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Research Series on the Chinese Dream and China’s Development Path
Kun Yan
Poverty Alleviation in China A Theoretical and Empirical Study ResearchSeriesontheChineseDream andChina’sDevelopmentPath ProjectDirector
XieShouguang,President,SocialSciencesAcademicPress
SeriesEditors
LiYang,Vicepresident,ChineseAcademyofSocialSciences
LiPeilin,Vicepresident,ChineseAcademyofSocialSciences
AcademicAdvisors
CaiFang,GaoPeiyong,LiLin,LiQiang,MaHuaide,PanJiahua,PeiChanghong, QiYe,WangLei,WangMing,ZhangYuyan,ZhengYongnian,ZhouHong
Drawingonalargebodyofempiricalstudiesdoneoverthelasttwodecades,the ResearchSeriesontheChineseDreamandChina’sDevelopmentPath seeksto provideitsreaderswithin-depthanalysesofthepastandpresent,andforecastsfor thefuturecourseofChina’sdevelopment.ThankstotheadoptionofSocialismwith Chinesecharacteristics,andtheimplementationofcomprehensivereformand opening,Chinahasmadetremendousachievementsinareassuchaspolitical reform,economicdevelopment,andsocialconstruction,andismakinggreatstrides towardstherealizationoftheChinesedreamofnationalrejuvenation.Inadditionto presentingadetailedaccountofmanyoftheseachievements,theauthorsalso discusswhatlessonsothercountriescanlearnfromChina’sexperience.Thisseries willbeaninvaluablecompaniontoeveryresearcherwhoistryingtogainadeeper understandingofthedevelopmentmodel,pathandexperienceuniquetoChina.
Moreinformationaboutthisseriesat http://www.springer.com/series/13571
KunYan PovertyAlleviationinChina ATheoreticalandEmpiricalStudy KunYan ChineseAcademyofSocialSciences Beijing,China
ISSN2363-6866ISSN2363-6874(electronic) ResearchSeriesontheChineseDreamandChina’sDevelopmentPath ISBN978-3-662-47391-7ISBN978-3-662-47392-4(eBook) DOI10.1007/978-3-662-47392-4
LibraryofCongressControlNumber:2015945497
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SeriesPreface SinceChina’sreformandopeningbeganin1978,thecountryhascomealong wayonthepathofsocialismwithChinesecharacteristics,undertheleadership oftheCommunistPartyofChina.Over30yearsofreformeffortsandsustained spectaculareconomicgrowthhaveturnedChinaintotheworld’ssecondlargest economyandwroughtmanyprofoundchangesintheChinesesociety.These historicallysignificantdevelopmentshavebeengarneringincreasingattentionfrom scholars,governments,andthegeneralpublicalikearoundtheworldsincethe 1990s,whenthenewestwaveofChinastudiesbegantogathersteam.Someof thehottesttopicshaveincludedtheso-calledChinamiracle,Chinesephenomenon, Chineseexperience,Chinesepath,andtheChinesemodel.Homegrownresearchers havesoonfollowedsuit.Alreadyhugelyproductive,thisvibrantfieldisputtingouta largenumberofbookseachyear,withSocialSciencesAcademicPressalonehaving publishedhundredsoftitlesonawiderangeofsubjects.
BecausemostofthesebookshavebeenwrittenandpublishedinChinese, however,readershiphasbeenlimitedoutsideChina—evenamongmanywhostudy China—forwhomEnglishisstillthelinguafranca.Thislanguagebarrierhasbeen animpedimenttoeffortsbyacademia,businesscommunities,andpolicy-makersin othercountriestoformathoroughunderstandingofcontemporaryChina,forwhat isdistinctaboutChina’spastandpresentmaymeannotonlyforherfuturebutalso forthefutureoftheworld.Theneedtoremovesuchanimpedimentisbothrealand urgent,andthe ResearchSeriesontheChineseDreamandChina’sDevelopment Path ismyanswertothecall.
Thisseriesfeaturessomeofthemostnotableachievementsfromthelast20 yearsbyscholarsinChinainavarietyofresearchtopicsrelatedtoreformand opening.Theyincludeboththeoreticalexplorationsandempiricalstudiesand covereconomy,society,politics,law,culture,andecology,thesixareasinwhich reformandopeningpolicieshavehadthedeepestimpactandfarthest-reaching consequencesforthecountry.Authorsfortheserieshavealsotriedtoarticulate theirvisionsofthe“ChineseDream”andhowthecountrycanrealizeitinthese fieldsandbeyond.
Alloftheeditorsandauthorsforthe ResearchSeriesontheChineseDream andChina’sDevelopmentPath arebothlongtimestudentsofreformandopening andrecognizedauthoritiesintheirrespectiveacademicfields.Theircredentialsand expertiselendcredibilitytothesebooks,eachofwhichhavingbeensubjecttoa rigorouspeerreviewprocessforinclusionintheseries.AspartoftheReformand DevelopmentProgramundertheStateAdministrationofPress,Publication,Radio, FilmandTelevisionofthePeople’sRepublicofChina,theseriesispublished bySpringer,aGermany-basedacademicpublisherofinternationalrepute,and distributedoverseas.IamconfidentthatitwillhelpfillalacunainstudiesofChina intheeraofreformandopening.
XieShouguang
Preface Theinternationalcommunityhasbeenincreasinglyconcernedandanxiousabout povertysincetheoutbreakofthefinancialcrisis.Thecrisishasspawnedanewgroup ofimpoverishedpeople;somewhohadescapedfrompovertyfoundthemselves onceagainbelowthepovertyline,andthepovertyratehasincreasedsignificantly. Sincereformandopening,Chinahasmaderemarkableachievementsinalleviating poverty.From1981to2004,theabsolutenumberofpoorpeopleinChinafellby 500million,accountingfor70%ofglobalpovertyreduction.Thebasicproduction andlivingconditionsofthepoorhaveimprovedsignificantly.TheWorldBankhas evenpraisedChina’spovertyalleviationeffortsasakeyachievementonaregional andglobalscale.Suchadramaticreductioninpovertyoversuchashortperiod oftimeistrulyunprecedented,butChinastillfacesanuphillbattle.Accordingto internationalpovertystandards,Chinastillhastheworld’ssecondlargestpopulation ofpoorpeople.Additionally,newchallenges—suchasmorescatteredpoverty,more widespreadvulnerabilityofthoseescapingpoverty,andthesignificantgrowthof China’smigrantpopulation—makepovertyalleviationallthemorecomplex.
Becauseofthisgrowingcomplexity,itiscriticaltofindmoreeffectiveways toresolvetheproblemofpoverty.ThisstudysystematicallyinvestigatesChina’s experienceinpovertyalleviation,focusingonthedevelopmentprocess,major characteristics,andweaklinks.Thisstudyalsoconductsacomparativeanalysis ofpovertyalleviationcasesand,fromthesecases,explorestheinternallogicand coreelementsofChina’spovertyalleviationmodelknownas“TwoThreads,One Force.”Thisstudyputsforwardthebasicjudgmentofthispovertyalleviationmodel withChinesecharacteristicsandrefinesthetheoreticalframeworkbehindthismodel withideasandplansforrespondingtonewchallengesinordertoachievepoverty alleviationgoalsinthenewera.Thethoughtspresentedinthisstudyseektoenhance thewelfareofthepeopleandpromotesocialprogressandnationalprosperity.
Beijing,ChinaKunYan
Acknowledgments Afterarelativelyshortgestationperiod,the ResearchSeriesontheChineseDream andChina’sDevelopmentPath hasstartedtobearfruits.Wehave,firstandforemost, thebooks’authorsandeditorstothankformakingthispossible.Anditwasthe hardworkbymanypeopleatSocialSciencesAcademicPressandSpringer,thetwo collaboratingpublishers,thatmadeitareality.Wearedeeplygratefultoallofthem.
Mr.XieShouguang,presidentofSocialSciencesAcademicPress(SSAP),is themastermindbehindtheproject.Inadditiontodefiningthekeymissionsto beaccomplishedbyitandsettingdownthebasicparametersfortheproject’s execution,astheworkhasunfolded,Mr.Xiehasprovidedcriticalinputpertaining toitseveryaspectandateverystepoftheway.Thankstothedeftcoordinationby Ms.LiYanling,alltheconstantlymovingpartsoftheproject,especiallythoseon theSSAPside,aresecurelyheldtogetherandaswellsynchronizedasisfeasible foraprojectofthisscale.Ms.GaoJing,unfailinglydiligentandmeticulous, makessureeveryaspectofeachChinesemanuscriptmeetsthehigheststandards forbothpublishers,somethingofcriticalimportancetoallsubsequentstepsin thepublishingprocess.Thathigh-qualityifalsoattimesstylisticallyaswellas technicallychallengingscholarlywritinginChinesewhichhasturnedintodecent, readableEnglishthatreadersseeonthesepagesislargelythankstoMs.LiangFan, whooverseestranslatorrecruitmentandtranslationqualitycontrol.
