公平与效率均衡及路径分析

【作者】 何大昌；

【导师】 蒋伏心；

【作者基本信息】 南京师范大学 ， 2002， 博士

【摘要】 资源配置，能否做到既是有效的，又是公平的?这是经济学文献对公平与效率关系讨论的基本问题。目前经济学文献对此有肯定和否定两种基本观点。本文的基本观点是：公平与效率在现实中表现出来的替代性，是两者一致性的表现形式。它不是对公平与效率本质一致的否定，据此我们可以寻找并确定达到公平与效率最佳结合的路径。 本文用公平与效率均衡的概念表示公平与效率的一致性。这种一致性有两层含义： (1)指人们追求效率最优化的同时使每个人和别人一样；(2)边际社会成本等于边际社会收益时公平与效率结合的状态。通过公平与效率均衡的概念，在理论上建立了一个最优的替代性假定。 本文认为，公平与效率关系在现实中的替代，表现为一个社会的公平与效率结合的具体状态总是偏离两者的均衡——这一最优的替代性假定。因此，一个公平与效率结合的具体状态只能是较为满意的，而不能达到“最佳结合”。但是，一系列较为满意的结合，能够不断地逼近“最佳状态”，因此，本质上仍然是可以表现为均衡的或是最佳结合的状态。 根据上述基本观点，本文进一步分析公平与效率均衡的六个本质特征。从而将公平与效率均衡的概念具体化了。同时，本文指出：制度、公共商品、社会选择和信息是使公平与效率结合的具体状态偏离最佳结合的四个联合变量。通过对四个联合变量的操作，可以确定达到公平与效率最佳结合的基本路径。 在理论实证部分，本文把各国公平与效率的结合分为均衡程度较高、非均衡和均衡程度较低三大类。这三种状态的典型代表为日本、美国和瑞典、拉美地区。我们重点分析了我国公平与效率结合的具体状态，最后提出了促进我国公平与效率关系向均衡目标迈进的具体路径。 本文的研究方法，可以概括为以成本收益分析为核心，结合使用标准偏离分析、实证分析和规范分析的方法。更多还原

【Abstract】 Can resource allocation be both effective and equitable? This is an essential question in the argument of equity and effectiveness in economics literature, which has two basic points of view, affirmative and negative. The paper is of the opinion that the substitution of equity and effectiveness reflected in reality, rather than the denial of equity and effectiveness, is the harmonious form of the both, from which the solution to the best combination of equity and effectiveness can be sought.The conception of equilibrium between equity and effectiveness is used to mean the agreement between equity and effectiveness. This agreement indicates 1) while pursuing the maximum majorization of effectiveness, each individual is equal to others; 2) the condition of equity and effectiveness when edge social cost equals to edge social benefit.The substitutive nature of the relation between equity and effectiveness in reality shows that the combination of equity and effectiveness in a given society is always diverged from the hypothesis of the maximum equilibrium between equity and effectiveness. Thus, the combination of equity and effectiveness can only be rather satisfactory, not the most satisfactory. However, a series of comparatively satisfied combinations can approach to the "best combination", hence, still equilibrative and best in combination in nature.Based on the above opinions, the paper further analyzes the six characteristics of equilibrium between equity and effectiveness and specifies the abstract conceptions of equilibrium between equity and effectiveness. The paper points out that making profits, public goods, social choice and information are the four factors that diverge equity and effectiveness from the best combination. Yet, by combination and operation of the four factors, the best path to equity and effectiveness can be found.The combination of equity and effectiveness can be classified into three categories: the high equilibrium, the non-equilibrium, and low equilibrium. The typical representatives of the three are Japan, USA, Sweden and Latin American region. The concrete combinative condition of equity and effectiveness in China is analyzed, and specific paths to promotion and solution to equilibrium between equity and effectiveness in China, as well as some basic conclusions and arising problems, are put forward.Focusing on cost-benefit analysis, the paper integrated several analyses, namely: criteria difference analysis, case analysis and standard analysis.更多还原