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中国国家基本制度建设:理论与实践王绍光

王绍光

Email: wangshaoguang@cuhk.edu.hk

 

世界各国的历史经验表明,没有必要的国家基本制度建设,没有有效的国家机器,任何现代社会都难以持续、稳定地发展经济,也不可能保障人民的"自由" 、发展"公民社会" ,实现"民主"。反之,如果国家基本制度建设没有民众的广泛参与,得以加强的国家可能变成什么人都控制不了的怪兽。

 

任何现代国家都应该具备八项基本职能,它们履行这些职能的程度反映国家能力的强弱。如果一个政府具备履行所有职能的能力,我们便称它为一个有效的政府;如果一个政府仅能履行其中的某些职能,我们称它为一个无能的政府;而如果一个政府无法履行其中的大部分职能,我们则可以称它为一个失败的政府。这八项基本国家职能与相应的能力是:

 

1.      维护国家安全与公共秩序的能力:强制能力

2.      动员与调度社会资源的能力:汲取能力

3.      培育与巩固国家认同和社会核心价值的能力:濡化能力

4.      维护经济与社会生活秩序的能力:规管能力

5.      确保国家机构内部的控制、监督与协调的能力:统领能力

6.      维护社会分配正义的能力:再分配能力

7.      将民众参与需求纳入制度化管道的能力:吸纳能力

8.      协调不同利益、形成公共政策的能力:整合能力

 

从中国与各国的历史经验出发,本课程围绕国家基本制度的八个方面进行理论探讨

 

 

1.      国家基本制度建设,治理与民主

  • Karen Barkey and Sunita Parikh, "Comparative Perspectives on the State"
  • Thomas Carothers, "The End of the Transition Paradigm"
  • Richard Rose and Doh Chull Shin, "Democratization Backwards: The Problem of Third-Wave Democracies"
  • Francis Fukuyama, "The Imperative of State-Building"
  • Wang Shaoguang, "State Effectiveness and Democracy"

 

2.      中国早期国家基本制度建设

  • Philip A. Kuhn, "Ideas behind China's Modern State"
  • H. Lyman Miller, "The late Imperial Chinese State," in David Shambaugh, ed. The Modern Chinese State (Cambridge University Press, 2000), pp. 15-41.
  • Ramon H. Myers, "The Chinese State during the Republican Era," in David Shambaugh, ed. The Modern Chinese State, pp. 42-72.
  • Lawrence R. Sullivan, "Intellectual and Political Controversies over Authority in China, 1898-1922"
  • Julia C. Strauss, "The Evolution of Republican Government"

 

3.      毛泽东时代的国家基本制度建设与治理

  • Robert E. Bedeski, "The Evolution of the Modern State in China"
  • Frederick C. Teiwes, "The Chinese State during the Maoist Era"
  • Vivienne Shue, "Power of State, Paradoxes of Domination China, 1949-1979" in Kenneth Lieberthal, ed. Perspective on Modern China: Four Anniversaries (M.E. Sharpe, 1991), pp. 205-225.
  • Frederick C. Teiwes, "The Chinese State during the Maoist Era," in David Shambaugh, ed. The Modern Chinese State, pp. 105-160.
  • Wang Shaoguang, "Construction of State Extractive Capacity: Wuhan, 1949-1953"

 

4.      社会经济转型与国家基本制度建设

  • Anna Grzymala-Busse and Pauline Jones Luong, "The Ignored Transition: Post-Communist State Development"
  • Yang Dali, "Economic Transformation and State Rebuilding in China"
  • Yang Dali, "State Capacity on the Rebound"
  • Zhu Tianbiao, "Building Institutional Capacity for China's Economic Openning"
  • Pei Minxin, "China Governance Crisis"
  • Wang Shaoguang, "The Problem of State Weakness"

 

5.      强制能力

  • Charles Tilly, "Violence, Terror, and Politics as Usual"
  • Ann Davies, "The Laying on of Hands: Punishment in the Liberal State"
  • Stephanie L Kent; David Jacobs, "Social Divisions and Coercive Control in Advanced Societies: Law Enforcement Strength in Eleven Nations from 1975-1994"
  • Antje Ellermann, "The Scope and Instruments of Liberal State Power: The Implementation of Deportation Policy in Germany"
  • Michael Dutton, "The end of the (mass) line? Chinese policing in the era of the contract"
  • Xiaogang Deng & Ann Cordilia, "To get rich is glorious: Rising expectations, declining control, and escalating crime in contemporary China"
  • Rand Corporation, "PLA as Organization"

 