TenothermembersoftheSSAPstaffhavebeenintimatelyinvolved,primarily inthecapacityofin-houseeditor,inthepreparationoftheChinesemanuscripts.It isatime-consumingworkthatrequiresattentiontodetails,andeachofthemhas donethisandiscontinuingtodothiswithsuperbskills.Theyare,inalphabetical order,Mr.CaiJihui,Ms.LiuXiaojun,Mr.RenWenwu,Ms.ShiXiaolin,Ms.Song Yuehua,Mr.TongGenxing,Ms.WuDan,Ms.YaoDongmei,Ms.YunWei,andMs. ZhouQiong.Inaddition,XieShouguangandLiYanlinghavealsotakenpartinthis work.
Ms.YunWeiistheSSAPin-houseeditorforthisvolume.
OurappreciationisalsoowedtoMs.LiYan,Mr.ChaiNing,Ms.WangLei,and Ms.XuYifromSpringer’sBeijingRepresentativeOffice.Theirstrongsupportfor theSSAPteaminvariousaspectsoftheprojecthelpedtomakethelatter’swork thatmucheasierthanitwouldhaveotherwisebeen.
WethankMr.AndrewH.Kellerfortranslatingandpolishingthisbook.
Last,butcertainlynotleast,itmustbementionedthatfundingforthisproject comesfromtheMinistryofFinanceofthePeople’sRepublicofChina.Our profoundgratitude,ifwecanbeforgivenforabitofapophasis,goeswithoutsaying.
SocialSciencesAcademicPress
1Introduction ..................................................................1
1.1BackgroundandSignificanceofThisStudy
1.1.1StudyBackground .............................................1
1.1.2SignificanceofThisStudy ....................................2
1.2ReviewoftheLiterature ................................................3
1.2.1TheDevelopmentoftheConceptofPoverty
1.2.2ClassificationsofPoverty
1.2.3CausesofPoverty
1.2.4CriteriaforPoverty
1.2.5EconomicGrowth,IncomeDistribution,andPoverty
1.2.6TreatmentofPoverty ..........................................13
1.2.7FiscalPovertyReduction
1.3.1ThePovertyFormationMechanism
1.3.2FactorsAffectingPoverty
1.3.3FormationofPovertyAlleviationTheory
1.3.4Methods,Ideas,andFrameworks
1.3.5ResearchIdeas
2.1BackgroundonthePracticeofPovertyAlleviation withChineseCharacteristics
2.2HistoryofChinesePovertyAlleviation
2.2.1StageI:SystemTransition,EconomicResults, andPovertyReduction(1978–1985)
2.2.2StageII:EstablishmentofInstitutions, StrengtheningofOrganization,andDevelopment ofPovertyAlleviation(1986–1993)
2.2.3StageIII:FormulatingPlans,ResolvingFood andClothingIssues,andVigorousPoverty Alleviation(1994–2000) ......................................44
2.2.4StageIV:PromulgatingOutlines,Consolidating Achievements,andPovertyAlleviationinthe NewEra(2001–2010) .........................................46
2.3TheChinesePovertyAlleviationModel
2.3.1ModelI:PovertyAlleviationThroughFinancialAid
2.3.2ModelII:PovertyAlleviationThroughMicrofinance
2.3.3ModelIII:PovertyAlleviationThrough IndustrialDevelopment .......................................55
2.3.4ModelIV:PovertyAlleviationThroughEducation ..........56
2.3.5ModelV:PovertyAlleviationThroughScience andTechnology ................................................57
2.3.6ModelVI:PovertyThroughSystemization
2.3.7ModelVII:PovertyAlleviationThroughMigration
2.3.8ModelVIII:PovertyAlleviationThrough “ReliefforWork” .............................................61
2.3.9ModelIX:PovertyAlleviationThrough “Village-wiseAdvancement” .................................62
2.3.10ModelX:PovertyAlleviationThroughFitting withSpecialties,FixedPoints,andConnections
2.4TheBasicExperience,ApplicableConditions, andProblemsofChinesePovertyAlleviationPractice ...............67
2.4.1TheBasicExperienceofPovertyAlleviationPractice ......67
2.4.2ApplicableConditions ........................................73
2.4.3TheProblemsandDifficultiesinChinese PovertyAlleviation ............................................77 References .....................................................................84
3TheoreticalStudyofPovertywithChineseCharacteristics .............87
3.1ATheoryofPovertyAlleviation:GeneralAnalysis ...................88
3.1.1PovertyandthePoor ..........................................88
3.1.2MeasuringPoverty ............................................89
3.2TheoreticalAnalysisofChina’sPovertyAlleviationIssues ..........92
3.2.1TheMeaningofChinesePovertyAlleviation andanOverviewofRelevantTheoreticalPerspectives .....93
3.2.2TheHistoricalBackgroundandFactors InfluencingtheFormationofaChineseTheory ofPovertyAlleviation .........................................97
3.3TheSystemFrameworkandCoreElementsofaTheory ofPovertyAlleviationwithChineseCharacteristics ..................103
3.3.1TheChinaModelofPovertyAlleviation:The “TwoLinesOneForce”TheoreticalFramework ............103
3.3.2MainLineNo.1oftheChinaModelofPoverty Alleviation:EconomicDevelopment .........................104
3.3.3MainLineNo.2oftheChinaModelofPoverty Alleviation:TheSocialSafetyNet ...........................111
3.3.4TheCoreElementofaChinaModelofPoverty Alleviation:Government-LedFiscalPovertyReduction ....117 References .....................................................................122
4ComparisonofInternationalPracticesinPovertyAlleviation ..........125
4.1PovertyAlleviationPracticesinDevelopedCountries ................125
4.1.1AnalysisoftheCharacteristicsofPoverty inDevelopedCountries .......................................126
4.1.2PovertyAlleviationPracticesinDevelopedCountries ......127
4.2PovertyAlleviationinDevelopingCountries ..........................139
4.2.1AnalysisoftheCharacteristicsofPoverty inDevelopingCountries ......................................140
4.2.2PovertyAlleviationinRepresentative DevelopingCountries .........................................141
4.3ImplicationsforChina ..................................................151
4.3.1EconomicGrowthIstheMostImportantPath OutofPoverty .................................................152
4.3.2EquityinIncomeDistributionMustBeaFocus inEconomicGrowth ..........................................152
4.3.3GovernmentMustActivelyParticipateinthe PovertyAlleviation,andPoliciesMustBeAppropriate .....153
4.3.4EmphasisMustBePlacedontheRole oftheSocialSecuritySysteminPovertyAlleviation .......154
4.3.5TheSocialRightsofVulnerableGroupsAreImportant ....155 References .....................................................................156
5TheDevelopmentDirectionoftheTheoryandPractice ofthe“ChinaModel”ofPovertyAlleviationintheNewEra ...........159
5.1ChangesandChallengesintheChinaModelofPoverty AlleviationWorkintheNewEra .......................................159
5.1.1EmpiricalAnalysisoftheDevelopmentofand ChangestoChinesePovertyAlleviationPractices ..........159
5.1.2ChallengestotheChinaModelofPoverty AlleviationintheNewEra ....................................171
5.2TheThreeLevelsofPovertyAlleviation ..............................174
5.2.1GovernmentLeadership .......................................174
5.2.2ParticipationofSocialGroups ................................178
5.2.3CooperationwithPoorEntities ...............................183
5.3TheDevelopmentDirectionofUrbanandRuralPoverty AlleviationTheoryandPractice ........................................189
5.3.1EcologicallySustainableDevelopment ......................189
5.3.2UrbanizationandRuralPovertyAlleviation .................191
5.3.3PovertyAlleviationThroughScienceandTechnology ......192
5.3.4EfficientUseofPovertyAlleviationFunds ..................193
5.3.5PovertyAlleviationThrough theIndustrializationofAgriculture ...........................195 AppendixA:PovertyMeasuresinChina1981–2005 .......................197 References .....................................................................198
6ConsolidatingandDevelopingtheChinaModelofPoverty Alleviation ....................................................................201
6.1AbsorbingtheReasonablePortionofChina’sExisting TheoreticalPerspectives,ActivelyCarryingOut InnovationintheTheoryofPovertyAlleviation withChineseCharacteristics ...........................................201
6.1.1ProposingAlternativePovertyAlleviation ProgramsontheBasisofTheoreticalAnalysis oftheMainCausesofPoverty ................................201
