制度环境约束下的国有企业及其治理模式选择

公司治理作为一种制度安排存在于特定的制度环境中,其治理模式的选择一般要受到制度环境的制约,有效的治理模式应该与制度环境相兼容.文章探讨了制度环境与治理模式之间的相关性,分析了制度环境约束下的国有企业的资本结构和多元目标对其治理效率的影响,并在此基础上提出了一个可供学术界进一步研究的国有企业治理的权变模式.     

我国区域旅游门票经济的路径依赖与创新选择

门票经济是我国区域旅游经济增长的初始模式,其生成机理具有历史必然性,已然锁定在既有利益格局下,形成了资源价值观、旅游产业认知和产业链培育方面的路径约束,不利于区域旅游综合价值的实现。在战略性支柱产业定位的引导下,我国区域旅游应构建全产业链模式,通过有限政府主导、制度安排创新和多元化产品供给促进门票经济转型升级,实现区域综合发展的目标。     

中国特色自由贸易港政策制度体系创新的基点与内涵探讨

国家确立了构建自由贸易港政策制度体系的战略任务,但目前各界对自由港、自由贸易港内涵的认识仁者见仁、智者见智,对自由贸易试验区与自由贸易港关系的理解也多种多样。本文通过梳理自由港的本源“基因”和历史“进货”路径,从自由港与各类特殊经济功能区发展的关系角度,阐述自由贸易港政策和制度体系创新的一些基本点,提出了推进中国特色自由贸易港事业的“三合一”基本框架,即“汲取传统自由港的理念精华、服务国家重大战略实践需求、着眼未来创新构架政策制度”。     

专业市场形成与发展的制度求解

专业市场是在我国经济体制改革大背景下,适应商品经济发展而创新形成的一种制度安排。它并不是基于原有制度安排基础上的转换和修正,而是一种新的流通组织形式。为此,从制度变迁的三个经典理论模型出发,探寻专业市场形成与发展的制度求解。     

Institutional plasticity in public-private interactions: Why Japan’s port reform failed

This study applies the concept of institutional plasticity to analyze institutional change, and investigates why actors are unable to change institutions even when change is apparently necessary. Employing historical institutionalism, the analysis focuses on public-private interactions in the recent port reform in Japan. The study’s findings reveal four limits to institutional plasticity due to the respective roles of key actors – the central government, the local port authority, and business entities – in the process of policy reform. The study suggests that while institutional plasticity may enable variation within an existing developmental trajectory or even creation of an entirely new path, insufficient institutional plasticity constrains the creation of new institutions and inhibits institutional change.     

旅游业可持续发展的路径依赖及其创新选择

作为最具普适性的发展战略,旅游业可持续发展已在全球范围内达成共识,但其具体实践进程迥然不同。以路径依赖理论为分析工具,以我国旅游业发展的制度变迁轨迹为基础,文章分析了旅游业发展的路径依赖及其对可持续性的挑战,提出通过路径创造来突破制度变迁的路径约束,减少路径依赖的负面影响,以缩短制度变迁的周期,尽早实现有利于旅游业可持续发展的制度安排。     

Economic Change,Subjective Perception and Institutional Evolution

Following Hayek's intuitions on the role of subjective perception in economics, I attempt to integrate path‐dependent dynamics in evolutionary economics, as emerging in the recent theorizing about economic change. The starting point is an open question in evolutionary economics: is there a unifying principle which characterizes change at individual, organizational and institutional levels? In the attempt to answer this question, I propose some considerations on the nature of learning processes and on the mechanisms of adjustment, discovery and selection that are consistent with cognitive psychology and contemporary neurobiology. In particular, I link imperfect perception to guided variations, like those contained in Dosi's technological paradigms. More generally, I attempt to integrate the evolutionary theory as conceived by Nelson and Winter with the evolutionary theory as conceived by Hayek.     

