【作者】 马耀鹏；

【导师】 陈伟东；

【作者基本信息】 华中师范大学 ， 科学社会主义与国际共产主义运动， 2009， 博士

【摘要】 在世界性的体制转轨背景下,体悟社会主义经济制度的存在意义和发展走向,不在于纯粹学理论证和抽象构造图景,而是在历史与现实的经验考察中,运用多种分析工具从多视角对它的建构与运行的历史脉络做全面梳理和分析,才能对它的产生必然性、存在合理性、变革前景性等问题作出更令人信服的回答。本文以马克思制度理论为指导思想,以诺斯路径依赖理论为分析工具,研究“社会主义经济制度主要是所有制及相关宏观经济制度的路径依赖问题”这一主题,就是以路径依赖为切入点,以社会主义经济制度变迁的存在环境和社会条件为考察基础,在历史轨迹和现实条件中揭示它生成和演进过程中的路径依赖特征,从而体悟它的存在合理性和发展前景性。但社会主义经济制度是内涵丰富、外延宽泛的大范畴,因此把研究边界界定为所有制及相关的宏观经济制度,重点涉及与中国制度安排直接相关的理论与实践,同时,无论是马克思的理论基础还是诺斯的分析工具,所有制及相关制度的展开都离不开国家制度和意识形态制度的互动规定性,本文也遵循这一互动的基本框架,形成以“社会主义经济制度主要是所有制及相关的经济制度的路径依赖问题”为主题,以国家、意识形态对社会主义经济制度形成路径依赖的互动作用机理为主线的论述框架。诺斯把制度作为研究经济史的核心,在历史与现实的结合中揭示制度的路径依赖特征。他的路径依赖理论引起中国学者的极大兴趣,这种兴趣实质上折射出中国制度改革的理论与实践诉求,制度改革是理论界争论的热点,而改革理论需要突破,诺斯制度变迁理论影响力的凸显是探讨中国制度改革理论需要新的理论工具的反映;路径依赖理论的理论框架、研究方法、分析工具对处于转型时期的中国所面临的制度改革问题有很强的解释力,具有重要的实际应用价值。本文把路径依赖理论的分析方法拓展到科学社会主义研究,关键在于它的分析方法与社会主义经济制度变迁特征之间具有内在一致性;它直击经济制度变革的核心问题,即了解过去经济制度理论与实践的发展路径留下什么遗产,需要在这些遗产基础上把握好未来制度安排的路径走向;启示我们对社会主义经济制度安排的预设条件进行符合历史真实的阐述,将社会主义经济制度置于一定的制度环境和历史存在之中来分析它的理论渊源和时代特征,追寻它的路径依赖轨迹,只有理解历史存在制度对现实制度安排的影响,对经济制度变迁相关的其他制度条件给予充分关注,才能对现实的社会主义经济制度安排的合理性有令人信服的解释。把路径依赖理论引入科学社会主义研究,从方法论角度讲,需要首先解决好以下几个方面的问题,一是尽管路径依赖是人们时常运用的范畴,但系统分析路径依赖理论的方法以及对它的作用机制给出满意描述的则少见;二是从微观经济学的技术层面研究的多,而综合性的理论层面研究的少,把路径依赖理论拓展到科学社会主义研究则尚未见到;三是把马克思制度理论与诺斯制度理论对比研究的多,而如何把二者结合起来的研究则少。本文试图给上述三个问题以更合理的解答,论述马克思制度理论的指导意义,挖掘和整理路径依赖理论的方法论价值,在比较中力图把二者结合起来形成阐述论文主题的理论基础和分析工具,做到坚持马克思制度理论指导与运用路径依赖理论分析工具二者的统一,把握住史论结合、重点在论,宏观与微观结合、重在宏观,中外结合、重在中国,理论与实践结合、重在理论这四个研究方法,为研究论文主题确定研究视角和奠定方法论基础。制度具有路径依赖的特征决定历史制约着现实制度改革路径的选择,对社会主义经济制度的路径依赖研究,需要历史材料的印证,也需要首先对历史进行反思。本文首先梳理社会主义经济制度变迁中形成路径依赖的历史轨迹,阐述不同时期路径依赖正负效应的表现,总结前人设想和实践对中国社会主义经济制度安排所产生的正负路径依赖效应,论述国家制度和意识形态制度在形成经济制度路径依赖中发挥的作用,分析中苏两国都是在计划体制的潜力逐渐耗尽而陷入路径闭锁的基本相同的客观历史环境中却有不同改革路径选择的原因和最终选择,俄罗斯否定历史成就,实行政府强制的激进型制度变迁,走向资本主义市场经济体制,中国遵循路径依赖的规律,尊重历史成就,实行政府主导的双向流动型制度变迁,走向社会主义市场经济。通过考察可见,马恩在实践理念中使社会主义制度设想的理念形态与表现形态二者逻辑地统一起来,在社会主义经济制度变迁的路径依赖中产生初始制度的影响;从列宁开始的传统实践社会主义经济制度安排对马恩制度设想有深深依赖,但在实践具体中制度的理念态与表现态二者出现游离,中国改革开放后的新社会主义经济制度安排是用实践理念来分析实践具体中如何把社会主义制度的理念态与适合生产力发展水平的体现态统一起来,在实践维度中制度的理念态与表现态二者重新统一,认识这一否定之否定过程是我们理解新社会主义经济制度安排的历史基础。制度具有路径依赖的特征决定现实关切未来社会主义经济制度的声誉与前途。阐述中国进一步突破路径闭锁、形成良性路径依赖、建构新社会主义经济制度的理论基础和实践基础,就是要理性认识理论社会主义制度设想产生的正负效应,客观审视新制度安排的优势和问题所在。在此基础上,为中国进一步冲破路径闭锁和建构未来制度提出建设性的路径选择,从战略路径讲,要把握住以人为本的原则,解决经济制度安排的合理性问题;把握住结构性协调原则,解决经济制度安排的合法性问题;把握住适应性效率原则,解决经济制度安排的现实性问题,合理性要有合法性和现实性的支持才能体现出其价值,合法性和现实性要有合理性的价值理念才能真正获得其力量,合理性、合法性、现实性三者统一才能形成良性的路径依赖。从策略路径讲,仍然需要把握好经济发展与社会转型的主题与方向,坚持政府主导的双向流动型制度变迁。一是所有制及相关制度安排坚持效绩导向,深化对所有制的认识,有必要把所有制从根本制度中剥离出来,明确所有制从根本上讲是手段方法问题,私有制是最有效率的结论没有理论和实证的充分支持,公有制最有利于实现共同富裕这一社会主义制度的目标,我们需要从发展国民经济出发,着眼所有制结构的调整,对公有制的存在形式和实现形式做深入探索;二是国家作用坚持掌舵导向,论述国家在经济制度安排中形成良性路径依赖应该如何适度有效地发挥作用,提出“制度政府”概念及内涵,论述制度政府在所有制结构调整及相关制度安排中如何发挥适当的经济功能;三是意识形态作用坚持宽容导向,论述在经济制度安排中形成良性路径依赖如何从意识形态方面获得合理的、自然的支持,阐述意识形态制度创新从刚性到宽容的转变,着重分析意识形态在所有制结构调整及相关制度安排中的引导价值和资本价值。社会主义经济制度所追求的公平公正、共同富裕、人的发展等价值理念是它发展路径的主线,也是它在逆境中得以生存和更新的牢固根基和力量所在,但社会主义经济制度不存在先验规定的唯一发展模式,具有独特性的社会主义市场经济体制实现了转型与发展双重任务的有机结合,因而在独特性中又蕴涵着普遍性的价值,当它能够为其他国家提供借鉴经验时,这实质上是社会主义制度威望的提高,也是社会主义制度更生的契机。我们有理由为成功的制度转型所取得的经济社会绩效而自豪,有理由为中国特色社会主义制度的新生而高兴,但没有理由失去清醒的自我认识,使社会主义经济制度的理念态与体现态在实践维度中内在统一,做到所有制及相关制度与国家制度、意识形态之间的良性互动,形成社会主义经济制度的良性路径依赖,无论从理论还是实践,从现实还是未来都有许多需要深入探讨的问题。更多还原

【Abstract】 Against the backdrop of a worldwide system shift,comprehension of the very existence and orientation of socialist economic system and a more convincible answer to such questions as its inevitable origination,existence rationality and promising reformation,does not consist in a purely theoretical argumentation and abstract conceptualization,but in a thorough examination and analysis of the historical path of socialist construction and practice by a variety of analytical tools and from multiple perspectives.Guided by the Marxist theory of system and taking as an analytical tool Douglas North’s theory of path dependence,this