【作者】 孙涛；

【导师】 黄少安； 洪永淼；

【作者基本信息】 山东大学 ， 政治经济学， 2009， 博士

【摘要】 本文是一项考察经济和社会问题基本分析方法的基础理论研究。主要集中于对交易方式、交易组织和交易制度进行新制度经济学和新经济社会学的比较及综合研究。在社会科学领域特别是经济学和社会学中对交易方式、交易组织和制度已有大量的研究,上个世纪七八十年代新制度经济学和新经济社会学的蓬勃发展更是将关于交易组织和制度的研究推向了新的高度。不过,新制度经济学和新经济社会学对这一问题的研究在基本方法论、研究主线和逻辑方法等理论构件上既有相同点又有区别。对于交易组织和制度的已有分析,经济学绝大多数研究的视角集中于企业和市场,而只有较少的研究涉及家庭或家族,社会学的研究主要是从社会交往和网络的角度去研究家庭,侧重于将其作为社会组织细胞的社会功能。但是,家庭或家族作为精神情感交流的场所,它在不同历史阶段和不同的国家地区一直都具有经济交易的组织功能,而且在不同的法律体系完善程度以及不同的文化传统和社会规范的情况下,家庭作为经济组织形式发挥的作用也不尽相同。本文力图通过新制度经济学和新经济社会学基本方法论和理论体系的比较及综合,尝试构建综合的理论分析框架——交易组织制度分析,在对交易组织制度的研究上,将家庭、企业以及市场等作为交易组织形态和规制制度纳入一个统一的、整合的分析框架中去。理论综合是针对经济学和社会学共同关注的研究对象,尝试建构一种能够在理论上阐述经济与社会关系,又能对经验事实有比较好解释力的理论框架。要进行这样的尝试,首先要寻求一些基本分析概念,它们反映经济社会关系,并且包含微观行动因素和宏观结构因素,这些基本概念能使宏微观因素分析能够在一种综合的基本方法论的基础上结合起来。所以,本文的研究思路和逻辑是:从已有理论和经验事实中抽象出作为理论研究的基本概念;从这些概念的界定中得到微观分析与宏观分析相结合,综合分析经济与社会关系的基本理论构件;然后,通过对新制度经济学和新经济社会学方法论的比较和综合,建立这些基本概念和理论构件之间的逻辑关系;最后,通过对决定交易组织制度建立以及交易组织内部结构的产生、变化和互动关系的分析,初步建构起一种综合的经济社会分析方法,即交易组织制度分析。在这一过程中,建构整合性的方法论处于核心地位。本文从考虑微观层面个人行为假定的中间层次分析出发,综合新制度经济学和新经济社会学的研究方法考察在文化信念因素等非正规制度的影响下社会交易方式和制度的形成和变迁,以及既有社会交易结构和交易方式的占优——被占优关系对文化信念演化的影响。另外,也将从历史的视角考察不同文化信念影响下有关国家和地区的特定历史阶段的社会和经济交易制度变迁,分析文化因素对不同社会交易结构形成和变迁的影响,以及交易机制的结构性变化对文化信念的反作用。本文比较和综合了新制度经济学和新经济社会学的研究方法论,在一个更宽广的范围内,论述社会交易结构的决定和变迁,文化信念和社会交易方式的相互关系及共同演化。对于规范分析,具体而言,在考虑个体选择的交易制度分析的基础上建立了文化信念等非正规制度对社会交易结构影响的一般分析框架,重新理解和审视家庭、企业、市场等具体交易方式的功能和范围决定因素。对于历史分析,具体而言,立足于经济史,用历史比较制度分析的方法从不同文化因素影响下的国家或地区的社会和经济变迁过程中考察文化因素对不同社会交易结构形成和演变的影响,以及交易机制的变化对文化信念的反作用。关注“自我实施”、“第二方实施”和“第三方实施”契约各自运行机制以及相互影响;并不简单将交易制度作为非外生变量,而是着重研究交易制度生成与进化的影响和决定因素,即研究经济制度差异性的原因;将研究的视野不断地从市场交易制度拓展到包括非市场交易制度在内的交易制度结构,从制度安排向制度环境,从经济、政治、法律制度向文化传统、价值观念和意识形态拓展,尤其重视影响制度诸因素中的文化传统、价值观念和意识形态的作用。本文的分析结构如下:第一章为导言部分,第二章为新制度经济学的理论体系评述,通过对已有文献的考察,评析了新制度经济学对交易方式、交易组织及制度的研究及发展线索。第三章为新经济社会学的理论体系评述,对新经济社会学的产生和理论构建进行介绍和评析。第四章为新制度经济学和新经济社会学的比较及综合。这一部分从研究对象、研究范围、研究方法和学科功能等方面系统地对新制度经济学和新经济社会学(特别是它们的核心理论:交易成本理论和社会网络理论)进行比较以及整合。对已有理论研究进行比较和评述,探讨理论构件和体系的差异以及沟通融合的问题,以期为建立综合新制度经济学和新经济社会学研究范式的研究框架做好理论基础准备;第五章是一个综合的分析框架——交易组织制度分析的初步构建,界定了其分析对象,基本前提假设,研究方法论以及分析的具体层次,并且阐述了新制度经济学和新经济社会学融合的学理基础以及学科融合的科学哲学意义;第六章界定了交易组织和制度的主要性质,对家庭、企业以及市场等代表性的交易组织和制度进行较为具体的研究,建立了引入违约风险的风险分担理论模型;第七章集中研究经济行为的文化嵌入性和经济制度的社会构建,并以文化传统影响下中国养老方式安排以及社会养老结构的研究为例;第八章为研究展望,从理论研究和案例应用研究两个方面探讨本文研究的进一步发展方向;第九章是本文的结论。本文的主要观点是:(1)交易、交易组织和交易制度是社会科学领域共同关注的研究对象。本文在经济学和社会学研究范畴内对交易、交易组织和交易制度等概念作了分析,然后重点比较新制度经济学与新经济社会学对交易、交易组织和交易制度等的研究在理论范式、分析方法和基本结论等构件上的异同。通过比较和综合,本项研究说明新制度经济学和新经济社会学之间的理论对立并没有两个领域某些学者所设定的那样严苛,而且,本文力图在对交易、交易组织和交易制度等研究对象的分析中构建基于新制度经济学和新经济社会学研究特质的整合的、统一的分析框架。对于经济现象的研究,在历史和社会的两个维度进行分析更有助于更深刻地把握问题的实质。(2)对于新制度经济学和新经济社会学研究范式及方法的综合,本文给出了两个研究范式融合的学理基础——理论基点和价值共识(理论综合的容易程度即“成本”)以及理论的互补性(理论综合的解释力即“收益”)。并且,从科学哲学的角度理解新制度经济学和新经济社会学这两个研究体系的融合所带来的“知识增长”,这种融合所带来的范式转变符合库恩的艺术模式而非科学模式,因此,也就不存在交流失灵(不可通约)的必然性和范式替代的完全性,在社会科学中,我们可以很清晰地看到,争论的结局通常是接受新的理论但却不完全毁坏和抛弃旧的,综合的分析范式成为可能。(3)企业、家庭和市场等交易组织和制度形式,根据它们在经济社会中的所发挥的职能以及经济学和社会学已有的研究,可以从交易成本(包括交易联结成本(transacting connection cost))、交易风险分担(risk sharing,主要针对客观的风险和不确定性)、违约风险和契约规制特点等界区。从这些方面的定义一方面可以提炼出了交易的核心性质,另一方面契合了交易组织制度分析的框架。(4)家庭、企业、市场等交易组织和制度安排,在新制度经济学和新经济社会学综合的分析框架中,可以用非正式制度(社会网络)和正式制度的双重规制下,基于交易成本和特定文化传统影响下个体偏好的分析这一本文定义的交易组织制度分析方法来进行统一研究。交易成本和文化传统影响下的个体偏好共同决定了人们对交易组织制度的选择,在初级交易(指基本的、保障性的、满足马斯洛意义上低层次需要的交易需求)中应该由交易成本主导交易组织制度的选择,而在次级交易(指非基本的、非保障性的、满足马斯洛高层次需要的交易需求)中可以充分兼顾文化传统和社会习俗影响下的个体偏好。基于交易成本的初级交易组织制度安排的有效性影响次级交易包容个体偏好的程度,即初级交易的制度安排越节约交易成本,个体在次级交易中越有能力选择包含较多个体主观偏好的组织制度形式,这种情形下次级交易的效率甚至会比初级交易还要高。本项研究主要的创新之处:(1)从考虑微观层面个人选择的嵌入性及社会网络分析出发,考察社会交易结构和经济效率等宏观层面的问题。在一定程度上连接了相关问题微观和宏观的经济研究。构建了对有关问题研究的一般性分析框架。(2)对于交易方式的有关具体问题,例如基于家庭的互惠交易的问题,经济学和社会学等领域往往分别从经济因素、社会因素、文化因素等方面进行分析,本文尝试建立一个跨社会学科的整合的分析框架,研究不同社会交易结构的决定和变迁。(3)将家庭、企业、市场等具体的交易方式(经济学研究中经常考察的对象)置入文化信念等非正规制度和社会交易制度关系的研究中,从而可以更好地揭示和理解有关的经济社会现象。(4)总结和提炼出“理论基点和价值共识”及“理论互补性”分别作为理论综合的预期“成本”和“收益”。并从科学哲学的角度理解新制度经济学和新经济社会学研究范式融合的意义。本文的不足:本文的写作和论证是基于作者所梳理和总结的新制度经济学和新经济社会学对交易方式、交易组织及制度的研究,对文献的整理和把握还有待进一步加强,其逻辑分析结构并不一定严谨,分析的结构安排也有待于进一步完善。本文涉及问题的进一步研究方向:在理论逻辑上继续完善新制度经济学和新经济社会学的理论融合,并在此基础上构建对交易、交易组织形成和变迁更为一般理论数理分析的框架。这一方面的研究可以从有约束的个人效用函数或偏好结构出发,运用社会网络的交易序对基本数理分析,并将其拓展到群体和社会一般分析;进一步从文献梳理和总结出经济社会学以及新经济社会学两个路向的学术研究传统——社会学取向的经济社会学和经济学取向的经济社会学,并且更深入地研究经济学取向的新经济社会学和新制度经济学(考虑制度约束的经济学)的内在契合性,从而更深刻地理解经济学和社会学研究范式的异同;对于企业理论、家庭经济学、市场理论等理论,用新的综合的交易组织制度分析方法研究其中诸如关系专用性投资,套牢问题,经济个体社会资本的积累,市场交易机制的属性,企业理论中的有关内容,金融保险安排,家庭的功能等具体问题,在交易组织制度分析的基础上构建更为严谨的理论体系,并加入适当的案例分析。更多还原

