对称性视角下的世界经济系统演化理论与应用研究

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摘要

经济系统是一个不断演化的复杂系统，它具有众多关系错综复杂的变量。整

个系统体现出多层次性、强耦合性、非线性、开放性、不确定性和动态性的特点。

这些特点交织在一起，决定了经济系统特有的复杂演化。经济系统作为一个复杂

的动力系统，关系到人类的生存与发展。对经济增长演化现象及其规律的深刻理

解和把握，有利于人们灵活运用经济理论和方法，更好地控制社会经济的发展，

促进整个社会走向繁荣。分析经济系统的结构和功能，理解和掌握经济系统演化

的原因、途径和机制，从而促进经济系统不断地优化资源配置，改善经济结构，

发展和完善自身功能，无论在理论上和实践中都具有十分重要的意义。

世界经济体系的研究已经取得了很大的进展，但是其存在的缺陷和不足也不

可忽略。20 世纪经济全球化浪潮使得世界经济体系的空间和国际分工结构发生了

一系列显著的变化，对原有的结构产生了根本性的影响。面对这一新的形势的变

化，我们有必要采用全新的视角以及相应的理论工具，对世界经济结构的变动进

行重新的分析、理解和评价。分析当今世界经济特点、深入研究世界经济结构演

化机制，探讨世界经济体系中各个层次国家的地位、作用以及它们未来的发展策

略，对于加强各个经济体的联合和协作、实现资源有机整合、提升经济体的发展

质量、增强整体竞争力，对中国乃至世界的经济发展均具有重要的理论和实践价

值。

为此，本文以对称性这一新的研究视角，对世界经济结构的演化进行了力所

能及的探索。具体而言，我们利用对称理论这个分析工具，对当前世界经济结构

的特点以及世界经济结构的演化本质、过程及其机理进行了研究，并形成了一些

更加实际和丰富的新颖的观点。在具体研究中，本文将现代对称理论、复杂网络

理论分析方法，特别是关于动态系统分析的方法引入到世界经济体系分析中，以

阐明世界经济结构演化的本质、过程及其机理。

本文共有七章，五个部分。

第一部分(本文第一章和第二章)对世界经济体系理论取得的成就及其局限作

了简要评述，概述了对称理论及其方法，分析了将对称理论方法应用于世界经济

演化理论分析的可行性、前景及其意义。

第二部分(本文第三章)全面深刻地阐述了世界经济网络局域对称结构的动态

形成过程及其机理。较为详细地分析论述了世界经济体系复杂网络结构的形成原

因。揭示了世界经济网络呈现出非全局对称，而是局域对称结构的形成机制。

第三部分(本文第四章)详细评析了传统经济理论和模型在分析世界经济动态

结构演变过程的局限性，它不能全面深刻的解释当今世界经济网络局域对称结构

的形成机制。本文详细分析了影响经济系统演化行为的主要因素及其它们之间的

相互关系，引入了市场规模扩大、经济政策两个感知反应因素，针对世界经济系

统中心——外围局域对称结构形成及其演化机制，在经济理论已取得的成果基础

上，结合环带边界感知反应系统（SAR系统）理论建立了经济系统感知反应动态演

化模型，并基于模型深刻分析了微观经济体演化的原因、条件、发展过程，以及

世界经济网络局域对称结构的形成和演化过程。

第四部分(本文第五章)以世界经济联系的基础——国际分工结构的变动为基

础，从宏观和微观两个层面分析了世界经济结构对称到对称破缺的演化过程、路

径及其机制。论证了技术创新是世界经济结构发生对称破缺的主要的、永久的驱

动力。讨论了世界经济体系宏观结构的演化过程，从传统的中心——半外围——

外围结构向梯形结构发展。分析了世界经济网络微观个体，即内部国家间经济关

系和地位的对称破缺，三大经济对称中心发展各异，发展中国家实现了后发优势。

探讨了世界经济结构变动的过程中中国在经济网络中的地位变化及其发展机会，

并提出了主要发展对策。更深层次上揭示出世界经济结构动态演化过程的本质，

世界经济结构演化过程是对称破缺不断涌现的过程，是对称与对称破缺的统一过

程。

第五部分(本文第六章)为实证分析。我们构建了国际贸易网络，考察国际贸

易网络的对称性。我们根据实际情况选取影响权重的最重要的因素，确定权重指

标方程，从而构造了更为真实的国际贸易网络结构。我们计算了国际贸易网络的

自映射群以及网络的对称程度。然后，深入考察了国际贸易网络中的对称团和网

络商，研究国际贸易网络中对称团、网络商以及其中各类节点在国际贸易网络中

的功能、地位、角色及其相互关系。这些研究将对国际贸易网络未来的演化发展

有所帮助，对国际贸易网络健康发展提出有益的政策建议供决策部门参考。

最后，在本文第七章，我们总结了全文，并对进一步的研究作了展望。

关键词：经济体系对称演化感知反应国际贸易

ABSTRACT

Economic system, characterized by a lot of interacted and complicated variables, is a

complex system in continuous development. The multilevel nature, strong coupling,

nonlinear, openness, uncertainty and dynamic of the economic system result in its

complex and unique evolution. As a complex and dynamic system, economic system is

closely related to the survival and development of human society. Understanding the

phenomena and laws of economic growth and evolution deeply is the prerequisite for

people flexibly utilizing economic theories and methods to control the development of

economic system better, and finally promote social prosperity. It is very meaningful in

both theory and practice to study the reason, ways and mechanisms of economic system

evolution, which is critical for us to optimize the resource allocation of economic

system, improve the economic structure, and strengthen its own functions.

Although certain progress has been achieved in the study of world economic system,

there are still many defects, incompleteness in the theory and many content of the

existing theory is out-of-date. Specifically, a series of changes in world economic space

and the structure of international division of labor have great influence on the old

structure of world economic system. Considering such changes, we have to reevaluate