dissertation dwells on the proposition that "the socialist economic system is mainly an issue of path dependence concerning the ownership system and related macroeconomic system".Based on an examination of the existing environment and social conditions of socialist economic system transformation,the paper demonstrates the path dependence features of socialist economic system in its historical development and under its current realities,and thus reveals it rational existence and promising reformation.Since the socialist economic system is broad in denotation and rich in connotation,the research is limited to cover merely the ownership system and related macroeconomic system.It mainly discusses the theory and practice directly relevant to the Chinese system arrangement.In the meanwhile,because the demonstration of ownership system and its related system is,as stipulated by both the Marxist theoretical foundations and North’s analytical tool,determined by the interdependence and interaction of state system and ideological system,an interactive framework of argumentation is formulated to give priority to the proposition that "the socialist economic system is mainly an issue of path dependence concerning the ownership system and its related macroeconomic system",and to center on the role of state and ideology in formulating the path dependence of a socialist economic system and the interactive mechanism involved.By placing the system studies in the center of economy history,Douglas North lays bare the path dependence features in a combination of history and reality.In the circle of China’s theoretical studies, the great interest in North’s theory of path dependence reflects in essence a demand on China’s system reform among the scholars.And the ever increasing influence in China of North’s theory of system shift reflects the need for a breakthrough in reform theory and a new theoretical tool to explore China’s system reform.The path dependence theory,including its theoretical framework,research method,and analytical tool,is very powerful in interpreting the issues facing China’s system reform during the period of system shift and enjoys significant practical values.The key to the extension in this dissertation of the analytical method of path dependence theory to the studies on scientific socialism lies in that this analytical method is inherently consistent with the socialist economic system reformation.Striking on the core of economic system reform,the method commands the arrangement of future path orientation for a system by inheriting what remains in the past economic system development in both theory and practice,inspires us to make a historically authentic expatiation on preconditions for the socialist economic system,to analyze its theoretical origination and epochal characteristics,and to pursue its path dependence trace by placing the socialist economic system in a certain system environment and historical existence,for only with a realization of the influence of historical existence on a current system can enough attention be paid to other system conditions for an economic system shift and a fully convincing interpretation given to the rationality of the currently practiced socialist system arrangement.Epistemologically,the introduction of path dependence theory into scientific socialism requires the solution of questions in the following aspects.First,there lacks in literature a satisfactory systematic analysis of the path dependence methodology and its working mechanism,though the path dependence is a commonly used category.Second,there are more studies on path dependence from the technical side of microeconomics than on a comprehensive theoretical level,and no previous literature is found