儘管制度對發展的重要性已毋庸置疑，很多發 展中經濟體仍然缺乏亟需的制度來規管市場交 換、調配經濟資源、協調政策實施以及管理發 展項目。當這些制度缺失的時候會發生什麼？ 能否建立新的制度填補缺失？在什麼樣的情況 下新的規定才能制度化？這些都是本項目研究 的問題。本項目由多個跨國研究機構合作開 展，包括荷蘭規管與治理研究中心，新加坡國 立大學的管治、制度及組織研究中心，法國社 科院南亞研究中心，鹿特丹大學伊拉斯姆斯歷 史、文化與傳播學院，浙江大學以及澳門大 學。 該項目採用新方法新角度去研究制度。到目前 為止，有關制度缺失的問題都是從國家能力、 市場失靈或者管治不善的角度去進行分析。亦 因此關注焦點一直圍繞著市場失靈或國家失敗 的後果。在承接現有研究成果的同時，本項目 從不同的角度進行分析，探討的起點是：制 度缺失有時是由非傳統的行為者/機構所填補 的。這些非傳統行為者在協商和建立新規定新 資源的過程中，導致了另類管治形式的出現。 本項目的核心課題是探討制度缺失填補背後的 邏輯。試圖回答的問題包括：在哪些條件下制 度缺失會得到填補？由誰來填補？為什麼有些 制度缺失得到填補，有些卻沒有？本項目不僅 僅探討制度冗餘、機構弱勢或國家失敗的後果 這些話題，還進一步重點分析具體案例。在這 些案例中，各種形式的機構、做法和行為者履 行其協調或規管職能，以求解決制度缺陷的問 題。通過對這些具體案例的分析，本項目探討 哪些歷史、政治和社會條件是有利於制度缺失 的填補的，哪些則是不利的。雖然課題有深遠 的理論和實證意義，但目前並沒有任何綜合框 架去分析制度缺失對個人行為者帶來哪些機會 和問題，以及個人行為者作用的後果。因此， 如何透過對大量不同的實證案例進行歸納比 較，從而構建一個關於制度缺失填補的理論， 就成為一個較大的挑戰。 制度缺失的定義 制度缺失的概念，最早是由兩位管理學專業的 學者在對新興市場企業行為進行研究的過程中 提出的。這個概念在管理學領域日益受到認 可，但是理論化仍然不足，應用也相當有限。 為了構建制度缺失的新理論，我們已在巴黎、 鹿特丹和多倫多舉辦了一系列的研討會和工作 坊，不久還將在萊頓、新加坡、鹿特丹和澳門 Notwithstanding the established wisdom that institutions matter in development, most developing economies are characterized by the absence of much-needed institutional arrangements to regulate market exchange, mobilise economic resources, coordinate policy implementation, and administer developmental programmes. What happens when such institutional arrangements are absent? Can new institutions be created to !ll the void? And under what circumstances can new regulatory rules be institutionalised? These are the questions addressed by the project on institutional voids. This is a cross-continental project jointly undertaken with a number of leading research institutes including IIAS Centre for Regulation and Governance (Leiden), NUS Centre for Governance, Institutions and Organisations (Singapore), CNRS-EHESS Centre d’Etudes de l’Inde et de l’Asie du Sud (Paris), Erasmus School of History, Culture and Communication (Rotterdam), Zhejiang University, and the University of Macau. The project underlines a new approach to the study of institutions. So far the question of institutional inef!cacies has been analysed in terms of weak state capacity, market failure, or bad governance. The central concern has hitherto revolved around the consequences of market or state failures. While acknowledging the insights that have emerged from existing studies, this project approaches the problem from a different set of concerns. The point of departure is that institutional voids are sometimes !lled by unconventional actors/organisations. In the course of negotiating and creating new rules and resources, these unconventional actors have contributed to the emergence of alternative forms of governance. The central concern of the project is to discover the logic that shapes the !lling of institutional voids. The main questions to be answered are: Under what conditions will an institutional void be !lled, and by whom? Why are some voids !lled but not others? While it shares the long-standing concerns about the consequences of institutional redundancy, organisational weakness, or state failure, the project goes one step further and focuses on speci!c cases in which various forms of organisations, practices, and actors perform coordinating or regulatory functions in an attempt to address institutional inadequacies. By doing so, it explores the historical, political, and social conditions that are conducive or averse to the !lling of voids. And despite the enormous empirical and theoretical implications of this topic, there is currently no comprehensive framework that analyses the opportunities and problems institutional voids offer to individual actors, as well as the consequences of their agency. The challenge is therefore to construct a theory of institutional void !lling from an inductive comparison of a wide range of empirical cases. De!ning Institutional Voids The idea of institutional void was !rst proposed by two researchers in management studies in their study of !rm behaviour in emerging markets. The concept has gained some popularity in management science, but remains 作者為澳門大學社會科學及人文學院政治學教授，專注於政治經濟、 國家建構及規管與治理的研究。 The author is a professor of Political Science of the Faculty of Social Sciences and Humanities at the University of Macau. He specialises in political economy, state making, and regulation and governance. 47
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