【作者】 吴艳玲；

【导师】 孟庆琳；

【作者基本信息】 辽宁大学 ， 政治经济学， 2008， 博士

【摘要】 东北地区不仅资源禀赋突出,而且工业基础条件较好,在新中国工业化的初期阶段,东北地区凭借自身所拥有的这些雄厚的经济发展条件,其增长速度一直处于全国领先地位。但自从20世纪80年代以来,东北地区的发展速度特别是工业和经济总量的增长落后于全国平均水平和其他几个大区,在全国的经济地位逐年下降,呈现出明显的相对衰落趋势。严峻的现实要求必须对东北地区经济发展缓慢的内在机理作出科学分析,促进合理有效政策的制定和实行,实现东北老工业基地振兴。强调“经济系统发育”研究的演化经济学为分析东北老工业基地振兴问题提供了全新的视角。本文借鉴演化经济学的研究方法,把制约东北地区经济发展的主要问题归结为制度变迁缓慢,迟迟难以变化的生产关系制约了生产力的发展。进而指出东北老工业基地振兴的核心是实现制度变迁,因此,研究东北地区振兴就必须研究制度变迁问题。正是本着这一核心观点,在本文研究过程中,深入挖掘演化经济理论、制度经济理论、转轨经济理论、区域经济发展理论的合理成分,并且将论文的研究深植于东北老工业基地发展的现状及特点,在此基础上系统提出了制度变迁的演化分析框架,阐述了制度创新与制度扩散的机理,并把制度变迁的演化分析框架与东北地区发展相结合,形成初步的区域制度变迁理论。本文坚持规范分析与实证分析相结合的方法,初步创建了“制度创新——制度优化——制度扩散”的制度变迁分析框架,构建了“问题提出——基本理论分析——现状研究——对策研究”的制度变迁的演化分析路径,运用博弈分析、动态分析、系统自组织等分析工具,全面深入地研究东北老工业基地振兴的内在机理和途径,明确提出东北老工业基地振兴主要应是一个制度变迁的过程,而在实现制度变迁的过程中,必须准确把握内在制度自发演化与经济主体有意识推动、内部演化与外部冲击之间的关系。本文在回顾了国内外关于老工业基地振兴与改造的理论与实践的基础上,借鉴演化经济学的基本思路,为制度变迁演化分析框架的建立找到了理论基础,为东北老工业基地制度变迁分析搭建系统的理论分析框架。首先,在借鉴演化经济学已有研究成果的基础上,从制度与制度变迁的基本概念和内涵界定开始,把制度变迁看做是一个广义的过程,包含制度创新和制度扩散等一系列过程,是一个关于非均衡状态——均衡状态——非均衡状态不断转变的演化过程,在演化经济学的视角下指出制度变迁应该是微观层次创新与宏观层次扩散的统一。然后,分别从制度创新和制度扩散两方面对东北老工业基地制度变迁进行了分析。一方面,采取演化博弈论方法对制度创新进行了分析,探讨了制度创新问题,制度创新具有内生性、路径依赖性和多样性等特征,并针对这些特点对东北老工业基地制度变迁过程中影响制度创新的因素进行了探讨,发现东北地区在经济主体、传统体制、非正式制度、开放程度等方面均存在着阻碍其从“低效率制度向高效率制度”迈进的因素。另一方面,探讨了制度扩散问题,并认为与制度创新比较起来,制度扩散对制度变迁具有更为重要有的意义,也就是说,探索新制度是如何实现一步步向潜在采用者的扩散,在这一扩散过程中会受到那些因素的影响,实现扩散的新制度必须具备哪些条件,依靠哪些机制和手段,并应用具体的经济数据进行了验证,发现东北地区的制度扩散与长三角地区和珠三角地区存在着较大的差异,产生这一差异的原因在于东北地区在新制度的属性、潜在采用者特征、信息传播途径和制度扩散环境等方面都有其本身的特点,进而表现出与其他地区的差异。最后,对策研究是本文研究的现实落脚点,针对关于东北老工业基地制度创新与制度扩散的具体分析结果,明确提出了本文的核心观点,东北老工业基地的制度变迁是适应性制度变迁与内生性制度变迁的统一,然后分别从实现经济主体多样化、充分利用外部负熵流、优化非正式制度、建构制度变迁环境等方面提出了相应的对策和措施,并对东北地区的地方政府在制度变迁中的定位进行了初步阐述。更多还原

