本文關鍵詞： 能力分析法 低福利增長 多維福利不平等 機會不平等 社會流動　出處：《華中科技大學》2014年博士論文　論文類型：學位論文

【摘要】：中國在過去三十多年里創(chuàng)造了經濟發(fā)展的奇跡,貧困人口迅速減少,人民生活水平有了明顯改善。但在“唯GDP論”的政策導向下,各級政府在制定和評估政策時以經濟發(fā)展為標準,政績考核“唯GDP論英雄”,而非經濟方面的發(fā)展沒有受到應有的重視。這種不協調的發(fā)展使得居民生活質量沒有得到應有的提升。2013年的人類發(fā)展報告顯示：中國人均國民收入位居全球第90位,而更能反映居民生活質量的人類發(fā)展指數卻位居全球101位,兩種排名之間的差距更是全球領先。如此巨大的差距除了因為“唯GDP論”的政策導向,也與越來越嚴重的社會不平等問題息息相關。 在經濟高速增長的同時,中國的社會不平等問題也漸漸突顯,這不僅體現在收入差距不斷擴大,還體現在教育不平等、健康不平等以及其它各種不平等問題。這些不平等使得社會的福利分布不平等比任何單一維度的不平等問題都要復雜。福利分布不平等進一步損害整個社會的福利水平,加劇了經濟增長與福利增長之間的脫節(jié)程度。此外,收入不平等、教育不平等、健康不平等等都是結果不平等,這些結果不平等可能源自機會分配的不平等也可能是人們自身責任因素引起的分配差異。機會不平等往往更不容易被社會大眾所接受,甚至會抑制經濟發(fā)展。這使得經濟發(fā)展與福利發(fā)展之間的關系更為復雜。應對這些復雜問題需要我們更清楚地認識中國當前的不平等問題。阿瑪蒂亞·森的能力分析法提供了非常有借鑒意義的分析視角。本文在能力分析框架下,從多維福利不平等和機會不平等這兩個方面探討中國當前的不平等問題。 多維福利和機會都是Sen在能力分析法中所強調的內容。在此框架下發(fā)展起來的多維福利不平等和機會不平等都是現代福利經濟學中的前沿課題。然而,國內有關這兩個方面的研究還比較少見,極少數相關的研究中還存在許多不足。本文將這兩個不平等問題結合起來探討,可以為理解中國當前的不平等問題提供更全面、更新穎的視角,也可以為相關的政策制定提供更豐富的經驗依據。本文的主要結論包括： (1)經濟發(fā)展與社會福利發(fā)展不協調的微觀機制在于,經濟增長沒有使得那些原本在非貨幣方面就處于不利地位的居民更多地享受增長的成果,相反,那些原本已經在非貨幣方面比較有利的居民在經濟增長過程中獲益較多。這也意味著經濟不平等并不能正確反映福利不平等。 (2)在收入、健康和教育三個維度的情況下,中國居民的福利不平等程度在加劇,且福利不平等對整個社會的福利水平造成的損失大約在15%左右。中國居民的福利不平等主要由收入不平等導致,其次是教育不平等,二者解釋了福利不平等的88%左右。健康不平等和收入、健康與教育三者之間的相關性在福利不平等中的作用相當,二者解釋了福利不平等的12%左右。分城鄉(xiāng)的估算結果表明,城市內部的福利不平等程度要低于農村內部。中國多維福利不平等的變化趨勢在大部分參數設定下是比較穩(wěn)健的。選用其他合理的社會福利函數形式也不會影響對多維福利不平等變化趨勢的判斷。然而,不同的參數設置對多維不平等的分解估算有較大影響。收入、健康與教育三者之間的相關性對福利不平等的作用隨著不平等厭惡系數的增加(在常用值范圍內)而增加。 (3)中國城市居民在獲取個人收入時面臨著較為嚴重的機會不平等,收入的機會不平等在加劇,且上升速度大于收入不平等的上升速度,這意味著個人責任因素(努力)在收入差距形成中的作用在弱化,也意味著中國的收入流動性在固化。中國居民的收入機會不平等不僅體現在起點時的機會不平等,還體現在過程中的機會不平等,這使得機會平等呈現出“累積”的現象。女性居民面臨更嚴重的收入機會不平等；中西部地區(qū)面臨的機會不平等比東部省份更嚴重。中國城市居民的收入機會不平等在多種機會不平等測度指標下所得的結果比較穩(wěn)健。此外,對總機會不平等的分解表明,家庭背景在形成收入機會不平等中的作用越來越重要,由其是父母的教育水平。性別雖然也是導致收入機會不平等的重要因素,但它在機會不平等中的作用保持相對穩(wěn)定的趨勢。 (4)居民的主觀機會不平等與居民的再分配偏好和流動性預期顯著相關,越是認為機會公平的居民越傾向于有向上流動的預期,也越不支持再分配政策。
[Abstract]:China has created a miracle of economic development over the past three decades , the poverty population has declined rapidly , and the living standard of the people has been remarkably improved . However , in the policy direction of the " only GDP theory " , the governments at all levels have not received due attention in the formulation and evaluation of policies . However , the development of non - economic aspects has not received due attention . The human development report in 2013 shows that China ' s per capita national income is ranked 90 in the world , and the gap between the two ranks is the world ' s leading edge . At the same time of economic growth , China ' s social inequality has become more and more prominent , not only in the widening income gap , but also in education inequality , health inequality and other inequalities . These inequalities make the social welfare distribution inequality more complex than any single dimension of inequality . The inequality of benefits is often less likely to be accepted by the public , and even inhibits economic development . The multi - dimensional welfare and the opportunity are the contents of Sen ' s ability analysis . The multi - dimensional welfare inequality and the opportunity inequality developed under this framework are the leading subjects in modern welfare economics . ( 1 ) The lack of coordination of economic development and social welfare development is that economic growth has not led to the increased enjoyment of growth by those who had been disadvantaged in non - monetary terms , and , on the contrary , those who had already been more favourable in non - monetary terms had benefited more in the process of economic growth , which also implied that economic inequality did not correctly reflect well - being inequality . ( 2 ) In the case of income , health and education , the welfare of Chinese residents is increasing , and the loss of welfare inequality is about 15 % . ( 3 ) China ' s urban residents face more serious opportunities for inequality in the acquisition of individual income , income inequality is increasing , and rising speed is greater than income inequality . This means that the role of individual responsibility factors in income gap formation is weakening , which means that China ' s income inequality is more serious than in the eastern provinces . In addition , the inequality of income opportunities in the central and western regions is more important than in the eastern provinces . In addition , the inequality of income opportunities in the central and western regions is more and more important , but it is an important factor leading to inequality in income opportunities , but it is a relatively stable trend in the role of inequality in opportunities . ( 4 ) The subjective opportunity of residents is not equal to the residents ' re - allocation preference and liquidity expectation , and the more the residents who consider the opportunity fair tend to have the expectation of upward mobility , the less the redistribution policy is supported .

【學位授予單位】：華中科技大學
【學位級別】：博士
【學位授予年份】：2014
【分類號】：F126.2;D632.1
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本文編號：1514599