本文選題：適應(yīng)性效率 + 體制結(jié)構(gòu)��； 參考：《浙江財(cái)經(jīng)學(xué)院》2011年碩士論文

【摘要】：自從制度及其作用被眾多經(jīng)濟(jì)學(xué)者關(guān)注以來(lái),出現(xiàn)了大量的文獻(xiàn)對(duì)制度的效率或者績(jī)效進(jìn)行研究和探討,對(duì)在中國(guó)和俄羅斯發(fā)生的大規(guī)模制度變遷進(jìn)行的研究自然也包括在內(nèi)。中俄分別采取了不同的改革路徑,進(jìn)而產(chǎn)生了不同的改革績(jī)效,它們所采用的制度也產(chǎn)生了不同的效率,因此如何來(lái)評(píng)價(jià)長(zhǎng)期制度變遷過(guò)程中制度的效率就顯得至關(guān)重要,它能夠讓我們更深刻地理解制度變遷的過(guò)程,或者說(shuō)讓我們洞悉制度變遷的一般規(guī)律,進(jìn)而取得制度變遷的成功。 自諾思開(kāi)創(chuàng)適應(yīng)性效率理論以來(lái),其研究的重點(diǎn)集中在對(duì)適應(yīng)性效率概念和相關(guān)要素的理解。但在制度變遷理論中,對(duì)于能夠帶來(lái)長(zhǎng)期經(jīng)濟(jì)績(jī)效的制度結(jié)構(gòu)的特征——適應(yīng)性效率的重要性是認(rèn)識(shí)不足的,相應(yīng)地也存在探討的不足。雖然諾思的研究?jī)H僅集中在以上兩個(gè)方面,但是他的研究成果為適應(yīng)性效率更近一步的探討提供了理論基礎(chǔ),激勵(lì)我們?cè)谶m應(yīng)性效率理論的擴(kuò)展層次上進(jìn)行更加深入的思考。因此對(duì)“適應(yīng)性效率”概念的思考和理論的擴(kuò)展研究構(gòu)成本文的主要內(nèi)容。雖然目前已經(jīng)有學(xué)者對(duì)適應(yīng)性效率的概念進(jìn)行了解釋,但仍存在一些疑惑,存在對(duì)其進(jìn)行更深入闡釋的必要;揭示制度內(nèi)部的適應(yīng)性動(dòng)態(tài)調(diào)整情況,對(duì)制度結(jié)構(gòu)的適應(yīng)性水平進(jìn)行定義和描述,將適應(yīng)性效率理論具體化、可操作化,從而為各國(guó)制度結(jié)構(gòu)的變革找到一個(gè)努力的方向。這是本文的研究目標(biāo)。 本文通過(guò)對(duì)國(guó)內(nèi)外學(xué)者關(guān)于適應(yīng)性效率研究的文獻(xiàn)進(jìn)行評(píng)述以及對(duì)評(píng)價(jià)制度效率的標(biāo)準(zhǔn)進(jìn)行分析,肯定適應(yīng)性效率是長(zhǎng)期制度變遷過(guò)程中對(duì)制度效率的評(píng)價(jià)標(biāo)準(zhǔn)。本文貫徹了有限理性的假設(shè),并以諾思的“適應(yīng)性效率”理論為基本分析工具,從適應(yīng)性角度對(duì)體制結(jié)構(gòu)的適應(yīng)性指標(biāo)和適應(yīng)性水平進(jìn)行探討,繼而對(duì)目前采用的兩種改革策略進(jìn)行適應(yīng)性分析和評(píng)價(jià),從而對(duì)如何獲得適應(yīng)性效率給予建議。 本文的研究主要得到以下結(jié)論: 首先,雖然國(guó)內(nèi)學(xué)者在諾思對(duì)適應(yīng)性效率概念總結(jié)的基礎(chǔ)上將適應(yīng)性效率概括為:一個(gè)社會(huì),由于其制度結(jié)構(gòu)在應(yīng)對(duì)不確定性的過(guò)程中通過(guò)不斷引導(dǎo)變化著的個(gè)體行動(dòng)模式而促進(jìn)知識(shí)的充分、正確、協(xié)調(diào)運(yùn)用及更新,從而使經(jīng)濟(jì)呈現(xiàn)長(zhǎng)期增長(zhǎng)的趨勢(shì)。但本文指出,個(gè)體行動(dòng)與整體制度變遷之間并不存在必然的聯(lián)系。在兩者之間,即微觀與宏觀之間存在一個(gè)鏈接——“關(guān)鍵參與人”。通過(guò)引入這一因素,并對(duì)它進(jìn)行全面的分類,最終將適應(yīng)性效率的概念修正為:制度結(jié)構(gòu)為了應(yīng)對(duì)受到現(xiàn)實(shí)沖擊的個(gè)體知識(shí)的更新、協(xié)調(diào)運(yùn)用和發(fā)展所形成的關(guān)鍵參與人的要求,進(jìn)行一定程度的適應(yīng)性調(diào)整,從而使經(jīng)濟(jì)能夠呈現(xiàn)長(zhǎng)期增長(zhǎng)的趨勢(shì)。 接著,本文先探討了體制內(nèi)部結(jié)構(gòu)的組成,包括元制度和派生制度、制度鏈和體制功能模塊、制度核和體制品性。雖然已經(jīng)有學(xué)者分析過(guò)制度結(jié)構(gòu)的內(nèi)部調(diào)整情況,但他們的分析并不全面。本文對(duì)體制內(nèi)部結(jié)構(gòu)的適應(yīng)性動(dòng)態(tài)調(diào)整情況進(jìn)行了全面的分析,包括制度鏈內(nèi)的適應(yīng)、制度鏈之間的適應(yīng)、元制度之間的適應(yīng),并進(jìn)一步從經(jīng)濟(jì)、政治、社會(huì)三個(gè)角度羅列了體制適應(yīng)性的判斷指標(biāo),用圖表和公式的形式表達(dá)了體制結(jié)構(gòu)的適應(yīng)性水平和適應(yīng)性水平函數(shù)。以此為根據(jù),將適應(yīng)性水平劃分為五個(gè)等級(jí):完全適應(yīng)、較好適應(yīng)、尚能適應(yīng)、不能完全適應(yīng)、未能適應(yīng)。 最后,本文對(duì)制度變遷中的兩種改革策略,即漸進(jìn)平滑式的改革和激進(jìn)突變式的改革,從適應(yīng)性的角度對(duì)兩者進(jìn)行全面的探討,得出這樣的結(jié)論:適應(yīng)性效率是制度變遷過(guò)程中應(yīng)該遵循的一般規(guī)律——不管在改革中采取何種改革策略,其最終的目的是使制度結(jié)構(gòu)保持較高的適應(yīng)性。在文章的最后對(duì)于具有適應(yīng)性效率的制度結(jié)構(gòu)的特征進(jìn)行了描述以及就如何獲得適應(yīng)性效率給予了思考。
[Abstract]:Since the system and its role have been paid attention to by many economic scholars, a large number of documents have been studied and discussed on the efficiency and performance of the system. The research on the large-scale institutional changes in China and Russia is also included. The different reform paths have been adopted in China and Russia, and then different reforms have been produced. Performance, the system they adopt has also produced different efficiency, so how to evaluate the efficiency of the system in the process of long-term institutional change is very important. It can let us understand the process of institutional change more deeply, or let us understand the general rules of institutional change, and then achieve the success of institutional change.
