制度、权力与经济绩效.doc
制度、权力与经济绩效2005年美国克拉克奖获得者阿科姆格鲁（Acemoglu）理论评述郭艳茹（山东大学经济研究中心） 内容摘要：阿科姆格鲁（Acemoglu）是位研究领域广阔且著述丰厚的经济学家，他在劳动经济学、宏观经济学，尤其是制度经济学及政治经济学领域极具开创性的理论贡献使他获得了2005年美国经济学的克拉克奖。他在制度研究方面的贡献主要集中在两个方面：一是对制度研究中的一些重要命题进行严格的实证检验，二是建立动态理论框架来研究国与国之间为什么存在制度差异，并提出了制度决定的“社会矛盾论”。他以标准的经济学方法来研究制度、历史，努力构建一个历史与逻辑相统一的经济史理论。他的理论对于我们理解历史中的制度变迁极具启发和借鉴意义。 关键词：制度 政治权力 社会矛盾论 中图分类号:F019 文献表示码:AInstitutions, Power and Economic Performance: Comments on the theory of Acemoglu, the 2005 Clark Prize winner Abstract: As a broad and productive economist, Acemoglu has made valuable contributions in the fields of labor economics, macroeconomics, institutional economics, and political economics. His recent work on the role of institutions in development and in political economy is especially innovative, which is focused on two sides. First he has examined some important propositions on institutions with regression analysis, and secondly he has outlined a dynamic theoretical framework for thinking about why economic institutions vary across countries and developed “Social Conflict View” for searching for the fundamental determinants of economic institutions. He researches institutions and histories with standard economic methods and is on the way of constructing a new theory of economic history with consistence of history and logic. We can learn a lot from him on how to understand the institutional changes in the history. Key Words: Institution, Political Power, Social Conflict View JEL Classification: N10，N40，O10金融发展与经济增长的多重均衡关系：因果关系模式的再思考李泽广 王群勇（南开大学经济学院） 内容摘要：既有研究和特征事实表明，处于不同发展阶段的国家其经济增长与金融发展的互动关系存在多重均衡的可能，这种多重均衡关系又以“需求跟进”和“供给拉动”两种因果模式最为典型。然而，很难对不同国家或者一个国家的不同时期用单一的因果模式加以概括和描述。本文证明了经济增长与金融发展之间多重均衡关系的存在性及其转化的条件，并利用40个国家的截面数据验证了这一结论。结论发现，在不同国家和不同的经济发展阶段，二者互动关系模式不断转化；同时，对我国的实证分析表明，自上个世纪50年代以来，中国经济增长和金融发展的关系模式以1978年和1994年为分界岭呈现三个阶段性特征，二者之间的因果关系经历了由平稳到动荡、再由动荡到平稳的历史演变过程。 关键词：经济增长 金融发展 多重均衡 因果关系 中图分类号：F061.2 文献标识码：AFinancial Development and Economic Growth：An Analysis on multiple-equilibrium relationship Abstract：Striking facts and literatures have made it clear that there are multiple equilibriums relationship between financial development and economic growth for different countries and different periods of one country. Demand-following and Supply-leading are two stylized kinds of this multiple-equilibrium relationship, yet only one cause-effect model doesnt work well to generalize and describe the striking facts. This paper constructs a simple model to prove that there are indeed multiple-equilibrium relationship between financial development and economic growth; of course, there are also some constraint-conditions to convert from each other. Then we use 40 countries cross-section data to test these conclusions, and empirical results support our conclusions. Beside all others, we find there are breakout point of the relationship between financial development and economic growth in 1978 and 1994 by econometrical tools in China. Key Words: Economic growth, financial development, multiple-equilibrium, cause-effect relationship JEL Classification：F410，O110开放经济下国家间专利制度差异的经济学分析刘达（山东大学经济研究中心） 内容摘要：现代社会中的国家间专利制度博弈是一个极其复杂的问题。本文利用内生技术创新模型，并把传统分析中使用的长度和宽度合并为专利保护的强度，通过最大化社会福利来研究专利制度的最优权衡问题。本文反对当前某些发达国家倡导的“国际专利制度一体化”观点，提出国家间技术和知识禀赋的不同将造成创新能力的差异，应该允许具有不同研发能力的国家实施不同强度的专利保护，并为开放经济下国家间专利制度取向的差异找到了理论依据。 关键词：专利 专利制度 知识产权 非合作 中图分类号：F114.4 文献标识码：ANational Differences in Optimal Patent Institutions of An Open Economy Abstract：The equilibrium of a game in which two countries set their patent policies non-cooperatively in an open economy is so complicated. This paper develops a simple model of endogenous innovation and uses length and breadth to indicate strength that governments face in choosing their patent policies. Endowments of human capital and innovation abilities ask for different level of patent institution. Finally, we address the issue of universal standards for patent protection, which are claimed by some commentators and seem to be based on a desire for global efficiency. We proceed to investigate that harmonization is unnecessary to be realized in the absence of some form of direct compensation. Our conclusion is, in an open economy, differences in market size and differences in capacity for R&D generate national differences in optimal patent policies. Key words：Patent, patent institution, intellectual property rights, non-cooperative JEL Classification: F130，O340创新、政府公共R&D与经济增长许治（西北大学经济管理学院） 内容提要：本文构建了包含政府公共R&D支出的增长模型，将政府公共R&D支出区分为三种方式：资助公共R&D部门从事R&D活动，资助企业的R&D活动，政府对企业R&D提供税收优惠（或补贴），并探讨了这三种方式对均衡增长率的影响机制。