《國家為什麼會失敗》：根深蒂固，反思權力、富裕與貧困根源

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2024年4月27日
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已更新：2024年6月16日

《國家為什麼會失敗》由麻省理工學院經濟學教授戴倫・艾塞默魯，及哈佛大學政府系教授詹姆斯・羅賓森共同出版，本書分成十五個章節，引述古今中外世界各地的事例，論證出採納廣納式制度或榨取式制度的不同國家，分別引致良性循環或惡性循環，發展出富裕或貧社會的結果。

"Why Do Nations Fail" is co-authored by Darren Acemoglu, an economics professor at MIT, and James A. Robinson, a professor of the Department of government at Harvard. It is divided into 15 chapters, citing global examples, from past to present. They argued that countries adopting inclusive institutions or extractive institutions, lead to virtuous or vicious circles, which further result in prosperity or poverty.

（一）地理假說

法國哲學家孟德斯鳩分析，富裕及貧窮地區在地理分布上較集中，認為熱帶地區居民較懶惰，缺乏創新精神，導致生活較貧困。他認為懶惰的人傾向被專制君主統治，反映地理因素推動獨裁政治導致經濟失敗。熱帶病令許多非洲人飽受病痛煎熬，但作者稱缺乏公共衛生措施才是關鍵。

位於美國亞利桑那州的諾加雷斯，住戶平均月入三萬美元，享有良好的公共設施及治安環境。一牆之隔，則是位於墨西哥索諾拉州的諾加萊斯，公共設施破舊，治安堪虞。兩者不存環境差異，作者認為差異基於美國與墨西哥，分別由英國廣納式制度及西班牙榨取式制度管治而衍生。

（1） The Geography Hypothesis

French philosopher Montesquieu noted the geographic concentration of prosperity and poverty. He argued that people in tropical climates tended to be lazy and to lack inquisitiveness, leading to poverty. He also speculated that lazy people tended to be ruled by despots, which is associated with economic failure. Tropical diseases obviously cause suffering in Africa. Yet, the authors believed that the ineffective health service was the key.

In Nogales, Arizona, the average monthly income is $30,000. The American residents enjoy sufficient public facilities and a safe environment. Just across the wall is Nogales, Sonora, which is located in Mexico, both public facilities and security is a concern. The author attributes the difference to the governance systems of the United States and Mexico, which are based on the British inclusive institutions and Spanish extractive institutions respectively.

（二）文化假說

十字軍東征以「黃金、上帝與權力」為目標，為歐洲帶來文藝復興。德國社會學家韋伯認為，宗教改革及新教倫理在工業革命作用關鍵，促使英國經濟較早發展；卻無法解釋後來美蘇為何取代英法地位。昔日有人斥儒家文化不利經濟發展，現時卻稱其孕育的工作倫理是東亞成長引擎。

（2） The Culture Hypothesis

The Renaissance came after the fighting for “Gold, God, and Glory” in the Crusades. Max Weber argued that the Protestant Reformation facilitated the rise of modern Europe. Yet, it failed to explain how the Soviet Union and the US became great powers. Many once believed that the Confucian values were inimical to economic growth, while the work ethic is regarded as the engine of growth in East Asia.

（三）無知假說

有部分學者認為，世界存在不平等，因由於統治者不知道如何讓窮國變得富有。英國經濟學家萊昂內爾・羅賓斯提出，經濟學是一門研究人類行為的科學，一門研究具有不同用途的稀少性資源與人類目的之間關係的科學。當「市場失靈」未能解決，一個國家就可能陷入越趨貧窮狀態。

位於西非的加納，總理科菲・布西亞與首任總理夸梅・恩克魯瑪犯上同樣錯誤，深明經濟政策無法持續擴張，卻為爭取都市選民支持及維持政府開支，先後控制多種產品價格及過份高估匯率。國家陷入財赤後，他遂向國際貨幣基金組織及世界銀行借貸，其後被軍人在政變推翻政權。

（3） The Ignorance Hypothesis

A theory asserts that world inequality exists since the rulers do not know how to make poor countries rich. This idea was held by most economists, such as the English Lionel Robbins. He proposed that “Economics is a science which studies human behavior as a relationship between ends and scarce means which have alternative uses.” Market failure provides the basis for a theory of world inequality.

The Western African country Ghana, both Prime Minister Kwame Nkrumah and Kofi Busia made the same mistake. They knew the economic policies could not lead to sustainability. However, with an effort to secure their support and maintain the budget, they controlled various product prices and overestimated the exchange rate. Busia turned to the IMF and World Bank for loans under the condition of financial deficit, which later resulted in a coup.

（四）寡頭鐵律

國家發展需要科技持續進步，接納「創造性破壞」的影響。榨取式制度能帶來經濟發展，惟終會停頓。在一九二八年至一九六零年期間，前蘇聯國民收入每年錄得百分之六增長，七十年代卻幾乎完全停頓，作者認為中央計畫經濟並不能製造持續誘因，因此前蘇聯解體是可預見的結果。

在九十年代脫離前蘇聯的烏茲別克，棉花佔出口貨品四成五，一直是當地重要的農作物。烏茲別克國營農場在獨立後重新分配，但總統伊斯蘭・卡里莫夫仍控制土地種植棉花比例及售價。面對市場缺乏生產誘因，學童不幸成為國家取代收割機器方案，持續兩個月傾巢而出強制勞動。

（4）Iron Law of Oligarchy

Sustainable development requires technology innovation and the acceptance of impact of “creative destruction”. Extractive institutions can also lead to economic growth, but it will collapse eventually. Under the Stalin regime, national income grew at 6% annually between 1928 and 1960. But in the 1970s, economic growth had all but stopped. The centrally planned economy cannot stimulate incentives, and thus, the collapse of the Soviet Union was foreseeable.

Uzbekistan became independent from the Soviet Union in the 1990s. Cotton accounts for about 45% of its exports, making it the most important crop. State-owned farms were redistributed after independence. But President Islam Karimov still controlled the proportion and price of cotton cultivation. Lacking incentives, schoolchildren became a substitute for machinery, being forced labor for 2 months.

國家為什麼會失敗？反思權力、富裕與貧困的根源，戴倫・艾塞默魯及詹姆斯・羅賓森兩位教授重申，廣納式政治制度傾向多元，且能達到某程度的中央集權，並以此建立法治社會，為私有財產權及廣納式市場經濟奠定基礎。同樣地，榨取式經濟制度與榨取式政治制度亦是互相影響。

Why do nations fail? Inclusive political institutions distribute political power widely in a pluralistic manner, and are able to achieve some amount of political centralization, so as to establish law and order, the foundations of secure property rights, and an inclusive market economy. Similarly, extractive economic institutions are synergistically linked to extractive political institutions.

名稱：國家為什麼會失敗：權力、富裕與貧困的根源 (Why Nations Fail: The Origins of Power, Prosperity, and Poverty)

作者：Daron Acemoglu、James A. Robinson

年份：2012

出版地：美國

出版社：Crown Business

類別：比較政治、經濟學

評分：8/10

Title: Why Nations Fail: The Origins of Power, Prosperity, and Poverty

Author: Daron Acemoglu, James A. Robinson

Year: 2012

Region: USA

Publisher: Crown Business