认知、非正式约束与制度变迁:基于演化博弈视角
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摘要
认知、非正式约束与制度变迁之间复杂的交互关系是决定制度变迁过程的关键。目前学界对制度、制度变迁以及非正式约束的内涵界定不一致,特别是对认知作为隐性因素如何影响制度变迁的探索仍有待深入。文章基于文献综述的研究表明:(1)个体认知是制度的内在重要来源,非正式约束是个体认知的外在显化;通过将二者纳入制度变迁分析,可以更好地理解制度和制度变迁的内涵。(2)将认知、偏好等纳入动态制度变迁模型的典型代表学者是诺斯、肖特、青木昌彦以及鲍尔斯;上述学者的研究已初步形成了一个认知内生于制度变迁、认知与制度互动演化的经典理论框架。(3)目前的前沿研究则从关注个体认知逐步转向群体共同认知,并运用自然历史分析和计量检验等方法研究政治、经济和文化等多领域的认知与制度的互动及演化。
The complex interaction between cognition, informal restraints and institutional changes is the key to determining the process of institutional changes. At present, the definitions of institutions, institutional changes and informal constraints remain to be deepened, especially the exploration of how cognition affects institutional changes as a recessive factor. Based on literature reviews, this paper shows that:(1) Individual cognition, of which informal restraints represent as the external manifestation, is an important source of institutions. By incorporating individual cognition(recessive) and informal restraint(dominant) into the analysis of institutional changes, it is better to understand the implications of institutions and institutional changes.(2) When institutional changes are combined with individual cognition, preference and beliefs, there are typical researches such as the institutional changes cognitive model of North, the evolutionary stable equilibrium strategy model of Schott, the subjective game model of Aoki and the symbiotic evolution model of individual preferences and system of Bowles. These achievements form a classical theoretical framework initially in which cognition is endogenous to institutional changes and cognition-institution coevolution.(3) The current frontier researches have shifted their focus from individual to collective cognition in the context of social interaction, and applied the natural history analysis and econometric tests to studying the interaction and coevolution between cognition and institutional changes in political, economic and cultural fields.
The complex interaction between cognition, informal restraints and institutional changes is the key to determining the process of institutional changes. At present, the definitions of institutions, institutional changes and informal constraints remain to be deepened, especially the exploration of how cognition affects institutional changes as a recessive factor. Based on literature reviews, this paper shows that:(1) Individual cognition, of which informal restraints represent as the external manifestation, is an important source of institutions. By incorporating individual cognition(recessive) and informal restraint(dominant) into the analysis of institutional changes, it is better to understand the implications of institutions and institutional changes.(2) When institutional changes are combined with individual cognition, preference and beliefs, there are typical researches such as the institutional changes cognitive model of North, the evolutionary stable equilibrium strategy model of Schott, the subjective game model of Aoki and the symbiotic evolution model of individual preferences and system of Bowles. These achievements form a classical theoretical framework initially in which cognition is endogenous to institutional changes and cognition-institution coevolution.(3) The current frontier researches have shifted their focus from individual to collective cognition in the context of social interaction, and applied the natural history analysis and econometric tests to studying the interaction and coevolution between cognition and institutional changes in political, economic and cultural fields.
