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谈志林:《走向公民社会:地方社团发展的制度分析》一书出版
2010-4-6 16:02:17    作者:谈志林

 

《走向公民社会:地方社团发展的制度分析

——以北京市、温州市、哈尔滨市社团为例》 
 

谈志林著,中国社会出版社2010年出版 
 
 

     
 
 

    本书以北京市、温州市、哈尔滨市的社团为例,运用新制度经济学理论,从制度分析的视角,将地方社团作为一种制度安排,来分析中国地方社团的制度形态,论述地方社团的制度演进路径。

    二十世纪后期,政府失灵与市场失灵问题的凸现,促使人们在政府与市场之外高度关注社团的重要作用,积极寻求社会治理与发展的新路径,由此直接推动了公民结社浪潮的迅速兴起。与此遥相呼应,1979年以来,伴随着经济与政治改革的进程,中国也出现了社团的繁荣。在当代中国,由于国家层面的结社受到制度的刚性制约,使地方成为公民合法化结社的重心,地方社团也就成为中国当代社团的主体。同时,由于中外制度环境的差异巨大,也导致中国地方社团具有较为浓重的中国地域特色,显现出独有的特点与不同的发展路径。但由于制度环境的刚性约束,中国地方社团总体上仍然处于发展不良的状态,无法满足地方社会发展的需求。为了促进中国地方经济社会的科学发展,构建和谐社会,有必要分析中国地方社团的制度形态与制度演进,推进地方社团的协调与可持续发展。

    地方社团作为一种制度安排,也是制度环境的产物。中国特定的制度环境决定了地方社团的制度形态与今后的演进路径。参照诺思分析制度变迁的三种基本维度,可从政治制度、经济制度与意识形态三个方面切入分析地方社团的制度环境。中国的政治制度主要体现在宪法的基本规定之中,其中中国共产党的领导地位、社会主义制度的国家基本制度形态、单一集权的国家结构等主要原则是对地方社团发展的极具刚性的约束机制,规制着地方社团的现状与制度属性。而对公民的地位与结社自由等基本权利的规定,又是激励与保障地方社团发展的制度基础。宪法之外的政治制度安排体现在法律、法规、规章和具有法律意义文件之中,它外在地规定了地方公民结社的公共空间,直接促成地方社团的生成与消亡,对地方社团的发展具有重大影响。

    在计划经济制度下,外在于国家的地方公共空间根本不存在,公民结社领域缺乏基本的制度环境。因此,计划经济与公民结社存在着逻辑背反的关系。中国经济制度由计划到市场的变革进程最先从地方开始。迅速发展的市场经济培植了公民的独立思想,拓展了公民私域的活动空间,催生着三大部门的分化,为地方社团的发展奠定了基础,也成为地方社团发展的重要推动力。意识形态对地方社团的约束是柔性的。当前的意识形态决定了地方社团的性质,规范并引导地方社团的发展方向,并决定着地方社团的政治合法性与社会合理性。同时也推动着地方社团的发展。

    中国制度环境的特质决定了地方社团的生成机制、制度属性与制度功能具有自身的特点。地方社团的生成机制反映了中国特定制度环境中的制度需求与供给。当前,地方社团是国家很好的制度选择,国家具有对地方社团的内在制度需求。从地方社团的生成机制分析,国家及其地方代理机构对社团的制度供给是现阶段地方社团生成的主要方式。地方社团的生成类型大体分为内生型和外生型两种。地方社团以外生成为主,而以内生成为辅。内生型社团是出于组织成员的内在需求而发起成立,制度供给的主体是每一个构成社团组织的单元,也即有结社需求的市民个体。而外生型社团是根据社团的外在需求而发起成立,制度供给的主体一般是社团组织之外的国家等权力主体。外生型社团一般又称之为官方或半官方社团。国外学者将这类外生型社团称之为GONGO。

    中国特定的制度环境决定了地方社团具有鲜明的制度属性,一是极具刚性的三重约束机制,即登记管理制度约束、业务管理制度约束和党务管理制度约束。二是新社团主义的双重特性。新社团主义主张国家与公民个体通过社团的合作以达成“共善”,实质上是强调社团可以将国家意志与公民意志协调融合,中国地方社团也呈现出与此相类同的官民二重性。三是地方社团具有制度化的组织设计的特性,表现出类官僚制的特征。

