新型工业化与制度创新初探

实现新型工业化是我国现代化进程中艰巨的历史任务,不仅需要结构创新、技术创新,更需要制度创新。制度创新是一个带有根本性、全局性、稳定性和长期性的问题,它决定了工业化道路的选择。经典学者对制度创新与经济发展的关系作出了精辟的论述,认为在市场经济中,制度至关重要。国外工业化进程中制度创新的实证经验,为我国走新型工业化道路提供了启示和借鉴。我国要实现新型工业化,必须选择制度创新的正确战略,通盘考虑,重塑制度,构建中国特色新型工业化的制度体系,从制度上为实现新型工业化铺平道路。     

Determining Factors of the Effectiveness of IP-based Spin-offs: Comparing the Netherlands and the US

In this paper we describe and analyse IP-based spin-offs as a relatively new phenomenon for transferring knowledge from science to industry. We argue that the effectiveness of this mechanism is subject to a complex array of institutional factors. These factors entail national, sectoral, regional and managerial institutions. Based on an indicative comparison between the Netherlands and the United States we find that is especially the combination of national and sectoral institutions that condition whether an IP-based spin-off is established in the first place, whereas regional and managerial institutions condition its subsequent chances of success. We finish by formulating some notions for public policy.     

Does Co‐Regulation Strengthen EU Legitimacy?

Abstract:  Within the Better Regulation programme of the EU, co-regulation is promoted as an important strategy to improve the regulatory environment within Europe. It is assumed that co-regulation can enhance the legitimacy of EU governance in the field where this strategy is used. The purpose of this article is to assess the truth of this premise and to analyse whether co-regulation strengthens the legitimacy of EU governance. To this end, the criteria of input and output legitimacy are applied to the European social dialogue as a form of co-regulation in the EU policy area of social law. In this article, a link is made between the tendency to prescribe co-regulation as a specific regulatory strategy in EU legislative policy and the existing knowledge on the purposes and effects of co-regulation and the conditions under which co-regulation can function as a regulation strategy.     

Determinants of the university technology transfer policy-mix: a cross-national analysis of gap-funding instruments

University–industry technology transfer (TT) has become increasingly institutionalized and is supported by numerous reforms and initiatives at the national, regional and university levels. Most countries have implemented a policy mix involving a range of instruments to support the commercialization of research. Still, there is no systematic evidence indicating why the mix of policy instruments differs between countries. This study offers a novel cross-national investigation of the policy mix emphasizing the level of centralization and decentralization of policy instruments. We map and analyze two specific types of public instruments aimed at addressing the so-called funding gap in TT: proof of concept programs (POCs) and university-oriented seed funds (USFs). Based on a survey across 21 European countries, we find that such instruments are widely used but are organized differently depending on the level of implementation of TT practices in the country and the specific type of instrument considered. More precisely, we find a U-shaped relationship between the use of centralized gap-funding instruments and the country’s implementation of TT practices. Moreover, the type of gap-funding instrument (POC or USF) moderates this relationship. We discuss the implications of our findings and suggest that the policy mix of gap-funding instruments evolve with the maturity of the national TT infrastructure.     

Rural migration in Korea: a transition to the modern era

Because industrialization and modernization have been stressed as characteristics of an advanced society, pre-industrial and early industrial societies have often been depicted as sedentary and stable in the literature on migration; however, findings have begun to appear that question such depictions. In this paper, we examine the migration patterns of the rural Korean population during Japanese colonial rule (1910–1945), the period immediately preceding full-scale industrialization. In order to determine whether the population can be characterized as mobile or sedentary, we examine patterns of geographic mobility in association with migration distances and in association with migrants' ages. Our results suggest that during this era, as Korea headed down the road to modernity, individual movements followed mixed migration patterns. Specifically, migration in Korea prior to modernization exhibited both a stable-oriented pattern and a life-at-stake-oriented pattern. These findings confirm the context-specific diversity of migration processes across different societies and historical periods.     