【Abstract】 In northeast industrial bases,both resources and industrial conditions are prominent. During the early industrialization stage, relying on these abundant economic development conditions, the northeast areas got a very fast development rate and were at the national leading position continuously. But since the 1980s, the development speed of the northeast areas becomes slower than the other regions, the economic growth falls behind the national average level and other several areas and the status of economic importance drops year by year. The stern reality urges us to make scientific analysis of the inherent mechanism of slow development so as to make efficient policies and implements to revitalize this region’s economy.Evolutionary economics, which emphasizes the importance of“the economic system growth”, provides a brand-new angle of view to analyze the development issues of Northeast Industrial Bases. In this dissertation, by using the research method of evolutionary economics, the main obstacle of fast development in Northeast Industrial Bases is summed up as slow industrial changes. Therefore it is necessary to study institutional changes question. In line with this core viewpoint, the thorough analysis evolves institutional changes and use the reasonable ingredients of evolutionary economics, Neo-institutional economics and regional Economics. The dissertation plants deeply in the northeast old industrial bases development situation and their characteristics. In this paper, we proposed a theoretic frame for institutional changes, which is combined with the northeast areas development to form the preliminary regional institutional changes theory.This article persisted in the system analysis and the balanced analysis methods, initially founded“the institutional innovation - the institutional diffusion”analysis frame, constructed“proposing question- analyzing elementary theory- presenting situation research- providing policies”evolutionary analysis way, used the game theory, the dynamic theory, the system theory as research tools, thoroughly studied the inherent mechanism and the way of the northeast industrial bases promotion, proposed explicitly that the northeast old industrial base promotion mainly should be a institutional changes process. But in the actual institutional changes process, it is necessary to handle the relationship between the spontaneous evolution and the economic subject impel and relationship between internal evolved and exterior impact.This article established a evolutionary institutional analysis frame for northeast old industrial base promotion. In direction of the frame, starting from the basic concept of institution and institutional changes, the institutional changes are considered as a generalized process, containing the institutional innovation, the institutional diffusion and the institutional changes are considered as an evolutionary process which transforms among non-balance, balance and non-balance. In the evolutionary economics perspective, it is pointed out the system vicissitude should be the unification of microscopic level innovation and the macroscopic level diffusion.Then, the article carried on the analysis to the northeast old industrial bases institutional change on two aspects of the institutional innovation and the institutional diffusion separately.On one hand, the evolutionary game theory was adopted to analyze institutional innovation. Institutional innovation had such characteristics as endogenetic, way dependent and multiplicity. On the basis of these characteristics to affect institutional innovation, we discussed the factors that affect the northeast old industrial base institutional change process and discovered that there exists those factors such as economic subject, traditional system, unofficial system, opening degree which hinders it make forward from“the low efficiency system”to“the high efficiency system”.On the other hand, the article discussed the problem of institutional diffusion. Compared with institutional innovation, the institutional diffusion is more important to institutional change. It is analyzed the process how to realize institutional diffusion one step by step to, the factors which influence the institutional diffusion process, the requirements which the institutional diffusion must meet, the mechanisms and methods which institutional diffusion depend upon. The article carried on the confirmation using the concrete economic data and discovered the northeast areas’institutional diffusion was different from those of the Yangtze River triangle areas and the Zhujiang River triangle areas. The the difference lies in characteristics of new institution, information dissemination way and system proliferation environment. Finally, the counter-measure research is the realistic foothold which this article lies on. in view of the concrete analysis results of the northeast old industrial bases institutional innovation and institutional diffusion, it is pointed out explicitly that the northeast old industrial base promotion is the unification of compatible institutional change and the endogenetic institutional change. Then the article proposed separately from the economic subject diversification, the full use of the negative entropy flow, the optimization of unofficial institution and the environmental construction for institutional changes.更多还原