【Abstract】 This paper is a theoretical study of basic analytical paradigm of economic and social problem, which mainly focuses on the comparative study of transaction, transaction organization and transaction institution of new institutional economics and new economic sociology. In the social sciences, especially in economics and sociology, there are a lot of researches on transaction, transaction organization and institution. In the 1970s and 1980s last century, new institutional economics and new economic sociology have boomed the studies of organization and institution to new height. However, new institutional economics and new economic sociology have similarities and differences in basic research methodology, the main theories, such as components and logic methods on both similarities and differences.To deal with the organization and institution, most studies focused on firm and market, and only few studies involved family or clan. Sociologic researches mainly study family from the perspective of social interaction and network and focus on the family as a social organization and its function of social cells. However, the family or clan in different historical stages and different countries has economic organizational function. And in different legal system and different cultural tradition and social norms, the role of family is not the same.This paper tries to build comprehensive theoretical framework—transaction organizational institutional analysis, by comparing and summarizing the basic methodology and theoretical system of the new institutional economics and the new economic sociology. In the study of transaction organizational institution-the family, the firm and the market-will be put into a unified and integrated analytical framework.The synthesis of this paper is to build a theoretical framework which is not able to promulgate the economy and the social relations, but also have the enough explanation to experience, as far as the study object is concerned. In order to carry on such attempt, we first need to seek a reflection economic society to relate, the packet of energy including the macrostructure factor and the microscopic motion factor’s analysis concept, which can enable these two kinds of factor analysis to be able to unify in one comprehensive basic methodology foundation.The paper’s research logic is: Abstracting the basic concept from the experience fact; then obtaining the elementary theory component; and then, through in new system economic and new economic sociology foundation conformability methodology innovation, establishing an analytical pathway; Finally, constructing a comprehensive economic society analysis method, namely transaction organizational institutional analysis.This paper compares and synthesizes research methodologies of the new institutional economics and the new economic sociology. In a wider range of social structure, this paper discusses the decision and transaction change and cultural beliefs and social way to transaction relationship and common evolution. In particular, in consideration of the individual choice on the basis of analysis of the transaction institution, we establish cultural beliefs of informal social transaction institution as the general framework structure, to understand and examine family, firm, market and the function of transaction and factors which decide the boundaries. In particular, the historical analysis, concern "self" and "the implementation of implementing" and "third