制度转型、经济发展与中国城乡收入差距研究
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摘要
改革开放以来，我国居民收入水平快速增长，但城乡收入差距逐渐扩大。城乡收入差距过大已经成为制约我国经济发展和影响社会稳定的重要因素之一。因此，深入理解我国城乡收入差距扩大的原因并有针对性的提出政策建议就具有较大的实践意义。
城乡收入差距是一个综合性非常强的问题，本文研究的焦点是从城乡居民收入初次分配方面，以经济制度转型为视角解释我国城乡收入差距扩大的原因。选择这一视角的原因在于现有的研究在解释我国城乡收入差距问题上的解释力不足。现有研究的思路是将城乡看做两个相对独立的地区，从城乡生产要素（主要是资本数量）差异影响城乡经济发展继而决定城乡居民收入差距的视角展开研究。这一研究方法的主要问题是，从这一研究视角出发无法解释，为什么我国改革开放前城乡生产要素存在同样的差异，而城乡收入差距却长期稳定在一个相对较低的水平。显然，改革开放前后最大的差异就是制度差异。我国的经济体制转型给经济发展带来了翻天覆地的变化，要充分理解我国城乡收入差距问题离不开对制度因素的考虑。同时，它们的另一个不足之处在于，即使在短期中可以将城乡看做两个相对独立的地区，长期中也应将城乡经济看做一个整体来进行研究。
通过对现有研究的理论基础进行批判性的述评发现，这一研究视角的关键问题在于其理论基础在解释经济增长上存在不足。现有的研究大多基于主流的宏观经济增长理论和发展经济学。从这些理论出发，许多经济现象都的不到很好的解释。其深层的原因在于，它们均将资本积累看作经济增长的主要原因，将经济增长看作一个连续的要素积累和配置的过程。然而，经济增长不仅仅是一个要素积累和配置的量变的过程，更是一个从自给自足的农业经济到工业化大生产的质变过程。从要素积累的视角无法解释工业化从无到有的过程，而这一过程实质上是社会工业与农业大分工的过程。因此，理解经济发展的关键在于从分工演进的角度出发抓住组织演变对于经济结构变化的影响。
区别于已有的研究，本文以新兴古典经济学的理论框架为基础，从分工演进影响经济增长继而决定收入水平的视角展开研究。这一分析框架将分工扩展看成经济增长的动力，更为重要的一点是，这一分析框架将制度因素纳入经济增长分析中来了。经济制度通过影响交易效率来决定分工的水平，进而决定经济增长和居民收入水平。这一理论为本文从经济制度转型的研究我国城乡收入差距问题提供了理论上的可行性。
参照已有的研究，论文的第三章首先将城乡看成连个相对独立的地区。在理解制度转型如何影响居民收入的途径的基础上，结合我国渐进式改革的过程和城乡收入差距变化过程，研究发现，我国城乡收入差距扩大的主要原因在于我国的渐进式改革导致我国城乡具有不同的经济体制，由此导致城乡经济不同的分工水平、经济增长水平和居民收入水平。同时，我国对外开放政策通过提高工业部门的分工水平，也促进了工业部门生产率的提高和城市居民收入水平的提高，进而扩大对我国城乡收入差距。相关的实证研究支持上述结论。
在第三章的基础上，第四章通过城乡劳动力流动的视角将城乡经济看作一个整体，分析我国城乡劳动力流动限制度以及这一制度变化对我国城乡收入差距的影响。理论和实证分析都显示：劳动力流动限制是我国城乡收入差距扩大的重要制度因素之一；另外，无论是在劳动力自由流动的背景下，还是在劳动力流动限制的背景下，城乡劳动力流动都是缩小城乡收入差距的重要途径之一；然而，在劳动力流动限制的条件下，城乡劳动力流动缩小城乡收入差距的作用可能由于其他因素作用的得不到体现，这一结论可以用来解释我国城乡劳动力流动规模与城乡收入差距同时扩大的现象。
总体来看，我国城乡收入差距扩大的一个重要原因是：在城乡劳动力流动限制的背景下，城乡经济制度转型的差异导致城市经济发展比农村经济更快，继而城乡居民收入差距扩大。因此，缩小我国城乡收入差距可行的办法是深化相关制度的改革和转型。具体而言，要放松对城乡劳动力流动的限制，以及加快农村经济体制的市场化转型。这些做法不仅有利于缩小我国城乡收入差距，还有利于促进我国经济增长。另外，城乡收入差距问题是一个综合性的问题，还可从收入再分配，以及加大农业产业政策支持等方面提高农民收入水平，缩小城乡收入差距。
Since the reform and opening up，the income of residents in China grow rapidly，andthe urban-rural income gap also increases greatly. The large urban-rural income gap hasbecome an important factor restricting our economic development. Thus, it has greatpractical significance to understand the reason of the widening income gap between urbanand rural areas.
