适应性、认知能力与内生权威
韩中元
摘 要:为了适应不断变化的环境,组织将选择何种组织形式呢?Williamson(1985)把这一问题看作是治理问题。沿袭这一观点,本文试图建立一个模型,考察组织成员的认知能力对内生权威的影响。我们主要发现:如果组织成员之间的认知能力差异足够大,那么以权威为特征的等级制将成为均衡的组织结构;同时,认知能力相对较大的组织成员,获得权威,成为领导者。如果组织成员之间的认知能力差异较小,那么以平等为原则的组织结构成为均衡。作为均衡的平等制组织结构未必有效率;若等级制成为唯一的均衡,则组织是有效率的。
关键词:适应性 认知能力 内生权威
Adaptation, Cognitive Ability and Endogenous Authority
ZhongYuan Han
Abstract: What form of organization will the organization choose for adapting to the changing environment? It is a problem of governance in the eyes of Williamson (1985). Followed this view, this paper attempts to set up a model to study the cognitive abilities of the members of the organization how to affect the endogenous authority. Our main findings: if the difference of cognitive ability between members in organization is large enough, the hierarchy with authority is the equilibrium organizational structure, and the member with larger cognitive abilities will obtain the authority and become the leader. If the difference of cognitive ability between members is small enough, the organizational structure of equality will be the equilibrium. As the equilibrium, the equality organization may not be efficient. If the hierarchy is the unique Nash equilibrium, it holds efficiency as well.
Keywords: Adaptation Cognitive Ability Endogenous Authority
JEL Classification: D23 D82 L22
付现抑或刷卡?
——存在外部选择时人口统计特征如何影响银行卡使用决策
傅联英
摘 要:在考察消费者选用何种银行卡进行支付时,必须考虑到现金支付作为一类外部选择对信用卡与借记卡的替代效应。本文基于2011年中国家庭金融调查(CHFS)微观数据,将现金支付作为外部基准选择,运用多元离散选择模型分析消费者人口统计特征变量对线下支付工具选择的影响方式与作用强度。研究结果发现:样本观察期内,受过良好教育、拥有中高收入又爱好旅游的年轻女性消费者更加倾向于刷卡而非付现;消费者在决定付现还是刷卡时,风险厌恶效应、生命周期效应、收入阶层效应、住房财富效应显著;无论是选择付现还是选择刷卡,收入阶层归属的边际影响最为强烈,教育程度和年龄的边际影响则明显乏力;风险厌恶程度对刷卡倾向的边际影响强于其对付现倾向的边际影响,但其他人口特征变量对两者的边际影响强弱则相反。存在外部选择时,消费者的银行卡使用决策因地区、籍贯和家庭内部决策地位差异而表现出明显的异质性。研究结论对消费者支付工具选择、发卡银行营销策略创新有借鉴意义。
关键词:人口统计特征 现金支付 银行卡支付 外部选择 银行卡使用
Cash or Cards? How do Demographics Affect the Usage Decision for Payment Cards with an Outside Alternative?
Lianying Fu
Abstract: Cash as an outside alternative must be taken into consideration when it comes to investigating the usage decision for bankcards. Based on a unique dataset provided by the China Household Finance Survey 2011, this paper takes cash as an alternative into consideration and employs Multinomial Logit Model to investigate the impact of demographics on the choice among offline payment Instruments. Results show that the risk aversion effect, life cycle effect, income class effect and wealth effect are significant once consumers make payment decisions in observation period. Those who are well educated young female with upper-middle income and high travelling expenditure but without household cars prefer to pay by cards rather than by cash. Regardless of cash or cards, the marginal magnitude of income class on the inclination of payment tools ranks first while those of education and age rank last respectively. Notably, the marginal magnitude of risk aversion on the inclination of cards dominates that on cash while the marginal magnitudes of other demographic variables reverse. In the presence of an outside alternative, heterogeneity arises when consumers make their decision for cards usage. Specifically, the effects of demographics on cards usage vary with regions, residential types as well as status within family. The conclusions above contribute to the choice of payment tools for consumers and are helpful for issuing banks to innovate marketing plans.
