【作者】 王扩建；

【导师】 沈荣华；

【作者基本信息】 苏州大学 ， 政治学理论， 2011， 博士

【摘要】 制度是塑造制度体制内相关主体行为的“一种关键性、干预性变量”,实现对行动者的约束。然而,约束实现的高度系统性制度环境与我国低制度化的现实环境存在明显的“错配”,导致常识性经验体认不符。改革开放以来,制度环境内生的核心行动者伴随制度环境的变化也产生着相适改变:正式制度中的党国体制、立法制度、财政制度、人事制度等规导着地方核心行动者;非正式规则中的意识形态、潜性规则、生活习惯及习俗浸润着地方核心行动者。在转型期的特定制度环境中,伴随持续性的行政放权,地方核心行动者的自主性和合法性得以增长。同时,相对于中央治国者与地方微观主体而言,地方核心行动者更能够整合和表达微观主体制度创新需求,从而有效承担联结中央治国者制度供给意愿和微观主体制度需求中介,由此,地方核心行动获得生成及成长的政治生态。而转型期制度变迁的波动性、软约束性及非耦合性又从不同逻辑维度事实影响了地方核心行动者的行动空间。我国特殊的制度环境中,由于客观因素的复杂性及个体地方核心行动者的特质差异,地方核心行动者所扮演的角色呈现多元化,然而多元性中又有一定的内在同质性。作为一个理性的主体,地方核心行动者必然遵循扩大自身权限、政府职能选择性履行及象征性治理等行动逻辑。而1990年代以后,部分地方核心行动者过分追求政绩最大化,与微观主体之间形成合谋等行为已经与地方公共利益发生背离,产生了异化现象。在转型期制度环境中,开拓型的地方核心行动者往往能够创造性的利用政策机遇,在现有的制度空间内,根据自己的效用偏好和行政目标大力推进改革,获取制度性收益,促进地方的跨越式的发展。“昆明新政”的施政模式和施政效能虽存在一些异议,但从本文研究主题视角看更多是对上述逻辑的有力验证。针对转型期地方核心行动者在行动中的背离现象,我们可以通过三个方面进行进行规制与引导:从地方核心行动者个体层面来说,转变其理念,规引其行动导向;从纵向的角度来说,变革制度体系,拓展其体制空间;从横向角度来说,构建社会生态机制,规范其行动模式。更多还原

【Abstract】 System ,with the aim to implement the constraints on actors,is“a key and intervening variable”in shaping the behavior of relevant actors.However, the obvious“mismatch”between highly systematic environment(brought about by constraints) and realistic environment (low—institionalised) has led to the gap between common sense and experience.Since the reform and opening up,the core actors produced by the endogenous system have adapted themselves appropriately in response to the change of systematic environment: the formal system,(e.g.,party-state system, the legislation system, financial system, personnel system )has standardised the local core actors; the ideology in informal rules、recessive rules、living habits and customs have aslo infiltrated them.Under the given systematic environment ,and with the persistent adminitrative decentralization, the level of the local core actors’autonomy and legitimacy has been raised.Meanwhile, compared with central authority and local microcosmic subjects, the local core actors are more entiled to integrate and express the innovative needs of microcosmic subjects, thus play an effective role in combining the supportive will of central authority and the systematic demand of microcosmic subjects.Accordingly,local core actors have gained political ecology for their survival and development.But the fluctuation during the transtormation period and the volatility of soft binding have affected the active space for local core actors in various logical dimensions.Under our special system environment, local core actors play diversified roles,which can be attributed to the complexity of objective factors and the various characteristics of individual actors, however, diversity has a certain inherent homogeneity. As rational subjects, the local core actors must conform to the logic of activitity:to expand their own authority, to selecte functions of the government and to harness symbolically. But after 1990, some local actors excessively pursued maximim performance, and conspired with the microcosmic subjects,which deviated from public interests, resulting in alienation. During the transfromation period,innovative local core actors often can creatively take advantage of policy opportunities.In available space of system,they can reform vigorously in respond to their own preferences and administrative goals, attain institutional surplus and promote local spanning-scale development.The political model and efficiency of“the Kunming new deal”has aroused some controversy,but my focus of research has largely provided the convincing proof to my logic analysed above.In reference to the deviation in the action taken by local core actors during the transformation period, we can coordinate and harness in the following three aspects:we must change the concepts of local core actors, and formulate their activity orientation; transform and broaden their institutional space from the vertical perspective; build social and ecological mechanisms from the horizontal point of view,and standardize their pattern of activity.更多还原