capitalfanyi第一部分完

1、二、社会资本的类型及功能目前，关于社会资本的分类主要有两大方法。一种是以马斯·福特·布朗( Brown，1997) 为代表的层次分类法，他认为社会资本系统可以按照“要素、结构和环境”的三维概念，划分为微观、中观和宏观三个层面: 微观社会资本主要是个人形成的价值观念和规范等; 中观层次的社会资本是集团间所形成的信任、互惠、义务和期望等; 宏观社会资本体现为国家制度、法律框架、公民权利以及社会凝聚力8。另外一种较为普遍的分类是以Uphoff ( 1996) 为代表的二维分类法，他将社会资本划分为结构型社会资本和认知型社会资本，结构型社会资本是指社会资本中有形的方面，如影响人们交

2、互行为的网络、规则、程序、制度、组织等; 认知型社会资本主要是无形的，如共同的价值观念、互惠、信任和声望等9。以上两大分类方法虽然依据不同，但都强调了社会资本中的网络、信任、声望、合作。基于前文关于社会资本内涵的讨论，从社会资本构成的角度可以把社会资本分为四种基本类型: 即网络型社会资本、信任型社会资本、声望型社会资本和参与型社会资本。网络型社会资本是指社会成员形成的关系网络规模、网络密度及他们在网络中的地位; 信任型社会资本是指个体间形成的信任以及个体对组织的信任程度; 声望型社会资本即在网络关系和合作行为中长期形成的权威关系以及人们的互惠规范; 参与型社会资本主要指组织成员中集体活动参与程

3、度。尽管社会资本有不同的类型，但社会资本实质上是一种重要的生产要素，对人们经济生活和社会发展起着重要的作用，具有多重功能。首先，社会资本具有社会功能。社会资本的社会功能主要体现在生活保障、经济支持、精神支持和维护社会秩序上。人们形成特定的关系网络，可以相互帮助，给贫困的人们提供一定的生活保障和经济支持; 在交往过程中，人们借助于彼此间的信任关系和对规范、制度的共同遵守，不仅提供物质支持，还给弱者供给情感、精神上的支持和安慰。此外，社会资本的形成促进了社区人们的协调与合作，增强归属感，压制了社会犯罪等不良的社会行为，对社区治安有重要作用; 同时，社会资本增进了人们对政治生活的参与，保证了社会的有

4、序运转。其次，社会资本具有经济功能，社会资本的经济功能体现在多个方面。1 促进经济发展。不少学者认为在社会网络中，成员间频繁交流可以减少因信息不完全而带来的风险和不确定性，利用个体的社会关系及其信任，利用组织的社会声望和纳入公民参与可以替代契约，降低交易成本，利于提高经济绩效，实现经济的繁荣和发展。Grootaert ( 2002) 认为社会资本与经济发展之间有正相关关系10; 张其仔( 1997) 从社会网络的角度出发，探讨社会资本与经济增长等的关系，认为社会资本促进经济增长11。2 解决集体行为困境。在公共产品领域存在“搭便车行为”、“哈丁悲剧”和“囚徒困境”等集体供给矛盾，奥斯特罗姆(

5、Ostrom，2000) 将社会资本引入到集体选择理论中，证实了通过自发形成的社会资本能够将分散的农户聚集起来，解决集体供给行为困境的问题12。社会资本的个人社会关系网络、信任和声望促进了信息的流动，降低了交易风险性，减少了机会主义和搭便车行为，增加交易机会，提高合作供给效率。3 社会资本能够促进人力资本再生产，增加人力资本的收益。网络成员通过资源长期互利形成一种合作和信任，这为人们获取教育和就业等提供更多的机会，对人力资本的再生产有着积极的作用，这种人力资本的投资收益主要表现在健康、劳动力职业地位的获得等方面。张智勇( 2007) 认为社会资本可以减少迁移的心理成本，可以缩短农民工寻找工作的

