【作者】 郝身永；

【导师】 贺京同；

【作者基本信息】 南开大学 ， 西方经济学， 2013， 博士

【摘要】 相对于经典经济学中的效用,幸福是人们更高层级甚至是终极的追求。呼应人们追求幸福的诉求,提升居民幸福感成为包括我国在内的一些国家重要的施政目标。上世纪70年代以来,经济学家重又关注幸福问题,研究论著大量涌现,至今方兴未艾。研究虽有长足进展,但以往研究基本集中于幸福影响因素的经验分析,出现了概念混乱和幸福泛化的现象。我们认为,问题的根源即在于幸福究竟是什么这一根本的理论问题未得到澄清,致使幸福的研究缺乏必要的理论基础。自然而然地,也就难以回答幸福主要受哪些因素影响。本文中,我们从经济学中与幸福相近的效用概念入手揭示幸福的本质内涵。研究证实,在以边沁为代表的古典经济学家那里,效用实际上涵盖了幸福的涵义。幸福也是可以进行基数度量和人际比较的。不过,由于效用基数测量的困难、经济学谋求科学地位的冲动、当时学界对于“科学”的主流看法、单凭序数效用同样可以推导需求规律、帕累托准则用于福利判断可以回避效用的人际比较等原因,大约自20世纪30年代始,序数效用论基本上取代了基数效用论。伴随着这一过程,效用逐渐丧失了幸福的内涵。随后建立和发展起的显示性偏好理论沿袭了序数效用论传统,在这一套逻辑下,行为显示了偏好,偏好又被用来解释行为。效用只是偏好序的另一种表达,丧失了对幸福水平描述的古典涵义。在新古典经济学之约束条件下求最优化的分析范式下,假定人们在选择之前对备择选项能带来的效用进行预期,以预期效用的最大化为目标进行决策。但是,预期效用并不可知,于是,现实中观察到的行为成为新古典经济学构建效用函数以推断和计算预期效用的惟一基础。我们将这种意义上的效用称为“决策效用”。与之相对,还存在另一种与决策效用相对立的效用涵义——人们从客观现实中真实感受到的效用,我们将其称为“感受效用”。现代经济学的理论前沿——行为经济学的实验研究为我们区分效用的两种涵义提供了直接的证据和思想来源。实验证实,决策效用和感受效用并不是一致的,而是会发生偏离。感受效用是对古典经济学家效用概念的继承,这是指,它恢复了古典经济学家效用概念中的幸福涵义。不过,它又是对古典经济学家效用理论的发展。这是指,古典经济学的效用将效用的两种涵义混淆在了一起,而新古典经济学又将效用中幸福的涵义抛弃掉了。所以,感受效用和决策效用共同构成了现代经济学更全面和更科学的效用理论。研究证实,经济学中的幸福就是感受效用,是现实的参与人在特定情境中对客观条件真实的、综合的、相对稳定的心理感受。由于其是感受效用,自然而然地,相对于经典经济学进入效用函数的变量如收入或消费的绝对量,一些直接影响心理感受的“软指标”如收入预期、收入变动等对幸福有更重要和稳健的影响。以上便是我们提出的幸福理论,这是幸福的经济学研究必然和必要的理论基础。在论证自评幸福感是幸福度量的良好代理指标的基础上,我们对上述理论进行了经验验证。利用中国综合社会调查(CGSS)2006年的数据,应用有序Probit模型,基于全样本的回归和分组回归,我们发现,收入对居民幸福感的正向影响并不总是显著的,而收入变动、收入预期、社会地位、收入公平感和收入差距对居民幸福感有更重要且显著的影响,并且影响是稳健的。经验研究充分地佐证了幸福理论。以幸福理论为基础,我们开展了两项经验研究,具体是：其一,我们分析落脚城市人群的幸福感状况及其决定。我们认为,真正的城市化并不是城市规模的扩展和城市人口的增加,而应该是使落脚城市人群因落脚而更幸福。以此为出发点,我们考察究竟什么样的城市化才可以使落脚城市人群更幸福。结合城市化的进程,影响落脚城市人群幸福感的因素有两大类,一是影响其在城乡间迁徙和流动的因素,二是影响其在城市定居和融入的因素。其中,影响其在城市定居和融入的因素是直接影响人们心理感受的变量。基于CHIPS (2002)数据,我们应用二值选择模型进行的实证分析发现：收入、就业状况、住房提供、土地禀赋、进城的机会成本对落脚城市人群幸福感的影响并不稳健,而同工同酬待遇、社会歧视程度、在城市生活年限、进城前收入期望、家庭生活水平的社会地位、收入变动预期、辞职计划和迁徙流动模式等影响落脚城市人群在城市定居和融入的因素对幸福感的影响则更重要,并且影响是显著稳健的。进一步的研究还揭示,对于高年龄群体和低年龄群体、在农村保有土地群体和失地群体,解释变量的影响表现出一定的异质性。其二,立足于我国人口老龄化趋势日益严重、亲子分开居住的居住模式日益普遍和家庭承担多重功能等事实,我们对中老年人幸福感的决定进行了经验研究。利用有序Probit模型,基于CGSS(2006)的经验研究发现,来自于子女的经济支持和情感交流对中老年人幸福感均有正向影响,但前者不显著后者显著。这进一步佐证了幸福理论。进一步的研究还发现,中老年人越来越能够接受亲子分开居住的居住模型,相对于亲子间面对面的联系频率,非面对面的联系频率对中老年人幸福感有显著的正向影响。在本文的最后,我们讨论了政府在提升居民幸福感中的职责、角色以及具体的对策措施。结合经验研究,为了使落脚城市人群因落脚而更幸福,除了创造就业岗位、提供住房和提高收入水平,更重要地是,需要着重从影响该群体心理感受的方面着手。具体而言：提供其平等待遇,使其能够享受与城市户籍居民同工同酬待遇；消除社会歧视,增加其城市归属感和自我的“市民”身份认同；引导其形成合理期望,并尽力满足其合理期望；不断提高其社会地位,避免其陷入贫困阶层并固化；通过技能培训等手段提升其人力资本,以对未来形成良好的收入预期；满足其在工作中自我发展和价值实现的要求；在教育、医疗等方面创造条件以使其能够举家流动。另外,政策措施应该考虑落脚城市人群的年龄差别和土地禀赋差异而有所区别。为了提升中老年人的幸福感,除了向中老年人提供必要的经济支持外,子女更应该积极与父母进行情感交流,社会也应该积极关爱中老年人。在亲子分开居住的居住模式下,当面对面联系变得比较困难时,子女可以更多地与父母进行非面对面的联系,这种替代能够有效地提升中老年人幸福感。更多还原

【Abstract】 Relative to utility in classical economics, happiness is considered as a more final and significant goal. To fulfill people’s desire, enhancing citizens’happiness has become a major objective for some administrations, including the central government and many local governments of China. Economists focused on happiness issues again from the1970s, and many literatures sprung up from then on. Important progresses have been made, but major of them center on analyzing what factors influence happiness and how. Correspondingly, concepts are misused. We attribute this phenomenon to the lack of fundamental theory in happiness studies. Accordingly, it is hard to answer the question that which factors influence happiness mainly.In this paper, we explore the essential connotation of happiness through analyzing the concept of utility which is relative to happiness. We find that many classical economists regarded utility as measurable and comparable, such as Bentham, who was a representative of utilitarianism. So, in their