Institutional Analysis in Social Sciences: A Theoretical and Methodological Introduction ( 社会科学中的制度分析 : 问题 理论 方法 )

Transcription

1 Institutional Analysis in Social Sciences: A Theoretical and Methodological Introduction ( 社会科学中的制度分析 : 问题 理论 方法 ) 学年, 第二学期 授课老师 : 唐世平 何俊志 李辉 熊易寒 制度分析已经成为社会科学中最为核心的课题之一 本课程将向学生介绍社会科学的各主要领域 ( 政治学 社会学 制度经济学 人类学 ) 对制度的理解和分析的历史演进 前沿进展和分析方法 修完本课程后, 学生应该可以从事定性的制度分析 定量方法需要学生单独修学定量方法课程 ( 本课程的老师强烈推荐 ) 学习本课程的前期课程要求 : 政治学理论 (POLI6003) 或者是本科是修过政治学课程 最好修过定量方法初阶 学生应该具有一定的英文的阅读能力 课程的每一节课都要求学生读完 150 页左右的材料, 积极参与课堂讨论 每一次课, 老师都会事先给出几个问题 每一节课开始, 老师会对这节课的内容做一个简要的介绍 之后是学生回答问题 ( 每一位学生 分钟 ) 然后是讨论 评分标准 : 硕士生 : 出勤 10%, 课堂 presentation20%, 两篇短评 ( 字 )20%, 期末考试 50% 博士生 : 出勤 10%, 课堂 presentation20%, 两篇短评 ( 字 )20%, 期末论文 50% 必读书目 1. Jared Diamond, Guns, Germs, and Steel (New York, Norton, 1997)( 枪炮 病菌 钢铁 : 人类社会的命运, 谢延光译, 上海译文出版社,2006) 2. Norbert Elias, [1939] The Civilizing Process. Oxford: Blackwell. ( 诺贝特 埃利亚斯, 文明的进程, 上海译文出版社,2009 ) 3. Robert Jervis, System Effects, Chap. 2, System Effects, Princeton University Press.( 杰维斯, 系统效应, 李少军等译, 上海人民出版社,2008) 4. Paul Pierson, Politics in Time. Princeton University Press. 5. Shiping Tang, A General Theory of Institutional Change. London: Routledge.( 唐世平, 制度变迁的广义理论,2011) 1

2 Course Introduction: Institutions and Institutionalism(s) Suggested Readings (Review articles) What are institutions? 1. Duffield, John What Are International Institutions? International Studies Review 9: Hodgson, Geoffrey M What Are Institutions? Journal of Economic Issues 40 (1): John Searle What is an institution? Journal of Institutional Economics 1 (1): Varieties of Institutionalisms 1. Peter A. Hall and Rosemary C. R. Taylor, Political Science and the Three New Institutionalisms, Political Studies 44 (1996), pp Kathleen Thelen, Historic Institutionalism in Comparative Politics, Annual Review of Political Science 2 (1999), pp Old Stuff 1. James G. March and Johan P. Olsen, The New Institutionalism: Organisational Factors in Political Life, American Political Science Review, Vol. 78, No. 3 (Sept. 1984), pp Martha Finnemore, Norms, Culture, and World Politics: Insights from Sociology s Institutionalism, International Organization, Vol. 50, No. 2 (1996), pp Guy Peters, Institutional Theory: Problems and Prospects, Political Science Series 69, (July 2000), pp Powell, Walter W., and Paul J. DiMaggio (eds.) The New Institutionalism in Organizational Analysis. Chicago: University of Chicago Press. 5. Sven Steinmo, Kathleen Thelen, and Frank Longstreth (eds.) Structuralizing Politics: Historical Institutionalism in Comparative Politics. Cambridge: Cambridge University Press. 6. Brinton, Mary C., and Victore Nee The New Institutionalism in Sociology. Stanford: Stanford University Press. 7. Jan-Erik Lane and Svante Ersson, < 新制度主义政治学 >, 何景荣译, 台北 : 韦件文化, 张永宏主编 : 组织社会学的新制度主义学派, 上海 : 上海人民出版社,2007 年, 第 页 Session 1: Power, Institutions, and Institutional Change: toward a general theory (Tang) Reading 1. Shiping Tang, A General Theory of Institutional Change, London: Routledge, Introduction, and chaps General Review 1. Bush, Paul D The Theory of Institutional Change. Journal of Economic Issues 21 (3): Douglass C. North, Institutions, Institutional Change and Economic Performance, Cambridge: Cambridge University Press, pp