Company Liability and Competition Law: Exposure of Company to Risk of Undesirable Behaviour of Directors

In order to protect the objectives of competition policy, companies as undertakings are primarily targeted for the competition law infringements based on the mixed approach of compliance and deterrence theories relying on the view that company directors are incentivised to comply with the rules of competition law by the internal compliance programmes and corporate fines are the consequences of incompliance. This enforcement strategy gives rise to a tension between corporate governance, company law and competition law, as the former two focus on the behaviour of individuals within the corporate structure, while the latter concerns the impact of the company’s behaviour in the market. The question that arises in this tension is whether or to what extent competition law actually considers the way in which the company is run internally while it seeks to promote these primary objectives. This article analyses the deterrent effectiveness of primary enforcement strategy employed in the UK competition law regime and argues that competition law does not tend to localise the source of conduct or particular decisions and does not aim to correct the right wrongdoer. Despite that lack of effectiveness of public enforcement strategy to deter further anti-competitive behaviour has led individual sanctions to be introduced by the Enterprise Act 2002 and the Enterprise and Regulatory Reform Act 2013 in the UK, companies are still primarily targeted by corporate fines even though directors have intentionally breached the rules of competition law and this strategy is unlikely to deter directors from engaging with undesirable behaviour which exposes the company to risk of liability and loss.

     

The role of openness in explaining innovation performance in a regional context

We investigate the role of search strategy in shaping firms’ innovation performance. Firms use a wide range of external actors and sources to help them achieve and sustain innovation. In particular, the extension (breadth) and the relevance (depth) of such sources determine firms’ ability to extract and exploit knowledge and new ideas and, thus, to be innovative. Using a sample of firms in a regional context active in R&D, we built separate measures of breadth and depth for local (on a regional scale) and global (outside the regional context) search. This allows us to investigate whether localized or global knowledge spillovers are in place. We find that a wider set of partners increases coordination costs, while greater depth in search strategies contributes to innovation. We find that a more diversified search strategy at the local level (greater breadth of search) results in significant payoffs in terms of innovation, while diversifying the partnership with Italian partners has a smaller, although still positive, effect. In contrast, the benefits of depth of innovation are greatest at the global level. In addition, a broader set of information sources for R&D projects has a significant positive effect on innovation. Finally, firms that resort to R&D subsidies are less innovative.     

中国传统法在法的现代化进程中的几个问题的研究

本文重在探讨中国传统法在现代社会中是否存在着向现代化转折的可能 ,传统法中的一些因子是否可以成为现代法文化发达的动力并丰富现代法文化的内容。笔者认为要论述传统法的现代化问题 ,首先应该对法的现代化标准有一个基本的认识 ,要区别法的现代化、法律现代化、法制现代化的不同含义。其次 ,要尽可能客观地阐述传统法的原貌 ,分析传统法产生的文化背景。在此基础上对传统法的影响进行理论分析。笔者的结论是 :中国传统法在现代社会中并没有像有些学者所“预设”的“规律”那样消亡 ,相反传统法在现实中积极的和消极的影响随处可见。只有了解传统、理解传统 ,才能正确地解释传统、更新传统。因此在法的现代化中 ,我们应该注意的是自觉、主动 ,而不是回避或被动地改造传统法。     

Is tax competition harmful and is the EU an optimal tax area?

This paper examines the issue of harmfulness of tax competition commenting on issues like welfare, growth, redistribution, harmonization and individual freedom. A simple game theoretical ap proach is formulated, where for the first time the two players start from unequal initial conditions, thus influencing strategy and outcomes. Next we propose the new criterion of Optimal Tax Area under which the possibility and feasibility of tax harmonization is examined. The policy implication of our paper is that we do not expect harmonization for direct taxes like corporate taxes in the EU in the near future and if so, harmonization of corporate tax rates on low levels. We conclude that both more theoretic research and empirical evidence are needed before we can answer with certainty whether tax competition is harmful or not. classification A1 . D6 . H0     

Boundary spanning between industry and university: the role of Technology Transfer Centres

