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Significance of the Research 6 Research Framework and Methodology 12 Summary of Major Findings 14 Tendencies of Social Mobility in China 21 CHAPTER 1 CLASSIFICATION OF TEN SOCIAL STRATA ........................ 27 Criteria for Classification of Ten Social Strata 27 Classification of Occupations and Three Types of Resources Theory of Social Stratum Classification Criteria for Classification of Social Strata Composition of Ten Social Strata 35 State and Social Administrators Managerial Personnel Private Entrepreneurs Professional and Technical Personnel Clerical Personnel Individual-Operated Business Proprietors Commercial and Service Personnel Industrial Workers Agricultural Laborers The Urban-Rural Jobless, Unemployed, and Partially Unemployed The Analytical Framework of Social Mobility in Contemporary China 51 General Rules of Social Mobility Particular Mechanisms of Social Mobility in China The Analytical Framework of the Study CHAPTER 2 FIVE TIDES OF SOCIAL MOBILITY IN CONTEMPORARY CH INA .................................................................................................................. 61 Reconstruction of Social Class Structure in China (1949-1956) 63 Backgrounds and Major Characteristics The Urban and Rural Class Structure before and after 1949 Rearrangements of Class Relationships The Socialist Transformation TheNewEducational System and Increasing Opportunities Establishment of the Multidimensional Dual Status Systems (1957-1965) 81 Economic Fluctuations and Institutional Needs to Establish the Systems Formation of the Multidimensional Dual Status Hierarchy Vicissitudes in Political Movements Disorder of Social Mobility (1966-1977) 95 The Cultural Revolution: A Political Movement without Winners The Rustication Movement: The Second Anti-Urbanization Distortion of the Educational Mobility Mechanism Rural Industrialization and Changes of Employment Structure Transition of Patterns of Social Stratification and Mobility (1978-1991) 104 The End of the Political Class Dual Status System Institutional Reforms and New Social Stratification-Mobility Mechanisms Transition of Industrialization Pattern and Expansion of Social Mobility Space Preliminary Formation of the New Social Stratum Structure (Since 1992) 118 New Trends in Changes of Social Mobility Space Allocation of Educational Resources and Opportunities Solidification of Structure and Ranks of Social Strata CHAPTER 3 THE PRO-HIGH-LEVEL TREND IN OCCUPATIONAL STRUCTURE ........................................................................................................ 130 Characteristics of the Pro-High-Level Trend in Occupational Structure since 1978 130 The Worldwide Trend of Occupational Structure Transition The Incremental Pro-High-Level Trend in Occupational Structure Driving Forces of the Incremental Pro-High-Level Trend The Pro-High-Level Trend Driven by Modernization Factors 141 Economic Development Growth of Household Consumption Technological Progress Industrialization and Upgrade of Industrial Structure The Clustering Effect and Spillover Effect of Urbanization The Pro-High-Level Trend Driven by Marketization Factors 160 The Reform of the Ownership System The Arising of Business Managers from the State-Owned Enterprise Reform Market-Oriented Reforms and the Opening-Up Policy CHAPTER 4 ORIGINS AND MOBILITY PATHS OF TEN MAJOR SOCIAL STRATA................................................................................................ 176 Mobility Characteristics of the Strata with Advantaged Status 177 State and Social Administrators: More in and Less out Managerial Personnel: A Growing Stratum with Free Entrances Private Entrepreneurs: The New Rich Rising from Lower Status Mobility Characteristics of the Strata in Middle-Level Positions 198 Professional and Technical Personnel: A Bridge in Social Mobility Clerical Personnel: A Buffer Zone between the Lower and Upper Strata Individual-Operated Business Proprietors: Outsiders with Few Upward Opportunities Mobility Characteristics of The Lower Strata 205 Commercial and Service Personnel: Expanding with Multiple Outlets Industrial Workers: Changing Composition and Decreasing Size Agricultural Laborers: A Highly Stable Stratum with Increasing Mobility The Urban-Rural Jobless, Unemployed, and Partially Unemployed: An Emerging Bottom Summary: Openness and Closure of the Chinese Social Structure 217 CHAPTER 5 SOCIAL MOBILITY MECHANISMS IN CONTEMPORARY CH INA ............................................................................................................... 