后发优势理论分析与经济赶超战略研究
发布时间：2018-08-18 09:57
【摘要】： 世界经济史是一部发展不平衡、后进国家赶超先进国家的历史，其理论依据是后发优势理论。较早研究后发优势理论的是美国经济史学家格申克龙，但他的研究是在英国以及欧洲大陆发达地区经济发展史的延长线上展开的，研究对象仅限于比英国工业化起步时间较晚、经济发展较为落后的欧洲国家。随着经济发展和历史变迁，尤其是二战后，一批发展中国家迅速崛起并实现了工业化赶超，格申克龙“后发优势说”不能完全解释这些现象，亟待发展和完善。本文关于后发优势和经济赶超理论的研究，时间段截取二战后半个世纪以来的历史，以先进国家作为对比和参照，目的是为当今的发展中国家和地区、尤其是中国赶超发达国家提供理论支持。研究对象以实现了工业化赶超的日本和“亚洲四小”为重点，同时涉及前苏联、东欧、拉美、东盟、以及中东、非洲等发展中国家和地区。为了保证理论框架的完整性，本文没有采用先阐释理论、再进行案例分析的论证方法，而是将事实和案例揉进理论分析的过程中，使理论分析与案例分析有机结合起来。 战后发展经济学主要关注的是发展中国家贫困的原因及其克服的办法，对发展中国家如何赶超发达国家，由于时代的限制，讨论得很少。经济全球化的迅速发展，为发展中国家赶超发达国家提供了难得的历史机遇，关于经济赶超的研究也开始增加，国内外学术界关于二战后发展中国家和地区经济发展的国别研究不胜枚举。然而，对于经济赶超的理论依据——后发优势的确切内涵似乎从未给予过清楚阐释：关于后进国家实施经济赶超的一般规律性研究也并不多见。落后国家要实现对先进国家的赶超，首要条件是克服自身劣势、突破传统社会的束缚。早在20世纪50年代，美国经济史学家罗斯托就提出了“起飞”理论。起飞理论的核心内容是一国要实现经济起飞，应主要依靠内部资源积累和自身动力。但是，在经济发展不平衡的世界体系中，后进国家如果仅仅依靠自身内部资源的积累而希望尽快实现经济起飞将十分困难。通过对后发优势的概念解析以及经济赶超一般规律的剖析，我们得出的一个结论是：发展中国家要实现快速的经济起飞并最终实现赶超目标，除了主要依靠自身内部积累外，还必须借助外部动力；而借助外力是有风险的，只有将外部动力转化为内部动力，才能在化解风险的同时，为经济追赶提供持续的可靠动力。 本文前三章是关于后发优势的理论分析，通过分析构建起作为经济赶超理论依据的后发优势理论的框架，从而为进一步研究和构建经济赶超理论奠定基础。第四章到第七章是关于经济赶超规律的理论分析和实证研究，关于经济赶超一般规律的研究揭示了后进国家进行经济赶超的战略性框架，是对后发优势理论的具体应用。 第一章在后发优势的理论溯源中，着重理论分析。由于后发优势理论是关于落后国家经济发展的问题，首先从发展理论的渊源追溯后发优势理论渊源，比较了“后发优势理论”与“比较优势理论”的异同；由于后发优势理论还是关于后进国家加快经济增长的问题，在分析增长理论的演进中，，比较了“后发优势理论”与“经济趋同假说”；由于本文关注的是二战后发展中国家和地区利用后发优势进行经济赶超的问题，因而，有必要从后发优势视角透视发展经济学的演化，从而把握发展经济学的内涵；最后，关于后发优势理论的溯源和分析聚焦于马克思主义关于社会跨越的理论，从中探求后发优势理论的精髓。 第二章通过将后发优势物化到生产要素中，将其具体化为后进国家所拥有的“资源优化”、“技术跨越”和“制度捷径”的有利形势，后发优势内涵得以扩展和精确化，使我们能够全方位、多元化地构建和发掘后发优势，更重要的是，使我们在经济追赶过程中能够始终把握最为本质和根本的赶超途径和手段。 第三章通过进一步抽象出各生产要素后发优势的共同特征，进一步分析后发优势作为一种客观存在，具有哪些性质；作为一种动态优势，其演化规律是什么；作为一种系统优势，其作用(实现)机制和构建(构筑)机制是什么。 第四章通过构造“飞船模型”模拟和阐释后进国家利用后发优势实施经济赶超的过程。由于赶超概念的基本内涵是“追赶”和“超越”，追赶建立在构筑和利用后发优势的基础上， 超越则有赖于不断提升原有的后发优势并创造出新的后发优势;就赶超的基本规律而言，赶 超过程也就是后发优势构筑、实现和提升的过程。 第五章通过对经济赶超的行为分析揭示后进国家构筑后发优势的特征。后发优势的构筑 过程实质是资本积累的过程。社会资本积累是经济赶超的基础，人力资本积累是经济赶超的 前提，物质资本积累是经济赶超的工具和途径。可见，物质资本积累的过程是经济赶超本身， 经济赶超能否得以实现的关键是人力资本和社会资本的积累，尤其是作为基础性的社会资本 的积累。 第六章通过对经济赶超的制度分析例证实现后发优势的制度保障。重点剖析“苏联模式” 的衰退性特征以及‘旧本模式”的追赶性特征;并对拉美、东亚以及苏东国家的市场化过程 进行比较分析。案例分析证明，实现后发优势的制度保障是市场经济体制;要通过经济市场 化实现后发优势，必须使后发
[Abstract]:The history of world economy is a history of unbalanced development, in which the backward countries catch up with the advanced countries. Its theoretical basis is the theory of backward advantage. With the economic development and historical changes, especially after World War II, a number of developing countries have rapidly risen and achieved industrialization overtaking. Gerschenkron's theory of "advantage of backwardness" can not fully explain these phenomena and needs to be developed and