自2003年始，反坝运动席卷中国，被誉为“第一次公众参与开始影响中国工程决策"。相关研究多将之归功于中国近年来迅猛发展的公民社会与NGO力量。但在金沙江边村落，却出乎意料地形成可持续的、无（正式）组织及去精英化、本土民众自主广泛参与的反坝集体行动，并成功令当地水坝建设中止至今。本个案的独特性，无法单独通过社会运动或底层抗争理论对中国集体抗争的分析，而得到解释。 / 在中国特殊政治环境下，尤其在严重缺乏自组织空间的底层乡土社会，农民广泛参与的集体抗争如何得以成为可能？带着这一问题，本研究整合社会运动研究和底层抗争研究两种理论框架，以实践论引领下的拓展个案研究法为研究方法论，对金沙江-虎跳峡流域的反坝集体行动展开深入研究。 / 论文首先还原当地反坝抗争的真实经历以及底层行动者的实践逻辑，并通过对抗争的政治机会空间拓展、组织动员、框架与意义建构等三个关键过程深入分析，探讨集体行动的内在特征及发生机制。 / 本论文发现：在全国反坝热潮背后，金沙江边逐渐形成一类独特的、既由本土社区主导又与全国性的反坝社会运动接壤的、多元去中心化的新型底层抗争生成机制/模式。三种结构性生成力量在背后起到关键作用：一是本土性社会文化因素；二是介入本土社区并与之发生紧密互动的外界公民社会力量；三是国家力量（包括“抽象国家"与“具体国家"）的影响及其与本土的互动。 / 以上因素在型塑独特的本土集体抗争模式的同时，也在底层乡村社区催生一批本土中层集体行动者骨干，推动广泛、具有潜在秩序的草根民众的“公民性"参与，孕育出更富于弹性、更多元异质的社会力以及本土化的公民社会行动空间，由此产生的底层自下而上的变革动力，有可能超越此前公民社会组织主导的社会运动与封闭乡村社区内相对无组织无序的底层抗争的两分，为中国底层变迁乃至公民社会发展预示新的路向。 / Recent anti-dam movements in quasi-authoritarian China have triggered unprecedented public debate. Most existing researches focus on professional NGOs, intellectuals, media and other high-profile civil society forces, and propose an exogenous elite-driven model for understanding the movement and ensued social changes. / However, the Jinsha River anti-dam protest revealed a different picture: endogenously grown and widely participated activism is blooming in the local communities, in the absence of formal movement organizations and without the leadership of outside NGOs. It is such local activism, working together with civil society forces from outside, that successfully blocked the dam construction. / How could such indigenous activism with broad participation emerge within the highly restricted political space of contemporary China? To answer this question, I propose an integrated approach combining the perspectives of the social movement literature and the resistance studies. The major research methodology is the Extended Case Method (ECM) based on the Theory of Practice. / This thesis firstly attempts to describe the generative process of local anti-dam protest activism and the practical logic of indigenous activists from a bottom-up perspective. It analyzes the key processes of political opportunity structure extension, resource mobilization, and meaning construction in the indigenous anti-dam movement, trying to understand its unique characteristics, dynamics and mechanisms. / The study finds that the Jinsha River case is characterized by a distinct activism model which is endogenously driven, with highly decentralized participation from diverse sectors in the local community, and also influenced by the interactions between the local protest and national anti-dam movement. In particular, I discuss three sets of factors that are crucial in shaping the process: a) the local social-cultural contexts and conditions, b) the interaction between the local community and outside civil social forces in the anti-dam