【作者】 袁泉；

【导师】 崔月琴；

【作者基本信息】 吉林大学 ， 社会学， 2014， 博士

【摘要】 制度变迁是中国社会转型理论与实践的关键议题，作为国家与社会关系调整的过程与后果，不同领域的制度变迁有其整体的一致性，但也具有各自不同的变迁机制和路径。改革以来，慈善领域作为国家与社会关系变迁的一个特殊领域而出现，其中也包含了国家福利制度变迁的轨迹。近年来，慈善事业的发展被视为社会建设的重要内容，国家在立法以及社会政策改革方面都有涉及。相对于经济和政治等领域的制度变迁，中国慈善事业的“复兴”则包含了有别于前者的制度变迁逻辑。制度变迁是现代社会科学的核心议题之一，经济学、政治学等学科对于制度变迁已经展开了大量深入的研究。在反思基于理性行动的制度变迁模型的基础上，学术界开始注重对制度变迁过程的研究，即强调行动者的互动和博弈对于制度变迁的影响。在这一思路下，本研究选取了正在进行“慈善制度创新”的C区作为研究对象。C区是目前国内慈善事业较为发达的地区之一，C区政府尤其重视慈善事业的发展。在笔者调研期间，C区民政局正在推行一项整合慈善力量的社会救助制度，制度的推进过程涉及到了政府、社会组织和企业等多个类型慈善实践主体的互动，这为我们观察慈善领域的制度变迁提供很好的素材。在上述研究思路下，本研究的主要研究方法是实地研究，这一研究方法不仅有助于笔者把握整个制度变迁的过程，还能够通过亲身的参与获得对于制度变迁过程中意义和价值维度的理解。在田野观察的基础上，本研究提炼出“价值因素”、“慈善资源”和“慈善仪式”等几个主要的研究变量，并在价值影响制度变迁的分析框架下开展研究。本研究在已有制度变迁过程解释路径的基础上，发现价值因素能够通过影响相关行动者之间的互动来影响制度变迁。具体来说：一方面，价值乃是行动者互动的媒介，由于价值共识的存在或者形成，不同行动主体的互动才得以发生。另一方面，价值因素中的理念成分为制度演进提供了方向和蓝本。此外，由价值诉求所推导出的规范性要素本身构成了制度的有机组成，行动者可以情景定义的方式利用这些价值规范展开博弈进而达成新的制度均衡。抽象地来看，慈善实践是一种“施”与“受”的关系，然而具体的慈善实践中却充满了仪式化的场景。一方面，慈善仪式也是一种权力的技术和工具，政府通过仪式整合了社会力量；另一方面，仪式同样是价值的载体，慈善的价值理念由之彰显。在此基础上，仪式也构成了制度变迁的关键环节，是慈善实践不可或缺的内容。对于政府来说，仪式不仅有助于制度安排的落实，也能够通过权力象征性地展示而再生产了权力本身。慈善仪式一方面使得利他主义的价值理想具体化并内化于参与者的认知和意义结构之中；另一方面，通过仪式的“情感机制”参与者也能够感受到这种价值对于“自身”的意义。制度不仅反映了建构或设立它们的单元偏好和权力，而且制度本身反过来也会影响这些单元的偏好和权力。通过吸纳社会力量参与社会救助的制度建设，政府不仅整合了企业以及社会组织的力量，同时也改变了过去政府主导的社区救助模式。从政府主导的局面转变为多方参与的格局，慈善主体的增加不仅改变了既有慈善资源的生产和配置格局，也在一定程度上改变了基层治理的权力结构。在理论层面，本研究的主要价值在于提出了，“价值因素通过对行动者互动的影响，而影响制度变迁”这一分析思路，这在一定程度上补充了关于价值观对于制度变迁影响的研究。另一方面，本研究将“慈善仪式”作为分析单位，在一定程度上拓展了已有慈善研究的边界。在实践层面，本研究发现慈善资源存在“价值转换”与“权力动员”的差异，这样一种分析思路在一定程度上补充了既有研究围绕资源展开慈善研究的缺憾，本研究发现慈善资源存在“消极慈善资源”和“积极慈善资源”的分别。前者是经由权力动员或者利益交换而形成，包含了一种“互惠”机制；后者是通过利他价值的内化，是行动者出于价值目标而引发的慈善资源。这一区分将有助于反思我国当前慈善事业发展的一些困境，从而为慈善事业的健康发展提供借鉴。更多还原