引文
董志勇,2006:《行为经济学原理》,北京:北京大学出版社。
丰雷、蒋妍、叶剑平等,2013:“中国农村土地调整制度变迁中的农户态度——基于1999～2010年17省份调查的实证分析”,《管理世界》, 2013,7:44—58。
丰雷、蒋妍、叶剑平,2013:“诱致性制度变迁还是强制性制度变迁——中国农村土地调整的制度演进及地区差异研究”,《经济研究》,2013,6:4—18。
高闯、陈彦亮,2012:“基于认知视角的企业惯例演化研究”,《软科学》,2012,7:107—112。
顾自安,2010:“关于制度演化分析的文献综述”,《上海商学院学报》,2010,1:62—68。
——2011:《制度演化的逻辑——基于认知进化与主体间性的考察》,北京:科学出版社。
侯玉波,2002:《社会心理学》,北京:北京大学出版。
黄凯南,2016:“制度演化经济学的理论发展与建构”,《中国社会科学》,2016,5:65—78。
黄凯南、程臻宇,2008:“认知理性与个体主义方法论的发展”,《经济研究》,2008,7:142—155。
刘晓力,2003:“认知科学研究纲领的困境与走向”,《中国社会科学》,2003,1:99—108。
吕洁、张钢,2013:“团队认知的涌现:基于集体信息加工的视角”,《心理科学进展》, 2013,12:2214—2223。
汪丁丁、罗卫东、叶航,2005:“人类合作秩序的起源与演化”,《社会科学战线》,2005,4:39—47。
韦森,2001:《社会制序的经济分析导论》,上海:上海三联书店。
——2003:“哈耶克式自发制度生成论的博弈论诠释——评肖特的‘社会制度的经济理论’”,《中国社会科学》,2003,6:43—57。
——2005:“言语行为与制度的生成”,《北京大学学报(哲学社会科学版)》,2005,6:121—130。
张五常,1985:“中国会走向‘资本主义’的道路吗?”,《中国的前途(第三版)》,香港:信报有限公司。
张雄,1996:“习俗与市场——从康芒斯等人对市场习俗的分析谈起”,《中国社会科学》, 1996,5:33—43。
中国科学院心理研究所战略发展研究小组,2001:“认知科学的现状与发展趋势”,《中国科学院院刊》,2001,3:168—171。
周业安、马学亮,2006:《微观经济学:行为,制度和演化》,北京:中国人民大学出版社。
朱宪辰、章平,2005:“具体制度安排与契约立宪规则发生、变化的理论分歧——基于个体认知和知识演化的制度变迁解释”,《制度经济学研究》,2005,2:1—22。
Acemoglu, D., and Robinson, J.A., 2012. Why Nations Fail: The Origins of Power, Prosperity, and Poverty. New York: Crown Publishers.
Alchian, A.A., 1950. “Uncertainty, Evolution, and Economic.” Journal of Political Economy. 58(3): 211-221.
Aoki, M., 2001. Toward a Comparative Institutional Analysis. Cambridge: MIT Press.
Bandura, A., 1986. Social Foundations of Thought and Action: A Social Cognitive Theory. Englewood: Prentice Hall.
Bendor, J., and Swistak, P., 2001. “The Evolution of Norms.” American Journal of Sociology. 106(6): 1493-1545.
Block, J.H., Fisch, C.O., and Lau, J., et al., 2018. “How Do Labor Market Institutions Influence the Preference to Work in Family Firms? A Multilevel Analysis Across 40 Countries.” Entrepreneurship Theory and Practice. 1-27.
Boudreaux, C.J., Nikolaev, B.N., and Klein, P., 2018. “Socio-cognitive Traits and Entrepreneurship: The Moderating Role of Economic Institutions.” Journal of Business Venturing. 1-46.
Bowles, S., 2004. Microeconomics: Behavior,Institutions and Evolution. Princeton: Princeton University Press.
Commons, J.R., 1934. Institutional Economics: Its Place in Political Economy. London: Macmillan.
Denzau, A.T., and North, D., 1994. “Shared Mental Models: Ideologies and Institutions.” Kyklos. 47 (1): 3-31.
De, Soto, H., 2000. The Mystery of Capital. New York: Basic Books.
De, S., Nau, D.S.,and Gelfand, M.J., 2017a. “Using Game Theory to Study the Evolution of Cultural Norms.” https://arxiv.org/pdf/1606.02570.pdf.
——2017b. “Understanding Norm Change: An Evolutionary Game-theoretic Study.” In Das, S.E., Durfee, K., Larson, M., Winikoff, eds. International Conference on Autonomous Agents and Multiagent Systems. ao Paulo.
Dolfsma, W., 2004. Institutional Economics and the Formation of Preferences: The Advent of Pop Music. Massachusetts: Edward Elgar Publishing.
