【作者】 杨民；

【导师】 张培刚； 张卫东；

【作者基本信息】 华中科技大学 ， 西方经济学， 2005， 博士

【摘要】 本论文运用了制度和演化分析法和历史分析法,在农业国的工业化理论、古典政治经济学和新古典经济学、新制度经济学、演化经济学等理论基础上,以剖析工业化与文化、制度和科学技术的关系为主线,着重研究了工业化和新型工业化的深层次问题。从根本上说,新型工业化首先是工业化。虽然时代、条件发生了很大的变化,但工业化获得成功的条件与前几次产业革命的还是一脉相承的,因为人的需求以及为此做出的反应和前几次工业革命时并无多大不同。因此,本论文首先探讨了世界各国工业化的经验和教训。本文指出,从直接原因看,工业革命首先发生在英国可归因于技术发明,再进一步,可归因于企业家精神,但从更深层次来说,则应归因于欧洲的文化传统和制度。而其他国家的工业化过程则体现了国家作用的两面性:既可以加速工业化,也可能留下后遗症。作为一个硬币的另一面,“工业革命为何不是发生在中国”则更直接地揭示了这样一个层次的问题:文化、制度、科学技术等方面存在的内在障碍制约了工业化的进行; 不克服这些内在障碍,(新型)工业化就不可能顺利展开。本论文从近镜头、中镜头和长镜头的视角全面系统地探讨了这一问题,表明:文化、制度、科学技术是最重要的因素,其中文化是基础,制度是关键,科学技术是条件。因此,实行工业化和新型工业化须在文化传统、制度结构、科学技术三个战略层面进行变革。创新传统文化,从基础上保证工业化和新型工业化的实现,是我们从工业化的历史中得出的第一个重要结论。现阶段一方面要发扬传统文化的优点,另一方面,也要坚决克服传统文化中的积弊,如等级观念、官本位思想、内耗、对制度的蔑视等等; 其次,要吸收世界其他国家民族文化中的精华; 最后,要打破文化“锁定”,并用切实可行的制度来做保障。用制度创新来保证工业化和新型工业化的顺利实施,是我们从历史研究中得出的更多还原

【Abstract】 Based upon the economic analysis including “agriculture and industrialization”, “classical political economy and neoclassical economics”, “new institutionalism”and “evolutionary theory”, This dissertation inquires into the profound factors and mechanism of the industrialization and new-type industrialization by taking the mechanism of interactions as a main clue between industrialization and culture, institution as well as science and technology, and using the institutional and evolutionary and historical approach. This dissertation shows the experiences and lessons of industrializations in some countries of the world, for the new-type industrialization still is industrialization essentially. Though the conditions and background have been changed greatly, the factors contributed to the success of the Industrial Revolutions are the same as the past, because the human’s needs and responses to economic incentive are indifferent from the past. At first glance, the reason why the first Industrial Revolution had taken place in Britain is due to technological progress. At a close look, it is due to entrepreneur. The first Industrial Revolution should be due to cultural traditions and institutions in Europe at that time. The industrializations in other countries had the dual characters: the state intervention can accelerate industrialization, but sometimes may bring about some questtions. The dissertation also probes into the inherent obstacles of the industrialization and new-type industrialization by taking “why the first Industrial Revolution had not taken place in China” as a main clue. The author discusses it from the angle of short focus lens, medium sized focus lens and long focus lens. From these discussions, we can argue that cultures, institutions, and science and technology are the most important factors contributed to the industrialization, among them the cultures are fundamental to industrialization, but the key to industrialization is institutions, and science and technology provide conditions for industrialization. It follows that, industrialization and new-type industrialization should be realized by innovations on three strategic aspects: cultural traditions, institutions, and science and technology. The innovation of cultural traditions is a prerequisite for the realization of the new-type industrialization. Therefore, we should take the advantages of cultural traditions. But we should also overcome firmly the drawbacks of cultural traditions such as grade idea, officer’s standard thought, inside-fighting, despising rules and regulations etc. We should absorb the quintessence of other national cultures in the world and break the “lock in” in cultures in order to guarantee cultural innovation with feasible rules. Institutional innovation should be taken to guarantee the new-type industrialization going smoothly. Taking Shuyang city as an example, we have analyzed the most important reasons of disparity between coastal area and the inland: the instituions have played a key role in economic development. Two kinds of routes of institutional reform have been proposed in the thesis. As an important aspect of economic system, marketization has close contact with the new-type industrialization. The market-based degree in China is still very low whether in terms of situations in our country, or in terms of marketization level in the world. So we should deepen the reform of financial system, monopolistic industry and SOE on the one hand, break out the regional barriers, industrial barriers in our economy on the other hand, and dispel the corruption, set up the society governed by law. Autonomous innovation to improve the scientific and technological level is very important for the realization of the new-type industrialization. Firstly, the consciousness of autonomous innovation should be established in the whole countr. Secondly, we should improve basic research in a more cost-effective manner; Thirdly, it is necessary for us toreform our scientific research system; Fourthly, to provide financial support by the state or firms is also necessary for scientific research; Fifthly, we should reform educational system to provide conditions for scientific research; Sixthly, it also is necessary for us to improve “software” environment of scientific research; Finally, to use policy tools such as tax revenue, loan, etc. to support autonomous innovation. As another important aspect of the new-type industrialization, the “ARF(agricultural ,rural,farmer’s) Problems”should be solved correctly. This dissertation summarizes the experiences and lessons from history of land reform of various countries, and shows the important of land property rights for industrialization. The investigation of a representative village——Guzhai Cun village—made by the author, has illustrated the “ARF Problems” in our country from one perspective. The investigation also illustrates the great institutional changes in the countryside of our country during last decades. The market-based economy has slowly permeated through originally traditional Midwest countryside, changed the “ARF” appearances on profound level. Through the market, “spontaneous industrialization” is carrying on in the vast countryside. In sum, this dissertation discusses the new-type industrialization from a wider perspective. It does not either focus on the resource consumption and environment pollution problems, or on the relation between informationization and the new-type industrialization, but on how to make the new-type industrialization go on more smoothly, more naturally, more sustainable. In other words, what it probes into is not the tactics and implement of the new-type industrialization, but the strategy and fundamental “platform” of the new-type industrialization. On this “platform”, to utilize informationization to promote industrialization is an inherent requirement for economic development, to save resources and reduce pollution are more of a result rather than a reason. This "platform" is combination of culture, institutions, and sience and technology.更多还原