所谓的“发展年代”：20世纪中叶非洲现代化尝试再审视The So-called “Development Era”: A Re-examination of Africa's Modernization Attempts in the Mid-20th Century
许亮,刘少楠
摘要(Abstract)：
当下有关非洲发展的讨论忽视了非洲在20世纪40年代至70年代经历的所谓“发展年代”。该时期非洲经历了工业化起步与显著的经济增长,多项发展指标一度比肩甚至优于同期亚洲国家。这一进程分为殖民晚期与独立初期两个阶段:前者是宗主国基于“农业偏好”、以帝国控制和维稳为目的的发展治理;后者是非洲国家以“工业偏好”实现经济去殖民的主权实验。重新审视这一“发展年代”,有三重启示值得注意:其一,非洲需重塑工农良性互动,避免对农业的过度剥夺;其二,进口替代工业化有其阶段性和市场边界限制,但非洲区域一体化为此提供了新契机;其三,国际合作是现代化的关键维度。自非洲独立初期起,华人企业便通过资本注入、创造就业、技术转让与生产性嵌入,深度参与了非洲工业化探索。
关键词(KeyWords)： 现代化;非洲;发展型殖民主义;进口替代工业化;华人企业
基金项目(Foundation): 国家社会科学基金重大项目“历史视野下的全球移民与文明互鉴研究”（24&ZD300）
作者(Author): 许亮,刘少楠
DOI: 10.13613/j.cnki.qhdz.003616
参考文献(References)：
- (1)罗荣渠:《现代化新论——世界与中国的现代化进程(增订版)》,北京:商务印书馆,2004年,第17页。
- (2)罗荣渠:《现代化新论——世界与中国的现代化进程(增订版)》,第11页。
- (3)参见雷迅马:《作为意识形态的现代化:社会科学与美国对第三世界政策》,牛可译,北京:中央编译出版社,2003年,译者序;谢立中、孙立平主编:《二十世纪西方现代化理论文选》,上海:上海三联书店,2002年;李安山主编:《世界现代化历程:非洲卷》,南京:江苏人民出版社,2012年,第2—4页。
- (4)参见李安山主编:《世界现代化历程:非洲卷》,第2—4页。李安山还指出,值得反思的是,中国学界同仁本世纪初在设计“世界现代化历程”丛书时一度未将撒哈拉以南非洲纳入编写项目,其“非洲卷”直至2012年才补充出版。
- (5)19世纪通过向西方学习实施早期现代化的典型非洲国家包括埃及、埃塞俄比亚、马达加斯加等,参见李安山主编:《世界现代化历程:非洲卷》,第18—26页。
- (6)Frederick Cooper,Africa since 1940:The Past of the Present,Cambridge:Cambridge University Press,2002,p.85.
- (7)James Scott,Seeing Like a State:How Certain Schemes to Improve the Human Condition Have Failed,New Haven:Yale University Press,1998.
- (8)“The Hopeless Continent”,The Economist,May 13,2000.
- (9)“Africa Rising”,The Economist,December 3,2011.
- (10)“The New Scramble for Africa”,The Economist,March 7,2019.
- (11)参见许亮:《非洲与全球化》,唐士其总主编,王正毅主编:《反思全球化:理论、历史与趋势》,北京:社会科学文献出版社,2023年,第309—310页。
- (12)World Bank,World Development Report 2009:Reshaping Geography,Washington,D.C.:World Bank,2009,https://openknowledge.worldbank.org/handle/10986/5991.
- (13)Adrian Wood,Kersti Berge,“Exporting Manufactures:Human Resources,Natural Resources and Trade Policy”,Journal of Development Studies,Vol.34,No.1,1997,pp.35-59;Adrian Wood and Jorg Mayer,“Africa's Export Structure in a Comparative Perspective”,Cambridge Journal of Economics,Vol.25,No.3,2001,pp.369-394.
- (14)Jeffrey Sachs,Andrew Warner,“The Big Rush,Natural Resource Booms And Growth”,Journal of Development Economics,Vol.59,No.1,1999,pp.43-76;Daron Acemoglu,Simon Johnson and James A.Robinson,“The Colonial Origins of Comparative Development:An Empirical Investigation”,American Economic Review,Vol.91,No.5,2001,pp.1369-1401;Jeffrey Herbst,States and Power in Africa:Comparative Lessons in Authority and Control,Princeton,NJ:Princeton University Press,2000;Paul Collier,The Bottom Billion,Oxford:Oxford University Press,2007,pp.17-35.
- (15)S.Ibi Ajayi and Leonce Ndikumana eds.,Capital Flight from Africa:Causes,Effects and Policy Issues,Oxford:Oxford University,2015;Leonce Ndikumana,“Integrated Yet Marginalized:Implications of Globalization for African Development”,African Studies Review,Vol.58,No.2,2015,pp.7-28.
