基于内生博弈规则制度观的制度效率分析

制度差异与经济绩效存在着密切的关系.忽视制度的内生性特征和制度之间的相互依存性,是导致新制度效率低下的根源所在.青木昌彦提出的内生博弈规则制度观,阐明了制度差异和经济绩效的关系,揭示了制度之间应当如何相互协调和配合,可以帮助我们认识我国制度效率低下的主要原因.基于内生博弈规则制度观,应当正确选择提高我国制度效率的有效路径.     

Innovation capacity in the healthcare sector and historical anchors: examples from the UK,Switzerland and the US

Innovation is an integral part of economic development in developed economies. In the post 2008 period, a key policy agenda is that of sustainable development, which calls for innovation in all aspects of value-chains. In this paper, we focus on innovation from the biotech—pharma perspective to see whether or not this will lead to a sustainable future for the regions where there are clusters of firms in this sector. We examine data from a recently completed European Union study of innovation in the Healthcare sector from the UK and Switzerland, countries with an historical base in pharma, to understand how innovation pathways vary at the regional level in the broader life sciences, which incorporate biotech and more. Innovation in the healthcare sector in two regions, Oxfordshire in the UK and Zurich in Switzerland are compared. We contextualize our discussion by drawing on studies that focus on the sector in the US, specifically Boston. The analytical framework comprises three elements: innovation systems and national and regional economic development theories are the first two, followed by approaches which consider organizational or institutional activity. This framework is used to help explain and understand the complexity of how innovation is organized at the sub-national level. The overall context is that it is increasing becoming a condition for government financing of research that it has more immediate application in industry or have the possibility of commercialisation (e.g., translational research).     

Disclosing Conflicts of Interest in Clinical Research: Views of Institutional Review Boards, Conflict of Interest Committees, and Investigators

Strategies for disclosing investigators' financial interests to potential research participants have been adopted by many research institutions. However, little is known about how decisions are made regarding disclosures of financial interests to potential research participants, including what is disclosed and the rationale for making these determinations. We sought to understand the attitudes, beliefs, and practices of institutional review board chairs, conflict of interest committee chairs, and investigators regarding disclosure of financial interests to potential research participants. Several themes emerged, including general attitudes toward conflicts of interest, circumstances in which financial interests should be disclosed, rationales and benefits of disclosure, what should be disclosed, negative effects of and barriers to disclosure, and timing and presentation of disclosure. Respondents cited several rationales for disclosure, including enabling informed decision making, promoting trust in researchers and research institutions, and reducing legal liability. There was general agreement that disclosure should happen early in the consent process. Respondents disagreed about whether to disclose the amounts of particular financial interests. Clarifying the goals of disclosure and understanding how potential research participants use the information will be critical in efforts to ensure the integrity of clinical research and to protect the rights and interests of participants.     

知识产权法的制度创新本质与知识创新目标

创新是知识产权法的历史过程与时代使命。知识产权法的创新意义,表现在其本身的制度创新与所追求的知识创新两个方面。知识产权法产生、变革和发展的历史,即为科技、文化创新与法律制度创新相互作用、相互促进的历史。理想的知识产权制度应是持续激励创新的制度,也是自身不断创新的制度。现代知识产权法存在可能发生的"制度风险",影响或制约着创新发展目标的实现。国家与社会事务的管理者具有"政治企业家"的角色担当,作为创新制度的最大供给者,应在知识产权法的主体意识层面、制度设计层面以及社会运行层面作出理性反思和积极应对。     

Academic spin-offs, corporate spin-outs and company internal start-ups as technology transfer approach

As a rule, a technology transfer gap exists between research and development and the commercialisation of the results. This article investigates the role of new ventures for technology transfer from universities and research institutions as well as between or within companies to close this gap. Based on case studies in Germany and Switzerland, different examples of this technology transfer approach have been analysed. Academic spin-offs can help to transfer technology from universities and research institutions to industry especially if there is the need for additional funding to further develop the technology. Corporate spin-outs can be used for technology transfer between companies as an alternative to closing operations should these no longer fit into the parent organisation. Internal start-ups were identified as a new approach for company internal technology transfer from research departments to business units focused on commercial operations to overcome innovation barriers within companies.     

