适应性效率理论探讨

发布时间：2018-05-04 22:09

本文选题：适应性效率 + 体制结构　；参考：《浙江财经学院》2011年硕士论文

【摘要】：自从制度及其作用被众多经济学者关注以来,出现了大量的文献对制度的效率或者绩效进行研究和探讨,对在中国和俄罗斯发生的大规模制度变迁进行的研究自然也包括在内。中俄分别采取了不同的改革路径,进而产生了不同的改革绩效,它们所采用的制度也产生了不同的效率,因此如何来评价长期制度变迁过程中制度的效率就显得至关重要,它能够让我们更深刻地理解制度变迁的过程,或者说让我们洞悉制度变迁的一般规律,进而取得制度变迁的成功。自诺思开创适应性效率理论以来,其研究的重点集中在对适应性效率概念和相关要素的理解。但在制度变迁理论中,对于能够带来长期经济绩效的制度结构的特征——适应性效率的重要性是认识不足的,相应地也存在探讨的不足。虽然诺思的研究仅仅集中在以上两个方面,但是他的研究成果为适应性效率更近一步的探讨提供了理论基础,激励我们在适应性效率理论的扩展层次上进行更加深入的思考。因此对“适应性效率”概念的思考和理论的扩展研究构成本文的主要内容。虽然目前已经有学者对适应性效率的概念进行了解释,但仍存在一些疑惑,存在对其进行更深入阐释的必要;揭示制度内部的适应性动态调整情况,对制度结构的适应性水平进行定义和描述,将适应性效率理论具体化、可操作化,从而为各国制度结构的变革找到一个努力的方向。这是本文的研究目标。本文通过对国内外学者关于适应性效率研究的文献进行评述以及对评价制度效率的标准进行分析,肯定适应性效率是长期制度变迁过程中对制度效率的评价标准。本文贯彻了有限理性的假设,并以诺思的“适应性效率”理论为基本分析工具,从适应性角度对体制结构的适应性指标和适应性水平进行探讨,继而对目前采用的两种改革策略进行适应性分析和评价,从而对如何获得适应性效率给予建议。本文的研究主要得到以下结论: 首先,虽然国内学者在诺思对适应性效率概念总结的基础上将适应性效率概括为:一个社会,由于其制度结构在应对不确定性的过程中通过不断引导变化着的个体行动模式而促进知识的充分、正确、协调运用及更新,从而使经济呈现长期增长的趋势。但本文指出,个体行动与整体制度变迁之间并不存在必然的联系。在两者之间,即微观与宏观之间存在一个链接——“关键参与人”。通过引入这一因素,并对它进行全面的分类,最终将适应性效率的概念修正为:制度结构为了应对受到现实冲击的个体知识的更新、协调运用和发展所形成的关键参与人的要求,进行一定程度的适应性调整,从而使经济能够呈现长期增长的趋势。接着,本文先探讨了体制内部结构的组成,包括元制度和派生制度、制度链和体制功能模块、制度核和体制品性。虽然已经有学者分析过制度结构的内部调整情况,但他们的分析并不全面。本文对体制内部结构的适应性动态调整情况进行了全面的分析,包括制度链内的适应、制度链之间的适应、元制度之间的适应,并进一步从经济、政治、社会三个角度罗列了体制适应性的判断指标,用图表和公式的形式表达了体制结构的适应性水平和适应性水平函数。以此为根据,将适应性水平划分为五个等级:完全适应、较好适应、尚能适应、不能完全适应、未能适应。最后,本文对制度变迁中的两种改革策略,即渐进平滑式的改革和激进突变式的改革,从适应性的角度对两者进行全面的探讨,得出这样的结论:适应性效率是制度变迁过程中应该遵循的一般规律——不管在改革中采取何种改革策略,其最终的目的是使制度结构保持较高的适应性。在文章的最后对于具有适应性效率的制度结构的特征进行了描述以及就如何获得适应性效率给予了思考。
[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.

【学位授予单位】：浙江财经学院
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：F091.349

【参考文献】