【作者】 李平；

【导师】 张建华；

【作者基本信息】 华中科技大学 ， 西方经济学， 2007， 博士

【摘要】 本文立足于中国体制转型过程中刚性二元结构这一整体社会背景,运用规范分析和实证分析的方法,对城市农民工社会保障缺失现状及其影响、农民工社会保障制度的路径选择、主要内容、实施机制、制度供给滞后原因以及城市农民工社会保险制度的构建框架等问题进行了全面系统地分析。首先,分析了城市农民工社会保障缺失的现状及社会保障缺失所带来的负面影响。随着体制改革和城乡壁垒的松动,中国农村劳动力大规模走出乡村进入城市,并以“农民工”的形式呈现出来。由于制度变迁的路径依赖,农民工在城市的就业和生活遭遇到一系列的歧视与排斥,最突出的就是城市社会保障制度几乎把他们排除在外。农民工社会保障的缺失,改变和影响了当前劳动力流动和迁移的过程,使我国的二元经济结构呈现刚性特征,从长期来看必然会对经济增长和社会和谐产生不利影响。其次,探讨了城市农民工社会保障制度的路径选择、主要内容和实施机制。转型时期农民工社会保障制度是一种过渡性制度安排,不同于现有城乡社会保障制度,但随着转型的完成,最终要融入城乡一体化的社会保障体系之中。在目前的社会经济条件下,过渡性的农民工社会保障制度只能重点推行社会保险制度,社会救济制度可以暂缓建立,社会福利制度则暂不考虑。即农民工社会保障制度只能通过有限发展、重点突出、逐步扩展的方式建立。在农民工社会保障制度的实施中,政府责任的确立和履行起着至关重要的作用。再者,对城市农民工社会保障制度供给滞后的障碍因素进行了分析。中国现行的二元社会经济体制及其在制度变迁中的路径依赖是制度建立的根本性体制障碍。同时,政府财政调控能力有限与政府责任模糊、企业缴费意愿与缴费能力低下等也对制度建立构成障碍。另外,农民工群体的边缘性地位、高度流动性以及群体的分化特征使他们无法有效地表达其社会保障利益诉求,从而延缓了制度供给。最后,对如何构建城市农民工社会保障制度进行了探讨。主要探讨了农民工养老保险制度、医疗保险制度和失业保险制度的构建框架。我国不同的城市和地区在农民工养老保险制度上供给不平衡,在缴费基数、缴费比率、待遇标准等基本要素设计上差别很大,这造成地区之间、企业之间以及农民工之间的不公平,而且也无法适应农民工高度流动性特点。“个人弹性账户与待遇调整账户相结合”的过渡性农民工养老保险制度框架既考虑了当前制度的可操作性,也兼顾了和未来城市居民养老保险制度的衔接问题。在农民工医疗保险方面,通过对比分析上海、成都、北京、深圳这四个具有代表性城市的农民工医疗保险制度可以发现,现行制度的设计仍然存在缺陷。农民工医疗保险制度设计在帐户设计、缴费基数、支付和结算方式上要因地制宜,充分考虑当地的经济发展水平、医疗资源特点和农民工需求。农民工失业保险制度包括了“公共劳动”形式的最低生存保障体制和就业保障措施,其中就业保障是主体内容。农民工就业保障最有效的措施是职业培训。通过构建博弈模型可以发现,农民工就业的非正规就业部门中企业和个人都在追求自身效用最大化的前提下,选择不投资于职业培训,但这种选择最终却会导致二者和整个社会利益都受损的“囚徒困境”,这种状态为政府介入提供了激励和理由。当前,农民工职业培训主要应依靠政府力量,创新培训的竞争激励机制和投入机制。论文在现有研究的基础上,主要在以下方面有所创新:一是提出转型时期农民工社会保障制度是一种过渡性制度安排,不同于现有城乡社会保障制度,但随着转型的完成,最终要融入城乡一体化的社会保障体系之中;二是在农民工社会保障制度内容上,提出社会保险制度是重点,社会救济制度可以暂缓考虑,社会福利制度可以暂不考虑,并提出了养老保险、医疗保险制度的改进建议以及失业保险制度的构建设想;三是提出农民工失业保险制度框架包括“公共劳动”形式的最低生存保障体制和就业保障措施,其中就业保障是农民工失业保险制度的主体内容;四是通过构建博弈模型,从理论上论证了农民工职业培训市场的“市场失灵”,为当前政府介入提供了理论依据。更多还原

