乡村视阈下社会资本的理论与经验研究
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摘要
转型发展是我国当前发展的主要特征,且在相当长的时间内该特征还将持续存在。在此大背景下,如何理解我国作为传统农业大国向现代工业国家、从计划经济向市场经济转型发展背后的动力与机理,具有十分重要的理论意义和现实意义。纵观历史,农村作为我国改革的重要出发点和主阵地,其所经历的发展历程正是我国整体经济政治社会转型发展的一个缩影。认识乡村、理解乡村和解读乡村,对深刻把握我国改革开放三十年来所取巨大成就背后的内在动力与本质特征具有十分重要的借鉴意义。本文以社会资本作为分析的基本视角,从社会资本的概念与理论出发,以乡村作为分析的切入点,通过对社会资本相关理论和经验的阐释,来解读乡村社会已经经历和正在经历的发展进程。同时,本文还通过对基层乡村政治经济社会发展现实的解读和剖析,补充、印证和丰富了社会资本的相关概念及其理论。
自上世纪80年代学界正式提出社会资本这一概念以来,有关社会资本理论的研究一直处于不断的摸索与推进过程中。虽然目前就社会资本的概念和理论以及应用研究还存在颇多的争议,但是其概念与研究范式已深入经济学的多个领域却已成为了一个不容忽视的事实。本文基于国内外众多的理论文献,结合我国特有的人文历史条件与具体的发展阶段,认为在转型发展背景下,社会资本充当和发挥着三重机制与效应,即产权保护与市场交易的替代机制、机会获得与信号发布的替代机制以及集体行动与内部治理的支撑机制,且这三重机制分别对应着三重效应,即制度效应、资源效应与组织效应。在理论探讨层面上,本文从降低交易成本、消除产权不确定性以及实现交易内部化等角度来透视社会资本的“制度效应”,从职业选择、创业资源获取以及要素流动等角度来透视社会资本的“资源效应”,而从公共物品提供、集体行动以及内部治理等角度分析了社会资本的“组织效应”。从某种意义上说,正是社会资本所具备与发挥的三重机制与效应支撑解释了我国在制度建设相对滞后的约束条件下实现经济社会快速发展的谜团。
本文认为就乡村层面而言,社会网络与非正式组织是社会资本的主要体现,并据于社会资本的三重机制和效应,对涉及乡村社会发展的诸个方面进行了阐述。本文首先对乡村产业成长和扩张的内在机理进行了理论解读和分析,为加深理解我国以农村工业化为起点的城镇化、工业化进程提供了有益的视角。其次,本文通过对乡村创业、要素流动以及由此带来的市场效应的分析研究,为完善我国目前的创业就业政策,创新创业就业的市场激励机制、完善就业创业的措施保障提供了有效的指导。最后,通过分析乡村选举与治理,为如何推进乡村以及整个社会的良性治理提供了极为有力的参考,尤其是村庄层面非正式组织或制度嵌入正式组织的治理模式为我国探索有效的社会治理提供了模式上的借鉴。此外,本文还调查提取了浙江中部某县200个左右村庄传统组织与社会结构的相关统计数据,并结合村庄层面的农经统计资料,实证分析了以人均收入水平为特征的村庄治理绩效以及村支书、村主任的社会身份为代表的村庄内部治理结构。同时,本文也实证考察了村域社会资本与村民创业之间的关系,从而为直观理解社会资本与发展之间的相互关系提供了有益的佐证。
本文同时也认识到社会资本并非就是包解发展之谜的所有钥匙,相对于它在经济社会发展中所发挥的实质功能而言,社会资本概念本身的引入而为我们理解未来经济社会发展提供理论上的视角,显得更具意义。事实上,随着市场经济的不断发展,市场虽日益成为我国资源配置的主导方式,但是传统的非市场化的历史、文化、道德、习俗等因素也还在不断影约束着人们的行为选择,甚至影响着包括制度变迁与经济绩效等经典经济学理论热衷于研究和探讨的话题。市场经济是制度的集合体,它对制度的需求不仅仅包括来自政府制定的的正式制度,还包括来自蕴含于社会有机体中的非正式制度。本文的一个主要结论就是,只有实现政府所提供的正式制度或组织与社会所提供的非正式制度或组织的有机融合,并共同形成制度的供给方,才能真正确保市场这一制度供给与制度需求的有效均衡,从而最终保证市场经济在制度有效供给基础上的实现平稳快速持续发展。
Transformation development is a main feature of development in China that will continue to exist in quite a long period. Under this background, how to understand the driving force and mechanism behind the development of China which experiences the transition from a traditional agricultural country to a modern one, and meanwhile from a planned economy to a market one, is of tremendous value both theoretically and empirically. The experience of rural society as a starting point of China's reform is a mirror of China's overall development. To understand and interpret the rural village is of importance for grasping inherent powers and essential characteristics of China's development from1980s. This paper analyses the process of rural development based on social capital theory, and further advances existing concept and theory of social capital with corroborations gained from developing practice of rural society.