perfected. The research on the theory of development advantage and economic catching-up is to take the history of the second half century of World War II as a comparison and reference with the advanced countries in order to provide theoretical support for the developing countries and regions, especially for China to catch up with the developed countries. In order to ensure the integrity of the theoretical framework, this paper does not use the method of explaining the theory first, and then proceeding with case analysis, but rubs facts and cases into the process of theoretical analysis, so that theoretical analysis and case analysis can be combined. Close.
Post-war development economics is mainly concerned with the causes of poverty in developing countries and the ways to overcome it. It is seldom discussed how developing countries can catch up with developed countries because of the limitations of the times. However, the exact connotation of the advantage of backwardness, which is the theoretical basis of economic catching-up, has never been clearly explained: there are few studies on the general regularity of the implementation of economic Catching-up in backward countries. As early as the 1950s, American economic historian Rostow put forward the "take-off" theory. The core content of the take-off theory is that a country should mainly rely on the accumulation of internal resources and its own power to achieve economic take-off. However, in the world system of unbalanced economic development, it will be very difficult for the backward countries to achieve economic take-off as soon as possible if they only rely on their own internal resources accumulation. In order to take off and eventually achieve the goal of catching up, we must rely mainly on the internal accumulation of our own, but also on external forces; and the use of external forces is risky. Only by transforming external forces into internal forces, can we resolve the risks and provide sustained and reliable impetus for economic catching up.
The first three chapters of this paper are about the theoretical analysis of the advantage of backwardness, through the analysis of the theoretical framework of the advantage of backwardness as a theoretical basis for economic catching-up, thus laying the foundation for further research and construction of the theory of economic catching-up. The study of general laws reveals the strategic framework for underdeveloped countries to catch up with and surpass the economy, which is a concrete application of the theory of underdeveloped advantages.