6、时间，得出社会资本对农民工就业有积极作用13。可见，社会资本提高了人力资本收益率。4 社会资本有利于增加居民收入，提高居民的福利水平。居民累积的社会资本可以强化社会交往和信息交流，长时间的交往利于居民间信任的建立。这种社会资本给居民带来一定的资源和利益，如就业信息提供、贷款支持等，有助于增加居民的收入，同时提高居民的福利水平。Naravan等( 1999) 通过对坦桑尼亚的一些乡村进行调查，测量农民参与组织的社会资本发现社会资本对家庭收入有正影响14。黄瑞芹等( 2008) 经过实证分析，得出中国农村社会资本对农户家庭收入有显著正影响15。赵剑治( 2010) 认为家庭的社会关系网络对农村居民

7、收入差距具有很大的贡献16。三、社会资本的度量因社会资本内涵丰富，具有多维特征，目前学术界争议颇多，且社会资本表现为一种隐含的资本，较难用明确的显性指标直接进行度量。所以，关于社会资本的度量一直是理论界面临的一个难题。如科尔曼III、the measurement of social capital.Because social capital, with multiple features, has abundant implications, it has been controversial among theorists. Besides that social capital act

8、 as a kind of invisible capital, it is hard to be measured by obvious norms directly. Hence, it has been a difficulty among theorists to measure social capital. Personal network analysis is the most popular method to measure social capital, including the nomination method and position generating met

9、hod. The nomination method is a kind of census of the group and group members in one society, through the information of the networks members provided by the respondents, to study social capital. Position generating method is according to the positions of respondents in the network to analyze social

10、 capital. However, all these methods have great uncertainty in the material collection. Social capital need to be transformed into a series of practical measurable indicators to measure itself. Different scholars selected various indicators according to their own experience and research aim, due to

11、the differences in the understanding of the connotation of social capital. For example, Colman measured social capital starting from the individual perspective, through social networks relationship, social membership, homogeneity and heterogeneity. Putnam expanded the scope of the study. Based on th

12、e community perspective, community organizational life, participation in public affairs, community volunteer activities, informal social contact and trust these five indicators were adopted to measure social capital.Scholars express their own views about social capitals implication, focusing on diff

13、erent research aims and emphasizing differently, which is mainly on one dimension or few dimensions of social capital, leading to different measurements. for the establishment of index selection, it is mainly devoted to certain aspects of social capital index system, from single level or a few level

14、s to measure it. The mutual connection between the dimensions was ignored, so it is hard to grasp social capitals measurement from the overall integrity of the index system, with the lack of a comprehensive system. The author thinks that the measurement of social capital needs to start from the soci

15、al networks, social trust, social prestige and social participation these four dimensions, to establish a comprehensive index system with these four aspects.当然，社会资本是一个复杂的系统，如何科学合理的衡量社会资本存量还有待进一步的探索和完善。Of course, the social capital is a complex system, and how to scientifically and rationally measure

16、 its stock still needs further exploration and improvement.四、进一步深入研究的领域尽管社会资本的内涵尚存争议，社会资本的度量指标难以统一，但社会资本这一概念的强大的解释力，使它成为众多学科的热门概念和分析经济社会现象的重要工具。未来对社会资本的研究会逐渐深入，主要体现在以下方面。1 社会资本的作用机理。一个社会的社会资本状况直接影响着成员的个体行为和集体行为，也会影响社会的运行机制和治理模式。社会资本将分散的、拥有一定资源的个体通过一定的网络关系结合在一起，在网络中他们之间相互交流、合作和协调，优化共享配置资源，最终使个人理性与社会理

17、性、个人利益与社会利益有机地统一起来。因此，研究彼此间的内在机理及相互作用关系，探索不同类型的社会资本对人们行为的影响，解释社会资本与经济增长、社会发展、文化传统的关系，对现实生活具有重要的理论意义。IV. the further research fieldAlthough the social capitals implication and measurement indicators are still controversial, the powerful explanation of social capital, make it as an important tool to a

18、nalyze social economic phenomena and be the popular concepts among various subjects. In the future, the research on social capital will be gradually in-depth, mainly reflected in the following aspects.1.the action mechanism of social capitalThe social capital of a society directly affects the indivi

