对李斯特思想及其现实意义的分析

分类号F091.342 单位代码： 1 0 1 8 3密级内部研究生学号：9725012硕士学位论文　题目：　保护政策与经济发展 —对李斯特思想及其现实意义的评析　 作者姓名： 郝 冰　 专 业： 世界经济　 导师姓名 赵 放　 及职称 ： 副教授　一九九九年十二月目 录　内容提要 (1)前言 (2)第一章对李斯特思想的简要评述 (4)第一节李斯特思想产生的时代背景 (4)第二节国家经济学 (5)第三节生产力与工业 (7)第四节保护幼稚工业 (8)第五节提高国民素质 (9)第二章保护主义与自由主义 (12)第一节历史沿革 (12)第二节保护政策的功过评述 (15)第三章李斯特思想的现实意义 (17)第一节全面增强本国工业实力 (17)第二节科学技术对经济发展的决定性影响 (18)第三节根据国情选择发展道路 (20)第四章我国应注意的问题 (22)第一节必须实行适当的保护政策 (22)第二节保护某些主导产业 (24)第三节提高保护政策的有效性和合法性 (26)注释 (29)参考文献 (31)论文摘要（中文）论文摘要（英文）论文摘要弗里德里希・李斯特是１９世纪上半期德国著名的资产阶级经济学家。

他原本是亚当・斯密自由贸易理论的追随者，但在１８２５年侨居美国后，他亲眼目睹了美国实行高关税保护政策取得的成就，深刻地认识到，德国这类落后国家所处的条件与先进国家根本不同，不能应用同一套经济理论。

他从德国民族利益出发，提出了运用于落后国家发展经济的理论和政策建议。

他认为，自由贸易和关税保护是由一定时期社会历史条件决定的贸易政策形式，并无严格的优劣之分。

落后国家要确保本国的独立和发展，就必须保护本国工业资本免遭外来排挤，加速其工业化进程，这样国家才能全面发展。

　本文首先对李斯特的保护主义经济思想进行了回顾，然后结合历史上自由主义与保护主义交替作用的事实，分析了保护政策的必要性。

本文通过挖掘李斯特思想的现实意义指出，后发展国家为了推进本国经济发展，必须采取适当的保护政策，全面增强本国工业实力，同时重视科学技术和教育，并不断根据国情调整政策，以促进经济持续发展。