- (16)James Ferguson,Global Shadows:Africa in the Neoliberal World Order,Durham:Duke University Press,2006,p.47.
- (17)Arkebe Oqubay,Made in Africa:Industrial Policy in Ethiopia,Oxford:Oxford University Press,2015;Akbar Noman and Joseph E.Stiglitz eds.,Industrial Policy and Economic Transformation in Africa,New York:Columbia University Press,2015;Arkebe Oqubay et al.eds.,The Oxford Handbook of Industrial Policy,Oxford:Oxford University Press,2020.
- (18)舒运国:《泛非主义史:1900—2002年》,北京:商务印书馆,2014 年,第5、11页。
- (19)Chris Alden ed.,Emerging Powers in Africa,LSE-Ideas special report,2013,p.68.
- (20)中国国务院新闻办:《新时代的中非合作》白皮书,2021年11月26日,http://www.gov.cn/zhengce/2021-11/26/content_5653540.htm。
- (21)林毅夫:《中国的崛起和非洲的机遇》,《中国非洲研究评论(2013)》,北京:社会科学文献出版社,2014年,第28—29页。
- (22)Roland Oliver,John Fage,A Short History of Africa,Harmondsworth:Penguin,1963,pp.196-225.
- (23)D.A.Low,John Lonsdale,“Introduction:Towards the New Order,1945-1963”,Donald Anthony Low and Alison Smith eds.,History of East Africa,Vol.3,Oxford:Oxford University Press,1976,pp.12-15.
- (24)Itinerario,Vol.23,No.3-4,1999;Itinerario,Vol.49,No.3,2025.
- (25)Miguel Bandeira Jeromino and Tim Livsey,“Rethinking ‘Late Colonialism’ in Africa:An Introduction”,Itinerario,Vol.49,No.3,2005,pp.409-410.
- (26)李鹏涛:《殖民主义与非洲社会变迁》,北京:社会科学文献出版社,2019年,第197页。
- (27)Martin Thomas and Gareth Curless eds.,The Oxford Handbook of Late Colonial Insurgencies and Counter-Insurgencies,Oxford:Oxford University Press,2023.
- (28)有观点认为《殖民地发展与福利法案》最初起因是1938年加勒比的反抗浪潮,参见迈克尔·克劳德编:《剑桥非洲史》,赵俊译,杭州:浙江人民出版社,2019年,第692页。
- (29)Frederick Cooper,Decolonization and African Society:The Labor Question in French and British Africa,Cambridge:Cambridge University Press,1996,pp.110-166.
- (30)Frederick Cooper,“Industrial Man Goes to Africa”,Lisa Lindsay and Stephan Miescher eds.,Men and Masculinities in Modern Africa,Portsmouth:Heinemann,2003,pp.128-137.
- (31)Frederick Cooper,Africa since 1940:The Past of the Present,p.36.
- (32)Corrie Decker and Elisabeth McMahon,The Idea of Development in Africa:A History,Cambridge:Cambridge University Press,2020,pp.135-136.
- (33)迈克尔·克劳德编:《剑桥非洲史》,第674—675页。
- (34)Bekeh Utietiang Ukelina,The Second Colonial Occupation:Development Planning,Agriculture,and the Legacies of British Rule in Nigeria,London:Lexington Books,2017,p.xxiii。实际拨付为2300万英镑,不足预算额的一半。
- (35)迈克尔·克劳德编:《剑桥非洲史》,第817页。
- (36)Corrie Decker,Elisabeth McMahon,The Idea of Development in Africa:A History,p.138.
- (37)数据均来自迈克尔·克劳德编:《剑桥非洲史》,第814—816页。
- (38)Gerardo Bracho et al.,Origins,Evolution and Future of Global Development Cooperation,Bonn:German Development Institute,2021,p.75。事实上,1947年美国旨在帮助欧洲战后重建的马歇尔计划也是一种国际发展合作,只不过是发生在发达国家之间,而非发达国家与发展中国家之间。杰米·马丁(Jamie Martin)认为,国际援助最早案例是20世纪20年代国际联盟对当时希腊东正教徒难民危机和20世纪30年代国际联盟对当时中国国民政府的发展援助项目,但是这两个项目都是临时援助项目的孤例,未能形成机制化和可持续的政策框架。参见Jamie Martin,The Meddlers:Sovereignty,Empire,and the Birth of Global Economic Governance,Cambridge,MA:Harvard University Press,2022,pp.134-177。
- (39)Nils Gilman,Mandarins of the Future:Modernization Theory in Cold War America,Baltimore:Johns Hopkins University Press,2003;David Ekbladh,The Great American Mission:Modernization and the Construction of an American World Order,Princeton:Princeton University Press,2010;Michael Latham,The Right Kind of Revolution:Modernization,Development,and US Foreign Policy from the Cold War to the Present,Ithaca:Cornell University Press,2011.