本文认为：政府公共R&D支出的不同形式，均会对企业创新的边际条件产生影响，并且不同形式的影响是不同的，进而总产出会发生不同的变化，其中政府对企业R&D提供税收激励效果最大，对企业R&D提供资助次之，而为政府公共研发部门提高研发经费的正效应最小。 关键词：政府公共R&D 新熊彼特 经济增长 中图分类号：F061.2 文献标识码：AInnovation, Public R&D and Economic Growth Abstract: In this paper, we construct an endogenous public R&D growth model. Classifying public R&D expenditure in three groups: (1) subsidies to public R&D performed at public institution（public provision）; (2) direct funding to private R&D（public funding）; (3) tax incentives (or subsidies) to private R&D, we explore the influencing mechanism of the different types to growth equilibrium. We conclude that three types of public R&D expenditure have different impact on the marginal condition of private innovation, and made the aggregate output change differently, in which the effect by tax incentives to private R&D is the biggest, next is by public funding and the smallest is by the public provision. Keywords: public R&D; Neo-Sebumpetertan; economic growth JEL classification: O110，H530机构投资者对基金的“投资组合的适度规模”基于2003年1月-2005年3月中国数据的实证分析韦 倩(山东大学经济研究中心) 内容提要：本文选取了中国2003年1月1日以前成立的54只封闭式基金和17只开放式基金为样本，以周收益率为指标，根据所构造投资组合在2003年1月1日-2005年3月31日时段内的数据，考察了投资组合包含的基金数目与组合风险和收益的关系，还考察了跨投资风格组合的情况，证实了跨投资风格组合优于简单随机等权组合。另外，本文还运用所得数据分别检验了埃文斯和阿彻的简单投资组合适度规模模型、拉塔内和杨的简单投资组合适度规模模型、马科维茨的简单投资组合适度规模模型。 关键字：组合适度规模 组合风险 组合收益 Sharpe指数 中图分类号：F830.91 文献标识码：AThe optimum number of funds holding by institutional investorsAn empirical analysis based on the data from January 2003 to March 2005 Abstract: This paper selects 54 close-end funds and 17 open-end funds as samples which have been established before January 1st , 2003. We choose the weekly return ratio as the index. According to the data from January 1st , 2003 to March 31st , 2005, we examined the relation between the risk and return of the portfolio and how many funds it holds. We also examined that the portfolios which have different investment style funds are better than the portfolios which choose funds randomly at equal. In addition, we also use the data to examine three different optimum scale models: Evans and Archers, Latane and Youngs and Markowitzs. Key Words: Optimum Number of Funds Portfolio Risk Portfolio Return Sharpe Ratio JEL Classification: G110， G290，G310 怎样理解制度孔志国 赵悦（山东大学经济研究中心中央财经大学） 内容摘要：在对主流的制度论述进行归纳的基础上，作者发展了制度的内涵，认为制度作为人类智慧积累的恒久财产，是一种正式强力鼓励创新的管理性社会安排，自由、平等、生命和产权保护是制度的基点和要素，自产生始起便是推动人类前进的力量。如果一开始不表现为人们的合意，则最后势必成为人们的合意。主流的“制度”与其说是制度，不如说是一种管理性社会安排来得更贴切。 关键词：制度责任担当管理性社会安排 中图分类号：F091.349 文献表示码：AWhat is Institution? Abstract: On the basis of summing up the mainstream discussion about institution, the author take prevalent conception of system as a sort of administrant social arrangement and develop the meaning of institution in following words: As the perpetual property of accumulation of humans wisdom, institution is a sort of administrant social arrangement of encouraging innovation sustained by mightiness, freedom, equality, life and protection of property rights are basic points and elements. From its emergence, system acts as the power of pushing human being ahead all the while. If it wont accept by all the people, it must be accept by all eventually. Key Words: institution, administrant social arrangement, responsibility JEL Classification: B520对“政府以行政手段推进市场化进程”理论假说的再验证延边地区与苏南、温州地区乡镇企业产权制度变迁的比较分析张卫国（山东大学经济研究中心） 内容摘要：改革开放以来，乡镇企业所取得的成就和对我国经济发展的贡献是令人瞩目的，进入新世纪后，其发展面临着很多问题，而西部少数民族地区乡镇企业的发展更是令人担扰。