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This paper concentrates on the adaptability adjustment of institutional transformation in China in the three aspects of the system of property rights,government behavior and ideology from the perspective of new institutionalism.Overall,the institutional transformation in China is a large-scale institutional change related to all fields of economic,political,social and cultural.Due to the complexity of the institutional transformation,the transition takes on a lot of features which new institutionalism theory can not cover and is called features of “discretionary” in the paper.It is shown in the following ways:timely conversion of main roles of institutional change,the pattern of institutional change with attendant “induced” and “mandatory”,transition and adaptability of the path of institutional change and the adaptability adjustment of ideological form.The main factors that affects institutional transformation includes not only the interest goals of actors,but also other factors of the changing institutional environment,as the constitutional order,ideology,decentralization reform of the central government and the process of market-oriented,interest groups and the distribution of power.In the institutional transformation in China,the system of property rights,government actions and ideology make the adaptability adjustment with the changes in the institutional showing regularity characteristics,which constitute the overall picture of the institutional transformation.Among them,the system of property rights is a priority.If we evaluate the reform of property rights in China based on the view of economic performance of new institutionalism,this is not only inconsistent with the general standard of system performance,and not in line with China's specific national conditions.We build the view of multidimensional performance combining procedural performance and real performance,static performance and dynamic performance to replace the view of single performance only containing the economic performance criteria in order to evaluate the performance of reform of the enterprise property right system in Chinese institutional transformation.Throughout the empirical analysis,this paper points out that in the institutional transformation the adjustment of property rights system of state-owned enterprises and private enterprises has certain “adaptive efficiency”,that is,the property right systems in various stages have the characteristics of relative efficiency and dynamic adaptability.But from the point of static view of procedural performance,there exists the non-coupling of system of property rights,external competition mechanism and the internal governance structure,as well as the inharmony of the system of supply and demand and the lack of related supporting reforms of institutional arrangements.Meanwhile,in the aspect of real performance,state-owned enterprises have achieved significant economic performance since the reform,but there is a great lack in the fair performance.Referring to the changes of government behavior,the paper argues that whether the evolution of the behavior of the central government or that of local government behavior itself is the adaptability adjustment under the motives of seeking profit according to the institutional environment,only that the objective function and the institutional environment which they face is not exactly the same.The adaptability adjustment conducted by the central government for environmental change is mainly reflected in its decentralization acts including administrative decentralization,economic decentralization,fiscal decentralization and political decentralization.The decentralization of the central government behavior is in accordance to China's economic system in various stages,whose process of decentralization is mainly limited by the macroeconomic institutional framework and the official ideology.Overall,the decentralization of the central government acts shows the market-oriented characteristics under the auspices of the central government.China forms a kind of unique political and economic structure of the relative concentration in politics and relative autonomy in economics by adapting to the leading of central government and market-oriented reforms.Due to the rule of the government evolution of Sunan Model and Wenzhou Model,this paper concludes the general trajectory of the adjustment of the behavior of local governments,i.e.the behavior of local governments experience changes in three stages from“directly accede” to “indirectly promote” and then to “provide peripheral services”.The characteristics of government behavior in the stage of the “directly accede” mainly includes direct intervention,taking on everything and a strong resource for mobilization and disposable capacity.In this stage,government actions affect the whole process of the enterprise economic activity and dominate economic behavior of firms.The characteristics of government behavior in the stage of “indirectly promote” is very different from taking on everything of the stage of “direct accede”.In this stage,the government steers “passively” from the “leader” to “facilitator” under the objective institutional environment.The government acts as the role of a “corporate broker” i.e.the government pushes the enterprises into the market through various way actively and the government exits from the role of managing specific economic enterprises.Due to the change of the relationship from business brokers to mutual aid or reciprocality between government and enterprises,the government in the stage of “provide peripheral services” no longer directly manages and operates on the enterprise,but commits to creating a better market environment in the region and strengthening macro guidance of the enterprise.The evolution of the behavior characteristics is the result of the adaptability adjustment of the local government according to the internal and external environment.The environmental factors which affect the behavior adjustment of local governments mainly includes the process of market-oriented,institutional environment including macro-system environment and micro-system environment,policy environment and ideological constraints.The effect of the adjustment of the behavior of the central government and local government has a dual nature.It both promotes and hinders economic and social development and forms the“paradox of government behavior”,which is not a complete equivalent to the “North Paradox” and “institutional paradox”.The paradox of the behavior of the Chinese government in the institutional transformation is mainly due to institutional factors behind the behavior of the government i.e.mainly due to that the ideology and the related system has not made adaptability adjustment timely for the changed economic base and the institutional environment.System and behavior are inseparable from the guide of the concept.The greatest constraints posing for the system of property rights and government action in the institutional transformation is the official ideology as the adjustment of the property system and the government action must be accompanied by adjustment of the official ideology.In the process of institutional transformation in China,the official ideology in fact is an important part of the formal system.Reflecting in national policy documents as well as the Constitution and legal system,the official ideology has rigid constraints on the behavior of individuals and groups and national institutional change so is often as important components of the institutional environment.The most important ideological factors that impact the current Chinese institutional transformation is the relationship between planning and the market,the nature of ownership,the relationship between the public sector of the economy and the non-public economy as well as the relationship between efficiency and fairness in the the field of distribution.The ideological adjustment in institutional transformation in China shows the characteristics of the paralleling of the official ideology and the traditional cultural values,the bidirectional adaptability of the ideology and other institutional arrangements and institutional environment,the unity of stability and flexibility and pragmatism permeated with the practical rationality,etc.At the same time,the effect in ideological institutional transformation shows a decreasing trend from the center to the margin.And different ideological preferences of local governments determines to some extent the path of economic development and the economic model of the region just like the case of that the formation of Sunan Model and Wenzhou Model is due to the local government's ideological differences.While we are sure of the positive role of ideology and adjustment of concept,we should also see its lacks which exists in cognitive,invention and starting delays in the reform of state-owned enterprises,inability in explaining the problems in the reality in the changes of property rights and distribution system,the failure to establish the ideology for the market economy and to a reasonable Seeking Profits behavior,that they can not play the function of diluting the opportunistic behavior and also in inharmony of traditional culture and values of the market economy,and so on.The great achievement in Chinese institutional