The urban-rural income gap is a comprehensive problem，the purpose of this study isto explain the expansion of China's urban-rural income gapthe from perspective of initialdistribution and institutional transformation. The reason why we choose this perspective isthat the existing research can not explain the problems of urban-rural income gap in Chinaaccurately. The research method of existing research is to see the urban and rural areas astwo relatively independent regions, so they can explain from the economic development ofthe two areas，which determin the income of resident income，and which is determined bythe difference of production factors (mainly the number of capital) of the two regions. Themain problem of research method is from this perspective can not explain why the urban-rural income gap before the reform and opening up staied at a relatively low level oflong-term stability, while the production factors had the same difference in this perioed.Another problem is that, even the urban and rural can be seen as two relatively independentareas in the short-term, buet in the long-term, they should be seen as a whole.
Seeing from the theoretical basis of the existing research, the key problems of thisresearch perspective is its theoretical basis is deficient in explaining the economic growth.Most of the existing research based on the mainstream macroeconomic growth theory anddevelopment economics; however, many economic phenomena can not be accuratelyinterpreted from these theories. The profound reason is they regard the capital accumulationas the main reason of economic growth, so the economic growth is a continuous process offactor accumulation and configuration. However, economic growth is not only a process ofquantitative change about factor accumulation and configuration, but also is a processqualitative change about division of agriculture and industry. So the key factor to understand how the economic development is affected by the evolution of division of laborand changes of the economic structure. Unlike the existing research,,based on thetheoretical framework of the new classical economics, this paper The division study fromthe perspective of evolution of division of labor, which determine the economic growth,and then determine the income level. The more important point is that this framework cansincorporat institutional factorsed into the analysis of economic growth. The economicinstitutions determine the economic growth and income levels by affecting the efficiency ofthe transaction which determines the level of division of labor. This theoreticalbreakthrough provides a theoretical feasibility to study China's urban-rural income gapfrom institutional transformation for this paper.
Referring to previous studies, the third chapter sees the urban and rural areas as towregions. Combined with the study of change of our market-oriented reforming andurban-rural income gap, the dissertation presents the idea that, the main reason resulted inChina's urban-rural income gap is the different economic institution between the urban andrural areas, which was resulting from China's gradual reforms, that led to a differentdivision of labor, and then the level of economic growth and income levels. Simultaneously,China's policy of opening up also expanded the urban-rural income gap by improving thelevel of division of the industrial sector. Relevant empirical researches support theseconclusions.
Based on of the third chapter, Chapter four saw the urban and rural economy as a wholethrough the perspective of the urban and rural labor mobility. This chapter focuses on howthe polices of migration limition of urban and rural labor and the changes of those policesaffect the urban-rural income gap in China. Both the theoretical and empirical analysisshow that, labor mobility restrictions is one of the important institutional factors that resultin China's urban-rural income disparities; both in the context of free movement of laborandlabor mobility restrictions, labor mobility can narrow the urban-rural income gap; but in theconditions of labor mobility restrictions, the role of labor mobility to narrow the incomegap between urban and rural areas may can not reflect due to the effects of other factors.This conclusion can be used to explain the phenomenon of the simultaneously expanding ofChina's labor mobility scale and urban-rural income gap.
Overall, the reason for China's urban-rural income gap disparities is that, in the context of urban and rural labor mobility restrictions, it is the differences of urban and ruraleconomic development which determined by institutional transformation that determinesled to the urban economy developed faster than rural economy, then the income gapbetween urban and rural residents expanded. Therefore, the feasible way narrowing theurban-rural income gap in China is to reform of the relevant economic system. Specifically,relaxing restrictions on labor mobility in urban and rural areas, and accelerating themarket-oriented transformation of the rural economic system. These practices are not onlyconducive to narrowing the income gap between urban and rural, but also conducive topromoting China's economic growth. In addition, as the problem of income gap betweenurban and rural areas is a comprehensive issue, some other policy recommendations tonarrow the income gap between urban and rural areas has also been included in thisanalysis, such as income redistribution reform and agricultural industrialization support andso on.
