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国家纪律的来源:1948—1973年以色列国家发展的经验教训

来源于 《比较》 2022年第2期 出版日期 2022年04月01日
文丨埃雷斯·马戈尔

6 结论

  在经济发展的文献中,国家占有突出地位。国家约束强大的社会行为人的制度能力已被证明是成功发展的关键组成部分。然而,对这种能力来源的研究并不充分,而且几乎完全基于东亚的经验。本文提出了一种新的机制,通过这种机制,市场和非市场行为人的多重嵌入可以用于产生纪律能力。我进一步指出,国家嵌入某个集体企业部门非常重要,因为这能为国家管理者提供另一个投资渠道,从而降低国家对私人部门的结构性依赖。我通过分析以色列的发展经验,阐释了这种制度安排。

  这一机制在今天有什么意义,在当前的发展战略下是否也能发挥类似的作用?21世纪初,全球化的深化和经济自由主义的广泛传播导致众多学者怀疑我们是否已经见证“发展型国家的终结”(O’hearn,2000;Williams,2014)。虽然一些研究对这个问题给予了肯定回答,但其他研究表明,这些进程并没有使发展型政策变得无足轻重。很多国家并没有摒弃它们的发展制度,而是采取新的模式和策略应对瞬息万变的全球环境,同时主要聚焦科学技术和创新政策领域(Breznitz,2007;Mazzucato,2015;O’Riain,2004;Wong,2011)。

  尽管追赶式发展型国家与当今的快速创新型发展政策之间存在各种差异,但公共补贴的提供仍然是重要的,国家纪律在确保其补贴的有效性方面继续发挥着关键作用。譬如在美国,高等研究计划署(ARPA)、国家标准与技术研究院(NIST)和小企业创新研究计划(SBIR)等发展机构都有能力实施严格的绩效标准,并从表现不佳的公司撤回或扣留资金(Schrank and Whitford,2009,第526页;Weiss,2014,第104页)。后发经济体也是如此。例如,中国台湾的科学和技术咨询小组(STAG)为所有公共资助的研究中心设定绩效基准;而新加坡经济发展局(EDB)提供公共补贴的条件是将业务带回新加坡(Wong,2011,第64—65页,第72—73页)。在中国,政府与企业在提供补贴方面的谈判不再注重供给、价格、投资项目的预算,而是关注预定的销售预测、财务业绩和偿还贷款的能力(Walder,1995,第287页)。

  集体所有制企业和私人企业形成独特的组合,在国家诱致型(state-induced)竞争模式下运作,这能否解释国家纪律的上述案例?要更自信地回答这个问题,还需更多的实证研究。不过,已有证据表明答案是肯定的。例如,施兰克和惠特福德(Schrank and Whitford,2009,第534页)研究了美国的产业政策制定,他们发现,按合同约定生产创新技术的国家实验室在一个生态系统内运作,该生态系统包括私人和公共承包商,国家的发展机构与之密切关联(比如加州大学、洛克希德·马丁公司、巴特尔研究所等)。虽然施兰克和惠特福德(2009,第535页)的分析并不关注国家纪律,但他们承认,这种对公共资源、合同和声望的结构性竞争,极大地促进了美国“创新生态系统”的“稳健性和多样性”。在中国和越南等后发经济体中,通过国有企业在关键经济部门的持续运营,类似的动态也能发挥作用。譬如越南,2001年的国家十年发展规划要求国有企业继续“掌控经济的关键部门”,并充当“发展高科技产业的主导角色”(Painter,2003,第24页)。在中国,尽管快速走向市场经济,但中央政府仍然视国有企业为“国民经济的主导力量”(Breznitz and Murphree,2011,第48—49页)。虽然中国的增长模式以出口为导向,但其国内经济的竞争环境和以色列的产能过剩模式颇为相似;在以色列,国有企业在国家与企业谈判的情境下相互竞争,争夺国家投资贷款(Walder,1995,第287页)。

  在许多方面,较之采用追赶型发展战略的主要政府机构,在快速创新型发展模式下运作的政府机构似乎更适合借助本文概述的机制形成纪律。一方面,各种研究指出,当今快速创新型发展模式的一个核心特点是高度分散化,通过一个嵌入了多个国内或国际网络的松散机构网络对发展过程进行管理(Breznitz,2007,第17页;Wong,2011,第41页)。这种架构有诸多优点。首先,它大大提高了政策制定者对特定行为人和特定部门的影响力,同时减少了他们对特殊利益集团的依赖。其次,这种分散化或者能促进更大程度的嵌入,因为负责监督投资的政府官员往往深深扎根于他们资助的特定技术领域(Block,2008,第173页;Breznitz,2007,第17页)。

  此外,尽管追赶的发展型国家倾向于培植少数国家“冠军企业”,但今天的快速创新型发展战略也注重创造更具竞争的环境,让公共和私人中小企业都可以大显身手(Block,2008,第173页;Wong,2011,第40—41页)。利用参与这种竞争环境的私人和公共行为人的多种联盟和联系,大大有助于增强不同发展机构的纪律能力。琳达·韦斯(Linda Weiss,2014,第125—128页)对美国国家纳米技术计划(NNI)的讨论就是一个绝佳例证。国家纳米技术计划由联邦政府设计并发起,在包括杜邦和雷神在内的私人企业、麻省理工学院等学术机构以及美国陆军和国防部的科技单位等政府部门之间建立了多种合作关系,并对资源展开竞争。

  总之,这些例子初步表明,本文的机制具有长期的启发意义。然而,关于快速创新型发展战略的当代文献尚未系统地描述国家的纪律能力。我希望,本文能够激发大家研究这个问题,并评估本文提出的机制与最近的国家主导型发展案例之间的普遍相关性。(颜超凡译)

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