Chapter one focuses on theoretical analysis in tracing the origin of the theory of backward advantage. Since the theory of backward advantage is about the economic development of backward countries, the origin of the theory of backward advantage is traced from the origin of the theory of development, and the similarities and differences between the theory of "backward advantage" and the theory of "comparative advantage" are compared. In the analysis of the evolution of the growth theory, this paper compares the theory of "late-developing advantage" with the hypothesis of "economic convergence"; because this paper focuses on the problem of developing countries and regions using the advantage of late-developing to catch up with the economy after World War II, it is necessary to study the development economics from the perspective of the advantage of late-developing. Finally, the origin and analysis of the theory of the advantage of backwardness focus on the Marxist theory of social leap, from which to explore the essence of the advantage of backwardness theory.
In the second chapter, by materializing the advantage of backwardness into the factors of production, and concretizing it into the favorable situation of "resource optimization", "technology leapfrogging" and "institutional shortcut" owned by the backward countries, the connotation of the advantage of backwardness can be expanded and refined, so that we can construct and explore the advantage of backwardness in an all-round and diversified way, and more importantly, make it possible for us to make full use of the advantages of backwardness. In the process of catching up with the economy, we can always grasp the most essential and fundamental ways to catch up and surpass.
Chapter 3 further abstracts the common characteristics of each factor of production, and further analyzes the nature of the advantage of backwardness as an objective existence; as a dynamic advantage, what is its evolution law; as a system advantage, what is its function (realization) mechanism and construction (construction) mechanism.
Chapter 4 simulates and explains the process of economic catching-up by using the advantage of backwardness by constructing the "spaceship model". Because the basic connotation of the concept of catching-up is "catching-up" and "surpassing", catching-up is based on constructing and utilizing the advantage of backwardness.
Transcendence depends on constantly upgrading the original advantage of backwardness and creating new advantage of backwardness.
The super process is the process of building and realizing the later development advantage.
Chapter Five reveals the characteristics of the backward countries in building the advantage of backwardness through the analysis of their economic catching-up behavior.
The essence of the process is the process of capital accumulation. The accumulation of social capital is the basis of economic catching-up and the accumulation of human capital is the process of economic catching-up.
The precondition is that the accumulation of material capital is the tool and way of economic catching-up.
The key to economic catching-up is the accumulation of human capital and social capital, especially as basic social capital.
Accumulation.
Chapter Six proves the institutional guarantee of discovering the advantages of backwardness through the institutional analysis of economic catching-up.
The recessionary characteristics and the catch-up characteristics of the "old model"; and the marketization of Latin America, East Asia and the Soviet Union and East Asia
A comparative analysis is made. Case studies show that the institutional guarantee for realizing the advantage of backwardness is a market economic system; economic market should be adopted.
To realize the advantage of backwardness, we must make it happen later.
【学位授予单位】：中国社会科学院研究生院
【学位级别】：博士
【学位授予年份】：2003
【分类号】：F061.3
本文编号：2189117
[Abstract]:The history of world economy is a history of unbalanced development, in which the backward countries catch up with the advanced countries. Its theoretical basis is the theory of backward advantage. With the economic development and historical changes, especially after World War II, a number of developing countries have rapidly risen and achieved industrialization overtaking. Gerschenkron's theory of "advantage of backwardness" can not fully explain these phenomena and needs to be developed and perfected. The research on the theory of development advantage and economic catching-up is to take the history of the second half century of World War II as a comparison and reference with the advanced countries in order to provide theoretical support for the developing countries and regions, especially for China to catch up with the developed countries. In order to ensure the integrity of the theoretical framework, this paper does not use the method of explaining the theory first, and then proceeding with case analysis, but rubs facts and cases into the process of theoretical analysis, so that theoretical analysis and case analysis can be combined. Close.
