【作者】 王恒彦；

【导师】 卫龙宝；

【作者基本信息】 浙江大学 ， 农业经济管理， 2012， 博士

【副题名】以湖北、山西为例

【摘要】 作为一个关系面向的人情社会,在中国人的社会生活中,社会关系深刻地影响着人们的社会交往、经济往来乃至于思维方式。对这种社会关系作用的讨论也一直是学术界所关注的问题,并开始形成一定的研究范式如关系等,社会资本理论兴起后因其与中国关系性社会的高度契合,是分析中国关系社会的理想学术工具,很快在中国学者中引起共鸣,并成为研究中国社会关系中的主导性范式。本文利用笔者研究中自行开发的社会资本量表,通过对湖北和山西两省农村的抽样调查,试图通过对中国中部地区农村中农民社会资本的量化研究,以定性研究和定量研究相结合的方式促进社会资本理论的本土化研究。基于这一要求,本文的研究重点关注：在中国中部地区的农村环境中社会资本的结构、性质及其对农户经济生产过程的影响机制。本文综合运用了实地研究、问卷调查、解释性研究法、统计推断法等,并结合因子分析、多元回归和结构方程模型等多种统计和计量分析方法对社会资本影响农户收入生产的内在机制进行了分析研究。通过研究,本文的主要成果可简单总结为：1、开发出适合中部地区农村社会的农户社会资本量表。通过文献回溯和实地访谈,设计开发了农户社会资本量表,对中国情境下的社会资本结构有了清晰地认识。经过问卷调查分析和多次的样本抽查测试,最终确定,在中国农村的社会语境下,农户社会资本可以有12个维度。这12个维度可涵盖农民社会交往中的社会认知、交往网络,涉及个体化的和村社区两个层面,其具体内容包括：资源网络、预期功能性社会资本、关系延续性社会资本、冲突处理、信任和互惠等。实证研究结果表明：这样的维度划分具有科学性和合理性,量表是有可靠的信度和效度支持的。2、运用所开发的社会资本量表探索在农户的收入生产过程中,社会资本影响农户收入生产的过程机制。在社会资本研究中,人们的社会交往网络可视为是某种可资运用的资源网络,而这种资源网络同时也是社会资本的一个维度。本文比较具体地探讨了社会资本其它维度对其资源摄取行为的影响,研究发现,在社会资本的12个维度中,网络同一性、网络邻近性、预期功能性和关系延续性等四个维度会影响农民的资源摄取行为。而且,其中的网络邻近性维度可接受预期功能性维度和关系延续性维度的同时中介,网络同一性维度只通过关系延续性维度的中介对资源网络发生作用,关系延续性维度也通过预期功能性维度的中介而对资源网络发生作用,这是一个复杂的作用机制。在社会资本对农户收入生产的作用过程中,信任、预期功能性、村社会资本和网络同一性四个维度并不能直接影响农户的收入生产过程。其余八个维度资源网络、认同感、互惠、冲突处理、关系延续性、关系满意度、网络邻近性和网络密度则可直接影响农户的收入生产。这八个维度在影响农户收入的生产过程中,资源网络和关系延续性则会对其它维度的影响发挥中介作用,具体作用机制表现为：资源网络对关系满意度维度影响农户收入的生产过程有完全的中介作用,对认同感维度影响农户收入的生产过程则是部分中介作用；关系延续性则对认同感、冲突处理、网络邻近性、互惠和网络密度等维度影响农户收入的生产过程发挥部分中介作用。3、信息能力、资源网络和预期性社会资本会同时对社会资本影响农户收入的生产过程发生中介作用。社会交往的效率与交往主体同他人沟通的能力密切相关,这是一种交往中的信息能力。信息能力可以和社会资本一起同时影响农户的收入生产过程,研究发现,社会资本的信任、村社会资本、网络邻近性、认同感和网络同一性不会与信息能力共同影响农户的收入生产过程,而其余七个维度可与信息能力一起同时影响其生产过程。而且,信息能力会对社会资本的预期功能性和关系延续性两个维度在影响农户收入生产过程上会起到中介作用。同时,社会资本的资源网络维度和关系延续性与预期功能性也会对其它维度的作用进行中介。关系延续性和预期功能性可视为预期性社会资本,其中介作用不能同时发生,必须分开讨论。在社会资本影响农户收入的生产过程中,这些中介变量的作用具体表现为：在考虑预期功能性作为中介变量的作用时,信息能力对关系延续性和预期功能性维度的影响发生中介作用,同时,资源网络会对关系满意度维度的影响进行中介,而预期功能性作为中介变量则可以对关系延续性、资源网络和互惠三个维度延续农户收入的过程发生中介作用,它们的中介作用都是部分中介；或考虑关系延续性发挥中介作用时,信息能力会对预期功能性发挥完全中介作用,对关系延续性是部分中介,关系延续性对预期功能性影响农户收入的过程发生完全中介,并同时对网络密度和冲突处理两个维度影响农户收入的生产过程发生部分中介作用,资源网络则对关系满意度影响农户收入发生部分中介作用。充分说明,社会资本影响农户收入的生产过程有着非常复杂的作用机制。通过对社会资本影响农户收入的生产过程研究,基本明晰了社会资本和农户信息能力对农户收入生产的作用机制,有助于加深对社会资本在中国文化背景下作用的认识。更多还原

