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熊彼特的企业家创新理论往往伴随一种二元叙事:一个是《经济发展理论》中强调个体企业家和企业家精神的“青年熊彼特”或“熊彼特-Ⅰ”,另一个是《资本主义、社会主义与民主》中强调大企业常规化、官僚化创新的“晚年熊彼特”或“熊彼特-Ⅱ”。文章旨在从思想史视角,考察“两个熊彼特”论断的产生及其引发的争议,并对熊彼特的代表性作品进行文本追踪。文本研究并未印证“两个熊彼特”所谓的立场断裂与思想逆转,反而表明熊彼特思想中始终存在“个体企业家中心论”与“个体企业家过时论”双重判断。这种矛盾表象一方面源于熊彼特对资本主义发展过程的阶段性划分,另一方面也与他坚持将经济领域与社会领域进行学科分离的研究取向相关。但将之置于资本主义文化有机体演变视域中观察,这种理论张力实则构成某种自洽与相容:当熊彼特预言个体企业家终将消失时,实际是对个体企业家历史价值的确认。
Abstract：Schumpeter' s theory of entrepreneurial innovation has long been accompanied by a binary narrative: one being the “young Schumpeter” or “Schumpeter-I” in The Theory of Economic Development, which emphasizes individual entrepreneurs and entrepreneurship, and the other being the “old Schumpeter” or “Schumpeter-II” in Capitalism, Socialism and Democracy, which highlights the routinized and bureaucratic innovation of large enterprises. This article aims to examine the emergence of the “Two Schumpeters” argument and its ensuing controversies from the perspective of intellectual history, and conduct textual analysis of Schumpeter' s representative works. The textual study does not corroborate the alleged rupture in stance or ideological reversal implied by the “Two Schumpeters” narrative. Instead, it reveals that Schumpeter' s thought consistently harbored dual judgments: the “ centric thesis of individual entrepreneur ” and the “ obsolescence thesis of individual entrepreneurs”. This apparent contradiction stems, on one hand, from Schumpeter' s phased analysis of capitalist development., and on the other, from his methodological insistence on separating economic and social domains as distinct fields of study. However, when observed through the evolutionary lens of the capitalist cultural organism, this theoretical tension actually constitutes a form of self-consistency and compatibility: Schumpeter' s prediction of the eventual disappearance of individual entrepreneurs ultimately serves as a confirmation of their historical significance.
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(1)1926年夏,熊彼特接连遭遇母亲、妻儿过世。据贝克尔等学者记载,这场悲剧使他陷入精神崩溃,此后通过疯狂工作疗愈创伤:一边完成《经济发展理论》修订,一边撰写“企业家”一文。
(2)《经济发展理论》首版(1911年)德文版中,第二章阐述企业家思想,第七章涉及社会学内容。熊彼特于1926年修订德文第二版,重写第二章和第六章,删除第七章,并新增副标题。目前,国际学界主要采用基于1926年版的1934年英译本,国内研究则依据该英译本转译的中文版本。
(3)熊彼特“企业家”一文虽发表于1928年,但书信证据显示其终稿早在1926年9月便提交出版。贝克尔等学者根据作者与出版方往来信件指出,该文的创作与《经济发展理论》修订同期完成,都诞生于熊彼特的人生低谷期。
(4)熊彼特表示,过高估计这一过程的持续时间,与忽视这一过程一样,都是巨大的错误。
(5)英国经济学家朱克斯(John Jewkes)反驳熊彼特观点,认为企业家作用仍处于初期阶段,技术革新指导面临更复杂的挑战,领导才能与直觉依然关键,且行业垄断不普遍,尚无证据表明企业家职能趋于自动化。
(6)这一删减并不意味着该部分内容不充分或者不必要。
(7)熊彼特将“文化”定义为涵盖多要素的综合框架(经济为其组成部分),强调在“文化发展”(Kulturentwicklung)的“整体理解”(Gesamtauffassung)中,经济具有特殊地位。
基本信息:
中图分类号:F273.1
引用信息:
[1]索寒蕾.“两个熊彼特”叙事：对企业家创新理论的文本考察[J].经济论坛,2025,No.665(12):47-62.
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