近30年来，我国人力资本投资随着快速经济增长且大幅提高，与此同时，收入差距也在不断扩大。因此，我国的人力资本投资并没有缩小收入差距，那么，人力资本投资与收入差距之间是否存在一定的关系呢?本书基于人力资本投资收入函数，从人力资本投资主体的视角切入，对家庭、企业、国家人力资本投资对收入差距的影响进行了一些探索性的研究，主要内容如下所述。一　家庭人力资本投资对收入差距的影响基于人力资本投资收入函数，在世代交替模型中引入最低消费，分析了家庭人力资本投资对收入差距的影响。分析表明：在预算约束和资本市场缺失的条件下，初始人力资本差异导致收入差距，而收入差距引起家庭人力资本投资差距，家庭人力资本投资差距又导致收入差距。如此循环，形成穷者愈穷、富者愈富的“马太效应”，使收入差距不断扩大。在预算约束和资本市场不完善的条件下，虽然低收入家庭可以通过资本市场获得人力资本投资所需的资金，但支付较高的融资利率使人力资本投资对收入差距的影响具有不确定性。当人力资本投资收益率大于贷款利率时，家庭人力资本投资可以缩小收入差距，当人力资本投资收益小于贷款利率时，家庭人力资本投资反而会扩大收入差距。因此，在社会经济中，如果家庭是唯一的人力资本投资主体，那么人力资本投资将难以缩小收入差距。二　企业人力资本投资对收入差距的影响一般而言，企业人力资本投资是非均等的。这种非均等主要表现为，企业之间的员工人力资本投资差异，以及同一企业内部对不同员工的人力资本投资差异。本书主要分析后一种情况对收入差距的影响。由于企业人力资本投资的非均等性，影响企业员工人力资本的形成、补偿、提高，进而造成人力资本差异，而人力资本影响员工的工作效率和工作能力，进而影响员工的职业发展和绩效工资，最终形成收入差距。企业人力资本投资不仅可以补偿因人力资本折旧而下降的部分，而且可以提高员工的知识、技能等人力资本水平，从而使得到企业人力资本投资员工比没有得到企业人力资本投资员工的人力资本水平高，进而使得到企业人力资本投资员工比没有得到企业人力资本投资员工拥有更高的劳动生产率，并影响员工的职业发展。而无论劳动生产率差异形成的绩效工资差异，还是职业发展形成的终生收入差异，都会造成员工的收入差距。因此，企业人力资本投资，不仅不会缩小收入差距，反而会扩大收入差距。三　国家人力资本投资对收入差距的影响以往关于国家人力资本投资对收入差距影响的研究，大多数以国家人力资本投资均等作为前提条件，得出的结论是国家人力资本投资有助于缩小收入差距。而事实上，国家人力资本投资存在投资不足但均等、投资不足且非均等、投资足且均等、投资足但非均等四种情况。均等的国家人力资本投资有助于缩小收入差距，且投资充足比投资不足的效果更显著。但是，非均等的国家人力资本投资对收入差距的作用具有不确定性，当国家人力资本投资偏向低收入家庭时，国家人力资本投资能有效缩小收入差距，当国家人力资本投资偏向高收入家庭时，国家人力资本投资不仅不能缩小收入差距，反而会扩大收入差距，恶化收入差距，甚至形成两极分化。因此，国家人力资本投资对收入差距的影响具有不确定性，关键在于国家人力资本投资政策。本书还分别对我国城镇家庭和农村家庭人力资本投资对收入差距的影响、我国国家人力资本投资对收入差距的影响进行了经验研究。结果表明，家庭人力资本投资与收入之间存在正相关关系，以及我国家庭之间人力资本投资差距过大，进一步造成收入差距扩大；我国非均等且偏向高收入家庭的国家人力资本投资，未能发挥国家人力资本投资缩小收入差距的作用，反而扩大了收入差距。在理论分析和实证研究的基础上，本书最后从家庭、企业、国家人力资本投资的角度，提出了缩小人力资本投资差距，促进机会均等，让人力资本投资，尤其是国家人力资本投资成为缩小收入差距的有效工具的政策建议。 关键词：人力资本投资主体　收入差距　均等　家庭　企业　国家

The past 30 years，China's investment in human capital with a substantial increase in rapid economic growth，while also expanding income gap.Thus，China's investment in human capital does not narrow the income gap，then，whether human capital investment and the income gap are kept between certain of the relationship? This book based on the human capital earnings function within the subject of human capital investment perspective.Following major elements.First，Family Human Capital Investment on Income Gap.Investment in human capital earnings function based on the introduction of minimum consumption，in the generational model，the analysis of household human capital investment on the income gap.Analysis showed that：the budget constraints and capital market conditions do not exist，the initial gap in income between human capital，while the income gap between investment in human capital caused by the family，the family of human capital investment gap has led to the income gap.So the cycle continues，the“Matthew Effect”formation of the poor get poorer and the rich get richer，and widening income gap.Budget constraints and imperfect capital markets conditions，the influence on human capital investment by human capital investment is uncertain，cause the low-income families can receive investment in human capital through the capital funds needed，but leaving to pay a higher interest rate financing.When the human capital investment income greater than the lending rate，the family investment in human capital can reduce the income gap，When the humancapital investment income less than the loan rate，the family of human capital investment will widen income gap.Therefore，it is difficult to reduce the income gap，if the human capital investment only by a family.Second，EnterpriseHuman Capital Investment on Income Gap.In general，the enterprise human capital investment is unequal.this inequality mainly for，Employees are invested by different enterprises，and different employees are invested by the same enterprise.This article analyzes the latter one.because of the inequality，it effects the formation，compensation，enhancement of this capital，and then make the difference，Simultaneously，the capital effects the productivity and ability of employees，then is the career development and performance pay，and ultimately the income gap is formed.the enterprise human capital investment can not only can compensate for the depreciation of human capital part of the decline，but also can improve knowledge and skills of staff.So the level of employees who accepted the investment is higher than the others，thereby they have higher productivity and affect their development.Regardless of the performance by labor productivity，or the income gap by the career development，will all cause the income gap of employees.Therefore，enterprise human capital investment，does not reduce the income gap，but expand it.Third，State Human Capital Investment on Income Gap.Formerly，this investment effects the income gap，Equalization is the precondition for many countries，and the conclusion is the state human capital investment will contribute to reduce the income gap.But in fact，the investment have 4 unequal cases，they are：insufficient investment，but equal；insufficient investment and not equal；full and equal investment；enough investment but not equal.An equal state human capital investment will contribute to reduce the income gap，and the effect with a platitudinous investment should be more prominent than an insufficient one.However，the effect of unequal state human capital investment for the income gap is uncertain，when the state investment tend to low-income families，it will reduce the income gap effectively，when the investment tend to the high-income families，it not only re-duce the income gap，but expand，worsen the income disparity，even form the polarization.Therefore，the effect of state investment in human capital for the income gap is uncertain，and the key is the policy of it.This book also do the empirical research on the income gap impact of human capital investment between rural and urban households separately It show the relationship of the family human capital investment and its income gap is a positive correlation，and a disparity on human capital investment will widen the income gap.In our country，the investment favor of unequal and high-income family，it not only reduces the gap，but also widen it.In the theoretical analysis and empirical research，based on human capital investment about the family，business and state，we propose a policy and suggestion that to reduce the gap of human capital investment，to promote equality opportunity，and especially，make the human capital investment to be a real effective tool for reduce the income gap. Key Words：Human capital investors Income gap Equal Family enterprise State

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