6.1.2ProposingAlternativePovertyAlleviation ProgramsBasedontheTheoreticalAnalysis ofFactorsAffectingPovertyAlleviation .....................203
6.1.3ActivelyCarryingOutInnovationinthe TheoryofPovertyAlleviationwithChinese CharacteristicsandEstablishingaChinaModel ofPovertyAlleviationCharacterizedby“Two LinesOneForce” ..............................................204
6.2PromotingEconomicGrowthinPoorAreasDriving IncreasedIncomesforPoorGroups ....................................204
6.2.1DevelopCounty-LevelEconomiesandPromote IncomeDistribution ...........................................204
6.2.2AcceleratingtheDiversificationofRural IndustryandFosteringEconomicGrowthPoints inPoorAreas ..................................................205
6.2.3NarrowingPovertyTargetingtotheVillage LevelandExploringLeapfrogDevelopment oftheRuralEconomy .........................................206
6.2.4PromotingtheDevelopmentofFinance andTacklingtheProblemsofLoanstoFarmers .............207
6.2.5PromotingtheDevelopmentoftheRights ofthePoorandImprovingtheEfficiency ofPovertyAlleviationBasedonActualNeeds ..............207
6.3BuildingaSoundSocialSafetyNetandExpanding CoveragetoIncludeAllPoorPeople ..................................208
6.3.1ExcludingNoOnefromtheSocialSafetyNet andProvidingOn-DemandAccesstoSocialWelfare .......208
6.3.2StrengtheningFundingGuarantees andImprovingtheEfficiencyofFiscalFunds ...............209
6.3.3ResolveProblemsintheExistingSocial SafetyNetAccordingtotheClassifications oftheBeneficiaryPopulation .................................210
6.4ImprovingtheSystemandPolicyofFiscalPoverty ReductionandLayingaMaterialFoundationfor EconomicDevelopmentandtheSocialSafetyNet ....................211
6.4.1OptimizingtheFinancialSystemandLaying aFoundationforPovertyReduction ..........................212
6.4.2FinancialEmpowermentforFinancial AdministrationsBelowtheProvincialLevel andImprovingtheFiscalPovertyReduction CapabilitiesofPoorAreas ....................................212
6.4.3FurtherImprovingtheTransferPaymentSystem andStrengtheningtheFinancialResources ofPoorAreas ..................................................213
6.4.4StandardizingFiscalPovertyReduction ProceduresandImprovingtheEfficiency ofPovertyReduction ..........................................213
6.4.5EstablishingandStrengtheningtheSystem andMechanismofFiscalPovertyReduction ManagementandImprovingtheFiscalPoverty AlleviationCapitalEfficiency ................................214
6.4.6EstablishingaStableGrowthMechanism forFiscalPovertyAlleviationInvestment andGuidingAdditionalSocialCapitalToward PoorAreas .....................................................216
References .....................................................................217
Appendix:TenCaseStudiestoIllustrateChinesePoverty AlleviationModels ...............................................................219
CaseI:FiscalPovertyAlleviationinYunnan ................................219 A.YunnanProvince’sExperienceinFiscalPovertyAlleviation .........219 Kunming’sManagementofFiscalPovertyAlleviationFunds ...........221
CaseII:Chongqing’s“RainProgram”PovertyAlleviation ThroughTraining .............................................................223
CaseIII:Village-WisePovertyAlleviationinGansuProvince’s JishishanCounty ..............................................................224
CaseIV:PovertyAlleviationThroughInfrastructure ConstructioninJishishanCounty ............................................225
CaseV:OrganizationalPovertyAlleviationinGuizhou’s QianjiaTownship .............................................................226
CaseVI:PovertyAlleviationThroughScienceandTechnology inShandongProvince’sJiaonanPrefecture .................................228
CaseVII:PovertyAlleviationThroughRelocationinYunnan Province’sChangningCounty ................................................231
CaseVIII:PovertyAlleviationThroughSubsidizedLoans inShaanxiProvince ...........................................................232
CaseIX:PovertyAlleviationThroughEast-WestPartnership inShandongandChongqing .................................................234
CaseX:PovertyAlleviationThroughIndustryinHebei’s FengningCounty ..............................................................236
AbouttheAuthor KunYan born1964inDalian,LiaoningProvince,holdsaPh.D.ineconomicsand hascompletedpostdoctoralworkinmanagementscience.Shecurrentlyservesas deputydirector,researcher,anddoctoraldissertationadviserattheInstituteofHistory,ChineseAcademyofSocialSciences(CASS).Yan’spreviousappointments includedeputydirectorandlecturerattheForeignEconomicandManagement Institute,RenminUniversityofChina;assistantresearcherattheInstituteof JapaneseStudies,CASS;chiefofResearchDepartmentattheInstituteofFinance andTradeEconomics,CASS;associateprofessorattheCASSGraduateSchool; anddirectorofFinancialResearchDepartment,InstituteofFiscalScience.Yan’s morethan500articlesineconomicsandmanagementhaveappearedinboth academicjournalsandnewspapers,andsheisauthororcoauthorof12books, including FrontiersinTheoriesofPublicExpenditure (2004)and ChineseCounty andTownshipFiscalSystems (2006).Yanhasreceivednumerousawardsforher academicwork.Hermainareasofresearchinterestsaremacroeconomicandfiscal andmonetarypolicy.
Chapter1 Introduction 1.1BackgroundandSignificanceofThisStudy
1.1.1StudyBackground
Sincereformandopening,theChinesegovernmenthasundertakeneffortsand maderemarkableachievementsinalleviatinganderadicatingpoverty.Theabsolute numberofpoorpeopleinChinafellby500millionbetween1981and2004, accountingforsome70%ofpovertyreductionacrosstheglobe.
Foradecade,beginningwiththereleaseofthe“ChinaRuralPovertyAlleviation andDevelopment(2001–2010)”Plan,Chinahasmadesolidandsteadyprogress indevelopingpovertyassistance.Theruralpoorpopulationhasfallensignificantly, from942.3millionin2000to359.7millionin2009.Thissignifiesareduction inthepovertyratefrom10.2to3.8%overthesameperiod.Thepercapitarural incomeinkeycountiesthatreceivedpovertyassistancerosesignificantly,from 1,277RMBin2001to2,842RMBin2009,anaverageannualincreaseof7.6%. Thisrateishigherthantheaverageincomeofruralareasnationwide.Infrastructure andsocialcauseshavealsobeenstrengthenedinthepastdecade.From2002to 2009,keycountiesadded3millionhectaresofbasicfarmland,andthepenetration rateoftelephoneconnectivityinnaturalvillagesrosefrom52.6to91.2%.The county-leveleconomyhasalsodevelopedrapidly.Between2001and2009,theper capitaGDPinkeycountiesgrewfrom2,658.1to9,549yuan,anincreaseof2.59 times.Thebasicproductionandlivingconditionsofthepoorpopulationhavealso improvedsignificantly.ChinaisthefirstcountrytoachievetheUN“Millennium DevelopmentGoal”ofhalvingthepovertyrate.TheWorldBankhasalsopraised China’spovertyalleviationworkasakeyachievementonaregionalandglobal scale.Suchadramaticreductioninpovertyinsuchashorttimeisunprecedented. However,China’spovertyalleviationworkisstillveryarduous.Thesheernumberofthepoorremainshuge.Povertypressuresalsoremainhighduetoadditional challengessuchasseverenaturaldisasters,unusualvolatilityinagriculturalmarkets,
©SocialSciencesAcademicPressandSpringer-VerlagBerlinHeidelberg2016 K.Yan, PovertyAlleviationinChina,ResearchSeriesontheChineseDream andChina’sDevelopmentPath,DOI10.1007/978-3-662-47392-4_1
andthecomplexityoftheexternalenvironment.Unequaleconomicdevelopment hasledtocontiguous,impoverishedregions.Accordingtopovertymonitoring datafromtheNationalBureauofStatistics,from2001to2009,theproportion ofpoorpeopleinChina’swesternregionincreasedfrom61to66%.InChina’s eightethnicareaprovinces,theproportiongrewfrom34to40.4%.InGuizhou, Yunnan,andGansu,itincreasedfrom29to41%.Meanwhile,naturaldisasters andseriousdeficienciesinnaturaldisasterpreventionandmitigationalsopose obstaclestopovertyalleviationefforts.Accordingtostatistics,theprobabilityof sufferingaseriousnaturaldisasterisfivetimeshigherinpoorareasthaninother areas.Insufficientabilitytopreventandfightagainstnaturaldisastershasalsoledto backwardeconomiesandecologicallyweakareaswherenaturaldisastersthreaten agriculturalproduction.
