国家发生学：经济学视角的初步解读  

The Phylogenetics of A State: An Preliminary Interpretation from An Economics Perspective

作　　者：管毅平[1] 叶兵[1] 

机构地区：[1]上海交通大学安泰经济与管理学院,上海200052

出　　处：《学术月刊》2015年第2期56-66,共11页Academic Monthly

摘　　要：国家,这一高度复杂的人类组织形式,是怎样出现的?国家发生学,即国家起源的内生性问题,是社会科学界长久关注,复杂且重大的理论问题。研究者从政治学、历史学、社会学、人类学和经济学等不同学科角度,分别提出了契约说、水利灌溉说、人口压力说、战争说、比较优势说等多种假说。从国家起源的内生与外生的经济学视角,通过对上述主要假说进行初步的分类解读,可以看出,虽然已有假说中不乏洞见,但对演化进程的解释仍有不少重要缺环,尚未形成逻辑上自洽的国家起源内生理论。因此,有必要进一步研究国家如何内生的经济学思路:即以农业部落和游牧部落的冲突为基础,以部落间比较优势、部落内联合为机制,解释国家何以演化地出现。The phylogenetics of state, or an endogenous theory of the origin of state, is a theoretical question of great importance having long been concerned and debated among students of social sciences. The previous literature from political sciences, history, sociology, anthropology and economics has proposed several hypotheses about the question, the contract hypothesis, the irrigation hypothesis, the population pressure hypothesis, the war hypothesis and comparative advantage hypothesis, to name a few. From an economics perspective, this paper classifies those hypotheses and analyzes each category in detail. As insightful as they could be, the existing hypotheses fail to provide some important links that might be crucial to understand the early evolutionary process of state, arid therefore are yet to form a logically coherent theory that is convincing enough to explain the endogenous nature of the origin of state. The authors argue for a perspective of economics to advance the study： trigged by conflicts between farmers and nomads, the comparative advantages between tribes and internal cooperation within tribes might likely serve as a major mechanism resulting in the emergence of state.

关 键 词：国家发生学 合约 人口压力 比较优势 部落冲突 

分 类 号：F09[经济管理—政治经济学]