【作者】 刘杰；

【导师】 田毅鹏；

【作者基本信息】 吉林大学 ， 社会学， 2012， 博士

【摘要】 新中国建立以来直至改革开放前，中国的社会结构呈现总体性社会特征。国家通过户籍制度实现了对人口的管理和控制，通过城市中的“单位”和农村中的“人民公社”实现了全体社会成员的高度组织化；同样，通过户籍制度，国家将整个社会区隔成城市和农村两个不同的社会形态，并赋予其成员不同的资源和机会，由此形成典型的城乡二元社会结构。在城乡二元社会结构下，个体只有成为“体制内”成员，才有资格和可能享受体制带来的各种权利和福利。在农村，只有成为集体组织成员，个体才有参加公社集体劳动的权利，才能获得从公社获得生存资源的权利，以及获得自留地的权利。在城市，只有获得城市户口，才能拥有就业的权利，同时才有资格享受公有住房、子女就学和就业、公费医疗、粮食和稀缺副食品的定量供应以及其他社会福利。在此基础上，中国形成一种实质意义上的身份制社会，整个社会成员被划分成农民和市民两大身份类别。以“大包干”为起点的改革开放极大地冲击了这种社会结构，出现了社会成员跨体制流动的社会现象。“自理口粮”户籍制度的出现，就是农民在改革开放初期城市化复苏背景下由农村社会体制向城市社会体制流动的产物。学界以往关于户籍群体的研究存在着两个重要缺憾：一是在空间范围上忽视了城乡结合部这一特殊的地理和社会空间。在社会形态上，城乡结合部作为连接城市和乡村的过渡地带，呈现典型的跨体制特征，无论在生产生活手段，还是管理方式方面，均具有从农村体制向城市体制过渡的样态。这种跨体制的地理区域在我国城市化进程中有其独特的功能定位；二是这些研究忽视了对“自理口粮”这样一种特殊户籍群体的研究。“自理口粮”是改革开放以来我国城市化政策的产物，亦是改革开放以来城乡二元社会结构变迁过程中跨体制流动的产物。它突破了我国户籍制度长期采用的“农业”与“非农”二元结构模式，是一种在特殊的历史背景下形成的、跨体制的、并被视为“另类身份”的户籍类型。本文将研究视野置于城乡二元社会结构的变迁和转型过程中，以我国改革开放以来的城市化进程为背景，借助于“跨体制”这一概念命题，以跨体制流动的“自理口粮”户籍群体为研究对象，在基于C市东村“自理口粮”户籍群体长达30多年的身份诉求行动案例分析基础上，运用布洛维的“拓展个案法”，研究在城乡二元社会结构转型和制度变迁背景下，作为另类户籍身份的自理口粮群体在经济、社会和政治权利保障方面的争夺和维护，勾画各大行动主体和社会化力量对东村“自理口粮”户籍群体身份诉求行动的结构化形塑，从而达到深描建国以来社会历史发展的进程中制度变迁、社会转型与个人生命轨迹之间的相互关系，回应“个人行为的自主性与社会结构的制约性”这一社会学基本命题。在此基础上探讨我国城市化进程的特性，揭示作为城市化关键和特殊地域的城乡结合部的村落终结的难题所在，并以此为切入点，分析公民身份理论本土化研究的困境，立足于中国社会的文化土壤，直视中国的社会现实，建构中国面向的公民身份理论。本文在以下两层意义上使用“跨体制”这一概念：一是社会形态上的跨体制。本研究以城乡结合部作为研究空间，城乡结合部是城市化进程中横跨乡村和城市两大社会形态的产物，不仅仅在生产生活手段上，还是在管理方式上，城乡结合部的社会形态呈现明显的“跨体制”特征。也正是由于这一特征，城乡结合部才充满各种社会冲突和利益重组，其村落终结才由此成为难题；二是身份类别上的跨体制。“自理口粮”户籍群体的出现即是跨体制行为的产物。原属农村体制下的农民要想摆脱农村体制的桎梏，必须实现“脱农化”，从农村社会体制跨入城市社会体制，但由于城乡二元社会结构蕴含的巨大不平等，导致我国社会身份的固化，“自理口粮”户籍群体“脱农化”的后果就是生活在两大社会体制的夹缝之中，艰难生存。C市东村“自理口粮”户籍群体长达30多年的身份诉求行为，其实质是在“进城”这一跨体制行为本身失败以后，希望获取城市社会体制的庇护或重新回归农村社会体制的怀抱。在这漫长的身份诉求行为过程中，最终陷入“进退两难”的尴尬境地。在城乡二元社会结构下，这种尴尬境地是跨体制行为导致的必然结果。本文在布洛维的理论意义上使用“结构化”概念，将社会过程中的利益拓展为社会结构中的力量，结构化需要将社会过程置于他们外部决定性因素的情境中，将社会力量视为外部的和自然的过程是一种客体化策略。本文立足于城乡结合部这一特殊地理空间，引入制度变迁、利益和权利等变量研究自理口粮户籍群体身份诉求的结构化形塑，采取个案拓展法作为基本的研究方法。建国以来，特别是1978年以来我国的城市化进程是本文的时间线索，在这一时间跨度内东村“自理口粮”户籍群体身份诉求行动这一社会情境演化成由三个不同阶段组成的社会过程。城乡结合部这一特殊的地理空间和社会空间便成为这一社会过程活跃的场域。在这时间和空间范围内，各种社会力量粉墨登场，结构化形塑东村“自理口粮”户籍群体的身份诉求行动。本研究的实践价值在于立足于城乡结合部这一特殊跨体制的地理空间，引入制度变迁、利益和权利等相关变量研究自理口粮户籍群体的身份诉求，透视我国城市化政策的变迁轨迹和我国城市化进程中存在的诸多矛盾冲突和利益纠葛，揭示在我国现有体制下，作为跨体制产物的自理口粮户籍群体“进退维谷”的悲剧性命运。本研究不仅有助于理解城乡二元社会结构转型下我国的城乡关系、户籍制度改革、城市化政策走向等，而且将特别有助于理解当代中国社会建设所面临的各种问题，为当前中国社会建设进程中社会弱势群体的政治、经济和社会权利的保障问题提供经验借鉴和理论指导。更多还原

【Abstract】 From the founding of PR China to the time of China’s economic reform and opening up, thesocial structure of China showed characteristic of totalistic society. Through the householdregistration system, the government realized its management and control of its population, andthrough Danwei in cities and Rural People’s Commune in rural area, the government achieved ahigh degree of organization of all members in society. In the same vein, through the householdregistration system, the Chinese government segmented the whole society into two different socialmodes urban and rural areas, and provided different resources and opportunities to differentmembers in society. Thus the urban-rural dual structure was established.In the urban-rural dual structure, only the members within the system were eligible andentitled to various rights and welfare. In rural areas, only the members of collective organizationsobtained the right to participate in collective work in the commune, to get access to survivalresources