【作者】 申康达；

【导师】 李小云；

【作者基本信息】 中国农业大学 ， 农村发展与管理， 2014， 博士

【摘要】 作为贫困研究中的前沿和热点领域,动态贫困已经得到国内外学者的高度重视。而我国动态贫困研究仍然处于起步阶段,学者们更多的是采用定量的方式对于面板数据进行研究,但由于所分析的面板数据的时间较短,动态贫困定量化研究受到一定的局限。农村居民的贫困问题一直是我国贫困研究领域的核心和重点,因此,本文将研究关注点放在了农村动态贫困问题上。在研究资料方面,本文收集了宁夏回族自治区盐池县Z村的52个农户个人生命史案例,规避了定量研究资料的局限性；在研究方法方面,采用定性的研究方式对资料进行分析,将农户生命轨迹分为平滑型、波浪型和阶梯型三种轨迹类型,并对每种生命轨迹的形成过程进行详细阐述；在研究理论方面,本文采用生命历程理论对农户生命轨迹的形成过程以及贫困波动的原因进行分析。总而言之,本文通过对一个村庄农户生命史的研究来揭示我国农村动态贫困的生成机制。从农户平滑型生命轨迹的过程及原因来看,平滑型生命轨迹被划分为平滑上升型、平滑水平型和平滑下降型三种类型。首先,具有平滑上升型生命轨迹的农户能根据社会经济发展的形势调整经营策略,并利用社会关系网络和个人能动性保持其收入模式的稳定,同时规避社会和家庭带来的风险；其次,具有平滑水平型生命轨迹的农户的生活水平分为非贫困和长期贫困两种状态,非贫困农户在摆脱贫困之后,却无法规避社会变迁所带来的风险和家庭负担,但对社会发展的适应性和个人能动性足以保持其非贫困状态的延续。而长期贫困的农户缺乏使其生命轨迹向上发展的能力,但在家庭和社会资源的维护下,生活水平才得以保持稳定；最后,具有平滑下降型生命轨迹的农户由于受到长期性限制效应和累积性限制效应的影响,使其个人或家庭无法获得社会经济发展所带来的收入增长效应,并影响其个人能动性的发挥。从农户波浪型生命轨迹的过程及原因来看,波浪型生命轨迹被划分为波浪上升型、波浪水平型和波浪下降型三种类型。首先,具有波浪上升型生命轨迹的农户通过对突发性事件的有效应对和收入模式的频繁变动将所遭受的风险降到最低,并获得向上发展的动力,在陷入贫困之后,能顺应社会经济发展的形势,并利用社会关系网络和个人能动性摆脱贫困；其次,具有波浪水平型生命轨迹的农户受到了消费性事件和经营性风险的影响,虽然多次陷入贫困,但都能抓住社会经济发展中的工作机会以及发挥个人能动性成功摆脱贫困,并利用家庭网络关系使其生命轨迹保持平稳；最后,具有波浪下降型生命轨迹的农户由于受到社会变迁的影响,家庭的负担过于沉重,而且没有充分利用社会关系网络和个人能动性将家庭收入模式保持在相对较高的水平,再加上后期缺乏家庭网络关系的有力支持,才导致波浪下降型生命轨迹的形成。从农户阶梯型生命轨迹的过程及原因来看,阶梯型生命轨迹被划分为单阶梯下降型和多阶梯下降型两种类型。首先,具有单阶梯下降型生命轨迹的农户由于在短时期内受到单重事件效应和多重事件效应的影响,其个人或家庭的生活轨迹出现大幅下滑,个人能动性受到了制约,社会关系网络无法提供有力的支持,导致其个人或家庭在陷入贫困之后,难以恢复,并长期处于贫困之中；最后,多阶梯下降型生命轨迹的农户其个人或家庭的生活水平出现分阶段下降的态势,一步步向贫困的深处走去,最终形成长期性贫困。陷入贫困的原因有突发性的个人原因,也有社会变迁性的社会原因,而社会变迁、社会关系网络和个人能动性的互构效应受到了脆弱性家庭本身的制约,只能分阶段保持平滑水平的发展趋势,不能起到提升的作用。通过对农户生命轨迹的形成过程以及贫困波动原因的分析,本研究认为动态贫困的形成是社会变迁、社会关系网络和个人能动性互构的结果,其结论打破了结构主义和个体主义二元对立的局面。在急剧变迁的农村社会中,利好性因素和限制性因素并存,农户如果能够因势利导地做出正确选择,并有效地利用社会关系网络和个人能动性,将远离贫困或者摆脱贫困,否则,将落入贫困陷阱之中。更多还原