AccordingtoFanXiaojian,DirectoroftheStateCouncilPovertyAlleviation Office,fundamentallyeliminatingabsolutepovertywillbethemaintaskforChina’s povertyalleviationanddevelopmentworkoverthenextdecade.Concentrated, contiguousareaswithspecialdifficultieswillbethemainbattlefield.ThePoverty AlleviationOfficehasplanstofurtherexpanddevelopmentofandinvestmentin povertyassistance,launchcomprehensivegovernancetestpointsincontiguous areaswithspecialdifficulties,vigorouslyexpandthefieldofsocialpovertyassistance,andimprovethepovertyassistanceworkmechanism.Thekeygoalsofthe officearetosignificantlyshrinkthepoorpopulationby2015andfundamentally eliminateabsolutepovertyby2020.
1.1.2SignificanceofThisStudy “Povertyisnotsocialism.Socialismistoeliminatepoverty”1 —povertyalleviation hasalwaysbeenanimportantpartofestablishingsocialismwithChinesecharacteristics.“Theessenceofsocialismistheliberationofproductiveforces,the developmentofproductiveforces,theeliminationofexploitationandpolarization, andultimatelytheachievementofcommonprosperity.”Thus,povertyalleviation isaninherentrequirementofsocialismandanembodimentofthesuperiorityof thesocialistsystem.However,China’sendeavortoalleviatepovertyinthefutureis aheavyburdenthatmustbecarriedatalongdistance.Accordingtointernational standards,Chinastillhastheworld’ssecond-largestpopulationofpoorpeople.As of2009,some35.97millionpeopleinChinastillhadannualincomesbelow1,196 yuan,accountingfor3.8%oftheruralpopulation.Atthesametime,severely unequaldevelopmenthashighlightedcontradictionsincontiguouspoorareas. Disasterpreventionandmitigationcapacityinpoorareasisclearlyinsufficient. Backslidinghasoccurred;somegroupsthathadclimbedoutofpovertyhaveonce againfoundthemselvesmiredinit.Therapidgrowthofthemigrantpopulationhas presentednewchallenges.Thiscombinationofchallengeshassignificantlyadded tothecomplexityofpovertyalleviationwork.
1 WorksofDengXiaoping,Vol.3,People’sPublishingHouse,Beijing,1993(p.255).
Withthesechallengesinmind,thispaperprovidesasystematicstudyofthe developmentprocess,maincharacteristics,andweaklinksofChina’spoverty alleviationexperience.Firstaccuratelygraspingtheintrinsiclogicandcoreelements ofChina’spovertyalleviationtheorybasedoncasestudyexperience,thispaper proposesideasandprogramstorespondtonewchallengesinordertoachieve povertyalleviationgoalsinthemodernera.Thiswillbeconducivetoimproving people’swell-beingandpromotingsocialprogressandnationalprosperity.Sharing China’ssuccessfulpovertyalleviationexperiencewithcountriesaroundtheworld, especiallydevelopingcountries,willbeextremelyimportantfortheprogress ofhumansocietyandthepreservationofworldpeace.Moreover,thestudyof povertyalleviationissuesisamultidisciplinaryfield.Thesteady,sustainedadvance ofChinesepovertyalleviationworkoverarelativelylongperiodhasprovided representative,large-samplesupportfortheoreticalresearchinrelateddisciplines. NotonlyarestudiesofpovertyalleviationwithChinesecharacteristicsfullof practicalsignificance,theyarealsoconducivetomultidisciplinarytheoretical innovation.2
1.2ReviewoftheLiterature
1.2.1TheDevelopmentoftheConceptofPoverty Studiesofpovertyhavebeenconductedformorethanacentury.Theearliestscholar tostudypovertywasSeebohmRowntree,whosurveyedpovertyintheEnglishcity ofYorkbetween1899and1901.Basedonabudgetthatprovidedthe“minimum necessitiesneededtomaintainphysicalabilities,”Rowntreedetermineda“socially acceptable”minimumamountofmoneyfortheparticularenvironmentofYork. Rowntreepublished Poverty:AStudyofTownLife (Rowntree 1901),whichledto morefocusanddiscussiononissuesrelatedtopoverty.
In PovertyintheUnitedKingdom, PeterTownsend(1979)wrote,“Those individuals,families,andgroupswholacktheresourcestoobtainfood,participate insocialactivities,andforthemostbasiclivingandsocialconditions,arethesocalledpoor(PeterTownsend 1979,p.42).”
In Poverty:TheFacts,CareyOppenheim(1993)states,“Povertyisamaterial, social,andemotionalshortage.Itimpliesthatexpendituresonfood,heating,and clothingarelowerthantheaveragelevel.Aboveall,povertytakesawaythetoolsto buildtheblocksforthefuture—your‘lifechances.’Ittakesawaytheopportunityto havealifeunmarkedbysickness,adecenteducation,asecurehome,andlong-term retirementfromwork(CareyOppenheimer 1993,p.36).”
2 SomeofthisdatawascompiledfrommaterialsmadeavailablebytheStateCouncilPoverty AlleviationOffice.
AmartyaSen,theIndianNobelPrizerecipientforeconomics,firstputforward theconceptofcapabilitydeprivationinthe1970sand1980s,sayingthatpoverty mustbeseenasadeprivationoffundamentalcapabilities.Inthesameperiodhe publishedseveralworksonpoverty,including: OnEconomicInequality (1976), PovertyandFamines:AnEssayonEntitlementandDeprivation (1981),and DevelopmentasFreedom (1998).ThecapabilitySenproposesrefersto“thedifferent combinationsofchoicesofvariousfunctionalactivitiesanindividualcanobtain. Thus,capabilityisasortoffreedom,thesubstantivefreedomtoobtainthechoiceof variouscombinationsoffunctionalactivites.”3 InPoverty:AnOrdinalApproachto Measurement,Senwrites,“Povertyisnotonlypoorrelativetoothers,butalsonot beingabletoobtainsomebasicmaterialwell-being,thatis,notpossessingsome certainminimumcapabilities...Ultimately,povertyisnotanissueofincome butacapabilityissueofnotbeingabletoobtainsomeminimumneeds.”Senalso pointsout,“Intheanalysisofpoverty,mostimportantistodeterminesomeabsolute standardsformeasuringminimumsubstantivecapabilitiesforthespecificsocial situation.Nomatterthepositionrelativetoothers,aslongashecannotmeetthese absolutestandards,heispoor.”TheUnitedNationslateracceptedSen’sthinking, whichdevelopedintotheconceptofthehumanpovertyindex.
The2000UnitedNationsDevelopmentProgramme’s(UNDP)GlobalPoverty Reportclearlystatesthathumanpovertyisabasiclackofthemostbasicopportunitiesandchoicesforhumandevelopment—along,healthy,anddecentlife,freedom, socialstatus,self-respect,andrespectforothers.Thisdefinitionemphasizesthe diversifiednatureofpoverty,includingincomelevel,thebasichumanandsocial developmentsituationsuchaseducationandhealthconditions,thesocialstatusand well-beingofmenandwomen,andtheabilityofallcitizenstoparticipateinthe developmentprocess.
DomesticstudiesofpovertyinChinasynthesizeclassicalWesterntheorywith China’sownexperienceofongoingeconomicandsocialdevelopment.Reportsby theNationalBureauofStatistics’ PovertyinUrbanChina and StandardsofPoverty inRuralChina taskforcesdefinepovertyas,“Generallyreferringtoadifficultyin materiallife,thatis,thelivingstandardofanindividualorafamilydoesnotreach aminimumacceptablesocialstandard.Theylacksomeofthenecessarymaterials andservicesoflifeandliveinadifficultsituation.”4
In AStudyofChina’sRuralPovertyStandardLine (TongXingandLinMingang 1993,p.87),TongXingandLinMingang(1993)definepovertyasa“generalterm foreconomic,social,andculturalbackwardness;alivingsituationcharacterizedby alackofbasiclifenecessitiesandservicesandalackofopportunitiesandmeans fordevelopment.”
3 Sen,Amartya.1976. Poverty:AnOrdinalApproachtoMeasurement,Econometrics,vol(p.44).
4 NationalBureauofStatistics:ResearchReportsofthe StudyofPovertyamongChineseUrban Residents and StandardsofPovertyinRuralChina taskforces,Beijing,1990.
