自生秩序、国家权力与村落转型

【作者】 刘伟；

【导师】 林尚立；

【作者基本信息】 复旦大学 ， 政治学理论， 2008， 博士

【摘要】 本文以不同类型的村民群体性活动为观察对象,试图通过对该现象内部发生机制及外部制约结构的比较研究,回答当前我国村落自生秩序与国家权力之间复杂而多元的关系性质,并试图在此基础上确立国家与村落相衔接的理论和现实依据,最终得出国家应该帮助村落重建政治共同体的结论。相对于纯私人性的个体和家庭生活而言,于普通村民来说,他们生活中另一重要组成部分即是超越于纯私人性范围的有较大多数(乃至全体)村民共同聚集、参与的群体活动,这些活动在本研究中被统称为村民群体性活动。对于各类村民群体性活动,从核心力量上来抽象,在政治学的分析视角下,可以以自生秩序主导性强为左端,以国家制度安排色彩强为右端,对各类村民群体性活动进行实质意义上的排序和归类。处于任何位置的村民群体性活动都是在自生秩序和国家权力的框架下发生的,区别只在于主导力量是哪一方,以及离这两大力量的距离远近。这是出于政治学研究的需要:一方面,村民群体性活动是透视村落自生秩序与国家权力间关系的窗口;另一方面,对村民群体性活动的政治学考察必须被放置到秩序自生和现代国家治理的视野中进行。从纵向上讲,本文将当前我国部分地区的村民群体性活动放到历史变迁特别是中国独特的政治变迁逻辑中考察;从横向上讲,本文将村民群体性活动放到自生秩序与国家权力的二维框架下探讨。从历史和理论的逻辑上看,本文首先阐明了我国村落自生秩序与国家权力间关系的演变逻辑:传统村落因为自生秩序与国家权力具有内在的一致性,村落在与国家相衔接的同时保持了一定的自主性,村落自生秩序同时发挥着治理村落公共事务的功能;自近代开始的国家政权建设,现代国家的建构性秩序开始嵌入村落,并试图开发村落的现代治理功能,但因为全国性的权力体系未能成功建立,这一进程以国家权力的“内卷化”为主要弊端而告终;新中国成立之后,国家逐步在农村全面打碎并替代传统的文化组织网络,在此情况下,国家权力以前所未有的深广度进入村落,自生秩序处于被压抑的状态而难以发挥公共作用;20世纪80年代全面的农村经济社会政治改革以来,国家权力从村落形式上撤离,但安排了政治上的村民自治和经济上集体所有/个体经营,村落自生秩序一方面在新的条件下依托传统的根脉得以复兴,另一方面产生于新的利益和制度基础上,体现就是各类村民群体性活动的展开上,但此时的村落自生秩序呈现出多元分化的特征和趋向,自生秩序内部并不是系统而有机的。这一点可以通过对当前我国部分地区村民群体性活动的问卷调查和活动白描来验证。本文通过对二十余个村落三百余位村民的问卷调查以及对村民群体性活动的白描,分析出当前我国村落自生秩序与国家权力间关系的基本状况和内在机制。在统计分析和活动分析的基础上,本文进而结合现有的理论,主要证明了如下几个相互联系的命题:当前我国村落中总体上存在各种形式的自生秩序,在非村落公共事务的范围内,自生秩序居于主导地位,这是我国乡村社会常态化和社会回归的结果。这体现在婚丧嫁娶、宗族活动、民间信仰等方面。