关系性契约、契约成本和人力资本产权的界定

委托代理关系无论从本质还是从形式上看,都是一种契约关系。契约又可分为正式契约和非正式契约。对于契约形式的选择关键取决于这种契约能否节省交易成本,一个能有效降低交易成本的契约就是现实中相对最优的契约。而委托代理关系人之间的委托代理契约其实就是针对代理人人力资本产权交易的一个合约,那么最优的委托代理契约就是能有效降低代理人人力资本产权的界定费用的契约。本文在一种委托代理框架下,从契约理论角度考察了中国乡镇企业委托代理契约形式演化的过程及其内在原因。     

敲竹杠问题的本质及其解决方法

不完全契约理论认为,由于当事人的有限理性和事后机会主义行为导致敲竹杠发生;完全契约理论则认为,不完全契约理论存在契约不完全性外生化和有限理性假设矛盾等缺点,且不可验证性也不会阻碍有效的投资行为。不完全契约理论引入复杂性与参考点等概念说明,即使在完全理性条件下也可能产生敲竹杠问题,从而内生化了契约的不完全性。交易成本经济学从纵向一体化、产权理论从产权分配、关系契约理论从声誉博弈、完全契约理论从履约理论等角度提出了解决敲竹杠问题的方法。     

治理机制何时有助于联盟成功——基于不确定性视角的研究

基于交易成本理论和关系交换理论，采用比较研究法，探讨契约治理与关系治理对联盟成功的差异化影响并识别边界条件。运用410家联盟企业调研数据进行实证研究，结果表明关系治理比契约治理更有助于企业实现联盟成功，且这种影响效应随着联盟情境不同而发生改变。当联盟外部环境不确定性程度加深时，企业会更加依赖于关系治理而非契约治理实现联盟成功；当联盟伙伴行为不确定性程度加深时，企业选择契约治理比依赖关系治理更容易实现联盟成功。研究结论可为联盟企业在不同情境条件下选择恰当治理机制并实现联盟成功提供理论指导。     

再论交易成本的性质

本文提出了交易成本的本质其实就是与交易有关的制度的运行成本,它又可分为必要交易成本和非必要交易成本。前者是制度存在的必要条件之一,表明了交易成本存在的合理性;后者则是制度演进的空间维度。并运用它分析了交易成本和契约、产权以及制度变迁的真正关系,发现传统理论对交易成本的理解只是抓住了事物的表象,却忽视了存在于这一表象后的人,这对于交易成本理论的正确运用是非常不利的。     

有关交易成本测度的评述

本文在回顾交易成本测度文献的基础上对直接交易成本研究方式提出了如下见解:交易的概念经Williamson的转换后,实际上不再要求交易主体与交易对象的产权关系以及产权关系的转移,也放弃了市场这个参照系.面对越来越复杂的研究对象,直接交易成本测度研究因跟从了交易概念转换而引致交易成本的概念扩展.在测度的实际研究中,交易成本面临主体的转换、内涵的变化和配置效果的明显差异,使得交易成本的比较意义不明晰.     

基于契约的企业边界决定理论介评

西方经济学家从契约的角度对企业边界决定问题进行了大量研究,产生了许多经典理论学说。其中颇具代表性和影响性的理论是技术决定论、交易成本决定论、产权决定论、监督成本决定论、激励成本决定论。这些理论洞悉了技术、交易成本、产权等因素对企业边界的影响。但由于其研究方法的局限性,很难解释当前企业界发生的并购、合作、外购、业务交换等现象。未来企业的边界具有动态性和模糊性特征,企业边界决定理论的研究还有待进一步深化。     

基于交易成本的专利制度利益平衡机制分析

在交易成本的概念框架下建立了一个正外部性内部化的数学模型,分析论证了在不同交易成本的情况下,专利产权的初始界定与资源配置的关系。结果显示:由于发明创新是具有不可穷尽外部性的经济活动,因而不适用科斯第一定理;与拥有完全的专利产权相比,有限制的专利产权能节约交易成本,优化资源配置,因而从交易成本的视角给出了专利制度利益平衡机制的经济学解释。     