In UnderstandingPoverty,DongFureng(1996,p.21)statesthatpovertyin generalisfirstasituationinwhichnotonlyarebasicphysiologicalneedsnotbeing met,butspiritualneedsandsocialneedsarealsonotbeingmet.
In AStudyoftheChineseUrbanPovertyLine,TangJun(2000)statesthat povertyexistsonthreedifferentlevels(TangJun 2000,p.35).First,asanobjective sociallivingcondition,povertyis“backwardness”and“direstraits”linkedtogether. Second,asagenerallysociallyrecognizedsocialevaluation,povertyislessthanthe “lowest”or“minimum”standardofliving.Third,asaconsequenceofthesocial environment,povertyisa“lack”;infact,itisalackof“means,”“ability,”and “opportunity.”
Inthe1990s,povertyscholarsbegandefiningpovertyasnotjustalowlevelof income,norasjustapooreducational,health,andnutritionalsituation,butalsoasa situationthatincludesvulnerability,lackofvoice,andsocialexclusion.Introducing theseconceptsexpandstheconceptofpovertytoentitlementpoverty,whichfurther introducespolitical,social,cultural,andotherelementsintotheconceptofpoverty. Toeliminatepoverty,asocietymustcreateafairsocialenvironmentforpoorpeople, givingthemtheopportunitytoparticipateinsocietyratherthanexcludethemfrom mainstreamsociety.Reducingandeliminatingallformsofsocialexclusionsystems andpoliciesforlow-levelsocialgroupsenablestherichandpoortoenjoythesame socialrights(GuoXibao 2005).
Fromincomepovertytohumanitiespoverty,toabilitypoverty,andtosystem poverty,theconceptofpovertyhasgraduallydeepened,andperspectivesonpoverty havechangedconstantly.Regardlessofhowpovertyisdefined,scholarsagreethat establishingacomprehensiveandscientificdefinitionisextremelydifficult.Perhaps itisforthisreasonthattheWorldBankprefersadescriptiveexplanationofthe conceptofpoverty,describingastatethatpeoplewouldwanttoescape:poverty meanshungerandnoshelter;povertyisalackofclothingandmedicine;itisalack ofeducationalopportunityandofnotknowinghowtoacquireknowledge;povertyis unemployment,afearofthefuture,andalifefullofthreateningmoments;poverty ischildhoodillnessordeathcausedbyalackofcleandrinkingwater;andpoverty isalackofrightsandfreedoms.Inshort,povertyisastateofproductionthatpeople wanttoescape(LiuJunwen 2004).
1.2.2ClassificationsofPoverty
1.2.2.1AbsolutePovertyandRelativePoverty
Economistsandsociologistshavemanyformulationsforabsolutepoverty,but theyarebasicallyalldefinedfromtheperspectiveofmaintainingbasicsurvival. Thestandardforpovertyissetattheminimumneededformaintaininghuman physiology.Therefore,absolutepovertyisgenerallyconsideredsurvivalpoverty. Rowntreewasthefirsttoputforwardtheconceptofabsolutepoverty(Rowntree 1901).Basedonhouseholdsurveys,hedefinestheconceptofabsolutepovertyas
animpoverishedsituationwhereincomeislowerthanwhatisnecessarytomaintain theeffectivephysicalactivityofpoorpopulations.Thisminimumindicatorincludes onlyaccesstothebasicnecessitiesonemustpurchasetomaintaingoodhealth.He alsoestimatesminimumlivingexpenses,i.e.,thepovertyline,andfromthisobtains theproportionofthepoorpopulation.PeteAlcockfurtherdeepensthisconcept, pointingoutthatabsolutepovertyisobjectiveandbasedon“subsistence.”Since subsistenceistheminimumrequiredtocontinueliving,whenaperson’sincome fallsbelowthelevelofsubsistenceneeds,thatpersonfallsintoastatebereftofthe necessitiestocontinuelivingandisthereforeinabsolutepoverty.
Atpresent,China’swidelyacceptedstandardistheabsolutepovertystandard proposedbytheNationalBureauofStatistics’ PovertyinUrbanChina:“Under acertainmodeofsocialproductionandliving,anindividualorfamilycannot maintainthebasicneedsforsurvivalthroughincomefromlaborandotherlegitimate means.Foodandclothingareinsufficient,andlaborforcereproductionisdifficultto maintain.Suchanindividual(orfamily)iscalledthepoorpopulation(orfamily).”
Relativepovertyisalsocalledrelativelylow-incomepoverty,meaningasocial livingstatusmaintainedwhenone’sincomeisacertaindegreebelowtheaverage insociety.Thistypeofpovertyreflectstheincomedisparitiesamongsocialstrata andwithineachsocialstratum.Usuallyacertainpercentageofthepopulationis determinedtobelivinginrelativepoverty.FuchsVictor(1967)wasthefirsttoput forwardtheconceptofrelativepovertyandthefirsttostudyit.Heusedrelative povertytoestimatethesizeofthepoorpopulationintheUSA,settingtherelative povertylineat50%ofthemediannationalpopulationdistribution.Laterscholars havecontinuedtousethismethodofdeterminingtherelativepovertyline.Oneview usesthemeanvalueratherthanthemedianvaluetoestimatethepoorpopulation, whileanotheruses40%ofthemeanvalueratherthan50%.Laterscholarshave alsousedotherratiosofthemeanvalue(YueXimingetal. 2007).
The PovertyinUrbanChina and StandardsofPovertyinRuralChina study groupsfoundthat“relativepovertyreferstopovertycomparativelyspeaking,thatis, theportionofpeoplewiththelowestlivingstandards(suchas5%ofthepopulation) wouldbetherelativelypoorpopulation.Someinstitutionsandorganizationswill considermembersofsocietywithincomeatorbelowonethirdofoverallincome astherelativelypoorpopulation.”5 TheWorldBank’sviewisthatmembersof societywithincomesatorbelow1/3oftheaverageincomecanberegardedto berelativelypoor.
Relativepovertyisadynamicconcept,thestandardsofwhichareconstantly changingwithchangestoeconomicdevelopment,incomelevels,andthesocial environment.Relativepovertymustbedeterminedincomparisonwithothermembersofsociety.Itistriggeredbydisequilibriuminsocialeconomicdevelopmentand unequaldistributionofnationalincomeanddeterminedbytherelationshipsamong othermembersofsociety.Relativepovertyreflectsthegapandinequalityamong
5 NationalBureauofStatistics:Reportsfromthe PovertyinUrbanChina and StandardsofPoverty inRuralChina TaskForces,1990.
differentmembersofsociety.Theprocessofunderstandingpoverty,fromabsolute torelative,allowsforadeeperunderstandingofpoverty.
Theexpansionofpovertyfromtheconceptofabsolutepovertytothatofrelative povertynotonlyfurtherexpandsthemeaningofpovertyfromthematerialto thesocietalandspiritual,butalsoenrichestheextensionofthepovertyconcept, providinganextremelyusefultheoreticalframeworkforthestudyofpoverty.The studyofabsolutepovertyfocusesonhowtocalculatetheminimumincomerequired inordertomaintainhumanlife,whilethestudyofrelativepovertylooksathow, afterresolvingthebasicneedsoflife,peoplecanlivelifeatanaveragesocietal level.Overall,absolutepovertyfocusesonexplaininghowtosatisfypeople’s biological(physiological)needs.Itisconcernedwiththerighttolifeandsurvival andencompassesthelegalissueofbasichumanrights.Relativepoverty,ontheother hand,revolvesaroundmeetingpeople’ssocialneeds.Itisamoralissueanddefines povertyfromaperspectiveofsocialfairness.
1.2.2.2ObjectivePovertyandSubjectivePoverty Objectivepovertyiswhatresearcherscallpovertymeasuredusingobjectivestandardsofpovertydelineation.Thedevelopmentoftheobjectivepovertyconcept reflectsthechangestothemethodsofdefiningpoverty—fromtheuseofincome asthedefiningcharacteristictotheuseofcapabilityandtotoday’sexpandeduseof appraisalofone’sability.
Senestablishesanewperspectiveoncapabilitydevelopment,sayingthatin concept,povertyshouldbedefinedasinsufficientcapabilityratherthanlowincome: ① povertyisnotonlylowincome,butadeprivationofthecapabilityofobtaining incomeandlossofopportunitytoobtainincome; ② incomeisanimportantmeans ofobtainingcapability,andtheenhancementofcapabilitywillallowonetoobtain moreincome; ③ goodeducationandahealthybodyalonenotonlycandirectly enhancequalityoflifebutcanalsoenhanceone’sabilitytoobtainmoreincome andclimboutofpoverty.Disease,lackofhumancapital,weaksocialsecurity systems,andsocietaldiscriminationarefactorsthatshouldnotbeoverlookedin thedeprivationofearningcapability. ④ Senproposesusingwhetheronecanobtain certainlifesubstanceandtheabilitytoobtainfreedomtounderstandpovertyand deprivation(Sen(1987,1993,1997;ShenXiaobo2005).
