制度改进的基本思维:演化动力和优化原则

新古典主义主要基于力量博弈解释制度变迁,但实际上促进制度变迁的因素有三类:一是社会力量结构的自发变动,二是社会力量结构的自觉变动,三是对制度本质的社会认知提高。其中,后两者都与认知有关,认知在非正式制度转化为正式制度中扮演着重要角色。同时,新古典主义主要基于效率原则设计社会制度,但实际上制度优化有两大原则:正义原则和效率原则。其中,正义原则是根本性的,制度的设立和完善必须体现不断深化的社会正义和应得权利。     

Defining and Defending a Progressive Market Square: Bringing Institutionalist Development Discourse in Line with the Reality of Post-Soviet Transition Experiences

Abstract:

This article is a response to two crucial ideas about progressive institutional change: the first is J. Fagg Foster’s principle of “minimal social dislocation,” which asserts that socio-economic changes should be implemented gradually, to avoid unraveling the social fabric of the community; the second is Karl Polanyi’s principles of redistribution of rights and powers by relevant authorities and reciprocity, a symmetrical and highly personalized exchange system, which is likewise a protective mechanism that society employs against anonymity and disintegration brought about by unregulated market. Using lessons learned in the thirty-year transition to market in post-Soviet countries, this article argues that to commence progressive institutional change in the honesty- and transparency-resistant cultures of former Soviet states, impersonal exchange and impartial rule of law must be given far greater weight than personalization of contacts and continuation of cultural traditions.     

Medical Dominance and Institutional Change in the Delivery of Health Care Services

This paper puts the theory of medical dominance, as it understood as a sociological theory of historical change, into a broader theory of institutional change of the delivery of medical care. The application of medical dominance theory to three institutional contexts (Australia, USA, and Canada) is reviewed. The possibility of progressive institutional change in the delivery of medical care is addressed, as well as the type of technological innovation that might accompany such institutional change. The concept of medical dominance is useful to explain the dominant characteristics supporting the institution of medical practice. However, an explanatory theory of the evolution of health care delivery should be linked to the instrumentally warranted standards for medical care. These standards are then discussed.

Automation,Financialization, and Institutional Change: Challenges for Progressive Policy

Abstract:

This article argues that the issue of “technological unemployment” resulting from automation is the result of ceremonial encapsulation within the process of progressive institutional adjustment. While institutions of production have adjusted to account for new technological developments, institutions of distribution have not. As discussed here, the main cause of this lack of adjustment is a financialized economy, in which shareholder returns motivate and dominate economic decision making and activity. As a result, gains and benefits from technological advances exacerbate existing income inequality and reduces the power of labor. I discuss this issue in detail before explaining how progressive policies that divorce private wage-labor from access to the system of social provisioning may serve to smooth this process of institutional adjustment caused by the introduction of automated processes.     

Social Entrepreneurship in China: Driving Institutional Change

In the aftermath of the Great Recession, the concern with exclusionary and unethical business practices has led to the growing popularity of social entrepreneurship, which focuses on the creation of social value, not wealth. In this article, I reflect on social entrepreneurship in China, a unique context given the strong communist party leadership and the transition to a market economy. To begin, I discuss the legal and political framework for social entrepreneurship in China, followed by an overview of the sector’s characteristics, including age, size, social issues emphasized, leader characteristics, and the role of women. Next, I provide examples of three social enterprises in China that illustrate the diverse possibilities for this sector as a force for social and institutional change. I conclude with some suggestions for strengthening China’s social enterprise ecosystem.     

