效能与参与：中国基层民主政治的检视
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摘要
民主政治是现代国家政治发展的必然选择,中国也不例外。在中国特色社会主义民主建设的过程中,中国基层民主政治扮演着十分重要的角色,起到了非常重要的作用。回顾改革开放后中国基层民主发展的30年,围绕“村民自治”和“居民自治”,基层出现许多值得总结的经验和模式,同时也存在不少问题。在学界,关于中国基层民主政治的讨论与研究如火如荼,角度也各有不同。本论文试图从亲身经历于中国民主实践的村民和市民入手,通过对他们的政治效能感和政治参与较为客观与科学的描述和分析,以期反映中国基层民主政治的情况,从而为民主政治的现实发展和理论完善提供些许有益的帮助和建设性的思考。具体而言,本论文的研究意义主要体现在三个方面：第一,通过对中国城乡居民政治效能感与政治参与及其关系的客观描述与分析,进一步检视中国基层民主政治的制度绩效。第二,通过城乡居民政治效能感与政治参与的比较研究揭示影响中国基层民主发展的因素与缘由。第三,通过观照中国基层民主中涉及到的诸多问题,进一步验证西方现代化和民主理论中的诸多观点,考证其适用性。
本论文从实证主义出发,运用量化研究、质性研究以及比较研究的方法,在已有政治效能感与政治参与理论的指导下,结合中国基层实际设计了城乡居民政治效能感和政治参与的访问问卷,通过多阶段分层抽样的方法,在山西省的晋北、晋中和晋南的7个村庄,4个社区抽取803位村民和427位居民作为访谈对象,并获得了较为真实的调查数据。通过SPSS15.0软件分析,证实了两份问卷的信、效度和可用性及其抽取样本的代表性,为下一步资料分析奠定了科学基础。
通过研究发现：第一,中国农村居民的村庄政治效能感水平偏低,政府政治效能感趋于中等水平；村庄外在政治效能感高于村庄内在政治效能感。第二,中国农村居民的政治参与表现为参与村庄选举的比例较高,参与的内容也较为集中,但参与管道、范围有限；同时参与的深度极浅,各种层次的政治参与水平均不高的状态,但是在选举的主动与被动性上仍表现出多数的主动。呈现出广度单一、范围有限,水平偏低的特点。第三,中国城市居民的社区政治效能感和政府政治效能感趋中,表现出良好的态势。但城市居民的社区外在政治效能感仍高于社区内在政治效能感,表现出臣民文化的特点。第四,中国城市居民的政治参与呈现出弥漫性趋势,不再单一集中在社区居委会的选举参与上,参与范围增加；但是政治参与的主动性有限,政治参与的水平和深度均较低。第五,影响城乡居民政治效能感的社会人口学因素中,受教育水平、经济收入、政治面貌、性别是影响农村居民政治效能感的主要因素；而对于城市居民而言,社会人口学因素均没有产生显著差异。影响农村居民的政治效能感的因素较为明显的是物质诱因和地区差异,城市居民更多地体现在地区差异上。第六,在影响城乡居民政治参与的因素中,政治面貌、性别与受教育程度是影响村民政治参与的主要因素,非人口学变量中地域差异是主要因素,物质诱因和干群关系在不同类型的政治参与上有差异;对于城市居民而言,其政治参与更多地受到政治面貌的影响,其他社会人口学变量均未造成显著影响。第七,中国城乡居民的政治效能感与政治参与的关系表现出村庄(社区)内在政治效能感与政治参与有紧密关系,村庄(社区)外在政治效能感对于政治参与影响不显著,仅在推动性政治参与上表现出一定的关联性。
本论文的研究结论是：中国基层民主政治已取得一定的成就,表现在乡村民主中,村民政治效能感正在从一个较低水平向较高水平推进,村民不仅具有了一定政治知识的主观感知,而且也具有了一定影响村委会和村干部的主观能力感,这种中低水平的主观能力感必将成为今后较高水平政治效能感的基础。村民参与村委会选举比例较高,参与选举的主动性增强；表现在社区民主中,城市居民的政治效能感已趋向适中,民主所需的基本态度已经形成,政治参与的广度在逐步扩大,参与范围也在增加。但是,30年的基层民主政治还存在诸多不足,从城乡居民政治效能感和政治参与角度而言,具体表现为以下几方面：第一,村民民主态度并没有充分形成,政治参与深度不够,乡村民主政治的效力不足。第二,尽管城市居民已具备相应的民主态度,但政治参与明显不足,社区民主仍需让权于民。第三,城乡居民政治效能感与政治参与之间的关系要求基层民主政治亟待深化。第四,西方诸多现代化理论和民主理论在中国现实政治中并不一定具有理论的普适性,需要具体问题具体分析。
Democracy is the inevitable choice of political development in modern countries, and China is no exception. In the process of the construction of socialist democracy with Chinese characteristics, grassroots democracy plays a very important role. Reviewing the30years'development of grass-roots democracy after the reform and opening up in China, there appear a lot of valuable experience and modes around "villager autonomy" and "rural resident autonomy" at grass-roots,as well as many problems. In the academic discussion and research on China's grass-roots democracy are in full swing, the angles of which are different. Starting from the personal experience of urban and rural residents in Chinese grass-roots democracy practice, the objective and scientific description and analysis on the urban and rural residents'political efficacy and political participation are made in this paper to reflect the Chinese grass-roots democracy situation, in order to provide some useful help and constructive thoughts for the actual development and theory perfection of democracy. Specifically, the paper's significance is mainly reflected in three aspects:Firstly, it tries to examine the performance of the Chinese grass-roots democracy system by objective description and analysis of Chinese urban and rural residents'political efficacy and political participation and the relationship; secondly, it attempted to reveal influencing factors and reasons for the development of grass-roots democracy in China through comparative study of Chinese urban and rural residents'politics efficacy and political particapation; finally, it tries to validate many of the points on Western modernization and democray theory and the applicability through observing many problems relates to Chines grass-roots democracy.