opinion, utility contains happiness. However, since about1930s, the ordinal utility theory almost replaced the cardinal utility theory. Many reasons are responsible for this process, including measurement difficulties of utility in cardinality, the impulsion of pursuing scientific status for economics, mainstream views on "science" during that time, the development stage of psychology and other disciplines, ordinal utility’s ability in deriving the law of demand, the Pareto criterion for welfare judgments can avoid interpersonal comparison in utility. During this process, utility lost the meaning of happiness gradually. The theory of revealed preference intrinsically insists on ordinal utility theory, and developed it into a further stage:behaviors reveal preference, and then preference is applied to interpret the behaviors. The utility becomes another expression of preference order, thus it lost the classical sense of description happiness level.The analysis paradigm can be summarized as optimization under specific constraint conditions. It assumes that people could expect the utility of alternative options, and people make decision to maximize their expected utility. In fact, expected utility is unknown, so, selections is the merely basis to infer and calculate the expected utility. We call this meaning of utility "decision utility". Contrast to decision utility, there is another meaning of utility, which is experienced from objective conditions. We call this meaning of utility "experienced utility". As the forefront of modern economic theories, some experiments in behavioral economics help us to distinguish experienced utility and decision utility. In fact, they are not identical but different.On the one hand, experienced utility is inheritance on classical utility, that is, it renews happiness including utility. On the other hand, it also develops the utility concept, that is, utility in classical economics mixes decision utility and experienced utility, and neoclassical economics regard utility as decision utility only. So, a more all-sided and scientific utility includes decision utility and experienced utility. We explore that happiness is experienced utility, and is feelings of people about objective conditions, which is realistic, comprehensive and stable. Because happiness is experienced utility, relative to traditional variables such as the absolute value of income or consumption, naturally, it is determined mainly by some "soft variables" such as income exception, income variation, income gap, which influence our psychological feelings directly. The above theory is necessary basis for happiness studies.Based on the argument that self-reported happiness is suitable for measuring happiness level, we test the theory above. Using the data from China General Social Survey(CGSS,2006), and applying Ordered Probit model, we find that the positive influence of income on happiness is not always significant, while expected income, income while income exception, income variation, income gap have more important and stable effect on happiness. The result sufficiently supports our happiness theory above.Based on happiness theory above, we applied two types of empirical studies as follows:Firstly, we analyze the happiness of people of arriving at city and its determination. We think pregnant urbanization doesn’t lie in the extension of city area or the increase of the number of people who live in cities. Howerve, it lies in people arrival city becoming happier. As a starting point, we explore what kind of