转型期中国社会阶层固化探究

【作者】 杨文伟；

【导师】 吴忠民；

【作者基本信息】 中共中央党校 ， 科学社会主义与国际共产主义运动， 2014， 博士

【摘要】 时下，愈演愈烈的“二代”现象和“拼爹”行为，证明社会热议中的阶层固化之说，绝非妄言，而是转型期中国社会阶层结构变迁的一种客观趋向。阶层固化是指社会流动竞争中，出现先赋因素相对于自致因素占据明显优势、社会流动通道壅塞、社会跨阶层流动尤其是上行流动趋缓甚至停滞的一种趋向。它是社会利益趋于固化的结构表征，表明社会发展进程日渐被“优势”群体（在社会阶层结构中占据相对优势位置的既得利益群体）或强势阶层所控盘并出现代际传承之势，而弱势阶层则逐渐陷入边缘化、底层化的囧境，贫困和劣势地位也因之世袭。从结构转型到结构定型是任何社会迈向现代化的必经之路。应当看到，阶层固化是一种畸形的社会阶层结构定型化。正常的社会阶层结构定型化，理应表现为社会各阶层间的流动通道相互开放，障碍性、阻滞性因素被降至最低点，各个社会群体之间形成一种成熟而稳定的秩序，各安其位，各得其所。而现阶段的阶层固化则明显偏离了这一轨道，表现为阶层间流动通道堵塞，各个社会阶层在权利、资源、机会和生存空间上均处于不平等享有状态，社会利益获得、分配和享有规则向相对强势阶层（既得利益群体）倾斜而不利于相对弱势阶层（利益受损群体）。并且，这种不平等趋势大有不断巩固进而代际传承之势。基于以上研判，本文采用社会转型理论、差序格局理论和社会公正理论等理论工具组合，综合国际视野、历史背景和本土眼光，从阶层固化的现状表现、演化轨迹、深层动因、负面效应和应对方略这一逻辑链条，逐一展开铺陈、阐释和探析。论文相应地分为七个部分：导论部分首先揭示了选题背景及研究意义。在此基础上，遵循逻辑和事实相统一的原则，结合相关概念对阶层固化进行了合理界定。其次，较为详尽地梳理和介绍了目前学术界对阶层固化问题的研究现状，点明了既有研究的不足之处，同时表明了本研究所期待的突破与创新。再次，对本文所采用的理论工具进行了初步介绍，如社会转型理论、差序格局理论和社会公正理论。最后，结合研究需要，厘清了研究思路，阐明了研究方法。第一章主要是描述性研究，结合必要的事例、访谈、数据、图表等经验资料，沿着代内和代际两个维度，重点梳理、归纳和揭示了阶层固化在政治、经济、教育和社会生活各个领域的具体表现，确凿地指出当前中国社会的阶层固化正呈不断蔓延之势，理应引起足够的警惕和重视。第二章由“国际拼爹指数(IgE)排行榜”入手，将阶层固化置于宽广的国际视野下，重点考察了美国、俄罗斯、英国、日本和印度等国的社会阶层结构变迁和阶层固化现状特征。从而得出判断，在世界范围内，阶层固化是现代化进程中一个较为普遍的阶段性现象，所不同的是各自外显特征、演化历程、严重程度和表现形式不同而已，因此得出的经验教训及启示也各有不同。第三章着重阐述了转型期阶层固化的演进脉络。自改革开放以来，随着市场化进程的不断加深，以90年代中期为分水岭，中国社会流动呈现出明显的阶段性，大致可以分为分化流动期和边界形成期两大阶段。在分化流动期，农民阶层、工人阶层、知识分子阶层、干部阶层的分化流动相当活跃，并且产生了以个体户、私营企业主和专业技术和管理者为代表的新兴阶层。在边界形成期，随着贫富差距的不断拉大，阶层之间尤其是强势阶层和弱势阶层之间出现了种种有形和无形的阶层边界，并且，这种边界仍然在不断地增高加厚。第四章从差序格局的推拉作用、计划体制的惯性驱动、公共权力的扩张冲动、贫富分化的累积效应等维度出发，深入探析了每一维度下各种具体的体制机制，揭示了致使阶层固化加剧的复杂而深刻的动因。明确指出，这些因素相互交织、相互影响、相互作用，合力推高了时下的阶层固化之势。第五章全面探析了阶层固化的社会负面效应。总的来说，阶层固化与社会公正相互抵消，相互弱化。阶层固化程度越高，社会公正实现程度就越低，二者大致呈反比关系。具体来说，阶层固化的趋强，推动着社会资源、权利和机会向社会上层聚敛并以圈层化的形式实行闭环式流动，名、权、利高度复合叠加在强势阶层身上，社会中下层的生存和发展空间被日益压缩，社会垂直流动因之迟滞，社会认同基础不断被蚕食，社会阶层结构弹性减弱，阶层间分歧和隔阂因素增多，社会戾气上扬，成为社会矛盾多发频发的重要根源。从趋势上看，这一切最终都会集中体现在政治上——随着上层精英的愈益壁垒化和底层社会的扩容，促使精英循环蜕化为精英复制，类似于经济领域“劣币驱逐良币”的现象就会浮现。一旦大面积扩展，能力和道德双重逆淘汰将难以避免，最终酿成极端的负面政治效应——政权的周期性更迭，即所谓的“历史周期律”。第六章围绕维护社会公平正义这一核心理念，强调以群众路线为行动主线，比较系统地勾勒出了化解阶层固化的行动“路线图”——从改善基础民生、增进教育公平、优化阶层结构、规范公共权力等各个政策环节入手，初步提出了各个具体领域内的基本应对思路，藉此整合联动，创新社会治理，推进社会建设，促进不同阶层代内和代际之间资源、机会和权利的均衡配置，进而构筑起公正、合理、开放、畅通的社会流动机制和模式。本文认为，这才是现阶段实现“中国梦”的要义之所在。更多还原