　本文以李斯特保护幼稚工业的思想为理论基础，通过对史实的分析，归纳出保护政策是经济发展的必要条件。

尤其对于后发展国家，李斯特思想是寻求经济发展的重要理论依据，后发展国家必须认清国际形势，根据本国国情采用符合落后国家利益的发展理论。

　本文选择“保护政策与经济发展”作为论题，主要出于对国家利益的关注。

近年来，结合国际局势，大家更多地讨论自由化、全球化的问题，对保护本国根本利益的问题重视不够。

本文重温李斯特思想，意在提倡后发展国家应该保持独立思考态度，选择适合本国国情的经济发展理论与政策。

　全文共分四章。

　第一章简要评述李斯特思想，为全文的分析提供理论准备。

本章共分五节。

　第一节介绍李斯特思想产生的时代背景。

李斯特的祖国－德国在当时是一个落后的国家。

李斯特逐渐认识到，德国这类落后国家与先进国家不能采用同样的经济理论。

他从德国民族利益出发，提出了运用于落后国家发展经济的理论和政策建议。

　第二节简述李斯特关于国家任务和作用的思想。

李斯特比他同时代的经济学家更多地注意到国家的重要作用。

他认为，国家应该担负起推动经济发展的重要职责，国家应该采取措施来捍卫和保护本国经济安全。

　第三节评析李斯特的生产力与工业理论。

他所谓的“生产力”指生产某种东西的技能和体力。

李斯特深刻认识到生产力的重要性，他提倡国家为了获得生产力可以牺牲眼前利益。

他还指出，工业是生产力的化身，工业对国家经济发展起着巨大的推动作用。

　第四节论述李斯特的保护幼稚工业思想。

李斯特建议农业国不应该安于传统的分工，应该设法建设现代工业，保护幼稚工业是后发展国家在经济发展过程中必须实行的政策。

　第五节分析李斯特关于国民素质影响保护政策的效果的思想。

认真回顾李斯特的这个重要思想，我们可以找出二战后一些国家实行保护政策效果不好的原因。

　总之，只要民族国家存在，各国间就存在利益冲突，落后国家为了使本国经济持续发展，有必要实行适当的保护政策。

　第二章回顾保护主义与自由主义交替存在的史实，对保护主义政策的功与过进行了评述。

无论从国别经济分析还是从世界经济史分析，采取保护主义政策或采取自由主义政策都是由一个国家所处的不同社会历史阶段及不同国情决定的。

英国、美国和日本都是在实行过一段时期保护政策后，才逐步转向贸易自由的。

保护主义与自由主义在整个世界一直是交替作用，互有胜负。

保护政策的功在于使落后国家走上工业化的发展道路；过在于资源配置倾斜，损失一定效率。

如果政府能处理好与企业的关系，保护政策的效率损失会大为减少。

　第三章在第二章分析史实的基础上，归纳出李斯特思想的现实意义。

本章共分三节。

　第一节提出，凡是重点发展工业特别是机电工业的后发展国家，经济增长速度都较快。

后发展国家应该全面增强本国工业实力。

　第二节列举美国近年来的数据说明，李斯特关于科技进步重要性的观点目前更具有现实意义。

后发展国家在国际市场上竞争力强或较强的几乎全部为劳动密集型和资源密集型产品，在技术密集型产品上没有竞争力。

科技进步是后发展国家刻不容缓的任务。

　第三节论述处于不同社会历史阶段和不同国情的国家应该选择不同的发展道路。

经济处于落后状态的国家不应该立刻实行完全的自由贸易，而是应该在实行一段时期的保护政策以后，再让本国已有一定竞争力的产品与外国产品自由竞争。

　第四章针对我国目前的具体情况，提出我国应该注意的问题。

本章共分三节。

　第一节着重论述我国实行保护政策的必要性。

我国是一个后发展国家，同时又是一个发展中的大国，这决定了保护幼稚产业是促使我国工业走向成熟的重要手段。

我国应该注意不断调整保护程度，真正实现适度的保护。

　第二节指出我国应该选择某些主导产业进行适度的扶持。

通过我国主导产业的发展来带动整个经济的腾飞。

　第三节针对我国保护措施的现状，提出了下一个迫切解决的问题是提高我国保护措施的有效性和合法性，使之符合世界贸易组织的规定。

　总之，当今后发展国家应该针对本国国情采取不同于发达国家的经济发展政策，对某些工业部门采取保护政策是后发展国家经济发展的必由之路。

　AbstractFriedrich List was a famous economist of bourgeoisie in German in the early nineteenth century. Originally he was the follower of Adam Smith’s free trade theory. But after his migration to America in 1825, he witnessed American achievement obtained by protective policy of high tariff and realized that countries like German were under the conditions different from those of developed countries and could not employ the similar theory. On the base of German national interests, he proposed a series of economic theories and policy suggestions to promote development in backward countries. He h eld that the choice between free trade and tax protection is determined by social and historical conditions in a certain period. To ensure the independence of backward countries, it is necessary to protect native industrial capital from being rushed out by external capital and accelerate the industrialization process, then the country will achieve full development.This paper first reviews List’s protectionism. Then combining the fact that Liberalism and protectionism played roles alternately in history. This paper analyzes the necessity of protective policy. By exploiting practical significance of List’s thoughts, it is showed that in order to promote the native economic strength, they must adopt proper protective measures to enhance native economic strength. At the same time, stressing science, technology and education, adjusting policy according to native circumstances, maintaining sustained development of economy are all significant.This paper takes List’s thoughts of protecting infant industries as theoretical base, and by historical facts analyzed induces that protective policy is necessary in economic development, especially for developing countries. These countries must get a clear understanding of international situations, know the real native circumstance, and take the developmenttheory tallying with the interests of developing countries.The author chooses “protective policy and economic development”as the theme in order to attach importance to national countries’interests. In recent years, under international circumstance, liberalization and globalization are discussed more, but the problem of protecting native interests is not placed enough importantly. This paper reviews List’s thoughts in order to advocate that post-developing countries should independently choose the theory and policy suitable to their developing economy.This paper consists of four chapters.Chapter 1 reviews List’s thoughts to prepare the theoretical base for this paper’s analysis. This chapter is composed of five sections.Section 1 briefly introduces the background of List’s thoughts. German, List’s motherland, was a backward country at that time. List gradually recognized that the backward countries like German should not adopt the same economic theory as that of advanced countries. From the