發(fā)布時(shí)間：2018-05-07 07:39

  本文選題：適應(yīng)性調(diào)整 + 體制轉(zhuǎn)型��； 參考：《南開大學(xué)》2013年博士論文

【摘要】：本文以新制度主義為分析視角從產(chǎn)權(quán)制度、政府行為、意識(shí)形態(tài)三個(gè)方面研究中國(guó)體制轉(zhuǎn)型中的適應(yīng)性調(diào)整問題。從總體而言,中國(guó)的體制轉(zhuǎn)型是一場(chǎng)大規(guī)模的制度變遷,涉及到經(jīng)濟(jì)、政治、社會(huì)、文化等各個(gè)領(lǐng)域,由于中國(guó)體制轉(zhuǎn)型的復(fù)雜性,使得轉(zhuǎn)型中出現(xiàn)許多新制度主義理論所不能涵蓋的特征,本文稱其為“相機(jī)抉擇性”特征,具體表現(xiàn)為：制度變遷主體角色適時(shí)轉(zhuǎn)換；“誘致性”與“強(qiáng)制性”相伴而生的制度變遷方式；制度變遷路徑的過渡性與適應(yīng)性；意識(shí)形態(tài)的適應(yīng)性調(diào)整。影響體制轉(zhuǎn)型的主要因素除了行為主體的利益目標(biāo)外,還包括憲法秩序、意識(shí)形態(tài)、中央放權(quán)改革、市場(chǎng)化進(jìn)程等不斷變化的制度環(huán)境以及利益集團(tuán)與權(quán)力分配等因素。 在中國(guó)體制轉(zhuǎn)型中,產(chǎn)權(quán)制度、政府行為與意識(shí)形態(tài)隨制度環(huán)境的變化而進(jìn)行適應(yīng)性調(diào)整并呈現(xiàn)出規(guī)律性特點(diǎn),這些構(gòu)成了中國(guó)體制轉(zhuǎn)型的總體畫卷。其中,產(chǎn)權(quán)制度是重中之重。依據(jù)新制度主義的經(jīng)濟(jì)績(jī)效觀評(píng)價(jià)中國(guó)產(chǎn)權(quán)制度改革既不符合制度績(jī)效的一般標(biāo)準(zhǔn),也不符合中國(guó)的特殊國(guó)情。本文構(gòu)建了一個(gè)包括形式績(jī)效與實(shí)質(zhì)績(jī)效、靜態(tài)績(jī)效與動(dòng)態(tài)績(jī)效相結(jié)合的多維績(jī)效觀取代原有的僅包含經(jīng)濟(jì)績(jī)效標(biāo)準(zhǔn)的單一績(jī)效觀,并以此來評(píng)價(jià)中國(guó)體制轉(zhuǎn)型中的企業(yè)產(chǎn)權(quán)制度改革績(jī)效。本文通過實(shí)證分析指出,從形式績(jī)效的動(dòng)態(tài)角度而言,體制轉(zhuǎn)型中國(guó)有企業(yè)與民營(yíng)企業(yè)的產(chǎn)權(quán)制度調(diào)整均具有一定的“適應(yīng)性效率”,即其各階段的產(chǎn)權(quán)制度具有相對(duì)效率與動(dòng)態(tài)適應(yīng)性特點(diǎn)。但是從形式績(jī)效的靜態(tài)角度而言,還存在產(chǎn)權(quán)制度與外部競(jìng)爭(zhēng)機(jī)制、內(nèi)部治理結(jié)構(gòu)的非耦合,以及制度供求不協(xié)調(diào),相關(guān)制度安排配套改革不到位等問題。同時(shí),在實(shí)質(zhì)績(jī)效方面,國(guó)有企業(yè)自改革以來其經(jīng)濟(jì)績(jī)效顯著,而公平績(jī)效卻存在很大不足。 關(guān)于政府行為變遷,本文認(rèn)為無論是中央政府行為還是地方政府行為的演化均是在自身趨利動(dòng)機(jī)下根據(jù)制度環(huán)境所進(jìn)行的適應(yīng)性調(diào)整,只不過對(duì)二者形成約束的目標(biāo)函數(shù)和面臨的制度環(huán)境不完全相同。中央政府針對(duì)環(huán)境變化而進(jìn)行的適應(yīng)性調(diào)整主要體現(xiàn)在其放權(quán)行為(包括行政性放權(quán)、經(jīng)濟(jì)性放權(quán)、財(cái)政分權(quán)、政治放權(quán))中。中央政府的放權(quán)行為與我國(guó)各個(gè)階段的經(jīng)濟(jì)制度相適應(yīng),其放權(quán)進(jìn)程主要受制于當(dāng)時(shí)的宏觀經(jīng)濟(jì)制度框架與官方意識(shí)形態(tài)�？