Property and Economic Power as Issues in Institutional Economics

In the first part of this two-part paper, I presented an "irenic" reconciliation of the three apparently contradictory definitions of "institution" within original institutional economics (OIE), employing the methodology of critical institutionalism. The critical institutionalist reconciliation of these definitions conceptualizes institutions as an emergent process by which the internal and necessary relations of social structure as collective action, mediated through agency, results in the control, expansion, and liberation of the individual action of social actors in transactions. In short, an institution is the emergent process of social structure actualized in transactions (social action). Institutions, therefore, not only have a structural existence, but also an actual existence as they are the process of the emergence of the actual (in transactions) from the structural. Institutions are multi-level processes and cannot be reduced to structures, actions, behaviors, or patterns of behaviors. In this part, I demonstrate the significance of this reconciliation in two areas. The first is its ability to further differentiate the institutional definition of economics as "the science of social provisioning" from the mainstream definition of economics as "a relationship between ends and scarce means" by decomposing the institutional definition into its productive and distributive processes. The second is its usefulness in modeling the interaction of non-economic social institutions with economic institutions at varying levels of detail. I also introduce critical institutional analysis, and use as a method, for model-building and use it to build models of communal, feudal, and industrial capitalist economies.     

Economic–social interaction in China1

This paper analyzes economic–social interaction in China in connection with the country's change of economic system. I define an economic system in terms of a multi‐dimensional vector of broad institutional characteristics, and I emphasize that important features of the social development are closely related to specific changes in these various dimensions. I classify China's options for future social improvements into three broad categories: (i) policies that improve the stability and distribution of factor income; (ii) government‐created wedges between factor income and disposable income; and (iii) improvements in the quantity, quality and distribution of human services, such as education and healthcare.     

Sustainable Growth: A Circular Economy Perspective

Abstract:

Since the Brundtland Report was released in 1987, research on sustainable development has become an urgent issue of common concern. To meet the present consumption without compromising the needs of future generations, it is essential for society to practice the “don’t waste waste” principle and to promote sustainable growth. As this article illustrates, sustainable growth can be understood as an institutional arrangement of regenerating circular GDP in a sustainable manner. In the circular economy system, sustainable growth is not only theoretically feasible, but also looks very promising. To promote sustainable consumption and investment, a certain degree of institutional planning (i.e., a process of progressive institutional change) initiated by a community or a government is necessary. Sustainable growth is, in essence, a dynamic process of mutually-interacting socioeconomic activities of learning and training in sustainability issues, and this requires great effort as well as the active participation of people from all walks of life.     

Policy Dimensions of Progressive Institutional Change: Lessons from China’s Construction of a Socialist Market Economy

Abstract:

Through a comprehensive review of the progressive institutional change (PIC) literature, I first discuss four possible trajectories of PIC by considering the forces of societal reaction that might frame the path, as well as the scale and scope of the changes. Thus, I pose four questions that need to be asked when related policies are formulated for PIC. To illustrate this method, I scrutinize the evidence from the construction of a socialist market economy by the Chinese government since the 1980s and argue that related policies have successfully promoted PIC from three dimensions: (1) curbing potential conflicts with power groups; (2) promoting a sense of awareness among stakeholders; and (3) minimizing disturbances to the community. Actually, the related changes demonstrate a dynamic “displacement process” for PICs. Despite the success of this sociosystem, it is found that the sustaining of PIC which requires policy factors that enhance instrumental efficiency in the Chinese context will serve as a challenge to the Chinese government ahead.     

社会创业行为实现路径及内在机理——一项扎根理论的探索

基于8份社会创业者访谈材料，运用扎根理论方法，对社会创业在中国制度环境中的实现路径进行探索性分析。结果表明，社会创业意愿是社会创业的前置因素，制度情景和社会痛点是孕育社会创业意愿的重要土壤；创业者在多重制度逻辑中灵活运用合法性构建和资源拼凑等理性工具，并持续积累与更新创业知识和技巧，发挥社会创业意愿转化为创业行为的工具理性作用；当激励效应反馈到社会创业意愿时，新一轮创业行为将始于新的创业意愿；在整个社会创业意愿实现过程中，情绪特质和突发情节发挥重要调节效应。     

Against Decadence: The Work of Robert A. Brady (1901-63)

Research on institutional change has flourished ever since the debate on agency and structure has moved away from the previously uncompromising positions in which either agency or structure was emphasized. A conceptual compromise is sought here in a focus on the processes of institutionalization, which allows one to move beyond the idea that institutions are mere mental constructs or the point of view that behavior is the mere reproduction of institutional patterns. Contributing to an understanding of the processes of institutional change, this paper analyzes institutional change as instigated by tensions, triggered by agents’ discrepancies berween concrete institutional settings and the socio-economic values these are to represent. The Social Value Nexus that is presented introduces an emphasis on the perceived legitimacy of institutions. Describing (types of) tensions berween socio-cultural values and institutional settings, the paper explores how structure, agency and values interact in processes of institutional change.     

