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不平等，我们能做什么 致谢
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本书汇集了我自1966年毕业并成为经济学家以来在不平等经济学领域的研究成果。在近半个世纪里，我从许多共事者、全球各地的同行、我的学生以及各个领域的学者那里获益良多，在这里谨列举一二。我在收入不平等研究领域里与以下朋友进行了长期合作，他们是（按字母排序）：巴黎经济学院的Franois Bourguignon，意大利银行的Andrea Brandolini、Andrew Leigh（现任澳大利亚议员），卢森堡社会经济研究所（Luxembourg Institute of Socio-Economic Research, CEPS）的Eric Marlier，伦敦大学学院的John Micklewright,牛津大学的Brian Nolan,巴黎经济学院的Thomas Piketty,加州大学伯克利分校的Emmanuel Saez，哈佛大学的Amartya Sen，威斯康星大学麦迪逊分校的Tim Smeeding，以及埃塞克斯大学的Holly Sutherland等。近年来，我的共事者包括挪威统计局的Rolf Aaberge和Jrgen Modalsli，牛津大学马丁学院INET研究所的“经济建模项目”（Programme for Economic Modelling）的Facundo Alvaredo、Salvatore Morelli和Max Roser，哥本哈根大学及丹麦财政部的Jakob Sgaard，以及不平等简报（Inequality Briefing）组织（http://inequalitybriefing.org/）的创始人Charles Diamond等。在纳菲尔德学院这个理想的研究环境里，与Bob Allen、Christopher Bliss、Duncan Gallie、John Goldthorpe、David Hendry、Paul Klempere、Meg Meyer和John Muellbauer等人的讨论让我乐在其中。我非常感谢以上这些朋友和同事，与他们共事令人愉快之极。在写作本书的过程中，我与Franois Bourguignon最近共同编辑的《收入分配经济学手册》（Hand book of Income Distribution）第二卷也使我受益匪浅——该手册已于2014年12月由爱思唯尔（Elsevier）出版社出版。在此，我对该书的五十余位作者致以诚挚的谢意。
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本书源于我的两场公开演讲及一篇文章。它们是：2013年5月在斯坦福大学发表的演讲“不平等会走向何方？”，2014年5月在维也纳召开的奥地利经济学会年会上发表的大会演讲“我们能降低收入不平等吗？”；以及“皮凯蒂之后”——该文提交给有关《21世纪资本论》[1]研讨会，并发表于《英国社会学杂志》（British Journal of Sociology65 (2014): 619-638）。在准备这些演讲和文章时，我正担任伦敦政治经济学院的百年讲席教授，非常感谢该学院和同事在这些项目上给予我的支持。此外，在拓展上述演讲和文章的内容时，我还借鉴了2012—2013年担任欧盟经济财政事务司（ECFIN）经济学家时形成的一些观点，在此对支持我的欧洲委员会表示感谢。
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本书在成书过程中得到许多人的帮助，其中我要特别提到的是埃塞克斯大学的Holly Sutherland及其同事Paola De Agostini、Chrysa Leventi和Iva Tasseva，他们完成了第11章的计算部分。1983年，我和Holly开始研究TAXMOD（一个基于微观数据的英国税收—福利模型），该模型隶属于英国国家经济和社会研究委员会（ESRC）资助的税收、激励和收入分配研究项目，而此项目由默文·金（Mervyn King）[2]、尼克·斯特恩（Nick Stern）[3]和我负责推进。当时我们与英国财政研究所保持着友好的竞争关系，在双方共同努力下，TAXMOD处于国际领先地位。随后Holly进一步拓展该研究，成功建立起适用整个欧洲的模型（EUROMOD）。本书第11章的计算采用了该模型的英国部分。虽然埃塞克斯大学的这个团队对于第11章的内容不承担任何责任，但是如果没有他们心甘情愿以及颇有见地的合作，这章根本就不可能完成。
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本书中提到，从20世纪60年代我开始研究收入分配起，数据可获得性有了显著提升。在写作本书时，我着重参考了我和Salvatore Morelli编写的《经济不平等列表》（Chartbook of Economic Inequality）、Facundo Alvaredo编著的“世界顶级收入数据库”（World Top Incomes Database），以及卢森堡收入研究（LIS）跨国数据中心发布的“卢森堡收入研究关键指标”（LIS Key Figures）——让我感到自豪的是，该中心的主席即由我担任。此外还有其他许多机构提供了数据，尽管由于数量太多无法一一列出，但仍然要对他们表示谢意。
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我最感谢的是以下人士，他们往往是在时间相当有限的情况下阅读了本书的部分或全部手稿，而且他们对本项目的兴趣也给予了我极大鼓励。这些人包括Rolf Aaberge、Facundo Alvaredo、Charles Atkinson、Estelle Atkinson、Judith Atkinson、Richard Atkinson、Sarah Atkinson、Franois Bourguignon、Andrea Brandolini、Zsuzsa Ferge、David Hendry、John Hills、Chrysa Leventi、Ian Malcolm、Eric Marlier、Claudine McCreadie、John Micklewright、Salvatore Morelli（他还帮助完成了本书的图表）、Brian Nolan、Maari Paskov、Thomas Piketty、Max Roser、Adrian Sinfield、Tim Smeeding、Holly Sutherland和Iva Tasseva。他们的评论大幅提升了本书，某些章节甚至因之推倒重写。Julian Le Grand、Ruth Hancock以及Wiemer Salverda等朋友就书中部分内容与我开展的讨论也卓有成效。Charlotte Proudman在本书写作初期给予我诸多帮助。Maarit Kivilo高效地帮我完成了尾注里的参考书目。此外，和哈佛大学出版社的编辑Ian Malcolm及其同事的合作也非常愉快，他们对我帮助良多，而且不断鼓舞着我。
