资本主义、社会主义与民主 (1949)

Capitalism, Socialism, and Democracy is a book on economics, sociology, and history by Joseph Schumpeter. It is also one of the most famous, controversial, and important books on social theory, social sciences, and economics—in which Schumpeter deals with capitalism, socialism, and creative destruction. It is the third most cited book in the social sciences published before 1950, behind Marx's Capital and The Wealth of Nations by Adam Smith.

Introduction

Part I: The Marxian Doctrine

Schumpeter devotes the first 56 pages of the book to an analysis of Marxian thought and the place within it for entrepreneurs. Noteworthy is the way that Schumpeter points out the difference between the capitalist and the entrepreneur, a distinction that he claims Karl Marx would have been better served to have made (p. 52). The analysis of Marx is broken down into four roles which Schumpeter ascribes to him (prophet, sociologist, economist, and teacher). The section on Marx the Prophet explains that, if nothing else, Marx would have been received well by people who needed a theory to explain what was happening in their society. The section on Marx the Sociologist focuses on how Marx's theory of class fits with the larger intellectual traditions of the day, and how it superseded them in at least its ability to synthesize sociological thought. The section on Marx the Economist then focuses on Marx's economic theory; Schumpeter judges it excessively "stationary" (pp. 27, 31). He also deals with the concept of crisis and business cycle, two economic theories that Marx pioneered (p. 39).

The final section, Marx the Teacher, evaluates the usefulness of Marx's thought for interpreting the events of his time and those between his death and Schumpeter's time. Schumpeter claims that any theory of crisis gains support when crises occur, and points to some developments that Marx's theories have failed to predict. On page 53, he argues that Marx's theory better predicts English and Dutch colonial experiences in the tropics, but fails when applied elsewhere, for example in New England.

Part II: Can Capitalism Survive?

Schumpeter answers "no" in the prologue to this section. But he says, “If a doctor predicts that his patient will die presently,” he wrote, “this does not mean that he desires it.” The section consists of 100 pages with the following ten topics:

The Rate of Increase of Total Output

Plausible Capitalism

The Process of Creative Destruction

Monopolistic Practices

Closed Season

The Vanishing of Investment Opportunity

The Civilization of Capitalism

Crumbling Walls

Growing Hostility

Decomposition

Of these, creative destruction has been absorbed into standard economic theory. This section constructs a view of capitalism which ultimately tends toward corporatism which, he suggests, will be its own undoing.

Part III: Can Socialism Work?

In this section comparative analysis of known theories of socialism are explored. The five sections in this Part are: Clearing Decks, The Socialist Blueprint, Comparison of Blueprints, The Human Element, and Transition. Although some readers have expressed surprise at what they see as Schumpeter's excessively rosy appraisal of a hypothetical future socialist republic and its chances of success, others disagree. Thomas K. McCraw, Schumpeter's biographer, saw Schumpeter's analysis of socialism in this section as almost satirical, observing that Schumpeter stipulated so many unrealistic preconditions for the future success of socialism, that he was essentially saying that it couldn't possibly succeed under any circumstances.

Part IV: Socialism and Democracy

This section debates the nature of democracy, beginning from its compatibility with socialism, and proposes an elite model of democracy in which the sole role of voters is to select or reject potential governments. In so doing he rejects the notions of the 'common good' and 'common will' of the people. The four sections of this Part include, The Setting of the Problem, The Classical Doctrine of Democracy, Another Theory of Democracy, and The Inference.

Schumpeter's argument in this section centres on his belief that direct popular rule is not feasible in complex modern societies. instead, he develops what has become known as competitive elitism, where democratic governance is understood primarily as a method for selecting political leaders through free and competitive elections. In this model, voters do not directly determine policy outcomes but rather choose between rival elites who then make decisions on behalf of the public.

Part V: A Historical Sketch of Socialist Parties

This part develops five periods of socialist thought. Before Marx, Marx's time, 1875 to 1914 (prior to WWI), the interwar period, and Schumpeter's contemporary post-war period.

Capitalism and socialism

Schumpeter's theory is that the success of capitalism will lead to a form of corporatism and a fostering of values hostile to capitalism, especially among intellectuals. The intellectual and social climate needed to allow entrepreneurship to thrive will not exist in advanced capitalism; it will be replaced by socialism in some form. There will not be a revolution, but merely a trend for social democratic parties to be elected to parliaments as part of the democratic process. He argued that capitalism's collapse from within will come about as majorities vote for the creation of a welfare state and place restrictions upon entrepreneurship that will burden and eventually destroy the capitalist structure. Schumpeter emphasizes throughout this book that he is analyzing trends, not engaging in political advocacy (more precisely, he was engaging in political advocacy for the contrary).