from the commune, and to own family plots. In the cities, only the members with urbanhousehold registration obtained the right to work, and were entitled to public housing, theeducation and employment of their children, free medical care, the rationing of food provision andscarce non-staple food, and other social benefits. In this sense, China has formed a dual-statussystem with the entire members of the society being divided into farmer and citizen. The economicreform and opening up policy featuring "all-round responsibility" brought a tremendous impact tothis social structure, which brought about the social phenomenon of cross-system flow of themembers of society. The household registration system of Self-rations was established as a resultof farms’flow from rural social system to urban social system at the beginning of China’s reformand opening up.Two shortcomings existed in the previous study of household registration groups in theacademic field. First, in terms of geographical space, the studies of rural-urban fringes which werespecial in both geographic area and social status were neglected. In terms of social structure, as thetransition zones between urban and rural areas, rural-urban fringe showed the characteristics ofboth systems. It presented the transitional state from rural to urban system both in means ofproduction and management methods. These special cross-system geographical areas have theirunique function in the urbanization process in China. Second, the studies of the special householdregistration group the self-rations residents were neglected in previous study. Self-rationsappeared as a result of China’s urbanization process, and cross-system flows in the process ofurban-rural social structure transitional process. Self-rations residents were casted out from the dualstructure model of farmer and non-farmer , and were considered as the cross-system atypicalhousehold registration groups formed in this special historical background. This study will first analyze the cases of self-rations residents’30 year identity seekingprocess of East Village in C city against the background of China’s urbanization process andurban-rural social structural transitional process by using the proposition of cross-system . Afterthat, this study will use Burawoy’s Extended Case Method to investigate how self-rations residentsprotect and stand up for their economic, social and political rights and to demonstrate the effects ofvarious major actors and social forces on the identity seeking actions of self-rations residents ofEast Village. This paper intends to describe the interrelationships among system change, socialtransformation and personal life trajectory, in response to the fundamental sociological propositionof the autonomy of the individual behavior and social structure constraints . On this basis, thisstudy will explore the characteristics of China’s urbanization process, reveal the difficult issues torealize the end of urban-rural fringes which is the key to China’s urbanization, and analyze theproblem faced by the theoretical localization of citizen identity theory . This study will constructthe China-oriented citizen identity theory by taking Chinese culture and social reality intoconsideration.In this study, the concept of "cross-system" was used in the following two senses: