【作者】 张玮；

【导师】 丁金宏；

【作者基本信息】 华东师范大学 ， 人文地理学， 2009， 博士

【摘要】 当代中国户籍制度是计划经济时代为保障重工业优先战略而推行的一套社会经济管理制度，随着社会主义市场经济体制的逐步建立，户籍制度的不合理性日益凸显。户籍制度需要改革，但是又难以改革，当前，户籍制度改革已经成为中国社会运行中继续寻找出路的实践命题。尽管自20世纪80年代中期开始，我国的户籍制度改革逐步成为民众、政府管理部门和学术界普遍关注的热点问题之一，至今为止有关户籍制度改革地方实践的专门、系统论述尚不多见。本文选取城市为研究地域，基于实践分析和理论总结两条思路，对改革开放以来的户籍制度改革地方实践进行了较为系统的研究。基于户籍制度改革的利益视角，本文首先对地方户籍制度改革选择进行了理性分析，并简要回顾了改革开放以来地方户籍制度改革的基本历程。梳理地方采取的主要改革举措，总结了地方改革的阶段性特征：1980年代中央主导、地方执行，1990年代地方探索、中央默认，1990年代末期以来中央指导、地方因地制宜推行。其次，考察了暂住证制度的建立背景，并分别以省、市为研究单位，借助于地方颁布的暂住人口管理法规规章，对暂住证制度在省区间和城市间的地理扩散模式进行了重点分析。再次，从地方户籍制度改革的演进及其时空发展关系、改革内容与效果的地区差异、改革的积极意义与局限性三个角度，对小城镇户籍制度改革、城镇户口商品化“改革”、人才居住证制度、社会关系落户政策的地方实践进行了系统分析。最后，本文从户籍制度改革价值取向、地方户籍制度改革的动力来源、户籍制度改革的地理扩散模式及区域模仿学习三个方面总结了户籍制度改革地方实践的启示。本文提出了以下主要观点：一、地方政府的户籍制度改革选择及改革力度，主要考虑两点：是否有利于促进地方经济发展，户籍人口增长带来的公共服务压力有多大。相应的改革实践往往呈现出过分注重发展和淡化民生的倾向。二、暂住证制度的地理扩散模式主要呈现以下几方面的特征：由省向市等级扩散；时间维度上，呈现“S形曲线”特征，符合创新扩散的一般规律；空间维度上，邻近效应显著，然而影响范围局限于周边“同质”地域；区域模仿学习占据主导地位，创新性表现不明显。三、小城镇户籍制度改革的地方实践表明，市场经济发展是户籍制度改革的根本推动力，表现为地方实施小城镇户籍制度改革的时间和效果与地区经济发展水平密切相关。经济基础最好、发展势头最快的东南沿海小城镇是最早实施改革的城镇，也是改革实施效果最好的地区，中部地区次之，西部小城镇实施改革的时间最晚，且效果最差。四、城镇户口商品化“改革”反映的是地方政府与公民之间以城镇户口为商品的交易过程，这一过程中，获得户口的条件随行就“市”，户口参与市场交易的特征显著：非农业户口的“商品价值”与城市等级和城区位置呈正比关系，城市级别越高，城区位置越好，须支付的相应费用就越高。五、人才居住证制度在具有不可否认的积极意义的同时，其局限和不足也不容忽视。人才居住证制度的实质是以引进人才为目的的工具性政策，它仅赋予城市需要的外来人才部分“市民待遇”，一定程度上背离了公共服务均等化的户籍制度改革目标；上海市人才居住证制度的实践表明，持证人实际享有的待遇与“市民待遇”存在不小的差距，缩小“市民待遇”差距是亟待重视的问题。六、大城市户籍制度改革过程中，对民生户口问题的关注普遍不够。婴儿落户、投靠落户等落户政策的地方实践表明，大城市对社会关系落户政策设置了若干限制性条件。加大户籍制度改革中人性操作的力度，坚持发展目标与民生目标相结合，是大城市户籍制度改革应该坚持的原则。七、户籍制度改革的价值取向应该定位于户籍身份平等和迁徙自由，两者缺一不可。应该尽量避免户籍制度改革基于现实功利立场，偏离价值取向的做法。八、地方户籍制度改革的动力来源于引进资金和人才、促进经济发展，压力来源于中央政府的安排和当地群众的民生诉求等。地方改革实践表明，由动力驱动的地方改革往往过度发展，由压力推动的地方改革极易半途而废或流于形式。九、户籍制度改革的地理扩散过程，在空间维度上，表现为不完全的邻近效应，即扩散过程中的邻近效应显著，但影响范围局限于周边“同质”地域，在空间上表现为扇形或带状扩散形式，却并没有呈现由近及远的连续波状扩展扩散形式。十、在户籍制度改革的地理扩散过程中，无论从地区政府采纳新政策的行为来看，还是从地区实施的新政策的内容上来看，区域模仿学习都占据主导地位，创新性表现不明显。如何提高地方政府进行制度再创新的意识和能力，克服所谓的“复制模式”是亟待研究的重要课题。更多还原

