节点文献
中国农村居民收入不平等问题研究
Studies on the Income Inequality of China Rural Inhabitants
【作者】 王辉;
【导师】 张东辉;
【作者基本信息】 山东大学 , 西方经济学, 2011, 博士
【副题名】经济增长、消费与技术进步的视角
【摘要】 收入分配问题一直是经济学研究的重要问题,A·B·Atkinson曾指出“没有任何一个问题比收入分配更令人感兴趣,但也没有任何一个经济问题像收入分配一样缺少研究”。在很长一段时期内,传统的经济学认为公平和效率之间存在着一定的替代关系,追求公平的分配方式必然以效率的损失为代价,库兹涅茨的倒“U”型理论似乎支持了这种取舍关系,即在经济增长的早期阶段,随着收入水平的提高,收入分配的不平等程度呈现出扩大的倾向,而在随后的时期,随着收入水平的进一步提高,收入分配状况将得以改善。但是,20世纪90年代以来的大量经验性研究表明,不平等对经济增长存在着负的相关性,收入的不平等提高了机会的不平等,遏制了人力资本的形成,并消弱了制度的发展。因此,不平等与经济增长在不同的国家、不同的时期表现出不同的相关性。自1978年实行改革开放以来,我国经济取得了举世瞩目的成就,1978-2009年期间,我国GDP平均年增长率达到9%以上,大大高于世界平均水平。然而,自实行改革开放以来,我国收入和财富分配的格局也发生了重大变化,贫富差距不断拉大,社会收入分配不平等问题日益突出和严重,收入分配不平等已经成为严重影响社会和政治稳定的重要问题。对中国改革开放的历程考察可以发现,以联产承包责任制为代表的农村经济体制改革拉开了中国改革开放的序幕,改革初期,中国农村经济不但增长迅速,而且农村内部收入分配的差距也不断下降,改革遵循了“帕累托改进”的原则,实现了效率与公平的双赢局面。近年来,随着我国农村经济的快速增长,由于政府在法律、税收、社会保障等方面制度改革的滞后,收入分配制度改革并没有延续“帕累托改进”的原则,农村收入不平等的现象逐渐凸显,这种不平等不仅仅表现为农村居民内部收入差距的扩大,还表现为区域间农村居民收入差距的上升,收入不平等的上升严重影响了我国经济的均衡发展。本文从增长、消费以及技术进步的角度研究收入不平等的影响,通过对中国农村经济发展的分析探索收入不平等与经济增长、消费结构变迁以及技术进步之间的相互关系。首先,从收入构成的角度对导致农村居民收入不平等的原因进行了深入探讨。通过对农村居民收入构成的分析发现,当前阶段造成农村总体收入不平等上升的主要原因是工资性收入和财产性收入差距,研究期内工资性收入和财产性收入的拟基尼系数始终大于总收入的基尼系数;而经营性收入和转移性收入的拟基尼系数小于总收入的基尼系数,这两种收入构成对总收入不平等具有一定的缓解作用。但是,从各个收入构成的拟基尼系数弹性分析上看,工资性收入和经营性收入对收入差距扩大和缩小的作用逐渐减弱;财产性收入和转移性收入对收入差距的贡献在样本期内整体上有所提高,尽管当前其对收入差距的贡献较小,但是,提高转移性收入,加大转移性支付的力度应是降低农村居民收入差距的重要手段。其次,对中国农村经济增长与收入不平等之间相互关系进行实证检验。分析表明,我国农村居民收入不平等有利于农村地区的经济增长,而农村地区经济的增长却具有降低收入不平等的作用,这两种相反的力量缓解了我国农村居民收入不平等程度的上升。但是,在农村经济增长过程中,不平等本身会引起更大的不平等。虽然,从长期来看,经济增长对不平等的缓解作用逐渐增强并超过不平等自身的惯性作用,但是,这是一个漫长的作用过程,并且从累加效应上看,这种作用不足以导致收入不平等的下降,因此,农村经济自身并不能产生涓滴效应。另外,富裕的阶层存在将资产从农村向城市转移的倾向不利于农村地区投资的增长,对于我国农村地区经济发展而言,提高农村地区的社会福利水平,改变经济增长过程中投资的流出效应,是亟待研究的重要问题。第三,验证了农村收入不平等对消费的促进作用。传统的凯恩斯消费理论认为,收入的不平等导致居民消费水平的下降。本文采用持久收入模型分析发现,随着我国农村收入不平等程度的提高,不平等对农村消费水平具有促进作用。农村居民的基本需求占纯收入的比重呈现倒“U”型形态,说明我国农村居民的基本生活需求已经得到满足;高收入阶层相对于低收入阶层而言具有较高的收入弹性,说明当今农村居民正处于消费结构升级的转型时期,如何转变消费观念,促进消费结构升级是推动农村地区消费增长的主要思路。另外,从区域间农村居民消费不平等的分析来看,消费的基尼系数呈现倒“U”型,本文认为,这反映了我国农村居民对于满足自身的基本需求以外的消费十分谨慎,市场经济改革过程中产生的收入和消费的不确定性使得农村居民的预防性储蓄水平不断提高,这在一定程度上抑制了农村居民消费水平的提高。第四,利用随机前沿分析方法对影响农村居民收入差距的因素进行分析。运用随机前沿分析方法对中国区域农村经济的技术效率进行分析得知,劳均物质资本和劳均人力资本差异是造成全国范围农村区域间收入差距的主要原因,提高固定资产投资、加大教育投入改善教育环境是落后地区缩小与发达地区差距的主要手段;从东、中、西部各自的发展情况看,劳均物质资本是影响东部地区收入差距的主要因素,劳均人力资本是影响中部地区收入差距的主要因素,而二者均对西部地区收入差距产生重要的影响。另外,本文还以乡镇企业要素分配的数据验证了技术进步对收入分配不平等恶化的促进作用。本文共分为七章,具体的结构安排如下:第一章为导论部分,阐述了对收入不平等问题研究的必要性,并对本文涉及的基本概念、研究方法、结构安排以及创新之处进行详细的说明。第二章为文献综述部分,对经济发展理论以及涉及收入不平等与经济增长、消费变迁和技术进步之间关系的文献进行梳理并加以评述。第三章对中国农村居民内部收入不平等和区域间不平等现象进行描述和分析,探究造成中国农村收入不平等的具体原因。主要内容包括:改革开放以来中国农村居民总体收入增长和收入差距变迁的轨迹、通过对收入构成的分析研究造成中国农村居民总体收入差距扩大的原因、区域间农村居民收入差距变化趋势及影响因素等。第四章研究了收入平等和经济增长之间的相互作用机制,包括利用SVAR模型对中国农村居民内部收入不平等与经济增长关系的分析,以及运用动态面板数据模型对区域间收入不平等与经济增长关系的分析。第五章是关于收入不平等与消费不平等关系的研究,首先利用中国农村居民收入和消费数据验证了收入不平等对消费增长的影响,并采用ELES模型对这种影响加以解释;其次,讨论了区域间不同收入水平下的居民消费不平等的变动趋势及消费结构对消费不平等的影响,并利用“心理账户”理论分析收入结构对消费结构的影响。第六章分析了技术进步与收入不平等之间的关系,主要内容包括利用随机前沿分析方法分析了中国省际间农村技术进步对收入增长的影响,考察了农村不同地区各投入要素对居民收入的贡献;并通过采用乡镇企业收入分配数据论证了技术进步过程中中国农村收入不平等程度恶化的趋势。第七章是结论部分,对本文的研究进行归纳并根据研究的不足提出对不平等问题未来研究的展望。
【Abstract】 Income Distribution is always the important question to the economic studies. A.B.Atkinson once indicate that there is no other questions more interesting than income distribution, and also there is no other economic problem which is short of research like income distribution. Over a long period of time, triditional economics thought that there is some substitutional relationship between equity and efficiency. Pursuing the fair distribution will be at a cost of efficiency. The Kuznets inverse "U" theory seemly hold out this substitutional relationship. The inequality of income distribution exhibit the rising inclination with the rising income level during the earlier phase of economic development and then declined gradually. But lots of empirical research indicated that inequality has negative influence on the economic growth since 1990s. Income inequality increased the chance inequality, supressed the constitution of human capital, and slacking down the development of institution. In different countries, there were different relationship between inequality and economic growth during different periods.Since the reform and openness in 1978, the China economic development has gotten furthermore, scored impressive