Eggertsson, T., 1990. Economic Behavior and Institutions. Cambridge: Cambridge University Press.
Fiske, S.T., and Taylor, S.E., 1991. Social Cognition: Social Categories and Schemas. New York: McGraw-Hill.
Harvey, S., 2017. “Beliefs, Institutional Change and Economic Growth: Evidence from Dubai.” Lund University Master's Degree.
Hayek, F. A., 1973. Law, Legistration and Liberty: Rules and Order. Chicago: Chicago Press.
Henrich, J., and McElreath, R., 2003.“The Evolution of Cultural Evolution.” Evolutionary Anthropology. 12:123-135.
Hodgson, G.M., and Knudsen, T., 2004. “The Complex Evolution of a Simple Traffic Convention: the Functions and Implications of Habit.” Journal of Economic Behavior & Organization. 54(1): 19-47.
Jensen, J.S., 2016. “How Institutions Work in Shared Intentionality and ‘We-mode’ Social Cognition.” Topoi. 35(1): 301-312.
Kahneman, D., 2003. “Maps of Bounded Rationality: Psychology for Behavioral Economics.” American Economic Review. 93(5): 1449-1475.
Katznelson, I., and Weingast, B., 2007. Preferences and Situations: Points of Intersection Between Historical and Rational Choice institutionalism. New York: Russel Sage.
Krupka, E., and Weber, R.A, 2008. “Identifying Social Norms Using Coordination Games: Why Does Dictator Game Sharing Vary.” Iza Discussion Papers. 11(3): 495-524.
Levitt, B., and March, J.G, 1988. “Organizational Learning.” Annual Review of Sociology.14:319-340
Lin, J.Y., 1989. “An Economic Theory of Insititutional Change: Induced and Imposed Change.” Cato Journal. 9(1):1-33.
Lowes, S., Nunn, N., and Robinson, J.A., et al., 2017. “The Evolution of Culture and Institutions: Evidence from the Kuba Kingdom.” Econometrica. 85(4): 1065-1091.
Nelson, R.R., and Winter, S.G., 1982. An Evolutionary Theory of Economic Change. Cambridge: Belknap Press.
North, D.C., 1990. Institutions, Institutional Change and Economic Performance. Cambridge: Cambridge University Press.
——2005. Understanding the Process of Economic Change. Princeton: Princeton University Press.
North, D.C., Wallis, J.J., and Wringgast, B.R., 2009. Violence and Social Orders: A Conceptual Framework for Interpreting Recorded Human History. Cambridge: Cambridge University Press.
Ostrom, E., 2010.“Polycentric Systems for Coping with Collective Action and Global Environmental Change.” Global Environmental Change. 20(4): 550-557.
Schotter, A., 1981. The Economic Theory of Social Institutions: The Nature and Function of Social Institutions. Cambridge: Cambridge University Press.
Scott, J.C.,1998. Seeing Like a State: How Certain Schemes to Improve the Human Condition Have Failed. London: Yale University Press.
Searl, J.R., 1995. The Construction of Social Reality. New York:Free Press.
Theiner, G., and O'Connor, T., 2010. “The Emergence of Group Cognition.” In Corradini, A., O’ Connor, T., eds. Emergence in Science and Philosophy. New York: Routledge.
Thompson, E.P., 1991. Customs in Common. Harmondsworth: Penguin.
Veblen, T., 1919. The Place of Science in Modern Civilazation and Other Essays. New York: Huebsch.
Zhang, Y., and Wang, M., 2014. “Towards Behavioral Political Economy of Institutional Change: with Field Facts from China.” https://www.econstor.eu/bitstream/10419/102153/1/cesifo_wp4956.pdf.