同时,我们也不能否认,这一类村民群体性活动在社会转型中所拥有的一定的村落秩序维系功能。国家对这一领域的村民群体性活动基本上是不介入的。村落中存在的自生秩序不仅仅停留于非村落公共事务中,它们还延续到(发生于)村落公共事务中,体现为涉及大部分村民利益的各种自发性的组织活动。在村落公共事务中,村落自身资源贫乏且呈现外流趋势,单纯依靠自生秩序往往不能实现有效的治理后果,这往往需要国家在资金、技术和组织方法上的介入。两者不能有效配合时,基于自生秩序的村民群体性活动最终很难走向成功。这主要体现在公共工程等经济性主导的群体性活动上。而在偏靠国家已有制度安排的村落公共事务领域,以村组会议(及相关活动)和上访为主要形式的村民群体性活动中,自生秩序是在既有的制度安排基础上发挥作用并嵌入到村落公共事务中的,客观上更需要乡村政权直至国家的对接和引导,但实践中这一对接和引导并不充分。通过研究可以发现,涉及村落公共事务的群体性活动,不论是经济性为主导还是以政治性为主导,都体现出以下的结构性特征:围绕分配型利益和发展型利益尤其是分配型利益可以迅速聚集的村民群体性活动,往往因为国家(主要是基层政权)的不能回应和活动本身精英/信任的缺乏(实质上是权威的缺乏)导致不能产生预期的结果。这充分表明,国家仅仅在村落安排一定的现代制度并不能自然带来有效的治理,更为需要的可能是:将这一制度嵌入村落并成为村民生活方式的力量和机制。而在这一方面,乡村精英依然是最为主要的依靠力量。反过来讲,村民依托既有国家制度安排自发结成群体性活动,如果缺乏国家的积极回应,或者无法克服其活动过程中的机制问题,它们很难单靠自身的力量解决问题。归根到底,还是村落缺乏有机的政治共同体。将村落公共事务统称为村落范围内的政治,本文采用“没有产出的政治”描述当前我国部分地区村民群体性活动的结构性困境。具体地讲,涉及公共事务的村民群体性活动客观上需要与国家的有效衔接,同时也需要处理自身的精英/信任问题。但从国家的角度看,村民群体性活动之所以难以达成除了市场化和家庭经营带来的个体利益上升所带来的村民纠纷居主导的原因之外,国家已有的基层政治精英对村落的介入方式往往是一个深远的原因。因此,本研究也就意味着,未来我国村落的治理结构必将是多元力量共同参与的。因为自生秩序的存在并发挥其治理功能,国家秩序不能无视这方面的力量。一方面让自生秩序在其应当发挥积极作用的空间发挥作用;另一方面,国家权力应调整其介入范围和介入方式,帮助村落重建政治共同体,从而在新的基础上与自生秩序相衔接,共同生成村落中的治理结构。而考虑到我国不同地区村落的自生力量和国家政权建设情况的不同,同时,各地村落所拥有的资源状况和发展前景不同,对全国性村落治理的思考应该保持思维的开放性。本研究通过对二十余个村落的调查研究就已经发现了村落自生秩序的复杂性和多样性,可以推论的是,全国性的村落治理中最应该警惕的就是一元化的思维。但不管具体的路径会有多大区别,在现代国家建设的背景下看待村民群体性活动以及与其密切相关的村落治理,总的方向却是一致的:国家帮助村落重建政治共同体,将村落整合到现代国家中,实现村落自生秩序与国家权力的多元一体。更多还原

