经济转型中的制度移植与非正式制度约束

经济转型的实践表明,制度移植很大程度上取代了制度设计.而制度移植成功的关键在于制度创新,将移植来的正式制度形式与本土的非正式制度相融合.如果在经济转型过程中只关注目标制度的形式,而不关心其内涵,必然会与本土的非正式制度形成冲突,导致移植失灵,陷入制度陷阱.文章的主要观点通过对中国和俄罗斯制度创新模式的实证分析得到支撑.     

发展中国家经济安全问题的制度分析

在市场经济全球化迅速发展的背景下,制度因素已成为影响发展中国家经济安全的最大瓶颈.因此,拟从新制度主义的视角,从制度结构和制度供求两个维度对发展中国家经济安全的影响机制进行深入系统的阐释,在此基础之上,提出应对经济安全问题的具体对策和措施.     

新贸易保护主义的制度解析——发展中国家的视角

新贸易保护主义对发展中国家的经济发展有着深刻的影响。一方面,阻碍发展中国家产品的出口,削弱出口产业的竞争力;另一方面,这种政策对产业政策和宏观经济体制还有着深刻的影响。外因通过内因起作用,这种政策的影响主要还是取决于发展中国家自身的发展质量,正确地理解和恰当地应对新贸易保护主义,能够促进强制性制度变迁中意愿制度供给和实际制度供给间缺口的弥合,提高经济发展的质量和推动市场经济体制的完善,正确界定政府干预的边界。     

转型期发展中大国的转型问题:历史拐点论新探

中国这个转型时期的社会主义发展中大国,正处在一个以五大转折为特征的具有里程碑意义的历史拐点之上。转型期社会,尤其是中国作为发展中大国的发展更具风险性和不确定性。因为既要克服前转型期社会的路径惰性、制度惯性或文化习性,也要创造后转型期社会的新要素,同时还要根据中国国情借鉴其他国家的有益经验。转型期方法论的特点就是"同则不继"、"和实生物";就是把握"两个矛盾方面的共存、斗争以及融合成一个新范畴,就是辨证运动的实质"这一原则,并从诸种事物的对立和运动中把握统一面。中国特色社会主义这个转型期发展中大国向科学发展转型过程中,要大力实现创新型发展、公平与和谐型发展、绿色型发展和非依附型发展。     

Tax Morale in Transition Countries

This article tries to reduce the lack of tax compliance research analysing tax morale in transition countries. The empirical analysis using tax morale as a dependent variable working with World Values Survey data indicates that there is a significantly higher tax morale in Central and Eastern European than in former Soviet Union countries. This difference has increased during the transition process. Furthermore, the article shows that factors such as trust in the legal system and the government have a significant positive effect on tax morale in transition economies.     

Liquidity Constraints and Investment in Transition Economies

We use Bulgarian firm-level data to investigate the impact of liquidity constraints on investment performance. Internal funds are an important determinant of investment in most industrialized countries. We test whether internal funds are important for firm investment during the current transition process in Bulgaria. We use a simple accelerator model of investment to test whether liquidity constraints are relevant in the case of Bulgaria. Our estimations are based on data for the period 1993–95, prior to the Bulgarian financial crisis in 1996–97. It turns out that Bulgarian firms are liquidity constrained, and that firms' size and financial structure help to distinguish between firms that are more and less liquidity constrained. In our view, liquidity constraints can be given a different interpretation in the case of transition economies as compared to Western economies. A more in depth analysis of the data reveals that liquidity constraints, and consequently the access to external funds for Bulgarian firm investment, are to be seen against the background of soft-budget constraints and the failure of the financial system to enforce an efficient allocation of funds. In our view, the lack of liquidity constraints may actually be seen as a sign of financial weakness in the case of Bulgaria.     