丰雷、蒋妍、叶剑平等,2013:“中国农村土地调整制度变迁中的农户态度——基于1999～2010年17省份调查的实证分析”,《管理世界》, 2013,7:44—58。
丰雷、蒋妍、叶剑平,2013:“诱致性制度变迁还是强制性制度变迁——中国农村土地调整的制度演进及地区差异研究”,《经济研究》,2013,6:4—18。
高闯、陈彦亮,2012:“基于认知视角的企业惯例演化研究”,《软科学》,2012,7:107—112。
顾自安,2010:“关于制度演化分析的文献综述”,《上海商学院学报》,2010,1:62—68。
——2011:《制度演化的逻辑——基于认知进化与主体间性的考察》,北京:科学出版社。
侯玉波,2002:《社会心理学》,北京:北京大学出版。
黄凯南,2016:“制度演化经济学的理论发展与建构”,《中国社会科学》,2016,5:65—78。
黄凯南、程臻宇,2008:“认知理性与个体主义方法论的发展”,《经济研究》,2008,7:142—155。
刘晓力,2003:“认知科学研究纲领的困境与走向”,《中国社会科学》,2003,1:99—108。
吕洁、张钢,2013:“团队认知的涌现:基于集体信息加工的视角”,《心理科学进展》, 2013,12:2214—2223。
汪丁丁、罗卫东、叶航,2005:“人类合作秩序的起源与演化”,《社会科学战线》,2005,4:39—47。
韦森,2001:《社会制序的经济分析导论》,上海:上海三联书店。
——2003:“哈耶克式自发制度生成论的博弈论诠释——评肖特的‘社会制度的经济理论’”,《中国社会科学》,2003,6:43—57。
——2005:“言语行为与制度的生成”,《北京大学学报(哲学社会科学版)》,2005,6:121—130。
张五常,1985:“中国会走向‘资本主义’的道路吗?”,《中国的前途(第三版)》,香港:信报有限公司。
张雄,1996:“习俗与市场——从康芒斯等人对市场习俗的分析谈起”,《中国社会科学》, 1996,5:33—43。
中国科学院心理研究所战略发展研究小组,2001:“认知科学的现状与发展趋势”,《中国科学院院刊》,2001,3:168—171。
周业安、马学亮,2006:《微观经济学:行为,制度和演化》,北京:中国人民大学出版社。
朱宪辰、章平,2005:“具体制度安排与契约立宪规则发生、变化的理论分歧——基于个体认知和知识演化的制度变迁解释”,《制度经济学研究》,2005,2:1—22。
Acemoglu, D., and Robinson, J.A., 2012. Why Nations Fail: The Origins of Power, Prosperity, and Poverty. New York: Crown Publishers.
Alchian, A.A., 1950. “Uncertainty, Evolution, and Economic.” Journal of Political Economy. 58(3): 211-221.
Aoki, M., 2001. Toward a Comparative Institutional Analysis. Cambridge: MIT Press.
Bandura, A., 1986. Social Foundations of Thought and Action: A Social Cognitive Theory. Englewood: Prentice Hall.
Bendor, J., and Swistak, P., 2001. “The Evolution of Norms.” American Journal of Sociology. 106(6): 1493-1545.
Block, J.H., Fisch, C.O., and Lau, J., et al., 2018. “How Do Labor Market Institutions Influence the Preference to Work in Family Firms? A Multilevel Analysis Across 40 Countries.” Entrepreneurship Theory and Practice. 1-27.
Boudreaux, C.J., Nikolaev, B.N., and Klein, P., 2018. “Socio-cognitive Traits and Entrepreneurship: The Moderating Role of Economic Institutions.” Journal of Business Venturing. 1-46.
Bowles, S., 2004. Microeconomics: Behavior,Institutions and Evolution. Princeton: Princeton University Press.
Commons, J.R., 1934. Institutional Economics: Its Place in Political Economy. London: Macmillan.
Denzau, A.T., and North, D., 1994. “Shared Mental Models: Ideologies and Institutions.” Kyklos. 47 (1): 3-31.
De, Soto, H., 2000. The Mystery of Capital. New York: Basic Books.
De, S., Nau, D.S.,and Gelfand, M.J., 2017a. “Using Game Theory to Study the Evolution of Cultural Norms.” https://arxiv.org/pdf/1606.02570.pdf.
