2006年《南开经济研究》总目录

政治经济学·改革、转型与制度变迁研究产权、信息与反公共地悲剧······················································……张光南陈广汉(2一刁陌)领导任职期限设置的经济解释—激励与效率损失的权衡·······     

股票期权制度在我国实施的障碍与对策

股票期权制度是美国等发达国家激励体系中的一种重要方式。股票期权制度的实施，使企业家与企业成为利益共同体，企业家对个人效用最大化的追求转化成对企业利润最大化的追求，这有利于缓解企业中的委托-代理矛盾，降低企业代理成本，因此是一种比较有效的长期激励措施。     

创新博弈中政府与企业的互动演化均衡

创新对提高企业的竞争力,促进社会进步和经济发展具有十分重要的意义。由于创新的风险和不确定性,使得创新在很大程度上取决于创新主体——政府和企业的行为。本文以进化博弈的复制动态方法为工具,构建了创新进化博弈模型,分析了在创新过程中,政府与企业的策略互动及其均衡。本文证明:政府的有效激励会促使企业选择创新,而企业的创新热情将促进政府建立和完善创新激励机制,博弈的进化均衡是政府从制度上确保降低企业创新的外部成本以激励企业进行创新,企业则选择持续创新以追逐创新收益。     

专利保护宽度、非侵权模仿和垄断竞争

本文探讨了最优专利保护宽度的决定机制。在一个三阶段博弈模型中:社会计划者首先制定专利保护宽度,然后各厂商进行专利竞赛,最后市场对专利产品进行非侵权模仿并导致Salop垄断竞争。模型分析表明,在创新阶段,专利保护宽度对应于专利利润,决定了市场的创新激励;但在垄断竞争均衡中,它又对应于非侵权模仿成本,决定了总的模仿成本和消费者购买产品的交通成本。这两种功能对社会福利的影响是相互冲突的,而最优保护宽度正是在两者之间进行权衡的结果。比较静态分析表明,垄断竞争均衡下的最优宽度是创新难度、创新的重要性以及创新环境不确定性程度的增函数,是消费者多样性偏好的减函数,但与市场范围的大小无关。     

模拟期权激励机制的博弈分析

在现代企业制度下，企业的所有权和经营权、公司资产和经营者个人资产以及企业的长远发展和经营者的个人利益都是相分离的，这就产生了企业的所有者采取何种激励机制来保证经营者工作努力的最大化和投资决策长远性的问题。本文从博弈论的角度对模拟期权激励机制的激励作用以及其局限性进行了简单的分析。　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　 　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　摘　　要　　在现代企业制度下,企业的所有权和经营权、公司资产和经营者个人资产以及企业的长远发展和经营者的个人利益都是相分离的,这就产生了企业的所有者采取何种激励机制来保证经营者工作努力的最大化和投资决策长远性的问题。本文从博弈论的角度对模拟期权激励机制的激励作用以及其局限性进行了简单的分析。　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　　?     

基于C-D生产函数的民航运输业投入产出关系实证研究

依据我国1985年至2018年民航运输业的民航运输总周转量、民航飞行员数量和民用运输飞机架数等数据,基于Cobb-Douglas生产函数建立民航运输业投入产出数学模型,在此基础上构造向量误差修正模型对数据进行预测,并运用脉冲检验考察模型的长短期均衡和系统动态特性,结果发现：民航运输业中的投入和产出呈正相关及长期均衡关系,资本投入对产出增长的贡献作用大于劳动投入对产出的贡献作用。最后,给出了民航运输业现阶段发展的相关建议与结论。     

区域贸易一体化博弈分析

文章从博弈论的视角出发,通过建立两个地区之间企业和政府的完全信息动态博弈模型,分析了两个区域在最大化利益前提下是否采取贸易壁垒的最优战略均衡;在结果分析的基础上构建两个地区的无限重复博弈模型,结合现实基础得出结论:通过现有的市场调节,地区不会采取取消贸易壁垒的战略,社会资源不能达到最优,政府必须采取适应的制度才能推进区域贸易一体化的进程;最后给出政策建议.     