转型时期的制度变迁和经济发展

本文通过对转型国家的横向比较分析,认为转型国家的制度变革与经济发展具有直接的正相关性。转型国家经济的增长和社会的发展,最重要的因素包括三个方面：即宏观经济稳定、稳定的政策环境、有效的政府,但更为重要的是持续发展则取决于制度的变革和创新。所以转型国家应重视制度的建设和完善。     

税费改革中的制度约束与制度创新

税费改革是我国改革征途上的又一次“革命”。经济分权式改革迫使人们开始更多地关注地方财政问题。而目前财政问题的实质在于收入分配结构的扭曲。收入分配结构扭曲的根本原因,在于收主其结构体系的失衡和失效。税费改革要想取得根本性成功,关键在于制度创新。     

Payment Systems in Countries in Transition

MOCT-MOST: Economic Policy in Transitional Economies -     

Swidden Agriculture in Developing Countries

Small farmers in many tropical developing countries practice swidden agriculture. A key aspect of swidden agriculture is the time period during which the land is left fallow. This paper uses a new ecological–economic approach to study the fallow period and to determine the optimal length of this period in swidden agriculture. The authors first construct a theoretical model of a parcel of forest land that has been cleared for swidden agriculture. It is then shown how the dynamic and the stochastic properties of this cleared land can be used to derive two objective functions for a small farmer that are ecologically meaningful. Finally, using these two objectives, a probabilistic approach to the determination of the optimal length of the fallow period is discussed. In this approach, the focus of the small farmer is on maintaining the ecological and the economic sustainability of swidden agriculture on the cleared parcel of forest land (CPFL).     

Strategic Privatization in Developing Countries

Privatization of state‐owned enterprises may have important welfare implications, in particular in less developed economies where markets are small and domestic firms are typically relatively weak, both technologically and financially. In these environments, a high‐tech foreign investor acquiring the state‐owned assets may end up dominating the local market, thereby harming local consumer and producer interests. A foreign investor, however, is likely to be both willing and able to offer a higher bid for the assets than local investors. This paper addresses the trade‐off for local governments between privatization revenues and foreign market power. The authors find that there may be an incentive to privatize “strategically” by selling the state‐owned firm to a local (less advanced) investor at a lower price in order to achieve a more competitive post‐privatization market structure.     

农村治理转型与制度创新--河北省武安市"一制三化"经验的调查与思考

本文分析了将直选机制特别是海选办法引入村委会选举对农村领导和管理体制所形成的冲击以及中央特别是地方政府所采取的应对措施。作者重点剖析了河北省武安市“一制三化”这一制度创新个案并试图从中总结出地方政府创新的一些规律性东西来。在文章的最后一部分，作者提出农村治理转型需要进行综合配套的制度建设并从四个方面进行了探讨。     

转轨国家的政府干预、腐败与政府被控——转型国家中企业与政府交易关系研究

根据转型国家企业的最新调查资料，本文从转型经济国家中政府与企业的关系的角度，考察了治理的质量、政府干预程度和企业对政府控制程度与腐败的关系。就资料显示，政府被既得利益集团控制程度与腐败程度有直接关系。就一个国家内部的微观情况来看，政府对企业干预的程度、政府对企业的优惠以及企业为政府腐败支出量的大小之间显然存在相互替代的关系。调查表明，市场化改革必须与有效遏制政府被控结合起来。     

发展中国家内、外资银行信贷行为差异分析

众多发展中国家的金融改革实践表明,银行业开放的正负效应并不具有显著的国别一般性,特别是在信贷稳定性上,在东道国和外资银行母国经济运行的不同时期,外资银行与东道国国内银行的信贷行为可能存在较大的差异性,进而对东道国的经济金融稳定带来不同的影响。本文从全球范围内抽取了21个发展中国家（地区）和转轨国家中的400余家内、外资银行为样本,以其在2002～2010年间的相关数据构成面板数据集,来对内、外资银行在此期间的信贷行为差异进行检验。研究发现,外资银行的信贷行为确实与国内银行存在着差异性,主要表现在外资银行的信贷增长既表现出与东道国的经济增长显著正相关,又明显受到母国经济状况的影响;在经济正常的年份里,外资银行的信贷表现更多的取决于东道国的经济状况,而当外资银行母国发生经济危机时,却会对外资银行的信贷增长造成较大的负向冲击。     