城乡收入差距是一个综合性非常强的问题，本文研究的焦点是从城乡居民收入初次分配方面，以经济制度转型为视角解释我国城乡收入差距扩大的原因。选择这一视角的原因在于现有的研究在解释我国城乡收入差距问题上的解释力不足。现有研究的思路是将城乡看做两个相对独立的地区，从城乡生产要素（主要是资本数量）差异影响城乡经济发展继而决定城乡居民收入差距的视角展开研究。这一研究方法的主要问题是，从这一研究视角出发无法解释，为什么我国改革开放前城乡生产要素存在同样的差异，而城乡收入差距却长期稳定在一个相对较低的水平。显然，改革开放前后最大的差异就是制度差异。我国的经济体制转型给经济发展带来了翻天覆地的变化，要充分理解我国城乡收入差距问题离不开对制度因素的考虑。同时，它们的另一个不足之处在于，即使在短期中可以将城乡看做两个相对独立的地区，长期中也应将城乡经济看做一个整体来进行研究。
通过对现有研究的理论基础进行批判性的述评发现，这一研究视角的关键问题在于其理论基础在解释经济增长上存在不足。现有的研究大多基于主流的宏观经济增长理论和发展经济学。从这些理论出发，许多经济现象都的不到很好的解释。其深层的原因在于，它们均将资本积累看作经济增长的主要原因，将经济增长看作一个连续的要素积累和配置的过程。然而，经济增长不仅仅是一个要素积累和配置的量变的过程，更是一个从自给自足的农业经济到工业化大生产的质变过程。从要素积累的视角无法解释工业化从无到有的过程，而这一过程实质上是社会工业与农业大分工的过程。因此，理解经济发展的关键在于从分工演进的角度出发抓住组织演变对于经济结构变化的影响。
区别于已有的研究，本文以新兴古典经济学的理论框架为基础，从分工演进影响经济增长继而决定收入水平的视角展开研究。这一分析框架将分工扩展看成经济增长的动力，更为重要的一点是，这一分析框架将制度因素纳入经济增长分析中来了。经济制度通过影响交易效率来决定分工的水平，进而决定经济增长和居民收入水平。这一理论为本文从经济制度转型的研究我国城乡收入差距问题提供了理论上的可行性。
参照已有的研究，论文的第三章首先将城乡看成连个相对独立的地区。在理解制度转型如何影响居民收入的途径的基础上，结合我国渐进式改革的过程和城乡收入差距变化过程，研究发现，我国城乡收入差距扩大的主要原因在于我国的渐进式改革导致我国城乡具有不同的经济体制，由此导致城乡经济不同的分工水平、经济增长水平和居民收入水平。同时，我国对外开放政策通过提高工业部门的分工水平，也促进了工业部门生产率的提高和城市居民收入水平的提高，进而扩大对我国城乡收入差距。相关的实证研究支持上述结论。
在第三章的基础上，第四章通过城乡劳动力流动的视角将城乡经济看作一个整体，分析我国城乡劳动力流动限制度以及这一制度变化对我国城乡收入差距的影响。理论和实证分析都显示：劳动力流动限制是我国城乡收入差距扩大的重要制度因素之一；另外，无论是在劳动力自由流动的背景下，还是在劳动力流动限制的背景下，城乡劳动力流动都是缩小城乡收入差距的重要途径之一；然而，在劳动力流动限制的条件下，城乡劳动力流动缩小城乡收入差距的作用可能由于其他因素作用的得不到体现，这一结论可以用来解释我国城乡劳动力流动规模与城乡收入差距同时扩大的现象。
总体来看，我国城乡收入差距扩大的一个重要原因是：在城乡劳动力流动限制的背景下，城乡经济制度转型的差异导致城市经济发展比农村经济更快，继而城乡居民收入差距扩大。因此，缩小我国城乡收入差距可行的办法是深化相关制度的改革和转型。具体而言，要放松对城乡劳动力流动的限制，以及加快农村经济体制的市场化转型。这些做法不仅有利于缩小我国城乡收入差距，还有利于促进我国经济增长。另外，城乡收入差距问题是一个综合性的问题，还可从收入再分配，以及加大农业产业政策支持等方面提高农民收入水平，缩小城乡收入差距。
Since the reform and opening up，the income of residents in China grow rapidly，andthe urban-rural income gap also increases greatly. The large urban-rural income gap hasbecome an important factor restricting our economic development. Thus, it has greatpractical significance to understand the reason of the widening income gap between urbanand rural areas.