the evolution of economic structure, reanalyze the characteristics of modern world

economy, and reconsider the evolution of world economic structure as well as the role

of china deeply, by employing new theory and from new perspective. Only by this way

can we understand the evolutional essence of world economic system better, and

eventually promoting the development of Chinese even world economy in the future.

For this purpose, from the new perspective: symmetry and symmetry-breaking, we try

to explore the evolution of the world economic structure. Specifically, we analyze the

characteristics of present world economic structure, and investigate the essence and

mechanisms of the evolution of world economic system by employing the symmetry

theories. As a result, we come to a lot of novel conclusions which are also practically

meaningful. We introduce current developed theories and methods, including symmetry

theory and complex network theory, into the analysis of world economic system, so as

to clarify the essence, process and mechanisms of the evolution of world economic

system.

The paper is structured as five sections consisting of seven chapters.

In the first section (the first two chapters of the paper), we briefly review the recent

progress in the study about world economic system, and discuss the shortcomings of

existing researches. Then, we outline symmetry theories and methods. Finally, we

analyze the possibility, prospect and meanings of applying symmetry theory into the

study of evolution of world economic structure.

In the second part (the third chapter), we analyze the formation mechanism of present

network structure of world economic system as well as its future evolution trends. We

also discuss the reason for which the network structure is locally symmetric. The

dynamic process and formation mechanism of locally symmetric structure of the world

economic network are elaborated. In the analysis on the evolution of world economic

system, we explore the ways of evolution of real world economic system taking into

account the development history of world economic system, so that we can gain deep

understanding about formation mechanism on the local symmetry structure of the world

economic network and evolution mechanism of the world economic network.

In the third part (the fourth chapter), we analyze the limitations and deficiencies of

applying neo-classical economic theory, new growth theory, new system economic

theory, new economic geography theory and new trade theory into the study of

evolution of world economic structure. After defining economic system, determining

key factors of economic system evolution and identifying the boundary of economic

system, we analyze key factors affecting the evolution of economic system as well as

their interactions. Such static analysis further helps us to explore the dynamic growth

and development process of world economy. Then, we focus on the exploration on the

formation mechanism and evolution process of the center-periphery local symmetry

structure. With the help of previous achievements about sensitive and reactive theories,

we construct the sensitive and reactive model on the dynamic development of economic

system. With this new model, we elaborate the reasons, conditions and process on the

evolution of world economic system.