In this paper, starting from positivism, using the method of quantitative research qualitative research and comparative research, under the guidance of current theory on political efficacy and political participation, a questionnaire on urban and rural residents'political efficacy and political participation is designed under the Chinese grass-roots reality, which, adopting multi-stage stratified sampling, acquired real survey data by interviewing803villagers and427residents in7villages and4communities of SHANXI province. Through the SPSS15.0software analysis, the reliability, validity and availability of the two questionnaires and the representative of samples are confirmed to lay the scientific foundation for the next data analysis.
The study found the following facts:First of all, the level of Chinese rural residents' political efficacy is low, and the government political efficacy tends to moderate; the villages'external political efficacy is higher than the villages'internal political efficacy. Secondly, proportion of rural residents'participation in village elections is higher and participation content is also intent. Conversely, participation channels and scope are limited. At the same time, participation depth is not enough,and political participation standard at various level is not high. But between the initiative and passiveness towards the selection, the initiative takes the dominant place. The features include single breadth, limited scope and low level. Thirdly, the communities'political efficacy and the government'political efficacy of the urban residents tend to moderate in China, which shows a good trend. However, community external political efficacy of urban residents is higher than community internal political efficacy which reflects characteristics of subject culture. Fourth, political participation of urban residents shows a diffuse trend, no longer solely focusing on the participation of community's neighborhood committee selection, and the scope of participation is increasing, but political participation initiative is limited and political participation level and depth are low. Fifth, the main factors of socio-demographic factors which affect Chinese urban and rural residents'political efficacy are level of education, income, political status, sex. For urban residents, the socio-demographic factors do not produce a significant difference. Material incentives and regional difference are the more obvious factors affecting rural residents'political efficacy, while regional difference is reflected for urban residents. Sixth, among the factors affecting urban and rural residents'political participation, the main factors affecting rural residents'political participation are political status, sex, level of education. Regional difference of non-demographic variables is the chief factor. And the material incentives and the relationship between cadres and the mass are diverse in different types of political participation; for urban residents, political status affects political participation,and other socio-demographic variables do not make significant impact. Seventh, the relationship between political efficacy and political participation of Chinese urban and rural residents shows a close relationship between village (community) internal political efficacy and political participation,and village (community) external political efficacy is relevant to the promoting political participation, conversely, the impact is not obvious to political participation.
