【作者】 朱博；

【导师】 丁任重；

【作者基本信息】 西南财经大学 ， 政治经济学， 2014， 博士

【摘要】 经过改革开放三十多年的高速增长,我国的经济总量目前已位居世界第二,达到了一个比较高的水平。然而长期持续的高速增长,也不可避免的带来了一些副作用,例如日益扩大的居民收入分配差距。公平合理且适当的居民收入差距有利于调动劳动者的生产积极性,进而促进总体经济的快速发展。但是,我国当前的居民收入差距已经发展到了一个比较严峻的阶段,较大的收入差距已经挫伤了低收入群体的生产积极性,其不但无法继续为经济增长增添强大动力,相反却威胁到了社会的稳定。共同富裕是社会主义的本质要求,较大的贫富差距可以在经济发展过程中的某一阶段存在,但不能长期存在。在当前构建和谐社会、实现伟大“中国梦”的背景下,如何缩小已经比较严重且日益扩大的居民收入差距,已经上升到了到了和保持经济快速增长同样重要的位置。因此,本文就是在这样的背景下,通过对中国基尼系数相关问题的研究,使社会各界对当前我国的居民收入分配差距现状,有一个更加全面和真实的了解。本文采用比较分析法、定性分析与定量分析相结合的方法,对中国的基尼系数问题进行了系统的研究。在对文献系统梳理和认真研读的基础上,本文首先对基尼系数在我国的适用性和局限性进行了系统分析,其次采用统计局数据与CHFS数据对比的方法计算了相应的基尼系数,并利用近十余年来的宏观经济数据进行实证分析,科学确定了我国的基尼系数警戒线水平。再次,利用前文实证结果,对我国基尼系数的影响因素进行了系统的实证分析。最后,本文在参考其他七个国家调节居民收入分配差距经验的基础上,从总体层面和三次分配的角度,给出了缩小我国居民收入差距的相关政策建议。全文一共分为9章。第1章是导论。首先从理论、历史和现实三个维度阐述了文章的选题背景。接着分析了文章的研究意义、研究方法、研究思路、研究目的和研究内容。最后,介绍了本文的研究难点和可能的创新点。第2章是文献述评,共分为两部分内容。第一部分是与本文研究内容有关的基础理论的介绍,包括马克思的收入分配理论,其他西方经济学派的收入分配理论和当代经济学界收入差距相关理论。第二部分是基尼系数的国外及国内研究综述。第3章是本文的立论部分,是本文最重要的一章。本章主要分析了基尼系数在我国的适用性及局限性问题。首先,结合基尼系数完美适用的四个条件和基尼系数自身的四个缺陷,本章列举了理论界现有的批评基尼系数不适用于我国的五方面理由。通过对这五条理由的逐一批驳,肯定了基尼系数在我国的适用性。在适用性分析的基础上,本章又系统分析了基尼系数在当前中国应用中存在的四方面局限性,主要包括：1.统计数据无法反映真实的收入情况；2.基尼系数的现有算法存在缺陷；3.国际通用的0.4的警戒线在我国不适用4.我国基尼系数的影响因素不清晰。最后,针对这四方面的局限,本章提出了相应修正办法。针对统计数据的问题,本文在四、五、六章的实证计算中,均引入CHFS的微观数据与基于统计局的宏观数据进行对比计算；针对基尼系数现有算法的问题,本文在第四章通过借鉴某些学者的推导方法,采用一种通过纯数学推导而不依赖任何假定的新算法来进行实证计算；针对0.4警戒线不适用于我国的问题,本文在第五章建立计量经济学模型实证计算我国的基尼系数警戒线水平；针对影响因素不清晰的问题,本文在第六章通过实证分析来研究我国基尼系数的影响因素及其作用,以期对我国的收入差距问题有一个更加全面和深入的了解。第4章是我国基尼系数的计算。理论界现有的关于我国总体基尼系数的算法,均依赖于一定的假设条件,而这些假设条件都存在着或多或少的不合理性。因此,本章在分析我国基尼系数计算特殊性的基础上,借鉴陈家鼎等人基尼系数下限的计算方法,计算出了我国2003至2012年的基尼系数,将其定义为“稳定基尼系数”并与官方公布的这十年的基尼系数进行了对比分析。基于统计局数据和CHFS数据,本章分别计算了相应的基尼系数。第5章是我国基尼系数警戒线的确定。首先,本章分析了影响我国基尼系数警戒线水平的七方面因素。其次,分别基于统计局数据和CHFS数据,实证计算了我国总体及分城乡的基尼系数警戒线水平。其中,基于官方基尼系数计算出的总体警戒线水平为0.494,基于“稳定基尼系数”计算出的总体基尼系数警戒线水平为0.4632,基于CHFS数据计算出的总体基尼系数警戒线水平为0.49394621。同时,本文也计算出了城乡各自的基尼系数警戒线水平,分别为0.5032和0.4976。结合两种数据的计算结果,本文认为0.494比较适合作为我国的总体基尼系数警戒线。第6章是基尼系数影响因素的实证分析。首先,从理论层面,本章从五个方面分析了基尼系数可能的影响因素,这五个方面包括经济增长、产业结构、对外开放程度、政府层面和个人层面。其次,本章基于统计局的相关数据,通过建立计量经济学模型,实证计算了我国基尼系数的影响因素及其影响程度。第7章是调节收入差距的国际经验与启示。为了多方面、多角度了解国外经验,本章选择了美国、日本和韩国三个发达国家,也选择了瑞典这样的典型高福利国家。同时,也选择了巴西和印度这样与我国类似的发展中国家,详细分析了六个国家调节居民收入分配差距的经验与教训。六个国家的经验对我国缩小居民收入差距有一些启示,主要体现在要发挥就业、税收、社会保障、教育、扶贫开发这五方面对缩小收入差距的调节作用。第8章是我国调节收入分配差距的政策建议。首先从总体层面,给出了增强总体经济实力、深化经济体制改革和推动基础制度改革三条建议。其次,从初次分配、再分配和第三次分配的角度,本文也给出了有针对性的相应建议。本章的主要观点是,税收和社会保障是当前我国缩小居民收入差距最应该依靠的两大途径。而完善的制度建设,则是缩小收入差距相关政策可以切实有效的首要保证。第9章是主要结论与研究展望。在全文理论分析和实证分析的基础上,本文得出了以下主要结论：基尼系数在我国是适用的；城乡差距仍然是我国总体基尼系数较高的重要原因；我国的基尼系数还未超过警戒线水平；教育水平的提高显著降低了个人层面的收入差距。最后,从收入数据统计、基尼系数警戒线和基尼系数影响因素三个方面,提出了中国基尼系数问题进一步的研究展望。本文有以下几个可能的创新点：1、构建了基尼系数中国适用性的分析框架在第三章的立论部分,本文构建了基尼系数中国适用性的分析框架。这一框架包括,首先,给出了基尼系数完美适用的四方面条件；其次,分析了基尼系数自身存在的四方面缺陷；再次,列举了理论界现有的批评基尼系数不适用于我国的五方面理由,并通过对这五条理由的逐一分析,本文认为,这五方面理由不仅没有否认基尼系数在我国的适用性,有些甚至更加印证了我国是完全可以适用基尼系数这一指标的。通过构建基尼系数中国适用性的分析框架,本文肯定了基尼系数在我国的适用性。2、采用官方调查数据与民间调查数据进行对比的实证分析在本文四、五章的实证部分,本文均采用统计局的调查数据与西南财经大学中国家庭金融调查中心(CHFS)的调查数据进行对比的实证分析。统计局公布的的官方统计数据与CHFS的微观数据来源不同。前者的数据收集方式是日记账式,而CHFS数据则是通过回忆式问卷调查的方式获得。两种调查方式均有各自的优缺点,同时也具有互补性。二者的互补性在于统计局数据以时序性为主而CHFS数据的截面代表性更广。因此,本文采用两种数据相结合的方式进行实证分析,所得结论可以互为印证、互为补充。3、实证确定了我国基尼系数的警戒线水平由于我国在总体经济发展水平,社会保障体系建设,国民思想意识,基尼系数变动方向及速度,城乡二元结构,收入差距内部结构,工业化和城市化水平等方面与西方发达国家存在较大差异,因此适用于西方国家的0.4的基尼系数警戒线水平,并不适用于我国。本文通过采用统计局数据和CHFS数据相结合的方式,通过建立计量经济学模型进行实证分析,确定了0.494为我国的总体基尼系数警戒线水平。4、明确了我国基尼系数的影响因素我国基尼系数的影响因素多种多样。本文通过从经济发展水平、产业结构、对外开放程度、政府层面和个人层面五个方面选取代表指标,通过建立计量经济学模型的方法进行实证分析,科学确定了我国基尼系数的影响因素及其作用,得到了一些有益的结论。更多还原