变更利用中城市存量土地产权制度分析框架

本文运用制度经济学的基本原理，综合交易成本经济学和产权理论，提出了城市存量土地产权界定、产权流转和收益分配对城市存量土地利用变更行为及其绩效影响的分析框架。     

企业会计准则实施的交易成本分析

企业实施政府发布的《企业会计准则》就其本质来说反映了政府与企业之间的契约关系。这种契约安排的交易成本包括:准则制定成本、准则培训成本、准则执行成本以及准则疑难解释成本。新会计准则中,有完善的会计准则、相对完善的会计准则以及不完善的会计准则,实施完善程度不同的会计准则,政府和企业所产生的交易成本不同。非上市企业是否选择执行新准则,将会视交易成本的大小而定。     

产权结构与制度环境降低交易成本的机理研究*

产权能否降低交易成本与产权可分性下的不同产权结构与制度环境的适应性水平密切相关。以此为基本思路,本文以产权的可分性为切入点,对产权结构和制度环境进行了类型划分,并深入探究了产权结构、制度环境、交易成本间适应性下运行的一般机理。由此说明,产权结构、制度环境的优化均可降低交易成本,产权结构与制度环境的匹配度越高,交易成本降低越多。政府失灵型等六种产权结构类型与负国家环境水平指数型等六种制度环境类型的具体匹配,可以更好地探究出产权结构与制度环境深度匹配降低交易成本的路径。     

Bargaining In International Trade Under Exchange-Rate Uncertainty

This paper examines the implications of various contracting alternatives between exporting and importing firms on the volume of international transactions. the contracts that we study are determined in a bargaining situation under exchange-rate uncertainty. First we look at contracts which entail an ex ante commitment on price and quantity of exports without the possibility of renegotiation ex post. Second, spot contracts, i.e., the price and the quantity of exports are negotiated after the exchange the rate is known. A third type of contracts consists of ex ante commitment and ex post renegotiation.     

企业的性质:要素使用权交易合约之履行过程

本文对企业的性质进行了分析 ,发现企业的性质在于 ,企业是市场中由要素所有者签订的一组不完备的要素使用权交易合约的履行过程。要素使用权交易合约的履行过程包括要素投入、要素使用权 (核心是剩余控制权 )的行使以及要素增值的分配 (核心是剩余索取权的行使 )以及企业组织资本与组织资产的创造和使用等 ,这一过程融交易功能与生产功能于一体。该组合约的关键内容就在于企业剩余索取权与剩余控制权的安排。作为要素使用权交易合约的履行过程 ,企业与市场是不能截然对立分离的 ,即要素市场、资产及服务市场等与要素使用权交易合约的签订与履行是互为基础 ,互相促进的。     

Being and Time: On the Nature and the Evolution of Institutions

The process that drove the early evolution of hominid culture was an arms race that led to selection for 'big brains,' higher consciousness, and language. Culture was a constraining force on this arms race. 'Big brains,' higher consciousness and language paved the way for the evolution of theory of mind and lower rates of time preference, two keys to the development of complex culture. Culture is a shared mental construct, a form of shared social intentionality with a deeply abstract and symbolic nature. Our symbolic ability enabled the development of this public good, which included such mental constructs as promises, obligations, contracts, marriages, property, money, agency, and government. Cultural institutions change the way we think because they both reduce the cost of cognition and become a substitute for cognition by forming a framework for social habits and routines and that allows for specialization in cognition over space and time; in a fundamental and often unrecognized way, they reduce transactions costs. Perception—including social perception—is an ill-posed problem. Culture provides background assumptions and constraints which allow us to solve this problem and thereby reduce transactions costs.     