Keywords: Demographics Payment by Cash Payment by Cards Outside Alternative Usage of Cards
JEL Classification:L11 L22 L40
大众生产的兴起及其网络治理机制研究
孟 韬
摘 要:“大众生产”是在Web2.0信息技术环境下,在知识产品的生产领域中出现的一种新型的组织模式,高效地生产出了Linux系统、维基百科、百度百科等复杂的知识产品。大众生产的出现给企业理论提出了一个“谜”。本文梳理了大众生产的内涵、表现形式、兴起动因与竞争优势,并且对大众生产的治理机制进行了解析,认为不同于企业和市场的网络治理及其特殊表现形式集市治理是大众生产独特的治理机制,从而试图揭开大众生产组织“黑箱”,回答大众生产之“谜”。
关键词:网络组织 大众生产 网络治理 互联网产业
Research on the Emergency and Governance System of Peer Production
Tao Meng
Abstract: Peer Production is a new organizational model in the sector of production of knowledge product under the technological environment of Web2.0. Linux, Wikipeida, Baidupeida are the knowledge product of this kind of model. Peer Production put forward one puzzle of theory of frim: How do the thousands of volunteers organize and complete the complex and difficult work without formal organizational structure, economic incentives and controlling of contract. The paper analyzed that the organizational model and governance system of peer production and supposed bazaar governance is a special governance model. The governance system of peer production is different with market and firm and can be regarded as one particular case of network governance.
Keywords: Network Organization Peer Production Network Governance Internet Industry
JEL Classification: D23 L22
排他交易理论的研究脉络及进展
—基于“卖方势力”与“买方势力”的综述
李凯 司马林 刘馨阳
摘 要:本文针对当前排他交易理论研究,及现实中各方对买方势力背景下排他问题的日趋关注,将近年来具有代表性的研究成果基于势力因素划分为“买方势力”下的研究和“卖方势力”下的研究。在相应划分下,根据不同研究所关注的重点问题做出梳理和评述。本文发现,相较于传统卖方势力下的研究,买方势力下的排他交易形式更为多样,排他交易效应影响更为复杂,买方势力会对均衡结果产生有趣影响。最后,在归纳出买方势力下排他交易理论研究新特征的基础上,本文提出了未来排他交易理论研究的新思路。本文厘清了有关排他交易理论研究的脉络与进展,较全面呈现了研究领域内既有理论研究成果的贡献与不足,并从新视角探讨了该领域的未来研究方向。
关键词:排他交易 买方势力 反垄断
Exclusive Dealing, his History and Development
—a Review Based on “Seller Power” and “Buyer Power”
Kai Li Lin Sima Xinyang Liu
Abstract: Based on ongoing theory of exclusive dealing and increasing concern on exclusion caused by growing buyer power in reality, the survey paper categorizes the typical researches following two traces of "buyer power" and "seller power" and then reviews them before commenting in accordance with the key issue in different researches. The paper finds out that compared with seller power, exclusive dealings from buyer power has more complicated effects and the power itself will exert important implications on equilibrium results. In the end, the paper casts aside new insights in the area of exclusive dealing and offers suggestion for policy making. The paper clarifies the trace and evolution of the exclusive dealing and presents a rather overall view of existing researches in terms of their contribution and weakness as well as raises a new perspective for future research.
