制度有效性的社会根源及演化路径:基于山西四社五村水权研究  

The Social Origins and Evolutionary Path of Institutional Effectiveness: AStudy Based on the Water Rights of Four Communities and Five Villagesin Shanxi Province

作　　者：刘圣中 LIU Sheng-zhong(School of Literature and Law,Nanchang Hangkong University,Nanchang,Jiangxi,330063)

机构地区：[1]南昌航空大学文法学院,江西南昌330063

出　　处：《深圳大学学报（人文社会科学版）》2024年第3期90-100,共11页Journal of Shenzhen University：Humanities & Social Sciences

基　　金：国家社科基金一般项目“公共权力问责的可追溯机制研究”(20BZZ057)。

摘　　要：制度有效性是分析社会发展问题的关键概念,它有3个衡量标准:时间持续性、均衡稳定性和自我实施力。通常可以从地理环境作用、初始生成方式、后续稳固手段3个方面来揭示符合这些标准的有效制度的形成根源。特殊地理环境决定了制度的选择范围和结果,而多数制度的初始生成过程都不可避免地蕴含特定的暴力基因,更重要的是这种含有暴力基因的制度要获得持久效力常常要经过特殊的合法化过程。制度的合法化一般包括3种路径:制度的文本化、仪式的神圣化以及利益的均衡稳定化。山西四社五村用水制度是一个基本符合制度有效性三大标准的典型案例,其在特定地理区域自发形成,先后延续一千多年,至今仍保持着活力。其制度有效性的社会根源在于:起到外部限制性作用的相对偏僻和干旱少雨的地理环境;导致初始制度基本框架生成的不同村落间的暴力争斗;后续发展中不断稳固制度效力的合法化手段。其中的合法化手段包括利用碑刻、水利簿固化用水规则的制度文本化,每年定期演绎祭拜龙王的仪式神圣化,以及村庄互相博弈妥协的利益均衡化。Institutional effectiveness is a key concept in analyzing social development issues.There are at least three basic criteria for the effectiveness of a system,which are duration,equilibrium stability,and self-implementation.The institutional effectiveness that meets these three standards can be revealed from three aspects:geographical environmental,initial generation methods,and subsequent stabilization methods.The special geographical environment determines the scope and results of institutional choices,and institutional initial generation inevitably contains specific violent genes.More importantly,these systems containing violent genes often need to go through a special process of legalization to achieve lasting effectiveness.The legalization of institutions generally includes three paths:textual institutionalization,sanctification of rituals,and stabilization of interest balance.The water distribution system in the Four Communities and Five Villages of Shanxi Province is a typical case that basically meets the three standards of effectiveness system.It spontaneously formed in specific geographical areas and has continued for more than a thousand years,still maintaining vitality to this day.The social root of the effectiveness of this system lies in the relatively remote and arid geographical environment which plays an externally restrictive role,the violent struggles between different villages that led to the formation of the initial institutional framework,and the legal means to continuously stabilize the effectiveness of the system in subsequent development.The means of legalizing the system include the textual implementation of inscriptions and water conservancy books targeting the water distribution system,the sanctification of annual rituals for worshipping the Dragon King,and the balancing of interests through mutual game and compromise among villages.

关 键 词：制度有效性 社会根源 四社五村 水权 用水制度 制度合法化 演化路径 

分 类 号：D670[政治法律—政治学]