221 The Strategy for Analysis of Social Mobility Mechanisms 222 Definitions of Concepts Major Research Questions Research Strategy and Variables Attainment of Occupational Status 228 Attainment of the First Occupational Status Attainment of Current Occupational Status Attainment of Work- Unit Status Attainment of Educational Status 239 Attainment of Authority Status and Its Impact on Social Mobility 244 Some Conclusions on Mechanisms of Social Mobility in China 249 No "Non-Stratified" Period Ever Existed in China Influences of Institutional Arrangements and Intergenerational Inheritance The Rise of Social Status Supported by Educational and Political Capital China is Turning into an Open Society CHAPTER 6 SOCIAL MOBILITY OF THE STRATUM OF STATE AND SOCIAL ADMINISTRATORS........... ..................255 The Basic Profile of the Stratum of State and Social Administrators 255 Macro-Level Institutions Related to Social Mobility of the Stratum 257 Boundary, Size, and Mobility Paths Major Entrance for Individuals The Entry and Exit Mechanisms Micro-Level Mechanisms of Social Mobility 280 Intergenerational Mobility Intragenerational Mobility Impact of Informal Institutional Factors 282 CHAPTER 7 THE FORMATION OF THE STRATUM OF PRIVATE ENTREPRENEURS ......................................................................................... 287 The Development of the Stratum of Private Entrepreneurs 288 Social Origins of Private Entrepreneurs 293 A Male Dominated Stratum The Increasingly High Threshold of Educational Level The Rising Proportion of Party Members The Reproduction of Elite and Quasi-Elite Objective Socio-economic Status of Private Entrepreneurs 301 Expanding Economic Strength Increasing Contributions to Socio-Economic Development Perception of Social Status and Political Participation 305 Private Entrepreneurs' Perception of Their Own Social Status Political Participation CHAPTER 8 THE EMERGENCE OF THE NEW MIDDLE STRATUM.... 314 Concept of the New Middle Stratum and Its Social Origin 314 Definition of the New Middle Stratum Social Backgrounds of the Emergence of the New Middle Stratum The New Middle Stratum in Modern China and its Social Background 318 Definition of the New Middle Stratum in Modem China Emergence of the Middle Stratum in Contemporary China Composition and Characteristics of the Middle Stratum 326 Social Origins Characteristics of the Middle Stratum CHAPTER 9 SOCIAL MOBILITY OF WORKERS ....................................... 336 The Explanatory Framework and Social Status of Workers 336 Characteristics of Workers: Who are They 342 Entries of the Stratum: Who Became Workers 346 Outlets of the Stratum: Who Moves Upward 351 Outgoing of Workers: Who were Laid-Off or Unemployed 357 CHAPTER 10 SOCIAL MOBILITY OF PEASANT-WORKERS.................. 361 Definition and Social Atributes 362 Definition of Peasant- Workers Basic Social Attributes Social Mobility of Peasant-Workers 369 Social Status History of Peasant-Workers'Social Mobility Mechanisms of Social Mobility The Peasant-Worker System and Lag of Social Mobility 390 Explanations of the Peasant-Worker System The Lag of Social Mobility of Peasant-Workers Is a New Working Class Growing Up in China? CHAPTER 11 SOCIAL MOBILITY OF AGRICULTURAL LABORERS... 395 Definition and the Size of the Stratum of Agricultural Laborers 395 Characteristics of Social Mobility of the Stratum before 1978 399 The Land Reform and Cooperativization: 1949-1956 The People's Commune Movement: 1957-1965 The Cultural Revolution: 1966-1977 Characteristics of Social Mobility of the Stratum after 1978 405 Prospects of Social Mobility for Agricultural Laborers 409 CHAPTER 12 THEORIES AND SURVEY METHODS ................................. 413 Theories of Social Stratification 413 Explanations for Survey Methods 420 The Procedure and Organization of the Survey Executive Summary of the Nationwide Survey