傮w而言,中央政府的放權(quán)行為呈現(xiàn)出中央政府主導(dǎo)下市場(chǎng)導(dǎo)向性特征,通過中央政府對(duì)改革的主導(dǎo)性和對(duì)市場(chǎng)化的適應(yīng),使得中國(guó)形成了一種政治上相對(duì)集中與經(jīng)濟(jì)上相對(duì)自主的獨(dú)特的政治經(jīng)濟(jì)結(jié)構(gòu)。 本文從蘇南模式和溫州模式中政府演化規(guī)律推導(dǎo)出地方政府行為調(diào)整的一般性軌跡,即地方政府行為經(jīng)歷從“直接介入”到“間接推動(dòng)”再到“外圍提供服務(wù)”三個(gè)階段的轉(zhuǎn)變�！爸苯咏槿搿彪A段的政府行為特點(diǎn)主要表現(xiàn)為直接介入、大包大攬和很強(qiáng)的資源動(dòng)員、支配能力,政府行為影響企業(yè)經(jīng)濟(jì)活動(dòng)的全過程,并主導(dǎo)企業(yè)的經(jīng)濟(jì)行為�！伴g接推動(dòng)”階段的政府行為特點(diǎn)與“直接接入”階段大包大攬的政府有很大不同,政府由于客觀制度環(huán)境而“被動(dòng)”地從“主導(dǎo)者”轉(zhuǎn)向“推動(dòng)者”。政府充當(dāng)“企業(yè)經(jīng)紀(jì)人”角色,即政府通過各種方式主動(dòng)將企業(yè)推向市場(chǎng),政府從對(duì)企業(yè)的具體經(jīng)濟(jì)管理角色中退出�！巴鈬峁┓⻊�(wù)”階段的政府,由于政府與企業(yè)間關(guān)系由政府經(jīng)濟(jì)人、企業(yè)經(jīng)紀(jì)人轉(zhuǎn)為政府與企業(yè)間的互助或互惠關(guān)系,這時(shí)的政府不再對(duì)企業(yè)直接管理和經(jīng)營(yíng),而是致力于營(yíng)造本地區(qū)更好的市場(chǎng)環(huán)境、加強(qiáng)對(duì)企業(yè)的宏觀指導(dǎo)。地方政府行為特點(diǎn)的演化是地方政府根據(jù)制度環(huán)境所進(jìn)行的適應(yīng)性調(diào)整的結(jié)果,影響地方政府行為調(diào)整的環(huán)境因素主要包括市場(chǎng)化進(jìn)程、宏觀制度環(huán)境與微觀制度環(huán)境、政策環(huán)境、意識(shí)形態(tài)約束等。 中央政府行為與地方政府行為調(diào)整的效應(yīng)具有雙重性,既推動(dòng)又阻礙了經(jīng)濟(jì)社會(huì)的發(fā)展,從而形成了“政府行為悖論”,這是一種不完全等同于“諾斯悖論”的“制度性悖論”,即體制轉(zhuǎn)型中的政府行為悖論更主要源于政府行為背后的制度因素,主要源于意識(shí)形態(tài)以及相關(guān)制度沒有及時(shí)針對(duì)變化的經(jīng)濟(jì)基礎(chǔ)及制度環(huán)境進(jìn)行適應(yīng)性調(diào)整。 制度與行為均離不開觀念的引導(dǎo),在體制轉(zhuǎn)型中對(duì)產(chǎn)權(quán)制度與政府行為構(gòu)成最大約束條件的則是官方意識(shí)形態(tài),產(chǎn)權(quán)制度與政府行為的調(diào)整必然伴隨著官方意識(shí)形態(tài)的調(diào)整。在中國(guó)體制轉(zhuǎn)型過程中,官方意識(shí)形態(tài)其實(shí)已是正式制度的重要組成部分,體現(xiàn)在國(guó)家政策文件以及憲法與相關(guān)法律體系中,對(duì)個(gè)體和團(tuán)體的行為選擇和國(guó)家制度變遷具有剛性約束作用,因此常被作為制度環(huán)境的重要構(gòu)成部分。在意識(shí)形態(tài)因素中對(duì)當(dāng)前中國(guó)體制轉(zhuǎn)型影響最大的是：關(guān)于計(jì)劃與市場(chǎng)關(guān)系、所有制性質(zhì)以及公有制經(jīng)濟(jì)與非公有制經(jīng)濟(jì)的關(guān)系、分配領(lǐng)域的效率與公平的關(guān)系等的認(rèn)識(shí)。中國(guó)體制轉(zhuǎn)型中意識(shí)形態(tài)的調(diào)整呈現(xiàn)出官方意識(shí)形態(tài)與傳統(tǒng)文化價(jià)值觀念并行、意識(shí)形態(tài)與其他制度安排及制度環(huán)境的雙向適應(yīng)性、穩(wěn)定性與靈活性相統(tǒng)一、滲透著實(shí)踐理性的實(shí)用主義等特征。同時(shí),體制轉(zhuǎn)型中意識(shí)形態(tài)的影響效應(yīng)呈從中心到邊際遞減趨勢(shì)。