NOTE TO USERS This reproduction is the best copy available. ® UMI Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. Reproduced with with permission permission of the of copyright the copyright owner. owner.Further reproductionFurther reproduction prohibited without prohibited permission. without permission. CONFUCIAN SOCIAL THEORY: POWER, SOCIAL MOBILITY AND CHANGE by Mary Phillips submitted to the Faculty of the College of Arts and Sciences of American University in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy in Sociology Chair: ^ f . Jura,Si6genthale Russell Stone - i. c&]tuk- /~u* — Michael Puett Dean of the College of Arts and Sciences Tu Wei-mingW Date 2001 American University Washington, D.C. 20016 AMERICAN UNIVERSITY LIBRARY Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. UMI Number: 3182562 Copyright 2001 by Phillips, Mary All rights reserved. INFORMATION TO USERS The quality of this reproduction is dependent upon the quality of the copy submitted. Broken or indistinct print, colored or poor quality illustrations and photographs, print bleed-through, substandard margins, and improper alignment can adversely affect reproduction. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if unauthorized copyright material had to be removed, a note will indicate the deletion. ® UMI UMI Microform 3182562 Copyright 2005 by ProQuest Information and Learning Company. All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code. ProQuest Information and Learning Company 300 North Zeeb Road P.O. Box 1346 Ann Arbor, Ml 48106-1346 Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. ©COPYRIGHT by Mary Phillips 2001 ALL RIGHTS RESERVED Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. CONFUCIAN SOCIAL THEORY: POWER, SOCIAL MOBILITY AND CHANGE by Mary Phillips ABSTRACT Confucianism can be thought of as a Chinese model of rational thought with implications for socio-economic and political stability, and for development. This project draws upon Chinese intellectual history to explore Confucianism in relation to power, social mobility, and social change. This work aims for an in-depth exploration of the evolution of another reality, or Weltanschauung, in the context of the Chinese ideological superstructure; its longitudinal role in development; and its implications for China’s transition to modernity. The scope of this work places a Chinese conceptual framework within the field of Western macrosociology. This study explains how this comprehensive social construct influences a pattern of large scale change. As Cold War assumptions dissipate, China is opening up to the rest of the world. At this critical time of reform, Western scholars and policy analysts face the challenge of understanding Chinese social, political, and economic decisions. In particular, Western scholarship is interested in China’s resistance to “wholesale” Westernization. The goal of ii Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. this project is to broaden Western understanding of a Chinese worldview by identifying and explicating two theoretical models: a conceptual framework of the Confucian ideological superstructure; and a longitudinal model of change. Western scholarship suggests that links can be made between current social and political structures and tendencies in the West, and the classical literary heritage of Western civilization. Similarly, the same argument can be offered in the East, with respect to classical Chinese literature and China’s present development model. The ensuing body of research draws upon advances by Western sinologists and philologists, and upon the application of hermeneutics and textual analysis. This project explores seminal ideas of Chinese intellectuals — both of the Axial Age and within what this dissertation calls the process of “syncretic conditioning.” This study suggests that core ideas are critical in understanding current social, political, and economic issues. While China’s intellectual schools are vast, this study focuses on the Confucian school for two reasons: 1) its leading role in China’s political and social history, and 2) its prominent place in Weberian social science literature, and more specifically, Max Weber’s position regarding the relationship between Confucianism and economic underdevelopment in China. The present project rejects the dominant research trend in Western social science that measures China’s incorporation into a Western model. Instead, it offers a research paradigm that explores how China continues to incorporate new ideas into a regionally pervasive and enduring Chinese worldview. iii Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. EXPLANATORY NOTE Chinese words and names are rendered in Pin Yin and Wade Giles romanization; and Chinese names are in Chinese order, with the family name first and the personal name last, so not to burden the text with alternative names or spellings. See GLOSSARY for definition of terms. Note to scholars of Chinese literature: This work is primarily written in the discipline of sociology. Due to academic parameters, it is beyond the scope of this work to explain philological arguments in the field of sinology. The author acknowledges the complexities of interpretation, and some textual references in this work are at risk of over-simplification. iv Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. ACKNOWLEDGMENTS There are many people I wish to thank for their generous support during this long academic process. First I want to thank my excellent dissertation committee for their guidance over the last few years. My committee chair, Jurg Seigenthaler, not only brought me into the field, he also played the central role in providing an academic atmosphere that was conducive to creative thinking. As my mentor, I owe him sincere gratitude. Russell Stone’s unflinching optimism and commitment to scholarship was a vital source of inspiration. I am also grateful to my committee members at Harvard University: I wish to thank Michael Puett, of the Department of East Asian Languages and Civilizations, whose interest, insights and advice sustained my own faith in the worthiness of this project. I deeply appreciate the instruction from Tu Wei-ming, director of the Harvard-Yenching Institute, and later benefitted from our discussions on Confucianism in modem society. Numerous other conscientious educators offered various contributions to my intellectual growth. My theoretical work drew from courses and conversations with professors Peter Bol and William Kirby. I am deeply grateful to Lanting Xu for many long and thought provoking discussions on Chinese dissent and other debates. Diane Obenchain encouraged and organized my research stay at Beijing University. Julia Chang, also of Beijing University, played a cmcial role in my auspicious journey to Qufu, v Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. Shangdong. I thank Ester Chow for encouraging me to participate in my first academic conference where I presented and tested some of the ideas that went into this dissertation. Methodologically, this dissertation benefitted from my undergraduate work the field of Near Eastern Studies. Without this academic background my project would not be as broad in scope. My professors and colleagues at the University of Toronto are in my intellectual debt. Donald Redford, the late R. J. Williams, Nick Millet and Ron Lutz introduced me to the relevance of ancient thought to our understanding of Western civilization and methods of textual analysis. Fellow students Roberta Shaw and Ron Leprahon shared in the challenge of finding social constructs embedded within ancient Egyptian and Hebrew. My journey would not have been as rewarding or as enjoyable without the encouragement of others who gave instruction and listened to my ideas in gestation. Lois Vitt was the pivotal force in redirecting my interests to the field of sociology during my position as research assistant under her direction at the Institute for Socio-Financial Studies. The friendship, support, and instruction from Liz Colton benefitted me enormously and raised my thinking to the macro level. Other individuals that deserve mention are Greg Lewis, Vivian Lu, Katharine Moseley, and Dana Fenton. The gracious administrative presence of Ron Suleski at the Harvard-Yenching Institute set a tone that embodied the ideals of the Confucian scholar-official. I thank all the staff at Harvard-Yenching Library, especially the director, Mr. Liu, James Cheng, and Ms. Chien Ho; the staff at the Library of Congress; especially Bruce Martin and Helen vi Reproduced with permission of the copyright owner. Further reproduction prohibited without permission. Poe. Mr. Liu Ruiqin of the Cultural Office at the Embassy of the People’s Republic of China in Washington, D. C. was generous in sending the Beijing Review to me. Karen McMahon on many occasions solved mysteries of the computer and the coma. At the critical point of preparation, David Alan carefully read and reread