诺思制度变迁观演变的解析

诺思关于制度变迁的分析逐渐由"制度均衡"分析演变为"制度演化"分析,这既是诺思反省均衡分析的结果,也是深化制度变迁动力源及路径依赖理论的需要,全面地认识诺思制度变迁观演变对研究和推动经济制度创新具有重要意义。     

浙商行为的制度安排分析

商人的行为方式受制度约束是一个不争的事实,但不同区域的商人在不同时空上有着不同的行为反映.本文运用新制度经济学的一些观点,在概要性地描述浙商行为如何受正式(显性)制度安排约束的基础上,提出了一个可供学人讨论的观点:浙商在受正式制度约束的同时,具有形构隐性制度安排的能力.文章比较了非正式制度与隐性制度的联系和区别,认为尽管对浙商精神、人文文化、历史承传等的分析在一定程度上揭示了浙商的行为方式,但它尚不是一般性的理论解说,实现一般性理论分析的可能途径之一,可考虑以制度作为分析主线.本文可视为是试图实现这种一般性分析的一种学术努力.     

近代中国商会的制度分析

清末民初 ,商会应“商战”之需产生 ,对当时的经济发展起到了巨大的促进作用。商会是制度环境变化的结果 ,是制度移植的结果 ,是强制性制度变迁的结果。近代中国的商会本质是“官督商办”的民间团体。商会的存在降低交易费用 ,改善外部环境 ,为合作创造条件 ,降低政府提供关于工商政策方面制度安排的成本。     

State Aid and Export Competitiveness in the EU

Despite the proclaimed return of industrial policy state aid provided by EU Member States is at historically low levels. This fact is at least partly explained by the unique institutional arrangement in the EU which empowers the European Commission to monitor and restrict state aid activities of Member States. Making use of European state aid statistics over the period 1995–2011 we construct a measure for manufacturing state aid and estimate an expanded macro-economic export function to investigate the relationship between state aid for the manufacturing sector and Member States’ export performance. Since national governments can be expected to provide subsidies primarily to foster domestic value added we use value added exports as the export performance measure. Non-stationarity of the data confines us to investigating the short run relationships in which we only find limited evidence for a significant impact of state aid on manufacturing value added exports.     

跨组织视角下的营销渠道治理:制度环境的影响(英文)

营销渠道研究是营销研究的一个重要组成部分。随着市场中竞争性环境的变化以及营销理论的发展,营销渠道研究的关注点从强调效率和利益转向强调权力和冲突,进而转向联网以及关系和联盟。在研究渠道治理过程方面,以往的营销渠道研究大多采用以效率为基础的任务环境视角,而在很大程度上忽视了以合理性为基础的制度环境方法。本文提出,营销渠道从本质上说是一种制度安排和跨组织关系。因此,企业在治理营销渠道时,必须关注其决策和行为的接受度与认可度。本文先是回顾了营销渠道治理和跨组织关系方面的理论与研究,进而从中吸收有价值的观点,提出了理论框架和一些命题,并通过两则案例研究进行解释和检验。     

The European Constitutional Settlement

This paper argues first that a synthesis of the theories of endogenous policy formation, non‐coercive interstate bargaining theory, and international regime theory provides a plausible account of the path of European integration, with little role for explanations stressing geopolitical or ideological factors, international mediation, or political entrepreneurship. Moreover, these theories – which embrace economic fundamentals as driving factors – help explain the ‘sequencing’ of the European Union, especially in regard to successive enlargements. However, the paper concludes that the process of European integration appears to have reached an ‘institutional plateau’, for which incremental change based on the current ‘constitutional compromise’ appears to be the only plausible equilibrium.     

Legitimizing the apprenticeship practice in a distant environment: Institutional entrepreneurship through inter-organizational networks

This paper asks how Multinational Enterprises (MNEs) engage in institutional entrepreneurship to successfully transfer the organizational practice of apprenticeship-based training from Continental Europe to the distant host environment of the United States. In our case study, we highlight the important role of inter-organizational networks to coordinate engagement with the cognitive, normative, and regulative pillars of host country institutions. This networked form of institutional entrepreneurship involves the formation of inter-organizational networks for the purpose of bringing about institutional change collaboratively. In the process of transferring apprenticeship, a particular vision of workforce training was created, support gathered, and institutional change was sustained locally around the issue of training. We argue further that networked institutional entrepreneurship is a useful strategic tool to overcome the particular kind of institutional distance between the institutional settings of more coordinated market economies (CMEs) and more liberal market-oriented economies (LMEs). We contribute to existing knowledge by showing how practice transfer is shaped by particular kinds of institutional distance, and highlighting the role of inter-organizational networks as a way of governing collective agency associated with institutional entrepreneurship and the emergence of new local proto-institutions.     