3 3. Elisabeth Clemens and James Cook, Politics and Institutionalism: Explaining Durability and Change, Annual Review of Sociology 25 (1999), pp Terry M. Moe, Political Institutions: The Neglected Side of the Story, Journal of Law, Economics, & Organization, Vol. 6, Special Issue: [Papers from the Organization of Political Institutions Conference, April 1990] (1990), pp Lieberman, Robert C Ideas, Institutions, and Political Order: Explaining Political Change. American Political Science Review 96 (4): Kathleen Thelen How Institutions evolve. In James Mahoney and Dietrich Rueschemeyer (eds.). Comparative Historical Analysis in the Social Science. Cambridge: Cambridge University Press, pp Terry M. More, Power and Political Institutions, Perspectives on Politics, Vol. 3, No. 2 (Jun., 2005), pp Sangmpan, S. N Politics Rules: The False Primacy of Institutions in Developing Countries. Political Studies 55 (1): Weyland, Kurt Toward a New Theory of Institutional Change, World Politics 60 (2): Kingston, Christopher, and Gonzalo Cabellero Comparing Theories of Institutional Change. Journal of Institutional Economics 5 (2): Schmidt, Vivien Taking ideas and discourse seriously: explaining change through discursive institutionalism as the fourth new institutionalism. European Political Science Review 2 (1): Mahoney, James, and Kathleen Thelen A Theory of Gradual Institutional Change, in James Mahoney and Kathleen Thelen eds., Explaining Institutional Change: Ambiguity, Agency, and Power (pp. 1-37). Cambridge: Cambridge University Press. Case Studies 1. 凯瑟琳 西伦, 制度是如何演化的: 德国 英国 美国和日本的技能政治经济学, 上海 : 上海人民出版社,2010 年 2. 周雪光 艾云, 多重逻辑下的制度变迁 : 一个分析框架, 中国社会科学 2010 年第 4 期 Session 2: Qualitative Institutional Analysis: Methodological issues (Tang) 1. Robert Jervis, System Effects, Chap. 2, System Effects, Princeton University Press. ( 系统效应, 李少军等译, 上海人民出版社,2008 年, 第二章, 系统效应 ) 2. Tilly, Charles Mechanisms in Political Processes. Annual Review of Political Science 4: Pierson 2004, Politics in Time, chap. 4, Time and Sequence. 4. Richard Ned Lebow Review article: What s so different about a counterfactual? World Politics 52 (3): What do you mean by explanation/understanding? 1. Bunge, Mario Mechanism and Explanation. Philosophy of the Social Sciences 27 3

4 (4): Elias, Norbert. 1991[1939]. The Society of Individuals, In Norbert Elias, The Society of Individuals, translated by Edmund Jephcott. Oxford: Blackwell, Background on qualitative methods 1. James Mahoney, After KKV: The New Methodology of Qualitative Research. World Politics 62 (1): Bennett and Elman 2006, Qualitative Research: Recent Developments in Case Study Methods. Annual Review of Political Science : Charles Ragin Redesign Social Inquiries: Fuzzy Sets and Beyond. Chicago. Specific Topics 1. Paul David, Why are Institutions the Carriers of History? Path Dependence and the Evolution of Conventions, Organisations and Institutions, Structural Change and Economic Dynamics, Vol. 5, No. 2 (1994), pp James Mahoney, Path Dependence in Historical Sociology, Theory and Society, Vol. 29, No. 4 (Aug., 2000), pp Guy Peters, Jon Pierre and Desmond S. King, The Politics of Path Dependency: Political Conflict in Historical Institutionalism, The Journal of Politics, 67 (4): Colin Elman Explanatory Typologies. International Organization 59 (2): Sidney Tarrow, The Strategy of Paired Comparison. Comparative Political Studies 43 (2): Tilly, Charles Big Structures, Large Processes, Huge Comparison. New York: Russell Sage. 7. Tilly, Charles To Explain Political Process. American Journal of Sociology 100 (6): Geddes, Barbara How the Cases You Choose Affect the Answers You Get: Selection Bias in Comparative Politics, Political Analysis Geoffrey Levy Theory Choice and the Comparison of Rival Theoretical Perspectives in Political Sociology, Philosophy of the Social Sciences 26 (1): James Mahoney and Dietrich Rueschemeyer (eds.) Comparative Historical Analysis in the Social Science. Cambridge: Cambridge University Press. Session 3: Institutions and Social Outcomes: big pictures and middle level theories (He) 1. Polanyi, Karl [1944]. The Great Transformation: The Political and Economic Origins of Our Time. Boston: Beacon. Chap. 4-6 (pp ), 10 (pp ). 市场的力量 2. Pierre Bourdieu The Social Structures of the Economy. London: Polity. pp 周雪光 基层政府间的 合谋现象 : 一个政府行为的制度逻辑, 社会学研究 2008 (6): [Xueguang Zhou The Institutional Logic of Collusion among Local Government in China. Modern China 36 (1): ] 4. 赵立涛, 中国义务教育经费体制改革 : 变化与效果 中国社会科学,2009 年第 4 期 4