【Abstract】 After the reform and opening up three decades of rapid growth, China’s economic aggregate ranked second in the world, and has reached a relatively high level. However, long-term sustainable growth also inevitably bring some side effects, such as the widening income distribution gap. Fair and appropriate income gap help to mobilize the residents’enthusiasm for production workers, thus contributing to the rapid development of the overall economy. However, considering the current income gap, China has developed into a serious stage, large income gap has dampened the enthusiasm for production of low-income groups, which not only can not continue to add powerful engine for economic growth, but instead a threat to social stability. Common prosperity is an essential requirement of socialism, there can be a large disparity in the economic development process of a stage, but not long exist. At present, building a harmonious society and realizing the great " Chinese Dream " is the historical background, how to narrow the widening income gap, has risen to the position and was equally important to maintain rapid economic growth. Therefore, this article aims to has a more comprehensive and realistic understanding of China’s income distribution gap.In this paper, literature research, comparative analysis, qualitative analysis and quantitative analysis are main analysis methods. On the basis of the literature and a careful reading of the carding system, this paper firstly analyse the applicability and limitations of Gini Coefficient in China. Secondly, followed by a new empirical method, we calculate the country’s "stable Gini coefficient", and through our empirical fitting Kuznets inverted U curve, determine the level of China’s Gini coefficient cordon. Again, using of empirical results earlier, we analyse the affecting factors of China’s Gini coefficien. Finally, in reference to the basis of the other six countries adjusting income distribution gap experience, from the overall perspective and the three level distribution, we give some relevant policy recommendations about how to narrow the income gap of Chinese residents.Chapter1is an introduction. First, from the theoretical, historical and realistic dimensionality, we describes the background of this paper. Then we analyze the significance, research methods, research ideas of the article, the research purpose and contents. Finally, we introduces the research difficulties and possible innovations of this paper.Chapter2is a literature review, is divided into two parts. The first part of this article is to introduce some of the basic research relating to the theory of income distribution, including Marx’s theory, the theory of income distribution in other Western school of economics and contemporary economists income gap theory The second part is a review of foreign and domestic research Gini coefficient.Chapter3is the argument of this article, is the most important chapter in this paper. This chapter analyse the applicability and limitations of the Gini coefficient in China. First, the combination of the four conditions and the Gini coefficient The Gini coefficient is perfect for four of its own shortcomings, this chapter lists the five aspects of the existing grounds theorists criticize the Gini coefficient does not apply. Through these five reasons refuted one by one, affirmed the applicability of the Gini coefficient in China. Based on the analysis on the applicability of this chapter and systematic analysis of four aspects of the Gini coefficient defects exist in the current Chinese applications, including:a statistical data can not reflect the real income;2defects existing algorithms Gini coefficient;3internationally accepted warning level of0.4in our NA4. influence factors of the Gini coefficient is not clear. Finally, the limitations of these four areas, the corresponding correction approach proposed in this chapter. Statistics for the problem, the paper four empirical calculation of five, six chapters, the introduction of CHFS microdata comparison with macro data is calculated based on Statistics; Gini coefficient of existing algorithms for the problem, the paper in the fourth chapter one does not rely on any assumption of pure mathematical derivation of the new algorithm to calculate