美国西进运动的制度变迁研究

发布时间：2018-06-25 02:13

本文选题：西进运动 + 制度变迁　；参考：《复旦大学》2007年博士论文

【摘要】： 美国西进运动是美国在18世纪末期兴起的区域开发行动，它对于美国国家发展具有重要的历史意义。同时，西进运动是在区域开发过程中推行制度变迁的历史实验，为社会科学研究提供了丰富的历史素材。现有的研究成果已从历史学、社会学、经济学等视角对西部开发历程提出了很多有价值的观点，但尚未尝试将西进运动完全纳入制度变迁的视角予以分析，这在一定程度上限制了对西进运动成功的动因的已有解释力，局限了对国家在西进运动过程中的发挥的作用的认识，也忽视了西进运动可能对制度变迁理论诸模型提供的有价值的样本意义。本文从多学科的角度，综合了新制度主义学派历史制度主义研究方法、新古典主义政治经济学模型以及实证分析的方法，将美国西部开发的历史发展进程纳入到制度变迁理论分析的整体框架中，旨在揭示美国开发西部地区时期制度变迁的独特模式以及所产生的复杂效应，进而对美国西进运动的成功提供新的视角。本文认为，美国西进运动时期也是美国国家成长发展的起步阶段，美国政府在行政能力较弱的条件下，通过推动“核心制度”变迁，确立了制度环境，在客观上达成了国家对需求的引致效应，培育了市场力量。本文通过梳理美国西部开发制度变迁历程，揭示了市场不断完善、成熟的过程中形成制度需求累增的局面是导致制度变迁呈现阶段性的原因。在此过程中，政府有效提供制度供给，保障市场发育。为了进一步说明美国西部开发制度变迁的复杂过程，本文选取了制度变迁过程中具有代表性的三类制度深入分析，即：土地制度、改善交通条件的制度安排以及畜牧业产业自治管理制度。认为在西部开发过程中存在三种类型的制度变迁模式，分别为柔性制度移植、刚性制度移植和自主创新性制度变迁，分别对应土地制度、“交通制度”和畜牧业行业管理制度的制度变迁过程。通过具体分析这三类制度变迁的环境、主体和变迁机制，表明美国西部开发制度模式的另一特点在于多元并存的制度变迁模式。同时，随着西部区域的力量兴起，西部与美国全国性的制度环境发生了复杂的互动。一方面，美国全国性的制度环境、南北的制度博弈影响了西部地区的制度变迁，另一方面，，西部地区的制度变迁也“反哺”了美国全国性的制度选择和制度环境发展。通过阐述美国合同权条款的变迁过程，揭示了在区域力量兴起下，美国联邦政府和州以及地方政府的关系、立法—行政—司法关系的宪政制度对制度供给的影响。在此基础上明确国家宪政秩序推动制度变迁的内在机制。最后，观念力量、学习和传播在其中发挥了基础性的引导作用。本文突破了已有的对制度供给方式认识，提出国家引致需求的新视角。认为政府在观念变革、需求累增、国家能力逐步提高的条件下，有效推动制度变迁，与市场选择有效结合。制度变迁方式呈现出多元并存、渐进转换的特点。制度变迁的结果为美国西部开发获得成功提供了有力支持。可以得出结论，制度变迁是推动美国西部开发获得成功的关键因素之一。本文通过研究西进运动期间制度变迁的案例，说明了制度变迁出现阶段性发展的本质原因在于制度需求累增。全面认识到在区域开发的过程中，区域内制度变迁与外部环境之间存在复杂的互动关系，会出现“区域制度反哺环境”的效应，为进一步理解动态模型下制度变迁内在机制提供了新的路径。
[Abstract]:The American westward movement is a regional development action which was developed by the United States in the late eighteenth Century. It has an important historical significance for the development of the United States. At the same time, the West advance movement is a historical experiment to carry out institutional changes in the process of regional development, and provides rich historical materials for social science research. The existing research results have been from history and society. There are many valuable views on the course of western development in the perspective of society, economics and other perspectives, but it has not yet tried to analyze the movement of westward movement completely into the perspective of institutional change, which, to a certain extent, limits the explanatory power of the reasons for the success of the westward movement and limits the role played by the state in the process of westward movement. In this paper, the historical institutionalism research method of the new institutionalism, the neoclassical political economy model and the method of empirical analysis are integrated into the historical development process of the western development in the United States. In the overall framework of the theoretical analysis of institutional change, it aims to reveal the unique patterns and complex effects of the development of the United States in the period of the development of the western region, and to provide a new perspective for the success of the American westward movement.
This article holds that the American westward movement is also the beginning stage of the development and development of the United States. Under the condition of weak administrative ability, the American government has established the institutional environment by promoting the change of the "core system", and objectively reached the induced effect of the state to the demand and nurtured the market strength. This article through combing the development of the west of the United States. The process of institutional change reveals that the market continues to be perfected, and the situation of the system needs increasing during the mature process is the cause of the institutional change. In this process, the government provides the system supply and the market development effectively. In order to further explain the complex process of the opening system in the West of the United States, this paper selects the system. There are three kinds of representative systems in the process of change, namely, the land system, the institutional arrangement for improving the traffic conditions and the autonomous management system of the animal husbandry industry. It is believed that there are three types of institutional change modes in the process of western development, which are flexible system transplantation, rigid system transplantation and independent innovation system change, The system changes in the land system, the transportation system and the animal husbandry industry management system. Through the analysis of the environment, the main body and the change mechanism of the three kinds of institutional changes, the other characteristic of the western development system in the United States lies in the pluralistic and coexistence mode of institutional change. At the same time, with the rise of the strength of the western region, There is a complex interaction between the West and the national institutional environment of the United States. On the one hand, the national institutional environment of the United States, the north and the South system game influence the institutional change in the western region. On the other hand, the institutional change of the western region is "feeding back" the national system selection and institutional environment development in the United States. The change process of the rights clause reveals the influence of the constitutional system of the federal government and the state and local governments and the constitutional system of the legislative administrative judicature on the supply of the system under the rise of regional power. On this basis, the internal mechanism of the state constitutional order to promote the institutional change is made clear. It has played a basic guiding role.
This article breaks through the existing knowledge of the system supply mode, and puts forward a new perspective of the demand of the state. It is considered that the government is effectively promoting institutional change and combining with market choice effectively under the condition of the change of the concept, the increasing demand and the gradual improvement of the state capacity. The system changes have the characteristics of multiple coexistence and gradual transformation. The results provide a strong support for the success of western development in the United States. It can be concluded that institutional change is one of the key factors to promote the success of western development in the United States. By studying the case of institutional change during the westward movement, this paper shows that the essential reason for the stage development of the institutional change is that the institutional demand is increasing. It is recognized that in the process of regional development, there is a complex interaction relationship between the regional institutional change and the external environment, and the effect of "regional system back feeding environment" will appear, which provides a new way for further understanding of the internal mechanism of institutional change under the dynamic model.
【学位授予单位】：复旦大学
【学位级别】：博士
【学位授予年份】：2007
【分类号】：K712

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