本論文主要在探討蘇聯「職官名錄」制度的形成、運作和廢止。本論文共分為五章： 第一章為導論，敘述本論文之研究動機、研究目的、研究架構、研究途徑。第二章探討「職官名錄」制度的形成，首先論述形成的背景因素，次就形成原因和過程加以探究。第三章剖析「職官名錄」制度的運作，首先就「職官名錄」的範疇加以敘述，接著以幹部甄選和訓練作為探討重點；此外，本章亦就赫魯雪夫和布里茲涅夫時期的幹部政策做了解，以充分掌握蘇聯人事制度的演變。第四章論及「職官名錄」制度的廢止，先由「職官名錄」制度的影響著墨，檢視此制度對蘇聯所造成的影響，接著以戈巴契夫的幹部改革政策為主軸，探究「職官名錄」的廢止。第五章為結論。 在研究的過程中，筆者認為蘇聯政治體系的運作除了以極權統治為基礎外，各個領導者透過「職官名錄」來控制人事的任命工作，亦是鞏固權力的重要工具之一。戈巴契夫廢止「職官名錄」雖然有助於消弭布里茲涅夫時期領導階層人員老化的現象，卻也間接的導致蘇聯整個人事制度的改變，而這些問題便成為俄羅斯時期葉爾欽的重要施政問題之一。 第一章 導論 1 第一節 研究動機與目的 1 第二節 研究架構 3 第三節 研究途徑 4 第二章 「職官名錄」制度的形成 7 第一節 「職官名錄」制度形成的背景 7 第二節 「職官名錄」制度形成的原因 30 第三節 「職官名錄」制度形成的過程 34 第三章 「職官名錄」制度的運作 43 第一節 「職官名錄」的範疇 44 第二節 「職官名錄」制度的運作方式 57 第三節 赫魯雪夫時期 69 第四節 布里茲涅夫時期 77 第四章 「職官名錄」制度的廢止 85 第一節 「職官名錄」制度對蘇聯的影響 86 第二節 戈巴契夫的新幹部改革 94 第五章 結論 107 附錄 113 參考書目 119 / The theme of this thesis is to probe into the establishment, exercise, and abolishment of the nomenklatura system in the USSR. There are five Chapters in the thesis. Chapter One is instruction to present the motive, purpose, framework and methods of the study. Chapter Two is concerned with the establishment of the nomenklatura system, which illustrates the background of power shifts and analyzes the process and factors in this period of time. Chapter Three portrays the exercise of the nomenklatura system, which discusses the category and delves the cadre recruitment and discipline. Furthermore, it provides a general view on the cadre policy during the Khrushchev and Brezhnev generations, which contains details about the changes in the Soviet personnel administration. Chapter Four discusses the abolishment of the nomenklatura system, with the focus on its impact to the country. Subsequently, there is an issue discussing the mutual relationship between the cadre policy and the abolishment of the nomenklatura system under Gorbachev. Chapter Five is conclusion of the thesis. In the process of study, some general points should be noted. Soviet leader’s approaches to control personnel appointments through the nomenklatura system are obviously understood, since those approaches are one of important instruments to consolidate their power. Although the abolishment of the nomenklatura system under Gorbachev helps to prevent the ruling classes from aging in the Brezhnev generation, it indirectly results in the shifts in the whole Soviet personnel management system.