【作者】 汪红梅；

【导师】 汪小勤；

【作者基本信息】 华中科技大学 ， 西方经济学， 2008， 博士

【摘要】 社会资本是目前经济学领域的研究热点,但其定义仍未取得共识。本文将社会资本定义为影响人们互动行为的非正式制度,包括关系网络、信任和规范三个维度。自1978年农村改革启动以来,尤其是20世纪80年代中期之后,我国农村社会资本一直在变化。尽管关于农村社会资本的文献很丰富,但针对其变迁本身的研究尚不多见,从经济学角度对其进行解释更是鲜见。本文采用了文献分析法和田野调查法,在古典经济学的框架内,从分工深化和交换货币化的角度解释了农村社会资本由传统型向现代型的变迁,分析了这种变迁对农村经济增长的影响,指出了农村社会资本重构的途径。为规避社会资本的消极影响,发挥其积极效应提供了一种新的视角。文章第一部分描述了我国农村社会资本变迁并给出了经济解释。随着市场经济地位的确立,农村分工深化和交换货币化的倾向日益明显。分工和交换的变化使得农民的关系网络不再囿于“三缘”1关系,信任方式由特殊信任逐步转向普遍信任,行为规范从伦理规范逐步转向契约规范。利用从陕西省城固县10多个村庄得到的226份问卷,通过OLS回归分析,发现分工和交换的确影响了农村社会资本,并且对现代社会资本的影响比对传统社会资本影响更大。文章第二部分分析了农村社会资本变迁对农村经济增长的影响。较大的关系网络能够带来更多的交易机会,普遍信任和契约规范能够降低交易成本,因此,现代社会资本比传统社会资本更有经济效率,虽然传统社会资本在小范围内也是一种有效率的制度安排。目前我国农村经济增长面临着三个突出的难题:人力资本匮乏、金融效率低下和农技扩散缓慢,传统社会资本在解决这些问题中能发挥有限的作用,现代社会资本则有广阔的作用空间。然而,我国农村社会资本正处于从传统向现代的转型期,转型期社会资本丧失了传统社会资本中伦理道德的约束力,又不具备现代社会资本中的契约意识,给农村经济、社会发展带来诸多负面影响。文章第三部分给出了重构农村社会资本的建议。社会资本由传统向现代的转型是大势所趋,但是转型期社会资本的消极影响表明,尽快缩短转型的阵痛期是一项必要的任务。农村传统社会资本所剩无几,现代社会资本尚处于萌芽状态,加快转型意味着重构一种新型的现代社会资本。现代社会资本不可能也不必要完全摒弃传统社会资本,而应该保留传统社会资本中的合理成分。农民、非政府组织和政府都应该积极行动起来,在重构现代社会资本中发挥自己的作用。农民个人应该努力提升人力资本,积极参与集体活动;非政府组织作为农村社会资本最重要的供给源,不仅要做好农户和政府之间沟通的桥梁,而且要培育农民的公民意识;政府部门应该为个人和非政府组织积累社会资本提供良好的环境,但不要直接干预,否则会产生“挤出效应”。在经济转型的大背景中,我国农村社会资本正在变迁,只有全面了解变迁的原因和方向、变迁中存在的问题以及变迁对农村经济发展的影响,才能找到社会资本重构的途径,使之有利于农村经济和社会发展,这也是本研究的意义所在。更多还原

【Abstract】 Social capital is a hot topic in economics research field at present though there is no consensus on its definition. In this dissertation, social capital is defined as the informal institution that affects people’s interaction, including the social networks, trust and norms. Since the rural reform in 1978, especially after the mid-1980’s, the rural social capital has been changing all the time. Although there is a great deal of literature on rural social capital, the research on its change is hard to find, and the economic explanation of the change is even more scarce. Two research methods, The desktop research and the field research, are adopted to explain the change of social capital and its influence on the rural economic growth in China. In the framework of classical economics, the change of rural social capital is explained by a deeper division of labor and the monetary exchange of agricultural products. The way to reconstruct the rural social capital is given, and also a new perspective of how to avoid the negative effects of social capital and how to bring its positive role into play is provided.The change of rural social capital in China is described and explained in the first part of this dissertation. With the establishment of market economy, the tendency of a deeper division of labor and the monetary exchange of agricultural products is increasingly obvious. The change in division of labor and exchange of agricultural products makes the peasants’social network wider than a social network consisting of family members, relatives and neighbors. It also turns the particular trust into the general trust and the code of ethics into the code of contract. 226 questionnaires of more than 10 villages in Chenggu County Shaanxi Province were adopted and the conclusion was that the division of labor and the monetary exchange of agricultural products did affect the rural social capital, and they imposed more influence on modern social capital than on the traditional one .An analysis of the impact of rural social capital change on rural economic development is provided in the second part of this dissertation. A Wider social network can bring more trade opportunities; and the general trust and the code of contract can reduce transaction costs. So modern social capital is more economically effective than the traditional one, though the latter is effective in a small range. There are three prominent problems in the rural economic growth in China, scarce human capital, low financial efficiency and slow proliferation of agricultural technology. The traditional social capital can play a limited role in solving these problems, while the modern social capital can work in a broader space. However, the rural social capital is in the transition period, in which the social capital has neither the restraints of ethics nor the consciousness of contracts, which imposes a lot of negative effects on the rural economic and social development.Suggestion on reconstruction of rural social capital is given in the third part of this dissertation. It’s the trend of the tide that social capital turning from a traditional one to a modern one, but the negative impact of transitional social capital makes it necessary to shorten the transition period. The Traditional rural social capital has little left, and the modern one is in the germination period. Therefore, to fasten the transition means to reconstruct a new modern social capital. It’s impossible and unnecessary to discard the traditional social capital completely, so the reasonable part of traditional social capital should be retained in the new modern social capital. The peasants, NGOs and the government all should take active measures to reconstruct social capital. The peasants should try their best to enhance their human capital and participate in the collective activities actively. NGOs , the main supply source of modern rural social capital, not only should be a good communication bridge between the peasants and the government, but also foster the civil awareness of the peasants. The government should provide a good environment for the peasants and the NGOs to accumulate social capital in an indirect way, otherwise there will be a crowding-out effect.The rural social capital is changing in the background of economic transition, only having a comprehensive understanding of the causes and direction of the transition , as well as the problems in the transition and its impact on rural economic development, can we find a way of reconstructing the rural social capital, so as to make it beneficial to the rural economic and social development.更多还原