The exploration and evolving practice of social capital theory has been followed by scholars since the concept of social capital was first proposed in the1980s. Although the study on social capital is a history of controversy, the fact that its concept and research methods have been involved in many areas of economic research cannot be ignored. In this paper, we define social networks and informal organization as main reflections of social capital thinking from the village level. Based on the theoretical literature achievements home and abroad under the given humanistic and historical conditions this paper shows that social capital dominates three mechanisms and effects under our specific stage of development, ie social transition, which first serves as an alternative mechanism of protection for property rights and market transactions, then a backup mechanism of chance access and signal release, and third a support mechanism of collective action and internal governance. Three mechanisms relate to three effects respectively, namely system effect, resource effect and organization effect. Theoretically, this paper fluoroscopies the " system effect" of social capital, from the perspective of reducing transaction costs, eliminating property uncertainty and realizing intratransaction, and the "resource effect" of it, from occupation choice, entrepreneurial resources acquisition and factor flow, and "organizational effect", from the perspective of public goods provision, collective action and cooperation. In a sense, it is exactly the three mechanisms and effects of social capital unravel the mystery of the realization of China's rapid economic and social development when constraint system is lagging behind.
Based on clarification of the three mechanisms and effects of the social capital, I theoretically interpreted and analyzed the rise and expansion of rural industry first in order to deepen the understanding of the process of industrialization and urbanization in China initiating from the rural industrialization. Secondly, through analysis of governance and village elections,I provided feasible propositions of good governance for rural area and the whole society, especially noticeable governance modes on village-level informal organization and institution embedded in formal organization governance. Finally, analysis and research on rural entrepreneurship, factor flow and market effect help improve China's current employment policy, provide effective guidance for market-incentive mechanism of innovation and employment and guarantee measures.
In addition, this paper also collected a dataset on traditional organization and social structure by investigating about200villages of central Zhejiang. Using the dataset and village-level agricultural data, this paper empirically analyzed village governance performance measured by per capita income and internal governance structure characterized by village directors' social identity, Relationship between social capital and entrepreneurship villagers is also investigated in contribution to establishing intuitive understanding of the relationship between social capital and development.
Admittedly, social capital is not the key to all mysteries of development when concerning its essential functions in development of economy and society. However, introduction of social capital provides us insights to understand the future economic and social development. Despite the fact that the market power has become dominant in resource allocation, traditional non-market power such as history, culture, morality, customs and other factors still influence and restrain behavior choice, and even affect the keen research topics covered by classical economic theories, which include institutional change and economic performance. Market economy is systematized, whose systematization demands come from not only the formal systems designed by government, but also the informal systems created outside of government. One of the main conclusions of this paper is that:only when the formal systems built by the government and the informal systems or institutions set up by community integrated and formed an united provider of system, can we ensure that balance of market-supply and market-demand system will be maintained properly, and then ensure the realization of the market economy's steady and rapid development, which is based on the effective supply of system.
自上世纪80年代学界正式提出社会资本这一概念以来,有关社会资本理论的研究一直处于不断的摸索与推进过程中。虽然目前就社会资本的概念和理论以及应用研究还存在颇多的争议,但是其概念与研究范式已深入经济学的多个领域却已成为了一个不容忽视的事实。本文基于国内外众多的理论文献,结合我国特有的人文历史条件与具体的发展阶段,认为在转型发展背景下,社会资本充当和发挥着三重机制与效应,即产权保护与市场交易的替代机制、机会获得与信号发布的替代机制以及集体行动与内部治理的支撑机制,且这三重机制分别对应着三重效应,即制度效应、资源效应与组织效应。在理论探讨层面上,本文从降低交易成本、消除产权不确定性以及实现交易内部化等角度来透视社会资本的“制度效应”,从职业选择、创业资源获取以及要素流动等角度来透视社会资本的“资源效应”,而从公共物品提供、集体行动以及内部治理等角度分析了社会资本的“组织效应”。从某种意义上说,正是社会资本所具备与发挥的三重机制与效应支撑解释了我国在制度建设相对滞后的约束条件下实现经济社会快速发展的谜团。
本文认为就乡村层面而言,社会网络与非正式组织是社会资本的主要体现,并据于社会资本的三重机制和效应,对涉及乡村社会发展的诸个方面进行了阐述。本文首先对乡村产业成长和扩张的内在机理进行了理论解读和分析,为加深理解我国以农村工业化为起点的城镇化、工业化进程提供了有益的视角。其次,本文通过对乡村创业、要素流动以及由此带来的市场效应的分析研究,为完善我国目前的创业就业政策,创新创业就业的市场激励机制、完善就业创业的措施保障提供了有效的指导。最后,通过分析乡村选举与治理,为如何推进乡村以及整个社会的良性治理提供了极为有力的参考,尤其是村庄层面非正式组织或制度嵌入正式组织的治理模式为我国探索有效的社会治理提供了模式上的借鉴。此外,本文还调查提取了浙江中部某县200个左右村庄传统组织与社会结构的相关统计数据,并结合村庄层面的农经统计资料,实证分析了以人均收入水平为特征的村庄治理绩效以及村支书、村主任的社会身份为代表的村庄内部治理结构。同时,本文也实证考察了村域社会资本与村民创业之间的关系,从而为直观理解社会资本与发展之间的相互关系提供了有益的佐证。
本文同时也认识到社会资本并非就是包解发展之谜的所有钥匙,相对于它在经济社会发展中所发挥的实质功能而言,社会资本概念本身的引入而为我们理解未来经济社会发展提供理论上的视角,显得更具意义。事实上,随着市场经济的不断发展,市场虽日益成为我国资源配置的主导方式,但是传统的非市场化的历史、文化、道德、习俗等因素也还在不断影约束着人们的行为选择,甚至影响着包括制度变迁与经济绩效等经典经济学理论热衷于研究和探讨的话题。市场经济是制度的集合体,它对制度的需求不仅仅包括来自政府制定的的正式制度,还包括来自蕴含于社会有机体中的非正式制度。本文的一个主要结论就是,只有实现政府所提供的正式制度或组织与社会所提供的非正式制度或组织的有机融合,并共同形成制度的供给方,才能真正确保市场这一制度供给与制度需求的有效均衡,从而最终保证市场经济在制度有效供给基础上的实现平稳快速持续发展。
