【作者】 马原；

【导师】 沈亚平；

【作者基本信息】 南开大学 ， 行政管理， 2013， 博士

【摘要】 市场化改革的不断深化在使作为整体的国民享受经济改革成果的同时,也导致部分改革受众,例如国企产业工人、失地农民、城市外来务工人员等群体所承受的利益剥夺；而尚未成熟的司法与科层救济途径使部分被剥夺者在穷尽狭窄的制度化救济渠道而未果的情况下,不得不以对公共秩序施以影响或潜在影响的方式将诉求与不满展示在公开场合以期引起关注,这些大众抗争是本研究关注的对象。在研究思路方面,以结构中心视角为核心分析框架,通过对转型中国中央-地方关系与国家-社会关系的变化,把握影响和塑造当代社会抗争的宏观制度背景。在中央地方关系领域,尽管经济分权极大扩张了地方政府的权限和自治倾向,中央政府仍然能够通过科层体系中的指标考核,使其行为不偏离来自中央的政策导向并服从其政策目标；对于国家-社会关系而言,尽管市场化改革积累了大量经济财富,造就了具有潜在自主倾向的新兴经济精英,然而这些精英被通过统合与收编的方式在彼此之间营造了利益共同体,因此新兴的经济精英获得部分影响力的同时更加依赖行政权力的保护；与此类似,国家通过提供半开放的政治体系,将社会转型中被剥夺者的怨恨和不满吸收到体系之内,塑造了后者分散的行为结构特征。集体行动的结构中心视角将国家同时视为正式制度与自主行动者,国家与抗争者间的互动不仅体现在前者以相对静态的制度结构为后者的行为设定边界,也在于前者对后者行为的态度与处置,构成影响其他潜在行动者后续行为的动态“机会螺旋”。在实证研究的基础上,从中观视角观察地方基层政府与抗议民众行为互动的动态特征。这种特征体现在以正式规则填充非正式治理过程,物质安抚与人身强制的交替,政治动员与常规治理手段的双重倾向。研究发现基层地方政府的治理行为一方面激化了原本存在的社会矛盾,另一方面巩固了民众对行政权威的依赖。信访者构建的框架体现为情感与策略的交织,而国家对于行动者的重要影响不仅体现在以正式制度明确其行动界限,也在于通过话语支配影响其观念养成。一方面,抗争群体的叙述中频繁出现的“牺牲”、“付出”、“奉献”等词汇中可以发现计划经济时代集体记忆；另一方面,中国的抗议行动受制于国家的话语支配和制度设定,这一特征不仅影响抗议剧目的选择,也使行动者在框架中融入策略考量从而使其更具功利性和目标指向性。因此转型中国抗争者对问题的归因和解释中很容易发现除观念与情感之外的策略动机,即行动者为实现目标不仅需要将行为限制在正式制度允许或鼓励的范围内,也需要有意迎合某种意识形态或基调,以更可能被接受的方式实现自己的目标。此外,贯穿在本研究的另一重要线索在于不断调适与变迁的国家政策背后均可以发现国家对“控制”与“动员”双重手段的灵活借用,使抗争大众最初的抵抗行为以在议题、行为与话语上遵从国家规则的方式实现对国家容忍边界的谨慎试探,而国家对不同类型的抗争行为选择性的施以压制、容任与让步策略,通过强制与收买并行的策略强化抗争者对国家权威的服从与规则的遵照。更多还原

【Abstract】 Transitional China has surprised the world with spectacular economic success, which did change the life of Chinese people and seems to have changed the stereotype on the relationship between liberty, democracy and economic development as well. However, this "win-win" success is not reached without any cost. Certain groups such as laid-off SOE employees, landless peasants and migrant workers are deprived their jobs, home and legal rights even though economic success has been a huge benefit to Chinese people as a whole. When the fledging legal system could not offer the protection they need, those "deprived" people are left no choice but letting out their grievance and discontent in public in order to get noticed, and these social protests are what this research aims to study.This dissertation begins with a brief review on theories and paradigm shift of social movement. From Durkheim to Robert Snow, researchers have been offering their intelligence by studying collective behavior from various perspectives. This research puts "state" at the center of the following study because structural perspective still dominates contentious theory and that China’s party-state plays an indispensible part in political, economical and social arena. Instead of analyze "state" as a whole, this research pays extra attention to the active behavior and unique hierarchical location of local government, and discovers that even if economic decentralization has extended their autonomy considerably, local governments are "held together" by the nomenklatura system of CCP. Besides, the party-state takes a rather practical strategy with potential autonomy forces, including both the "winner" and the "sufferer" of economic reform, both of whom are cooperated into existing system.Since the state plays as both an active agent and a set of institutional structure, it offers political opportunities to contentious people and shapes their behavior through the interaction between state and society during social protest at the same time. Based on various theoretical analytic and emperial observations, the author suggetsts that social protests in China displays a kind of "decentrarlized" structural character, a kind of "responsive" rather than "aggressive" feature of behavior patterns, and a mixture of "right consciousness" and "rule consciouness" of repertoire, and its framing and narrative process is weaved with values, emotions, ideas and strategies, which has to do with their collective memories, shared experiences and ideological hegemony of the party-state. A sketchy landscape of contemporary China’s social protest is that contentious activities are highly decentralized, weakly organized, economic interest, instead of political or social appeals based behaviors, and the state plays a significant part in shaping this behavior by providing political opportunities that distinctively set apart encouragable and unencouragable protest behaviors and even by shaping protestors or possible protesters’values, congitions and interpretations that mirrors themselves in the framing process of "the outside world".As in local-state level, a kind of "adaptive policy style" has been adopted by local government. For example, the informal deployment of formal institutions, and the utarian switch between populism and professionalism policy instruments in local experience, as well as a mixture of bribing-punishing strategy applied when dealing with petitioners. All of them reflects a separation between policy objection and policy instruments, and a distinctive "result-oriented" rationality of local government or its agencies.更多还原