Since North created the theory of adaptive efficiency, the focus of his research has focused on the understanding of the concept of adaptive efficiency and the related elements. However, in the theory of institutional change, the importance of the adaptability efficiency of the institutional structure, which can bring long-term economic performance, is insufficient, and there is a corresponding lack of discussion. North's research is only focused on the above two aspects, but his research results provide a theoretical basis for a closer approach to adaptive efficiency and encourage us to think more deeply on the extension level of the adaptive efficiency theory. Therefore, the study of the "adaptive efficiency" concept and the expansion of the theory constitute this article. Although some scholars have explained the concept of adaptive efficiency, there are still some doubts and the necessity of further interpreting it, revealing the dynamic adjustment of adaptability within the system, defining and describing the adaptability level of the system structure, and concreting the theory of adaptive efficiency. This is the goal of this study.
By reviewing the literature of the scholars at home and abroad on the research of adaptability efficiency and analyzing the standards of the efficiency of the evaluation system, this paper affirms that the adaptive efficiency is the evaluation standard of the institutional efficiency in the process of long-term institutional change. This paper carries out the hypothesis of limited rationality and is based on the "adaptive efficiency" theory of North as the basic theory. The analysis tools, from the angle of adaptability, discuss the adaptability and adaptability of the system structure, and then analyze and evaluate the two kinds of reform strategies adopted at present, so as to give suggestions on how to obtain the adaptive efficiency.
The main conclusions of this study are as follows:
First, although the domestic scholars generalize the adaptability efficiency based on North's concept of adaptive efficiency, a society, because its institutional structure promotes knowledge fully, correctly, uses and updates, and makes the economy long because of its institutional structure in the process of responding to uncertainty. But this article points out that there is no inevitable connection between individual action and overall institutional change. Between the two, there is a link between micro and macro, "key participants". Through the introduction of this factor and a comprehensive classification of it, the most final concept of adaptive efficiency is revised to the system structure. In order to respond to the update of the individual knowledge that has been impacted by the reality, coordinate the application and development of the key participants' requirements, make a certain degree of adaptive adjustment, so that the economy can present the trend of long-term growth.
Then, this paper first discusses the composition of the internal structure of the system, including the meta system and the derivative system, the system chain and the system function module, the system core and the system character. Although some scholars have analyzed the internal adjustment of the institutional structure, their analysis is not comprehensive. This paper makes a dynamic adjustment of the internal structure of the system. The comprehensive analysis, including the adaptation in the system chain, the adaptation of the institutional chain and the adaptation between the yuan system, and further from the three angles of the economy, politics and society, lists the criteria for judging the adaptability of the system, and expresses the adaptability level and the adaptability level function of the system structure with the form of chart and formula. There are five levels of sexual adaptation: adaptation, adaptation, adaptation, and failure to adapt.
Finally, the two reform strategies in the institutional change, namely, the gradual and smooth reform and the radical catastrophe reform, are discussed in a comprehensive way from the angle of adaptability. The conclusion is that the adaptability efficiency is the general rule that should be followed in the process of institutional change, regardless of the reform strategy adopted in the reform. The ultimate goal is to maintain a higher adaptability of the institutional structure. At the end of the article, the characteristics of the institutional structure with adaptive efficiency are described and the adaptive efficiency is considered.

【學(xué)位授予單位】：浙江財(cái)經(jīng)學(xué)院
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：F091.349

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