我国城市社区治理变革与社会资本研究（1978～2008）

【作者】 易晋；

【导师】 竺乾威；

【作者基本信息】 复旦大学 ， 行政管理， 2009， 博士

【副题名】一种制度变迁的分析视角

【摘要】 长期以来,人们喜欢从不同的路径来研究社会,认为这样可以更为清晰和深入的揭示社会的本质。实际上,这种人为割裂的研究并不能真正把握住人类社会的整体规律,相反,可能容易造成对社会发展的认识偏颇和片面。因此,本文试图以一种“合”的理念,结合治理理论、社会资本理论和制度变迁理论的研究路径,通过从整体上去研究我国城市社区问题,从而见微知著的去理解社会的发展规律。从理论上来说,虽然,治理理论、社会资本理论和制度变迁理论分别从不同的路径和角度去解读人类社会发展过程中的各种问题,然而,这三大理论存在基本互通的逻辑关系,这就是合作对于人类社会的意义。人类社会的发展历史向今天的人们始终传递着这样的信息:合作促进发展,对抗导致灾难。如何实现人类社会的广泛合作成为西方理论界孜孜不倦的追求,而治理理论、社会资本理论和制度变迁理论恰好符合这一取向,并成为重要的理论工具。制度变迁需要两大行动集团的合作才能实现,这种政府和社会力量的合作正是治理理论所倡导的精神和途径,而社会资本理论所强调的参与网络、信任和互惠规范等因素又恰恰为合作行为中所谓的集体行动困境提供了解困的良方。这种建立在合作基础上的逻辑关系为本文将三大理论整合起来作为理论工具奠定了根本基础,而作为逻辑起点的制度变迁则成为贯穿全文的基本分析视野。在制度变迁的分析视野下,本文对我国城市社区治理变革和社会资本的互动关系进行了从“面”到“点”的深入剖析。首先,是“面”上的研究。本文从整体上梳理了我国城市社区治理变革的历程,分别从前治理阶段、过渡阶段和治理变革阶段对我国城市社区治理变革的内容进行了回顾,并从中归纳出我国城市社区治理变革的三大特征,即体制变革为主、政府主导和地区模式化,同时也揭示了我国城市社区治理变革存在的问题。一方面,形式上过渡依赖政府主导的强制性制度变迁模式,这导致政府与社会力量合作推动制度变迁的效果大打折扣,容易造成城市社区治理变革成为政府的“独角戏”;另一方面,内容上过于注重体制变革,而导致作为正式制度重要支持的非正式规范因素相对落后,严重影响了体制变革的成效和治理变革的整体绩效。因此,本文从制度变迁的角度对我国城市社区治理变革的未来方向进行了探讨,并指出无论是形式上还是内容上,都需要社会资本为社区治理变革扫除“绊脚石”。而从“面”上来看,我国城市社区社会资本也经历了比较明显的两大历史变迁过程,一是从传统社会资本向单位社会资本的转变,二是从单位社会资本向公民社会资本的转变。但是,由于体制变革的不完全,第二次转变尚未彻底完成,目前形成了传统社会资本、单位社会资本和公民社会资本多元并存的局面。本文通过对我国部分城市社区的实证分析,归纳了目前我国城市社区社会资本的总体特征,即多元并存、分布不均和发育不良。我国城市社区社会资本的这种现状和特征阻碍了我国城市社区治理走向“善治”的步伐。其次,是“点”上的分析。本文通过对上海市Z社区的个案研究来深入探讨城市社区治理变革与社会资本的互动关系。在回顾了Z社区的治理变革过程和内容的基础上,Z社区的体制变革对社会资本转型的影响随着社区居民的历史回忆越来越清晰,单位体制的解体和单位功能的消弱促使Z社区单位社会资本开始向传统社会资本、单位社会资本和公民社会资本多元并存局面转变。单位社会资本的“强联系”制约了社会资本整体水平和存量提升,而公民社会资本的“弱联系”则扩展了社区内的广泛合作。但是,在治理变革的路径依赖作用下,单位体制依然具有自我强化的基础和条件,目前仍然在发挥其影响力,这势必造成单位社会资本难以在短时期内彻底转型,在某些领域和场合下,单位社会资本甚至会排挤公民社会资本。在单位体制自我强化的同时,传统社会资本和单位社会资本也为单位体制提供了报酬递增的可能,使得单位体制仍然具有自我强化的动力,于是,正式规则和非正式规范的的相互依存让城市社区治理变革的路径依赖效应更为明显和持久,单位体制和单位社会资本的影响难以在短期内彻底消除。如果要摆脱这种对单位制度的路径依赖,必须用公民社会资本和社区制的相互依存来增强社区制的自我强化机制,从而推进社区治理的变革。而推进我国城市社区治理变革必然要从正式制度上确立社区制的地位,让政府和民众都意识到这一制度的报酬递增效应,形成推动制度变迁的两大行动集团。而政府中的政治精英和社区自治组织中的社会精英则分别扮演了两大行动集团中的先驱角色。为了防止这些精英在推进城市社区治理变革过程中因为追逐自身利益而损害公共利益,必须通过培育充足的公民社会资本来确保民主和集体行动的绩效。于是,通过构建公民社会与城市社区自组织系统,发挥政府的外在促进作用,来培育由开放性网络承载的普遍信任和互惠规范等要素的公民社会资本便是理所当然的逻辑选择。更多还原