The urban-rural income gap is a comprehensive problem，the purpose of this study isto explain the expansion of China's urban-rural income gapthe from perspective of initialdistribution and institutional transformation. The reason why we choose this perspective isthat the existing research can not explain the problems of urban-rural income gap in Chinaaccurately. The research method of existing research is to see the urban and rural areas astwo relatively independent regions, so they can explain from the economic development ofthe two areas，which determin the income of resident income，and which is determined bythe difference of production factors (mainly the number of capital) of the two regions. Themain problem of research method is from this perspective can not explain why the urban-rural income gap before the reform and opening up staied at a relatively low level oflong-term stability, while the production factors had the same difference in this perioed.Another problem is that, even the urban and rural can be seen as two relatively independentareas in the short-term, buet in the long-term, they should be seen as a whole.
Seeing from the theoretical basis of the existing research, the key problems of thisresearch perspective is its theoretical basis is deficient in explaining the economic growth.Most of the existing research based on the mainstream macroeconomic growth theory anddevelopment economics; however, many economic phenomena can not be accuratelyinterpreted from these theories. The profound reason is they regard the capital accumulationas the main reason of economic growth, so the economic growth is a continuous process offactor accumulation and configuration. However, economic growth is not only a process ofquantitative change about factor accumulation and configuration, but also is a processqualitative change about division of agriculture and industry. So the key factor to understand how the economic development is affected by the evolution of division of laborand changes of the economic structure. Unlike the existing research,,based on thetheoretical framework of the new classical economics, this paper The division study fromthe perspective of evolution of division of labor, which determine the economic growth,and then determine the income level. The more important point is that this framework cansincorporat institutional factorsed into the analysis of economic growth. The economicinstitutions determine the economic growth and income levels by affecting the efficiency ofthe transaction which determines the level of division of labor. This theoreticalbreakthrough provides a theoretical feasibility to study China's urban-rural income gapfrom institutional transformation for this paper.
Referring to previous studies, the third chapter sees the urban and rural areas as towregions. Combined with the study of change of our market-oriented reforming andurban-rural income gap, the dissertation presents the idea that, the main reason resulted inChina's urban-rural income gap is the different economic institution between the urban andrural areas, which was resulting from China's gradual reforms, that led to a differentdivision of labor, and then the level of economic growth and income levels. Simultaneously,China's policy of opening up also expanded the urban-rural income gap by improving thelevel of division of the industrial sector. Relevant empirical researches support theseconclusions.
Based on of the third chapter, Chapter four saw the urban and rural economy as a wholethrough the perspective of the urban and rural labor mobility. This chapter focuses on howthe polices of migration limition of urban and rural labor and the changes of those policesaffect the urban-rural income gap in China. Both the theoretical and empirical analysisshow that, labor mobility restrictions is one of the important institutional factors that resultin China's urban-rural income disparities; both in the context of free movement of laborandlabor mobility restrictions, labor mobility can narrow the urban-rural income gap; but in theconditions of labor mobility restrictions, the role of labor mobility to narrow the incomegap between urban and rural areas may can not reflect due to the effects of other factors.This conclusion can be used to explain the phenomenon of the simultaneously expanding ofChina's labor mobility scale and urban-rural income gap.
Overall, the reason for China's urban-rural income gap disparities is that, in the context of urban and rural labor mobility restrictions, it is the differences of urban and ruraleconomic development which determined by institutional transformation that determinesled to the urban economy developed faster than rural economy, then the income gapbetween urban and rural residents expanded. Therefore, the feasible way narrowing theurban-rural income gap in China is to reform of the relevant economic system. Specifically,relaxing restrictions on labor mobility in urban and rural areas, and accelerating themarket-oriented transformation of the rural economic system. These practices are not onlyconducive to narrowing the income gap between urban and rural, but also conducive topromoting China's economic growth. In addition, as the problem of income gap betweenurban and rural areas is a comprehensive issue, some other policy recommendations tonarrow the income gap between urban and rural areas has also been included in thisanalysis, such as income redistribution reform and agricultural industrialization support andso on.
引文
①文枚（1998）在一组一般效用和生产函数的新兴古典一般均衡模型中,对“最优决策不会卖一种以上的产品,不会同时卖和买同种产品,不会买和生产同种产品”的定理进行了一般性证明。杨小凯1988年用具体的效用函数与生产函数的新兴古典一般均衡模型证明了该定理。该定理的详细证明见杨小凯:《经济学——新兴古典与新古典分析框架》第105-107页。
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