【作者】 何沛东；

【导师】 闵春发；

【作者基本信息】 苏州大学 ， 政治学理论， 2009， 博士

【摘要】 现代国家或者说民族-国家是公认的迄今为止人类创造的最有效的政治组织单位,国家构建可以作为检视现代化进程的一个视角和基点。从功能的角度,可以把国家构建的标准分解三个层面:第一,是国家对基层的控制能力高低;第二,是国家提供公共服务的能力高低:第三,是政权合法性的性质和强弱。本文从国家构建的角度,对中国不同历史时期形成的乡村治理诸种模式进行描述、分析、比较和评判,力图从宏观上勾勒出中国乡村治理的变迁逻辑和走向,为当下中国的“新农村建设”提供学理上的认识基础。第一章研究中国传统社会以乡里制度为主轴的乡村基层治理模式的变迁沿革,主要是给现代国家构建提供一个历史背景,耙梳其依赖之路径。中国自古以农立国,传统中国国家在秦汉时就已经确立了从上至下的行政建制,即乡里制度,但无法从根本上严密控制乡村社会。传统中国乡村治理上的主要特点一是正规的官僚体系难以设到基层,二是国家不管是对正规、还是各种非正规的基层代理人都缺乏控制。国家集中了权力但又无法实施。基于此,传统国家乡村在治理方式和治理效果上都是简约型的,可以称为“简约治理”。第二章论述自清末至民国时期作为“新政”的主要内容之一和基本支撑的乡村社会“国家构建”从初生、成长到断裂的过程。从清末新政到民国时期,为了从农村抽取足够的资源,国家延伸到农村的基层政权在传统的田赋以外,不断创造出新的税种和税源,但基层政权事实上无力向每个农户收取这些费用,简单的办法就是以村庄为单位进行摊派,此所谓摊款。当国家以村庄为单位来收取摊款时,如果村庄具有强大的内聚力,或村庄内权力的文化网络仍在,则村庄领袖就会较为公正地按习惯法向农户分摊款项。这就是保护型经纪。但是,国家无休止地增加从农村的资源抽取和基层政权越来越多的摊款,使村庄传统的权威领袖难以应对时,他们便退出了村庄政治领域。基层政权为了从村庄有效获取资源,而在村庄中寻找赢利型经纪来充任国家与农民之间的税收经纪人。赢利型经纪加速了村庄传统文化网络的衰败,极大地削弱了国家政权在农村的合法性,导致了国家政权扩张中的严重“内卷化”,农村社会的进一步被压榨乃至破产。这就是“经纪治理”。最终,国家由于没有控制住乡村社会经纪体制的增生与蔓延而导致“国家政权内卷化”,以至最后走向崩溃。第三章分析中国共产党建政以后开启的从土改、合作化到人民公社确立的这一对乡村社会彻底改造的“新国家构建”历程,重点对公社体制的组织架构、运作机制及治理绩效、内在紧张进行分析。中共建政后,经由土改、合作化、集体化,直至建立人民公社的全能治理架构,国家第一次将组织体系延伸到生产队——农村社会的最基层,可以有效掌握全国每个地区农村的实际情况,有计划地提取用于现代化建设的资源。这一切是通过在基层在建立党组织而实现的,并通过持续的政治运动保持对基层组织的控制,而且共产党在发展生产、改造社会等方面一律诉诸群众运动。我们称之为“运动治理”。借助公社制度,中国成功地完成了国家政权建设的重任,并在自力更生的基础上建立起一个完整的现代国民经济体系,基本上实现了社会主义工业化的目标。但由于强制的成本实在太大及当时的制度安排与乡村社会结构之间存在的巨大张力始终没有消弥,随著作为公社制度合法性支撑的领袖的去逝,公社制度迅速瓦解。第四章描绘改革以来直到税费改革前形成和发展起来的所谓“乡政村治”这一新型治理模式的生长、发育及带来的困境。公社终结以后,在“以经济建设为中心”的新意识形态下,国家要继续从农村抽取资源用于现代化建设事业,但由于经济基础的变化,国家必须借助公社后时期逐渐形成的乡政村治体制,继续沿袭过去的集中统一的领导体制,来与分散的农户打交道。其实际运作模式是一种按照所谓“压力型体制”来开展的,它通过将政府确定的经济发展任务、指针层层分解下达,从县到乡镇、再下达到村甚至每个农户。所以称为“压力治理”,压力治理模式导致历史上曾经发生的赢利型经纪的滋生蔓延。由此造成的后果是在短短10多年时间里,中国的乡村治理就陷入了极大的困境。第五章探索税费改革后,为了应对新的乡村治理难题,一种合作治理模式的建立成为必须,国家构建在乡村面临新的时代课题。税费改革以及与其同时开展的农村综合改革使以农民负担为主要表征的三农危机得以消弭,也改变了国家与农民的关系,但决策层试图强化乡镇政府的社会管理和公共服务职能,以转变乡镇政府职能的目标则落空。相反,基层政府的行为模式从过去的汲取型变为与农民关系更为松散的“悬浮型”,严重影响了农村公共物品的供给和农村社会的稳定,暗示的是一种有效治理的缺失。全文最后得出结论,以统筹城乡发展统摄的国家各项涉农政策发生重大变革背景下,乡村社会治理需要构建一个“合作治理”模式,其中关键之处是在乡村组织领导人的产生上引入民众的参与,让人民从下而上施加压力。如此,国家、乡村组织、农民才能实现多层次的实质性合作,乡村的“国家构建”才称得上稍有小成。更多还原