Technology Transfer Centres (TTCs) have been analyzed in the last few years by focusing on the relationship between a TTC, provider of knowledge-intensive services, and a firm client-receiver. Less attention has been devoted to a more complex relationship which involves in the dyadic provider-receiver tie a third relevant body, University. We provide both a theoretical and an empirical contribution by studying whether TTCs can bond the academic and industrial system and we define the activities that make-up this role such as: scanning and selection of R&D opportunities, bridge building, semantic translation of domain specific knowledge, co-production of new knowledge. The boundary spanning role of TTCs is discussed drawing on different and complementary theoretical perspectives. Moreover, we test research hypotheses on the antecedents of boundary spanning activity from a knowledge-based perspective. We argue that TTC boundary spanners need to leverage on both technical skills and networking competences. Empirical investigation has been carried out with a survey of the TTC population of North East Italy. The research findings highlight the task coordination activities implied by a boundary spanning role in joint R&D projects and show that the endowment of human capital at individual level and a qualified social capital at individual and organizational level are the main determinants.     

论中国公司法的供给侧结构性改革——兼论中国公司法的“服务型”转向

无论是从公司合同主义的理论解说路径出发,还是从优化营商环境改革的实践背景切入,甚或是从商主体治理的制度诉求出发,公司法的基本定位都应当是"服务型"的。以"服务品质"为标准重新检视中国公司法,我们会发现其至少存在"知识源"供给不均衡、公司合同范本"老化"以及过于依赖后置型公司合同"漏洞"填补机制三个层面的问题。这意味着中国公司法需要进行一场深入的供给侧结构性改革。通过引入与更新立法"知识源"、缺省性规范增量扩容、公司法规范的清单式指引设计、程序性规则体系化完善,以及构建创新导向型公司法基础规则、以信息信用为核心统筹公司信用监管体系、打造有助于投资而非投机的公司金融规则等举措,提升中国公司法在私人治理和国家战略两个维度上的服务品质。     

涉罪企业合规有效性标准研究——以A公司串通投标案为例

只有被证明是有效的合规计划,才能作为对涉罪企业从宽、免除处罚的事由,但合规有效性标准从合规诞生之日起就是个难解之题.从合规有效性标准的发展历程来看,经历了从技术性指标向文化指标转变的过程,合规有效性的核心标准是合规成为企业文化.与其问企业是否完成了合规计划的实施,不如问企业文化走向何方.奠定于卢曼的社会系统论基础之上的...     

从"无理"的判决到判决书"说理"--判决书说理制度的正当性分析

由于受到大陆法系传统的影响 ,我国判决说理并没有被制度化 ,甚至长时间囿于是否需要制度化的讨论中。笔者通过分析认为 ,在中国现有的司法语境中 ,判决说理具有急需正当化、制度化的内在需求。一是 ,判决说理是法官权力公开化的必然 ,同时也是一种法官自保的策略性选择 ;二是 ,判决说理是司法职能现代化的内在需求 ,力求通过判决说理达到当事人从内心“服判”的司法追求。笔者通过比较分析进一步指出了说理主体、说理对象等判决说理的前提性问题     

Introduction: White-Collar and Corporate Crime in Asia

In this introduction to this special issue of the Journal we broadly consider the problem of white-collar and corporate crime in Asia. Official reports from China show the pervasiveness of current problems and the inherent dangers underlying continued economic growth and reforms. We also consider evidence bearing on the idea that Japan’s remarkably low rate of common crime is likely eclipsed by the level of white-collar and corporate crime, and briefly discuss the institutionalization of economic crime in South Korea. Issues related to the lack of study of white-collar and corporate lawbreaking in Asia are also addressed. Finally, we introduce the papers and topics of this special issue, which include comparative research on cybercrime, the enforcement of intellectual property violations, accounting fraud, financial crime, and offenses in the mutual fund industry.     

THE HARMONIZATION PRINCIPLE IN CORPORATE GOVERNANCE REFORM IN CHINA

The agency theory has laid a foundation of knowledge for the review and design of corporate governance in large public corporations, but they are never exclusively symbiotic. Another insight to observe corporate governance is the adaptive efficiency demonstrated by the level of development of venture capital. Therefore, any proposal for corporate governance reform in large public corporations must be based on perspectives of both the agency theory and the adaptive efficiency theory. Otherwise, it is likely that improvements to one value (i.e. improvements by means of agency) will be at the expense of the other (i.e. improvements by means of adaptive efficiency). This theory is termed as the “harmonization principle.” Taking the Chinese State-Controlled Listed Companies (SCLCs) for example, the harmonization principle is applied to testing the reform measures for its corporate governance. With this demonstration, it intends to show the normative implication of the harmonization principle in the overhaul of corporate governance of large public corporations worldwide.     