【Abstract】 Research for dynamic poverty is a hot-point and frontier in the poverty field, which has been highly valued by domestic and foreign experts. The dynamic poverty research is still in its infancy in China, and most of the academics use a quantitative approach for panel data study. This research method can only analyze data for a short time, so dynamic poverty quantitative research is subject to certain limitations. Because rural poverty has been the core and focus research areas of poverty, this research will focused on rural dynamic poverty. As the research data,52farmer’s personal life history in Yanchi County were collected, which can avoid the limitations of quantitative research data; the farmer’s life trajectory has been divided into smooth, wavy and ladder track type by qualitative research methods. In the study of the theory, this paper analysis the life course theory formation process on farmers’ life trajectory and poverty fluctuation. To make a long story short, through the study of a village fanner life history to reveal the formation mechanism of dynamic China’s rural poverty.From the process and reasons of smooth trajectory of farmer’s life, the smooth life trajectory is divided into three types:smooth rise, smooth level and smooth descent. First of all, with a smooth rise the life trajectory of farmers to adjust business strategy according to the situation of positive development of society, and the use of social network and personal initiative to maintain its revenue model stability, at the same time, to avoid the risk of social and family band; Secondly, having a smooth horizontal life trajectory of farmer standard of living is divided into two states:non poverty and poverty. After the non poor households got rid of poverty, they can’t avoid risk and burden which was brought by social changes. The adaptability to the social development and individual initiative keep their non poverty. While the long-term poor farmers lack the ability of making their life trajectory development, but their living standards were able to remain unchanged by the protection of their family and social resources. Finally, with a smooth decline the life trajectory of farmers which were unable to get the income growth effect from the social economic development by the confinement of the restriction effect and the cumulative effect, and also confined their individual initiative.From the process and reasons of wave trajectory of farmer’s life, wave type life trajectory is divided into three types:ascending wave, horizontal wave and wave decreased. First of all, with ascending wave type life trajectory of farmers can minimise risks and get up the momentum of development by effectively respond to emergencies and frequent changed their income model. When they plunged into poverty, they can get rid of the poverty by using their social networks and personal initiative and adapt to the social economic development situation. Secondly, Athough with the horizontal wave type life of farmers repeatedly fall into poverty by the effect of consumer and business risk, but they can Successful get rid of the poverty by catching the opportunities from the social economic development and using the individual initiative, and keep their living level stable by using the family network relationship. Finally, with wave decline type life of farmers were easily affected by social change, they were loaded down with family responsibilities, and they can not make their families income pattern remain at a relatively high level by full using thire social network and personal initiative. It leads to the formation of wave decline type life trajectory by lacking strong support of family network relationship.From the process and reasons of ladder type life of farmers, the ladder type life trajectory is divided into two types:single step down and multi stepped down. First of all, with single step down type life of farmers’ living level plunged by effection of single event and multiple event within a short period of time, their personal initiative was limited, and their social networks can’t provide strong support, then it lead them into poverty, it is difficult to recover, and they kept poverty for a long time. Finally, multi stepped down life trajectory of the farmer’s living standard appeared phase declined, they went to the depths of poverty step by step. Ultimately, they kept long-term poverty. The causes of poverty were personal reasons and social change reasons. The interaction effect of social change, social network and personal initiative were conditioned by the vulnerability of the family itself, and their development trend of smooth level can only be divided into stages, it can not provide lift to those in front.Through the analysis of forming process on farmer’s life trajectory and poverty fluctuation, this research suggests that the formation of dynamic poverty is the result of social change and social network and personal initiative of the mutual construction, the conclusion has broken the structuralism and individualism of two opposite situation. In the rapidly changing rural society, the coexistence of positive factors and restrictive factors, in the light of its general trend to farmers if they can make the right choice, and the effective use of social network and personal initiative, will stay away from poverty or get rid of poverty, otherwise, will fall into the poverty trap.更多还原