5 1. Oberschall, Anthony, Eric M. Leifer Efficiency and Social Institutions: Uses and Misuses of Economic Reasoning in Sociology. Annual Review of Sociology 12: Session 4: Institutions, Institutional Change and Growth-I (1 st generation) (Tang) 1. Marx and Engels The Communists Manifesto [ 共产主义者宣言 ] 2. Albert O. Hirschmann The Changing Tolerance for Income Inequality in the Course of Economic Development (with a Mathematical Appendix by Michael Rothschild). Quarterly Journal of Economics 87 (4): Douglass C. North and Barry Weingast, Constitutions and Commitment: The Evolution of Institutional Governing Public Choice in Seventeenth-Century England Journal of Economic History 49 (4): Mokyr, Joel, Technological Inertia in Economic History, Journal of Economic History, Vol. 52, No. 2 (Jun., 1992), pp Mancur Olson, Dictatorship, Democracy, and Development, American Political Science Review 87 (3): Milonakis, Daniel., and B. Fine Douglass North s Remaking of Economic History: A Critical Appraisal. Review of Radical Political Economics 39: North and Thomas, The Rise of the Western World. 西方世界的兴起. 第三部分 Douglass C. North, Institutions, Institutional Change and Economic Performance, Cambridge University Press, part III. 4. Anne O. Kreuger, Government Failures in Economic Development, The Journal of Economic Perspectives, Vol. 4, No. 3 (Summer, 1990), pp John Zysman, How Institutions Create Historically Rooted Trajectories of Growth, Industrial and Corporate Change, Vol. 3, No. 1 (1994), pp Mancur Olson, Big Bills on the Side Walk Journal of Economic Perspectives 10 (2). Session 5: Institutions, Institutional Change and Growth-II (2 nd generation and beyond) (Tang) 1. Acemoglu, Daron, Simon Johnson, and James A. Robinson Reversal of Fortune: Geography and Institutions in the Making of the Modern World Income Distribution. Quarterly Journal of Economics, 117 (4): Acemoglu, Daron, Simon Johnson, and James A. Robinson The Rise of Europe: Atlantic Trade, Institutional Change, and Economic Growth. American Economic Review, 95(3): 张宇燕 高程, 美洲金银和西方世界的兴起, 社会科学战线 2004 年第 1 期 4. Shiping Tang The Positional Market and Economic Growth, Journal of Economic Growth 44 (4):

6 Reviews and Synthesis on the Institutional Approach toward Growth 1. Lin, Justin Yifu and Jeffrey B. Nugent Institutions and Economic Development. In Handbook of Development Economics Volume 3A, edited by S. J. Behrman and T. N. Srinivasan, pp Amsterdam: Elsevier Science, Janie Aron Growth and Institutions: A Review of the Evidence, World Bank Research Observer, 15 (2): Stanley L. Engerman1 and Kenneth L. Sokoloff, Debating the Role of Institutions in Political and Economic Development: Theory, History, and Findings. Annual Review of Political Science 11: Stephen Haggard, Institutions and Growth in East Asia. Studies in Comparative International Development 38 (4): Epstein, S. R Freedom and Growth: The Rise of States and Markets in Europe, London: Routledge and LSE. 6. William Easterly The Elusive Search for Growth. MIT Press. 7. Dani Rodrik One Economics, Many Recipes. Princeton. 欧洲奇迹 大分流 李约瑟难题 1. Eric Jones The European Miracle. 2. Kenneth Pomneraz The Great Divergence. 3. Lin, Justin Yifu. The Needham Puzzle: Why the Industrial Revolution Did Not Originate in China. Economic Development and Cultural Change 43, 2 (1995): Joel Mokyr. The Levers of Riches 5. Joel Mokyr. The Gift of Athens. 6. 赵红军, 李约瑟之谜 : 经济学家应接受旧解还是新解? 经济学季刊 2009 年 4 期 Session 6: Quantitative Institutional Analysis: Methodological issues (He) 1. Pop-Eleches, Grigore Historical Legacies and Post-Communist Regime Change. Journal of Politics 69 (4): Sven Wilson and David Butler A Lot More to Do: The Sensitivity of Time-Series Cross-Section Analyses to Simple Alternative Specifications. Political Analysis 15: Spiegler, Peter, and William Milberg The taming of institutions in economics: the rise and methodology of the new new institutionalism. Journal of Institutional Economics 5 (3): Aaron Katz, Matthias vom Hau and James Mahoney Explaining the Great Reversal in Spanish America: Fuzzy-Set Analysis versus Regression Analysis. Sociological Methods Research 33 (4): Formal Model Approaches 1. Daron Acemoglu and James A. Robinson, Economic Origins of Dictatorship and Democracy, Cambridge: Cambridge University Press,