the empirical; against0.4cordon question does not apply, the paper in the fifth chapter of the empirical calculated by Kuznets curve fitting of the Gini coefficient alert line level; against factors unclear issues in Chapter VI of this article by using principal component analysis, empirical analysis of influencing factors and the role of the Gini coefficient, with a view of the problem of income inequality has a more comprehensive and in-depth understanding.Chapter4is a calculation of the Gini coefficient. Existing algorithms theorists on our overall Gini coefficient, are dependent on certain assumptions, and these assumptions are there more or less irrational. Therefore, this chapter analyzes the particularity of the Gini coefficient calculated on the basis of using the method of pure mathematics, derive a new expression of the Gini coefficient, and defines it as "stable Gini coefficient." Statistics based on data and CHFS data, calculate the corresponding chapter of the Gini coefficient.Chapter5is the Gini coefficient of determination of the cordon. First, this chapter analyzes the impact of the seven factors cordon Gini coefficient levels. Secondly, respectively, based on Bureau of Statistics data and CHFS data, by fitting our Kuznets inverted U curve, empirical calculation of the overall level of China’s Gini coefficient cordon and sub-urban and rural areas. Among them, the official Gini coefficient calculated based on the overall level of0.494cordon, based on "stable Gini coefficient" to calculate the Gini coefficient cordon overall level of0.4632, based on data calculated CHFS overall Gini coefficient cordon level of0.49394621. Meanwhile, we also calculated the Gini coefficient of urban and rural cordon respective levels of0.4465and0.4349respectively. Combining the results of two data, we believe that0.493is more suitable as a country’s Gini coefficient cordon.Chapter6is the empirical analysis of factors affecting the Gini coefficient. First, from the theoretical level, this chapter analyzes the five aspects Gini coefficient possible influencing factors. Secondly, respectively, based on Bureau of Statistics data and CHFS data, empirical calculation of the factors affecting China’s Gini coefficient. In two dimensions, the chapter more consistent estimation results obtained from the government perspective, the increase in government spending does not improve the status of income inequality, which is behind the structure of fiscal expenditure and have a great relationship.Chapter7is to adjust the income gap between international experience and enlightenment. For many, many angles to understand foreign experience, the chapter chose the United States, Japan and South Korea three countries, Sweden has chosen such a high-welfare typical countries. It also chose this with our developing country like Brazil and India, a detailed analysis of the six countries to adjust income distribution gap experiences and lessons. Experience of six countries on China’s narrowing the income gap has some inspiration to play the main role in the regulation reflects employment, taxation, social security, education, poverty alleviation and development in these areas.Chapter8is the policy recommendations of adjusting income distribution gap. First, from the general level, given the enhanced overall economic strength, deepen economic reform and promote basic reforms three proposals. Secondly, distribution, redistribution, and the third angle of the initial allocation given targeted recommendations accordingly. The main point of this chapter is that taxes and social security narrowing the income gap between China’s current residents should rely, on the two best ways. The perfect system construction, it is possible to narrow the income gap between policy effective primary guarantee.Chapter9is the main conclusions and research