论学习型体制转型
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摘要
本文的体制转型是指包括中国在内的后发国家的市场化进程,与先发国家自然演进的的市场化进程相比,它是在已有大量关于市场和市场化的理论、经验及规则的影响下展丌的,是一种特殊类型的制度变迁,本文称之为“学习型体制转型”。本文的目的是通过综合运用现有各种制度变迁理论并结合后发国家自身约束条件解释外在知识对体制转型的影响。本文将循着动力—目标—路径—绩效的逻辑框架对转型中的制度学习作一较为系统的梳理。虽然现有研究中也注意到了后发国家体制转型的特殊性,但真正从外在知识和内在约束的结合这一角度对转型的特殊机理进行的系统研究还较少见。
首先,本文认为,一切变革的动力都源自于稀缺条件下的生存竞争,竞争的本质是对潜在利益的追求,这是一切制度变迁的共性。后发国家由于其特殊的约束条件使得其体制转型一方面具有明显的学习特征,另一方面同样由竞争导致的体制转型或学习的动力又具有了特殊的表现形式。它主要表现为由显性体制落差引起的内生动力和外部压力及其复合作用,并且以先发国家的经济实绩为参照系,通过缩小体制落差而可能实现的巨大潜在利益相比于一般制度变迁具有更加明显的可判断性和经济主体之间的较高程度的一致性,从而较易于达成制度变迁必要性的共识,使得发生大规模制度变迁的可能性大大增加。
其次,后发国家相似的初始条件决定了实际的学习过程普遍都是在政府主导下实施的。而统治集团对体制内意识形态的修正度直接决定了潜在的改革度、外在制度知识的可习得量及制度变迁中公共选择的边界。因此,转型目标的确定是一个外在知识与内在约束有机结合的多元决定的结果。体制内意识形态修正的渐进性决定了转型目标是一个动态变化的过程,但这一动态过程从事后看往往具有向某一终极目标逐步逼近的特点。需要指出的是,体制内意识形态的修正本身又是改革绩效的累积、制度知识的增加、利益集团之间力量对比的变化共同作用的结果,但体制内意识形态修正的滞后性和阶段性使得本文有可能通过构建一个相对清晰的逻辑框架来解释两者之间的双层次互动关系。
第三,在上述多元因素的共同作用下,成功的学习型体制转型是一个沿着成本最小化路径进行的渐进过程。与转型目标的动态变化相对应,在制度形态上,这一过程表现为过渡性制度安排的逐次替代,并且这种替代因时因地表现出不同的特点,具有多样性的特征。
Economic transition referred in my dissertation means marketization process of late-developed countries including China. Compared with those natural evolved marketization process of developed countries, the transition here is expounded under the influence of plenty theories, experiences as well as regulations about market and marketization, and is called "learning type of economic transition" because of its special form. The purpose of this dissertation is to explain the impacts of external knowledge on economic transition through comprehensively employing all kinds of institutional change theories and combining the constraint conditions of late-developed countries. Following the logic of motivation-target-routine-performance, the dissertation systematically combs studies of economic transition. Though many of present studies have related to the specialty of late-developed countries transition, there are few systematic studies on the particular mechanism from angle of combination of external knowledge and internal constraint.Firstly, the dissertation holds that, every reform is rooted from survival competition under situation of scarcity. The essentiality of competition is pursuing potential benefits, which is the commonness of every institutional change. Owing to special constraint condition, on one hand, the economic transition of late-developed countries is distinctively characterized as learning type; while on the other hand, due to competition and learning motivation, it also takes on a specific form which can be presented as : compared with general institutional change, the economic transition of late-developed countries could be more judgeable and comparatively of high conformity between economic principals because of internal impetus and external pressure resulting from obvious differences between late-developed and developed countries, together with their combination, referred by economic performances of developed countries, the huge potential benefits which may be realized through narrowing distances between different institutions. Therefore, it is easy to come to consensus of changing institution, which greatly increases the possibility of large-scale institutional change occurence.Secondly, the initial conditions of late-developed countries predetermine that the actual learning is generally conducted under dominance of government. But the modification to internal institution ideology directly defines the extent of potential reform, the amount of external institutional knowledge obtained as well as boundaries of common selection in institutional change. Accordingly, the establishment of a target is a result of organical combination of external knowledge and internal constraint. Gradual modification to internal institution ideology determines a dynamic changing process of transition target, which afterwards is widely acknowledged as gradually approaching to a certain final target. What should be pointed out is that modification itself is a result interplayed by accumulation of reform performances, increase of institutional knowledge, and comparison between groups
