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中文题名:

 中国农村家庭贫困代际传递机制研究    

姓名:

 吴茜    

保密级别:

 公开    

论文语种:

 中文    

学科代码:

 1204Z1    

学科专业:

 政府经济管理    

学生类型:

 博士    

学位:

 管理学博士    

学位类型:

 学术学位    

学位年度:

 2022    

校区:

 北京校区培养    

学院:

 政府管理学院    

研究方向:

 政府治理创新    

第一导师姓名:

 卫志民    

第一导师单位:

 北京师范大学政府管理学院    

提交日期:

 2022-06-16    

答辩日期:

 2022-06-02    

外文题名:

 RESEARCH ON THE MECHANISM OF INTERGENERATIONAL TRANSMISSION OF POVERTY IN CHINESE RURAL FAMILIES    

中文关键词:

 农村家庭 ; 贫困代际传递 ; 代际收入流动性 ; 贫困代际传导路径    

外文关键词:

 Rural households ; Intergenerational transmission of poverty ; Intergenerational income mobility ; Intergenerational transmission paths of poverty    

中文摘要:

2020年中国实现了全面脱贫,完成了全面建成小康社会的目标,为促进共同富裕打下了良好的基础。现行标准下的贫困人口全部脱贫并不代表贫困治理问题的结束,只是从绝对贫困走向了相对贫困,而且深层次的贫困问题更加突出,集中体现在贫困代际传递问题上。贫困代际传递问题具有持久性和动态性,为防止返贫、缩小贫富差距、实现共同富裕带来了挑战。如何在巩固脱贫攻坚的基础上,发现农村家庭贫困代际传递的影响因素,阻断贫困代际传递路径,提升农村家庭自我发展能力,从而摆脱相对贫困,实现共同富裕,已经成为当下我国在治理贫困问题上迫切需要加快解决的现实问题。因而,本研究试图回答的核心问题是:中国农村家庭贫困代际传递是如何发生的。

本研究从贫困代际传递视角出发,以代际收入流动性理论和可持续生计理论为基础构建分析框架,开展中国农村家庭贫困代际传递机制的理论与实证研究,并试图回答三个密切相关的问题:中国农村家庭贫困代际传递的现状、特征、趋势如何,贫困代际传递的影响因素是什么,农村家庭贫困代际传导路径是什么。基于此,本研究首先利用代际收入弹性、代际收入秩关联系数、分位数回归法对1989~2015年农村家庭的贫困代际传递程度进行测量;其次,利用扎根理论的方法,对6个县的农村家庭进行深度剖析,提炼、归纳出农村家庭贫困代际传递的影响因素,并构建理论模型;最后,运用清晰集定性比较分析方法,探究农村家庭因为哪些关键性条件组合而导致了贫困代际传递的发生,研究农村家庭贫困代际传导路径。通过研究得出以下结论:

首先,农村家庭贫困代际传递测度方面。农村整体家庭代际收入弹性呈现出下降趋势。子辈与父亲处于同一收入组的概率均比两者处于不同收入组的概率大,当父亲处于低收入组时,农村家庭更容易产生贫困代际传递。农村贫困家庭代际收入弹性波动较大,农村非贫困家庭的代际收入弹性相对稳定;父亲和子辈特征呈现出显著的差异性,农村贫困家庭在婚姻状态、受教育年限、收入水平、就业状况、医疗保险情况方面具有明显的贫困代际传递现象;农村全样本子代不同分位点上的代际收入弹性呈现了先上升后下降的趋势,农村贫困家庭与农村非贫困家庭分位数回归结果表明随着子代收入的增加,其对父亲收入的依赖程度逐渐减弱,不同地域分位数回归结果表明农村家庭子代不同分位点上的代际收入弹性呈现出波动变化的趋势,子代低收入、中等收入群体对父代收入依赖性很强。

