性變化的社會學分析模型。其次，在理論層面，修正傳統制度理論視角下的共產革命研究，同時將情感與意義建構帶回知識分子的分析中。在具體研究中，本文從歷史社會學的研究角度出發，發現正是在國族政治向階級政治的強制性轉換過程中，制度、實作和意義建構成為影響雙方關係的三個核心變項。而影響雙方關係的制度，事實上早在中國共產革命的伊始便已開始孕育，並在1949年之後進一步制度化。在具體內容上，正是中共在延安所面對的合法性危機，促使毛澤東因勢利導，選擇了一套符合中國民族主義的國族話語，來建構延安對知識分子的吸引力，促使他們投奔延安。而中國民族主義作為一種情感的表現，受到中國近代屈辱歷史的影響，在形塑知識分子對國家（中共）的情感認識中，扮演著建構其行動意義的核心角色。本文認為，知識分子與中共第一次大規模匯聚，之所以最終以悲劇收場，是因為受到國族話語感召而來的知識分子，並不完全服膺於一套以階級鬥爭作為核心的意識形態，以及由此所衍生的日常生活實作模式。因此毛澤東不得不藉助1942年延安文藝座談會以及整風和肅反運動，對知識分子加以思想改造，促使其思想向階級政治靠攏。知識分子的整風與改造，之所以會在1942年爆發，並非單純的隨機性事件，而是兩種不同的事件的敘事軸線意外交錯所導致的。簡言之，一條軸線是以毛澤東為核心的中共黨內權力變化的敘事，而另一條則是以延安知識分子自身行動為軸線的，追求知識生產與意識形態自主性的敘事。正是它們在1942年因為偶聯性（contingency）的事件（丁玲「三八節有感」、王實味「野百合花」），使得彼此在延安的發展出現交匯，繼而導致了延安文藝座談會的發生，進而由一場黨內的整風運動，一夕之間演變為針對階級異己和敵人的肅反運動，同時也引發了一連串的有意和非意圖性後果。在1949年中共建政之後，面對合法性來源的變化——外部的競爭壓力，國家（中共）必須通過實際的工業和經濟表現來建立績效合法性，並以此保衛政權。因而國家又不得不大量依賴以理工為主的專業技術人員。結果造成了一方面國家不斷試圖「改造」知識分子的思想，同時「純化」他們的階級屬性。另一方面，國家又不得不另闢蹊徑，採用了一套市場化的邏輯，使用那些能夠直接帶來「績效合法性」的專業技術人才。為此，國家首先通過院系調整，以及具有兩種不同分配邏輯的獎勵手段，重新將「理科」和「文科」做制度化的分類，在培育出大批「又紅又專」的技術精英的同時，也導致了專業人的「去知識分子化」。結果也促使具有較高文化水平的，專業技術人員和技術官僚逐漸變成國家機器的一部分，而知識分子也在被迫進行的自我改造過程中，重新獲得與國家鑲嵌的意義。在思想層面上，知識分子首先被動學習共產主義的新式話語，繼而清理原有舊的話語，並最終通過意識形態的自我批判，完成了意識上的「改造」。

關鍵字

知識分子；思想改造；階級；民族主義；歷史社會學

並列摘要

This dissertation through discussions on the relationship between Chinese left-wing intellectuals and the state (the Communist Party of China) from 1935-1966, answers two main questions from the case and theoretical level. On the case level, it provides a sociological analysis model that explains the cyclical changes in the relationship between intellectuals and the state of contemporary China across the Yan'an period and the early period of the People's Republic of China（1949-1966）. On the theoretical level, it revises the study of the communist revolution from the perspective of traditional institutional theory and brings the emotion and meaning construction back to the analysis of intellectuals. In detail，from the perspective of historical sociology the dissertation finds that during the compulsory transition from national politics to class politics，institutions, practices, and meaning construction are the three core variables which affect the relationship between intellectuals and the state，it also indicate that the institution which influences the relationship between intellectuals and the state has bred as early as the beginning of the Chinese Communist Revolution, and further institutionalized after 1949. Precisely, because of the legitimacy crisis that the Communist Party of China faced in Yan'an, leading Mao Zedong to re-evaluate the situation and chose a set of national discourses in line with Chinese nationalism to construct the appeal of Yan'an to intellectuals. The Chinese nationalism as a manifestation of emotions that was influenced by the history of humiliation in modern China, and played a critical role in shaping intellectuals how to 'understanding of the state (Communist Party of China)'. The central argument holds that the first large-scale gathering of intellectuals and the Communist Party of China in modern history ended in tragedy because intellectuals inspired by the national discourse, not the class struggle ideology, and the daily practices derived by this. Therefore, through the Yan'an Literature and Art Symposium of 1942 and the Rectification and Purge Movement, Mao Zedong reformed the intellectuals and pushed them closer to class politics. The reason that the rectification and reform of intellectuals happened in 1942 was not a rare event but triggered by the two different axes of narrative interchange in accidental. Generally speaking, one axis is the narrative of the power transition within the Communist Party of China leading by Mao Zedong; meanwhile, the other narrative axis is the intellectual itself and pursuing political and ideological autonomy in Yan'an. Furthermore，just because the two narrative axes merged which caused by the two significant events (Ding Ling's " Thoughts on Women's Day" and Wang Shiwei "Wild Lily") in earlier 1942, as a chain reaction the Yan'an Literature and Art Symposium changed from a rectification movement within party to a purge movement which against the class dissidents and enemies overnight. During this process, it also caused a series of intentional and unintended consequences. After the founding of the People's Republic of China in 1949, the source of legitimacy of the Chinese Communist Party also changed in facing the external competitive pressures and protect the regime. The state (the Communist Party of China) must establish legitimacy through industrial and economic performance. Given this, the state (CPC) has to rely genuinely on professional and technical personnel who worked on science and technology. As a result, the state is continuously trying to "reform" intellectuals' thoughts, while "purifying" their class attributes. On the other hand, the state has to adopt a set of market-oriented logic, using professional and technical personnel who can directly bring "performance legitimacy." To this end, the state readjusted the departments and faculty in the university under the two different distribution logic; it reorganized the "science" and "arts" into an institutional classification. As a result, a large number of "red and specialized" technical elite emerged, it has also led to the "de-intellectualization" among the professionals. This result has also promoted those who have a high level of education, professional technicians, and technical bureaucrats to become part of the state machine gradually, and intellectuals are also regaining the meaning embedded in the state in the process of forced self-reformation. On the ideological level, intellectuals passively learn the new discourse of communism, then clean up the old discourse, and finally through ideological self-criticism complete the thought remolding.