城市“新二元结构”从分割到融合的新政治经济学分析

【作者】 孔媛；

【导师】 彭希哲；

【作者基本信息】 复旦大学 ， 社会管理与社会政策， 2011， 博士

【摘要】 改革开放以来,工业化、城镇化的深入推进,带来大量的农业剩余劳动力转移到城镇和乡镇企业就业,成为中国产业工人的重要组成部分。但是,由于城乡长期分割的户籍等制度障碍,农民工作为外出务工人员的主体,尽管在城市居住和工作,却无法实现“农民”向“市民”的身份转化,成为介于两者之间的第三类群体。据统计,2010年底,我国外出农民工达到1.53亿,他们为城市发展作出了巨大贡献,但在劳动、保障、住房、子女教育等各方面均无法享受与城镇居民同等的待遇,逐渐在城市内部形成以户籍居民为一“元”、以外来农民工为另一“元”的“新二元结构”现象,对农民工身心及家庭造成伤害,严重损害了社会公正,阻碍了和谐社会的构建,制约了城市化、工业化、现代化进程以及经济社会的可持续发展,对政府主导的社会管理提出严峻挑战。上海作为全国的经济中心和人口聚集的特大型城市,2010年常住人口总量(2301.91万)外来常住人口总量和比率(897.7万、占39%)均列全国各大城市之首,“新二元结构”问题十分突出。近年来,上海不断完善居住证政策,探索促进外来人口城市融合的有效途径。基于上海的经验,2010年5月国务院下发《关于2010年深化经济体制改革重点工作的意见》,首次提出“在全国范围实行居住证制度”。可见,对上海的城市“新二元结构”问题进行研究,探讨地方政府如何主导促进融合的改革路径,对于全国范围内破解城市“新二元结构”的困局具有较强的理论指导和实践示范意义。可以说,“新二元结构”问题是中国城乡二元分割背景下快速实现工业化、城市化过程中的特有现象。它不仅是一个社会学问题,也是一个经济学和政治学问题；不仅涉及到城市,也涉及农村；不仅关系到不同居民的利益、企业的利润,也关系到政府的效用。现有的研究对农民工城市融合问题的讨论广泛而深入,但绝大多数是从社会学的角度、以农民工为对象,对融合的现状、制度障碍、影响因素以及促进融合的改革途径和制度设计等方面进行考察,从经济学或政治学的视角进行分析的研究极少,尤其缺乏对于政府政策行为背后机制的分析和探究,对于为何在城市内部会产生一个新的二元结构、为何社会政策会在分割与融合间摇摆,以及政府和各利益群体在城市融合的进程中所扮演的角色和发挥的作用等问题,现有的研究并没有作出有力的解释。这也为本文研究留下了空间。本文采用新政治经济学的研究视角,把政府制定城市融合政策的行为作为研究的对象,利用现代经济学的工具手段对城市融合政策的决策机制进行系统分析,尝试揭开政府决策机制的“黑箱子”,解释在中国这样的政府主导的制度环境下,城市“新二元结构”是如何从分割一步步走向融合的。具体研究内容如下：(1)阐述论文研究的背景、意义,系统梳理关于城市融合的理论和实证研究,在文献述评的基础上,提出本研究采用新政治经济学的分析视角的基本考虑。(2)以上海为例,从外来人口的概况和城市二元分割的基本表现与特征两大方面,描述在上海这样的特大城市里,外来人口比例不断升高、“新二元结构”问题日渐突出的现状。(3)围绕回答“政府做了什么”的问题,从实证的角度,对与城市二元分割和融合相关的制度政策进行梳理,进一步分析城市“新二元结构”产生、固化、深化和松动的制度轨迹,以及每个阶段的制度政策对既有的“新二元结构”产生的影响,提出阻碍城市融合的制度障碍系统为“户籍外壳+三个层次”。(4)围绕回答“政府为什么这样做”的问题,在对政府政策行为梳理的基础上,尝试揭开政府政策行为机制的“黑箱子”,解释背后的利益驱动和选择机制。具体的,从新政治经济学的视角,分别构建利益集团模型和理性政府决策模型,尝试从两个角度解释政府决策机制：其一,政府没有自身的利益偏好,仅在外部利益集团的均衡作用下决定城市融合政策的变动轨迹；其二,政府本身是有偏好、存在自身效用的“经济理性人”,在追求自身效用最大化的过程中,制定出台符合自身利益的城市融合政策。分析发现政府理性驱动下城市“新二元结构”从分割逐渐向融合变动的规律,并解释影响政府制定城市融合政策的宏观和微观因素。(5)围绕回答当前“政府应该做什么”的问题,指出当前加快推进城市融合的时机已经基本成熟,并对加快实现城市融合的路径选择进行讨论。提出户籍制度改革并不是促进城市融合的“对症良药”,而“市民待遇”的逐步开放才是实现城市融合的核心与关键。(6)围绕回答当前“政府应该怎样做”的问题,以规范的视角,系统提出加快促进城市融合的政策建议。在这方面,前人的研究已经非常丰富,尤其注重对户籍背后的福利供给制度改革进行研究。本文不仅对基本公共服务的供给进行讨论,还注重从更高的制度层面,来探讨政府应该注重改善制度整体环境和加强的系统性的配套改革。更多还原