achievements. The average growth rate of GDP reached 9% from 1978 to 2009 which is much more higher than the global averge. But the structure of income and wealth distribution has changed greatly. The gaps between the rich and the poor is widening continuously. The distribution inequality is more and more serious. Distribution inequality has become very important problem that influence social and political stabilization seriously. Through reviewing the course of reform and openness which was began with rural economy institution reform presented by household contract responsibility system, we find that China rural economy was not only growing fastly, but also with the declining of the gaps of inner income distribution duing the initial period of reform. The reform followed the principal of Pareto improvement and realized the balance between efficiency and equality. Recent year, the reform of income distribution institution didn’t continue the principal of Pareto improvement following the fast growth of rural economy because of the hysteretic institutional reform such as law, taxtation and social security et al. The phenomenon of income inequality in rural areas became more and more serous. The inequality not only exhibit the widen of the rural inhabitant inner income gaps, but also exhibit the rising of regional rural income gaps. The rising inequality influenced the balance development of China economy.This paper studies the inequality influence from the view of growth, consumption and technical progress and explores the co-relationship between income inequality and economic growth, changes of consumer structure and technical progress through analysing the China rural economy. Firstly, we discuss the reasons which caused the rural inhabitant income inequality based on income structure. We find that the main reasons which caused the rise of rural income inequality are salary gap and property income gap in recent phase. The qusi-gini index of salary and property income is always larger than the gini index of total income, and the qusi-gini index of operate income and transfer income are smaller than the gini index of total income. This conclusion indicate that operate income and transfer income have alleviated effcet on total income inequality. But in term of the elasticities of every qusi-gini index, the influence of salary and operate income are weakening gradually, and the influence of the property income and transfer income are raising during the research periods. Even though the influence of the property income and transfer income are still very small, raising transfer income to the poor inhabitant is the important method to decrease China rural income gap. Secondly, this paper made an empirical analysis on the co-relationship between rural economic growth and income inequality. The analysis indicates that the rural income inequality is benificial to the rural economic growth, and then the economic growth in rural areas has negative effect on income inequality. This opposite strengthes relief the increase of rural income inequality. But the study also indicate that the inequality can cause much more inequality. Although the alleviated effcets of economic growth on inequality increase gradually and finally exceed the inertia of inequality itself in the long run, this course is a decades period. If we consider the cumulation effcets, the economic growth isn’t sufficient to decrease income inequality. So the rural economy itself can’t generate trickle-down effect. Anything else, the richer has the tendency that transfer their assets from rural to urban which is detrimental to the investment increase. For the rural economic development, raising the social welfare and changing the investment outflow is the emergency problems. Thirdly, we validate the positive effcet which rural income inequality influenced on consumptions. Traditional Keynes’consumption theory thought that income inequality results in the decrease of the consumption level. This paper uses persistent income hypothesis model to analyse this problem and finds that the income inequality is positive to the level of consumption with the rising of income inequality in rural