6.      濡化能力

  • Joseph S. Nye, Jr., "Soft Power"
  • Ronald Inglehart and Wayne E. Baker, "Modernization, Cultural Change, and the Persistence of Traditional Values"
  • Li Xiguang, "ICT and the Demise of Propaganda in China"
  • Wing On Lee and Chi Hang Ho, "Ideopolitical shifts and changes in moral education policy in China"
  • Ip Po-Keung, Cheuk Wai-Hing, Kwong Tze-Man, "Family Value Changes in China's Pearl River Delta Region"
  • Yuan, Bao-Jane, Shen, Jianping, "Moral Values Held by Early Adolescents in Taiwan and Mainland China

 

7.      汲取能力

  • Stephen Holmes, "What Russia Teaches Us Now: How Weak States Threaten Freedom"
  • Richard Snyder, "Does Lootable Wealth Breed Disorder? A Political Economy of Extraction Framework"
  • Shaoguang Wang, "The Risks of Over-Decentralization"
  • Kai-yuen Tsui and Youqiang Wang, "Between Separate Stoves and a Single Menu: Fiscal Decentralization in China"
  • Nicolas Berland and Trevor Boyns, "The Development of Budgetary Control in France and Britain from the 1920s to the1960s: A Comparison"
  • Michael L. Ross, "Does Taxation Lead to Representation?"

 

8.      规管能力

  • Jacint Jordana and David Levi-Faur, "The Politics of Regulation in the Age of Governance"
  • Margaret M. Pearson, "Mapping the Rise of China's Regulatory State:  Economic Regulation and Network and Insurance Industries"
  • Michael Wallace, "Dying for Coal: The Struggle for Health and Safety Conditions in American Coal Mining, 1930-82"
  • Wang Shaoguang, "Regulating Death at Coalmines"

 

9.      统领能力I:国家公职人员

  • Daniel Treisman, "Decentralization and the Quality of Government"
  • Hon S. Chan, "Cadre Personnel Management in China: The Nomenklatura System, 1990-1998"
  • Zengke He, "Corruption and Anti-Corruption in Reform China"
  • Andrew Wedeman, "The Intensification of Corruption in China"
  • Maria Edin, "State Capacity and Local Agent Control in China: CCP Cadre Management from a Township Perspective"

 

10.  统领能力II:各级国家机构

  • Guy Peters, "Back to the Center? Rebuilding the State"
  • Shaoguang Wang, "Defective Institution and Its Consequences: The Institutional Roots of Central-Local Rivalry in China, 1980-1993"
  • Tony Saich, "Governance beyond the Center"
  • Huang Yanzhong, "The State of China's State Apparatus"
  • Yumin Sheng, "Central-Provincial Relations at the CCP Central Committees: Institutions, Measurement and Empirical Trends, 1978-2002"
  • Yumin Sheng, "Economic Openness and Central Political Control: Cross Section Time Series Evidence from China, 1977-2002"

 

11.  吸纳能力与整合能力

  • M Kent Jennings, "Political participation in the Chinese countryside"
  • Melanie Manion, "The Electoral Connection in the Chinese Countryside"
  • Yang Zhong, "Political Culture and Participation in the Chinese Countryside: Some Empirical Evidence"
  • Yanlai Wang, Nicholas Rees and Bernadette Andreosso-O'Callaghan, "Economic Change and Political Development in China: findings from a public opinion survey"
  • Zheng Yongnian, "State Rebuilding, Popular Protest and Collective Action in China"
  • Ming Xia, "Political Contestation and the Emergence of the Provincial People's Congresses as Power Players in Chinese Politics: A Network Explanation"
  • Bruce J Dickson, "Cooptation and Corporatism in China: The Logic of Party Adaptation"
  • He Baogang, "Participatory and Deliberative Institutions in China"

 

12.  再分配能力

  • Torben Iversen and Thomas R. Cusack, "The Causes of Welfare State Expansion: Deindustrialization or Globalization?"
  • Pablo Beramendi and David Rueda, "Allocating the Costs of Redistribution: The Politics of Taxation in the OECD"
  • UNDP, "China Human Development Report, 2005"
  • Christine Wong, "Can China's Retreat from Equality Be Reversed?   Assessing Fiscal Policies toward Redistribution from Deng Xiaoping to Wen Jiabao"
  • Shaoguang Wang, "Openness and Inequality: Can China Compensate the Losers of Its WTO Deal?"

 

13.  小结

  • Stuart E. Eizenstat, John Edward Porter, and Jeremy M. Weinstein, "Rebuilding Weak States"
  • Ian Shapiro, "The State of Democratic Theory"
  • Sheri Berman, "The Roots and Rationale of Social Democracy"