19、dual behaviors and collective behaviors of members, which will also affect the operation mechanism and the governance model of the society. Social capital incorporate individuals together that are dispersed and have certain resources through certain network relationship. In the network, they contact

20、, cooperate and coordinate mutually, optimizing and sharing the allocation of resources, to ultimately enable the individual rationality, social rationality, personal benefits and social benefits as an organic unity. Therefore, the research on internal mechanism of the mutual relationship and intera

21、ction, exploring the effects of different types of social capital on human behaviors, to explain the relationship among social capital, economic growth, social development and cultural tradition, have important theoretical significance to real life.2 社会资本度量方法的创新。首先社会资本更多的牵涉到了情感和主观因素，这些因素难以量化，需要寻找可定量

22、的替代性指标进行实证分析，为测度社会资本提供更为科学的依据。此外，社会资本因国家背景和内涵迥异，研究目标和分析层次不同，而选取了不同的衡量指标。经济研究的终极目标是发现一贯的普遍性规律，从错综复杂、形态各异的世界中抽取社会资本的核心因素，建立具有全面性、普遍性和系统性的指标衡量社会资本是今后研究的目标。3 不同主体的社会资本特征。社会资本随着环境变化、人们所处的阶层差异、人们所占有的资源及形成的网络关系不同而有所不同，其信任、声望和参与各有特色。对社会资本的研究需要考察不同环境下个体层次、集体层次或社会层次的社会资本。尤其是在人情味很浓的中国，社会资本有很强的地缘、血缘和宗族关联，这就需要从本

23、土视角分析社会资本。然后，考察包括个人、企业和社区在内的不同的主体的社会资本特征，找到他们的内在差异，为研究社会资本提供一个更为清晰的逻辑思路。4 社会资本的动态研究。现有研究倾向于从静态的角度分析社会资本的相关内容，而对社会资本的动态研究不足。社会资本是拥有资源的人们集结成的网络关系，这种网络不是固定不变的，而是随着时间的推移、环境的变迁和成员心理的变化而不断变化的。在网络形成、发展和完善阶段_社会资本呈现出不同的特征，同时社会变迁也会对社会资本造成影响，因此在现代化进程中，从发展的角度看待社会资本问题需要深入分析转型中的社会资本更新问题。信息时代下互联网对社会资本构建的作用。随着互联网的广

24、泛使用，社会资本不再局限于个体间有形的网，已经外延到计算机网络这张无形的网中。这种传播速度快、应用范围广、普及程度高的网络媒介从一定程度上促进了社会资本的扩张和更新，为研究社会资本提供了一个更为宽广的空间。因此，将互联网纳入考察体系，研究互联网在社会资本构建中的作用，有着重要的现实意义，充分体现与时俱进。Social capital is a interdisciplinary field of social science and economics, about which, the theorists have differences implications. Clarifying t

25、he concept of social capital, grasping the implication of social capital is the premise and foundation of the research social capital.Social capital was proposed by LydaHanifan(1916) initially, who believed that social capital is the sense of compassion, kindness, compatriots, and social interaction

26、,relationship composing social unit groups and families. Lyda Hanifan defined social capital mainly from the angle of sociology, emphasizing that social capital is the relationship between the individual and the family composition, which has characteristics of obtaining resources and meeting needs.

27、Social capital was firstly introduced to economic analysis by Loury(1977) who gave the definition of social capital is “the social connection, emerged spontaneously, of promoting and helping obtain the valuable skills or traits among people from the market. ” The implications from Loury and Lyda Han

28、ifan both emphasized that social capital is a kind of social connection and the members of society are beneficiaries of this connection net. However, Loury confined the implication of social connections member, who has some kinks of natural endowments. Great interests of scholars have been attracted

29、 by the different explanation of social capital. The research scope of social capital was expanded greatly ,not only to explain various phenomena ,but also widely used in the economis field. Nonetheless, different scholars have different views and understanding of social capital, because of the diff

30、erences of study purposes and levels. The current definition of social capital can be summarized as follows:1.The theory of social connection.Some scholars consider the social capital is a kind of social network, which mainly exists among individuals, occupying and exploring the resources of the net

31、work as its essential representation form.The typical representative of this theory is a French scholar, Bourdieu (1997)，who hold the view that social capital is one kind of actual or potential resources aggregation, which has a close relationship with the occupying of some kind of lasting network.