并且,地方政府不同的意識(shí)形態(tài)偏好在一定程度上決定了本地區(qū)經(jīng)濟(jì)發(fā)展路徑和經(jīng)濟(jì)模式,如蘇南模式與溫州模式的形成很大原因在于地方政府的意識(shí)形態(tài)差異。在肯定意識(shí)形態(tài)與觀念調(diào)整的積極作用的同時(shí),我們也應(yīng)該看到其滯后性的一面,如導(dǎo)致對(duì)國(guó)有企業(yè)改革中的認(rèn)知時(shí)滯、發(fā)明時(shí)滯與啟動(dòng)時(shí)滯；無法解釋產(chǎn)權(quán)制度變遷與分配制度變遷中的現(xiàn)實(shí)問題；也沒有針對(duì)市場(chǎng)經(jīng)濟(jì)建立起對(duì)尋利行為合理規(guī)約的意識(shí)形態(tài),以至于無法發(fā)揮其淡化機(jī)會(huì)主義行為的功能。還體現(xiàn)為傳統(tǒng)文化與價(jià)值觀念與市場(chǎng)經(jīng)濟(jì)不協(xié)調(diào),等等。 中國(guó)體制轉(zhuǎn)型所取得的巨大成就主要源于產(chǎn)權(quán)制度、政府行為與意識(shí)形態(tài)上的適應(yīng)性調(diào)整。但是,我們也要應(yīng)充分認(rèn)識(shí)到,在這三大領(lǐng)域的調(diào)整中還存在很多問題,有些問題甚至已經(jīng)嚴(yán)重影響到我國(guó)改革的績(jī)效與進(jìn)程。適應(yīng)性調(diào)整的未來趨向首先要解決這些問題。在企業(yè)產(chǎn)權(quán)制度上,就是要通過一系列相關(guān)配套制度的改革,在深化企業(yè)產(chǎn)權(quán)制度改革的基礎(chǔ)上,繼續(xù)完善企業(yè)治理結(jié)構(gòu),并健全外部競(jìng)爭(zhēng)機(jī)制；合理確定國(guó)有企業(yè)的社會(huì)目標(biāo)與市場(chǎng)目標(biāo)；健全與完善其他相關(guān)政治、經(jīng)濟(jì)與法律制度的配套改革：在政府行為上,就是要通過相關(guān)制度的完善與健全來正確處理中央政府、地方政府、企業(yè)之間的關(guān)系；通過轉(zhuǎn)變政府行為理念、構(gòu)建公共財(cái)政體制并改革政府績(jī)效評(píng)估標(biāo)準(zhǔn)來促使公共服務(wù)型政府的建立；通過完善地方政府權(quán)力制衡機(jī)制來約束地方政府行為悖論；在意識(shí)形態(tài)與觀念上,就是要一方面根據(jù)主導(dǎo)性與包容性并存；繼承性與創(chuàng)新性兼顧；適應(yīng)性與靈活性；有效性與實(shí)用性等原則繼續(xù)發(fā)展與完善主流意識(shí)形態(tài),另一方面還需要著力于構(gòu)建與社會(huì)主義市場(chǎng)經(jīng)濟(jì)體制相適應(yīng)的文化基礎(chǔ)和價(jià)值觀念體系,以更好地指導(dǎo)與規(guī)范人們的市場(chǎng)行為。 總之,中國(guó)的體制轉(zhuǎn)型向縱深處發(fā)展必須重點(diǎn)解決兩方面的問題,一個(gè)是深入進(jìn)行相關(guān)配套制度的改革,最主要的是政治制度與經(jīng)濟(jì)制度的配套改革；另一個(gè)是繼續(xù)推進(jìn)意識(shí)形態(tài)與觀念的適時(shí)調(diào)整,使之既能很好地對(duì)轉(zhuǎn)型成果作出合理說明,又能成為體制繼續(xù)進(jìn)行適應(yīng)性調(diào)整的指南。
[Abstract]:On the whole , China ' s institutional transformation is a large - scale institutional change , which involves many fields such as economy , politics , society , culture and so on .
The system change mode of " inductivity " and " compulsory " companion ;
Transition and Adaptability of Institutional Transition Path
The main factors that influence the transformation of the system include constitutional order , ideology , central decentralization reform , market - oriented process and so on .