The conclusions of the paper are:Chinese grass-roots democracy has made some achievements. Rural residents' political efficacy is being promoted from a low level to a high level in the rural democracy. The rural residents not only had a certain subjective perception of political knowledge, but also had a certain impact of subjective feeling of competence on the village committee and village cadres. The low impact of subjective feeling of competence will become the basis for the next higher level of political efficacy. Proportion of rural residents'participation in village elections is higher and participation initiative is enhanced. The political efficacy of urban residents tends to moderate in community democracy. The democracy required basic attitude has been formed, the breadth of participation is gradually expanding, and the scope of participation is also increasing. However, there are many shortcomings for30years of grass-roots democracy. On the political efficacy and political participation of urban and rural residents, the specific performance includes the following aspects:Firstly, the rural residents' democratic attitude does not fully formed, the depth of political participation is not enough, and the rural democracy is ineffective. Secondly, the urban residents already have the appropriate attitude towards democracy, however, political participation is not seriously enough, Community democracy shall revert to the people. Thirdly, the relationship between political efficacy and political participation of Chinese urban and rural residents requires deepening grass-roots democracy. Fourthly, many western modern theory and democratic theory are infeasible for the political reality in China, and specific problems require specific analysis.
本论文从实证主义出发,运用量化研究、质性研究以及比较研究的方法,在已有政治效能感与政治参与理论的指导下,结合中国基层实际设计了城乡居民政治效能感和政治参与的访问问卷,通过多阶段分层抽样的方法,在山西省的晋北、晋中和晋南的7个村庄,4个社区抽取803位村民和427位居民作为访谈对象,并获得了较为真实的调查数据。通过SPSS15.0软件分析,证实了两份问卷的信、效度和可用性及其抽取样本的代表性,为下一步资料分析奠定了科学基础。
通过研究发现：第一,中国农村居民的村庄政治效能感水平偏低,政府政治效能感趋于中等水平；村庄外在政治效能感高于村庄内在政治效能感。第二,中国农村居民的政治参与表现为参与村庄选举的比例较高,参与的内容也较为集中,但参与管道、范围有限；同时参与的深度极浅,各种层次的政治参与水平均不高的状态,但是在选举的主动与被动性上仍表现出多数的主动。呈现出广度单一、范围有限,水平偏低的特点。第三,中国城市居民的社区政治效能感和政府政治效能感趋中,表现出良好的态势。但城市居民的社区外在政治效能感仍高于社区内在政治效能感,表现出臣民文化的特点。第四,中国城市居民的政治参与呈现出弥漫性趋势,不再单一集中在社区居委会的选举参与上,参与范围增加；但是政治参与的主动性有限,政治参与的水平和深度均较低。第五,影响城乡居民政治效能感的社会人口学因素中,受教育水平、经济收入、政治面貌、性别是影响农村居民政治效能感的主要因素；而对于城市居民而言,社会人口学因素均没有产生显著差异。影响农村居民的政治效能感的因素较为明显的是物质诱因和地区差异,城市居民更多地体现在地区差异上。第六,在影响城乡居民政治参与的因素中,政治面貌、性别与受教育程度是影响村民政治参与的主要因素,非人口学变量中地域差异是主要因素,物质诱因和干群关系在不同类型的政治参与上有差异;对于城市居民而言,其政治参与更多地受到政治面貌的影响,其他社会人口学变量均未造成显著影响。第七,中国城乡居民的政治效能感与政治参与的关系表现出村庄(社区)内在政治效能感与政治参与有紧密关系,村庄(社区)外在政治效能感对于政治参与影响不显著,仅在推动性政治参与上表现出一定的关联性。
本论文的研究结论是：中国基层民主政治已取得一定的成就,表现在乡村民主中,村民政治效能感正在从一个较低水平向较高水平推进,村民不仅具有了一定政治知识的主观感知,而且也具有了一定影响村委会和村干部的主观能力感,这种中低水平的主观能力感必将成为今后较高水平政治效能感的基础。村民参与村委会选举比例较高,参与选举的主动性增强；表现在社区民主中,城市居民的政治效能感已趋向适中,民主所需的基本态度已经形成,政治参与的广度在逐步扩大,参与范围也在增加。但是,30年的基层民主政治还存在诸多不足,从城乡居民政治效能感和政治参与角度而言,具体表现为以下几方面：第一,村民民主态度并没有充分形成,政治参与深度不够,乡村民主政治的效力不足。第二,尽管城市居民已具备相应的民主态度,但政治参与明显不足,社区民主仍需让权于民。第三,城乡居民政治效能感与政治参与之间的关系要求基层民主政治亟待深化。第四,西方诸多现代化理论和民主理论在中国现实政治中并不一定具有理论的普适性,需要具体问题具体分析。
Democracy is the inevitable choice of political development in modern countries, and China is no exception. In the process of the construction of socialist democracy with Chinese characteristics, grassroots democracy plays a very important role. Reviewing the30years'development of grass-roots democracy after the reform and opening up in China, there appear a lot of valuable experience and modes around "villager autonomy" and "rural resident autonomy" at grass-roots,as well as many problems. In the academic discussion and research on China's grass-roots democracy are in full swing, the angles of which are different. Starting from the personal experience of urban and rural residents in Chinese grass-roots democracy practice, the objective and scientific description and analysis on the urban and rural residents'political efficacy and political participation are made in this paper to reflect the Chinese grass-roots democracy situation, in order to provide some useful help and constructive thoughts for the actual development and theory perfection of democracy. Specifically, the paper's