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在酝酿本书并开展相应研究工作的过程中，由牛津大学马丁学院INET研究所支持的EMoD项目下的不平等研究小组给予了我大力支持，这个小组现在已与马丁学院INET研究所的“就业、平等和增长项目”联手。我非常感谢David Hendry，他不仅为不平等研究小组提供了工作空间，在我闭门在家的18个月里支持了这个小组的工作，而且是他率先建议我著书，将我对于不平等问题的各种思考汇聚到一起。当然，本书中的分析错误或观点都不是他或前文感谢过的人的责任。
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本书到2020年前的版税将捐赠给以下慈善机构：Oxfam、Tools for Self Reliance、Emmaus UK及Quaker Housing Trust。
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[1]Thomas Piketty，Cambridge, MA: The Belknap Press of Harvard University Press, 2014，中文版见中信出版社2014年版。
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[2]Mervyn King，英格兰银行前行长。
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[3]即Nichoals Stern。
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不平等，我们能做什么 图片资料来源
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图1.1
:Based on Anthony B.Atkinson and Salvatore Morelli,Chartbook of Economic Inequality, http://www.chartbookofeconomicinequality.com/.The underlying sources of the US data are as follows.Overall inequality
:“Annual Social and Economic Supplement to the Current Population Survey,” from Income and Poverty in the United States
:2013 (Washington,D.C.
:U.S.Bureau of the Census,2014),http://www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf,Table A-3,“Selected measures of equivalence-adjusted income dispersion,” where it has been assumed that half of the recorded change between 1992 and 1993 was due to the change in methods (1.15 percentage points has been added to the values from 1992 back to 1967).This series is linked backwards at 1967 to the series from 1944 given by E.C.Budd,“Postwar Changes in the Size Distribution of Income in the U.S.,”American Economic Review,Papers and Proceedings 60 (1970)
:247-260.Income share of top 1%
:Thomas Piketty and Emmanuel Saez,“Income Inequality in the United States,1913-1998,”Quarterly Journal of Economics 118 (2003)
:1-39; updated figures from Saez’s website,http://eml.berkeley.edu/~saez/.Poverty rate
:Before 1959 from Gordon Fisher,“Estimates of the Poverty Population under the Current Official Definition for Years before 1959,” mimeograph,Office of the Assistant Secretary for Planning and Evaluation,U.S.Department of Health and Human Services,1970,Table 6.Since 1959 from the U.S.Bureau of the Census website,Historical Poverty Tables,Table 2; and U.S.Bureau of the Census publications,Income and Poverty in the United States
:2013, Table B1.Individual earnings
:Based on the Current Population Survey (CPS) from the OECD iLibrary,most recent data available at http://www.oecd-ilibrary.org/employment/ data/oecd-employment-and-labour-market-statistics_lfs-data-en.These data are linked at 1973 to the estimates of Lynn A.Karoly,“The Trend in Inequality among Families,Individuals,and Workers in the United States
:A Twenty-five Year Perspective,” in Sheldon Danziger and Peter Gottschalk,eds.,Uneven Tides (New York
:Russell Sage Foundation,1994),Table 2B.2; and at 1963 to the estimates in Anthony B.Atkinson,The Changing Distribution of Earnings in OECD Countries (Oxford
:Oxford University Press,2008),Table T.10.The last of these sources provides information about the definition of the population covered and the time period,which differ across the sources.