转型国家的战略集团与国家能力

作者认为国家能力包括实施政治决策的能力和讨价还价能力以及在不同利益群体之间寻求平衡的能力。作者以此出发,分析了中国作为转型国家,私营家这一战略性集团的成长对国家能力的影响。认为私营企业家的成长有利于中国现代化的推进,作为战略群体的私营企业家正式的和非正式的战略行动通过组织方式出现,不仅不会削弱国家能力,反而会增强国家能力。     

本土知识与发展中国家的粮食安全

发展中国家的粮食安全问题紧迫而复杂,需要动员一切可能的、可持续的积极因素。本土知识是贫困地区粮食供给的基本手段,农业创新的土壤,贫困人群的社会资本,全球食物多样性的基础,在发展中国家的粮食安全体系中起着独特的作用。在经济全球化时代,发展中国家应充分认识、发挥本土知识的减贫功能,并努力使之成为贫困地区粮食供给的多元化手段之一,以保障粮食安全。     

The Nature of Institutional Change in Transition

Contemporary empirical evidence of transition in Central and East European countries proves the importance of institutional change, as was claimed by advocates of this field of transition. The article assesses institutional change in the first phases of transition from the perspective of competing strategies: rapid changes versus gradualism. After pointing to some inconsistencies in this debate, the article discusses the possibility and prospects for development of a market for institutions in European transition countries. The main criterion which is used is the requirement for the rule of law as one of the foundations of a market economy. It concludes that undeveloped endogenous factors of institutional change still do not enable development of markets for institutions. Reluctance of national governments to act according to a long-run perspective is at present to a certain extent compensated by the presence of external factors of institutional change.     

Productive Consumption and Growth in Developing Countries

Productive consumption enables the satisfaction of current needs and increases the productive potential of labor. The productive-consumption hypothesis is of fundamental interest because it modifies the "harsh" intertemporal consumption tradeoff traditionally assumed. The incorporation of the productive- consumption hypothesis into a simple endogenous growth model reveals the following implications: (i) the possibility of a poverty-trap; (ii) the rule of optimal consumption turns into a modified Keynes–Ramsey rule; (iii) the (effective) IES is based on, inter alia , the technological opportunities to enhance human capital due to productive consumption; (iv) a rising saving rate; and (v) transitional dynamics to an asymptotic balanced-growth path.     

论体制转轨的动态过程——非国有部门的成长与国有部门的改革

本文试图将中国经济体制转轨所取得的成就和所面临的问题 ,放在一个简化了的动态模型中加以系统地分析。文章指出 ,动态地看 ,体制转轨的根本问题就是非国有经济比重的不断提高和经济的所有制结构的转变。在非国有经济的增长率高于国有经济的增长率的“基本假定”下 ,体制转轨的最重要的问题首先不是改革国有经济 ,而是发展非国有经济。这不仅是由于非国有经济的发展支撑着经济的增长和市场体制的形成 ,而且也是由于它创造出使国有经济得以改革的更有利的条件。国有经济改革的重要性主要在于 ,它们若不改革 ,就还要占用大量资源 ,而且是要从非国有经济转移资源作为事实上对国有经济的补贴。这种补贴在过去一个时期主要体现在银行坏债、资本市场上的“坏股”、非国有经济的“综合税赋”事实的不断提高 ,等等 ,现在也体现在政府债务增大。正因如此 ,尽管中国目前并不面临金融危机 ,但必须加快国有企业和国有银行控制的金融体制的改革进度 ,以保证非国有经济能持续发展下去 ,保证整个体制转轨过程的持续进行而不被某种危机所打断。