In the fourth part (the fifth chapter), we study the dynamic development of

international division of labor, which underlies the present world economy exchanges

and is responsible for the evolution of world economic structure from symmetry to

symmetry breaking. We show that technology innovation is the most significant and

permanent driving force accounting for the symmetry breaking occurring in the world

economic structure. We discuss the evolution of macro structure of world economic

system as well as symmetry breakings in the economic relations and status of countries

in the economic network. To reveal the essence of evolution of world economic

structure, we analyze the way that world economic system evolved from symmetry to

broken symmetry, elaborate the process of such evolution and explore the underlying

mechanism responsible for the evolution. At the same time, we discuss the development

of China in the evolution process of world economic structure, and give some

suggestions.

In the fifth part (Chapter 6), we construct world trade network and explore its

structural symmetry. We propose some new indicators to measure the degree of

symmetry of the network. Then, we build the equation of weight indicator by selecting

the most important factor affecting the network weight according to real situations, so

that the reconstructed world trade network can best characterize the real world trade

system. Then, we calculate the symmetry motifs and network quotient of the world

trade network, and discuss the functions, status and interactions of various types of

nodes in the symmetry motifs and network quotient. Such analysis is helpful for us to

promote future developments of world trade network.

At last, in Chapter 7, we concluded the paper with a summarization of the paper and

discussion about future works.

Key words: economic system, symmetry, evolution, sensitive and

reactive , world trade

中文摘要

ABSTRACT

第一章绪论…………………………………………………………………………….1

§1.1 研究动因和意义……………………………………………………….. …….1

§1.2 研究对象…………………………………………………………………..…..3

§1.3 研究方法……………………………………………………………………....4

§1.4 论文结构安排……………………………………………………………..…..5

§1.5 论文主要创新点………………………………………………………..……..7

第二章相关研究进展评述………………………………………….…………………9

§2.1 复杂系统演化是对称与对称破缺的统一……………………………………9

§2.2 经济系统演化理论…………………………………………………...……... 9

§2.3 世界经济体系理论发展史………………………………………………......10

§2.4 对称理论发展及其应用…………………………………………………......14

§2.5 网络结构对称性……………………………………………………...……...17

§2.6 网络结构对称性基本概念…………………………………………...……...17

第三章世界经济网络局域对称结构形成………………………………...…………21

§3.1 世界经济网络结构演化发展历史……………………………………….….21

§3.2 世界经济网络格局形成原因………………………………………...……...22

§3.3 世界经济网络非全局对称结构形成原因……………………...……….. ....26

§3.4 世界经济网络多个局域对称结构形成机制……………………...………...30

§3.5 本章小结……………………………………………………………………...32

第四章世界经济网络演化模型研究………………………………………...………33

§4.1 经济系统的演化………………………………………………………………33

§4.2 经济系统演化模型概述………………………………………………………35

§4.3 世界经济网络——环带边界感知反应系统（SAR）………………………42

§4.4 本章小结……………………………………………………………………...53

第五章世界经济网络：对称——对称破缺的动态演化…………………………....54

§5.1 国际分工理论的发展………………………………........................................54

§5.2 网络化国际分工………………………………………………….……….…..55

§5.3世界经济网络结构对称——对称破缺的动态演化……………..……..……59

§5.4世界经济网络演化发展趋势……………………………………..…..………73

§5.5发展中国家的发展现状和发展策略……………..……..…………………....76

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摘要：

摘要经济系统是一个不断演化的复杂系统，它具有众多关系错综复杂的变量。整个系统体现出多层次性、强耦合性、非线性、开放性、不确定性和动态性的特点。这些特点交织在一起，决定了经济系统特有的复杂演化。经济系统作为一个复杂的动力系统，关系到人类的生存与发展。对经济增长演化现象及其规律的深刻理解和把握，有利于人们灵活运用经济理论和方法，更好地控制社会经济的发展，促进整个社会走向繁荣。分析经济系统的结构和功能，理解和掌握经济系统演化的原因、途径和机制，从而促进经济系统不断地优化资源配置，改善经济结构，发展和完善自身功能，无论在理论上和实践中都具有十分重要的意义。世界经济体系的研究已经取得了很大的进展，但是其...

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