【Abstract】 This research focuses on the different kinds of villager’ s group activities, tries to clarify the characters of intricate relationship between village’ s spontaneous orders and the state power in China through the comparative study on the spontaneous mechanisms and the external restrictive condition, then tries to ground the argument that the state should joint with villages not only in theory but also in practice, and then educes the conclusion that the state should help villages to rebuild the political communities.To a general villager, comparing to the purely private life of individual and family part, there is the other important part of his life—group activities that mean the activities which exceed the private circle, assemble most or even all of the villagers and attach themselves to struggle for a common aim. That is termed villager’ s group activities in this research. We can range and classify different kinds of villager’ s group activities from the spontaneous orders dominating level to the state power dominating level under the political view, because the spontaneous orders and the state power are two most important forces abstractly, and all of activities are happened under the framework of the spontaneous orders and the state power, the differences are the dominant forces and the distance to the power. It is according to the needs of political research which includes two aspects, first, villager’ s group activities are windows for us to look into the relationship between the spontaneous orders and the state power; secondly, the political research should be put into a view of the spontaneous order and the modern country’ s governance.On the one hand, this research studies villager’ s group activities which happen in some areas of our country nowadays in the view of the logic of history change, especially the special logic of Chinese political change. On the other hand, we study villager’ s group activities under the framework of the spontaneous order and the state power.From historical and academic logic, this research clarifies an evolutive logic of relationship between the spontaneous order and the state power: the traditional villager had some self-determination while jointing the state, because the logic of their spontaneous orders were the same to the state power intrinsically, so their spontaneous orders also had the functions of governance of public affaires. Constructive orders of modern state had been embed into the villages and tried to develop their functions of modern governance, since modern state structure in late Qing dynasty. But this process was ended by malpractice called the "involution" of state power, because the national power system hadn’ t been built successfully at that time. After the foundation of new China, the state power tried to destroy and substitute the traditional culture organizations drastically. In this condition, the state power went deep into villages with depth and width that hadn’ t existed before, the spontaneous orders were oppressed and their functions of governing public affairs were hardly to come true. Since 1978, the state power has retreated from villages formally, but it still has arranged the self-government of villagers in political area and collective ownership / individual prosecution in economical area. In this new condition, the spontaneous orders of village have been rebounded for two reasons, one is supported by traditional roots, the other is based on new interests and institutions, the embodiments are that different kinds of villager’ s group activities have been evolved, but the spontaneous orders of villages show themselves as characters and tendencies of differentiation but not a organic system. It can be proved by the questionnaires and records of the villager’ s group activities in some parts of China nowadays.This research analyses the essence mechanism and conditions of village’ s spontaneous orders and the state power in China through the questionnaires filled by more than three hundred villagers in more than twenty villages and the records of their group activities. Basing on the stat. of questionnaires and the analysis of the records, and concerning existent theories, this research proves the following relative propositions.There are diversiform spontaneous orders in modern Chinese villages generally, and these orders dominate the affaires which do not involve public space. This is the result of social normalization and social regress. It shows in some aspect like activities of ceremonies about birth, death and marriage, clan affaires and folk religion and so on. However, we can not deny that this kind of villager’ s group activities have some functions of keeping orders. The state does not intervene into activities in this area usually.The spontaneous orders of villages not only exist in the aforementioned area, but also go down to (or happen in) village’ s public affairs, it shows in kinds of spontaneous group activities which involved to most villagers’ interests. But the fact is that villages show themselves as resource lacked and out- flowed, so we can not only relay on the spontaneous orders to govern the villages, but also need the state power to support them with funds, techniques and approach of organization, and when these two forces can not been joint availably, the villager’ s group activities which based on the spontaneous orders are hardly access to success, especially the group activities of public project dominated by economic aim.Then in village’ s public affairs near to state’ s institution, which are formed as the villager’ group activities of villager’ s conference (and some relative activities) and appeal to higher authorities, the spontaneous orders influence on above area basing on the state’ s power, so they need more cooperation and direction from village power and even from the state power, but actually to say, they haven’ t been content yet.We can conclude the following structural characters of activities which involve the affairs of public areas and include that dominated by economic aim or political aim through the research: group activities concerning distributive interests and developable interests especially distributive interests can bring villager together rapidly, but can not bring them an anticipative output, that is usually because of no response from the state power (mostly the local power) and absence of elites/confidence (the fact is the absence of authority). It fully proved that available governance of villages cannot naturally bring from some modern institutions which arranged by the state, so embedding these institutions into the villages and making them be the powers and institutions of villagers’ life would be more important. And in this way, elites of villages are the most important support, Contrarily, if there is no active response from the state or they can not conquer mechanism problems in their activities progresses, even if they can organize themselves basing on the state’ s institutional arrangement, these villagers can not solve the problem only by themselves. In a word, villages are devoid of organic political organization.In this research, villages’ public affairs are totally called politics in village, and the institutional problem of villager’ s group activities are described as "the politics without output" , concretely speaking, villager’ s group activities which involved with public affairs need to joint availably with the state, at the same time, they need to solve the elites/ confidence problem of themselves. But in the point view of the state, the reasons for hard accessing to success of villager’ s group activities are not only the market-progress and the dissensions which are caused by individual interests, but also the ways of local states’ elites’ interposition, which are likely the deeper reason.So this research means that it can be plural forces participate in the governance’ s structure of Chinese villages in the future. The state order can not ignore the forces of villages’ spontaneous orders for they exist and act on the villages’ governance. On the one hand, spontaneous orders should be exist and act on the area where they show themselves as a positive power, on the other hand, the state power should adjust its ways and areas of interpositions, and help villages to rebuild their political communities, and joint with the spontaneous orders on a new base, and then create a new governance’ s structure in Chinese villages.Considering of the diversities of spontaneous orders and the differences of the state building’ s condition in different villages all over the country, the same as the dissimilarities of the resource content and unlikeness of the developmental ways, we should keep our thoughts opening about national villages’ governance. This research has found the complexity and diversity of villages’ spontaneous orders just through only more than twenty villages, so it can be concluded that what needs to be argus-eyed treated mostly is centralize thinking. But no matter how much different it will be in concrete ways, if only we consider of the villager’ s group activities and their nearly correlative villages’ governance in the background of the modern state building, the total direction is the same: the country should help villages rebuild political communities, conforms villages to the modern state, and implements the plural uniting of the villages spontaneous orders and the state power.更多还原