中國地方治理專題研究中國地方治理專題研究 潘兆民　東海大學　通識教育中心暨大陸研究學程副教授潘兆民　東海大學　通識教育中心暨大陸研究學程副教授

第一章　中共研究的方法論（研究途徑）第一章　中共研究的方法論（研究途徑）一．極權主義的研究途一．極權主義的研究途

徑徑（（ totalitarianistotalitarianismm ）　集權主義的）　集權主義的研究特徵研究特徵

二．行為主義的研究途二．行為主義的研究途徑（行為科學時徑（行為科學時期）期）

派系理論（派系理論（ factionalismfactionalism ）的模型：）的模型： 權力問題在中國政治中遠比社會、經濟、政策來權力問題在中國政治中遠比社會、經濟、政策來

得重要，經濟、社會、政策只是用來提出問題的得重要，經濟、社會、政策只是用來提出問題的工具。工具。

例如：地方主義所關切著正是權力，假借經濟發例如：地方主義所關切著正是權力，假借經濟發展之名，行權力之實，實際上是搞地方山頭。展之名，行權力之實，實際上是搞地方山頭。

中共領導者間的權力鬥爭，實際上是為了權位、中共領導者間的權力鬥爭，實際上是為了權位、影響力和安定。影響力和安定。

政治鬥爭不僅僅是為了領導者自己，也是為了周政治鬥爭不僅僅是為了領導者自己，也是為了周遭的追隨者。遭的追隨者。

操作經濟路線的爭執，都是領導者用來鬥爭的工操作經濟路線的爭執，都是領導者用來鬥爭的工具。 具。

三三 . . 新制度主義時期（新制度主義時期（ neo-institutionalismneo-institutionalism ）→）→第三代學者第三代學者

新制度主義新制度主義

Douglass NorthDouglass North (1990) (1990) Institutions define as Institutions define as (1) (1) ““the rules of the game in a the rules of the game in a

society, society, ……the humanly devised constraints that shape the humanly devised constraints that shape human interaction.human interaction.””

Institution vs. organizationInstitution vs. organization, , ““institutions are the institutions are the rules, but organizations are the players. The purpose rules, but organizations are the players. The purpose of the rule is to define the way the game is played. of the rule is to define the way the game is played. But the objective of the team within that set of rules is But the objective of the team within that set of rules is to win the gameto win the game…”…”

制度的功能制度的功能

資訊散佈 資訊散佈 ((Information EmissionInformation Emission)) 協調行動 協調行動 ((Coordinating ActionsCoordinating Actions)) 保護期望穩定 保護期望穩定 ((Protection of Protection of

ExpectationsExpectations)) 促成合作 促成合作 ((Enforcing CooperationEnforcing Cooperation)) 設定「得失」 設定「得失」 ((Rent SettingRent Setting)) 降低交易成本 降低交易成本 ((Transaction CostsTransaction Costs))

　理性選擇制度論　理性選擇制度論 基本假定基本假定

人對不同的結果，具有偏好人對不同的結果，具有偏好((preferencepreference)) 。。

人是理性的，能夠選擇對自己最有利的人是理性的，能夠選擇對自己最有利的行動為之。行動為之。

資源是有限的，資源配置是社會最重要資源是有限的，資源配置是社會最重要的工作。的工作。

人具有作出「正確」判斷的智能。人具有作出「正確」判斷的智能。

新制度主義強調新制度主義強調 中國大陸的制度一旦中國大陸的制度一旦

形成之後，可能會有形成之後，可能會有一段穩定時期，但是一段穩定時期，但是它總是會隨著社會的它總是會隨著社會的變遷而有所變遷。學變遷而有所變遷。學者： 者： Victor Nee Victor Nee

Jean C. OiJean C. Oi 、、 Nan LinNan Lin Andrew Nathan, Andrew Nathan,

China's China's TransitionTransition (New York: (New York: Columbia Columbia University University Press, 1997)Press, 1997)

John Michael MontiasJohn Michael Montias （孟帝亞斯）提出制度比較模式，來（孟帝亞斯）提出制度比較模式，來解釋地方分權、中央集權以及市場經濟等制度，而分類四種解釋地方分權、中央集權以及市場經濟等制度，而分類四種

社會主義的經濟體系。社會主義的經濟體系。

制度比較模式的三種分類標準：制度比較模式的三種分類標準： 1.1. 促進政權目標的動員程度。促進政權目標的動員程度。 2.2. 中央依賴垂直指令→依賴程度高：中央依賴垂直指令→依賴程度高： 中央集權；依賴程度低：地方分權。中央集權；依賴程度低：地方分權。 3.3. 市場的相對程度重要性高低→市場的相對程度重要性高低→ 市場愈重要：地方分權；市場愈不重要：市場愈重要：地方分權；市場愈不重要：

中央集權。中央集權。

highhigh

MobilizationMobilization

LowLow

High High

highhigh importance of market reliance on importance of market reliance on

hierarchicallyhierarchically transmitted commandstransmitted commands

low lowlow low

依據三種標準，分析出四種經濟發展型態：依據三種標準，分析出四種經濟發展型態： 動員型動員型

（（ mobilizationmobilization ）） 中央集權型中央集權型

（（ centralizationcentralization ）） 地方分權型地方分權型

（（ decentralization decentralization ））

市場社會主義型市場社會主義型（（ market market socialismsocialism ））

透過市場供需來決定透過市場供需來決定價格和產量。價格和產量。

研究農村改革的兩個特別的理論研究農村改革的兩個特別的理論Nan Lin pp. 301-302Nan Lin pp. 301-302

1.1. 市場轉換理論（市場轉換理論（ market transition market transition theorytheory ））

Victor NeeVictor Nee

2.2. 地方政府統合主義地方政府統合主義 (local state (local state corporatism)corporatism)