significance is mainly reflected in three aspects:Firstly, it tries to examine the performance of the Chinese grass-roots democracy system by objective description and analysis of Chinese urban and rural residents'political efficacy and political participation and the relationship; secondly, it attempted to reveal influencing factors and reasons for the development of grass-roots democracy in China through comparative study of Chinese urban and rural residents'politics efficacy and political particapation; finally, it tries to validate many of the points on Western modernization and democray theory and the applicability through observing many problems relates to Chines grass-roots democracy.
In this paper, starting from positivism, using the method of quantitative research qualitative research and comparative research, under the guidance of current theory on political efficacy and political participation, a questionnaire on urban and rural residents'political efficacy and political participation is designed under the Chinese grass-roots reality, which, adopting multi-stage stratified sampling, acquired real survey data by interviewing803villagers and427residents in7villages and4communities of SHANXI province. Through the SPSS15.0software analysis, the reliability, validity and availability of the two questionnaires and the representative of samples are confirmed to lay the scientific foundation for the next data analysis.
The study found the following facts:First of all, the level of Chinese rural residents' political efficacy is low, and the government political efficacy tends to moderate; the villages'external political efficacy is higher than the villages'internal political efficacy. Secondly, proportion of rural residents'participation in village elections is higher and participation content is also intent. Conversely, participation channels and scope are limited. At the same time, participation depth is not enough,and political participation standard at various level is not high. But between the initiative and passiveness towards the selection, the initiative takes the dominant place. The features include single breadth, limited scope and low level. Thirdly, the communities'political efficacy and the government'political efficacy of the urban residents tend to moderate in China, which shows a good trend. However, community external political efficacy of urban residents is higher than community internal political efficacy which reflects characteristics of subject culture. Fourth, political participation of urban residents shows a diffuse trend, no longer solely focusing on the participation of community's neighborhood committee selection, and the scope of participation is increasing, but political participation initiative is limited and political participation level and depth are low. Fifth, the main factors of socio-demographic factors which affect Chinese urban and rural residents'political efficacy are level of education, income, political status, sex. For urban residents, the socio-demographic factors do not produce a significant difference. Material incentives and regional difference are the more obvious factors affecting rural residents'political efficacy, while regional difference is reflected for urban residents. Sixth, among the factors affecting urban and rural residents'political participation, the main factors affecting rural residents'political participation are political status, sex, level of education. Regional difference of non-demographic variables is the chief factor. And the material incentives and the relationship between cadres and the mass are diverse in different types of political participation; for urban residents, political status affects political participation,and other socio-demographic variables do not make significant impact. Seventh, the relationship between political efficacy and political participation of Chinese urban and rural residents shows a close relationship between village (community) internal political efficacy and political participation,and village (community) external political efficacy is relevant to the promoting political participation, conversely, the impact is not obvious to political participation.