制度跃迁视角下知识产权审判专门化与企业创新

企业创新离不开制度支持,但现有关于制度影响企业创新的研究主要基于组织合法性理论,并以静态的制度框架为出发点。从诺思制度变迁理论视角,探讨动态的制度变迁环境如何影响企业创新,以2014年中国知识产权审判专门化改革为背景事件,构建准自然实验,研究发现：改革所建立的知识产权法院是制度变迁过程中一次典型的制度跃迁,对于企业创新绩效具有显著提升作用;在异质性检验中发现,知识产权法院的建立显著增加民营企业和高科技企业的实质性创新成果,北京知识产权法院的建立对于企业创新绩效的提升作用更显著;在机制检验中发现,知识产权法院的建立能够缓解企业融资约束,增强企业创新意愿,从而提升企业创新绩效。从诺思制度变迁理论视角解读中国从法制到法治建设的制度变迁过程及其影响,为推进国家治理体系和治理能力现代化提供参考。     

中国养老保险制度变迁的经济效应

本文针对中国目前正在进行的社会养老保险制度变迁 ,在一般均衡框架下构建了一个两期的动态生命周期模拟模型。我们从宏观经济、微观经济生产者、微观经济消费者、经济公平和转轨代价五个方面对制度变迁的经济效应进行了模拟量化分析。分析表明 ,制度变迁将使资本量和产量增加 ,资本 -产出比提高 ,利率下降 ,工资率上升 ;两类劳动者个人效用上升 ,养老金替代率上升 ,收入分配差距缩小 ;同时发生一定转轨代价。总的来看 ,此次中国养老保险制度变迁的经济效应是正面的。     

制度变迁、地方政府行为与城乡收入差距 ——来自中国省级面板数据的经验证据

本文采用1997-2009年面板数据的变截距及变系数模型,利用控制地区经济开放程度、产业结构变迁、城市化率等因素,对中国30个省市的制度变迁、地方政府支出决策与城乡收入差距之间的关系进行实证分析。结果显示：就全国而言,制度变迁、地方政府对经济活动的干预和地方政府投资性支出均与城乡收入差距呈正相关,而地方政府保障性支出则与城乡收入差距呈负相关;就地区而言,大部分地区在市场化过程中的制度变迁、地方政府投资性支出扩大了城乡收入差距,而半数以上的地区其政府支出规模及其内部保障性支出对城乡收入差距的缩小则有一定促进作用,但不同地区其影响呈现一定的差异性。其政策含义在于,我国在推进市场化进程的同时还要兼顾公平与效率,加强地方政府对收入不平等的调节作用,完善地方财政支出结构特别是社会保障体系,以此来缩小城乡收入差距。     

道德和经济利益：双重约束下的农户质量控制行为研究

社会转型是一场复杂的制度变迁过程。经济制度转变包括正式制度约束和非正式制度约束的改变。新制度经济学认为,正式制度约束在制度形成和制度变迁中固然起主导作用,但道德文化、社会习俗等非正式制度约束在制度演进中的巨大影响亦不容忽视。本文主要从制度变迁角度阐述农户对道德与经济利益取舍时关于农产品质量控制行为的内在机理和互动关系,本文强调要大力发展和引入农民合作经济组织,依靠农户间互相监督作用;其次,要加强诚信道德体系建设和诚信道德教育;同时,还要建立和完善以农户为主体的农产品质量追溯体系;最后,需要加强对农产品销售中介组织的监管力度,以减少因中间流通环节的不道德行为而产生的农产品质量控制问题。     