Evaluating academic technology transfer performance by how well access to knowledge is facilitated––defining an access metric

Why should research institutions engage in technology transfer? Some say it is about the money. Others say it is about public service and benefit. In the end, we measure what we value. If we only measure money, we confound the non-profit mission of the research institution. If we measure economic impact, the non-profit technology transfer office is often expected to become the economic developer, confusing real estate and business development with technology transfer, often without additional funding. These mission strains lead to overwhelm, fatigue, service shortcomings, and unhappy customers across all classes of stakeholders. This article suggests a return to center for academic technology transfer offices (TTOs) by focusing on a most important question for drivers of our present global knowledge economy––how well does a TTO facilitate access to knowledge protected by intellectual property of its faculty and institution? This article proposes that academic technology transfer performance should be evaluated by how well a TTO avails access to knowledge. Given that performance measures are also referred to as “metrics,” we call this preferred outcomes orientation an access metric.     

Capturing the Regional Economic Benefits of University Technology Transfer: A Case Study

Despite a high concentration of brainpower and federally funded research, some universities have been unable to translate these assets into regionally based economic activity. The author uses an ethnographic method interviewing university officials and academic entrepreneurs in New York City, which has a relatively poor record of local start-up creation. The author finds that universities that view the primary objective of technology transfer as a revenue generator for their institutions generate fewer spin-offs than those that incorporate a local economic development component. Internal advocacy and faculty interest, however, can affect university behavior. The author also finds that academic entrepreneurs with a pre-existing affiliation with the licensing institution are more likely to locate in the area than outsiders utilizing the technology. Entrepreneurs exhibit a distinct locational calculus based on a range of variables including real estate costs, founders’ preference and the geographical proximity of key firm relationships.      

A new approach to measuring time-lags in technology licensing: study of U.S. academic research institutions

This paper contributes to measurement of licensing performance of U.S. research institutions by suggesting an approach for identifying time-lags in the licensing process. Licensing is a multi-state process starting with a disclosure, and resulting in intermediate outcomes such as patents, licensing agreements, and licensing income. The time duration among these variables is critical in understanding which investment is responsible for which outcome. This study develops a statistic procedure estimating time-lag coefficients among licensing variables using an unstructured regression model (OLS). The procedure is applied to 46 U.S. academic research institutions using the licensing survey data from 1991 to 2007 by Association of University Technology Manager. The results present individual time-lag relationships between each pair of licensing variables.     

Changing institutional culture in the wake of clerical abuse – the essentials of restorative and legal regulation

The Australian Royal Commission into Institutional Responses to Child Sexual Abuse completed its final report in December 2017 after five years of hearings. The Royal Commission was the culmination of pressure from a series of public inquiries about institutional sexual abuse and sustained advocacy from victims and survivor support groups. The Commission made recommendations designed to change institutional leadership, governance and culture. The challenge is to have that change embedded in institutional culture. This paper considers how this might be done in a specific institution, the Catholic Church given that more than two-thirds of reported abuse in faith-based institutions occurred within its ranks. Regulatory theory suggests effective regulation must be responsive to past institutional behaviour. In the case of the Church, the task is profound given its strong self-protective culture which has long shielded abusers. The form of regulation must provide a balance where criminal sanctions loom large in the background while redress processes proceed in the foreground to repair both the harm suffered by survivors and renew Church culture.     