The paper constructs a multi - dimensional performance concept including formal performance and essential performance , static performance and dynamic performance .

On the change of government behavior , this paper holds that the evolvement of central government ' s behavior and local government behavior is the adaptability adjustment according to the institutional environment under its own profit motive , but it is not exactly the same as the target function and the institutional environment . The decentralization of the central government is mainly reflected in the economic system framework and official ideology .

In this paper , the general trajectory of local government behavior adjustment is derived from the evolution law of government in the mode of South Jiangsu and Wenzhou . The government behavior characteristic of " direct intervention " is mainly manifested as direct intervention , large - scale and strong resource mobilization , dominant ability , government behavior influence the whole process of enterprise ' s economic activity and leading the economic behavior of the enterprise .

The effect of central government behavior and local government behavior adjustment has double nature , which not only promotes and hinders the development of economic and social development , thus forms " institutional paradox " of " government behavior paradox " , that is , the government behavior paradox in the transformation of system is mainly derived from the institutional factors behind the government ' s behavior , mainly from ideology and the relevant system , which does not adapt to the changing economic base and institutional environment in time .

In the process of China ' s institutional transformation , official ideology is an important part of formal system . In the process of transformation of China ' s system , official ideology has become an important part of formal system .
Can ' t explain the real problem of the change of property right system and the change of distribution system ;
Nor has the ideology of rational statutes for seeking profit is established for market economy , so that it can not play its function of weakening opportunism . It is also embodied in the non - coordination between traditional culture and value idea and market economy , etc .

However , we should also fully realize that there are many problems in the adjustment of China ' s institutional transformation . However , we should also fully realize that there are many problems in the adjustment of the three fields , and some problems have even seriously affected the performance and process of our country ' s reform .
To rationally determine the social objectives and market objectives of state - owned enterprises ;
To perfect and perfect the reform of other relevant political , economic and legal systems : in the governmental action , the relations between the central government , the local government and the enterprise should be handled correctly through the perfection and perfection of the relevant system ;
The establishment of public service - oriented government is promoted by transforming the concept of government behavior , constructing public finance system and reforming government performance evaluation standard ;
To restrain the paradox of local government behavior by perfecting the local government power balance mechanism ;
In ideology and concept , we should co - exist on the one hand , on the one hand , on the one hand .
The inheritance and innovation are taken into account ;
adaptability and flexibility ;
The principles of validity and practicability continue to develop and perfect the mainstream ideology , and on the other hand , we need to focus on the construction of the cultural foundation and the value concept system that are compatible with the socialist market economic system , so as to better guide and regulate the market behavior of people .

In short , China ' s institutional transformation must focus on two aspects , one is the reform of the relevant supporting system , the most important is the reform of the political system and the economic system ;
The other is to continue to promote the timely adjustment of ideology and concept , so as to make it possible to make a reasonable explanation of the transformation results and to serve as a guide for the system to continue to adapt to the adaptation .

【學(xué)位授予單位】：南開大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2013
【分類號(hào)】：D092

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