【作者】 贾国雄；

【导师】 刘灿；

【作者基本信息】 西南财经大学 ， 政治经济学， 2010， 博士

【摘要】 本文是关于中国经济体制变迁的研究。在20世纪中国经济体制的世纪演进过程中,计划经济体制的选择与转型无疑是最为关键的一环。本文把计划经济体制的形成与变迁作为研究对象,目的是希望对计划经济体制的形成、变迁与转型做一个全景式的探讨,从而发现新中国60年来经济体制变迁的内在规律。本文使用新制度经济学的制度变迁理论,从国家(政府)和成本这两个核心概念出发,围绕计划经济体制怎样形成和怎样变迁这样两个有逻辑联系的问题展开,经过理论分析和史实佐证,得出了一系列有新意的观点。全文共有9个部分,除去开头的导言和结尾的结论两个部分,主要内容共有7章,各章的要点如下：第1章,计划经济从理论模式到现实体制。主要分析了马克思和恩格斯设想的未来社会有计划、按比例发展的经济模式(我们称之为计划经济理论模式)与计划经济现实体制的各自特征,探讨了计划经济现实体制的理论源头。该章的基本观点是：计划经济现实体制实际上是一种国家主导型经济的极端模式,计划经济现实体制显性的和主要的理论基础来自马克思和恩格斯的有计划、按比例发展经济的思想,而李斯特等人倡导的国家干预主义也对计划经济现实体制有重要影响,可以看作是计划经济现实体制的一个隐性理论源头。第2章,国家效用与制度成本：计划经济体制形成与变迁的分析框架。本章首先对中国新制度经济学的制度变迁理论作了一个梳理,然后利用制度变迁理论构建了一个分析和解释计划经济体制形成与变迁的框架。本章的主要观点是：计划经济体制的形成是国家在不发达的市场经济条件下强制推动制度变迁的结果。资源全球化时代国际暴力竞争所造成的强大外部压力不断强化着落后国家的政府在社会经济生活中的地位,在外部压力之下,国家(统治者)在选择经济制度的时候自然而然的把实现国家安全作为最优先考虑的价值目标(也即最优先的效用),国家主导型经济的极端模式——计划经济现实体制是实现国家这一优先效用最有效的制度安排。强大政府的传统以及市场经济不发达的现实使得工业落后的俄罗斯、中国等国家构建计划经济体制的成本相对低廉,这也成为计划经济体制在落后国家得以形成的根源。当计划经济体制建成以后,体制的运行成本和维护成本产生。由于计划经济现实体制未能充分考虑到民众(制度的接受者)的效用实现问题,所以,民众对计划经济体制表现出不满意,计划经济体制也就表现出非均衡性。随着计划经济体制运行与维护成本的不断增加,制度变迁的需求就会出现。由于维护计划经济体制的成本过高,所以,改革计划经济体制,进而选择市场经济体制来代替计划经济体制就有可能给制度的决定者和制度的接受者双方都带来制度净效益,于是,制度的转型也就有了发生的可能。第3章,中国计划经济体制的形成。本章首先分析了外部压力对近代中国政治经济精英们经济思想的影响,接着分析了近代中国经济体制的演变路径和计划经济体制产权基础的形成过程。本章形成的主要观点是：资源全球化引发的国际竞争的压力以及中国国内相对较低的计划经济体制构建成本影响了中国近代政治经济精英们对中国经济制度安排的考量,形成了有利于计划经济体制形成的意识形态氛围。在中国近代经济体制的演进过程中,匡家(政府)在经济生活中的地位不断得到强化,使得建立计划经济体制的各项条件逐渐完备。而苏联已经建立和运行计划经济体制的经验又降低了制度设计成本。新中国成立后的农村合作化运动与资本主义工商业的社会主义改造运动最终形成了计划经济体制的产权基础,中国的计划经济体制初步建立。第4章,计划经济控制系统的建立。主要是分析和介绍中国计划经济体制下的三大控制系统——人民公社制度、单位制度和二元户籍制度。本章的基本观点是：生产资料公共产权的建立形成了计划经济体制的产权基础,完成了国家对生产资料的控制。新中国成立以后,新政权又在农村创建了人民公社制度,实现了国家对农民的组织与控制；在城市创建了单位制度,实现了对城市居民的组织与控制；最后还通过城乡分治的二元户籍制度把劳动者与生产资料的结合固化下来。人民公社制度、单位制度和二元户籍制度这三大控制系统的建立使得中国计划经济体制变成了一个可以运行的体制。第5章,计划经济体制运行成本与运行效率。主要分析了中国计划经济体制运行成本与运行效率的变化情况。本章的基本观点是：当计划经济体制开始运行的时候,计划经济体制的运行成本也就跟着产生,由于受到体制运行条件的影响,中国计划经济体制的运行成本呈现出由低走高的变化趋势。体制的运行成本决定着体制的运行效率。中国计划经济体制的运行效率由于受到运行成本变化趋势的影响,总体呈现出短期高效而长期低效的态势。第6章,计划经济体制变革要求的出现与早期变迁。本章主要是通过探讨计划经济体制的离散问题以及国家为解决体制离散问题对该体制进行的维护与调整。本章的主要观点是：计划经济体制是国家推动的强制性制度变迁的结果,其目的是由国家把民众的生产剩余强制配置到需要优先发展的重工业和国防工业部门中去,从而尽可能快速的实现建立强大国家的目的。计划经济体制的国家效用取向决定着该体制的接受者——民众的效用无法很好的实现,所以,计划经济体制一经建立,民众就有了变革计划经济体制的需求,这也决定了计划经济体制是一种非均衡的制度。民众变革计划经济体制的要求未能立即推动体制转型的发生,但造成了计划经济体制出现离散趋势。由于体制的国家效用尚未得到满足,所以,为了消除体制的离散趋势,国家采取了一系列巩固和强化计划经济体制的措施,但这些措施加重了制度的不均衡性,给计划经济体制的运行带采了巨大的社会成本。为了降低体制的运行成本,国家又被迫对计划经济体制做了一些调整,在有限范围内保留和吸纳了一些非公有制因素,非公有制因素的存在使得中国计划经济体制下长期存在一些“计划外”的因素,这在一定程度的缓解了计划经济体制运行造成的高昂的社会成本问题,但却增加了国家对计划经济体制的维护成本。第7章,计划经济体制的转型,本章探讨了中国计划经济体制转型要求的提出与转型的条件,分析了中国计划经济体制转的方向与内容,总结了中国计划经济体制转型的特点。本章的主要观点是：当中国的重工业和国防工业体系基本建立以后,统治者最优先的效用——安全效用因为综合国力的提高而基本得到满足,而原来处于次级地位的效用——获得民众的认同成为国家统治者效用层次中新的最优先考虑的效用。于是,国家有了提供新的制度安排来实现新的优先效用的动机,国家对于计划经济体制的转型愿望出现。而全球化新阶段的到来改变了中国的国际环境,减轻了国家所受到的外部压力。内外在条件的变化一方面增加了计划经济体制的运行成本,另一方面相应降低了市场经济体制的运行成本,这就为计划经济体制转型的启动提供了契机。中国计划经济体制的特征以及该体制早期变迁产生的一些影响最终决定了中国计划经济体制转型的内容和特征。转型之后的中国经济体制由原来国家控制一切资源的这种极端模式逐渐过渡到国家宏观调控下的市场经济体制。通过对以上观点的综合,我们得出的最终结论是这样的：计划经济体制在中国的形成与变迁历程体现了“两个必然”,一方面,计划经济体制作为历史的选择与存在,是当时历史条件下的一种必然选择；另一方面,计划经济体制发生变迁与转型,也是中国社会生产力发展和国际环境发生变化的必然要求。总之,计划经济体制的选择与转型都是适应了社会生产力发展要求的必然结果。当然,与这一结论相关的一些问题还需要进一步的研究。更多还原

【Abstract】 This article is a research about China’s economic system transition. In the process of China’s economic system evolution happened in 20th century, the choice and transition of planned economy system is the most crucial part beyond doubt. The formation and the transition of planned economy system is the study object of this thesis, in order to make a panoramic probe for the formation, transition and transformation of planned economy system, thereby finding the inherent law of economic system transition since the founding of The People’s Republic of China in the past 60 years. The article takes the theory of Institution Change Institutional Economics, in light of the two core concepts country(government) and cost, around two logical connection problems how the planned economical system form and change, through theoretical analysis and historical evidence, reaching a series of new viewpoints. This article is composed of 