Jean C. OiJean C. Oi

第一章 地方主義的興起第一章 地方主義的興起一、中國的意識形態與地方主義一、中國的意識形態與地方主義

（（ Franz SchurmannFranz Schurmann ））

pure partpure part （核心部分）（核心部分） why this goal is the why this goal is the 　　　　　　　　　　　　　　　　　　　　 bestbest ？？ 目標：共產主義是最好的。目標：共產主義是最好的。 　　　　　　　　　　　　 Practical partPractical part （實踐部分）（實踐部分） 　　　　　　　　 How to complete this goalHow to complete this goal ？？

核心部分核心部分

實踐部分實踐部分

二、中共解決計畫經濟所產生的問題：二、中共解決計畫經濟所產生的問題：

Hard budget constraintsHard budget constraints 「硬預算制度」，即中央不再補貼，地方「硬預算制度」，即中央不再補貼，地方

要自負盈虧，地方政府要自行創收，為了要自負盈虧，地方政府要自行創收，為了要使地方政府市場化以及自負盈虧，所以要使地方政府市場化以及自負盈虧，所以下放地方權，而走向地方分權。下放地方權，而走向地方分權。

改革後農村幹部獲得更大的自主空間，此改革後農村幹部獲得更大的自主空間，此時幹部與農民之間的「保護－－被保護」時幹部與農民之間的「保護－－被保護」關係變得十分緊密。 關係變得十分緊密。

三、保護主義三、保護主義 (clientelism)(clientelism)

保護主義的後果保護主義的後果 　　

社團主義社團主義（（ CorporatismCorporatism 或或corporativismcorporativism ））是一種是一種政治体制，立，立法的權力交給了由產法的權力交給了由產業、農業、和職業團業、農業、和職業團體所派遣的代表。體所派遣的代表。

Historically, Historically, corporatismcorporatism or or corporativismcorporativism refers to a refers to a political or or economic system in which power in which power is given to civic assemblies that is given to civic assemblies that represent represent economic, , industrial, , agrarian, social, cultural, and , social, cultural, and professional groups. These civic professional groups. These civic assemblies are known as assemblies are known as corporationscorporations (not necessarily the (not necessarily the business model known as a business model known as a 'corporation', though such 'corporation', though such businesses are not excluded from businesses are not excluded from the definition either). Corporations the definition either). Corporations are unelected bodies with an are unelected bodies with an internal hierarchy; their purpose is internal hierarchy; their purpose is to exert control over the social and to exert control over the social and economic life of their respective economic life of their respective areas. Thus, for example, a steel areas. Thus, for example, a steel corporation would be a cartel corporation would be a cartel composed of all the business composed of all the business leaders in the steel industry, coming leaders in the steel industry, coming together to discuss a common policy together to discuss a common policy on prices and wages. When the on prices and wages. When the political and economic power of a political and economic power of a country rests in the hands of such country rests in the hands of such groups, then a corporatist system is groups, then a corporatist system is in place.in place.

Political scientists may also use the term Political scientists may also use the term corporatism to describe a practice whereby a corporatism to describe a practice whereby a state, through the process of licensing and state, through the process of licensing and regulating officially-incorporated social, religious, regulating officially-incorporated social, religious, economic, or popular organizations, effectively economic, or popular organizations, effectively co-opts their leadership or circumscribes their co-opts their leadership or circumscribes their ability to challenge state authority by establishing ability to challenge state authority by establishing the state as the source of their legitimacy, as well the state as the source of their legitimacy, as well as sometimes running them, either directly or as sometimes running them, either directly or indirectly through corporations. This usage is indirectly through corporations. This usage is particularly common in the area of East Asian particularly common in the area of East Asian studies, and is sometimes also referred to as studies, and is sometimes also referred to as state corporatismstate corporatism. Some analysts have applied . Some analysts have applied the term the term neocorporatismneocorporatism to certain practices in to certain practices in Western European countries, such the Proporz Western European countries, such the Proporz system in Austria. At a popular level in recent system in Austria. At a popular level in recent years "corporatism" has been used to mean the years "corporatism" has been used to mean the promotion of the interests of private corporations promotion of the interests of private corporations in government over the interests of the public.in government over the interests of the public.

地方主義：集體主義過渡到地方主義地方主義：集體主義過渡到地方主義

　　　　代理型政權經營者和謀利型政權經營者　　　　代理型政權經營者和謀利型政權經營者

「謀利型政權經營者」「謀利型政權經營者」

造成地方主義的原因造成地方主義的原因

1.1. 制度因素制度因素

2.2. 政策因素政策因素 政策傾斜政策傾斜 投資傾斜投資傾斜

地方主義的結果地方主義的結果地方主義就是挑戰中央的權威，中央指令無法貫徹到地方。地方主義就是挑戰中央的權威，中央指令無法貫徹到地方。

一、國家整體主義弱化一、國家整體主義弱化

二、中央和地方行為契約化二、中央和地方行為契約化

三、條條塊塊的經濟三、條條塊塊的經濟 :: 互不流通的小市場互不流通的小市場1.1. 諸侯經濟諸侯經濟2.2. 資源大戰資源大戰3.3. 地方自主性不斷增加地方自主性不斷增加