本文以延边地区乡镇企业产权制度为研究对象，对延边地区乡镇企业产权制度的产生、变迁过程和变迁机制进行了分析研究，并与东部发达地区乡镇企业制度变迁相比较，结论是：乡镇企业产权制度变迁是市场经济对产权制度的内在要求，无论是在需求诱致性变迁中，还是供给政府主导型变迁中，政府的作用都是关键的。在像延边地区这样一个市场经济发育不完善、有效率的产权结构尚未形成的西部少数民族地区，仅仅依靠诱致性制度变迁满足不了社会对制度的需求，政府利用行政手段推进市场化进程在一定限度内是有效率的。这为“政府利用行政手段推进市场化进程”理论假说再次提供了证据。 关键词：延边地区 乡镇企业 产权 制度变迁 理论假说验证 中图分类号：F121.1 文献标识码：ARe-verification on the Hypothesis of “To Advance Transformation Towards a Market Economy Through Administrative Measures of the Government”Comparative Analysis on the Property Rights Institutional Changes of TVE in southern Jiangsu province，Wenzhou and Yanbian Area Abstract: Since the reforms and opening，township and village enterprise (TVE) has been increasing rapidly and comes to become the principal part of both the village economy and the national economy，and it has made great contributions to the development of every social cause. When it turns into 21st century，there are more problems appearing in the development of the TVE in the minority autonomous regions of western China，which have restricted the development of the TVE in the minority autonomous regions of western China and put TVE into an awkward predicament，and the key point lies on the deficiency of institutions in local area.This thesis deals with the property rights institution occurence and changes of TVE in Yanbian area，and by comparing these changes with the property rights institution changes of TVE in southern Jiangsu province and Wenzhou，the author draws an inspiration from the comparison，namely that the governments of these three areas have played a vital role in the property rights institution changes of local TVE. Thus，it provides the new proofs for the hypothesis of “To Advance Transformation Towards a Market Economy Through Administrative Measures of the Government”. Key Words: Yanbian area， township and village enterprise (TVE)， property rights， institutional change， verification on the hypothesis JEL Classification: P310, P520再论劳动对效用的关系企业的生产力累积论许光伟（中国人民大学经济学院） 内容提要：依据唯物史观，文章提出了具有“生产力累积性质”的生产力概念，由此认为劳动和劳动过程是相互依存的概念，广义的价值是“劳动对效用的关系”，并在历史的演化进程中，对它们加以了一一的详察。据此，文章进一步认为，生产力的累积性质是考察现代企业理论的基本依据，从而指明了对马克思企业理论加以现代拓展的可能的方向。 关键词：生产力劳动效用价值企业 中图分类号：F014.2文献标示码：AOn the Relation of Labor to Utility secondlyThe Theory of Productive Forces of Enterprise Abstract: Based on materialist conception of history, this paper puts forward the concept of productive forces under the theory of cumulation character of productive forces, so the author argues that the concepts of labor and process of labor are determined each other and the value in broad sense can be defined by “the relation of labor to utility”. The concepts are also reviewed reasonedly in their historical process of evolvement. The paper hereby holds that the theory of the cumulation character of productive forces must be applied to guide the theory of modern enterprise and the modern development of Marxian theory of enterprise. Key Words: Productive forces, Labor, Utility, Value, Enterprise JEL Classification: D200 P120 P130 P310利益博弈与政策选择：电动自行车遭禁的经济学分析宋艳锴（山东大学经济研究中心） 内容摘要：电动自行车是新兴的环保、节能交通工具，无论对于消费者还是对于政府，都是应该大力推行的，但是，在中国的某些城市却遭到禁止。中国已经进入了多元化的时代，利益集团的博弈势不可免。电动自行车遭禁是既得利益集团博弈的结果。利益集团的博弈势必影响政策的选择。 关键词：电动自行车 制度经济学 利益集团 政策选择 中图分类号：F019.5 文献标识码：AInterest Game and Policy Choice:An Analysis of the Forbiddance of Motor-driven Bicycle Abstract: As a new tool, Motor-driven bicycle has been popular in recent years, but it was forbidden in many cities in China. Benefit groups have made their efforts to control governments policy for their own interests. This thesis uses the theory of public choice to analyze the event, Government is also rational, pursueing their own benefit maximization. Benefit group's gambling inevitably will affect the policy choice. Building the system platform and making it convenient for benefit groups express their benefit sues will be an important task for government. Key Words: Motor-driven bicycle, Institution economics, Benefit group, Policy Choice JEL Classification: B25 H73 H83 I38