国有商业银行脆弱性的制度经济学分析

最近一段时期,在国有商业银行产权改革和股份公司治理方面有大量的研究,应该明确进行改革的缘由,由此才可对症下药、量体裁衣。基于这一认识,以制度经济学范式为框架,从历史的视角出发,结合制度变迁中的目标函数导向和约束条件限制、制度变迁的路径依赖特性、以及“制度变迁成本分担假说”,来探讨市场化改革引致国有商业银行的脆弱性问题。试图基于此项分析找到制度方面的“症”和“体”,以利于产权改革和股份公司治理的正确设计。     

非正式制度安排促进企业创新机理研究

非正式制度安排在企业发展中的作用日益显现,从企业文化、企业家精神两个层面来分析非正式制度安排作用于企业创新的机理中,可以看出在企业创新过程中,在关注正式制度安排的同时,不能忽视非正式制度安排对企业创新的重要促进作用。     

基于制度变迁理论的“小产权房”合法化研究

小产权房在我国已存续近20年时间,但一直处于被权力中心打压和封杀状态。小产权房是典型的由乡镇政府、农村集体经济组织和农民个体自下而上发起的需求诱致型制度变迁的产物。本文以制度变迁理论为视角,分析小产权房制度这一"非正式制度安排"转化为由权力中心认可、强制推行的"正式制度安排"的障碍,并将其与家庭联产承包责任制进行比较,探究二者为何同是导源于农村土地制度改革命运却大为不同的原因,在此基础上提出当前小产权房合法化的路径选择。     

Path dependence,change and the emergence of the first joint-stock companies

This paper presents a model of path dependence and change and focuses on the gaining of new institutional knowledge. The main thesis is that in ‘extraordinary’ historical situations the possibility of change increases as a result of external pressure and successful adaptation to it. The model is tested applying it to the case study of seventeenth-century United Provinces (Dutch Republic). Such a situation existed in the sixteenth–seventeenth-century United Provinces, due to their uprising against Spanish rule. Because there existed no strong central authority, the decision-makers had to develop new institutions in order to successfully capture the lucrative spice trade from their enemies. The solution was the joint-stock company, which, through the phases of a continuous decision-making procedure, developed into the ‘permanent’ Dutch East India Company (VOC) in parallel also to the development of the Amsterdam Stock Exchange.     

Institutional Normativity and the Evolution of Morals: A Behavioural Approach to Ethics

This article explores the normative nature of institutions. The starting point of my investigation is Kahneman, Knetsch and Thaler’s notion of the reference transaction from which I derive a recursive relationship between normative judgements and social practices (i.e. regular, routinised actions in a social group), an implication of which I call the “self-justification of practices”. Drawing on John Dewey, I demonstrate how prevailing practices influence normative standards and thus how institutions become normative entities. I then show how, despite the conservative bias of normative standards, institutional change comes about. Finally, I enquire into the possibility of normative critique of prevailing practices and institutions.     

Institutional activism in the early American automobile industry

A common proposition is that new industries gain constitutive legitimacy through claim making by institutional activists. Yet, neoinstitutional research seldom analyzes the effects of claim making on the formation of new organizations, and how the effect of claim making is moderated by other sources of constitutive legitimacy: advertising, legal recognition, and a policy regime favorable to business. I explore the relationship between claim making by activists and new organization building in a study of the early American automobile industry, when auto clubs organized reliability contests to validate the automobile. The results show that the visibility of reliability contests within the focal state increased foundings of car firms in the state, but that this effect diminished with advertising, legal recognition of the car, and the existence of a business friendly governor in the focal state. Taken together, these results demonstrate that claim making is crucial in the early phase of gaining legitimacy for new industries.