适应性效率理论探讨

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浙江财经学院硕士学位论文

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

浙江财经学院硕士学位论文

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。

关键词：适应性效率；体制结构；制度变迁；适应性调整；关键参与人

浙江财经学院硕士学位论文

III

ABSTRACT

Since institution and its function have been focused by many economists, there

were many literatures on the institutional efficiency or the performance of institutional

changes, the studies of large-scale institutional changes of China and Russia are also

included. China and Russia are taking a different path of reform, and had different

performance of reform, the system they use also have different efficiency, so how to

evaluate the institutional efficiency in the long-term institutional changes is of greatest

importance, it can make us fully comprehend the process of institutional changes, or in

other words, let us sense the general rules of institutional change so as to achieve the

success.

Since North have founded the “adaptive efficiency” theory, the researchers focused

on the understanding of the concept of adaptive efficiency and relevant elements. But in

the institutional change theory, there is still exists cognitive and research shortages of

the importance of adaptive efficiency which is the traits of institution structure, this

structure can bring the long-term economic growth. Though North’s research only

focused on these two aspects, the results of his research step into a solid foundation for

the further studies, and encourage us to take more in-depth consideration on the

extended level of adaptive efficiency theory. The research on the concept and the theory

development of adaptive efficiency formed the main content. Although some scholars

have explained the concept of the adaptive efficiency, there are still exists some doubts;

shows the dynamic adaptive adjustment in the internal institution structure, define and

describe the adaptive level of the structure so as to concrete the adaptive efficiency

theory and find the direction of the reform. That is the target of this paper.

Through comment the literature of domestic and foreign country, analysis the

evaluation criteria of institutional efficiency, we affirm that adaptive efficiency is the

evaluation criteria of the long-term institutional change. The basic character is that the

thesis consists in the limited rationality hypothesis, and regards North’s theory as the

main analytical instrument. From the adaptive angle, we research the adaptive indicator

and its level, also including the two policies of reform. Finally, we give some

suggestions on how to achieve the adaptive efficiency.

The research obtains the following conclusions:

First, domestic scholars thought that “adaptive efficiency” theory of North can be

浙江财经学院硕士学位论文

revised: a society, takes on a long term growth trend, because its system structure

promotes the knowledge to be full, correct, coordinate used and updated, by conducting

the individual mode of action, dealing with the uncertainty. But this paper points out

that it is not exist in a necessary link between individual actions and the whole

institutional changes, that is to say, there is a link between micro and macro which

called “the key participants”. By introducing and classifying this factor, the concept of

adaptive efficiency can be finally revised: one country’s economy can have a long term

growth trend, because the institution structure can make certain adjustments so as to

response to the requirement of the key participants, which is formed in the process of

the individual knowledge’s renew, coordinate used and development.

Then, this paper discusses the internal structure of the institution, including

proto-institutions and its derived institutions, institutional chains and institutional

function modules, system core and the system attributes. Though there are some

scholars have already analyzed the adjustment of the institution structure, but their

analysis is not comprehensive. We made a relative comprehensive research on the

dynamic adaptive adjustment of the institution structure, including the adjustment of the

institutional chain, different chains and proto-institutions. And also list many indicators

from the angle of economic, political and social. More important, we describe the

adaptive level and its function with graph and formula. Based on these analyses,

adaptive level will be divided into five grades: adapt completely, a better fit, may meet,

cannot adapt, not be able to adapt.

Finally, we comment the two type of reform strategy called gradual reform with

flat style and radical reform with mutation style from the angle of adaptive, we obtain

the following result: adaptive efficiency is the general rule of the institution change, no

matter what strategy you take; the ultimate goal is made the institution structure keep

higher adaptive. In the final article, we describe the traits of the structure which have

the adaptive efficiency, and give some suggestions on how to get the adaptive

efficiency.

Keywords ：adaptive efficiency; system structure; institutional change; adaptive

adjustment; the key participants

浙江财经学院硕士学位论文

第一章绪论..................................................................................................................1

第一节选题的意义..............................................................................................1

第二节相关文献综述..........................................................................................1

第三节本文的思路、结构及创新......................................................................7

第二章评价制度效率的标准....................................................................................11

第一节制度效率的内涵.................................................................................... 11

第二节制度效率的评价标准............................................................................12

第三节诺思强调的“动态效率”.........................................................................16

第三章适应性效率理论............................................................................................18

第一节诺思的“适应性效率”理论研究........................................................18

第二节适应性效率概念的修正........................................................................25

第四章体制适应性及其判断指标............................................................................31

第一节体制的内部结构....................................................................................31

第二节体制的适应性分析................................................................................35

第三节适应性的判断指标................................................................................40

第五章适应性机制....................................................................................................51

第一节经济主体的适应性调整行为................................................................51

第二节两种改革策略的适应性机制分析........................................................53

第三节渐进平滑式改革的适应性效率分析....................................................57

第六章获得适应性效率的途径................................................................................59

第一节具有适应性效率的制度结构的特征....................................................59

第二节获得适应性效率的途径........................................................................62

参考文献......................................................................................................................66

附录

..........................................................................................................................70

致谢

..........................................................................................................................71

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摘要：

浙江财经学院硕士学位论文I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...

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