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创造性破坏的力量 4.结论
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起飞的奇迹与多种因素有关,它们的结合造就了自19世纪以来前所未有的财富积累。不过,技术因素与制度因素的桥接能够最好地解释:为什么起飞发生在19世纪初,而非更早时期;为什么发生在欧洲——从英格兰起步,再到法国——而非世界的其他地方。印刷与邮政服务等技术进步极大地促进了知识的生产和传播,同时新兴制度给创新者带来了保障,鼓励了对创新的投资。
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总之,工业革命可以作为创造性破坏范式的三个基本原则的绝好展示:累积式创新成为增长的驱动力;制度的关键作用,尤其是保护创新租金乃至普遍促进创新的财产权利;必须存在竞争,以克服在位企业和政府为防止新进入者挑战自己的租金或权力而设置壁垒阻碍创造性破坏的过程。这一范式将贯穿全书,指引后续分析,但同时我们也将在之后的章节里不断用实证数据对其反复检验。
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[1]以下分析以安格斯·麦迪森的两项主要研究成果为基础: A. Maddison,TheWorld Economy
:A Millennial Perspective, Development Centre Studies(Paris
:OECD, 2001); and A. Maddison,The World Economy
:Historical Statistics,Development Centre Studies(Paris: OECD, 2003)。2010年,格罗宁根大学的增长与发展研究中心发起“麦迪森历史统计项目”(Maddison Historical Statistics Project),以延续麦迪森的研究,并继续对不同地区和时期的经济发展指标做严格测算。
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[2]Paul Bairoch and Gary Goertz,“Factors of Urbanisation in the Nineteenth Century Developed Countries,”UrbanStudies23, no. 4(1986)
:285 -305.
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[3]这些数字根据不同来源略有出入。Bairoch和Goertz(1986)的估计是,1800年的工业化率为10.9%,联合国的估计则为7.6%。另外,由于三十年战争的影响,城市化率在17世纪略有下降。
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[4]J. V. Grauman,“Orders of Magnitude of the World’s Urban Population in History,”Population Bulletin of the United Nations8(1976):16 -33.
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[5]William Petty,“Political Arithmetick”(1676; pub. London, 1690), inTheEconomicWritingsofSirWilliamPetty, 2 vols. , ed. Charles H. Hull(Cambridge: The University Press, 1899), vol. 1,233 -313; Gregory King,“Natural and Political Observations and Conclusions upon the State and Condition of England”(1696), inTwoTractsbyGregoryKing, ed. George E. Barnett(Baltimore: Johns Hopkins Press, 1936).
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[6]读者可以参考魁奈的《经济表》: François Quesnay,Œuvres économiques complètesetautrestextes, ed. C. Théré, L. Charles, and J. C. Perrot, 2 vols. (Paris: Institut national d’études démographiques, 2005).对国民账户历史由来的深入介绍,可参阅Alfred Sauvy,“Historique de la comptabilité nationale,”Economieetstatistique14, no. 1(1970):19 -32.
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[7]Simon Kuznets,“National Income, 1929 -1932”(Bulletin 49, National Bureau of Economic Research, New York, 1934).
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[8]Wassily Leontief,The Structure of the American Economy, 1919—1939:An EmpiricalApplicationofEquilibriumAnalysis, 2nd enl. ed. (Oxford: Oxford University Press, 1951).
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[9]J. Meade and R. Stone,NationalIncomeandExpenditure, 4th ed. (London: Bowes and Bowes, 1957).
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[10]François Perroux,“Prise de vues sur la croissance de l’économie française, 1780 -1950,”ReviewofIncomeandWealth5, no. 1(1955):41 -78.
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[11]J. J. Carré, P. Dubois, and E. Malinvaud,LaCroissancefrançaise
:unessaid’analyse économique causale de l’après-guerre(Paris: Seuil, 1972).
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[12]Jean-Claude Toutain,“Le produit intérieur brut de la France de 1789 à 1982,”ÉconomiesetSocieté, Cahiers de l’ISMEA, Série Histoire quantitative de l’économie française, 1987,15.
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[13]M. Lévy-Leboyer and F. Bourguignon,L’économiefrançaiseauXIX
:siècle: Analyse macro-économique(Paris: Economica, 1985).
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[14]历史计量学是用计量经济学方法研究经济史问题的学科。
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[15]Roger Fouquet and Stephen Broadberry,“Seven Centuries of European Economic Growth and Decline,”JournalofEconomicPerspectives29, no. 4(2015)
:227 -244.
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[16]J. M. Keynes,“Economic Possibilities for Our Grandchildren,” inEssaysinPersuasion(New York: Norton, 1930; London: Palgrave Macmillan, 2010).
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[18]关于知识产权的议题,主要可参考Douglass C. North and Barry R. Weingast,“Constitutions and Commitment: The Evolution of Institutions Governing Public Choice in Seventeenth-Century England,”JournalofEconomicHistory49, no. 4(1989)
:803 -832.
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[19]Fouquet and Broadberry,“Seven Centuries of European Economic Growth and Decline.”
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[20]T. R. Malthus,AnEssayonthePrincipleofPopulation(London: J. Johnson,1798; Harmondsworth: Penguin, 1970).
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[21]See, for example, K. M. Murphy, A. Shleifer, and R. W. Vishny,“Industrialization and the Big Push,”JournalofPoliticalEconomy97, no. 5(1989)
:1003 -1026.
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[22]Michael Kremer,“Population Growth and Technological Change: One Million B. C. to 1990,”QuarterlyJournalofEconomics108, no. 3(1993)
:681 -716. Oded Galor and David N. Weil,“Population, Technology, and Growth
:From Malthusian Stagnation to the Demographic Transition and Beyond,”AmericanEconomicReview90, no. 4(2000)
:806 -828.
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