作者：厉以宁
出版社：外语教学与研究出版社
格式: AZW3, DOCX, EPUB, MOBI, PDF, TXT
非均衡的中国经济(汉英对照)试读：
前言
如果有人问我：“在你撰写过的若干本关于当前中国经济的著作中，你认为最能反映自己的学术观点的是哪一本书？”我将这样回答他：“这就是摆在我们面前的这本《非均衡的中国经济》。”为什么我作出这样的答复？我是有所考虑的。在我已经出版的著作中：《体制·目标·人：经济学面临的挑战》（黑龙江人民出版社1986年版）是一部比较经济研究的著作。尽管其中有相当多的篇幅讨论了中国经济问题，并且提出了研究社会主义经济理论的方法，但它毕竟不是关于当前中国经济的专著。《社会主义政治经济学》（商务印书馆1986年版）是一本教科书。它表述了我的经济理论体系，但书中较少涉及现实中的经济问题。更重要的是，它是为社会主义政治经济学的初学者而写的，它不可能就某些经济理论问题进行较深层次的剖析。当然，就个人的经济理论体系的表述而言，我认为该书是最完整、最系统的。《经济体制改革的探索》（人民日报出版社1987年版）专就公有制基础上的股份制、控股制和企业集团问题作了论述，而并未涉及其他问题。《国民经济管理学》（河北人民出版社1988年版）也是一本教科书。它主要从近期、中期、长期的角度阐释了国民经济管理的原则和政策措施。但由于教科书有教科书的任务，所以有关非均衡领域内的深层次问题不可能在书中有充分的论述。《中国经济改革的思路》（中国展望出版社1989年版）集中反映了我为中国经济体制改革所设计的总体方案，包括改革的主线、配套措施和实施步骤，但它并不是一本关于非均衡的理论著作。《中国经济往何处去》（香港商务印书馆1989年版）是我1989年年初在香港的演讲集。它是针对着中国经济改革的若干具体问题而阐发的。在承包制如何向股份制过渡、国营大中型企业为什么不能实行私有化、国有资产如何管理等问题上，书中都有较详细的论述，但它仍然没有就中国经济的非均衡状态进行系统的分析。
现在摆在读者面前的这本《非均衡的中国经济》与上述这些著作有以下三个重要的区别。第一，它是一本学术专著，而不是专为大学生而写的教科书；虽然我的分析以《社会主义政治经济学》和《国民经济管理学》中已阐述的原理作为出发点，但对非均衡经济的理论分析要比那两部教科书中所阐述的要深入得多。第二，它的重点是现阶段的中国经济，而不像《体制·目标·人》那样以比较经济研究作为重点。第三，它的理论性很突出，即主要从非均衡经济的特征着手分析，以说明资源配置失调、产业结构扭曲、制度创新的变型等现象的深层次原因，而不像《经济体制改革的探索》、《中国经济改革的思路》、《中国经济往何处去》那三本书那样把中国经济的非均衡状态作为既定的前提，从而直接探讨中国经济改革的具体方案的制定。正因为如此，所以我把这本《非均衡的中国经济》视为最能反映我关于当前中国经济的学术观点的著作。
在本书中，我自己感到具有特色的是这样八方面的分析：（1）经济的非均衡有两类。第一类非均衡指市场不完善条件下的非均衡，第二类非均衡指市场不完善以及企业缺乏利益约束和预算约束条件下的非均衡。当前中国经济处于第二类非均衡状态中。我们应当力求使经济先由第二类非均衡过渡到第一类非均衡，然后再使第一类非均衡中的非均衡程度逐渐缩小。（2）在非均衡条件下，社会主义经济中有可能发生“滞胀”。“胀”分两类：公开的“胀”和隐蔽的“胀”（指表面上物价未变，实际上有价无货）。“滞”也分两类：公开的“滞”和隐蔽的“滞”（指表面上总产值增长，实际上有效供给并未增加）。于是“滞胀”可能有四种不同的组合方式。为了防止和治理“滞胀”，必须根据具体的情况选择相应的措施。（3）不可忽视结构因素在当前中国经济失衡中的作用。产业结构调整之所以困难，与企业运行机制的弊病、企业行为短期化，以及社会行为短期化有关。因此，只有加速企业运行机制的改造并积极发挥政府在商品市场配额调整和建立社会主义商品经济秩序中的主导作用，才能促进产业结构合理化。（4）在非均衡经济中，经济的波动是常见的。人们常问：经济什么时候走出“低谷”？要知道，走出以产值增长率计算的“低谷”比较容易，因为通过政府直接采购产品或企业在信贷支持下采购产品，可以使产值增长率回升。要走出以企业经济效益增长率计算的“低谷”，或以财政实际收入（即扣除物价上涨影响并且不包括债务收入）增长率计算的“低谷”，远非易事。必须着手企业进行机制的改造，才能使国民经济真正走出“低谷”。（5）非均衡经济中存在着各种“刚性”。但在当前中国的非均衡（第二类非均衡）经济中，除了有“工资刚性”、“就业刚性”、“福利刚性”等等以外，还存在一种特殊的“刚性”——“企业刚性”。这是指企业实际上不负盈亏或负盈不负亏，从而企业破产难以实现。经济中的许多困难都与此有关。不消除“企业刚性”，中国经济只可能长期处于第二类非均衡状态中。（6）在商品短缺条件下，如果存在着较大的资源约束，那就不可能取消短缺商品的价格双轨制。否则，即使表面上取消了两种价格（计划价格与非计划价格）之差，但实际上又会形成新的两种价格（公开价格与地下价格）之差。因此，在条件尚未成熟之时就过早地全面放开价格，只可能引起社会经济的动荡，并导致一些人利用公开价格与地下价格之差牟利。（7）在社会主义商品经济中，某些资源的稀缺性以及由于这种稀缺性而引起的独占，将会长期存在。政府应对此进行调节，如向独占稀缺资源的生产者征收一定的资源税等。但必须注意到，政府不应把这些生产者所获得的超过平均利润的那部分收入全部取走，而只应取走其中的一定份额，否则不利于资源利用效率的提高。（8）在当前中国的非均衡经济中，经济改革的深化非常必要。但经常遇到一个难题，即新的制度和政策都容易走样（本书称之为“制度变型”），这主要与制度创新的不规范、企业和居民个人预期的变化、市场的不完善等等有关。只有从这些方面进行调整，“制度变型”问题才能得到较好的解决。Chapter 1 Exploring the Issues in Resource Allocation第一章 资源配置问题的探讨1.1 RESOURCE ALLOCATION IN THE SOCIALIST ECONOMY: FROM THE PERSPECTIVE OF DISEQUILIBRIUM1.1.1 Disequilibrium Defined
In economics, disequilibrium is defined relative to Walrasian equilibrium, which is achieved under the assumption of a fully developed market and a flexible price mechanism. Disequilibrium refers to a balance condition under which there is neither a fully developed market nor a flexible price mechanism. In this sense, disequilibrium is also called non-Walrasian equilibrium.