    地方社团作为一项制度安排一样具有制度的基本功能:经济功能与政治功能。中国地方社团政治方面的制度功能主要表现为三个方面,即维护国家统治、促进社会稳定;实现市民的基本政治权利;弥补地方政府失灵、促进政府职能的转变。同时也为地方提供了一定的公共产品。地方社团在经济领域中具有独特的功能,主要表现为:一是弥补市场失灵,防范市场风险,促进地方经济的稳定与发展;二是维护市场个体的自我利益,促进市场自律,规范市场秩序;三是推动市场经济的制度演进等。

    在外在制度环境的作用下,地方社团也存在具有自身特色的制度激励机制与制度困境。地方社团的制度激励机制主要表现为内在制度激励与外在制度激励。当前,地方社团的外部管理体制给定了地方社团发展的外在激励机制,这种外在的制度激励主要是由代表国家行使地方统治和管理功能的市委市政府提供,主要表现为国家对地方社团的生成与发展的选择。从激励机制的本质属性分析,地方社团的外在激励机制主要包括合法性激励机制、合理性激励机制和权力分配的激励机制三种类型。地方社团的内在制度规定了社团的内在激励机制,这种内在激励机制主要包括利益导向的激励机制和社会资本导向的激励机制。在地方社团之中,社会资本具有非常重要的激励作用,成为社团组织内一种潜在的制度安排。

    地方社团的制度困境实质上是一种负向制度激励,主要表现为社团制度失败和社团制度稀缺,导致影响社团行为的制度处于运作不良或缺失状态,不能满足社团发展的基本需求。当前中国地方社团发展的制度困境主要包括政治制度困境、法律制度困境和志愿制度困境等外部制度困境,以及组织制度、治理制度等内部制度困境。外在制度与内在制度的双重规制,使地方社团陷入内外双重的制度困境。总体看来,中国地方社团内外的双重制度困境严格规制着社团的生存与发展,使地方社团缺乏独立性与自治能力,总体上呈现“软社团”的制度形态。中国地方社团的“软社团”状态反映了一种无效率或低效率的制度安排,是一种制度危机的外在表现形态,并具有很强的路径依赖性。

    要打破这种“软社团”的制度危机,就必须推进地方社团的制度演进。中国地方社团制度演进的总体方向是构建地方公民社会。当前,中国地方接近公民社会萌发生长的基本条件。地方社团也正在由国家主导型向民间主导型转变。民间主导型社团是公民社会的核心,我们从民间主导型社团的增长中可以看到中国公民社会正在地方萌发生长的态势。以此为出发点,构建中国地方公民社会要选择三步走的发展模式:发展自治性社团是构建中国地方公民社会的第一步。第二步是以数量众多的自治性社团存在为基本的社会基础,寻求通过独立的地方自治社团来推进地方社会的自我建设和自我协调第三步是在此基础上再寻求地方自治社团能够有效地影响国家及其地方代理者的政策方向,并制约公共权力。

    地方社团制度演进的路径可以从外在制度与内在制度两个维度加以分析。地方社团外在制度的演进包括与社团制度密切相关的政治制度演进、经济制度演进和法律制度演进,使地方三大部门达成制度均衡状态。其中政治制度的演进必须从确立宪政与公民结社权利的基本制度保障出发,推进党社制度和政社制度的演进。内在制度演进的重点在于组织制度和治理制度两个方面。组织制度的演进包括组织模式演进即创建学习型社团和领导制度演进即由单中心走向多中心两个方面。而治理制度的演进则包括法人治理制度的构建和文化治理制度的构建。法人治理制度的构建可以通过用企业精神重塑社团来予以推进。

   当前,中国社会正处于历史转型时期,社团的发展正面临新的发展机遇。社团管理的公共政策取向应顺应这一发展趋向。从制度分析的视角来看,研究地方社团对于制定社团管理的公共政策的启示主要在于:第一,政府的公共政策取向应推进由社团管理走向社团治理的理念变革。第二,从宪法所赋予的公民结社自由的权利出发,鼓励公民依法结社,适度放松对于社团成立的政治与行政监控。第三,建立社团的分类管理体制,实行宽严有别的社团管理制度。第四,推进社团管理的公共政策制定的科学化、民主化和法制化,依法行使社团管理的职能。

   当然,在中国特定的制度环境中,地方社团的制度演进也将是缓慢渐进的复杂过程,中国第三部门与公民社会的成长之路还很漫长。由此观之,中国的政府与地方社团的双向互动以推进社会的和谐协调发展依然任重而道远。 
 
 

Abstract 
 

    The dissertation uses the associations of Beijing city, Wenzhou city and Haerbing city as examples, employs the new institutional economics, promises that local associations are one of institutional arrangements, and deal with the institutional types and institutional evolution from the perspective of institutional analysis.