Key Words: Exclusive Dealing Buyer Power Effect Anti-trust
JEL Classification: L11 L42 L81
资源软约束、环境硬约束与产能过剩
徐齐利 聂新伟
摘 要:本文对中国长久产能过剩的形成机理给出一个垄断竞争一般均衡体系下的演化解释:初始场景:无政府干预下产能自然性过剩®第二场景:资源软约束形成产能扭曲性过剩®第三场景:环境硬约束加剧产能扭曲性过剩®第四场景:去产能。作为基准点和参照系,初始场景无政府干预下行业产能存在一个受企业内因生产成本和企业外因市场需求共同决定的自然性过剩水平。第二场景资源软约束使得行业产能在初始场景自然性过剩的基础上形成扭曲性过剩:物力资源软约束使得行业出现产能重复建设的新增企业进入市场而扭曲性过剩,人力资源软约束使得行业出现虽有产能但无产出的僵尸企业退出市场而扭曲性过剩。第三场景环境硬约束使得行业产能在第二场景扭曲性过剩的基础上加剧扭曲性过剩:环境直接硬约束使得行业再次上演虽有产能但无产出的僵尸企业退出市场而产能扭曲性过剩加剧,环境间接硬约束使得行业再次上演产能重复建设的新增企业进入市场而产能扭曲性过剩加剧。第四场景去产能时可将与资源软约束和环境硬约束造成的新基本面相适宜的最优企业数目削减量与保有量、最优企业产能削减量与保有量、最优行业产能削减量与保有量作为去产能的行动目标。该演化体系在产业组织SCP研究范式下将产能过剩形成机理从局部均衡分析推进至一般均衡分析;与发达国家产能过剩机理解释不同,该演化体系对中国这类发展中、赶超型经济体在体制机制不断改进完善进程中产能过剩却一直长久存在的长久机理给出了一个演化解释;且现存产能过剩政府失灵论的诸多观点是该演化体系在物力资源软约束时的特例。
关键词:产能过剩 资源软约束 环境硬约束 重复建设 僵尸企业 去产能
Resource Soft Constraints, Environmental Hard Constraints and Excess Capacity
Qili Xu Xinwei Nie
Abstract: An evolving formation mechanism on long term excess capacity in China was proposed under the general equilibrium system of monopoly competition: situation I: natural excess capacity was formed under no government intervention ® situation II: distorted excess capacity was formed under the soft constraints of resources ® situation III: distorted excess capacity was aggravated under the hard constraints of environment ® situation IV: cut capacity. In situation I of no government intervention, natural excess capacity was determined by both enterprise internal production cost and enterprise external product demand. Soft constraints of resources in situation II makes distorted excess capacity of the industry besides natural excess capacity: material resources soft constraints make distorted excess capacity of the entrance of new enterprises of repeated construction, human resources soft constraints make distorted excess capacity of the withdraw of zombie enterprise of having capacity but no output. Hard constraints of environment in situation III aggravated distortion of excess capacity: direct hard constraint on the environment make the withdraw of zombie enterprise of having capacity but no output once again and then increase distortion of the excess capacity, indirect hard constraint on the environment make the entrance of new enterprises of repeated construction and then increase distortion of the excess capacity. In situation IV of cutting capacity, based on the new fundamentals of both the soft constraints in resources and the hard constraints in environment, optimal enterprise number reduction and retention, optimal enterprise capacity reduction and retention, optimal industry production capacity reduction and retention should be used as a target for cutting capacity. This evolutionary system promotes the formation mechanism of excess capacity from local equilibrium analysis to general equilibrium analysis under the industrial organization SCP research paradigm; unlike the explanation of the mechanism of overcapacity in developed countries, this evolutionary system gives an evolutionary explanation of the long-term mechanism of excess capacity in the process of continuous improvement of institutional mechanisms of catching and surpassing strategies of developing economy, like China; and many views of excess capacity based on government failure are special cases of material resources soft constraints of the evolutionary system.
