【作者】 邓谨；

【导师】 樊志民；

【作者基本信息】 西北农林科技大学 ， 农业与农村社会发展， 2012， 博士

【摘要】 在社会转型期深刻的大变革中，农民阶级快速分化，职业和收入呈现出“农”和“非农”并存的特征。农民个体社会地位的不稳定性增强，几经沉浮，能者升华，不肖者瓦解，一部分农民向上流动进入中等收入阶层，为形塑“橄榄型”现代社会阶层结构提供了可能。这是转型期农村社会变迁最重要的特征之一，将给农村现代化带来深远的影响。改革开放30多年，农村社会变迁可以归结为农民中等收入阶层逐步壮大并将成为乡村建设主体的历史。因此，系统研究农民中等收入阶层现状，培育农民中等收入阶层无疑具有重要的理论意义和实践价值。本文围绕社会分层的七个核心问题对农民中等收入阶层展开研究：他们是谁？他们的兴起对转型期的农村社会发展产生了什么样的影响？他们的结构性特征与功能是什么？他们的职业声望评价如何？他们的社会经济地位如何获得？如何培育他们？他们的未来又是什么？这些问题涵盖了社会分层的形式和资源、分层结构、分层结果、归类过程和分层前景等。首先，界定了农民中等收入阶层。在方法论上，农民中等收入阶层是笔者在阅读资料和生活观察基础上所做的一种理论假设，然后在调查中被真实地建构起来。由于农民的收入、生活方式与市民有明显的差距和不同，在界定的时候一定要尊重他们生存的制度安排、环境事实和心理状况，而不是纯粹的收入。因此，本文在界定农民中等收入阶层时依据城乡之间的收入差距、农民的比较心理逻辑、职业和乡土社会的认识惯习。第二，研究了社会转型期的农民分化与农村社会分层。考察了中国社会转型期分层机制及农村社会机会结构的变化，分析了农民分化的原因及职业分化、收入分化和身份分化的特征，研究了农村社会分层和农民中等收入阶层兴起对农村社会发展走向的影响。第三，论证了农民中等收入阶层的结构性特征及效应。农民中等收入阶层对社会发展的结构性功能体现在经济、政治、文化和社会等多个方面。本文选取了中间阶层研究的两个经典命题，亦是学界研究的两个焦点问题作为研究内容，即农民中等收入阶层是否是维护政治稳定和推动经济发展的中坚力量。第三章从结构、意识和行动逻辑方面分析农民中等收入阶层的社会态度和政治功能。第四章基于生活必需品消费、家庭耐用品消费、代际文化教育投资、闲暇消费和宗教节日消费五个方面的实证调研，分析农民中等收入阶层的消费镜像和结构效应。研究发现，农民中等收入阶层初具中坚力量的素质和特征，初步实现了中间结构效应。但是，社会转型期的过渡性特征、各种体制的不完善和农民的获致性特征决定了农民中等收入阶层还处在成长中，其结构性功能的实现还存在一定变数，需谨慎对待。第四，测量了农民中等收入阶层的职业声望评价和社会经济地位，验证了社会经济地位指数能够作为分析农民中等收入阶层流动的基础，发现农民中等收入阶层获得了较高的社会认同，能够作为乡村社会的权威主体。第五，研究了农民中等收入阶层的教育地位获得、职业地位获得和经济地位获得，发现农民中等收入阶层的地位获得过程是复杂的，与西方发达国家和中国城镇个人的地位获得模式相比较，呈现出自身的一些特殊性：制度因素对个人地位获得的直接影响最为显著，先赋因素发挥了重要作用，社会资本影响较强，获致因素的作用力最弱。而这种结果在相当程度上也是制度因素和先赋因素交织作用所致，教育自致机制的影响并未彰显。在社会转型期，农民中等收入阶层总体流动机会的提升，主要得益于改革开放的宏观制度环境，现代化和市场化成为农民获得中等地位的强劲推动力。但是，从具体的城乡制度安排分析国家与农民的关系，农民改进自身社会地位的进程却受到不平等机会的多重影响，造成不平等的叠加效应。第六，探析了农民占有资源的状况，整体定位农民的社会阶层位置，剖析影响农民获得社会优势位置的因素，探索培育农民中等收入阶层的机制和路径。笔者认为，从社会转型期农民与国家的关系考量，培育农民中等收入阶层，不仅是技术问题，还是发展的价值选择问题；不仅是经济问题，更是政治稳定和政治发展问题；不仅是反城市化留下的遗民问题，也是非农化进程中的移民问题，是社会体制变迁与结构创新问题。最后，研判了农民中等收入阶层可能的未来。梳理学者关于工业化和后工业化时期社会分层与流动趋势的经典研究，考察法国和美国等发达国家农民中产化的历史进程，分析了社会转型期中国农民中等收入阶层发展进程中的机会、变数、时机选择和阶层构成的可能态势。论文研究得出了一个基本结论：分析现状，农民中等收入阶层是农村社会初兴的中坚力量；展望未来，农民中等收入阶层是一个历史的向度，是城乡一体化进程中身份农民的终结。更多还原