party" contract implementation of each operation mechanism and mutual influence. Transaction institution is not simply taken as exogenous variables, which focuses on the formation and evolution of transaction institution and decision factors. Finally, the view of study will expand from market-oriented transaction institution to non-market oriented institution structure, from the institutional arrangements to institutional environment, from the economic, political, legal system, to the value of traditional cultural and ideological, especially to expand the influence factors of traditional culture system, values and ideology.The analytical structure is as follows: the first chapter is introduction; the second chapter is for the theory of new institutional economics. Through the survey of literatures, this chapter analyses the researches and developments of the new institutional economics and transactions of organization and institution. The third chapter is the review of new economic sociology theory. The fourth chapter is the comparison and synthesis of new institutional economics and the new economic sociology. The fifth chapter is a comprehensive analysis framework. In this chapter, I define the basic hypothesis, and research methodology and the analysis of the specific levels, and expounds theoretic foundations of the new institutional economics and the new economic sociology and states scientific philosophy meaning of discipline integration; The sixth chapter defines transaction institution of organization and the main properties of family, firm and market, building a risk sharing theory model. Chapter seven focuses on the embeddedness of economic behavior and the social construction of economic institution, and studies the old-age financial supportive system in China as an example. Chapter eight is the research prospect which discusses further development direction from two aspects of theory and application. Chapter night is the conclusion.The main points in this paper are:(1) Transaction, transaction organizations and transaction institution is the object of study which the social sciences pay attention to together. This article analyzes the concepts of transaction, the transaction organization and institution in the economic and sociological research category with focusing on their similarities and differences. Through the comparison and the synthesis, this research showed the opposition in two domains is not severe; moreover, this paper tries hard to build a unified analytical framework of new institutional economics and new economic sociology.(2) As to the synthesis of new institutional economics and the new sociology, this paper studies two theoretical paradigm integration foundation - the theoretical basis and value of consensus, as well as theoretical complementary to each other. And from the perspective of philosophy of science to understand the Synthesis between new institutional economics and new economic sociology as the two research system, it brought about the integration of "knowledge growth". The paradigm shift is brought about by integration is accordance with Kuhn’s art model, and not the scientific model. Therefore, there is no commensuration failure. In the social sciences, we can clearly see that the outcome of disputes is usually accepting the new theory but not completely destroyed and abandoned old paradigm, thus, it makes comprehensive analysis possibly.(3) Organizational and institutional forms such as firm, family and market, in accordance with their economic and social functions in the economics and sociology, as well as existing research, are distinguished from transaction costs (including transacting connection cost), transaction risk sharing (the main objective for the risk and uncertainty), default risk and contractual regulation characteristics.