【Abstract】 Based on the social background of rigid dual structure during institution transformation, through normative and empirical analyses, the dissertation systematically expounds such problems as the choice of system path, system positioning, system building barriers, and the framing work of the farmer workers’social insurance system.At the beginning, the lack of the farmer-turned workers’social security and its effects are discussed here. With the institutional reform and the followed weakening barriers between the countryside and the city, Chinese farmers have poured into cities on large scales forming the huge body of“farmer-turned workers”in the cities. Owing to the limiting dependence on the route in the institutional transformation, the dual city-rural social institution has not been completely broken up. Therefore farmer workers have confronted a series of discriminations in the cities, among which the exclusion of them from social security system stands out most. The fact that the farmer workers have been“out of the countryside”but not yet“settled down in the cities”slows down the flow of the labour, which in the long run will bring about ergative consequence to economic development farmer-turned workers’social security system is of realistic and strategic importance.Secondary, the choice of system path, system content and mechanism design of farmer workers’are explored. The study on the choice of system path of farmer-turned workers’social security system shows that the farmer woker’s social security is one of the transitional institutions during the transformation period. This institution should be a comparatively independent model according to the social security system of city residents, but it should be finally mingled into the urban-rural untied social security system.Considering the migrant rural workers social security demands and the payment abilities of the enterprises and government, the migrant rural workers social security system can only be built by limited development, focus orientation and gradual popularization. The social insurance system is the key point to promote of the farmer workers’social security system. Social relief system can be delayed to a later time, and social welfare system can be neglected for the present moment. The establishment of government’s responsibility is the key point of the implement of the farmer workers’social security system.After the study on the choice of system path and system content, the major barriers of system building are analysed. According to the study on the barriers of building the social security system, we find that the rural-urban segmentation of China’s social system and its path dependence are the institutional hinder. Meanwhile, the government’s finance revenue and expenditure structure, the payment finance revenue and expenditure structure, the payment ability of enterprises also form the fund barrier. In addition, the farmer workers are not efficient in expressing their minds, and being in the marginal position of city, are seldom heard. The high mobility and diversification of the farmer workers pose higher demands on the operation of the social security system.Finally, how to build a social security system for migrant rurar workers is analyed. The progress of social pension insurance system in different cities vary, displaying big differences in terms of minimal payment, payment rate and benefit level. This leads to unfair treatment among different areas, enterprises and individuals. Moreover, it can not be keep pace with the high mobility situation of farmer workers. The transitional social pension insurance system,“individual flexible account integrated with payment adjustment account”, takes int account the feasibility of policies and its transition to the future of social pension insurance of city residents. According to the analysis of the farmer workers’medical insurance including Shanghai, Chengdu, Beijing and Shenzhen, we find that the present system have not yet won the support of the farmer workers. We propose that the farmer workers’medical insurance system innovation can be adopted as a feasible measure, convenient to transfer, and considering the level of the local economic development.The farmer-turned workers’unemployment insurance system consists“public labour”and employment security, among which the employment security is the main part and the developing direction. The system of“public labour”can provide the basic needs for the migrant workers when they are in temporary unemployment, and can reduce the pressure of the social pension insurance fund. The farmer workers’vocational training is the most positive factor of the employment security. Vocational training can improve farmer workers’employment skills and enhance their social security paying ability. Being the basic point for the farmers to change their identities and to survive in the cities, vocation training should be promoted as the first step. Studies reveal the following reasons for the present dead lack of the farmer workers vocational training: the private employers hiring farmer workers are not willing to invest on the training in order to save money; farmers are not willing to pay for the vocation training due to lack of stimulus or money .Both the employers and the farmers bent on getting the most of profits, unwilling to invest on the training are actually suffering great loss and this demands the efforts and encouragements of the government. At present the vocational training in China lies mainly on the government in providing stimuli, investment and education.On the basis of the previous study, the dissertation puts forward some new ideas. For example, the author considers that the farmer wokers’social security is one of the transitional institutions during the transformation period, and this institution should be a comparatively independent model according to the social security system of city residents, but it should be finally mingled into the urban-rural untied social security system. The author also thinks that the social insurance system is the key point and must be built at first, social relief system can be delayed to a later time, and social welfare system can be neglected for the present moment. In addition, the author considers that the farmer-turned workers’unemployment insurance system consists“public labour”and employment security, among which the employment security is the main part and the developing direction. Lastly, through building the game model, the dissertation proves that market failure lies in the farmer workers’vocational training market and suggests that the government is obliged to intervene to solve the market failure.更多还原