The conclusions of the paper are:Chinese grass-roots democracy has made some achievements. Rural residents' political efficacy is being promoted from a low level to a high level in the rural democracy. The rural residents not only had a certain subjective perception of political knowledge, but also had a certain impact of subjective feeling of competence on the village committee and village cadres. The low impact of subjective feeling of competence will become the basis for the next higher level of political efficacy. Proportion of rural residents'participation in village elections is higher and participation initiative is enhanced. The political efficacy of urban residents tends to moderate in community democracy. The democracy required basic attitude has been formed, the breadth of participation is gradually expanding, and the scope of participation is also increasing. However, there are many shortcomings for30years of grass-roots democracy. On the political efficacy and political participation of urban and rural residents, the specific performance includes the following aspects:Firstly, the rural residents' democratic attitude does not fully formed, the depth of political participation is not enough, and the rural democracy is ineffective. Secondly, the urban residents already have the appropriate attitude towards democracy, however, political participation is not seriously enough, Community democracy shall revert to the people. Thirdly, the relationship between political efficacy and political participation of Chinese urban and rural residents requires deepening grass-roots democracy. Fourthly, many western modern theory and democratic theory are infeasible for the political reality in China, and specific problems require specific analysis.
引文
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④ 转引自高建,佟德志.中国式民主.天津,天津人民出版社,2010,128.
① 我们的调查设计了村民对于村委会选举的整套程序是否了解以及是否知道国家的相关政策等问题,从回收的数据看,村民对于村委会选举程序有所了解的比例为85%。对于国家领导人的了解占到84.3%.
② 房宁.中国政治参与报告.北京,社会科学文献出版社,2011,226-227.
③ 高建,佟德志.中国式民主.天津,天津人民出版社,2010,5.
④ 城乡居民是“城市居民”和“农村居民”的统称,其简称分别是“市民”和“村民”.
① Thomas Heberer.城市选举带来制度变化和合法性——城市社区居民的选举认知和参与意识.选自城乡公民参与和政治合法性,北京,中央编译出版社,135.
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① David Easton and Jack Dennis. The child's acquisition of regime norms:political efficacy. The American Political Science Review,1967,1,25-26.
② avid Easton and Jack Dennis. The child's acquisition of regime norms:political efficacy. The American Political Science Review,1967,1,25-26.
③ 转引自Abramson. Political Attitudes in America:Formation and Change. W.H.Freeman and Company, 1983,141-143.
④ 转引自Abramson. Political Attitudes in America:Formation and Change. W.H.Freeman and Company, 1983,141-143.
⑤ 转引自Abramson. Political Attitudes in America:Formation and Change. W.H.Freeman and Company, 1983,141-143.
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② 郭秋永.抽象概念的分析与测量：“政治效能感”的例释.第二届美国文学与思想研讨会文集,方萬全,李有成主编,1991,320-322.
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④ Angus Campbell, Gerald Gurin, Warren E.Miller. The Voter Decides.Row,Peterson and Company,1954,187.
① Abramson. Political Attitudes in America:Formation and Change. W.H.Freeman and Company,1983, 135-183.
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③ Stephen C·Craig, Richard G·Niemi, and GlennE, Silver, political efficacy and trust:Areport on the NES pilot study items. Political Behavior,1990,3,289-314.
④ 吴重礼,汤京平,黄纪.我国“政治功效意识”测量之初探.选举研究,1987,2,23-44.
① bramson. Political Efficacy and Political Trust Among Black Schoolchildren:Two Explanation. The Journal of Politics,1972,4,1248.
② hung-LI Wu. Psycho-Political Correlates of Political Efficacy:The case of the 1994 New Orleans Mayoral Election. Journal of Black Studies,2003,6,729-760.
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① 我们的调查设计了村民对于村委会选举的整套程序是否了解以及是否知道国家的相关政策等问题,从回收的数据看,村民对于村委会选举程序有所了解的比例为85%。对于国家领导人的了解占到84.3%.
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② 政治参与的交互性的行动概念和工具性的行动概念是郭秋永先生在其《政治参与》一书中提出的。他认为在政治参与的概念界定中,第一个基本界说,则将政治参与看作是植基在个体认同社区公益之上的一种政治活动,较 为看重公民的成员身份、分享正义的观念、及趋于[共同善]的行动取向的观念；而另一种政治参与的界说,则隐含在政治过程就是权力的形成、分配和执行,那么政治参与就是影响权力分配的一种政治行动,也是公民试图以极小代价追求极大利益的一种交易行动。(23-24)
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