【Abstract】 In the revolution of radically social transformation period, peasants are differentiatedrapidly whose profession and income present agriculture and no-agricultural multivariatecharacteristics. The stabilization of social status of peasant is not continued, some talents goup and the opposites fall down. Some peasants moved upward to middle income class whichoffers possibility to forming contemporary olive shape social structure. This is the one of themain characteristics in the social transforming period in the rural area and which willinfluence rural area modernization.30years after reformation and opening, social changes inthe rural area can be sum up as the middle incomer of peasant growing and who became themain power of rural area construction. So systematically researching the present situation ofmiddle incomers of peasant and fostering the class of middle incomers of peasant havesignificant theoretical and practice value.The paper researched on the class of middle incomers of peasant centered on the sevenkey issues of social stratification: who are they? What influence to rural area socialdevelopment do they bring when they grow up in the social transformation period? What aretheir structural characteristics and function? How to evaluate their reputation? How toachieve their social and economic status? How to foster them? What are their futures? Thesequestions cover forms, resources, structure and result of stratification and classificationprocess and stratification prospect.First, middle income class of peasant was defiled. Middle income class of peasant wastheoretical supposed on the base of look up reference material and observation then reallyconstructed by investigation. In the course of definition should take into account theirexisting regulations, circumstances, psychology, not only base on pure income because theirincome and living style is different from the townspeople. So this paper the middle incomeclass of peasant was defined according to the income gap between the town and rural area,contrast logic of peasant, profession and cognition habit of local society.Second, peasant differentiation and social classification were researched in the socialtransforming period. The changes of stratification mechanism and social chance structure inthe rural area were observed. The causes of peasant differentiation, the characteristic ofdifferentiation of profession, income and status were analyzed. The influence of social stratification and the arise of middle incomers of peasant to social development of rural areawere studied.Third, the structural characteristics and effects of middle income class were discussedand proved. The function of middle income class of peasant to social development embodieseconomy, politics, culture and society and so on. The paper selected two classical topics ofmiddle class as research contents: Are the middle income class of peasant the main power ofpolitical stabilization and economic development? Chapter3analyzed social attitudes andpolitical function of structure, consciousness of middle income class. Chapter4invested andanalyzed the consume trends and structural effects of middle income class of peasant byconsume of living necessities and home hardware, education investment between generations,leisure consume and the religious festival consume. The results shows that the middle incomeclass of peasant preliminary possess the quality and characteristic of main power，preliminaryachieve the effects of middle structure. While the transition character of social transformationand the imperfect systems determined that the middle income class of peasants is nowgrowing whose structural effects has some uncertain factors.Forth, professional prestige and social economic index of middle income class ofpeasant were analyzed.The result proved that social economic status index can be the base inanalyzing the mobilization of middle income class of peasant. Middle income class of peasanthad obtained the social agreement and who can be the authority in the rural area.Fifth, the achievement of education, occupation and economy standing of middle incomeclass of peasant was researched and found that the course of achievement is complicatedwhich shows some particularity compared with the people in western developed countriesand Chinese city and town. Social regulations have much significant influence to standingachievement; ascriptive factors and social capital have important influence while theachievable factors have the least influence. Social regulations and ascriptive factors haveinteractive influence while education achievable factors influence have not shows. Thechance of mobilization arises of middle income class of peasant mainly affected by theregulations of reformation and openness while modernization and marketification all haveforceful function to it. But the cause of peasant changing their social standing was influencedby unequal chance by analyzing the relationship between the country and the peasant for thedifferent regulation between the city and the rural area.Sixth, in order to get rid of the barriers and find ways of constructing the conditions ofpeasant possess resources were analyzed, social standing of peasant were defined, the factorswhich influence peasant achieved social advantage position were analyzed. The author regardas that fostering middle income class of peasant is not only technique issue but also developmental values selections; not only economic issues but also political stabilization anddevelopment; not only the problems of adherents of nativity but also immigration problems inthe cause of no-agriculture. All are the issues of systems change and structure innovations.Finally, the future of middle income class of peasant was predicted. The developmentchance, changes, chance selection, contracture selection of middle income class of peasantwere analyzed in the social transformation based on the classic theory of social stratificationand mobilization in the industrialization and post-industrialization period and historicalprocess of middle income class of peasant of French and American.The paper drew a conclusion that middle income class of peasant is the preliminary mainpower in the rural area development at present, is the historical tendency in the future and isthe end of peasantship in the city-town integration.更多还原