movement, c) the state-society relationship in the indigenous community. / These factors contribute to the emergence of a model of local activism which transcends the conventional dichotomy of movement leaders and rank and file members, and relies instead on a large “middle layer of activists that are from diverse sectors of the local community. It may point to a path for going beyond both the elitist NGO-lead social movement model and the model of disorganized social resistance in closed rural communities, and shed light on some new potential of Chinese social change from below as well as the development of Chinese civil society. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / 周雁. / Thesis (Ph.D.)--Chinese University of Hong Kong, 2013. / Includes bibliographical references (leaves 222-226) / Electronic reproduction. Hong Kong : Chinese University of Hong Kong, [2012] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Abstracts in Chinese and English. / Zhou Yan. / 致 谢 --- p.iv / 中文摘要： --- p.vi / Abstract of thesis entitled : --- p.vii / Chapter 1 --- 前言：研究背景及研究问题的提出 --- p.1 / Chapter 1.1. --- 引子：3.21群体事件 --- p.1 / Chapter 1.2. --- 研究的背景：从本土底层抗争到全国反坝运动 --- p.2 / Chapter 1.3. --- 研究问题: --- p.6 / Chapter 2 --- 文献综述与理论回顾 --- p.9 / Chapter 2.1. --- 理论视野之一： 西方集体行动/社会运动理论 --- p.9 / Chapter 2.1.1. --- 美国社会运动理论 --- p.9 / Chapter 2.1.2. --- 新的理论发展 --- p.11 / Chapter 2.2. --- 理论视野之二：抗争研究 --- p.13 / Chapter 2.2.1. --- 农民的日常反抗理论 --- p.13 / Chapter 2.2.2. --- 依法抗争理论及中国学者的进一步拓展 --- p.14 / Chapter 2.3. --- 中国反坝集体行动的现有研究： --- p.17 / Chapter 2.4. --- 社会运动研究与抗争研究的差异与整合 --- p.21 / Chapter 2.4.1. --- 两种理论进路的差异 --- p.21 / Chapter 2.4.2. --- 本研究面临的特殊情境 --- p.22 / Chapter 2.4.3. --- 整合及研究理论框架的提出 --- p.25 / Chapter 3 --- 研究方法论及研究方法 --- p.29 / Chapter 3.1. --- 研究方法论 --- p.29 / Chapter 3.1.1. --- 研究方法论的理论基础：实践理论 --- p.29 / Chapter 3.1.2. --- 具体研究方法论：拓展个案法 --- p.33 / Chapter 3.2. --- 研究方法及参与式行动研究者的自我反思 --- p.35 / Chapter 3.2.1. --- 研究方法 --- p.35 / Chapter 3.2.2. --- 参与式行动研究者的自我定位及反思 --- p.36 / Chapter 3.3. --- 研究田野点：金沙江边乡村社区简介 --- p.40 / Chapter 3.4. --- 论文结构 --- p.45 / Chapter 4 --- 江边底层反坝抗争故事及过程分析 --- p.48 / Chapter 4.1. --- 江边底层反坝抗争过程回顾 --- p.48 / Chapter 4.1.1. --- 风云乍起：反坝外部动员及本土精英崭露头角 --- p.48 / Chapter 4.1.2. --- 从葬礼到清明：变故催生的内外结盟与江边动员 --- p.52 / Chapter 4.1.3. --- 本土自主底层抗争模式的发端：罢村官事件及其他 --- p.62 / Chapter 4.1.4. --- 外来者的“在场"和助推 --- p.69 / Chapter 4.1.5. --- 本土自主抗争的深化：文艺队及其他公共参与的尝试 --- p.75 / Chapter 4.1.6. --- 厚积薄发：联名信的万人签署及上京 --- p.85 / Chapter 4.1.7. --- 高潮：3.21万人群体事件 --- p.91 / Chapter 4.1.8. --- 后反坝时期 --- p.103 / Chapter 4.2. --- 小结与回顾：江边反坝抗争的过程机制 --- p.108 / Chapter 4.2.1. --- 政治机会结构的拓展过程 --- p.109 / Chapter 4.2.2. --- 组织与动员过程 --- p.111 / Chapter 4.2.3. --- 框架与意义建构过程 --- p.112 / Chapter 4.2.4. --- 小结：三个过程的相通之处 --- p.113 / Chapter 5 --- 结构性因素之一：江边乡民社会的本土性因素 --- p.115 / Chapter 