    Studying the historic change and culture tradition of local associations of china and western, we can find that the local associations have obvious differences.

    As one of institutional arrangements, local associations also are the results of institutional environment. The particular institutional environments of china determine the institutional types and future evolution approach of local associations. Using the three fundamental dimensions of North’s analysis of institutional change, we can analyze the institutional environment of local associations from political institutions, economical institutions and ideology.

    In the planned-economic institutions, the public space of outside of state district is impossible and the area of citizen association was lack of basic institution environment. Therefore planned-economy is contrary to the citizen association in logic. The economic institutions change, from planned-economy to market economy, first takes place in district and the economic institution environment of city association is preferred to the village association. The quickly developing market economy cultivates the individual thoughts of local citizen, enlarge the activity space of private area of citizen in district, prompt the division of three sectors in district , provide the bases for the development of local association development, and also enhance the local association development. The local association in china is directly related to the development of market economy.

    As an institutional arrangement, local association also has the basic functions of institution, namely economic function and political function. With the effect of external institutional environment, the local association exist the self particular institutional excitation mechanism and institutional predicament. In fact the institutional predicament of local association is one of negative institutional excitation, which expresses the association failure and association rare, results the lack and bad running of institution having effect on the association behavior, and can’t satisfy the basic demand of association development. The institution predicament of contemporary local association mainly concludes external institution predicaments, namely political institutional predicaments, law institutional predicaments and volunteer institutional predicaments, and internal institutional predicaments, namely organizational institution and governance institution. The dual regulations of external and internal institutions make the city association external and internal dual institutional predicaments. In summary, the external and internal dual institutional predicaments rigidly regulate the generation and development of local association, which make the local association lack of independence and self-governance and express the institutional type of “soft association”. The state of “soft association” of local association embodies X-efficiency and low-efficiency the institutional arrangements, also signals the institution crisis and has high path-independence.

    In order to break away the institution crisis of “soft association”, it is necessary to promote the institution evolution of local association. The development process of local association also expresses a process of institutional evolution. We can analysis the dynamic mechanism of institution evolution from external and internal perspective. In the aspect of external dynamic mechanism, there exit the impulse of globalization association revolution and G-localization from the perspective of globalization. From the perspective of country, there exists the impulse of political institutional reform, economic institutional reform and social development. In the aspect of the internal dynamics mechanism, it includes the member interest appeal and organization competition of association, which promote the institutional evolution of local association.

    The trend of institutional evolution of local association is civil society. We can analysis the approaches of institutional evolution of china local association from two perspectives of the external and internal institution. The external institutional evolution includes political institutions evolution, economic institutional evolution and law institutional evolution, which are intimately related to the local association and make the third sectors the state of balance. In the political institutional evolution, we should establish the constitutional institution and civil association rights and promote the institutional evolution of Party-association institutions and government-association institutions. In the internal institution, we should emphasize the organization institutions and governance institutions. The evolution of organization concludes the organization model evolution, namely establishing learning association, and leadership institution evolution, namely from the single center to polycentric structure. Yet the governance institution evolution concludes the construction of lawman governance institution and culture governance institution. We can use the entrepreneur spirits to shape Corporate Governance institution.

    Now china has been in the transition and development of local association faces new development chance. The policy orientation of association management should abide by this development trend. From the whole dissertation, we can draw such conclusions for the policy-making of association management as follows. First, the policy orientation of association should promote from the management of association to the governance of association. Second, from perspective of rights of citizen association which is given by constitution, we should encourage the citizen association by law and deregulate the political and administrative control of establishing association. Third, we should establish the typology management of association and carry out different association management institution. As for nationwide association, we should manage them by law. As for the province and area association, we should manage them by the local policy. As for the municipal and rural area grass-root association, we should cancel dual management system and carry out the record institutions. Fourth, we should promote the policy making toward science, democracy and legality and carry out the function of association by law.

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