本文選題：制度 + 資本　； 參考：《復旦大學》2011年博士論文

【摘要】：家庭背景如何影響干部地位獲得不僅是民眾普遍關心的問題,也引起了代際流動研究和政治精英研究的關注。隨著中國政治和經濟體制的變遷,在不同的歷史時期,哪些家庭的子代在干部選拔中占優(yōu)勢,家庭背景作用的機制是什么,變化的原因又是什么?為了回答這些問題,筆者從一般資本理論和制度分析出發(fā)構建一個分析的框架。筆者認為家庭背景的作用本質上是一個代際資本轉化的過程,而這一過程又是嵌入在制度背景之中的。具體而言,干部選拔錄用制度規(guī)定了必需的資本類型,就決定了不同家庭的機會結構,入黨和升學等制度安排則決定了代際間資本轉化的具體形式。 改革前的干部選拔是一種特殊主義原則的逆向選拔,包括階級庇護和政黨庇護。良好的家庭出身和黨員身份相應地成為干部地位獲得最重要的政治資本。在階級標簽系統(tǒng)中,家庭背景以家庭出身的形式直接作用于干部選拔,同時還影響子代對黨員身份的獲取,入黨成為家庭背景發(fā)揮作用的中間機制。 改革以后,隨著黨政治路線的調整,干部選拔錄用制度轉向普遍主義的績效選拔。教育程度取代家庭出身成為干部選拔重要的標準,而逆向選拔中僅存政黨庇護。同時,干部委任制本身的制度缺陷使社會資本在正式制度之外成為決定干部地位獲得的重要因素。結果,文化資本、政治資本(黨員身份)、社會資本成為改革后干部地位獲得最重要的三種資本類型。在上述制度條件下,權力精英、經濟精英和文化精英組成的優(yōu)勢家庭通過入黨和升學這兩個中間機制,將家庭優(yōu)勢資本轉化為子代的政治資本和文化資本從而增加他們成為干部的機會。而干部子弟更是憑借父代的權力資本和社會關系積累起豐富的社會資本,在干部選拔中獨享特權,實現了干部家庭權力地位的再生產。 筆者基于2003年全國綜合調查的數據(CGSS2003),運用離散時間的事件史分析技術,對以上理論觀點以及命題進行了檢驗。研究結果表明：(1)在改革前的歷史時期(1950-1977),政治聲望最高的軍人的子代在干部選拔中占據優(yōu)勢,入黨是家庭出身發(fā)揮作用的中間機制。(2)在改革后的歷史時期(1978-2003),除了軍人子弟,干部和專業(yè)技術人員的子代也在干部選拔中占優(yōu)勢,入黨和升學是中間機制。尤其是中上層干部的子代,在控制了教育和黨員身份之后依然具有顯著的優(yōu)勢。
[Abstract]:How family background affects cadre status is not only an issue of general concern, but also a concern of intergenerational mobility research and political elite research. With the change of China's political and economic system, which families' children are dominant in the selection of cadres in different historical periods, what is the mechanism of family background, and what are the reasons for the changes? In order to answer these questions, the author constructs an analytical framework from general capital theory and institutional analysis. The author believes that the role of family background is essentially a process of intergenerational capital transformation, and this process is embedded in the institutional background. In particular, the system of selecting and employing cadres determines the necessary capital types, which determines the opportunity structure of different families, and the institutional arrangement of joining the Party and entering the university determines the specific form of intergenerational capital transformation. Cadre selection before reform is a kind of adverse selection of special principle, including class protection and political party protection. Good family background and party membership have accordingly become the most important political capital for cadre status. In the class label system, family background plays a direct role in the selection of cadres in the form of family background, at the same time, it also affects the acquisition of party members' status by children, and joining the party becomes the intermediate mechanism for family background to play a role. After the reform, along with the party's political line adjustment, the cadre selection and employment system turns to the universal principle of performance selection. Education has replaced family background as an important criterion for cadre selection, while only political parties have been sheltered in adverse selection. At the same time, the institutional defects of the cadre appointment system make social capital an important factor in determining the status of cadres outside the formal system. As a result, cultural capital, political capital (party member status) and social capital are the three most important types of capital after the reform. Under the above system conditions, the superior families composed of the elite of power, the economic elite and the elite of culture pass through the two intermediate mechanisms of joining the Party and advancing to school. To transform the superior family capital into the political capital and cultural capital of their children, thus increasing their chances of becoming cadres. And the children of cadres have accumulated abundant social capital by the power capital and social relations of the father and generation, and have enjoyed special privileges in the selection of cadres, thus realizing the reproduction of the family power status of cadres. Based on the data of the 2003 National Comprehensive Survey (CGSS 2003), the author uses discrete time event history analysis technology to test the above theoretical viewpoints and propositions. The results show that: (1) in the historical period before the reform (1950-1977), the offspring of the most prestigious military personnel occupied an advantage in the selection of cadres, and joining the Party was the intermediate mechanism of family origin. (2) in the historical period after the reform (1978-2003), except for the children of the servicemen, The offspring of cadres and technical personnel are also dominant in the selection of cadres. Joining the Party and advancing to school are the intermediate mechanisms. In particular, the upper-middle-class cadres in the control of education and membership of the children still have significant advantages.
【學位授予單位】：復旦大學
【學位級別】：博士
【學位授予年份】：2011
【分類號】：C912.6

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