【Abstract】 Institutional change is the key issue of the China·s social transformation theoryand practice. As the process and consequence of the relation adjustment between thestate and society, institutional changes with overall consistency have their ownevolution mechanisms and paths in different fields. Since the reform, the field ofcharity emerged as a special field representing the relation transformation betweennation and society, as well as the transformation of national welfare system. In recentyears, the development of charity is regarded as the important part of socialconstruction, and the related fields of charity are covered in legislation and socialpolicy reform. Compared with the institutional change of economy and politics, the"Renaissance" of Chinese charity has its unique institutional change logic differentfrom the former two. Institutional change is one of the core issues of modern socialscience, and economics, political science and other disciplines have carried outextensive in-depth study on institutional change.In the reflection of rational action-based model of institutional change, theacademic circles began to pay attention to the process study of institutional change,which emphasized the effect of interactions and games between actors on institutionalchange. In this token, the study chose C district with ongoing "charitable institutionalinnovation" as the object of study. C district as currently one of the well-developedphilanthropy area, its government attached particular importance to the developmentof philanthropy. During the field research, the Civil Affairs Bureau of C District waspushing for a social assistance system by integrating different charity forces. Thepromotion of this system involved the interaction between the government, socialorganizations, enterprises and other main bodies of charity practice, which provided good material for the author to study the institutional change in the field of charity. Inthis case, the main research method of the current research was a field study, whichnot only helped the author to grasp the whole process of institutional change, but alsogot a better understanding of the meaning and value of institutional change processthrough personal participation. Based on field observations, this study extracted"value","charity resources" and "charity ceremony" and several other major researchvariables, and carried out the research in the analysis framework of value-boundinstitutional change.Based on the process-interpretation route of institutional change study, thisresearch came to the conclusion that value factors could make an impact oninstitutional change by influencing the interaction between the relevant actors. On theone hand, the value was the media of the interaction, because interaction betweendifferent actors could occur only when the value consensus existed or were achieved;on the other hand, the concept of value factor provided the direction and blueprint forinstitution development. In addition, normative elements derived from the pursuit ofvalue constituted the components of institution, and actors could use this normativevalue to start the game and achieve new institution balance.In general, charity practice is a kind of activity involving "give" and "take".However, the specific charity practice was ritualized. On the one hand, the charityceremony was a tool to exercise the power, and the government integrated the socialpower through the ceremony; on the other hand, the ceremony was also the carrier ofvalue, and the value concept of charity was manifested through the ceremony. Inaddition, the ceremony also constituted a key link in the institution change, and wasan indispensable part of charity practice. For the government, the ceremony was notonly helpful to institution implementation, but also able to reproduce the powerthrough symbolic manifestation of the power itself. Through charity ceremony, thevalue ideal of altruism was manifested, and internalized in the participants’ cognitiveand meaning structure; on the other hand, through the "emotional mechanism" ofceremony, the participants could fully experience the true meaning of its value.The institution not only reflected but also in turn influenced the preferences and power of the construction or set-up unit. Through the institution construction toabsorb the social forces to participate in social assistance, the government not onlyintegrated the power of enterprise and social organizations, but also changed the pastcommunity-based relief mode led by government. The increase of charitable bodyfrom government leading to multi-party participation not only changed the existingproduction and distribution of charitable resources, but also to a certain extentchanged the power structure of grass-roots governance.In theory, the main value of this study was to propose that "value factors make animpact on the institutional change through the influence of interaction ", which tosome extent complemented the study of the effect of value on institutional change. Onthe other hand, this study took "charity ceremony" as an analysis point, and, to acertain extent, expanded the existing research boundary of charity.In practice, the study found out that the charity resources varied in terms of"value transformation" and "power mobilization", and charity resources could bedistinguished into negative charity resourcesμ and positive onesμ, which to a certainextent complemented the existing research on charity research concerning resources.The former one was formed through power mobilization or exchange of interests,including a "reciprocal" mechanism; the latter was resulted from the internalization ofaltruistic value, and was triggered by the actors· value aim. This distinction would behelpful to reflect the predicament of the current development of charity, so as toprovide reference for the healthy development of philanthropy.更多还原