MartinRavallion(2005)usesatheoreticalmodeltoconnecttheconceptof capability-basedwell-beingandthatoftraditionalmonetarywell-being.Assuming ahousehold’scapabilityvectorisafunctionofthenumberofhouseholdconsumer goodsandhouseholdcharacteristics,whiletheutilitylevelisafunctionofvarious capabilities,onecanusethesetwofunctionstowriteoutautility-levelfunction. Thisutility-levelfunctionisthefunctionoftraditionalmonetarywell-being.Guo Xiongbao(2005)holdsthatdefiningpovertyaccordingtocapabilityismore reasonablethandefiningitbasedonincome.First,anindividual’scapabilities directlyaffecttheincomeheisabletoobtain.Second,povertycannotbemeasured basedsolelyonincome.Inaddition,oneisconstrainedintransformingincomeinto
capability.Definingpovertybasedoncapabilityavoidsusingincomeasthegoal asincomeisonlyameansofimprovingqualityoflifeandpursuingfreedom. Regardingpovertyfromtheperspectiveofcapabilitycandirectlyachievethese goals.
Subjectivepovertyisareciprocalconcepttoobjectivepovertyandisdefined onthebasisofasubjective,individualjudgment.Thistypeofpovertyreferstoa subjectivejudgmentoftheminimallysociallyacceptablestandardoflivingina givensociety.Thosewhoseincomeisbelowtheirownexpectationoftheminimal levelofincomearedefinedaspoor.Oneaspectofpovertyisindeedrelatedtothe standardofliving,butamoreimportantaspectistherelationshipbetweenpeople’s conceptsandknowledgeofpoverty,societyandculture,historyandtraditions, experiences,andotherfactors.Ofcourse,somefactorsoftenintertwinetoinfluence people’sjudgmentofpoverty,andthedegreeandspeedtowhichpeopleexitfrom povertyistoalargeextentdependentonpeople’ssubjectivesense.Asaresult, theconceptofsubjectivepovertysupplementsandfurtherdevelopstheconceptof objectivepoverty.However,italsotriggersaseriesofproblems.Forexample,it leadstocontradictionsinmeasuringpoverty;peoplewithmatchingincomesmay betreateddifferently(YueXimingetal. 2007).
1.2.2.3OtherCategoriesofPoverty6 LiShixin(2010)classifiespovertyaccordingtothescopeofstudy,thesocioeconomicdevelopmentlevel,andthedurationoftheoccurrenceofpoverty.
Intermsofscopeofstudy,LiShixindividespovertyintonarrowpoverty andbroadpoverty.Narrowpovertyreferstopovertyasunderstoodpurelyin aneconomicsenseorfromaneconomicperspective,reflectingmaintenanceof productionandlifeatthelowestpossiblestandardundercertainconditions.Broad poverty,ontheotherhand,involvesacomprehensiveunderstandingofpoverty includingsocialandculturalperspectives.Theconceptofbroadpovertyislinkedto thesystemofhumanneeds,whicharedeterminedbysocialandculturalconditions. Thesystemofhumanneedsincludesbasicneeds(materialandspiritual),thesystem ofenvironmentalneeds,anddevelopmentneeds.Thissystemofneedsformsan interrelated,interacting,unifiedwholethatisconstantlyevolving.
Intermsofsocioeconomicdevelopment,povertycanbedividedintosurvival poverty,foodandclothingpoverty,anddevelopmentpoverty.Survivalpovertyis displayedinmaterialpoverty,insufficientordeficientmaterialsforlife,inabilityto makeendsmeet,inabilitytomeetbasiclifeneeds,lackofbasiclivingsecurity,and seriousthreatstosurvival.Foodandclothingpovertyisseenasthecoexistence ofmaterialandspiritualpoverty.Itmeans,underlowlivingconditions,barely beingabletofeedandclotheoneselforhavingnosteadyguaranteeoffoodand clothing.Productionandlifearenotstable,thereisaweakabilitytowithstand
6 CompiledfromnewresearchbyLiShixin(2010).
naturaldisastersorpoormarketconditions,anditiseasytoslipbackintopoverty. Developmentpovertyisatypeofrelativepoverty.Itreferstoproblemsrelatedto furtherimprovingone’squalityoflifeafterresolvingfoodandclothingneeds.Itis expressedasspiritualpoverty.
Intermsofthedurationofoccurrence,povertycanbedividedintoshort-termand long-termpoverty.Ifastateofpovertyhasexistedforalongtimeoronehasfailed toextricateoneselffrompovertyoronehasbeenpoorforalongtimebuthasstill beenunabletoextricateoneselffrompoverty,thisiscalledlong-termpoverty.Longtermpovertyisdifficulttocastoffintheshorttermusingeconomic,technical,and policysupport.Temporarypovertyrefersto“localizedpoverty,astageofpoverty,or suddenpoverty,wherethephenomenonofpovertydisappearsafteracertainperiod oftime.”Sometemporarypoverty,ifnothandledproperly,willdevelopintolongtermpoverty.InChina,povertycanalsobedividedintourbanandruralpoverty.
1.2.3CausesofPoverty Intermsofhowpovertyisformed,Chinesescholarshaveconductedaseriesof povertystudieswithaneyetowardrealitiesastheyexistinChina.Thesestudies provideanadditiontotheoriesthathavereceivedwidespreadattentionabroad— Marx’stheoryofinstitutionalpoverty,theMalthusiantheoryofpopulationgrowth, Nurkse’sviciouscircleofpoverty,andNelson’slow-levelequilibriumtrap.The Chinesepovertystudiescanbesummarizedintothefollowingfourareas:
1.2.3.1NaturalEnvironmentalFactors
WangSangui(1992)holdsthatpoorareasarepoorduetotheirpoornatural conditions(WangSangui 1992).ChenNanyue(2003)pointsoutthatChina’srural ecologicallypoorpopulationislarge,accountingforalargeproportionofthe ruralpoorpopulation(ChenNanyue 2003).Theirgeographicdistributionishighly concentrated.Hefurtherexplainsthatecologicalpovertyformswhenafragile ecologicalenvironmentresultsinpoorlivingconditions,lowlandproductivity,and greaterdisease.FanXiaojian(2010)pointsoutthatalackofdisasterprevention capacityinhibitssocietaldevelopmentinecologicallyweakregionaleconomies.7 TheseriousdisastersfacingagriculturalproductionareanimportantissueforChina.
1.2.3.2EducationalFactors
ZhangJinhua(2007)findsthattheeducationgapnotonlywidenstheincome gap,butitcanalsoexpandwithnonequilibriuminincomegrowth,meaning
7 StateCouncilPovertyAlleviationOffice: http://www.cpad.gov.cn/data/2010/1222/ article_343636.html
low-incomefamiliesareindangeroffallingintoa“povertytrap.”The“2005 ReportontheQualityofLifeIndexofChineseNationals”pointstoeducation spendingastheprimarycauseofpovertyamongurbanandruralresidents.Dueto extendedenrollmentatcollegesanduniversities,increasingtuitionatuniversities, andemploymentdifficultiesforcollegegraduates,manyruralfamiliesarefalling intopovertytokeeptheirchildreninschool.ChenJianguo(2008)findsthatseverely inadequategovernmentinvestmentineducationleadstofamiliesfallingintopoverty orarelapseofpovertyduetoeducationalexpenses.Schoolschargehightuitionto maintainoperation,butthesehightuitionfeesareresultinginanincreasednumber offamiliesfallingintopovertyorarelapseofpoverty.
1.2.3.3HealthFactors
Duetorapidlyincreasingmedicalcosts,anincreasingnumberofruralresidents becomeillasaresultoftheirpovertyandarelockedinpovertybecauseoftheir illness.Onceseriouslyill,anindividual’sentirefamilyandevenextendedfamily faceheavyfinancialpressure.Inasurvey,WangChengxinetal.(2003)findthat economiclossesfromcommonandseriousillnessinChinaamounttosome40 billionyuanannually,andaround50%oftheruralpoorpopulationisinastate ofpovertyasaresultofillness(WangChengxinandWangGefang 2003).LuoLi (2005)compilesthevariouswaysinwhichbecomingillleadstopoverty(LuoLi 2005).First,medicalexpenseseatuptheincomeofthepatientandthepatient’s family,leadingtodifficultiesinmeetingbasicneeds.Second,thepatient’sinability toworkleadstoareductioninfamilyincome,whichthenfallsbelowtheabilityto payforbasiclivingexpenses.Third,thecombinationofthesetwofactors,poverty andillhealth,ismutuallyreinforcing.