- (40)D.K.Fieldhouse,Black Africa 1945-1980:Economic Decolonization & Arrested Development,London:Routledge,2011 [1986],pp.32-48.
- (41)Emmanuel Akyeampong,Independent Africa:The First Generation of Nation Builders,Bloomington:Indiana University Press,2023;Faeeza Ballim,Apartheid's Leviathan,Electricity and the Power of Technological Ambivalence,Athens:Ohio University Press,2023;Shaonan Liu,The History of Chinese Presence in Nigeria (1950s-2010s):Factories,Commodities,and Entrepreneurs,London:Routledge,2022;Corrie Decker and Elisabeth McMahon,The Idea of Development in Africa:A History;Abou B.Bamba,Africa Miracle,African Mirage:Transnational Politics and the Paradox of Modernization,Athens,OH:Ohio University Press,2016.
- (42)本文充分吸纳了上述新研究成果,但还不足以归纳出非洲国家现代化尝试的不同类型及其差异,这也是本研究的不足之一。
- (43)Bekeh Utietiang Ukelina,The Second Colonial Occupation:Development Planning,Agriculture,and the Legacies of British Rule in Nigeria,London:Lexington Books,2017,p.xxiv.
- (44)Bekeh Utietiang Ukelina,The Second Colonial Occupation:Development Planning,Agriculture,and the Legacies of British Rule in Nigeria,pp.69-120.
- (45)Kwame Nkrumah,Africa Must Unite,New York:International Publishers,1963,pp.23-24.
- (46)Gunnar Myrdal,Asian Drama:An Inquiry into the Poverty of Nations,London:Allen Lane The Penguin Press,1968.该书是三卷本,在第一卷和第二卷中缪达尔详细阐释人口与经济增长的关联,而南亚地区的人口是制约发展的重要因素之一。
- (47)Emmanuel Akyeampong,Independent Africa:The First Generation of Nation Builders,Bloomington:Indiana University Press,2023,p.11.
- (48)Emmanuel Akyeampong,Independent Africa:The First Generation of Nation Builders,p.7.
- (49)W.W.罗斯托:《经济增长的阶段:非共产党宣言》,郭熙保、王松茂译,北京:中国社会科学出版社,2001年。
- (50)梁益坚:《20世纪六七十年代的非洲进口替代工业化政策研究》,《非洲研究》2024年第2期,第70—71页。
- (51)Emmanuel Akyeampong,Independent Africa:The First Generation of Nation Builders,pp.118-119.
- (52)Thandika Mkandawire,“Thinking about Developmental States in Africa”,Cambridge Journal of Economics,Vol.25,No.3,2001,pp.303-305.
- (53)舒运国、刘伟才:《20世纪非洲经济史》,杭州:浙江人民出版社,2013年,第106—107页。
- (54)Leonce Ndikumana,“Integrated Yet Marginalized:Implications of Globalization for African Development”,African Studies Review,Vol.58,No.2,2015,pp.9-12.
- (55)许亮:《非洲与全球化》,见唐士其总主编,王正毅主编:《反思全球化:理论、历史与趋势》,第315—316页。
- (56)“A Ten-Year Plan of Development and Welfare for Nigeria by the Colonial Government,1946”,Sessional Paper No.24 of 1945,Publication-DP-3/1,National Archives of Nigeria,Kaduna;Robert L.Tignor,Capitalism and Nationalism at the End of Empire:State and Business in Decolonizing Egypt,Nigeria,and Kenya,1945-1963,Princeton:Princeton University Press,1998,pp.210-211.
- (57)Robert L.Tignor,Capitalism and Nationalism at the End of Empire,p.238.
- (58)“Sowole on Industrialization”,Nigerian Citizen,February 17,1962.
- (59)“ZIK Commends North's Nortex”,Nigerian Citizen,January 5,1963.
- (60)Peter Kilby,Industrialization in an Open Economy:Nigeria,1945-1966,Cambridge:Cambridge University Press,1969,pp.23-24;“Northern Nigeria Faces Industrial Revolution”,Nigerian Citizen,October 23,1963.
- (61)“The Role of the Federal Government in Promoting Industrial Development in Nigeria” (Federal Government Printer,1958),Sessional Paper No.3 of 1958,INDU/1/2,National Archives of Nigeria,Kaduna.
- (62)“Industrial Development (Income Tax Relief) Declared Pioneer Industries”,1959,MIN-TRA JF 25 Vol.II,National Archives of Nigeria,Kaduna.
- (63)“The Role of the Federal Government in Promoting Industrial Development in Nigeria”;“Industrial Development (Import Duty Relief) Policy”,1957,MIN-TRA JF 30-A,National Archives of Nigeria,Kaduna.