【Abstract】 In this paper, there is a very important view which is called "combine" impenetrating entirely. Combining the theories of governance, institution change and social capital, this paper wants to find out the rule of society development through researching urban community in China.Although the theories of governance, institution change and social capital explains society development in different ways, there is a logic relationship among the three theories, which could be summarized as cooperation. How to reach the extensive cooperation in society is a very important target for western academe. The theories of governance, institution change and social capital just accord with it as theory tools.In theory, institution change needs the cooperation between the first action groups and the second action groups, which is similar as the cooperation between government and society advocated by governance. And the social capital is the right way to disabuse the collective action dilemma in cooperation, which embodies as participation network, trust and reciprocal norm. The logic built on the base of cooperation set up a foundation for combineing the three theories as theory tools, with the logical jumping-off point of institution change. By the way of institution change, this paper analyses the relationship between urban community governance transformation in China and social capital from macro-level to micro-level.Firstly, on macro-level, this paper reviews the history of urban community governance transformation in China by dividing it to afore-governance age, transition age and governance transformation age. Then, the three characters of urban community governance transformation in China are summarized as emphasizing formal system transformation, government leading and area pattern, which point out the problems in it. In form, forced institution change would result in the performance of institution change impelled by cooperation between government and society. In content, emphasizing formal system transformation would result in drop behind of informal norm which is the important support to formal system. No matter form or content, social capital is all important for urban community governance transformation in China in future. In history, social capital in urban community in China took twice transformations obviously from tradition social capital to workunit (danwei) social capital and from workunit (danwei) social capital to civil social capital. Because of incompleteness of formal system transformation, the second transformation of social capital in urban community has not finished. At present, there are three forms of social capital which is coexisted, pockety and underdeveloped. These chacracters of social capital in urban community in China go against urban community governance in China reaching to good governance.Secondly, on micro-level, this paper analyses the relationship between urban community governance transformation and social capital in urban community in China with a case study of community Z in Shanghai. The enervation of workunit (danwei) system results in the transformation from workunit (danwei) social capital to a coexisted structure which including tradition social capital, workunit (danwei) social capital and civil social capital. The strong contact of workunit (danwei) social capital restricts the whole social capital increasing. Contrary, the weak contact of civil social capital enlarges the cooperation in urban community. However, under the effect of path dependence, workunit (danwei) system still can strengthen by itself, which will hold on workunit (danwei) social capital. Simultaneously, tradition social capital and workunit (danwei) social capital supply the power to workunit (danwei) system for strengthening by itself. Therefore, the dependace on formal rules and informal norms each other strengthens the effect of path dependence for urban community governance transformation. If we want to get rid of path dependence on workunit (danwei) system, we should strengthen community system by itself with the dependace on civil social capital and community system each other.Establishing the status of community system is the necessary for urban community governance transformation in China, which needs government and people realize the effect of increasing return brought by community system. And the political elites in government and civil elites in autonomous organization of community usually play role of the precursor for the first action groups and the second action groups. In order to avoid the public interests loss which maybe result from these elites’ pursueing the personal interests in the process of boosting urban community governance transformation, we need enough civil social capital to make sure the democracy and performance of collective action. Then, it’s a logical choice to cultivate civil social capital such as general trust and reciprocal norm that embed in a kind of opened network through founding civil society and system of autonomous organization of community and using the power of government to promote.更多还原