【作者】 冯静；

【导师】 臧志军；

【作者基本信息】 复旦大学 ， 中外政治制度， 2008， 博士

【副题名】以近代中国的工商行业性组织为分析对象（1904-1937）

【摘要】 关于自愿性社团组织的研究,理论模式主要有公民社会、法团主义。已有的关于近代中国自愿性社会组织的研究,集中在历史学领域,其理论模型也主要是公民社会理论。公民社会理论在解释非民主社会的窒碍之处早已被意识到,不能突破这一理论的主要原因是就社会组织本身探究其功能和意义,对于社会组织生长的政治与社会生态缺乏宏观认识。本文以近代中国的工商行业性组织(会馆、公所、同业公会、商会)为对象的研究,通过把社团组织放在现代国家形成的背景下探讨其功能与意义,试图突破这一理论模式,建构理解过渡社会自愿性组织的新的理论框架。本文认为,工商行业性组织与现代利益集团在社会结构中处于相同的地位——都是介于国家与公民、国家与企业之间的中介团体。但工商行业性组织所生长的制度背景的差异决定了这一结构的功能差异。在西方民主国家,自愿性组织构成了限制国家权力扩展、制约政治权力的公民社会。在近代中国,自愿性组织在地方社会治理、协助政府政策执行等方面也发挥了重要作用。虽然商人(资产阶级)及其组织化作为一种新的社会结构,本身具有侵蚀旧的社会结构及其建立于上的政治制度的潜能,但就中国工商业阶层看,工商行业性组织在主观意识上是保守的力量,以维护现有社会秩序为主要目的,并非是主动推进国家制度变革的主体力量。然而,中间团体在近代中国,也决非如傅士卓所言,主要起一种消极的、去动员化的功能。在现代国家形成中,这些在传统体制中萌生的中间团体,在多方面发挥着积极的功能:1.在传统王朝崩溃,现代国家权威缺失的背景下,作为军阀与地方社会之间的隔离层,既把外部侵夺限制在一定范围内,又维护了社会秩序;2.在现代国家主权形成的过程中,通过协助政府政策执行,增强了国家对地方社会的渗透能力,使国家能够整合和控制社会。3.在国家与社会制度化的联系机制——议会难以发挥应有的功能的情况下,作为民意机关,维持着国家有限的合法性,同时也把政治权利扩展到精英阶层。对于未建立起稳固的民主制度的国家而言,中间团体是拟制的议会和政党,或议会、政党的替代物,——可以维系一定的利益输入、合法性,并有着议会、政党所不具有的功能——强化国家控制,把一切政府的反对力量排除在外,由此实现动员和控制的平衡。从涂尔干所说的社会意识层面,在增强国家与社会沟通和联系的意义上,中间团体具有潜在的促进政治民主的作用,尽管这一功能是相当有限的。在政治制度上缺乏公民权利保障的前提下,自身的组织特征造成的功能障碍,也使中间团体极其容易偏离利益表达的方向,沦为弱输入强控制的“国家权威社会性设计”。更多还原

【Abstract】 Research on the Political Function of the Intermediary Society in Shaping of the Modern State----A Studying of the Case of the Business Trade Society in ModernChina (1904-1937)Research on voluntary intermediary associations in modern China have been more focused on civil society in realm of history. The theory of Civil Society and Corporatism has been the dominant model in explaining intermediary associations. Although the imperfection of civil society theory has been realized generally, it is difficult in modifying the theory for the ecological condition of politics and society around it has always been neglected. This dissertation is trying to break through the model of civil society and construct a new frame for explaining the voluntary association by the case study about the business trade organization in modern China deposited the context of shape of modern. The dissertation think that the attribute of the business trade organization is intermediary organization between the state and the citizen, or state and the corporation just as that of the intermediary association in Western Democracy Country. The functions differ from each other for the diversity surroundings in which the organization has grown up. The voluntary organization in modern China played a important role in administering the local society and assisting the government in implementing the policy, in contrast to the western counterpart in confining the expand of the state power and restrict the political authorization as civil society . In spite of the potency of businessmen or the bourgeoisie and their association in eroding the old social structure and the political institution based on it, the business trade societies were conservative , aiming at maintain the existing social order, not a subject to promote the reform of institution initiatively.The intermediary society, nevertheless, primarily functioned passively and demobilization, just as Joesph fewsmith had pointed out. These societies initiated in traditional society played active and many-handed rolls in the shape of the modern state: 1. acted as the layer of insulation between the warlord and the local society, rejecting the excessive trespass and maintain the social order in the background of the absent of the authority of modern china. 2. Assisting government in implementing the policy and strengthening the penetrating capacity for the state to integrate and control society during the process of the shape of the modern China. 3. Acted as agency of expressing public will as to support the restricted legitimacy of the state. At the meantime, to expand the political right in the elite stratum, while the parliament, the linkage system, is hard to perform the due function. For the transitional society in which the democracy has not been set up steadily and efficiently, the intermediary society is fiction of parliament and the substitute ofthe political party, ------maintaining interest input to some extent,supporting the legitimacy, at the same time , have the function which the parliament and the political party don not possess in intensifying the state control and purging out all the anti-government elements so as to the balance between the mobilization and control may be kept.The intermediary society exerted potential effects in boosting the political democracy to the extent that increase the communication and connection between the state and the society as the Emile Durkheim has argued, although the effects were greatly refined. Its dysfunction originated from its organizational character brought easily about the diverging from the function of interest expression, and was reduced to the agency of the social devise of the state authority which is strong in controlling, but infirm in inputting.更多还原