First, thesocial structure is cross-system . In this study, the urban-rural fringe was studied. Since it islocated between urban and rural area, the social structure of urban-rural fringe shows thecharacteristics of cross-system in terms of both the means of production and the mode ofadministration. Because of this, it is full of all kinds of social conflicts and reshaping of interests inthe urban-rural fringe, and that is the reason why it is so difficult for the village to dismiss. Second,the residents’identity is cross-system . Self-rations residents arise from the existence ofcross-system. The farmers who want to get rid of the shackles of rural system have to be acceptedby the urban system. However, due to the consolidation of social entity caused by the hugeinequality of urban-rural dual social structure, the self-rations residents who want to pursue happylife in urban area survived in the cracks of the two social systems. When the self-rations residentsof East Village in C City were turned down by the urban social system, they started their 30 yearidentity seeking process. Some of them hoped for the shelter of the urban social system, and someof them hoped to embrace the rural social system again. This long identity seeking processultimately got stuck in the dilemma. The inevitable embarrassing situation was caused by therural-urban duel social structure.Based on Burawoy’s theory, this study used the concept of structuralization , which put theinterests expansion in society under the force of social structure. As for the structuralization , itmeans that the actions in society need to be reckoned with in the context of external decisivefactors, and it is the strategy of objectification to consider social forces as external and naturalprocess.By using the Extended Case Method and by introducing the variables of institutional change,interests and the rights, this study investigated the identity seeking process of self-rations residentsliving in the urban-rural fringe. Since the China’s urbanization process from 1978, self-rationsresidents’identity seeking process could be divided into three different stages of social process.Due to its special geographical and social space, urban-rural fringe areas became an active field inthis social process with various social forces playing significant impacts on the structuralization ofthe identity seeking actions.The practical value of this study is that the urban-rural fringe areas were studied to investigate the self ration residents’identity seeking process by introducing relevant variables of systemchange, interests, and rights. This study was intended to reveal policy change trajectory, theconflicts and disputes of interests in China’s urbanization process, and to disclose the tragic fate ofthe self-rations residents who were suffering from the cross-system. This study not only is of greathelp for us to understand the urban-rural relationship, the reform of household registration system,and the future direction of urbanization policies in China’s structural transition period, but alsocould help us to better understand various kinds of issues faced by Chinese society, and provideexperience and theoretical guidance to protect the political, economic and social rights ofvulnerable groups in the construction process of China’s society.更多还原