Transformation development is a main feature of development in China that will continue to exist in quite a long period. Under this background, how to understand the driving force and mechanism behind the development of China which experiences the transition from a traditional agricultural country to a modern one, and meanwhile from a planned economy to a market one, is of tremendous value both theoretically and empirically. The experience of rural society as a starting point of China's reform is a mirror of China's overall development. To understand and interpret the rural village is of importance for grasping inherent powers and essential characteristics of China's development from1980s. This paper analyses the process of rural development based on social capital theory, and further advances existing concept and theory of social capital with corroborations gained from developing practice of rural society.
The exploration and evolving practice of social capital theory has been followed by scholars since the concept of social capital was first proposed in the1980s. Although the study on social capital is a history of controversy, the fact that its concept and research methods have been involved in many areas of economic research cannot be ignored. In this paper, we define social networks and informal organization as main reflections of social capital thinking from the village level. Based on the theoretical literature achievements home and abroad under the given humanistic and historical conditions this paper shows that social capital dominates three mechanisms and effects under our specific stage of development, ie social transition, which first serves as an alternative mechanism of protection for property rights and market transactions, then a backup mechanism of chance access and signal release, and third a support mechanism of collective action and internal governance. Three mechanisms relate to three effects respectively, namely system effect, resource effect and organization effect. Theoretically, this paper fluoroscopies the " system effect" of social capital, from the perspective of reducing transaction costs, eliminating property uncertainty and realizing intratransaction, and the "resource effect" of it, from occupation choice, entrepreneurial resources acquisition and factor flow, and "organizational effect", from the perspective of public goods provision, collective action and cooperation. In a sense, it is exactly the three mechanisms and effects of social capital unravel the mystery of the realization of China's rapid economic and social development when constraint system is lagging behind.
Based on clarification of the three mechanisms and effects of the social capital, I theoretically interpreted and analyzed the rise and expansion of rural industry first in order to deepen the understanding of the process of industrialization and urbanization in China initiating from the rural industrialization. Secondly, through analysis of governance and village elections,I provided feasible propositions of good governance for rural area and the whole society, especially noticeable governance modes on village-level informal organization and institution embedded in formal organization governance. Finally, analysis and research on rural entrepreneurship, factor flow and market effect help improve China's current employment policy, provide effective guidance for market-incentive mechanism of innovation and employment and guarantee measures.
In addition, this paper also collected a dataset on traditional organization and social structure by investigating about200villages of central Zhejiang. Using the dataset and village-level agricultural data, this paper empirically analyzed village governance performance measured by per capita income and internal governance structure characterized by village directors' social identity, Relationship between social capital and entrepreneurship villagers is also investigated in contribution to establishing intuitive understanding of the relationship between social capital and development.
Admittedly, social capital is not the key to all mysteries of development when concerning its essential functions in development of economy and society. However, introduction of social capital provides us insights to understand the future economic and social development. Despite the fact that the market power has become dominant in resource allocation, traditional non-market power such as history, culture, morality, customs and other factors still influence and restrain behavior choice, and even affect the keen research topics covered by classical economic theories, which include institutional change and economic performance. Market economy is systematized, whose systematization demands come from not only the formal systems designed by government, but also the informal systems created outside of government. One of the main conclusions of this paper is that:only when the formal systems built by the government and the informal systems or institutions set up by community integrated and formed an united provider of system, can we ensure that balance of market-supply and market-demand system will be maintained properly, and then ensure the realization of the market economy's steady and rapid development, which is based on the effective supply of system.
引文
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