- (64)“National Economic Meeting Council 12th Meeting”,1961,MIN-ECON EP 3001/S.12,National Archives of Nigeria,Kaduna.
- (65)Angus Maddison,The World Economy:A Millennial Perspective,Paris:OECD Publishing,2006,pp.223-226.
- (66)Peter Kilby,Industrialization in an Open Economy:Nigeria,1945-1966,Cambridge:Cambridge University Press,1969,p.11;Toyin Falola,Matthew M.Heaton,A History of Nigeria,Cambridge:Cambridge University Press,2008,p.183。由于石油产业繁荣,尼日利亚制造业占GDP比例到1973年下降到了7.0%。
- (67)彭慕兰对英格兰与中国长三角地区在19世纪上半叶“大分流”进行过研究,强调煤炭(工业能源)和殖民地获取(释放人口压力和解除土地制约)是英格兰在短时间内大幅超越中国长三角地区发展水平的重要历史原因,见Kenneth Pomeranz,The Great Divergence:China,Europe,and the Making of the Modern World Economy,Princeton:Princeton University Press,2000。
- (68)舒运国、刘伟才:《20世纪非洲经济史》,第113—149页。
- (69)以下3位学者先后对日本、韩国等地区的发展经验进行过研究,成为“发展型国家”的奠基性文献:Chalmers Johnson,MITI and the Japanese Miracle:The Growth of Industrial Policy,1925-1975,Stanford:Stanford University Press,1982;Alice Amsden,Asia's Next Giant:South Korea and Late Industrialization,New York:Oxford University Press,1989;Robert Wade,Governing the Market:Economic Theory and the Role of Government in East Asian Industrialization,Princeton:Princeton University Press,1990。有关“发展型国家”理论新进展,参见黄宗昊:《“发展型国家”理论的起源、演变与展望》,《政治学研究》2019年第5期。
- (70)Thandika Mkandawire,“Thinking about Developmental States in Africa”,p.309.
- (71)舒运国、刘伟才:《20世纪非洲经济史》,第113—121页;梁益坚:《20世纪六七十年代的非洲进口替代工业化政策研究》。
- (72)Robert Bates,“Domestic Interests and Control Regimes”,Benno J.Ndulu et al.,The Political Economy of Economic Growth in Africa 1960-2000,New York:Cambridge University Press,2008,pp.175-201.
- (73)Emmanuel Akyeampong,Independent Africa:The First Generation of Nation Builders,Bloomington:Indiana University Press,2023,pp.211-248.
- (74)Gareth Austin,Labour,Land,and Capital in Ghana:From Slavery to Free Labour in Asante,1807-1956,New York:University of Rochester Press;Gareth Austin and Kaoru Sugihara eds.,Labourintensive Industrialization in Global History,New York:Routledge,2013,pp.85-106.
- (75)Robert Bates,Markets and States in Tropical Africa:The Political Basis of Agricultural Policies,Berkeley:University of California Press,1981,p.114.
- (76)有关非洲国家在20世纪晚期衰败的讨论,参见Robert Bates,When Things Fell Apart,Cambridge:Cambridge University Press,2008。
- (77)James Robinson,Daron Acemoglu and Simon Johnson,“An African Success Story:Botswana”,Dani Rodrik ed.,In Search of Prosperity:Analytic Narratives on Economic Growth,Princeton:Princeton University Press,2003,pp.80-119.
- (78)Q.Neil Parsons,James A.Robinson,“State Formation and Governance in Botswana”,Journal of African Economies,Vol.15,No.1,2006,pp.100-140.
- (79)D.K.Fieldhouse,Black Africa 1945-1980:Economic Decolonization & Arrested Development,London:Routledge,2011 [1986],p.235.
- (80)陈玮:《“发展型国家”的三次理论辩论:政府介入的必要性、有效性和时机》,《公共行政评论》2019年第1期,第64—65页。
- (81)数据来源:UNCTAD,https://unctad.org/press-m现在,aterial/facts-figures-0。
- (82)详细讨论,参见Shaonan Liu,The History of Chinese Presence in Nigeria (1950s-2010s):Factories,Commodities,and Entrepreneurs,London:Routledge,2022,pp.35-75;许亮:《非洲工业化与华人工厂》,见刘海方、王进杰主编:《危中有机:大变局下的非洲》,北京:商务印书馆,2023年,第355—370页。
- (83)最新研究见Carlos Oya,China for Africa's Industrialization?Cambridge:Cambridge University Press,2025。据该研究估算(该书第43页),中国企业在非洲创造的就业规模可能已达200万。
- (84)陈从阳:《中国非洲史研究会第六届年会暨非洲现代化问题学术讨论会综述》,《世界历史》1998年第2期。