1.2.3.4InstitutionalFactors ZhouYun(2006)findsthat“institutionalpoverty”ispovertythatdoesnotnecessarilyrefertoanydeficiencyinthementalandphysicallaboroftheindividual butisinsteadrelatedtosystemicfactors.Inasense,institutionalpovertyfosters asortofpredatory,exploitativerelationshipbetweenpeoplethroughtheflaws andinequalitiesinpeople’srights.Thecauseofinstitutionalpovertyisnotdue justtothebackwardnessofthepoor,butinsteadistheresultofpolicybias. Withregardtothistypeofpoverty,Chinamustquicklyandeffectively“rectify mistakes”inexistingunreasonablesystemsandinstitutions.Chinashoulduse institutionalarrangementsandinstitutionalencouragementtoformconcreteand effectivecompensationandguaranteemeasurestoalleviateinstitutionalpoverty. HuangShao’an(2003)concludesthatChina’sruralpovertyisinstitutionalpoverty. IrrationalcomponentsofChina’slandsystem,householdregistrationsystem,tax system,educationsystem,andpoliticalsystemarethemaincausesofruralpoverty andconstrainruralresidentsfromattainingwealth.JinTao(2004)holdsthatinsufficientinnovationinruralinstitutionsandinstitutionalbackwardnessisembeddedin
theruralland-usesystem,householdregistrationsystem,ruraltaxsystem,andrural grassrootsadministrativemanagementsystem(JinTao 2004).LiLanying(2003) pointsoutthatanimperfectsocialsecuritysystemandloopholesinthesocialsafety netareimportantcausesofurbanpoverty(LiLanying 2003).HeHuichao(2008) studiesurbanpovertyfromtheperspectiveofpracticalcapacity,findingthatlagging socialsecurityanddeprivationofsocialrightsrestrictopportunity(HeHuichao 2008).Thislimitedopportunityinturnimpactsthepoor’sabilitytoimprovetheir incomeandqualityoflife,ultimatelyleadingtopoverty.
1.2.4CriteriaforPoverty Themethodsfordeterminingthepovertylinehasalwaysbeenahottopicamong Chineseresearchers.Incurrentresearch,severalmethodsareusedtodeterminethe povertyline,includingthebudgetstandardsmethod,theEngelcoefficient,thelinear expendituresystemmodelmethod,theMartinmethod,thefoodproportionmethod, thebasicneedsmethod,andothers(LiBo 2008;YaoJinhai 2007).TheNational BureauofStatisticsusesthemethodrecommendedbytheWorldBank,theMartin method,toestimatethepovertyline.
LiXiming’s(2009)studyexaminesChina’spovertystandardandthesizeof thepoorpopulationaccordingtothisstandard.Priorto2007,thereweretwo povertydeterminationcriteria.Thefirstwastheabsolutepovertycriterion,which wasformulatedin1986.Accordingthiscriterion,farmerswithanannualincome oflessthan206yuanwouldbethetargetsofpovertyassistance.Thisreflected theabsolutepovertypopulationinChina,whichin1986consistedof125million farmers,accountingfor14.8%oftheruralpopulation.Thiscriterionwaslater adjustedforinflation,andtheabsolutepovertylinewassetat785yuanin2007. Bythatyear,theabsolutepovertypopulationhadfallento4.79million,comprising 1.6%oftheruralpopulation.
Thesecondpovertycriterionwasthelow-incomecriterion,which,whenadopted in2000,wassetatapercapitanetincomeofbelow865yuanayearforfarmers. Ruralresidentswhoseincomefellbetweentheabsolutepovertyandthelow-income criterionwerethelow-incomepopulation.In2000,theabsolutepovertylinewasset at625yuan—theamountneededforfarmerstostayclothedandfed.Altogether,the low-incomepopulationearningbetween625and865yuanannuallyin2000was 62.13million.Bytheendof2007,thelow-incomecriterionhadbeenadjustedto 1,067yuan,andthelow-incomepopulationhadfallento28.41million.Combining China’sruralabsolutepovertypopulationof14.79millionanditsrurallow-income populationof28.41millionasthebasisforpovertysupport,China’sruralpoor populationattheendof2007was43.2million,or4.6%oftheruralpopulation.It shouldbenotedthatthisfiguredoesnotincludeChina’surbanpoorpopulation.8
8 LiXiming:“NewPovertySupportStandardsandtheInternationalPovertyLine,”XueLiLun (FirstVolume),2009,vol.10.
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No tools required to strip lock or change barrel.
Gun cannot be fired unless cover is down.
Greater general strength, especially in recoiling portions.
Sighted to 2,900 yards.
TO MOUNT AND DISMOUNT GUN. As for Maxim (page 16).
TO LOAD AND UNLOAD GUN. To Load Gun.
Pass tag end of belt through feed block from right side. Pull crank handle on to roller with right hand. Pull belt straight through as far as it will go with left hand. Let go crank handle; the first cartridge will then be gripped by extractor. Repeat as above; the first cartridge will then be in chamber and another gripped by upper part of extractor. Gun is then ready for firing.
To Unload Gun.
Pull crank handle on to roller twice in succession (without pulling belt), letting it fly forward to check lever each time. Press up bottom pawls and remove belt from feed block, then release lock spring.
TO CLEAN. As for Maxim (page 17).
MUZZLE ATTACHMENT. A steel muzzle attachment for ball firing is provided to assist recoil. When attachment is fitted on gun, the gland replaces the packing gland. The muzzle cup is fixed to barrel by a clamping screw, body of which lies in a circular groove on barrel, thus preventing muzzle cup from being blown off should clamping screw become loose. Outer casing is attached to gland by an interrupted flange and spring-keeper pin. Front cone screws into front end of outer casing, and, to protect its face from erosion, is covered by a thin steel disc, which, when badly eroded, can be replaced by a spare one. Gland and front cone have flanges which are grooved to receive the combination tool provided for assembling and stripping purposes.
FUSEE SPRING. On the left of breech casing there is a strong spiral spring called the fusee spring, the rear end of which is connected by the fusee chain and fusee with the crank; the fore-end is attached to the breech casing by means of the fusee spring box and adjusting screw, which passes through the front end of fusee spring box, and through the nut at the front end of spring.
The fusee spring can be adjusted without removing the box, as the vice pin of the screw is loose. This screw is kept in position by two nibs which fall into recesses, by the tension of the fusee spring. The fusee is attached to the crank by means of a stem and lugs, and is easily removed.
To Weigh and Adjust Fusee Spring. Take out lock; place loop of spring balance over knob of crank handle, and, standing on left side of gun, press down check lever with left hand. Pull spring balance vertically up, resting right wrist on breech casing. The reading indicated when crank handle commences to move will be the weight of fusee spring. This weight should be between 7 and 9 lbs. If spring is over, or not up to weight, adjust by means of vice pin. Generally six clicks (three revolutions) make a difference of about 1 lb. Adjust by ½–lbs. as a rule.
Turning vice pin clockwise increases weight and vice versa.
Tension of spring should always be kept as high as possible, consistent with maintaining normal rate of 500 rounds per minute.
TO STRIP AND ASSEMBLE GUN. The gun is stripped in the following order:—
Lock.
Clear extractor by revolving crank handle twice; pull crank handle on to roller; raise rear cover, place finger between extractor and stop, lift lock, at same time allowing crank handle to move slowly forward until lock is released from side plates. Give lock one-sixth of a turn in either direction and lift out.
Feed Block. Release front cover catch, raise front cover, and lift out.
Fusee Spring Box. With right hand at rear and left hand at front, press box forward until clear of lugs and remove. Disconnect fusee chain and remove box and spring. Care should be taken to throw no cross strain on chain. Fusee.
Turn fusee to rear until lugs on stem are free to be withdrawn.
Ball Firing Attachment.
Withdraw split pin. Give outer casing one-sixth turn and remove it. Unscrew front cone. Loosen clamping screw of muzzle cup and revolve cup till clamping screw coincides with flat on barrel. Remove muzzle cup. Unscrew and remove gland.
Slides, Right and Left. Raise rear cover, unscrew rear crosspiece screwed fixing T-pin, and hinge down rear crosspiece. Pull out sides.