个体认知、权威决策与中国农地制度变迁——一个动态演化博弈模型的构建及检验

超越"强制性-诱致性变迁"二分法,构建动态制度变迁模型是制度经济学研究的前沿和难题。本文初步构建了一个以个体和权威为主体,包含制度变迁成本的动态演化博弈模型,并以中国农地制度变迁历程中的两个典型案例进行实证检验。研究表明,权威决策是正式规则的主要来源,个体共同认知则是非正式约束的主要来源,二者共同决定了制度变迁的方向;制度变迁成本是重要的激励约束因素,制度变迁的速度则取决于制度变迁成本与个体认知、权威决策三者的一致性程度,一个高效、有序的制度变迁过程应尽量避免三者的背离和冲突。因此,政府主导进行的农地制度改革应特别关注农民认知,尊重农民意愿;对具有高变迁成本的制度变迁采取渐进改革的方式,适时建立过渡性的制度安排,并在改革的速度与质量之间做好权衡,以减少改革阻力,提高改革效率。     

Institutions, social norms, and decision-theoretic norms

This article attempts to contribute to the debate on how to define and theorize institutions, particularly regarding normativity and explanations for conformity. Firstly, it proposes some distinctions and concepts: it separates moral from epistemic values, leading to different types of legitimacy and social norms; then it distinguishes different meanings of the term ‘normative’ and introduces the concept of decision-theoretic norm. Secondly, the article defends a broad concept of institutions by arguing that some institutions are neither social norms nor decision-theoretic ones, a point that matters for institutional change and stability. Some conventions from which innovators break are highlighted as an example.     

多重制度逻辑交互关系如何影响持续性变革过程？—基于云南农垦集团20年政企分离转型纵向案例分析

在更加动态和复杂的背景下,持续性变革取向的价值更加凸显.本文采用案例研究方法,以一家国有组织20年政企分离转型的过程为分析对象,尝试探究持续性变革的动力来源及过程机制.结合多重制度逻辑理论,研究发现小社会逻辑和市场逻辑是组织政企分离过程中最突出的两种制度逻辑.多重制度逻辑交互关系与持续性变革状态转换之间的具体关系如下:①受到外部环境影响,市场逻辑迅速提升对内部小社会逻辑产生挤压,两种制度逻辑之间的冲突显性化促使组织从"解冻"状态进入"冻结"状态,随后转向"再平衡"的变革状态;②组织内部小社会逻辑的回顾使得制度逻辑之间的冲突性逐渐减弱,兼容性逐渐凸显,推动组织由"再平衡"状态转向"解冻"状态;③多重制度逻辑交互关系的不断转换为组织持续性变革提供情景动力.研究结合组织内外部因素对持续性变革的驱动情景进行了有益探索,丰富了组织变革理论研究,同时为当前背景下企业变革和创新实践提供启示.     

Institutions and Values: A Methodological Inquiry

Economics entails a study of institutions regardless of the school of thought, and it is inherently an analysis of institutional transformation with a vision toward creating positive social change through economic arrangements. However, the conceptions of institutions, identity of individuals, human nature as it pertains to economics, identification of the economic sphere, its concerns, and studying its evolution, all vary substantively across schools of thought. We examine the following issues: (i) the differences in the ontological identity of the individual between heterodox approaches, new institutional economics (NIE), and the neoclassical school; (ii) the central point of divergence between original institutional economics (OIE) and NIE, despite both schools being committed to the project of an “institutionally” centered approach to economics; and (iii) the absence of a cohesive project to explore foundational theoretical congruencies among those heterodox approaches that have a shared vision, values, and a common ontological identity of socially embedded people.     

Economic Policy and the Progressive Idea

Abstract

Recent events in different countries suggest that institutional change is discontinuous and may lead to abrupt change. A specific case is shifts in social consensus. The article focuses on the latter. It argues that people make sense of their lives in relation to how they situate themselves within society. Their identities depend on the degree to which they are capable consciously to conduct their lives. Undesired economic change may disrupt previous identities and cause cognitive dissonance. At the collective level, it may trigger in-group versus out-group dynamics that provide a fictitious identity and either reinforce the status quo or suddenly subvert it.

Neoliberalism caused such undesired changes. A progressive alternative cannot rely just on convincing people that a change in conventional economic measures is desirable. It requires a recovery of people’s active and conscious self-identification. This involves overcoming their forced adaptation to the status quo through participation and collective action