urbanization could make people arrival city become happier. Combined with the process of urbanization in our country, we divide factors into two kinds. The first includes factors influencing people migrating between city and village. The second includes factors influencing people settling down city. The second kind factors influence our psychological feelings directly. Based upon CHIPS (2002) data, applying with binary choice model, we find that the influence of income, employment status, provision of house, land and the opportunity cost of arriving at city on happiness is not stable, however, whether entitled to equal pay for equal work, social discrimination, years of life in the city, income expectation before going into the city, the social status of the family’s living standard, income exception, whether planning to quit, and migration pattern have more important influence on happiness, and also the influence is significant. Further research finds that with regard to higher age groups and lower age groups, the groups still having land in rural areas and the groups no longer having land, the effect of explanatory variables on happiness is heterogeneous.Secondly, based on the fact that the growing trend of China’s aging population, the living pattern of parents living apart from their children becoming increasingly common and the fact that family assumes multiple functions, we make empirical research on the happiness of the elderly. Using ordered probit model, based on CGSS (2006), we find that, the frequency of children’s financial support and emotional communication both have positive effect on the happiness of the elderly, but the former was not significant and the latter is significant. This supports happiness theory further. Further research shows that the wrinkly and the elderly are increasingly able to accept the living model of parent-child living apart from; as opposed to face-to-face contact between parents and frequency of non-face-to-face contact frequency have a significant positive impact on the happiness of the wrinkly and the elderly.At the end of this article, we discuss the Government to enhance the happiness of residents in the responsibilities, roles, and specific measures. Combined with empirical research, in order to make the rural migrants happier in urban than in rural, in addition to create jobs, improve the level of income, provide house, more importantly, we should start from affecting psychological feelings. Specifically, the following measures can be used:to supply them equal rights, to eliminate social discrimination, to enhance the urban sense of belonging and self-identity, to guide them to from rational expectations and try to make their exceptions fulfilled, to improve their social status, avoiding to falling into disadvantaged group, to enhance its human capital to form a good income expectation, to meet its self-development needs and to create the conditions in education, medical care, etc. to make their family can migrant entirely. Also, policies should be different for people with different age and different land endowment.In order to enhance the happiness of the wrinkly and elderly, in addition to provide necessary financial support, children should actively give their parents emotional communication; community should actively care for the wrinkly and elderly. When face-to-face contact is more difficult in the mode of living separately between the parents and their children, the non-face-to-face contact also helps to improve the happiness of the wrinkly and the elderly.更多还原