道格拉斯拳击 道格拉斯·诺斯 2004 Learning, Institutions, and Economic Performancepdf

道格拉斯·诺斯 2004 Learning, Institutions, and Economic Performancepdf  

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Learning,Institutions,andEconomicPerformanceAuthor(s):CMantzavinos,DouglassCNorthandSyedShariqSource:PerspectivesonPolitics,Vol,No(Mar,),ppPublishedby:AmericanPoliticalScienceAssociationStableURL:https:wwwjstororgstableAccessed::YouruseoftheJSTORarchiveindicatesyouracceptanceoftheTermsConditionsofUse,availableathttps:wwwjstororgpageinfoaboutpoliciestermsjspJSTORisanotforprofitservicethathelpsscholars,researchers,andstudentsdiscover,use,andbuilduponawiderangeofcontentinatrusteddigitalarchiveWeuseinformationtechnologyandtoolstoincreaseproductivityandfacilitatenewformsofscholarshipFormoreinformationaboutJSTOR,pleasecontactsupportjstororgAmericanPoliticalScienceAssociationiscollaboratingwithJSTORtodigitize,preserveandextendaccesstoPerspectivesonPoliticshttps:wwwjstororgThiscontentdownloadedfromonWed,Aug::PMAllusesubjecttoJSTORTermsandConditionsArticlesLearning,Institutions,andEconomicPerformanceLearning,Institutions,andEconomicPerformanceByCMantzavinos,DouglassCNorth,andSyedShariqInthisarticle,weprovideabroadoverviewoftheinterplayamongcognition,beliefsystems,andinstitutions,andhowtheyaffecteconomicperformanceWearguethatadeeperunderstandingofinstitutions'emergence,theirworkingproperties,andtheireffectoneconomicandpoliticaloutcomesshouldbeginfromananalysisofcognitiveprocessesWeexplorethenatureofindividualandcollectivelearning,stressingthattheissueisnotwhetheragentsareperfectlyorboundedlyrational,butratherhowhumanbeingsactuallyreasonandchoose,individuallyandincollectivesettingsWethentietheprocessesoflearningtoinstitutionalanalysis,providingargumentsinfavorofwhatcanbecharacterizedas"cognitiveinstitutionalism"Besides,weshowthatafulltreatmentofthephenomenonofpathdependenceshouldstartatthecognitivelevel,proceedattheinstitutionallevel,andculminateattheeconomiclevelThegreatestchallengeforthesocialsciencesistoexplainchangeormorespecifically,social,political,economic,andorganizationalchange'Thestartingpointmustbeanaccountofhumanlearning,whichisthefundamentalprerequisiteforexplainingsuchchangeTheabilitytolearnisthemainreasonfortheobservedplasticityofhumanbehavior,andtheinteractionoflearningindividualsgivesrisetochangeinsociety,polity,economy,andorganizationsBecauselearningisthemainobjectofinquiryincognitivescience,onlyadogmaticattitudewouldpreventsocialscientistsinterestedinphenomenarelatedtochangefrompayingappropriateattentiontoitsfindingsTherevolutionoverthepastdecadesincognitivesciencehasproducedvaluableinsightsregardingtheprocessesofindividuallearningacrossdifferenttypesofenvironmentsThisisthemainreasonwhycognitivescienceisnotmerelyofperipheralimportanceforsocialscientists,butshouldbethestartingpointforanyseriousdiscussionofsocietalchangeInthisarticle,weexplorethenatureofindividuallearningandthenproceedwithanexaminationofcollectivelearningandwithadiscussionoftheemergenceofinstitutionsWethenprovidealinkbetweenlearningandoveralleconomicperformanceand,intheend,examinetheissueofpathdependenceIndividualLearningResearchincognitivescienceduringthepastdecadeshasdeepenedourknowledgeoftherelationshipsamongbrain,mind,andbehaviorInparticular,workintheapproachesknownas"cognitiveneuroscience"hasadvancedourunderstandingofhowbrainstructuresarelinkedtomentalphenomenaandobservablebehaviorThecognitivearchitectureofHomosapiensbeingtheproductofalongevolutionaryprocess,amajorissuethatconfrontsusistheinterplaybetweenthegeneticstructurethathasevolvedinresponsetotheevolvinghumanenvironmentandtheculturalconditionsthatareaconsequenceoftheinstitutionalframeworkdeliberatelycreatedbyhumanstoordertheirenvironmentBecausecognitivescienceisaveryyoungdiscipline,thereare,notsurprisingly,anumberofcompetingexplanationsforperception,learning,memory,andattentionevenmorecontroversysurroundsoverallexplanationsofthenatureofthecognitiveprocessesandtheinterplaybetweenmindandbrainInordertousefullyapplycognitivesciencetopoliticalscience,economics,andothersocialsciences,itisimportanttoremembertheanalyticalfocusoftheexplanatoryenterpriseForourpurposecomingtogripswiththeissueofsocietalchangewewanttousetheorythatissufficientlyanalytictoprovidethefollowing:*anempiricallytestableaccountofindividuallearning*asatisfactoryaccountofchoiceprocesses*afoundationforexplainingtheprocessesofsociallearning,sincetheultimatephenomenaofinterestarepoliticalchangeandeconomicoutcomesInlightofthesecriteria,weneednotengagecertainquestionsdebatedincognitivescienceforexample,conceptformation,whichinvolvescomplicatedinteractionamonggenetics,neuroembryology,cellularmechanisms,maturationCMantzavinosisaseniorfellowattheMaxPlanckInstituteforResearchonCollectiveGoods,Bonn,Germany(mantzavinosmpprdgmpgde)HeistheauthorofIndividuals,Institutions,andMarketsDouglassCNorthistheSpencerTOlinProfessorinArtsandSciencesatWashingtonUniversityinStLouis(battwueconcwustledu)SyedShariqistheKozmetskySeniorResearchScholarattheInstituteforInternationalStudies,StanfordUniversity(sshariqstanfordedu)Foracknowledgements,pleaseseeendnoteMarchIVolNoThiscontentdownloadedfromonWed,Aug::PMAllusesubjecttoJSTORTermsandConditionsArticlesLearning,Institutions,andEconomicPerformanceprocesses,neuronalgroupformation,andontogeneticexperienceForthemostpart,wedonotneedtotakeastandonthedetailsoftheseprocesses,sinceweareconcernedonlywithconceptualizationsthatshowgreatvarietyacrosssocialgroupsandthatcanundergosubstantialchangeevenwithinonegenerationThementaloperationsthatunderliethiskindofvarietyarecreativeandflexible,sowearerestrictingourclaimstothemandthemalleablementalrepresentationstheyproduceWedonotdiveintothecontentiousdebateoverconceptsthataremuchmorebasicand,inmanycases,evidentlyuniversalacrossthespecies(suchasbasicforcedynamics,certainaspectsofthestructureofcolor,chaseplay,etcetera)Theapproachthatwesuggestviewsthemindasacomplexstructurethatactivelyinterpretsand,atthesametime,classifiesthevariedsignalsreceivedbythesensesThemindclassifiestheexperiencesfromthephysicalenvironmentaswellasthosefromthesocioculturallinguisticenvironmentAwidevarietyofmentalrepresentationshavebeenofferedascognitivemodelstodescribethementaloperationsthatareofinteresthereInspiteoftheongoingandasyetinconclusivedebateamongtheproponentsofthedifferentconceptualizationsofmentalmodels,wefindthatthepragmaticnotionofmentalmodelisthemostappropriatefortheexplanatorypurposeshereMentalmodelsgraduallyevolveduringourcognitivedevelopmenttoorganizeourperceptionsandkeeptrackofourmemoriesAsflexibleknowledgestructures,theyaretypicallyformedbyanorganisminpragmaticresponsetoaproblemsituation,inordertoexplainandinterpretitsenvironment'AmentalmodelcanbestbeunderstoodasthefinalpredictionthatthemindmakesorexpectationthatithasregardingtheenvironmentbeforegettingfeedbackfromitDependingonwhethertheexpectationformedisvalidatedbytheenvironmentalfeedback,thementalmodelcanberevised,refined,orrejectedaltogetherLearningisthecomplexmodificationofthementalmodelsaccordingtothefeedbackreceivedfromtheenvironmentTheuniquefeatureofhumanlearningisthatthemodificationofmentalmodelsgoeshandinhandwith"representationalredescription,"'aprocessinwhichknowledgestoredasthesolutiontoaspecialproblemoftheenvironmentissubsequentlyreorderedtoserveasthesolutiontoawidevarietyofproblemsTheformationofmentalmodelsandthetestingofsolutionstoproblemsintheenvironmentdonotnecessarilyleadtosuccess,howeverLearningisanevolutionaryprocessoftrialanderror,'andfailuretosolveaproblemleadstothetrialofanewsolutionBecausementalmodelsaregenerallyflexiblecognitivestructuresthathelphumanssolvetheirproblems,itisinterestingtoconsiderfurthertherelationshipbetweenenvironmentalfeedbackandthestabilizationormodificationofmentalmodelsWhenenvironmentalfeedbackconfirmsthesamementalmodelmanytimes,itbecomesstabilized,inawayWecallthisrelativelycrystallizedmentalmodela"belief"andwecalltheinterconnectionofbeliefs(whichcanbeeitherconsistentorinconsistent)a"beliefsystem"Havingenabledanindividualtosurviveinhisorherenvironmentinthepast,thebeliefsystembecomesconnectedwiththemotivationalsystemToputitanotherway:thebeliefsystemisprogressivelyshapedbytheinvolvementofaparallelemotionaladaptation,anditthereforetakesonthecharacterofageneralfilterforallnewstimulusprocessing,soonemaysafelyhypothesizethatitisrelativelyresistanttoabruptchangesWhenasolutionproducedonthebasisofacertainmentalmodelhasnotsucceeded,anindividualemploysinferentialstrategiesespeciallyanalogiesinaquasiautomaticway'oIfthesestrategiesdonotsolvetheproblemeither,thentheindividualisforcedtobecomecreativethatis,toformnewmentalmodelsandtrynewsolutionsThisisthecaseofchoice,bestconceptualizedasthementalprobingofalternativesinordertosolveanewproblem"IEnvironmentalfeedbackplaysaprimaryroleindeterminingthesuccessorfailureandthesubsequentincrementalstabilizationormodificationoftheunderlyingmentalmodelsInsum,whethercreativechoiceorlearningwilltakeplacedependscruciallyontheenvironmentalfeedbackthattheindividualmindreceiveswhiletryingtosolveitsproblemsObviously,nothingguaranteesthatthereceptionofenvironmentalfeedbackwilloccuraccuratelyBecausethemindactivelyinterpretsallsensoryinput,themessageregardingthesuccessorfailureofthesolutionattemptedwilloftenbemisinterpretedIndeed,thepersistencethroughouthistoryofdogmas,myths,superstitions,andideologiesbasedonsuchflawedbeliefsystemscallsustopayasmuchattentiontolearningthatproducessuchbeliefsaswedotolearningthatappearstointerpretcorrectlytheproblemsconfrontinghumansThetheorythatwesuggesthereneedsfurtherelaboration,ofcourseButitprovides,wethink,ausefulstartingpointforbuildingouranalyticalframeworkbecauseitmeetsallthreecriteriapreviouslyproposedItgivesamoreorlesssatisfactoryaccountofbothindividuallearningandchoiceprocesses,whileprovidingasufficientbasisinordertoexplaintheprocessesofsociallearning,towhichweturnnowCollectiveLearningandChangeLearningatthesocietallevelcanbebestconceptualizedasaprocessofsharedorcollectivelearningWhenweattempttoexplaintheemergenceofsocialorculturalknowledge,wemustdistinguishtwoaspectsofsharedlearning:thestaticandtheevolutionaryInthestaticdimension,individualsinagivensocioculturalenvironmentcontinuallycommunicatewithotherindividualswhiletryingtosolvetheirproblemsThedirectresultofthiscommunicationistheformationofsharedmentalmodels,whichprovidetheframeworkforacommoninterpretationofrealityandgiverisetocollectivesolutionstotheproblemsarisingintheenvironmentTheimportanceofthisprocessisobvious:acommoninterpretationofrealityisthefoundationofanyfurthersocialinteractionWhatabouttheevolutionofthesharedmentalmodelsinasocialgroupovertimeTheevolutionofsharedmentalPerspectivesonPoliticsThiscontentdownloadedfromonWed,Aug::PMAllusesubjecttoJSTORTermsandConditionsmodelsthatis,sharedorcollectivelearningdependsonthegroupsizeandisthereforedifferentwithinorganizationsandinthesocietyoverallSharedlearningfirsttakesplacewithinfamilies,neighborhoods,andschools(thatis,withinorganizations)Themoderntheoryoforganizationallearningviewsorganizationsassystemsofdistributedknowledgeinwhichcapabilitiesaresharedthroughknowledgeexchange'Atthelevelofsociety,theprocessofculturalevolutionconcernsthegrowthandtransmissionofknowledgeintimeMerlinDonaldstressestheimportanceof"ExternalSymbolicStorage"forthetransmissionandaccumulationofknowledgeacrossgenerationsThecriticalinnovationthathasmassivelysupportedtheevolutionof"theoretic"cultureisthesimplehabitofrecordingideasie,of"externalizingtheprocessoforalcommentaryandevents"ThisphenomenonoccurredinChina,India,Egypt,andMesopotamiaforatleastathousandyearsbeforeittookholdinancientGreece,ataroundBCThenewelementthenwasthat"forthefirsttimeinhistorycomplexideaswereplacedinthepublicarena,inanexternalmedium,wheretheycouldundergorefinementoverthelongerterm,thatis,wellbeyondthelifespanofsingleindividuals"'TheseExternalSymbolicStoragenetworkshavedecisivelydrivenforwardtheoreticalknowledgeknowledgecommunicablebymeansofsymbols(naturalandartificial)becausetheyprovidethepossibilityofaconstantinteractionbetweenthecorpusoftheoreticalscientificknowledgeandthetheoreticalproblemsoftheindividualsinasocietyThestockofknowledgetransmittedfromgenerationtogenerationisnotlimitedtotheoreticalknowledge,howeverTheothercategoryofknowledgepracticalknowledge,or"knowinghow"isnotexpressibleinlinguistictermsthemechanismofitstransmissionisthedirectimitationoftheperformanceofothersPracticalknowledgereferstoallskillsacquiredbysolvingpracticalproblemsswimming,cooking,ridingabicycle,drivingacar,typingapaperandisequallyimportantfortheeverydaylifeofallindividualsinasociety'Ascollectivelearningtakesplaceatthesocietallevel,theproblemsolvingcapacityofthesociety,encompassingboththeoreticalscientificandpracticalknowledge,growsandistransmittedovertimeThereis,however,asubcategoryofpracticalknowledgetheknowledgeconcerningthesolutionofsocialproblemsofhumaninteractionthatinmanycasescannotbeunderstoodashavinggrownthroughtimeAtthispoint,wemustgobeyondFriedrichAvonHayek,whoequatedthegrowthofcivilizationwiththegrowthofknowledge,including"ourhabitsandskills,ouremotionalattitudes,ourtoolsandourinstitutionsalladaptationstopastexperiencewhichhavegrownupbyselectiveeliminationoflesssuitablecontact""WemustdevelopamoreanalyticunderstandingofsocietalinstitutionsandexamineinsomedepthhowtheyevolveCollectiveLearningandtheEmergenceofInstitutionsInstitutionsaretherulesofthegameinasocietyor,moreformally,thehumanlydevisedconstraintsthatstructurehumaninteractionTheyconsistofformalrules(constitutions,statuteandcommonlaw,andregulations),informalrules(conventions,moralrules,andsocialnorms),andtheenforcementcharacteristicsofeachBecausetheymakeuptheincentivestructureofasociety,theydefinethewaythegameisplayedthroughtimeWhentheorizingaboutinstitutions,itisusefultodistinguishbetweentwoaspects:externalandinternalFromanexternalpointofview,institutionsaresharedbehavioralregularitiesorsharedroutineswithinapopulationFromaninternalpointofview,theyarenothingmorethansharedmentalmodelsorsharedsolutionstorecurrentproblemsofsocialinteractionOnlybecauseinstitutionsareanchoredinpeople'smindsdotheyeverbecomebehaviorallyrelevantTheelucidationoftheinternalaspectisthecrucialstepinadequatelyexplainingtheemergence,evolution,andeffectsofinstitutionsitisthisthatmakesforthequalitativedifferencebetweenacognitiveapproachtoinstitutionsandotherapproachesAlthough,forexample,therationalchoiceapproachshedssomelightoncognitiveprocesses,itdoessoinastandardizedway,viewingallmentaleventsaschoicesthatleadtoactionsWhilepayingdueattentiontochoicephenomena,thecognitiveapproachtoinstitutionsdoesnotinsistontheirrationalityasjudgedbysomeexternalstandard,nordoesitneglectthewiderrangeofmentalprocessesanalogicalreasoning,skillformation,etceterathatplayacrucialroleintheemergenceofsharedsolutionstorecurrentproblemsofsocialinteraction(ie,institutions)InstitutionshavediverseeffectsOneistheprovisionofincentivestocreateorganizationsHere,itisusefultodistinguishinstitutionsfromorganizationsInstitutionsaretherulesofthegameorganizationsaretheplayersThelatterconsistofgroupsofindividualsboundtogetherbysomecommonobjectiveForexample,firmsareeconomicorganizations,politicalpartiesarepoliticalorganizations,anduniversitiesareeducationalorganizationsAssharedmentalmodelsevolvewithinorganizations,collectivelearningtakesplacewithrespecttotheirgoalsiTheemergenceofinformalandformalinstitutionsisdrivenbydistinctmechanismsAsociety'sinformalinstitutionsemergeandchangeinaprocessofspontaneousinteractionandare"indeedtheresultofhumanaction,butnottheexecutionofanyhumandesign""ThespontaneousemergenceofinformalinstitutionsisaprocessofinnovationandimitationthattakesplaceinasocialgroupthatislearningcollectivelyIndividualsrespectingconventions,followingmoralrules,andadoptingsocialnormscause(asanunintendedoutcomeoftheiraction)theemergenceofsocialorderIncloseknitgroups,informalinstitutionslargelysufficetostabilizeexpectationsandprovidediscipline,becausethemembersofthegroupengageinpersonalrelationshipsInprimitivesocieties,informalinstitutionsalonecanestablishsocialorderandoftenthereisnoneedforadditionalinstitutionswithanexplicitthirdpartyenforcementmechanismThisbringsustooneofthecoreissuesinpoliticalscience:thereasonsforstateexistenceStatesexistbecausetheyprovideMarchVolNoThiscontentdownloadedfromonWed,Aug::PMAllusesubjecttoJSTORTermsandConditionsArticlesILearning,Institutions,andEconomicPerformanceindividualswithsolutionstothetwinproblemsoftrustandprotectionfromaggression(byindividualsofthesamesocietyandonesofdifferentsocieties)Astateem