7 2. Daron Acemoglu and James A. Robinson, Persistence of Power, Elites, and Institutions, American Economic Review, 98 (1): Mirowski, Philip. (1993[1986]). Institutions as a Solution Concept in a Game Theory Context. In The Reconstruction of Economic Theory, ed. Philip Mirowski. Boston: Kulwer-Nijhoff. Reprinted in Geoffrey M. Hodgson eds., The Economics of Institutions (Elgar, 1993), Measuring Problems in Quantitative Analysis 1. Coppedge, Michael, Angel Alvarez, and Claudia Maldonado, Two Persistent Dimensions of Democracy: Contestation and Inclusiveness. Journal of Politics 70 (3): Kirk Bowman, James Mahoney, Measuring Political Democracy: Case Expertise, Data Adequacy, and Central America. Comparative Political Studies, 38 (8): Gerardo Munck Measuring Democracy. John Hopkins University Press. Session 8: Institutions and Governance: Regime Types and Beyond (He/Tang) 1. Diskin et al 2005, Why Democracies Collapse: The Reasons for Democratic Failure and Success. International Political Studies Review 26 (3): Nicholas Charron and Victor Lapuente Does Democracy produce quality of government? European Journal of Political Research 49: Pamela Paxton Social Capital and Democracy: An Interdependence Relationship. American Sociological Review 67 (2): Sangmpan, S. N Politics Rules: The False Primacy of Institutions in Developing Countries. Political Studies 55 (1): David Lake and Matthew Baum The Invisible Hand of Democracy: Political Control and Provision of Public Service. Comparative Politics Studies 34 (6): H. Bäck & Hadenius, A. (2008). Democracy and state capacity: Exploring a J-shaped relationship. Governance 21 (1): Bo Rothstein & Teorell, J. (2008). What is quality of government? A theory of impartial government institutions. Governance: 21 (2): Ming Shing 2010, Explaining Democratic Survival Globally ( ), Journal of Politics 72 (2): Session 9: Regime Types and Growth (or vice versa) (He and Tang) 1. Victor Nee The role of state in making the market. Journal of Institutional and Theoretical Economics. 2. Przeworski et al Democracy and Development. Cambridge University Press, chap Charles Kurzman, Regina Werum, and Ross E. Burkhart Democracy s Effect on Economic Growth: A Pooled Time-Series Analysis, Studies in Comparative International Development, 37 (1):

8 4. Peter Lindert Voice and Growth: Was Churchill Right? Journal of Economic History. Reviews 1. Larry Sirowy and Alex Inkeles The Effects of Democracy on Economic Growth and Inequality: A Review. Studies in Comparative International Development 25 (1): Przeworski, A. & Limongi, F. (1993). Political regime and economic growth. Journal of Economic Perspective 7(3): Specific Topics 1. Robert Wade Governing the Market. Princeton. 2. Dani Rodrik Where did all the growth go? External Shocks, Social Conflict, and Growth Collapses. Journal of Economic Growth 4: David Lake and Matthew Baum The Political Economy of Growth: Democracy and Human Capital. American Journal of Political Science 47 (2): Przeworski et al Democracy and Development. Cambridge University Press, chap. 4, 5. Session 10: Sociology of Knowledge I: Institutions, Power, and Culture (Tang) 1. Norbert Elias, The Civilizing Process. Vol. 2, part 3, Dynamics of Feudalization. Pp ( 诺贝特 埃利亚斯, 文明的进程, 上海译文出版社,2009) 2. Michel Foucault, History of Sexuality, Vol. 2, New York: Vintage. Introduction, and Use of Pleasures, pp. 1-13, Michael Polanyi The Republic of Science. 4. Antonio Gramsci, Selections from Prison Notebooks. New York: The International Publishers. The Intellectuals. pp Michael Polanyi The Growth of Thought in Society. Economica NS 8 (32): Michael Foucault Power/Knowledge. New York: Pantheon. 3. Thomas Kuhn The Structure of Scientific Revolutions (2 nd. Ed.). Chicago. Session 16: Intellectuals as Forces in Institutional Change (Tang) 1. Ruttan, Vernon W Social Science Knowledge and Institutional Change. American Journal of Agricultural Economics 66 (5): Michel Foucault Care of Self as Freedom. In Essential Works of Foucault, Ethics. 3. Shiping Tang, A General Theory of Institutional Change. chap. 5 and appendix, The Role of Intellectuals. 4. Connolly, William E Beyond Good and Evil: The Ethical Sensibility of Michel Foucault. Political Theory 21(3): Foucault, interview with Deluze 8