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。     

Transferring technology across borders: institutional effects in Chinese context

Effective technology transfer across borders is very complex and difficult. There are so many factors that affect the effectiveness of technology transfer across borders, and the host country’s institutional profile is a critical factor. The country institutional profile reflects the institutional environment in that country and is defined as the set of all relevant institutions that have been established over time, that operate in that country, and that are transmitted into organizations through individuals (Kostova 1997, 1999; Kostova and Roth 2002) [Country institutional profiles: Concept and measurement. Academy of Management Best Paper Proceedings, pp. 180–189; Transnational transfer of strategic organizational practices: A contextual perspective. Academy of Management Review, 24(2), 308–324; Adoption of an organizational practice by subsidiaries of multinational corporations: Institutional and relational effects. Academy of Management Journal, 45(1), 213–233.]. There have been some studies about the relationship between institutional profile and technology transfer, but there are few studies with a Chinese context. Technology transfer plays an important role in developing countries and has been as one of vital strategies to build an innovative nation in China. Therefore, it is urgent to focus on the relationship between China’s institutional profile and technology transfer. The results of structural equation modeling, the subject of this paper, were based on an empirical study of 167 foreign ventures sampled in China, but they did not fully confirm what the institutional theory emphasized about the effectiveness of technology transfer. The normative dimension of the country institutional profile was shown to have a significantly positive effect on the effectiveness of technology transferring across borders, but contrary to expectations, the regulatory dimension of the country institutional profile was shown to have a significantly negative effect on the effectiveness of technology transfer, while the cognitive dimension has no significant effect on it. The concluding section of the paper discusses some practical implications and potential future study directions.      

Economic incentives for the self-regulation of the release of price-sensitive information

Companies, as primary disseminators of information, and financial institutions, as major recipients, have economic incentives to self-regulate the transmission and usage of price-sensitive information. These include increased (lost) reputation costs and adverse share price penalties arising from poor management of information disclosure. The economic motivation for self-regulation is seen as conceptually linked to but distinct from legislative changes. Self-regulation has the strong support of economic efficiency arguments, whereas recent additional new legislative changes do not. This article examines a major corporate and institutional response to the new regulatory climate—to internalize part of the regulatory process during their regular relationship communications. Relationships between the case companies and institutions already exist for transaction purposes. They are used as a convenient and low-cost means to pursue self-regulation and to avoid errors of price-sensitive information release. This self-regulatory process is illustrated using case material. It is clear from the response pattern presented that the development of a self-regulatory framework by the parties has been an iterative one. The corporate and institutional systems that have been evolving seem to be significantly influenced by the regulatory trends. The regulatory changes appear to have played a role in increasing market costs incurred by those companies with poor stock market communication practices. The article ends by arguing that new proposals to change in the formal regulatory system should recognize that further legislation is unlikely to improve the poor prosecution record. Nevertheless, legislative changes can combine with and buttress the self-regulation process to create an effective regulatory system.     

Institutional anomie and cross-national differences in incarceration†

Messner and Rosenfeld's (2007) institutional anomie theory (IAT) has mainly been applied by criminologists to explain crime rates at various aggregate levels. However, Messner and Rosenfeld also suggest that the same social and cultural forces that lead to high crime may explain differences in punishment, although this latter proposition has yet to be subject to empirical testing. Using a variety of data sources for 41 countries measuring various structural and cultural configurations, in this study we assess the extent to which IAT can explain cross-national differences in incarceration. Our results indicate that the strength of the economic institution and the extent of institutional imbalance reflecting a dominant economic institution are positively associated with incarceration rates when the national culture is characterized by individualism, a competitive achievement orientation, or both. A national culture characterized by both collectivism and a cooperative achievement orientation, however, serves as a buffer against the punitive effects of an institutional imbalance that favors the economy. Our results are discussed in the context of the extant IAT literature and future research on cross-national incarceration.     

Effective Global Economic Governance by the World Trade Organization

The World Trade Organization (‘WTO’) is the principalinternational institution for the management and regulationof the process of economic globalization. Its effectivenessin fulfilling this important task, however, leaves much to bedesired. On 4 and 5 February 2005, the Faculty of Law of MaastrichtUniversity organized an international research conference entitled‘In Search of Effective Global Economic Governance: TheCase of the World Trade Organization’. This conferencebrought together academics, WTO officials, government diplomats,national trade officials, representatives of business associationsand NGOs to discuss a wide range of issues, including: possibleimprovements to and alternatives for consensus decision-makingin the WTO; issues of transparency, democratic legitimacy andthe participation of civil society in WTO decision-making; secondarylaw-making by WTO bodies; and an expanded role for the WTO Secretariat.It is important that legal and political science scholars focustheir research efforts on the reforms needed to transform theWTO into an instrument of effective global economic governance.The main objective of the conference was, therefore, to definea comprehensive agenda for research into the institutional reformof the WTO. This article is, above all, a report of the conferenceand summarizes the main arguments made by the participants.     