transformation is mainly owing to the adaptability adjustment of property rights,government behavior and ideology.However,we should also be fully aware of that there are still many problems in the adjustment of these three areas,and some of them become so serious that even have affected the performance and process of China's reformation.This is a question of the first importance we have to solve in the future tends of the adaptability adjustment.In the matter of the system of enterprise property rights supported to introduce a series of related supporting reforms to continue to improve the corporate governance structure and external competition mechanism on the basis of the deepening of enterprise reform of property rights,to reasonably set social goals and the target market of the state-owned enterprises,to improve the supporting reforms of related political,economic and legal systems.In terms of government behavior,that is to properly deal with the relationship between the central government,local and enterprise,to promote the establishment of public service-oriented government by changing the philosophy of government action,building a system of public finance and reforming the evaluation standards of government performance,to constrain the paradox for behavior of the local government by improving checks and balances mechanism of the local government.In ideology and concept,that is to develop and improve the mainstream ideology under the principle of making coexisting dominance and inclusiveness,to taking into account the inheritance and innovation;adaptability and flexibility,effectiveness and practicality and to build cultural foundation and values system compatible with the socialist market economic system in order to better guide and standardize people's market behavior.To sum up,there are two crucial issues need to be solved in the deep development of institutional transformation.In the first place,the related system must be reformed,especially the political system and economic system.In the second place,it will continue to promote the adjustment of ideology and ideas keep pace with the times.Not only because that ideology and ideas can make a reasonable description of the results of the transformation,but also it could guide the system to continues to adaptability adjustment.Key words:Adaptability adjustment;Institutional transformation;New institutionalism;The system of property Rights;Government actions;Ideology
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李艳,女,汉族,河北高邑人,1969年11月出生。1991年毕业于南开大学政治学系,获法学学士学位;2002年毕业于河北师范大学法政学院,获法学硕士学位;2013年毕业于南开大学周恩来政府管理学院,获法学博士学位。目前是河北师范大学法政学院副教授,硕士生导师,主要研究政府经济学和比较制度分析,承担《政治学原理》、《公共行政学》、《政府经济学》、《西方政治思想史》、《中外政治制度专题研究》等本科生和研究生的教学任务。在《当代世界与社会主义》、《当代世界社会主义问题》、《学术界》等专业学术期刊发表论文20篇,编著3部著作教材,主持和参加省部级课题项目12项。
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Abstract
第一章 导论第一节 问题的提出及研究意义一 问题的提出
二 研究意义
第二节 核心概念与主要研究内容一 核心概念
二 主要研究内容
第三节 理论创新与研究方法一 理论创新
二 研究方法
第四节 论文写作思路与基本框架
第二章 文献综述第一节 关于体制转型的文献综述一 国外关于体制转型的研究
二 国内关于体制转型的研究
三 对已有研究的简要评述
第二节 新制度主义制度变迁理论在中国应用的文献综述一 国外学者对新制度主义制度变迁理论的研究
二 国内学者对新制度主义制度变迁理论的研究与应用
三 对已有研究的简要评述
第三节 新制度主义产权理论在中国应用的文献综述一 国外学者对新制度主义产权理论的研究
二 国内学者对新制度产权理论的研究与应用
三 对已有研究的简要评述
第四节 新制度主义国家理论在中国应用的文献综述一 国外学者对新制度主义国家理论的研究
二 国内学者对新制度主义国家理论的研究与应用
三 对已有研究的简要评述
第五节 新制度主义意识形态理论在中国应用的文献综述一 国外学者对新制度主义意识形态理论的研究
二 国内学者对新制度主义意识形态理论的研究与应用
第三章 制度、行为与意识形态第二节 产权、企业产权制度与产权制度绩效一 产权与产权形式
二 产权制度与企业产权制度
三 产权制度绩效
第三节 行为者及其利益一 企业行为及其利益目标
二 中央政府行为及其利益目标
三 地方政府行为及其利益目标
第四节 意识形态与传统文化观念一 意识形态
二 传统文化观念
第四章 中国体制转型的基本特征与主要影响因素第一节 中国体制转型的基本特征一 制度变迁主体的适时转换
二 诱致性与强制性相伴的制度变迁方式
三 制度变迁路径的过渡性与适应性
四 意识形态的适应性调整
第二节 中国体制转型的主要影响因素一 制度环境
二 利益集团与权力分配
第五章 体制转型中产权制度的适应性调整第一节 产权制度的外适应力:制度效率的相对性与适应性一 制度的外适应力的含义
二 国有企业产权制度适应性调整
三 民营企业产权制度适应性调整
第二节 产权制度的内适应力不足:制度的非耦合与非协调一 产权改革、外部竞争机制、内部治理机制三者之间的非耦合
二 制度供求不协调,相关制度安排配套改革不到位
第三节 产权制度的实质绩效不足:国企改革中的“效率与公平”目标失衡一 国有企业的双重属性与双重目标
二 国有效率目标与公平目标的失衡
第六章 体制转型中政府行为的适应性调整第一节 体制转型中中央政府行为的适应性调整一 中央政府放权行为的主要内容
二 中央放权行为中的适应性调整
第二节 体制转型中地方政府行为的适应性调整:以苏南模式与温州模式为例一 苏南模式强制性制度变迁中的政府行为
二 温州模式诱致性制度变迁中的政府行为
三 地方政府行为调整的适应性特征
第三节 政府行为调整中的“制度性悖论”一 “诺斯悖论”及其适用性分析
二 中央政府行为悖论及原因分析
三 地方政府行为悖论及制度性因素
第七章 体制转型中意识形态的适应性调整第一节 体制转型中官方意识形态调整轨迹一 改革方向和改革目标的探索:社会主义市场经济体制的确立过程
二 关于“所有制”与“国有企业”观念的转变
三 效率与公平的分配观念的变迁
第二节 体制转型中意识形态调整的特征一 官方意识形态与传统文化价值观念并行
二 意识形态与其他制度安排和制度环境的双向适应性
三 稳定性与灵活性统一
四 渗透着实践理性的实用主义特征
第三节 体制转型中意识形态调整的层级性与区域性差异一 意识形态调整的层级性差异
二 意识形态调整中的区域性差异
第四节 意识形态与观念调整中的“非适应性”问题一 意识形态调整滞后
二 传统文化价值观念与市场经济不协调
第八章 中国体制转型中的适应性调整趋向第一节 企业产权制度的适应性调整趋向一 继续深入推进产权制度改革
二 完善企业内部治理机制
三 健全外部竞争机制,培育充分竞争的产品市场与要素市场
四 合理确定国有企业的社会目标与市场目标,以实现其公平绩效与经济绩效的均衡发展
五 健全与完善其他相关政治、经济与法律制度的配套改革
第二节 政府行为的适应性调整趋向一 正确处理中央政府、地方政府、企业之间的关系
二 政府行为目标由“经济建设型”向“公共服务型”转变
三 完善地方政府权力制衡机制
第三节 意识形态的适应性调整趋向一 继续发展与完善主流意识形态
二 构建与社会主义市场经济体制相适应的文化基础和价值观念体系
第九章 结论
参考文献
后记