【Abstract】 As in a relation-oriented society, social relations play a fundamental role in Chinese people’s social association, economic relationships and even way of thinking in their social life. It has been an academic focus on the role of social relations and certain research paradigms, such as Guanxi, have emerged accordingly. The development and prosperity of theory of social capital provide an ideal academic instrument which is highly relevant for the research of China’s relational society. It struck a chord among scholars in China and has become a leading paradigm in Chinese social relation research.On the basis of a dataset constructed from a special designed social capital survey in Hubei and Shanxi province, this dissertation focused on the localization of social capital theory research through the qualitative and quantitative analysis of farmers’ social capital in central areas of rural China. With this end in mind, the dissertation pays close attentions to the structure, nature of social capital and its influence mechanism on farmers’ economic producing process within central rural China’s social environment. The methods used in this study of the internal mechanism of social capital on farmers’ income generating synthetically include field studies, questionnaire survey, explanatory research, statistical inference, etc., combined with statistical and econometrics methods, such as factor analysis, multiple regression analysis and structural equation model (SEM).The main conclusions from research are as follows:1. A scale measuring farmers’ social capital tailored to local characteristics of rural society of central China was designed and implemented in gathering the data used for the study.Based on literature review and the feedbacks from pilot field interviews, we developed farmer social capital scale which recognizes the structure of social capital within the Chinese context. The final scale encompasses12dimensions which cover social cognition and interaction network at both personal and village community levels, such as resources network, anticipatory functional social capital, relationship-sustaining social capital, conflict resolution, trust and reciprocity, etc. The applicability of the scale was justified by the empirical results which both demonstrated reliability and validity.2. With the data from this social capital scale we probe into the process mechanism for how social capital influence farmers’ income generation.It’s a very important common sense to view social capital as resources embedded in social networks in the study of social capital. So one’s association networks could be regarded as a kind of resources network that one can use. Meanwhile this kind of resources network can also be regarded as a dimension of social capital. It is indispensable for farmers to access to resources during the process of produce, and interaction between the dimension resource network and the other dimensions of social capital determine returns on the access to resources. The article discusses how the other dimensions of social capital exert influences on farmer’s access to resources and finds that four dimensions, namely, network homogeneity, network proximity, anticipatory functional social capital and relationship continuity of social capital will influence farmers’ access to resources. Furthermore, while anticipatory functional dimension of social capital mediates between network proximity and resources network, relationship continuity can also mediate the process at the same time, and the dimension of relationship continuity mediates between network homogeneity and resources network. Anticipatory functional dimension of social capital also mediates between the dimension relationship continuity of social capital and resources network. This is a very complicated mechanism.When it comes to the social capital’s influence on the process of income produce, four dimensions of social capital, namely, trust, anticipatory functional social capital, village social capital and network homogeneity does not influences farmers’ income directly. The other eight dimensions, such as resources network, acceptance, reciprocity, conflict resolution, relationship continuity, relationship satisfaction, and network proximity and network density can influence farmers’ income directly. Among this influences, resources network and relationship continuity can mediate other dimensions’ influence on farmers’ produce process of income. To be specific, resources network has full mediating role in the influence of relationship satisfaction with regard to production process, and a partial role in the influence of acceptance dimension. Relationship continuity has partial mediating role to play in the influences of dimensions such as acceptance, conflict resolution, network proximity, reciprocity, and network density.3. Information capacity, resources network and anticipatory functional social capital can jointly play an immediate role in the process of farners’ income produce where social capital works.The efficiency of social intercourse is critically related to the communication capability of the social agent which is an information capacity. This capacity can impact farmer’s income generation process, together with social capital. Our research finds that, trust, village social capital, network proximity, acceptance and network homogeneity of social capital doesn’t influence the produce of income together with information capacity, while the other seven dimensions can influence the process along with infonnation capacity. Furthermore, information capacity not only mediates between anticipatory functional social capital and income producing process, but also mediates between relationship continuity of social capital and income produce process. Meanwhile the dimensions resources network, relationship continuity and anticipatory functional social capital mediate the other dimensions as they work on income produce.Relationship continuity and anticipatory function can be regarded as anticipatory social capital. Since these mediating roles cannot happen at once, it must be discussed separately. In the production process where social capital influence farmer’s income, the role of this kind of mediating variable can be summarized as:information capacity has a mediating influence in the role played by relationship continuity and anticipatory functional social capital. Meanwhile, resources network can mediate the impacts of relationship satisfaction dimension, while the anticipatory function can mediate the dimensions in relationship continuity, resources network and reciprocity, with these mediating functions being only partially. When it comes to the mediating role of relationship continuity, the information capacity will mediate the anticipatory function while partially mediate relationship continuity. The relationship continuity fully mediates the anticipatory function’s influence in income process, and partially mediate the influences of network density and conflict resolution dimensions. The resources network also have a partially mediating role to play when relationship satisfaction influence farmer’s income. The above relationships demonstrated the complicated mechanism through which social capital influence farmer’s income produce.The article investigates the process through which the social capital plays its role in farmers’ income production, and makes clear what’s the mechanism for social capital and farmer’ information capacity to influence farmers’ income produce. It will promote the understanding of the role of social capital in Chinese cultural background.更多还原