我国自然文化遗产景区门票价格持续上涨的产权分析

价格是市场交易的体现,市场交易的实质是产权的交易。因此,什么样的产权制度就决定什么样的市场交易,并最终决定交易的价格。我国自然文化遗产景区门票价格持续上涨的根本原因在于遗产景区现有的产权制度安排及其衍生的管理模式。只有改革现有的产权制度及管理模式,才能从根本上遏制遗产景区门票价格持续上涨的趋势。     

Core and equilibrium in incomplete markets

Conclusions The classical foundation of general equilibrium analysis by the cooperative concept of the core has been extended to an economy with incomplete trading possibilities. This has been accomplished by restricting the exchange possibilities of coalitions of traders in accordance with the available market structure. However, compared with the classical result, the present foundation of rational expectations equilibria may appear much weaker. The reason is that in reality consumers may sign contracts which are more complex than the existing market structure. Therefore, it may happen that prices cannot decentralize all cooperative transactions by markets, in spite of perfect competition. With an incomplete set of markets, therefore, a cooperative exchange of commodities by individual contracts may coexist with trading in non-cooperative, competitive markets.I wish to thank Martin Hellwig for helpful comments and suggestions. Of course, I remain responsible for all shortcomings of the paper.     

中国省级预算中的非正式制度:一个交易费用理论框架

运用交易费用经济学 ,本文研究了中国省级预算中非正式制度出现的原因及其主要形式。本文的主要观点是 :中国省级预算中存在的非正式制度是省级政治中的政治家发展出来解决他们制定和实施预算合同时所面临的交易费用问题的。主要的非正式制度包括三种横向非正式制度 ,即预算产权、部分等级制和完全等级制 ,以及围绕着这三种横向非正式制度而形成的“以关系为基础”的纵向非正式制度。     

论科斯定理的真理性

科斯定理具有隐含的私有产权制度偏好。在逻辑意义上,对科斯定理中"交易成本"、"可交易权利的初始配置"、"最终配置"作特定的理解,科斯定理在西方主流经济学逻辑、方法论意义上是正确的,但此时科斯定理完全等价于完全竞争理论,没有任何现实意义。在经验意义上,科斯定理是谬误。科斯定理的逻辑推论必然是私有产权企业比公有产权企业更有效率。在经济实践中,存在着三类证据:完全肯定科斯定理、完全否定科斯定理以及在肯定科斯定理的同时包含着否定科斯定理的成分。"超产权论"是对科斯定理的"革命",是对科斯定理的否定。     

The nature of Coasean property

The Coase Theorem is widely regarded as pointing to the importance of positive transaction costs for the analysis of economic institutions. Various interpretations of the Coase Theorem regard transaction costs as some set of impediments to contracting, or more broadly, as the costs of providing institutional solutions to conflicts over resource use. The abstract nature of the Coasean hypothetical tends to promote an abstract notion of property as a thin entitlement: a right in a designated person to take certain actions or derive value from a set of resource attributes. On this view, property is like a collection of tiny contracts. The property rights furnished by actual property law are much more coarse grained than this, and property is correspondingly “incomplete” for transaction costs reasons. Property and contract are substitutes in some situations, but they often are not interchangeable—because of Coasean transaction costs.     

Politics as exchange: the classical liberal economics and politics of James M. Buchanan

James Buchanan advocated the market mechanism for allocating resources because it is based on voluntary exchange. People engage in market transactions only when they believe they benefit from doing so. Buchanan depicted the political process the same way. People engage in collective activities to accomplish together ends that they would be unable to accomplish individually, or through bilateral exchange. Buchanan’s vision of politics as exchange is a normative framework for evaluating the rules within which political activity takes place. Rules that meet the criterion of agreement are desirable constitutional rules, and Buchanan recognized that not all government activity satisfies that criterion. Buchanan is the father of the subdiscipline of constitutional political economy, and his “politics as exchange” approach provides the foundation for much work in that area. Buchanan has created a foundation that is rich in ideas, but leaves behind a number of unanswered questions that point the way toward a further development of the research program in constitutional political economy.     

企业年金计划受益人的财产风险及保护问题探讨

受益人利益及其财产保护是企业年金计划的核心目标。基于信托和委托的企业年金治理结构和运作体系。既是受益人财产制度的创新，又是受益人财产风险的根源。由于利益主体目标函数的不一致和机会主义行为。会出现产权交易申的转移保留权、既得受益权、投资决定权、制衡监管权以及风险补偿权等问题，损害了受益人的利益及财产。因此，为了保护年金计划受益的利益及财产，需要界定利益主体间的权能结构关系，强化其合意行为并控制其机会主义行为，重视其间的利益捆绑机制，在信托和委托多重代理关系中寻求利益激励与约束的均衡点。