首先,本文认为,一切变革的动力都源自于稀缺条件下的生存竞争,竞争的本质是对潜在利益的追求,这是一切制度变迁的共性。后发国家由于其特殊的约束条件使得其体制转型一方面具有明显的学习特征,另一方面同样由竞争导致的体制转型或学习的动力又具有了特殊的表现形式。它主要表现为由显性体制落差引起的内生动力和外部压力及其复合作用,并且以先发国家的经济实绩为参照系,通过缩小体制落差而可能实现的巨大潜在利益相比于一般制度变迁具有更加明显的可判断性和经济主体之间的较高程度的一致性,从而较易于达成制度变迁必要性的共识,使得发生大规模制度变迁的可能性大大增加。
其次,后发国家相似的初始条件决定了实际的学习过程普遍都是在政府主导下实施的。而统治集团对体制内意识形态的修正度直接决定了潜在的改革度、外在制度知识的可习得量及制度变迁中公共选择的边界。因此,转型目标的确定是一个外在知识与内在约束有机结合的多元决定的结果。体制内意识形态修正的渐进性决定了转型目标是一个动态变化的过程,但这一动态过程从事后看往往具有向某一终极目标逐步逼近的特点。需要指出的是,体制内意识形态的修正本身又是改革绩效的累积、制度知识的增加、利益集团之间力量对比的变化共同作用的结果,但体制内意识形态修正的滞后性和阶段性使得本文有可能通过构建一个相对清晰的逻辑框架来解释两者之间的双层次互动关系。
第三,在上述多元因素的共同作用下,成功的学习型体制转型是一个沿着成本最小化路径进行的渐进过程。与转型目标的动态变化相对应,在制度形态上,这一过程表现为过渡性制度安排的逐次替代,并且这种替代因时因地表现出不同的特点,具有多样性的特征。
Economic transition referred in my dissertation means marketization process of late-developed countries including China. Compared with those natural evolved marketization process of developed countries, the transition here is expounded under the influence of plenty theories, experiences as well as regulations about market and marketization, and is called "learning type of economic transition" because of its special form. The purpose of this dissertation is to explain the impacts of external knowledge on economic transition through comprehensively employing all kinds of institutional change theories and combining the constraint conditions of late-developed countries. Following the logic of motivation-target-routine-performance, the dissertation systematically combs studies of economic transition. Though many of present studies have related to the specialty of late-developed countries transition, there are few systematic studies on the particular mechanism from angle of combination of external knowledge and internal constraint.Firstly, the dissertation holds that, every reform is rooted from survival competition under situation of scarcity. The essentiality of competition is pursuing potential benefits, which is the commonness of every institutional change. Owing to special constraint condition, on one hand, the economic transition of late-developed countries is distinctively characterized as learning type; while on the other hand, due to competition and learning motivation, it also takes on a specific form which can be presented as : compared with general institutional change, the economic transition of late-developed countries could be more judgeable and comparatively of high conformity between economic principals because of internal impetus and external pressure resulting from obvious differences between late-developed and developed countries, together with their combination, referred by economic performances of developed countries, the huge potential benefits which may be realized through narrowing distances between different institutions. Therefore, it is easy to come to consensus of changing institution, which greatly increases the possibility of large-scale institutional change occurence.Secondly, the initial conditions of late-developed countries predetermine that the actual learning is generally conducted under dominance of government. But the modification to internal institution ideology directly defines the extent of potential reform, the amount of external institutional knowledge obtained as well as boundaries of common selection in institutional change. Accordingly, the establishment of a target is a result of organical combination of external knowledge and internal constraint. Gradual modification to internal institution ideology determines a dynamic changing process of transition target, which afterwards is widely acknowledged as gradually approaching to a certain final target. What should be pointed out is that modification itself is a result interplayed by accumulation of reform performances, increase of institutional knowledge, and comparison between groups
引文
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