to extend the path dependence theory into the studies on scientific socialism.The third question is that more attention is given to comparing Marxist system theory with North’s system theory than to combining the two.Aimed at offering more reasonable solutions to the above three questions,this paper exhibits the guiding role of Marxist system theory,excavates and tidies up the epistemological values of path dependence theory,and formulates the theoretical foundation of and analytical tool for the argument by combing the two.Adherence to the theoretical guiding role of Marxist system is made consistent with the adoption of path dependence analytical tool.To fix the research perspective and lay the epistemological foundation,the author employs four research methods,that is,a combination of argumentation and history,a combination of the macroscopic and the microscopic research,a combination of China and foreign countries,and a combination of theory and practice,with emphasis all on the latter.The path dependence features exhibited in a system determine the historical binding on the choice of reform path.Thus studies on the path dependence of socialist economic system first of all demand a review of historical materials and a reflection on history.By examining the historical trace of path dependence formed in the socialist economic system reformation,the paper demonstrates both the positive and negative effects of path dependence in different historical periods,sums up those effects produced by the forerunners’ propositions and practice concerning China’s socialist economic system arrangement,discusses the role of state system and ideological system in forming the economic system path dependence,and analyzes the causes for and the actual different choices made by China and former Soviet Union in a basically similar objective historical environment when both countries border on the exhaustion of planning system potentials and path locking.However,Russia, denying its historical achievements,finally implements the government-controlled radical system shift and adopts the capitalist market economic system,whereas China,following the law of path dependence and paying respects to historical achievements,implements the government-guided double-flow system shift and adopts the socialist market economic system.Studies here show that the proposition about socialist system made by Marx and Engels is a logical integration of system ideology and representation in the conception of practice.This proposition has exerted its influence of an initial system in the path dependence of socialist economic system reformation.The traditional practical socialist economic system arrangements initiated by Lenin is deeply rooted in the proposition by Marx and Engels,but in practice the system ideology and representation are separated. The new arrangements in China’s socialist economic system since the reform and opening to the outside world has ensured the combination of the ideology of socialist system with its representation in practice that conforms to the development of productivity at a certain period of time.In practical dimension the system ideology and representation is reunified and the negation of negation process lays a historical foundation for our comprehension of the new socialist economic arrangements.The path dependence that characterizes a system determines the current concern for the honor and prospect of a socialist economic system.To reveal how China can further break the path locking and form a favorable path dependence,to construct the theoretical and practical foundation of a new socialist economic system,we must rationally conceive both positive and negative effects of the theoretical socialism system conception