【Abstract】 Modern state, or put it in other words, the nation-state, is the most effective form of political organization in human history to date (Robert Gilpin), so the degree of state-building within a given country can be relied upon as a benchmark to examine its progress in modernization. Ever since China undertook the tax reform in 1994, great and far-reaching changes have been witnessed in areas such as agricultural policy, rural-related legal system and the structure of the rural society as well, a series of problems arise in the meantime. These changes bring forward positive impacts on state-building with concurrent negative implications. Issues such as the so-called "power vacuum", "governance problem" and "moral crisis" which are identified in some areas of China have drawn wide concern from the pubic, and effective resolution of these issues calls for comprehensive understanding of the implications of pertinent policies.By focusing on the topic "how the state achieves its objectives when it interacts with peasants", the author starts from the perspective of state-building and make great efforts to describe, analyse and compare the various rural governance models adopted in different periods of the Chinese history, thus endeavours to present a macro-picture of the dynamics of change in China’s rural governance. The author hopes this paper will facilitate and deepen our understanding of China’s "new countryside construction policy" with his contribution of thoughts from an academic perspective.In the first chapter, the author describes the evolution of the changes of the rural grass-root governance model in China’s traditional countryside society. Based on this historical context, the author tries to identify the state’s "path dependence" in asserting its existence in the rural areas. Given the long history and fluid change of the grass-root models as well as different situations in China’s extensive landmass, the author categorizes these governance models by means of comparison, and observe their implications for state-building accordingly.Chapter two describes the birth, growth and rupture process of the state-building in China’s rural society - the main content and basic element of the "new deal" policy adopted by the governments from the late Qing dynasty to Republic of China period. In this chapter, the author uses the term "involution", a concept developed by Prasenjit Duara, to analyse the whole process.Chapter three provides a review of the period of 1949-1978. The author will look back on the history of "restructuring" the rural society and the entrenchment of the state in rural areas since the Chinese Communist Party came into power as a result of land reform, agricultural co-operation and the establishment of people’s communes. The author makes an analysis on the organizational structure, operational mechanism of the people’s commune system, followed with an evaluation of its overall performance as well as a review of the innate contradictions and constraints encountered by the ruling party.Chapter four depicts the emergence and development of the "township rule & village self-rule" model which was adopted during 1979-1993. The author will also decompose the predicament faced by the state within this governance model.In chapter five, the author probes into the possible and viable approach of state intervention in China’s rural society after China’s tax reform in 1994. The author argues that a "cooperative governance" model is in urgent need in the context of China’s adoption of harmonious and balanced rural-urban development strategy to accommodate the significant transformation of agricultural policies adopted by the government. The basic approach applied in this model would be engaging the peasants and ensure their legitimate right to directly elect the village leaders in order to create dynamics for cooperation between the state and the rural society. The author holds that essential multi-level cooperation can only be achieved among the three stakeholders—the state, village organizations and peasants by means of exerting pressure from the bottom up, thus the state can succeed moderately in achieving its objective of asserting its authority in the rural areas.更多还原