32、This connection network, systematized, is got familiar and recognized by every member, who own these resources. This theory that social connection network, composed by society members, supply members with useful resources. Therefore, the key of social capital is the link embedded by the members who

33、own the special resources. This link needs certain resources as the basis, maintaining itself by inner trust relationship formed by frequent exchange.2.The theory of social trust.Some scholars believe that the trust is a key element of social capital, rooted in the social network, becoming the impor

34、tant link to realize the goal of the network. The typical representatives of this theory is Putnanm and Fukuyama .Putnam(2001) considered that “Social capital ,the organizational network, composed by a series of trust, networks, and regulations , can promote collective cooperation and then improve t

35、he work efficiency. ” He emphasized the importance of trust, indicating that the inherent mechanism of cooperative behavior formed by citizen trust. The more trust among citizens, the more likely to achieve cooperative behavior. Fukuyama expanded concept made by Putnam, from the perspective of commu

36、nity, indicating that social capital, based on the community tradition, is established as informal values and norms to be shared among the society members. The cooperation behavior was promoted because its convergence would generate trust to others. Ultimately, social capital embodies the trust from

37、 the network members. At the same time, the trust broke the individual constraints, and can be extended to the range of community, meanwhile the cooperative behaviors are more likely to be generated with the trust among members.3.The theory of authority relationColeman considered that social capital

38、 is the capital property, owned personally, of which the social structure resources are features. Social capital is composed of various elements of social structure, existing in the structure of interpersonal relationship, in which, people transfer a part of personal rights to get exchange for contr

39、olling others resources. He emphasized that the authority relation of people controlling resources is the form of social capital, which is based on the exchange between the long term trust and resources, being the domination to resources by people. Therefore, social capital exist in the structured i

40、nterpersonal relations firstly, in which the concrete manifestation is the own and control to the resources. The person ,who have more resources to control , has more rights to speak and set up more authorities, which affect others behaviors and attitudes and help people acquire more resources. It a

41、lso can be concluded that social capital is the authority relation formed through the mutual control and owned resources among relation network members. 4.The theory of social participation Some scholars consider that the importance of social capitals implication is the social participation. More im

42、portantly, as a kind of social resources, social capital acts on the political and economic life, through participations of different individuals and groups. Burts(2000) confined the social capital as “the capital of individuals acquire scarce resources form networks or other wider social structures

43、, through their membership. This acquiring ability is a kind of capital among the relations of people, which is the result of embedment , other than being inherent. ” In his train of thought, two constrains as “the mutually beneficial expectation” and “the enforceable trust” is supplied by existing

44、structure, which enable everyone obtain some kind of membership, through “the rational embedment” and “the structural embedment”. This embedment is one kind of social participation integrating different members into the whole organization.Although foreign scholars have different emphases when graspi

45、ng the implication of social capital, they all consider social resources as the carrier of social capital, functioning based on some relation networks, in which every individual own their location and field according to their owned resources. From a broader sense, trust, formed by mutual frequent in

46、teraction among members of social capital networks, has created the relationship of reputation and constrain, so that members can distribute the scarce resources. Therefore, the function basement of social capital is network resources and the trust, reputation, and participation is the essential ele

47、ments of social capital. First of all, social capital exists in some kind of relation networks. Social capital is a network relationship composed of one or more than two people, in which every member has field of his own and occupy some resources, combining together to achieve the goal.Second, “the

48、relation of trust” is the essential element of social capital, found based on the trust formed by the frequent interaction of people. By virtue of this trust, agreement is achieved easily among people and the efficiency of realizing the goal is enhanced.The third one is that the authority relation,

49、formed by social capital, has the control power to the resources and create a kind of social reputation in the long term development of interpersonal relationship. Because of resources occupied by their own, in the network node of interpersonal relationship, the worship and recognition to the authority through the trust formed