Recoiling Portion. Draw recoiling portion out to rear. Disconnect side plates from barrel, removing left one first (for convenience only). If necessary, by taking out fixing pin, crank handle can be driven off with a drift and hammer, but as a rule this should not be stripped.
Roller.
Remove split fixing pin, collar, and roller.
To Strip Lock. (a) See that lock is cocked; force out side lever split pin and axis bush. Remove side levers and extractor levers and slide extractor from front of lock casing. (b) Release lock spring and push out the trigger and tumbler axis pins. (c) Remove trigger, tumbler, lock spring, firing pin and sear with spring. To strip extractor, push out gib spring cover and remove spring and gib.
Tangent Sight and Spring. (a) Remove top fixing screw of graduated plate. (b) Run the slide off stem. (c) Remove fixing screw of milled head and lift latter off slide. (d) Remove fixing pin, pawl, and pinion from slide. (e) Place the milled head, face upwards, on a bench; then, with small screwdriver applied to rectangular nib on slide spring, knock latter down flush with face, when it can be lifted out with pliers.
EXAMINATION AND TESTING. Before assembling the gun all parts should be tried in their places separately to see that they work freely.
Test friction of recoiling portions (as Maxim, page 22).
Assembling. Reverse all foregoing operations with exception that recoiling portions must be replaced before packing and packing gland. When assembling lock, care must be taken that lock spring is replaced with lock in fired position, and when all the other parts are assembled. When assembling rear crosspiece see that pawl of firing lever engages with trigger bar lever. When assembling tangent sight, it will be found convenient to place slide on stem (axis end) before attaching the milled head; in this position pinion is prevented from turning with pawl when engaging arms of spring outside lugs on pawl.
REPLACEMENT OF DEFECTIVE PARTS. (As Maxim, page 22.)
(As Maxim, page 24.)
STOPPAGES. DAMAGED PARTS OF LOCK, &c. (As Maxim, page 29.)
POINTS TO BE ATTENDED TO.
Before firing. During firing. After firing.
Oil Working and recoiling portions. Working parts during temporary cessation of fire. Bore immediately. In handles. Thorough clean in barracks.
Test Recoiling portions.
Fusee spring.
Release lock spring.
Examine Barrel. Clamps of tripod not loose. Unload and clear extractor.
Spare parts. Belt. Refill belts. Empty cases (no live rounds amongst them).
Water Fill barrel casing. Watch consumption. Empty out. Add glycerine in frosty weather.
BELT FILLING. All numbers, also drivers, should be instructed and practised in belt filling by hand, and also with the belt-filling machine, as follows:
Belt Filling by Hand. One Man Loading by Hand.—Sit on the ground, with the right foot doubled under the left thigh, the left foot resting on the outer side and drawn towards the right knee.
Place the belt on the left knee, with the tag pointing to the right. Take hold of the first brass strip between the forefinger and thumb; then with the remaining fingers and ball of the thumb, hold the belt so that the pockets will remain open. Take five cartridges in the right hand, insert into pockets, taking care to avoid doubling over the thin edge of webbing. Now place the belt on the knee, and, placing the tips of the fingers on the front of the belt, finally adjust the cartridges by pushing them forward with the thumb until the points of the bullets are in line with the ends of the long brass strips. Continue to load and adjust in fives, and make a final inspection when placing the belt in the box.
Belt Filling by Machine. Fix machine so that crank handle can be worked with right hand.
Unfold loading tray and leg, the tray being secured to the left of bed plate by pin, the leg being made rigid by turning up the keeper plate on to the pin catch.
Turn the steel guide plate (on bed plate) outwards. Pocket opener must be far enough back to clear the belt.
Place belt behind roller and into belt guide. Edge of belt to be touching side of guide, projecting end of long brass strips to point
away from cartridge plunger, and to pass under the steel guide.
Pawl to lie on top of belt.
Turn steel guide into position again and draw belt through with left hand until first pocket is opposite pocket opener.
Fill hopper with cartridges and replenish as required.
Revolve crank handle continuously (not too fast) until belt is filled. (A light pressure should be kept on the belt with the left hand until the weight of the filled portion is sufficient to assist the pawl.)
3. 4.
The Lewis Automatic Machine Gun.
LIST OF PARTS. Butt plate.
Butt plate screws (2).
Buttstock.
Butt tang screw.
Butt tang.
Butt latch.
8. 9. 10. 11. 13. 14. 20. 21. 22. 23. 24. 26.
Back sight bed spring.
Back sight bed spring screw.
Butt latch spring.
Back sight bed.
Feed cover.
Back sight leaf.
Back sight slide.
Ejector.
Guard side pieces (2).
Back sight axis pin washer.
Back sight axis pin. Receiver.
27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. 52. 53.
Magazine pawls spring.
Stop pawl.
Rebound pawl.
Trigger.
Feed operating stud.
Safety (right and left).
Trigger pin.
Feed operating arm.
Feed pawl.
Feed pawl spring.
Bolt.
Charging handle.
Guard.
Cartridge guide spring.
Sear spring.
Sear spring box.
Magazine pan.
Ejector cover.
Extractors (2).
Gear stop.
Striker fixing pin.
Gear stop pin.
Gear stop spring.
Striker.
Cartridge spacer ring.
Gear.
Mainspring casing.
54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 65. 66. 67. 68. 69. 70. 71. 72. 74. 75. 76. 77. 78. 79. 80. 81.
82.
Magazine top plate rivets (6).
Mainspring.
Collet pin.
Mainspring collet.
Magazine centre.
Mainspring rivets (2).
Magazine latch spring.
Gear casing.
Magazine latch.
Centre key.
Gear case hinge pin.
Feed operating arm latch.
Magazine top plate.
Receiver lock pin.
Spacer ring rivets (5).
Interior separators (25).
Radiator casing rear, locking piece.
Rack.
Radiator casing rear.
Piston connecting pin.
Barrel.
Gas cylinder.
Radiator.
Piston.
Regulator key stud.
Gas regulator key.
Gas chamber.
83. 84. 85. 86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. 100. 101. 102. 103. 104. 105. 106. 107. 108. 109.
Gas chamber band.
Gas regulator cup.
Clamp ring.
Front sight.
Clamp ring positioning screw.
Clamp ring screw.
Barrel mouthpiece.
Radiator casing front.
Sear (rear).
Hand grip.
Oil well.
Oil well cap.
Oil brush.
Spade grip butt tang.
Deflector.
Deflector arm.
Deflector arm joint pin.
Deflector clip.
Deflector clip joint pin.
Deflector bracket.
Deflector clamp screw.
Deflector latch.
Deflector latch screw.
Deflector clamp screw washer.
Deflector clamp screw stop nut.
Shell catcher bag.
Mounting yoke.
110. 111. 112. 113. 114.
115. 116. 117. 118. 119. 120. 121.
122. 123. 124.
125. 126. 127. 128. 129.
130. 131. 132. 133. 134. 135.
136.
Mounting yoke clamp.
Mounting yoke bronze pillar.
Mounting yoke pillar screw.
Mounting yoke clamp hinge pin.
Mounting yoke clamp pin.
Mounting yoke clamp key.
Back sight elevating screw.
Back sight elevating screw head.
Back sight elevating screw head pin.
Back sight elevating screw head spring.
Sear pin.
Butt latch pin.
Mounting yoke pillar hinge pin.
Mounting yoke chain.
Mounting standard.
Light field mount bottom cross brace.
Light field mount centre post.
Light field mount feet (2).
Light field mount front legs (2).
Light field mount front yoke.
Light field mount knuckle joint.
Light field mount knuckle joint pin.
Light field mount rear brace.
Light field mount T joint, centre.
Light field mount T joint, side (2).
Light field mount top lug.
Barrel mouthpiece spanner.
137. Magazine filling handle.
Description. The gun complete weighs 25¼ lbs. and can be withdrawn from its leather case and put into action immediately.
There are only 62 parts in the gun proper—these cannot be wrongly assembled, and require no adjustment.
No water is used for cooling purposes, the steel barrel being closely fitted with a jacket of aluminium having deeply-cut grooves throughout its length. Over this is a thin tubular steel casing, the muzzle end of which extends (in reduced diameter) beyond the end of barrel, the special shaped mouthpiece screwed to the end of barrel serving the double purpose of firmly securing the radiator in place and of directing the powder blast of each discharge as to greatly increase the “ejector action” of this blast in sucking cool air through the grooves of the radiator. The system is so effective that the gun is
Plate VI.
LEWIS AUTOMATIC MACHINE GUN.