national interests of German, he proposed the theory and policy of developing economy in backward countries.Section 2 introduces List’s thoughts about the duty and function of countries. List paid more attention to the important role of countries than his peers did. He held that countries should bear the important duty of propelling economy development, and should take measures to protect native economy.Section 3 presents List’s theory about productive forces. List realized the importance of productive forces, defined it as the skills and the abilities in producing something. The nation will sacrifice some immediate interests to acquire productive forces.Section 4 stresses that industries are the embodiment of productive forces and will promote the development of national economy. Agriculturalnations should not be satisfied with the traditional division, but try to institute modern industries. So they should execute policies to protect industry in certain historical period.Section 5 analyzes the influence of national quality on protective policy. By reviewing this thought, we can find the reasons that some countries failed to accomplish protective policy after war II.In a word, as long as there exist national countries, there will be interest conflicts among every county. It is necessary for backward countries to employ protective policy.Chapter 2 reviews the fact that protectionism and liberalization alternated in history, and discussed the advantage and disadvantage of protectionism. Analyzed from national economy and international economy history, the choice between liberalization and protectionism is determined by the national conditions and a certain historical period. England, America and Japan transform to liberalization after a period of protectionism. Protectionism and liberalization play roles alternate, and each has its advantage and disadvantage. The advantage of protective policies is that they make a country begin the process of industrialization, on the other hand, the disadvantage of protective policies is the loss of efficiency. If the government can deal with the relations among enterprises, the loss of protective policy will be reduced greatly.Chapter 3 concludes the practical significance of List’s thoughts on the base of chapter 2. The chapter consists of 3 sections. Section 1 expounds that developing countries which develop manufacturing industry, especially electronic machine industry, will obtain hither rate of economic increase. Developing countries should fully increase the ability of native industries.Citing American data in recent year, Section 2 shows, at present, the stress on the improvement of science-technology has more practical significance. In developing countries like China, the products withcompetitive ability need all products with intensive source and products with intensive labor. Improvement of science-technology is an urgent task in developing countries.Section 3 discusses that different models should be chosen by the countries at different stages and under different national conditions. The backward countries should not carry out perfect free trade immediately, but take protective policy for some time then let the products with some competitive ability to compete freely with foreign products.Chapter 4 proposes the problems that should be heeded in China, aiming at the concrete circumstance in present China. This chapter consists of three sections. Section 1 stresses the importance of carrying out protective policies in China. China is not only a developing country but also a big country. Our national conditions determine that protecting infant industries is an indispensable stage in the process of stepping forward to free trade. At the same time, out country should moderate the extent of protective measures, and consistently adjust the extent of protections, making protection efficiently.Section 2 point out that our country should choose some leading industries to support properly, and power the whole economy by the development of these leading industries.Aiming at the present situation of protective measures in China, Section 3 proposes that increasing the efficacy and legality of protective measures in China, and making these measures conform to the regulations of WTO are the next problem to be solved imminently.In a word, directing at the international situation and national conditions, the developing countries should employ development policies different from that of developed countries. So adopting protective policies is an inevitable means of helping developing countries develop their economy.内容提要　本文首先对１９世纪德国经济学家弗里德里希・李斯特的经济思想进行了回顾。