9 parts, except the preamble and the conclusion; the main contents are in 7 chapters. The key points in each chapter are as follows:Chapter 1:The Planned economy system from the theoretical model to the realistic system.It mainly discussed the features of planned economy system, which assumed by Marx and Engels, being a theoretical model and a realistic system respectively and the theoretical headstream of realistic planned economy system. Realistic planned economy system is a national leading economic extreme mode in fact, it explicit and the main theoretical basis is from Marx and Engel’Planned Economy Thinking. While State Interventionism advocated by Liszt also has important influence on realistic planned economy system, it can be said as a recessive theoretical source to planned economy system.Chapter 2:Country (The ruler) and cost, The analysis framework of planned economy system formation and transition. In this chapter, the theory of institutional change of Chinese new institutional economics is elaborated. first. Analyze and explain the framework of planned economy system formation and transition by using theory of institutional change. The main point of it is:The formation of planned economy system is result from State promotes institutional change mandatory in undeveloped market. In an era of resources globalization, the strong external pressure from international violence competition strengthens the position of government in underdeveloped countries in social and economic life. Under the external pressure, Country (The ruler) takes the powerful nation as the prior considering value goal (the priority of utility) naturally. The national leading economic extreme mode--the realistic planned economy system is the most effective institutional arrangement in realizing the priority of utility. The tradition of powerful government and the undeveloped market economy makes the industrial backward countries, like Russia and China; the cost of building the planned economy system is relatively cheap and low. This is also the root of planned economy system forming in undeveloped countries. When this system is built, the operating costs and maintenance costs of system occur, with the costs increased,the demand of institutional change will appear.Because the maintenance costs of planned economy system is overtop, so reforming planned economy system, choosing market economy system to replace planned economy system would possibly bring net profit to system maker and system receiver. Therefore, there is a possibility for system transformation.Chapter 3:The formation of Chinese planned economy system.At beginning, analyzing the external pressure to modern Chinese economic and political elites’ economic thought; next, making an analysis of the evolution road of modern Chinese economic system and the process of planned economic system formation. The main view in this chapter is:the international competitive pressure from resources globalization and the relatively low cost of building planned economic system in China affect modern Chinese economic and political elites in thinking Chinese economic system, leading to favorable ideological atmosphere for planned economic system formation. In the process of modern Chinese economic system evolution, the position of country (State) is strengthened gradually, which leads to the conditions of constructing planned economic system completing little by little. The rural cooperative movement and capitalist industry and commerce of the socialist movement after the founding of New China, eventually become the property basis of planned economy system, planned economic system of China is preliminarily established.Chapter 4:The establishment of planned economy control system.In this chapter, it is mainly analyzed and introduced the three control system under Chinese planned economic system---people’s commune system, unit system, and binary system of household registration system. The basic point in this chapter is, the establishment of