Financial Institutions between Effectiveness and Legitimacy – A Legal Analysis of the World Bank,Global Environment Facility and Prototype Carbon Fund

Environmental financing is one of the crucial issues of international environmental law and its implementation. From an environmental perspective a prerequisite for success is that financial resources are used in an environmentally effective way. Whether the World Bank, the Global Environment Facility (GEF) and the Prototype Carbon Fund (PCF) can be perceived as effective environmental actors has to be measured by their objectives, their potential to promote accepted environmental standards and their relevant funding practices. After significant improvements of their environmental policies, the World Bank must be considered the most important institution for environmental financing due to its involvement in environmental trust funds but also in regard to its regular lending practices. The GEF remains exceptional due to its institutional structure and scope, whereas the PCF is an example of public–private partnerships that might be a model for future financing via trust funds. Since acceptance of institutions can only be created if they are considered to be legitimate, legitimacy is closely tied to effectiveness. The main criteria for legitimacy are state consent and the equality of states as well as supplementary considerations such as transparency and public participation. From this perspective the World Bank, GEF and PCF structures of voting and participation have come a long way, and despite their particularities and deficiencies they reflect to a varying degree elements of legitimate decision making.     

Building better science-policy interfaces for international environmental governance: assessing potential within the Intergovernmental Platform for Biodiversity and Ecosystem Services

This article addresses implementation failure in international environmental governance by considering how different institutional configurations for linking scientific and policy-making processes may help to improve implementation of policies set out in international environmental agreements. While institutional arrangements for interfacing scientific and policy-making processes are emerging as key elements in the structure of international environmental governance, formal understanding regarding their effectiveness is still limited. In an effort to advance that understanding, we propose that science-policy interfaces can be understood as institutions and that implementation failures in international environmental governance may be attributed, in part, to institutional mismatches (sic. Young in Institutions and environmental change: Principal findings, applications, and research, MIT Press, Cambridge 2008) associated with poor design of these institutions. In order to investigate this proposition, we employ three analytical categories—credibility, relevance and legitimacy, drawn from Cash et al. Proc Natl Acad Sci 100(14):8086–8091, (2003), to explore basic characteristics of the institutions proscribed under two approaches to institutional design, which we term linear and collaborative. We then proceed to take a closer look at institutional mismatches that may arise with the operationalisation of the soon to be established Intergovernmental Platform on Biodiversity and Ecosystem Services (IPBES). We find that, while there are encouraging signs that institutions based on new agreements, such as the IPBES, have the potential to overcome many of the institutional mismatches we have identified, there remain substantial tensions between continuing reliance on the established linear approach and an emerging collaborative approach, which can be expected to continue undermining the credibility, relevance and legitimacy of these institutions, at least in the near future.     

法官判决的制度表达与实践——从制度经济学角度看法官判决时的非正式制度倾向

笔者通过一个案例,运用制度经济学的方法,分析了中国背景下法官判决时存在的非正式制度倾向问题。尽管制度表达上法官应以法律规则作为判案依据,但在实践上,法官基于成本收益的衡量,会发展出另外一套“行动规则”。国家、法官和当事人之间的博弈以及非正式制度的比较优势是造成目前现状的主要原因。     

Proof of concept centers: accelerating the commercialization of university innovation

Innovation drives economic growth. Economic growth leads to longer, healthier lives by transforming yesterday’s luxuries into better, cheaper, and more efficient goods and services. University research is a key component of our nation’s innovative capacity. In an increasingly dynamic and global economy, the institutional infrastructure is inefficient at moving university innovations to the marketplace. University researchers often face convoluted procedures with insufficient guidance to commercialize their innovations. As angel investors and venture capitalists increasingly invest in later stage enterprises (See PricewaterhouseCoopers, and National Venture Capital Association. MoneyTree™ survey report. 2007. and VentureOne, “Venture Capital Industry Report.” DowJones 2006), researchers face difficulty finding early stage funding to develop and test prototypes and conduct market research. In order to fill this funding gap and accelerate the commercialization of university innovations, a new type of organization has emerged—the proof of concept center. An analysis of the Deshpande Center at MIT and the von Liebig Center at UCSD provides valuable insight into how proof of concept centers can facilitate the transfer of university innovations into commercial applications.