【Abstract】 As the deepen promotion of industrialization and urbanization since reform, a large number of rural surplus labor enter into city becoming an important part of China’s industrial workers. But because of the household registration system and other institutional barriers, rural workers are force into the third group between urban residents and farmers. China’s migrant workers has reached 153 million,2010, who have made a great contribution to the cities while can’t get fair welfare and treatment on labor, security, housing, education for their children etc.. Thus the "new dual structure" has been formed, with the city residents as one layer and the immigrant as another layer, which is harmful to both society’s justice and harmonious and the city’s sustainable development, presenting a serious challenge to the governmental management of society.As the country’s economic center and the population center, Shanghai has been ranked first both in the total resident population and migrant resident population, having obvious issues of "new dual structure". And Shanghai has being exploring effective ways to promoting social integration, such as making policy of residential permit. Therefore study on Shanghai’s problem of "new dual structure" is instructive and practical to other cities.Resolving problems of "new dual structure" is not only a sociological problem, but also an economic problem and a political problem relating to the urban areas, rural areas, the residents, the immigrants, the enterprises, and the government as well. Existing research is very rich, especially on study of the current situation and obstacles of social integration from a sociological perspective. While research from economic or political perspective is rare, in particular, lack of study on the role of government and other interest groups and the policy-making mechanism, which leaves room for this study.With a new study perspective of "new political economics" and tools of modern economics, the thesis focuses on government’s behavior about the segmentation and integration, trying to reveal the "black box" of government’s decision-making mechanism. Specific studies are as follows:(1) Elaborate the background and the significance of this study, and proposed the basic considerations of adopting a new perspective of political economics. (2) In the case of Shanghai, describe the basic characteristics of the "new dual structure" phenomenon.(3) Around the question "what have the government done", comb the policies about segmentation and integration, as analyzing the track of new dual structure’s production, curing, deepen and loose. Generalize and put forward the obstacle system, which is three layers of institutional barriers with the shell of household registration system.(4) Around the question "why is the government doing", try to explain the Interest-driven and decision-making mechanism, and reveal the "black box" behind. Specifically, build Interest group model and rational government model respectively, attempting to explain government’s behavior from two aspects:one assumption is that the government only acts on the effects of interests groups; the other is that the government has own preferences and interests. Through analyzing, found the new dual structure’s basic changing pattern from segmentation to integration under the government’s rational behavior, and explain the macro and micro factors that influence government policy-making.(5) Around the question "what should the government do", point out that it’s time to promote integration, discuss the possible path and put forward that the key point is not the reforming of household registration system but the expanding of the basic public service.(6) Around the question "how should the government do", propose systematic suggestions on accelerating the integration, especially paying much attention to improving the overall institutional environment form the higher level of reform system.更多还原