and objectively examine the advantages and disadvantages of the new system arrangements.And on the basis of this,we must offer a constructive path selection for China to break the path locking and to construct a future system.Viewed from the strategic path,we must grasp the principle of human dimension to solve the problem of rationality as concerns the economic system arrangement,to master the principle of constructive coordination to solve the problem of legality as concerns the economic system arrangement,to master the principle of coordinative efficiency to solve the problem of reality as concerns the economic system arrangement. Among all these,the rationality requires the support of legality and reality to show its value,the legality and realty requires the value concept from the rationality to acquire its force,and finally all three must be united to form a favorable path dependence.Viewed from the policy path,we still need to grasp the theme and orientation of economic development and social change,and stick to the government-guided double-flow system shift.Firstly,the ownership system and related system arrangements must be performance-oriented.The understanding of ownership system must be deepened and it is necessary to separate the ownership system from the fundamental system,to nail it down to an issue of ways and means.Certainly this does not mean to support the conclusion that the private ownership is the most efficient.To realize the socialist goal of common wealth,the public ownership is still the best.We need to start with the development of national economy,focus on the adjustment of ownership structure,and further explore the existing forms and realization ways of public ownership.Secondly,by adhering to the state role of steering,we elaborate the proper role of state in forming the favorable path dependence of an economic system;and we propose the concept of "system government" to elaborate the appropriate role of a system government in ownership system adjustment and related system arrangement.Thirdly,by adhering to the tolerate orientation role of ideology,we demonstrate how the forming of favorable path dependence of the economic system arrangement can obtain a rational and natural support from the ideology and the shift of ideological system renovation from rigidity to tolerance,laying emphasis on the guiding value and capital value of ideology exhibited in the ownership system structure adjustment and related system arrangement.The main route of developing socialist economic system lies in pursuing such values as equity and justice,common wealth and human development.And it is just where the socialist economic system is solidly founded upon and its power comes from in adverse conditions.Moreover,there is no fixed transcendental developing mode for the development of socialist economic system.The unique socialist system of market economy reaches a combination of paradigm shift and development,so there lies in its uniqueness an universal value.When it becomes an experience borrowed by other states,the system shift in fact makes the socialist system more reverent and brings an opportunity for its own regeneration.We are proud of the economic and social achievements resulting from the successful system shift in China and gladdened at the regeneration of a socialist system with Chinese characteristics,but we must remind ourselves that there are still much to be desired in the process of reaching an integration of the system ideology and representation in the practical dimension,in the process of establishing a favorable interaction between ownership system and related system and state system and ideology,and in the process of forming a favorable excellent path dependence.更多还原