其次,农村家庭贫困代际传递影响因素方面。农村家庭贫困代际传递的影响因素理论模型显示,农村家庭贫困代际传递的影响因素主要包括社会层面的诱因驱动因素、个人层面的行为驱动因素、国家层面的结构驱动因素3个方面,通过“认知—情景—规范”3个维度作用于中观、微观、宏观3个层面。认知维度是内在路径。深层次的思想因素很难因外界环境的变化而改变,它对农村家庭两代甚至几代的影响都是深刻与持久的。在认知的基础之上,自然资本、人力资本、物质资本、金融资本、社会资本这5个行为驱动因素形成了农村家庭贫困代际传递的情景,它是直接驱动因素。导致农村家庭贫困代际传递现象最多的因素分别是人力资本、自然资本和物质资本,因为当这些资本缺乏时,会形成因病因残因灾等情景的贫困代际传递,这也是农村家庭发生贫困代际传递现象最常见的原因。国家层面的结构驱动因素将权力融入在准则之内,并使之常态化,在规范层面促进或抑制农村家庭贫困代际传递现象的发生,实现了外在强化的目的。在中观、微观、宏观这三个层面中,它们并非单个独立作用于农村家庭,而是相互影响、循序渐进的发展过程,共同促进或抑制农村家庭贫困代际传递现象的发生。

最后,在农村家庭贫困代际传导路径方面。本研究认为贫困代际传递的产生是多方因素共同作用的结果,就业与创业政策、贫困文化、金融资本、人力资本共同发挥了重要作用;组态1表明没有享受就业与创业政策、存在贫困文化、人力资本存量较低的组合是贫困代际传导路径之一,组态2表明没有享受就业与创业政策、存在贫困文化、金融资本存量较低、人力资本存量较低则是另外一条贫困代际传导路径。组态1和组态2较高的覆盖率显示出其典型代表性,在这两种组态中,就业与创业政策、贫困文化、人力资本为以上两种组态的核心条件,表明就业与创业政策、贫困文化、人力资本构成贫困代际传导路径的重要条件;多层次的原因变量联合效应是贫困代际传递的主要路径,贫困代际传导路径主要有政策文化制约路径和社会与资本阻碍路径。

为了有效阻断农村家庭贫困代际传递,实现共同富裕的目标,本文提出以下建议:第一,提升发生贫困代际传递农村家庭的生计资本存量,并进一步优化增量,提高家庭成员的能力。第二,对发生贫困代际传递的家庭成员加强心理干预,提升家庭成员的内在素质。第三,完善乡村发展战略,提升乡村发展质量。本研究的意义在于探究农村家庭贫困代际传递规律的同时,发现了贫困代际传递的影响因素及传导路径,丰富了中国本土化的理论模型。

外文摘要:

In 2020, China has achieved comprehensive poverty alleviation and the goal of building a moderately prosperous society in an all-around way, which lays a good foundation for promoting common prosperity. All the poverty-stricken people under the current standard are lifted out of poverty, which does not mean the end of the problem of poverty governance, but a transition from absolute poverty to relative poverty, and the problem of deep-seated poverty is more prominent, which is mainly reflected in the problem of intergenerational transmission of poverty. The problem of intergenerational transmission of poverty is persistent and dynamic, which brings challenges to preventing the return to poverty, narrowing the gap between the rich and the poor, and achieving common prosperity. Based on consolidating poverty alleviation, how to discover the influencing factors of the intergenerational transmission of poverty in rural families, block the path of intergenerational transmission of poverty, and improve the self-development ability of rural families, to get rid of relative poverty and achieve common prosperity, has become a practical problem in my country's governance that need to be solved urgently. Therefore, the core question that this study attempts to answer is: what is the mechanism of the intergenerational transmission of poverty among Chinese rural households?

In the context of China's anti-poverty model, this study starts from the perspective of intergenerational transmission of poverty. Build an analytical framework based on the theory of intergenerational income mobility and sustainable livelihood theory, and conducts theoretical and empirical research on the intergenerational transmission of poverty in Chinese rural households. This study attempts to answer three closely related questions: what is the current status, characteristics, and trends of the intergenerational transmission of poverty in rural Chinese families, what are the influencing factors of the intergenerational transmission of poverty, and what are the paths of intergenerational transmission of poverty in rural families. Based on these, this study firstly used intergenerational income elasticity, intergenerational income rank correlation coefficient, and quantile regression to measure the intergenerational income mobility of rural households from 1989 to 2015, to measure the poverty generation of rural households. Secondly, using the method of grounded theory. It conducts an in-depth analysis of rural families in 6 counties, extracts and summarizes the influencing factors of the intergenerational transmission of poverty in rural families, and builds a theoretical model of interest. Finally, a clear set of qualitative comparison Analytical methods are used to explore the key combination of conditions in rural families that lead to the occurrence of intergenerational transmission of poverty and to study the path of intergenerational transmission of poverty in rural families. The following conclusions were drawn from the research:

First, the measurement of the intergenerational transmission of poverty in rural households. The intergenerational income elasticity of the overall rural households shows a downward trend. The probability of children and their fathers being in the same income group is higher than that of the two being in different income groups. When the father is in the low-income group, rural families are more likely to have intergenerational transmission of poverty. The intergenerational income elasticity of rural poor families fluctuates greatly, while the intergenerational income elasticity of rural non-poor families is relatively stable; the characteristics of fathers and children show significant differences. In terms of medical insurance, there is an obvious phenomenon of intergenerational transmission of poverty; the intergenerational income elasticity at different quantiles of the offspring of the full sample in rural areas shows a trend of first rising and then falling, and the quantiles of rural poor households and rural non-poor households have returned. The results show that with the increase of offspring's income, their dependence on the father's income gradually weakens. The regression results of different geographical quantiles show that the intergenerational income elasticity of offspring in rural families at different quantiles shows a trend of fluctuation. Generation low-income and middle-income groups are highly dependent on their parents' income.

Second, the factors affecting the intergenerational transmission of poverty in rural families. The theoretical model of the influencing factors of the intergenerational transmission of poverty in rural families shows that the influencing factors of the intergenerational transmission of poverty in rural families mainly include three aspects: social-level incentive driving factors, individual-level behavioral driving factors, and national-level structural driving factors. The three dimensions of the cognition-situation-norm act on the meso, micro, and macro levels. The cognitive dimension is a deep-level ideological factor, which is difficult to change due to changes in the external environment. Its influence on two or even several generations of rural families is profound and lasting. Based on cognition, the five behavioral drivers of natural capital, human capital, physical capital, financial capital, and social capital form the scenario of intergenerational transmission of poverty in rural families. The factors that cause the most intergenerational transmission of poverty in rural families are human capital, natural capital, and physical capital, because when these capitals are lacking, intergenerational transmission of poverty will occur due to illness, disability, and disaster. This is also the most common cause of intergenerational transmission of poverty for rural families. Structural drivers at the national level integrate power into norms and normalize them, and at the normative level, promote or inhibit the occurrence of the intergenerational transmission of poverty in rural households, and achieve the purpose of reinforcement. At the three levels of meso, micro, and macro, they do not act on rural families individually, but interact with each other and develop in a step-by-step process, jointly promoting or inhibiting the occurrence of the phenomenon of intergenerational transmission of poverty in rural families.

Finally, in terms of the intergenerational transmission path of rural family poverty. This study believes that the generation of poverty intergenerational transmission is the result of a combination of factors. Employment and entrepreneurial policies, poverty culture, financial capital, and human capital have played an important role; Configuration 1 indicates that the combination of not enjoying employment and entrepreneurial policies, having poverty culture, and the low human capital stock is one of the intergenerational transmission paths of poverty. Configuration 2 indicates that the lack of employment and entrepreneurship policies, the existence of a poverty culture, the low stock of financial capital, and the low stock of human capital is another path for intergenerational transmission of poverty. The higher coverage rates of configuration 1 and configuration 2 shows their typical representativeness. In these two configurations, employment and entrepreneurial policies, poverty culture, and human capital are the core conditions of the above two configurations, indicating that employment and entrepreneurial policy, poverty culture, and human capital constitute important conditions for the intergenerational transmission path of poverty; the combined effect of multi-level causal variables is the main mechanism of intergenerational transmission of poverty. The intergenerational transmission paths of poverty mainly include the mode of policy and cultural constraints and the mode of social and capital obstacles.

To effectively block the intergenerational transmission of poverty in rural families and achieve the goal of common prosperity, this paper puts forward the following suggestions: First, improve the livelihood capital stock of rural families with intergenerational transmission of poverty, and further optimize the increment to improve the ability and quality of family members. Second, strengthen psychological intervention for family members with intergenerational transmission of poverty to improve the internal quality of family members. Third, improve the rural development strategy and improve the quality of rural development. The significance of this study lies in exploring the law of intergenerational transmission of poverty in rural households, and at the same time discovering the influencing factors and transmission path of poverty intergenerational transmission, which enriches the theoretical model of Chinese localization.

参考文献总数:

 258    

馆藏地:

 图书馆学位论文阅览区(主馆南区三层BC区)    

馆藏号:

 博1204Z1/22004    

开放日期:

 2023-06-16    

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