【Abstract】 Nowadays,it is the growing "second generation" phenomenon and the"fight father"behavior to prove the class concreting as a hot public topic,not raving arrogantly,but an objective trend of Chinese social class structure in transformation.As is well known,class solidification means a trend that ascribed factors win overwhelmingly self-induced factors,social mobility channel is blocked,and social mobility across class,especially upstream-flow becomes more and more slowing until stagnation in the course of social mobility competition.It is the structural characterization of social interests concteting,prove that social development process is controlled increasingly by powerful class or vested interest groups inheriting themselves,but vulnerable class falls into a condition of gradual marginalization until the bottom of society,poverty and disadvantage status is also inherited.From transformation to stereotypes is the only way to any modern society towards modernization.It should be noted that class solidification is amalformation of social class structure finalized.Normal stereotypes of social class structure,its flow channel should be open to each other among thevarious social strata,the obstructive and blocking factors are bottomed out,a mature and stable order among social groups is formated,everything in its right place. However,class solidification significantly deviate from the normal track,the flow channel of strata become blocking in a state of inequality in rights,resources,opportunities and living space.The social rule of benefits deriving,distribution and enjoying is advantageous to the powerful class(vested interests groups)and disadvantageous to the vulnerable strata (detrimented interests groups).Furthermore,the inequal trend is consolidated continuously and passed to the next generation.Based on these hypothesis,we use the theories combination including the social transformation theory,the social justice theory and the pattern ofdifference sequence theory.According to comprehensive international perspective,historical background and local perspective,the paper develop a logic chain of interpretation and analysis from the performance,evolutionary track, deep causes,negative effects and solvement tactics of class solidification.Accordingly,the paper is divided into seven sections:Firstly,introduction reveals the background and significant value of thetopic.On this basis,we define the class solidification reasonably in accordance with relevant concepts to follow the principle of logic coincide to reality.Secondly,a quite detailed combing description to the current state of academic research on class solidification is performed,its defect is pointed out,too.Furthermore,the breakthrough and innovation in this study expected is also showed.Again,the theoretical tools used in this paper are conducted a preliminary introduction,such as social transformation theory,differential pattern theory and social justice theory.Finally,we clarify the research ideas,explore the research methods to satisfy to the research aim.Mainly,the first chapter is a descriptive study.Combining with the necessary cases,interviews,data,charts and other empirical materials,along the intra-generational and inter-generational dimension,we focus on the specific performance of class solidification in all areas of society including politics,economy,education and social life,conclusively indicate the current situation of Chinese class solidification is constantly expanding.It is time to attach importance to it.The second chapter starts from the index list of "international fight father"(IgE) about class solidification,places it under a broad international perspective,focuses on effects of social class structure changes and class solidification situation of United States,Russia,Britain,Japan and India.Finally,weconclude that the class solidification is a general phenomenon in process of modernization in the world,the differences lie in characteristics,evolutionhistory,severity and manifestations to these contries.The third chapter focuses on the evolution of class solidification intransformation phase.Since the reform and opening up,with the deepening process of marketization,as a watershed in the mid-1990s,China society hasundergone a clear social mobility stage which can be roughly divided into two phases.One is the social differentiation and mobility,the other is th e formation of class border.In first phase,peasantry,the worker class,the intelligentsia,and the cadres class has differentiated and flow actively until to the mid-1990s.Simultaneously,a new class including the self-employed,private owners and professional technicians and managers is produced.In thephase of boundary formation,with the widening gap between the rich and the poor,there have been various of tangible and intangible class boundaries between powerful class and disadvantaged class,and their boundariesbecome more and more thicker and higher.From the dimensions of view,such as push-pull effect of the pattern of difference sequence,the inertia drive of planning system,the expansion ofpublic power impulses,and the cumulative effect of polarization between the rich and the poor,The fourth chapter analyzes the various concrete institutional mechanisms under each dimension,reveals the complicated cause whythe class solidification is intensified.Obviously,the factors intertwine and affect each other,interact together to solidifiy the trend of class solidification.The fifth chapter explores the overall-negative effects of class solidification.Generally,class solidification offsets and weakens social justice each other.The higher the degree of class solidification,the lower the degree of realization of social justice.Specifically,the solidification of class,induces social resources,rights and upsteam opportunities towards the upper class in theform of social closed-loop flow,reputation,rights and interests superimposedhighly upon the powerful class.On the contrary,the lower and middle classsurvive and develope in a increasingly compressed space,their vertical flow retards consequently,social identity base continues to be undermined,social class structures become less flexible.At the same time,differences and estrangements are growing,social hostility is rising as a important root of social contradictions.In the end,all of this will be embodied in politics.With intensifying of the barriers between elites and grassroots,and expanding of thebottom of society,the elite cycle will become replication of degeneration.Then,similar to the economy,"bad money drives out good money"phenomenon will emerge in social mobility.Once expanding in a large area,it is diffic ult to avoid to ability and ethics double degeneration.Ultimately,an extremely negative political effects appear,a periodic change of the regime,in otherwords,so-called "Historical Periodic Law."Around a core philosophy on social justice,the sixth chapter systematically outlines the roadmap to resolve class solidification.For exemple,improving basic people’s livelihood,promoting educational equity,optimizing class structure,regulating public power.According of these,we should innovate thesocial governance system,improve the level of social construction step by step,and promote the balancing levels of resources,opportunities and rights configuration between intra-generational and intergenerational.Finally,something must be done to build a just,reasonable,open,fluency mechanisms and patterns of social mobility.In my opinion,it should be the true meaning of "China Dream".更多还原