Event Studies and the Law: Part II: Empirical Studies of Corporate Law

This article is the second part of a review of the event studymethodology, which has proved to be one of the most successfuluses of econometrics in policy analysis. In this part we focuson the methodology's application to corporate law and corporategovernance issues. Event studies have played an important rolein the making of corporate law and in corporate law scholarship.The reason for this input is twofold. First, there is a matchbetween the methodology and subject matter: the goal of corporatelaw is to increase shareholder wealth, and event studies providea metric for measurement of the impact upon stock prices ofpolicy decisions. Second, because the participants in corporatelaw debates share the objective of corporate law, to adopt policiesthat enhance shareholder wealth, their disagreements are overthe means to achieve that end. Hence, the discourse can be empiricallyinformed. The article concludes by sketching the methodology'suse in evaluating the economic effects of regulation. Whileevent studies' usefulness for policy analysis is by now familiarin the corporate law setting, we hope that our two-part reviewwill suggest appropriate applications to other fields of law.     

废除南京国民政府"六法全书"之思考

废除南京国民政府"六法全书"在当时是必然的,这是由共产党人的法律观、马克思主义的国家观以及中国传统法律文化等方面的原因决定的."六法全书"的废除,对新中国法制建设产生了深远的影响,既有正面的经验,也有反面的教训.其最大危害就是中断了中国法制现代化的历史进程,强化了中国社会蔑视法律的民族传统心理,为新中国政策治国、以党代政、以党治国开了方便之门.     

Valleys of Death and Darwinian Seas: Financing the Invention to Innovation Transition in the United States

The basic science and technology research enterprise of the United States—sources of funding, performing institutions, researcher incentives and motivations—is reasonably well understood by academics and policy makers alike. Similarly corporate motivations, governance, finance, strategy, and competitive advantage have been much studied and are relatively well understood. But the process by which a technical idea of possible commercial value is converted into one or more commercially successful products—the transition from invention to innovation—is highly complex, poorly documented, and little studied. In this paper we discuss the process by which basic research is converted into successful commercial innovations. Following Arrow (1962) and Zeckhauser (1996), we explore the hypothesis that asymmetries of informaion and motivation, as well as institutional “gaps,” may systematically deter private investment into early stage technology development. We describe the role of governments—federal and state (or provincial)—in promoting the commercial transition from an invention to an innovation. We conclude by suggesting some lessons that may be learned from the experience of the Advanced Technology Program (ATP) of the United States Department of Commerce, among the few Federal programs specifically intended to meet this need.     

China and UN environmental policy: institutional growth,learning and implementation

The focus of this article is on whether, and to what extent, the major UN bodies for environmental issues—the United Nations Environmental Programme (UNEP), the Commission for Sustainable Development (CSD), and the Global Environmental Facility (GEF)—have had any impact upon how China addresses and approaches its environmental issues. The UN bodies seem to have had some degree of day-to-day influence in a range of fields. UNEP has provided assistance in terms of policy formulation, technical assistance, training of personnel, public awareness and networking. The CSD seems to have made fewer practical and concrete contributions to China’s environmental policies; it serves as an arena for learning and discussion of environmental issues, rather than as a body for policy implementation. The GEF, on the other hand, has been an important source for the implementation of environmental policies in China. As to China’s contribution to environmental issues on the global arena, China does not seem to give priority to the international level of environmental policies. It is an active participant and stakeholder in international bodies such as UNEP and the CSD, but it is currently not providing any leadership. This is in clear contrast to domestic policy, where environmental issues are becoming increasingly important, attracting the attention of the media, policy-makers and the public. The article concludes that should this trend consolidate, establishing the management of the environment and natural resources as major issues in Chinese politics, it is reasonable to expect that China will in the future aim to play a leading role in environmental politics at the international level.