内生性动因视角下的企业社会责任实施体系构建

文章通过构建企业社会责任均衡模型分析了企业承担社会责任的经济学根源,并提出企业社会责任是企业利润函数的内生变量,两者呈正相关。这就要求企业在生产发展过程中,要根据自身发展需要在不同阶段适时调整社会责任战略,勇于承担企业社会责任,从而实现企业长期利润最大化。并通过有效路径建立适合中国国情的企业社会责任实施体系。     

核心人力资本与现代企业制度

在现代企业中,总有少数员工在创造价值过程中起着决定性的作用,他们所拥有的人力资本即为企业核心人力资本。建立有效的核心人力资本激励机制已成为现代企业制度的核心问题之一,而激励机制的核心主要包括控制权激励和剩余索取权激励两个方面。     

理性经济人批判与国家理性行为体假说

该文基于理性经济人批判,提出符合时代要求与社会进步的“国家理性行为体”假说,即假设国家作为一个整体,国家行为必须要从事物发展的客观规律出发,综合权衡全体国民短、中、长期的利益需求及其可获得性,以均衡、稳定与可持续地增进全体国民福利最大化为目的。     

经济学中演化分析和均衡分析的历史争论与现实反思

在经济现象的产生和发展上,经济学界长期存在两种解释思路：一是基于异质性个体互动的基础之上的动态演化分析,这是以有机的、动态的和开放的世界观为基础的结构主义思路,它把行为主体看成是异质的;二是基于同质性个体假设基础上的静态（或比较静态）均衡分析,这是以机械的、静态的和封闭的世界观为基础的新古典主义传统,它强调行为主体的同质化。显然,现代经济学的基石就是一般均衡理论,因而静态均衡分析也就是现代经济学的基本方法;在均衡框架下,现代经济学研究理性经济人如何按照效用最大化原则实现资源最优配置。但是,这种均衡分析用于分析现实时却遇到非常严峻的问题：一者,它所依赖的假设条件是非现实;二者,无法考察人类行为和经济现象的动态演化。因此,现代主流经济学也正面临着严峻的挑战。     

The impact of e-commerce: It always benefits consumers, but may reduce social welfare

This paper investigates the impact of e-commerce on social welfare using a linear city model. Our model incorporates the diversity of consumers such that some can purchase the good via the Internet while others cannot. Our main result is as follows. The appearance of e-commerce enhances retail competition and always increases consumer surplus. However, total surplus does not necessarily improve. This is because the equilibrium market division between conventional stores and e-commerce is not socially optimal and efficiency loss of distribution accrues if the population of Internet shoppers is small and/or the cost of e-commerce is high. Our theoretical results indicate that the small e-commerce market share in the Japanese and US economies may result in welfare loss.     

Population age structure and the size of social security

"This paper uses a general overlapping generations model to analyze social security. Rather than focusing on intertemporal price and income considerations, however, the paper focuses on the effect of contemporaneous (same period) prices and income. The analysis shows that the old-age dependency ratio acts as a shadow price for old-age benefits. With this new shadow price, the equilibrium price and quantity of social security benefits and the level of the payroll tax rate are determined in a demand-supply framework with individual utility maximization. Three explicit demand functions (intergenerational contracts) are analyzed. The model is tested using [U.S.] time series data for the social security Old-Age and Survivors (OASI) program."     

Competition between branded and nonbranded firms and its impact on welfare

We examine a quantity competition among branded and nonbranded firms. The market comprises two consumer segments: one purchases only branded products (the high-end market), while the other segment's consumers purchase less expensive products (the low-end market). When branded firms take actions sequentially, we show that the branded leader has an incentive to restrict its quantity to avoid entering the low-end market. As the follower recognizes this incentive, it can restrict the leader by implementing a quantity constraint, which is affected by the number of nonbranded firms. We find that both the branded leader and follower could benefit from the nonbranded firms and that the leader prefers to have more nonbranded firms in the market than the follower does. Furthermore, we show that the free entry of nonbranded firms could negatively affect total surplus as well as consumer surplus even without any costs, because of the premium pricing of branded products.     