prospects.On the basis of the text of theoretical analysis and empirical analysis, we draw the following conclusions:Gini Coefficient in China is applicable; urban-rural gap is still high overall Gini coefficient of the important reasons; country’s Gini coefficient has not exceeded the warning level level;"big government " management model does not improve the status of income inequality; raise the level of education does not significantly improve the individual level income inequality. Finally, income statistics, the Ginij coefficient and the Gini coefficient cordon three factors proposed further research Prospects Chinese Gini coefficient problem.This article has the following possible innovations:1. Construct Chinese Gini coefficient applicability analysis frameworkIn the third chapter of the argument part, we constructed the Gini coefficient Chinese applicability analysis framework. This framework includes, first of all, given the conditions in four areas perfectly suited Gini coefficient; Secondly, it analyzes four aspects defects Gini coefficient own existence; once again, citing the existing theory does not apply to criticism of China’s Gini coefficient five aspects of the grounds and through the analysis of each of these five reasons, this paper argues, these areas not only did not deny that the reason the applicability of the Gini coefficient in our country, and some even more proof of China’s Gini coefficient is perfectly suitable for this indicator. By constructing the Gini coefficient Chinese applicability analytical framework, the paper affirmed the applicability of the Gini coefficient in China.2. Using official survey data and civil investigation data as comparisonIn the empirical part of this paper, four, five, six chapters, we have empirical analysis of the survey data with the Chinese Bureau of Family Financial Research Center (CHFS) survey data to compare Southwestern University of Finance and adoption. Official statistics released by the Bureau of Statistics and the CHFS micro data from different sources. The former mode of data collection is a journal-style, while CHFS data is through questionnaires memories get in the way. Two kinds of survey methods have their advantages and disadvantages, but also complementary. Complementarity between the two is that the timing of the Bureau of Statistics to the main section of representative data and CHFS wider. Therefore, we use a combination of two data empirical analysis confirms the conclusions can mutually complement each other.3. Determine the cordon of Chinese Gini CoefficientBecause of the overall level of economic development, social security system, the national ideology, the Gini coefficient changes in direction and speed, urban-rural dual structure, the income gap between the internal structure, the level of industrialization and urbanization, and other aspects of Western developed countries, there is a big difference, therefore applicable to cordon level Gini coefficient of0.4in Western countries, does not apply to our country. Through our empirical fitting Kuznets inverted U curve, using Bureau of Statistics data and CHFS data combination to determine the0.493Gini coefficient for the country’s overall level of the cordon.4. Confirm the influence factors of Chinese Gini CoefficientChina’s Gini coefficient factors varied, academia generally considered factors include economic growth rates of economic growth, the proportion of foreign investment rate, influencing factors of education, unemployment and so on a personal level, as well as expenditure, factors affecting the coverage of social insurance and other social security levels, and many sorts of other factors. Through mathematical models and empirical studies of principal component analysis, scientifically determine the factors that affect China’s Gini coefficient and its role.更多还原