——2017b. “Understanding Norm Change: An Evolutionary Game-theoretic Study.” In Das, S.E., Durfee, K., Larson, M., Winikoff, eds. International Conference on Autonomous Agents and Multiagent Systems. ao Paulo.
Dolfsma, W., 2004. Institutional Economics and the Formation of Preferences: The Advent of Pop Music. Massachusetts: Edward Elgar Publishing.
Eggertsson, T., 1990. Economic Behavior and Institutions. Cambridge: Cambridge University Press.
Fiske, S.T., and Taylor, S.E., 1991. Social Cognition: Social Categories and Schemas. New York: McGraw-Hill.
Harvey, S., 2017. “Beliefs, Institutional Change and Economic Growth: Evidence from Dubai.” Lund University Master's Degree.
Hayek, F. A., 1973. Law, Legistration and Liberty: Rules and Order. Chicago: Chicago Press.
Henrich, J., and McElreath, R., 2003.“The Evolution of Cultural Evolution.” Evolutionary Anthropology. 12:123-135.
Hodgson, G.M., and Knudsen, T., 2004. “The Complex Evolution of a Simple Traffic Convention: the Functions and Implications of Habit.” Journal of Economic Behavior & Organization. 54(1): 19-47.
Jensen, J.S., 2016. “How Institutions Work in Shared Intentionality and ‘We-mode’ Social Cognition.” Topoi. 35(1): 301-312.
Kahneman, D., 2003. “Maps of Bounded Rationality: Psychology for Behavioral Economics.” American Economic Review. 93(5): 1449-1475.
Katznelson, I., and Weingast, B., 2007. Preferences and Situations: Points of Intersection Between Historical and Rational Choice institutionalism. New York: Russel Sage.
Krupka, E., and Weber, R.A, 2008. “Identifying Social Norms Using Coordination Games: Why Does Dictator Game Sharing Vary.” Iza Discussion Papers. 11(3): 495-524.
Levitt, B., and March, J.G, 1988. “Organizational Learning.” Annual Review of Sociology.14:319-340
Lin, J.Y., 1989. “An Economic Theory of Insititutional Change: Induced and Imposed Change.” Cato Journal. 9(1):1-33.
Lowes, S., Nunn, N., and Robinson, J.A., et al., 2017. “The Evolution of Culture and Institutions: Evidence from the Kuba Kingdom.” Econometrica. 85(4): 1065-1091.
Nelson, R.R., and Winter, S.G., 1982. An Evolutionary Theory of Economic Change. Cambridge: Belknap Press.
North, D.C., 1990. Institutions, Institutional Change and Economic Performance. Cambridge: Cambridge University Press.
——2005. Understanding the Process of Economic Change. Princeton: Princeton University Press.
North, D.C., Wallis, J.J., and Wringgast, B.R., 2009. Violence and Social Orders: A Conceptual Framework for Interpreting Recorded Human History. Cambridge: Cambridge University Press.
Ostrom, E., 2010.“Polycentric Systems for Coping with Collective Action and Global Environmental Change.” Global Environmental Change. 20(4): 550-557.
Schotter, A., 1981. The Economic Theory of Social Institutions: The Nature and Function of Social Institutions. Cambridge: Cambridge University Press.
Scott, J.C.,1998. Seeing Like a State: How Certain Schemes to Improve the Human Condition Have Failed. London: Yale University Press.
Searl, J.R., 1995. The Construction of Social Reality. New York:Free Press.
Theiner, G., and O'Connor, T., 2010. “The Emergence of Group Cognition.” In Corradini, A., O’ Connor, T., eds. Emergence in Science and Philosophy. New York: Routledge.
Thompson, E.P., 1991. Customs in Common. Harmondsworth: Penguin.
Veblen, T., 1919. The Place of Science in Modern Civilazation and Other Essays. New York: Huebsch.
Zhang, Y., and Wang, M., 2014. “Towards Behavioral Political Economy of Institutional Change: with Field Facts from China.” https://www.econstor.eu/bitstream/10419/102153/1/cesifo_wp4956.pdf.