production material of public property forms the property basis of planned economic system, completes State’s control of production materials. After the founding of New China, the new Regime create the communes system in rural areas, create unit system in city, realizing the organization and control for urban residents; finally the dual urban-rural division by the household registration system combine labourer with production materials. The establishment of people’s commune system, unit system, and binary system of household registration system makes the Chinese planned economic system a operating system.Chapter 5:The operation cost and efficiency of planned economy system.The changes of the operation cost and efficiency of planned economy system is discussed in this chapter. The point is when planned economy system operates, the operation cost of planned economy system appears, but for the affection of planned economy system operation conditions, the operation cost of planned economy system shows low to high tendency. The operation cost of planned economy system decides the efficiency of planned economy system.The efficiency of Chinese planned economy system presents short-term efficient and long-term inefficiency tendency for affecting by the change trend of operation cost.Chapter 6:The appearance of change requirements and early transition of planned economy system.Discrete problem of planned economy system and State’s maintenances and adjustments for solving this problem is probed in this chapter. The main argument is planned economy system is a result of State motivating institutional change compulsively. Its purpose is through states mandatory configuration the surplus to heavy industry and defense industry sector which need priority development to build a strong nation as soon as possible. The receiver of the system is determined by its utility orientation of the Planned economical system--- Public utility can not achieve good. Once the planned economic system established, people have the demand of reforming planned economy system. It also determines the planned economy system is a kind of unbalanced system. People’s demand of reforming planned economy system can not drive the institutional transformation at once、however, it obliges government to make some adjustments for planned economy system. These adjustments make some unlined factors existing under Chinese planned economy system.Chapter 7:Planned economy system transformation.In this chapter, the proposal and conditions of planned economy system transformation are discussed, its orientation and contents are analyzed.and concluding the features of it transformation.The main point is when the heavy industry and national defense industry are founded in China, the ruler’s prior utility--the wish to establish powerful country is basically realized;while utility originally in sub prime status get the people’s approval become the ruler’s new prior utility in utility levels. Therefore, State provides new institution arrangements to realize the motivation of new prior utility, State’s demand for planned economy system transformation arise.Yet the arrival of the new stage of globalization has changed China international environment, reduces the external pressure. The changes of internal and external conditions increase the operation cost of planned economic system on one hand, on the other hand decrease the operation cost of market economic system, thus providing opportunity to planned economic system transformation.Chapter 8:Through a comprehensive view of the above, we may come to the final conclusion:the formation and transformation of planned economic system in China embody the "two inevitable "On one hand, planned economy system,as a historical choice and existence,is an inevitable choice of historical conditions; on the other hand, planned economy system transition and transformation is also an inevitable requirement of Chinese social productivity development and international environment change.更多还原