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图1.2
:Based on Anthony B.Atkinson and Salvatore Morelli,Chartbook of Economic Inequality, http://www.chartbookofeconomicinequality.com/.The underlying sources of the UK data are as follows.Overall inequality
:Gini coefficient of equivalised (modified OECD scale) disposable household income for all persons in the United Kingdom (Great Britain up to 2001/02) are from the website of the Institute for Fiscal Studies
:http://www.ifs.org.uk/.The data from 1961 to 1992 (financial year 1993/94) are from the Family Expenditure Survey,and thereafter from the Family Resources Survey.The Gini earlier series (“Blue Book series”) values are from Anthony B.Atkinson and John Micklewright,Economic Transformation in Eastern Europe and the Distribution of Income (Cambridge
:Cambridge University Press,1992),Table BI1; the figure for 1938 is from the Royal Commission on the Distribution of Income and Wealth,Report No.7,Fourth report on the Standing Reference, Cmnd.7595 (London
:HMSO,1979),p.23.Income share of top 1%
:World Top Incomes Database (WTID),http://topin comes.g-mond.parisschoolofeconomics.eu/.Poverty rate
:from the website of the Institute for Fiscal Studies (before housing costs series),as described above.Individual earnings
:Earnings data from Annual Survey of Hours and Earnings,covering all full-time workers on adult rates whose pay for the survey period was not affected by absence,linked backwards to take account of changes in methodology in 2006 and 2004,linked backwards in 2000 to the data from the New Earnings Survey (NES) from Atkinson,The Changing Distribution of Earnings in OECD Countries, Table S.8,taking the series back to 1968 (when the NES began),linked backwards to the income tax data (Schedule E earnings) from the same source,Table S.7.
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图1.3
:LIS Key Figures,http://www.lisdatacenter.org/data-access/key-figures/download key-figures/,downloaded 30 November 2014.
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图1.4
:Poverty rates from LIS Key Figures,http://www.lisdatacenter.org/data-access/key-figures/download-key-figures/,downloaded 30 November 2014.Top income shares from the World Top Incomes Database,http://topincomes.g-mond.parisschoolofeconomics.eu/,downloaded 9 December 2014.
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图1.6
:Data for 2000 and earlier are from website of Angus Maddison,Historical Statis-tics of the World Economy, GDP measured at 1990 PPPs,http://www.ggdc.net/maddison/oriindex.htm.Data for 2020 and later are from the Long-term Baseline Projections from OECD Economic Outlook No.95,May 2014,Dataset,GDP at 2005 US$ PPPs.The series for the UK and the US have been linked using the Maddison values for 2008 and the OECD values for 2010; the figures for China and India did not appear to need adjustment.
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图2.1
:Top income shares from the World Top Incomes Database,http://topin comes.g-mond.parisschoolofeconomics.eu/,downloaded 27 September 2014.Gini coefficients
:see Sources for Figures 1.1 (US) and 1.2 (UK); for Denmark,the coefficients are from Anthony B.Atkinson and Jakob Sgaard,“The Long Run History of Income Inequality in Denmark,Scandinavian Journal of Economics, forthcoming,Figure 4.
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图2.2
:Data for Finland,Norway,and Sweden from Anthony B.Atkinson and Salvatore Morelli,Chartbook of Economic Inequality, http://www.chartbookofeconomicinequality.com/.Data for top shares for Denmark from the World Top Incomes Database,http://topin comes.g-mond.parisschoolofeconomics.eu/,downloaded 27 September 2014; for the source of data for the Gini coefficient for Denmark,see Figure 2.1 Sources.
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图2.3
:Anthony B.Atkinson and Salvatore Morelli,Chartbook of Economic Inequality,http://www.chartbookofeconomicinequality.com/.
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图2.4
:Thomas Piketty and Gabriel Zucman,“Capital Is Back
:Wealth-Income Ratios in Rich Countries,1700-2010,” Quarterly Journal of Economics 129 (2014)
:1255-1310,online appendix table A50,http://gabriel-zucman.eu/capitalisback/.No data are given in the original source for the 1950s for Australia,Canada,Italy,or Japan.
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图2.5
:Anthony B.Atkinson and Salvatore Morelli,Chartbook of Economic Inequality,http://www.chartbookofeconomicinequality.com/.
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图2.6
:Socio Economic Database for Latin America and the Caribbean (SEDLAC),(CEDLAS and The World Bank),http://sedlac.econo.unlp.edu.ar/eng/,downloaded 5 October 2014.
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