會通過種種方式（比如尋租行為）去利用這種缺 失獲益，其他的社會利益群體可能力量太弱或 者太零散而無法抵抗。在這種情況下，缺失的 存在不一定會產生填補缺失的需求，更不用說 填補缺失的行為者了。換言之，制度缺失暴露 出功能性缺陷，但這本身不足以確保缺陷得到 補救。缺失的填補受社會過程和政治過程的影 響，而這兩個過程並不受制於功能性的需要。 事實上，發展中國家的很多缺失仍然未得到填 補。這也是本項目試圖探討缺失填補措施必需 條件的原因。 制度缺失的類型 在構建制度缺失理論的過程中，確定缺失的類 型是關鍵一步。因為不同類型的缺失需要用不 同的方法去填補，克服現有政治及制度障礙的 過程也各不相同。我們從缺失的種類、來源、 領域和時間四個角度對缺失進行分類。從種類 的角度，我們將制度缺失分成兩類：一種是法 規慣例的缺失，一種是職能角色的缺失。 第二個是從來源的角度，不同的制度密度（制 度不存在，制度缺陷，制度冗餘）會產生不同 的缺失。 進行市場改革的社會主義國家（如俄 羅斯、東歐、中國和越南），由於缺乏市場機 制，制度不存在的問題也最為明顯。相反， 有些國家存在過多的並行規定或重疊的管控職 能，因而面臨制度冗餘的問題。以中國為例， 同一件事情往往牽涉到多個官僚機構，導致婆 婆太多的情況。 第三個角度是缺失的領域。按此可將缺失粗略 的分為公共部門內的缺失和市場內的缺失兩大 類。有兩種情況，一種是必要的國家制度無力 解決社會矛盾和制訂國家計劃；另一種是缺乏 相應的市場制度去分配資源、組織交換、安排 生產、籌集資金和鼓勵創新。 第四個角度是缺失的時間性。有些缺失起因於 長期的制度設置，有些則起因於迅速變化的環 境。起因不同的缺失，填補缺失所必需的條件 也不盡相同。存在時間相對較長的缺失容易被 既得利益者視為不可避免的現實。各利益集團 可能會利用其中的漏洞，藉機確立自己在現狀 中的地位。在這種情況下，缺失被填補的可能 性相對較小。 ensure remedies. Void-!lling is shaped by social and political processes not singularly responding to the functional needs of restoring the effectiveness of the system. As a matter of fact, many voids in developing countries remained un!lled. That is why the project seeks to identify the conditions under which void-!lling initiatives are undertaken. A Typology of Institutional Voids One of the key steps in constructing a theory of institutional voids is to develop a typology. Such a typology is needed because different types of voids will need different remedies and hence will generate vastly diverse processes to overcome the existing political and institutional barriers and bridge the gaps. We have categorized voids along four axes according to the kind, source, locus and temporality of voids. The !rst axis deals with the kind of void. We have distinguished two types of institutional voids: voids in institutional rules and norms, and voids in institutional roles. The second axis concerns the source of voids. Here a distinction is made between different degrees of institutional density, which give rise to the emergence of voids as a result of institutional absence, inadequacy, and redundancy. Institutional absence is most obvious among countries which are moving away from a centrally planned socialist system (such as Russia, Eastern Europe, China, and Vietnam) when the infrastructural frameworks for market mechanisms are lacking. In contrast, voids arising from institutional abundance can be found in countries with too many parallel rules or overlapping roles competing for control. In China, for instance, many bureaucratic units are involved in one single task, which leads people to complain about too many “parents-in-law”. The third axis relates to the locus of the voids. A broad distinction can be made between voids in the public sector and those in the market. The locus of voids differs between the situation when the necessary “state institutions” are too weak to manage social con"icts or formulate national plans, and when “market institutions” are absent to allocate resources, organize exchanges, distribute production, raise funds, and encourage innovation. The fourth axis concerns the temporality of voids. The conditions for void-!lling differ according to whether the void originates from a long-existing institutional setting or whether it derives from rapidly-changing circumstances. Voids that have a more permanent character may be more accepted by all stakeholders as an inevitable reality. Groups may take advantage of the loopholes and establish themselves as part of the status quo. In such cases, voids are less likely to be !lled. 49
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