Keywords: Excess Capacity Resource Soft Constraints Environmental Hard Constraints Repeated Construction Zombie Enterprise Cut Capacity
JEL Classification: L10 D40 C60
财政分权、地方政府竞争与生态效率
——基于空间SDM模型的实证研究
孙国锋 张婵
摘 要:绿色发展是我国经济健康稳定发展长期坚持的理念。目前环境状况日益恶化,生态环境问题已成为我国经济快速发展中非常突出的难题。这与中国的财政政策和地方政府官员的晋升机制密切相关。本文采用了2002-2014年的数据,利用超效率模型计算“生态效率”这一可持续发展指标,利用空间SDM模型研究财政分权、地方政府竞争对生态效率的影响。实证结果表明,在纳入财政分权因素后,地方政府的过度竞争对区域生态效率有显著的负向影响。区域生态效率不仅受本地区财政分权程度和地方政府竞争的影响,还受周边地区生态效率及其解释变量的影响。因此,在改革现行的财政制度和地方政府官员的晋升机制的基础上,充分发挥地方政府竞争的示范和溢出效应,实现跨区域的经济和环境治理合作达到互利共赢。
关键词:财政分权 地方政府竞争 生态效率
Impact of Fiscal Decentralization and Local Government Competition on Eco-efficiency
——An Empirical Study Based on Spatial SDM Model
Guofeng Sun Chan Zhang
Abstract: Green development is the idea that our country adhere to for healthy and stable economic development for a long time. At present, the state of the environment is deteriorating; ecological environment problems have become a very prominent problem in the development of Chinese economy. This is closely related to China’s fiscal policy and the promotion mechanism of local government officials. This paper used super efficiency model and the data from 2002-2014 to calculate eco-efficiency, the sustainable development indicators. And then make use of the spatial SDM model to study the impact of fiscal decentralization and local government competition on eco efficiency. The empirical results show that in fiscal decentralization factors, local government excessive competition has a significant negative effect on regional eco-efficiency. Regional ecological efficiency is not only affected by the area of fiscal decentralization and local government competition, is also affected by the surrounding area and the eco-efficiency of the explanatory variables. Therefore, on the basis of the reform of the current financial system and the promotion mechanism of local government officials, give full play to the demonstration and spillover of foreign direct investment, accelerate inter-regional cooperation in the economic and environmental governance to achieve mutual benefit and win-win situation.
Keywords: Fiscal Decentralization Local Government Competition Eco-efficiency SDM Model
JEL Classification: H50 H11 Q57
异质性企业、出口贸易方式与技术升级
岳文
摘 要:在异质性企业分析框架下,通过引入连续的内生企业技术升级,本文建立了一个分析出口贸易方式影响企业技术升级的理论模型,理论分析表明相比于一般贸易出口方式,对加工贸易出口方式的选择并不利于企业的技术升级。进一步利用2000-2006年的中国企业微观数据,通过系统GMM估计方法,本文还实证考察了出口贸易方式选择对中国企业技术升级的影响,结果发现中国加工贸易出口企业的技术升级程度要显著低于一般贸易出口企业的技术升级程度,而随着企业加工贸易出口程度的提高,企业的技术升级程度也会随之降低。同时,跨地区和跨不同所有制类型的分析表明,出口贸易方式选择仅对我国东部沿海地区企业的技术升级以及外资企业的技术升级存在显著影响。本文的研究从企业技术升级角度为重新认识加工贸易的发展提供了新的视角。
关键词:企业异质性 一般贸易 加工贸易 技术升级
Heterogeneous Firms, Export Trade Pattern and Technology Upgrading
Wen Yue
Abstract: Under the framework of heterogeneous firms' trade theory, this paper builds a theoretical model which can analyze how export trade patterns affect firms' technology upgrading by introducing the continuous endogenous firms' technology upgrading. The theoretical analysis shows the processing trade export is adverse to firms' technology upgrading compared to the general trade export . Applying China's firm-level data from 2000 to 2006, using the system GMM estimation method, the paper empirically analyzes the effect of export trade patterns on firms' technology upgrading. Empirical results show the level of technology upgrading of China's processing trade export firms is significantly lower than that of general trade export firms, and with the increase of the degree of processing trade, firms' technology upgrading will decrease. Meanwhile, further analysis shows export trade patterns only affect firms' technology upgrading of eastern coastal areas and foreign ownership. From the view of firms' technology upgrading, this paper provides a new perspective for understanding the development of processing trade again.
Keywords: Firm Heterogeneity Ordinary Trade Processing Trade Technology Upgrading
JEL Classification: F12 D20