Current Account Deficit in Mauritius: Risks and Prospects

Mauritius is often cited by international institutions, including the International Monetary Fund and World Bank, as a success story in economic development. The island has, since the early 1970s, adopted an export‐led growth strategy to power its economy. However, a constant decline over the last decade in the exports to gross domestic product (GDP) ratio has resulted in a worsening current account to GDP ratio, which is now a cause for concern. Using a three‐regime, self‐exciting threshold autoregressive (SETAR) model, this paper finds that the Mauritian economy may converge to either of two current account equilibria, namely a deficit of 9% or a surplus of 2.5% on a seasonally adjusted basis. A dynamic simulation exercise suggests that the Mauritian current account is more likely to switch from surplus to deficit equilibrium than from deficit to surplus equilibrium. Given that the prevailing deficit is in the vicinity of the deficit equilibrium, structural policies aiming to boost productivity and efficiency are indispensable for pulling Mauritius out of the “deficit trap,” the more so since the island has been experiencing a continuous erosion of trade preferences, which formerly enabled it to have privileged access for its exports to the EU market.     

经济人何以成为经济学之硬核：思想史的端倪

经济人之所以会成为现代主流经济学的硬核,从思想史的角度看,主要有两个重要的分水岭。一是,斯密关于“无形的手”之“预定协调”的观点赋予了自利行为的合理性,从而使得“自利”为后来的主流经济学家所片面强调,乃至赋予了个体行为以效用最大化这一偏至诉求。二是,边沁关于效用加总的功利主义原则赋予了个体效用的计量性,从而使得“效用”为后来主流经济学所普遍接受,乃至进一步发展了基于理性计算的数理模型化分析。显然,正是两者的结合,为经济人假设的出现及其在经济学中的支配地位奠定了思想史的基础。     

Het duopoliemodel van van der weel

Summary In a recent article in this journal (1970, pp. 458–490) Van der Weel has developed a duopoly model founded on the thesis that the reaction functions of the duopolists can be derived from the profit maximization hypothesis and that, therefore, the set of equilibrium prices is determined endogeneously. The authors argue that this conception is not justified and that both the static and dynamic versions of the model are based on a reaction pattern in the sense of Launhardt.     

Market structure, pigouvian taxation, and welfare

Using a short-run partial equilibrium model of social welfare, this paper examines the social welfare implications of changing Pigouvian taxes under three markets: perfect competition, monopoly, and Cournot oligopoly. The result for perfect competition supports the earlier finding that Pigouvian taxation increases social welfare [Buchanan, 1969]. However, in contrast to the previous result that Pigouvian taxes lower welfare under monopoly, the authors show that if the noncompetitive distortion is small, these taxes might still be useful in correcting monopoly-generated externalities and in improving social welfare. Cournot firms react to the tax depending upon their individual perceptions of the gain in post-tax marginal revenue. Policy implications of the study's results are discussed.     

微信收费、社会总福利与政府管制

微信是一种新兴即时聊天工具,自问世以来得到迅猛发展,与此同时有关微信将向用户收费的传闻愈演愈烈,引来各方争论。本文构建了两平台两类消费者的均衡方程,分析了微信收费前后企业利润及消费者剩余的变化,进而得出收费后社会总福利受到损失的结论。进一步的,引入管制经济学的相关理论及行政垄断的成本—收益分析,解释了微信收费的不合理性。     

Endogenous price leadership in a duopoly: Equal products, unequal technology

In the present paper we study endogenous price leadership in the context of a homogeneous product Bertrand duopoly model in which the firms have different, strictly convex cost functions. In such a framework it is well known that a simultaneous move price choice game does not have an equilibrium in pure strategies, but it has an equilibrium in mixed strategies. In the Stackelberg games with an exogenous price leader, we show that a pure strategy subgame perfect Nash equilibrium (SPNE) always exists. Although the SPNE might not be unique, the payoffs are the same across all SPNE. Finally, we analyze the issue of endogenous price leadership using the continuous version of the Robson (1990) timing game. The result is unexpected. One would expect the more efficient firm to emerge as the endogenous price leader. This is not always true. In most cases the endogenous leader is the firm with the highest "threshold" price. However, we also provide conditions under which the more efficient firm emerges as the leader. Our paper essentially complements Yano (2001) , which is based on the Hamilton and Slutsky (1990) framework.