5.1. --- 江边本土行动者认同与惯习的形成及分化 --- p.116 / Chapter 5.1.1. --- 共享的“江边"认同及江边人的行为惯习 --- p.116 / Chapter 5.1.2. --- 江边多元分化的身份认同及行动惯习 --- p.119 / Chapter 5.1.3. --- 小结：不同结构性因素及条件的协同作用 --- p.134 / Chapter 5.2. --- 江边反坝行动者分层及其对抗争动力机制的影响 --- p.137 / Chapter 5.2.1. --- 对反坝政治机会结构的影响 --- p.137 / Chapter 5.2.2. --- 对反坝框架和意义建构的影响 --- p.139 / Chapter 5.2.3. --- 对组织和动员模式的影响 --- p.145 / Chapter 6 --- 结构性因素之二：外界公民社会力量的介入及内外互动 --- p.150 / Chapter 6.1. --- 外界力量的显性效果：底层议题的公共化 --- p.150 / Chapter 6.2. --- 外界力量介入的“多元去中心"化及效果 --- p.154 / Chapter 6.2.1. --- 外界力量的类别 --- p.154 / Chapter 6.2.2. --- 不同外来者的差异、碰撞与制衡 --- p.156 / Chapter 6.2.3. --- 外界介入的多元分殊化和去NGO化 --- p.158 / Chapter 6.2.4. --- 长期影响 --- p.162 / Chapter 6.3. --- 内外互动中的差异、分歧及潜在冲突 --- p.164 / Chapter 6.3.1. --- 差异的显现：认同与反坝框架建构 --- p.164 / Chapter 6.3.2. --- 对底层运作和“本土性"理解的隔阂 --- p.165 / Chapter 6.3.3. --- 背后的结构性因素 --- p.169 / Chapter 6.4. --- 小结 --- p.170 / Chapter 7 --- 结构性因素之三：国家力量的本土呈现 --- p.173 / Chapter 7.1. --- 本土行动者与“抽象国家"之间 --- p.173 / Chapter 7.1.1. --- 江边人的国家观及其体现 --- p.173 / Chapter 7.1.2. --- 被动应对：去“政治"化与去“国家"化 --- p.175 / Chapter 7.1.3. --- 积极对策：合法正当性的建立 --- p.176 / Chapter 7.2. --- 本土行动者与“具体国家"之间 --- p.180 / Chapter 7.2.1. --- 国家的本土代理人的分层 --- p.181 / Chapter 7.2.2. --- 本土行动者与国家代理人间的特殊互动模式 --- p.183 / Chapter 7.3. --- 理论对话及小结 --- p.190 / Chapter 8 --- 结论和进一步讨论 --- p.194 / Chapter 8.1. --- 底层集体行动如何得以产生 --- p.195 / Chapter 8.2. --- 底层反坝抗争的潜在产出及潜在长远影响 --- p.198 / Chapter 8.2.1. --- 底层行动者的改变：本土“公民性的形成与创新 --- p.198 / Chapter 8.2.2. --- “本土"的再发掘与重建：社区力量的创新整合 --- p.200 / Chapter 8.2.3. --- 中国新社会力及公共参与空间的拓展与建构 --- p.202 / Chapter 8.2.4. --- 对国家社会关系及中国社会变迁的长期潜在影响 --- p.203 / Chapter 8.3. --- 前瞻：潜在隐患及可能走向 --- p.205 / Chapter 附录一： --- 江边村民的诉求 --- p.208 / 2005清明扫墓活动村民面对NGO和媒体发言节选 --- p.208 / Chapter 附录二： --- 公开呼吁信 --- p.212 / Chapter （一） --- 中国河网：留住虎跳峡、留住长江第一湾 --- p.212 / Chapter （二） --- 金沙江沿岸村民呼吁：坚决不让悲剧在金沙江重演！ --- p.214 / Chapter 附录三 --- 万人联署意见书 --- p.217 / 关于“滇中调水"和虎跳峡电站高坝给国务院的意见书 --- p.217 / 参考文献 --- p.222

Indiana University-Purdue University Indianapolis (IUPUI) / This thesis is a critical literature review on the studies of social movements and contentious politics in the U.S. and China. Thanks to theories of contentious politics, we can analyze the studies of America’s social movements and China’s collective actions in the same “frame.” By making a comparison, this thesis tries to construct a theoretical dialogue between the studies across both countries. At the same time, it criticizes over-generalizing the mode “democratic-nondemocratic” in analysis of repertories of contentious politics and downplaying capitalism’s role in the social movements. From the various empirical studies in both countries, this thesis argues that a generalization should be based on the diversity of this realm, not just from the western perspective.