According to the Walrasian theory, given that the market is fully developed and the price mechanism flexible, given also that every market participant possesses perfect information about current and future prices as well as a full understanding of current and future demand and supply, and that prices adjust instantaneously with changes in demand and supply, then, at any price level, aggregate demand is always equal to aggregate supply, and there is no excess demand or excess supply. All transactions are settled at equilibrium prices. If the equilibrium price is not reached, a transaction will not be concluded. Only when price is in equilibrium can a transaction be concluded. According to this theory, excess production, sluggish merchandise sales, chronic unemployment, and inflation due to excess demand will not occur.
The impractical Walrasian equilibrium has long drawn harsh criticism from some dissenting Western economists. Keynes discussed the issue of chronic unemployment in capitalist society in his book titled The General Theory of Employment, Interest and Money published in 1936. Until the early 1960s, however, research on disequilibrium by economists remained limited and sporadic. Even their interpretations of the Keynesian economic theory were drastically divided. Orthodox Keynesian economists believed that Keynesian economic theory belonged to the economics of equilibrium and that Keynes himself did not deny Walrasian equilibrium but simply made some modifications. Other Keynesian economists, however, believed that the Keynesian theory had gone beyond the limit of equilibrium theory by providing an initial and systemic review on disequilibrium theory, as was demonstrated by Keynes' belief that the market mechanism was not always fully effective in coordinating various transactions and that production, employment, and investment would fluctuate, often leading to overproduction, unemployment, and insufficient demand for investment in capitalist society.
Since the late 1960s, the disequilibrium theory has made noticeable progress. Studies on disequilibrium have demonstrated that when a market is not fully developed and prices fail to function and adjust supply and demand, every economic factor will work its way to a point where they are mutually adaptable according to their respective situations to reach equilibrium. Obviously, the equilibrium under disequilibrium conditions is not one in a fully developed market, but one in a market that is not fully developed. It is not an equilibrium accompanied by zero unemployment or inflation rate, but one with certain unemployment rate and inflation rate. In other words, disequilibrium is actually a type of equilibrium, but unlike the equilibrium described in the Walrasian theory, it is real in daily life. This is the definition of disequilibrium in economics.1.1.2 Resource Allocation Defined
Resource allocation refers to the allocation of various economic resources, i.e., labor, materials, and capital according to different uses. When resource supplies are limited, it is necessary to work out an efficient way to allocate various economic resources to meet various needs in order to maximize the output of products and services in demand. Any society, including socialist society, can only be considered to have achieved effective resource allocation when every person's talent has been fully employed, every product's utility has been maximized, and every inch of land has been fully utilized. If there are labor, materials, and capital left idle or wasted, the allocation of resources is considered problematic. One of the most important issues that economists study is how to achieve effective allocation of resources in order to fully utilize existing resources and discover potential resources.
Resource allocation can be viewed in two different tiers. The higher tier refers to the allocation of resources among various sectors, regions, and production units. Whether the allocation is effective or not depends on whether each resource is effectively allocated to its best place. The lower tier refers to the organization and utilization of pre-allocated resources by a production unit, a region, or a sector. The effectiveness of the allocation depends on whether or not these resources are utilized to their fullest potential.
These two tiers of resource allocation have certain connections as well as differences. From the perspective of overall society, allocations of existing resources in different areas undoubtedly impact resource utilization efficiency at each economic unit as the total quantity of existing resources is limited, and ineffective resource allocation in the macroeconomy will certainly lead to low utilization efficiency at some production units. On the other hand, if most production units are able to raise resource utilization efficiency to a higher level, the supply of resources in the economy will increase. Compared with unchanged quantity of resources, higher supply of resources is more favorable to adjusting resource allocation in various areas and more conducive to allocating resources effectively. This is the connection between the two tiers of resource allocation. Their differences, however, are represented by different goals and ways of execution. The goal of the lower tier resource allocation is to raise resource utilization efficiency at a production unit so as to increase total output with fixed amount of input, while that of the higher tier resource allocation is to effectively put every resource to its best use and allow factors of production to regroup to maximize their utility. The two tiers of resource allocation also vary in terms of way of execution, with the lower tier increasing resource utilization efficiency by using production or managerial techniques inside the production unit without transferring production factors. The higher tier resource allocation achieves its goal via rearranging the combination of production factors, regulating property rights, transferring fixed assets, making macroeconomic adjustments, as well as reforming macroeconomic management system.
Realizing effective resource allocation, either at the higher tier or
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