(4) In the comprehensive analysis framework of new institutional economics and new economic sociology, family, firm and market—transaction organization and institutional arrangement can be studied by the institutional analysis of transaction organization which is based on the transaction cost and specific cultural tradition of individual preference. Transaction costs and cultural tradition of the individual preference for transaction determines the choice in the organizational institution, the primary transaction (basic, affordable and Maslow’ s hierarchy of needs of low sense of transaction demand) should be made by the transaction cost of leading transaction organization system, and in subprime transaction can make full consideration in cultural tradition and social customs under the influence of individual preference. Based on the transaction cost of primary transaction organization institutional arrangement of the effectiveness of individual preference, individual savings in the secondary transactions have ability to select more individual subjective preferences containing the organizational institution. Under this circumstance, subprime transaction has even more efficiency than primary one.The main innovation of this study: (1) From the combination of micro-level consideration of individual choice and the embedded social network analysis, the study of social structure and economic efficiency of transactions, such as macro-level issues are considered; Building a general analytical framework for research.(2) In the case of transactions relating to specific issues, such as family-based reciprocal transactions, in areas such as economics and sociology are often analyzed separately from the economic factors, social factors, cultural factors, and this article seeks to set up an inter-disciplinary society integrated analytical framework to study the decision and the change of different social transaction structure.(3) Put the family, firm, market—specific transaction organizations into the cultural beliefs, such as non-formal institution and social study on the relationship between transaction institutions, thus it can better reveal and understand the economic situation.(4) Summarize and extract the "theoretical basis and value of consensus" and "theoretical complementarity of each other" as the expected "cost" and "benefit" of theoretical synthesis, and from the perspective of philosophy of science, to understand the significance of the synthesis of new institutional economics and new sociology.The deficiency of this paper lies in: the logic structure of this paper may not be precise due to its basing on a framework which the author summarizes himself, and the arrangement of this paper also needs to be perfected further. Besides, those arguments for the practical applications of the theories need to be strengthened in this paper.The further study involves: deepening the logic framework. Research in this area is bound from the individual utility function or preference structure, the use of social networks, transaction sequence of basic mathematical analysis, and extended to groups and society in general analysis; further summarized Economic Sociology new economic sociology, as well as two streams of academic research traditions from the literature, and thus a deeper understanding of economics and sociological research paradigm of the similarities and differences is possible; For enterprise theory, family economics, the market research, try to build a more precise theoretical system on the basis of institutional analysis of transaction organization to further those theory study such as relationship-specific investments, hold-up problem, the economy of individual accumulation of social capital, the market mechanism for property transactions, business theory, the relevant content, finance and insurance arrangements, meanwhile, add some appropriate case study.更多还原