Post-war development economics is mainly concerned with the causes of poverty in developing countries and the ways to overcome it. It is seldom discussed how developing countries can catch up with developed countries because of the limitations of the times. However, the exact connotation of the advantage of backwardness, which is the theoretical basis of economic catching-up, has never been clearly explained: there are few studies on the general regularity of the implementation of economic Catching-up in backward countries. As early as the 1950s, American economic historian Rostow put forward the "take-off" theory. The core content of the take-off theory is that a country should mainly rely on the accumulation of internal resources and its own power to achieve economic take-off. However, in the world system of unbalanced economic development, it will be very difficult for the backward countries to achieve economic take-off as soon as possible if they only rely on their own internal resources accumulation. In order to take off and eventually achieve the goal of catching up, we must rely mainly on the internal accumulation of our own, but also on external forces; and the use of external forces is risky. Only by transforming external forces into internal forces, can we resolve the risks and provide sustained and reliable impetus for economic catching up.
The first three chapters of this paper are about the theoretical analysis of the advantage of backwardness, through the analysis of the theoretical framework of the advantage of backwardness as a theoretical basis for economic catching-up, thus laying the foundation for further research and construction of the theory of economic catching-up. The study of general laws reveals the strategic framework for underdeveloped countries to catch up with and surpass the economy, which is a concrete application of the theory of underdeveloped advantages.
Chapter one focuses on theoretical analysis in tracing the origin of the theory of backward advantage. Since the theory of backward advantage is about the economic development of backward countries, the origin of the theory of backward advantage is traced from the origin of the theory of development, and the similarities and differences between the theory of "backward advantage" and the theory of "comparative advantage" are compared. In the analysis of the evolution of the growth theory, this paper compares the theory of "late-developing advantage" with the hypothesis of "economic convergence"; because this paper focuses on the problem of developing countries and regions using the advantage of late-developing to catch up with the economy after World War II, it is necessary to study the development economics from the perspective of the advantage of late-developing. Finally, the origin and analysis of the theory of the advantage of backwardness focus on the Marxist theory of social leap, from which to explore the essence of the advantage of backwardness theory.
In the second chapter, by materializing the advantage of backwardness into the factors of production, and concretizing it into the favorable situation of "resource optimization", "technology leapfrogging" and "institutional shortcut" owned by the backward countries, the connotation of the advantage of backwardness can be expanded and refined, so that we can construct and explore the advantage of backwardness in an all-round and diversified way, and more importantly, make it possible for us to make full use of the advantages of backwardness. In the process of catching up with the economy, we can always grasp the most essential and fundamental ways to catch up and surpass.
Chapter 3 further abstracts the common characteristics of each factor of production, and further analyzes the nature of the advantage of backwardness as an objective existence; as a dynamic advantage, what is its evolution law; as a system advantage, what is its function (realization) mechanism and construction (construction) mechanism.
Chapter 4 simulates and explains the process of economic catching-up by using the advantage of backwardness by constructing the "spaceship model". Because the basic connotation of the concept of catching-up is "catching-up" and "surpassing", catching-up is based on constructing and utilizing the advantage of backwardness.
Transcendence depends on constantly upgrading the original advantage of backwardness and creating new advantage of backwardness.
The super process is the process of building and realizing the later development advantage.
Chapter Five reveals the characteristics of the backward countries in building the advantage of backwardness through the analysis of their economic catching-up behavior.
The essence of the process is the process of capital accumulation. The accumulation of social capital is the basis of economic catching-up and the accumulation of human capital is the process of economic catching-up.
The precondition is that the accumulation of material capital is the tool and way of economic catching-up.
The key to economic catching-up is the accumulation of human capital and social capital, especially as basic social capital.
Accumulation.
Chapter Six proves the institutional guarantee of discovering the advantages of backwardness through the institutional analysis of economic catching-up.
The recessionary characteristics and the catch-up characteristics of the "old model"; and the marketization of Latin America, East Asia and the Soviet Union and East Asia
A comparative analysis is made. Case studies show that the institutional guarantee for realizing the advantage of backwardness is a market economic system; economic market should be adopted.
To realize the advantage of backwardness, we must make it happen later.
【学位授予单位】：中国社会科学院研究生院
【学位级别】：博士
【学位授予年份】：2003
【分类号】：F061.3
【引证文献】
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