【Abstract】 China’s current household registration system is a social-economic managementsystem which gears to the policy of heavy industry first in the command economyperiod.With the establishment of the socialist market economy system,theunreasonable aspects of the household registration system are emerging.This systemneeds reform but is hard to.The reform of it has already become a vital and practicaltest in the development process of the whole society.Although the reform of household registration system continues to be a hotspotamong the public,government agencies and academic field since mid-80s in 20^thcentury,there are little research foundings focusing on Practice studiescomprehensively.Choosing cities as research objects,this dissertation has donecomprehensive studies on the practices of reform of urban household system byprofound analysis and summing-up.In the prospective of interest,this dissertation has done rational analysis onreform of urban household system,also reviewed the whole process of it since theadoption of reform and opening-up policy in 1978.According to the main measurestaken by local authorities,this dissertation summarized the phrase characteristics,which are as follows:central government dominate and local government execute in1980s;local government explore and central government acquiescence in 1990s;central government give guidance and local government carries out following theirrespective conveniences since 1990s.Secondly,this dissertation has researched on the background of the establishmentof temporary residence permits system.Apart from that,this dissertation also focuseson the spatial proliferation of temporary residence permits system among provincesand cities by analyzing the regulations and charts issued by them.Thirdly,thisdissertation also analyzed the reform on household registration system for towns,thereform on the commercialized urban household residence permits,and the system oftalents residence registration system,also the policy of granting urban householdresidence permits by family members systemically by three different views:thechanges,as well as the time-space relations of urban household registration reform, the spatial difference of the contents and effectiveness of the reform as well as thepositive aspects and limits of it.At last,this dissertation summarizes the illuminationof the reform on urban household registration from three aspects:value-guide ofhousehold registration reform,driven forces of urban household registration reformand the spatial proliferation model and regional imitation of it.The research foundings are as follows:First,the decision and measures taken by local government are mainly relyingupon these two underlying points:whether these measures can promote the economicdevelopment and whether the government can afford the pressure brought by thecorresponding public services.The results shows that these reforms are tend toexcessively promote development while ignoring the welfare of the public.Second,the main characteristics of special proliferation of the temporaryresidence system are as follows:in the dimension of institution,proliferation goesfrom provincial authorities to sub authorities;in the dimension of time,proliferationgoes like the curve“s”,which is subject to the general law of the phenomenon ofinnovation proliferation;in the dimension of space,the neighborhood effect isobvious,while the influential area limits to near regions which have the same socialand economic development level.Imitation prevails while innovation fades.Third,the practice of household registration system in towns shows that thefundamental driving force of the reform of household registration system is thedevelopment of the market economy which is evidenced by the fact that the startingtime and effects of this reform has close links with the standard of regional economicdevelopment.Towns in China’s south-east costal areas with sound economy rank firstduring the reform process,the results are best,and then the Mid-areas followed by thewestern areas.Fourth,the commercialized reform of urban household registration permit isindeed a dealing process between local authorities and citizens.During this process,the strings of acquiring the permits,which just like the commodity,go with the marketlaw.The value of urban household registration permit has direct ration with levels andthe specific locations of the cities.Better location goes with better value.Fifth,while exerting positive affects,the talent residence system,mainly for attracting talents,has obvious limits for only granting partly”citizen treatment”tothem.This behavior,to some extent,is against the purpose of the reform of householdregistration system,which emphasizes the equality when enjoying public services forall the citizens.The practice of this reform,taking shanghai as an example,shows thegreat difference between the citizens and the”talents”.Shrinking the gap is anecessity to consider.Sixth,during this reform process,the welfare of the public are commonlyignored.The policy of kids and relatives with household registration permits showsthese obstacles.Considering more humanity,coordinating better the relations betweendevelopment and public welfare are the basic principles for the reform of urbanhousehold registration system.Seventh,the purpose of household registration system should be target both atthe equality of household registration and freedom of migration and immigration.Anything is against these purposes should be avoided.Eighth,driving force of this reform comes from attracting talents,capital topromote economic development and the pressure originates from the arrangements ofcentral government and the appealing from grassroots.The practice shows that whenthe driving force is powerful,the reform goes too far,while pressure is powerful,thereform stops on halfway or is just on superficial.Ninth,the geographical proliferation of this reform shows not-complete theneighborhood effect,which means neighborhood effect prevails,but only limits to thenearby areas with the same social and economic development status in the dimensionof space.The diffusing shape in space is just like sector or tie but not continuous.Tenth,during this proliferation,no matter from the new policy adopted,or thecontents carried out,there is a conclusion that imitation behavior prevails andinnovation fades.How to improve the innovative sense and ability to renew institutionso as to avoid imitation is an urgent subject.更多还原