【作者】 李雯铮；

【导师】 向运华；

【作者基本信息】 武汉大学 ， 社会保障， 2020， 博士

【摘要】 十九大以来,中国正处于全面建成小康社会的关键时期,从中央到地方,推进精准扶贫工作的顺利进行,确保贫困人口与全国一道进入小康社会成为政府工作的重中之重。改革开放以来,中国扶贫事业取得了辉煌成就,但是从绝对贫困数量看,中国贫困人口仍然高达3046多万人,中国的贫困治理工作仍然任重而道远。在贫困治理过程中,以受教育水平、健康状况和技能水平为基础的人力资本和以社会网络为基础的社会资本,对于提高居民收入水平、改善贫困状态具有重要意义。基于此,在全面建成小康社会的关键时期,系统研究人力资本、社会资本与居民贫困之间的内在逻辑关系,系统了解居民贫困的发生机制和影响机制,有针对性进行精准扶贫,不仅有利于提高精准扶贫的效率,而且对于全面建成小康社会具有重要的理论和现实意义。本文在文献述评的基础上,基于马克思、阿玛蒂亚·森的贫困理论和习近平“精准扶贫”思想,构建了中国居民贫困治理的研究框架,并基于人力资本、社会资本两个维度,从理论和实证两个层面分析了人力资本、社会资本对于居民贫困的影响机理,最后提出中国居民贫困治理的路径选择。本文研究围绕四大主线展开:一是从整体上梳理了中国居民贫困问题研究的基本背景,并构建了本文研究的理论框架;二是基于研究框架,实证分析了人力资本、社会资本对于居民贫困的影响效应,并阐释了人力资本、社会资本对于贫困影响的渠道效应和异质性问题;三是分别以美、英发达国家和巴西、印度发展中国家为例,系统梳理了国际贫困治理实践及其对中国贫困治理的经验启示;四是基于上述研究,最后构建了中国居民贫困的治理机制,并提出了相应的政策建议。首先,论文系统分析了中国居民贫困问题的基本背景与研究框架。改革开放以来,中国成为世界范围内经济增长最快的国家之一。经济增长消除贫困的同时,也造成了贫富差距的扩大,并且受到区域经济发展水平、健康状况和保障水平等因素的影响,我国居民贫困产生较大的群体性差异。从计划经济时期到改革开放以来,中国政府一直致力于贫困治理的政策实践,积累了丰富的宝贵经验。从理论上看,制度变迁、责任基础、改革诉求等制度性治理理念是中国政府贫困治理的基本逻辑。从实践层面看,制度创新是中国政府贫困治理的基本路径,为提高贫困群体的生活水平,消除贫困问题奠定了基础。其次,基于研究框架,实证分析了人力资本、社会资本对居民贫困的影响效应。基于学者研究,本文将人力资本变量操作化为教育、健康和技能三个维度,将社会资本变量操作化为制度型社会资本和非制度型社会资本两个维度,实证分析了人力资本、社会资本对于居民贫困影响的基准结果,并采用得分倾向匹配得出影响净效应及采用变量替换法进行稳健性检验。在此基础上,进一步分析了人力资本、社会资本对于居民贫困影响的异质性问题,包括年龄差异、性别差异和城乡差异。最后,从收入差异、劳动力流动和自主创业三个维度对人力资本、社会资本对居民贫困的影响机制进行理论阐释,最后基于上述三个方面对人力资本、社会资本影响居民贫困的机制进行检验。再次,“他山之石,可以攻玉”。国外政府贫困治理实践对中国居民贫困治理具有重要的启发意义。基于此,论文从宏观层面、微观层面和减贫效果三个维度,以巴西和印度为例比较分析了发展中国家贫困治理实践,以及从社会保险、社会救助和法律法规三个维度,以英国和美国为例比较分析了发达国家贫困治理实践,最后得出国外贫困治理实践对中国的经验启示,包括选择适用于本国国情的贫困治理模式与发展战略、扩展人力资本和社会资本是贫困治理的关键环节、完善的法律法规是贫困治理成效的基本保证和政府主导、多元主体参与是贫困治理的发展趋势等。最后,基于上述研究,论文构建了中国居民贫困的协同治理框架,并提出了相应的政策建议。现阶段,中国贫困治理存在着政府主导造成的“福利陷阱”难题,贫困治理协同效应不足造成的“碎片化”问题和贫困治理中的“输血”偏好等等。在此基础上,基于人力资本与社会资本的整体视角,论文提出了贫困治理的新思维,构架了中国居民贫困的协同治理机制。论文最后提出了完善中国贫困治理实践的政策建议,包括提升贫困群体人力资本的减贫效应、提升养老保险和医疗保险等制度型社会资本的保障水平、促进非制度型社会资本的培育积累和提高人力资本与社会资本的协同互动效应,以期为消除贫困问题提供参考依据。更多还原