areas. The ratio of the bisic demand of rural inhabitants to pure income exhibit inverse "U" shape. This indicate that the rural inhabitants’basic living demands has been satisfied. We also find that the richer has higher income elasticity than the poorer. The rural inhabitants is in the transitional period of upgrading of consumption structure. Transfering the consumption concept and promoting the upgrading of consumption structure are the main ideas that stimulate the consumption in rural areas. In terms of regional rural inhabitants consumption inequality, the consumption gini index exhibits invert "U" shape. This shows that the rural inhabitants are very cautious to the consumption exceeding the baisic demand. The income and consumption uncertainty which were generated in the course market economy reform resulted in the increase of precaution saving of rural inhabitants. It prevented the rising of rural consumption level to some extent. Fourthly, Using SFA to analyse the factors which influence the gaps of rural inhabitants income. Through analysing the technology efficiency we know that per capita material capital and per capita human capital are the main reasons which results in the region rural income gaps. Increasing fixed assets investment and promoting education inputs are the main methods to be used to reduce the gap between developed region and developing region. From the respective instance, per capita material capital is the main factor influencing the easten regions, per capita human capital is the main factor influencing the middle regions, and these two reasons are both important factors to income gaps in westen regions. Elsewhere, this paper analyse the positive effcet of technical progress on income distribution inequality using allocation data of production factors in township enterprises.This paper includes seven chapters. The details is showed as below.Chapter one is introduction which expatiates the research necessity of income inequality and illuminates the correlative basic conceptions, research methods, structures and innovations.Chapter two is literature reviews which summarizes the literature in relation to economic development theory. The relationship between income inequality and economic growth, consumption changing and technical progress are also showed and commented.Chapter three describes and analyses the inner income inequality and regional inequality in rural areas. This chapter gets the reasons which results in the rural income inequality. The contents include:1.the trace of total income growth and income gaps changes for rural inhabitant since reform and openness; 2.researches on the reasons which results the total income gaps through studying the income structures; 3.the trend and influence factors of regional income gaps.Chapter four studies the correlationships between income inequality and economic growth. This chapter uses SVAR model to analyse the rural inhabitant inner correlationship between income inequality and economic growth. It also uses dynamic panal data model to analyse the regional correlationship between inequality and economic growth.Chapter five is the research about income inequality and consumption inequality. Firstly, we test the influences which income inequality put on the consumption growth and uses the ELES model to interpret the influences. Secondly, we dicuss the changing path of regional rural inhabitants consumption inequality under different income levels and analyse the income structure influences on consumption structures using mental accounts theory.Chapter six studies the relationship between technical progress and income inequality. The contents include:1.analysing the regional rural technical progress influence on income growth using SFA; 2.reviewing the input contribution in different rural areas; 3.demonstrating the positive effect of technical progress on rural income inequality using township enterprises distribution data.Chapter seven is conclusions. In this part, we sum up the research conclusions and advance the research prospects basing on the research deficiencies.
【Key words】 rural; income inequality; economic growth; consumption structure; technical progress;