【Abstract】 Since the 19 th national congress,China has been in a critical period of building a moderately prosperous society in all respects.It has become the top priority of the government to promote targeted poverty alleviation work from the central government to local governments and ensure that the poor people join the whole country in building a moderately prosperous society.Since reform and opening up,China has made great achievements in poverty alleviation.However,the number of people living in absolute poverty is still over 80 million.In the process of poverty governance,human capital based on education level,health status and skill level and social network-based social capital are of great significance for improving residents’ income level and poverty state.Based on this,in the critical period of build a well-off society in an all-round way,systematic study of human capital,social capital and the internal logic relationship between poor residents,residents system to understand the occurrence of poverty and the influence mechanism,precision targeted for poverty alleviation,is not only beneficial to improve the efficiency of the precision of poverty alleviation,and to build a well-off society in an all-round way has important theoretical and realistic significance.In this paper,on the basis of literature review,based on Marx and western scholars such as Amartya Sen’s theory of poverty and Xi "precise poverty alleviation" thought,constructed the Chinese residents of poor governance research framework,and based on human capital,the two dimensions of social capital,from two aspects:theoretical good empirical analysis of the human capital,social capital,the influence mechanism for poor residents,finally put forward the path selection of Chinese residents of poverty.This paper revolves around four main line: one is from the overall combed the basic background of the research of Chinese residents to poverty,and build the theoretical framework of this study,the second is based on the research framework and empirical analysis on the human capital,social capital for residents of poor effect,and explains the channels of the influence of human capital,social capital for poor effect and heterogeneity inspection.Third,from the developed countries of the United States,the United Kingdom and the developing countries of Brazil and India,we systematically set up the practice of international poverty management and its enlightenment to China’s poverty management experience.Fourthly,based on the above research,the paper finally constructs the governance mechanism of Chinese residents’ poverty and puts forward corresponding policy Suggestions.Firstly,the paper systematically analyzes the basic background and research framework of the poverty problem of Chinese residents.Since the reform and opening up,China has become one of the countries with the fastest economic growth in the world.While economic growth eliminates poverty,it also leads to the widening of the gap between the rich and the poor.Affected by regional economic development level,health status and security level,the poverty of Chinese residents has a large group difference.From the period of planned economy to the reform and opening up,the Chinese government has been committed to the policy practice of poverty control,and accumulated a wealth of valuable experience.Theoretically,institutional governance concepts such as institutional change,responsibility basis and reform appeal are the basic logic of poverty governance of the Chinese government.From the perspective of practice,institutional innovation is the basic path of poverty governance of the Chinese government,which lays a foundation for improving the living standards of the poor groups and eliminating poverty.Secondly,based on the research framework,this paper empirically analyzes the effects of human capital and social capital on residents’ poverty.Based on academic research,this article will human capital variables into operation skills education,health,and three dimensions,the social capital variables into a system of social capital and the operation system type of the two dimensions of social capital,the empirical analysis of the human capital,social capital effects on residents’ poverty,using scores tended to match the benchmark results net effect and the influence of variable substitution method is adopted to improve the robustness test.On this basis,the heterogeneity test of the impact of human capital and social capital on the poverty of residents was further analyzed,including age difference,gender difference and urban-rural difference.In addition,the influence mechanism of human capital and social capital on resident poverty is theoretically explained from the three dimensions of income difference,labor flow and self-employment.Finally,the influence mechanism of human capital,social capital and resident poverty is tested based on the above three aspects.Thirdly,"stone from another mountain can attack jade".The practice of poverty management of foreign residents is of great enlightening significance to the poverty of Chinese residents.Based on this,the paper from the macro level and micro level and poverty reduction effect of three dimensions,Brazil and India,for example the comparative analysis the elderly poor governance practices in developing countries,as well as from the social insurance,social relief and three dimensions,laws and regulations in Britain and the United States,for example the comparative analysis the elderly poor governance practices in developed countries,and finally concluded that poor governance practices abroad experience revelation to China,It includes choosing the poverty governance model and development strategy suitable for the national conditions,expanding human capital and social capital as the key link of poverty governance,perfecting laws and regulations as the basic guarantee of poverty governance effectiveness,leading by the government,and multi-subject participation as the future development trend of poverty governance.Finally,based on the above research,this paper constructs the collaborative governance framework of Chinese residents’ poverty and puts forward corresponding policy Suggestions.At present,there are "welfare trap" problem caused by government leading,"fragmentation" problem caused by lack of synergy effect and "blood transfusion" preference in poverty management in China.On this basis,based on the perspective of human capital and social capital,the collaborative governance mechanism of Chinese residents’ poverty is constructed.Paper finally put forward the policy Suggestions to perfect the Chinese poor governance practices,including human capital in the promotion effect of poverty reduction,endowment insurance and medical insurance system,such as the guarantee of social capital level,and promote the system type breeding accumulation of social capital and promote the coordination interaction effect of human capital and social capital.更多还原