自然垄断产业市场有效性评价研究
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摘要
自然垄断产业的改革一直是产业经济学领域最为活跃的研究课题之一,也是当前中国经济体制深化改革的焦点问题。随着科技进步和社会经济的发展,自然垄断属性的相应变化形成了自然垄断产业的变革趋势;同时,不断发展的规制经济学对政府的影响也逐渐加强。因此从20世纪80年代初开始,在世界范围内掀起了自然垄断产业市场改革的浪潮,并一直持续至今。
改革开放十多年以后,随着社会主义市场经济体制的确立,中国也开始了对自然垄断产业的市场化改革。经过十多年的探索和实践,大多数自然垄断产业已经形成了一定的竞争格局,产业的整体效率提高,社会福利也有了明显增加。但仍然存在如恶性价格竞争、互联互通障碍、普遍服务不足、市场竞争效率低下等问题,一些产业如铁路业至今仍未实行政企分开和引入竞争。这些问题一方面属于国内外自然垄断产业改革的共性,另一方面也反映出我国正处于经济转轨时期的一些特性。因此,建立一个全面的市场评价体系就成为本文研究重点所在。
本文从上述客观背景出发,借鉴西方产业组织理论、规制经济学等理论框架,深入研究了自然垄断产业的市场特性,在此基础上提出了自然垄断产业市场有效性(ME)的概念和评价体系框架,以三个典型的中国自然垄断产业做为评价对象,通过定量分析的方法对ME的评价指标体系和评价模型进行了实证研究。本文首先用模糊综合评价法对三个评价对象的ME进行了综合评价,通过横向比较分析了影响ME评价结果的原因;然后,利用时间序列数据,使用DEA分析、回归分析等评价工具从纵向的角度实证分析了ME的内部和外部主要影响因素;最后,本文对如何实现中国自然垄断产业市场有效性的模式进行了研究和分析,结合我国市场体制改革的现状,较为系统地探讨了我国在实现自然垄断产业市场有效性时需要注意的一些原则和重点的施行措施。
The reform of natural monopoly industry has always been one of the most heatedly discussed popular research subjects and topics in the fields of the economies of industries. It is also the nuclear problem in China’s deepening reforming process of its economic system in the present situation. Due to the development of the economies of regulation and with its continuous intensifying influence on politics, a wide surge of reform concerning natural monopoly industry market has been taken place on a world wide scale since the beginning of 1980s in the 20th century and the reforming process is still continuing until today.
Decades of years since China first began to adopt the policies of reform and opening-up, China has also started to carry out a market oriented reform in natural monopoly industry with the establishment of a socialist market economic system. The overall efficiency of the industries has been improved, the competitive force of enterprises has been increased, and the prices of many products have been decreased. There is obvious improvement in social welfare cause. However, there are still many remaining problems in this field such as vicious cycles of price competition, the obstacles in interconnection, deficient universal service in many areas and low efficiency in market competition. The existence of these problems has, on the one hand, reflected the common difficulties concerning the reform of natural monopoly industry faced by countries both home and abroad. On the other hand, it also reflected some particular problems and features in the process of our national transition of economic systems. In this way, the key and essential point of the reform of natural monopoly industry lies in how to improve the efficiency of market operation.
On the basis of the above mentioned historical and objective background review, this paper has adopted the theoretical framework of the Theory of Industrial Organization used by western countries to discuss the evolution of natural monopoly theories and the conflicts in the efficiency of natural monopoly theories. It especially focuses on the research of moving and changing features concerning the border area of natural monopoly. Based on the comparison and analysis of the efficiency in the reforming process of natural monopoly industry of some overseas countries, it also makes a study on the efficiency of natural monopoly industry market in China and analyzed some suggestions and modes of development which have constructed the effective market of natural monopoly in China. The paper also put forward a mode of evaluation and its application methods concerning the efficiency of natural monopoly industry market. Finally, by using the examples of several natural monopoly industries in China and considering the present development situation of our country, it discusses some principles and effective practical measures concerning the improvement of market efficiency in our national natural monopoly industry reform.
改革开放十多年以后,随着社会主义市场经济体制的确立,中国也开始了对自然垄断产业的市场化改革。经过十多年的探索和实践,大多数自然垄断产业已经形成了一定的竞争格局,产业的整体效率提高,社会福利也有了明显增加。但仍然存在如恶性价格竞争、互联互通障碍、普遍服务不足、市场竞争效率低下等问题,一些产业如铁路业至今仍未实行政企分开和引入竞争。这些问题一方面属于国内外自然垄断产业改革的共性,另一方面也反映出我国正处于经济转轨时期的一些特性。因此,建立一个全面的市场评价体系就成为本文研究重点所在。
本文从上述客观背景出发,借鉴西方产业组织理论、规制经济学等理论框架,深入研究了自然垄断产业的市场特性,在此基础上提出了自然垄断产业市场有效性(ME)的概念和评价体系框架,以三个典型的中国自然垄断产业做为评价对象,通过定量分析的方法对ME的评价指标体系和评价模型进行了实证研究。本文首先用模糊综合评价法对三个评价对象的ME进行了综合评价,通过横向比较分析了影响ME评价结果的原因;然后,利用时间序列数据,使用DEA分析、回归分析等评价工具从纵向的角度实证分析了ME的内部和外部主要影响因素;最后,本文对如何实现中国自然垄断产业市场有效性的模式进行了研究和分析,结合我国市场体制改革的现状,较为系统地探讨了我国在实现自然垄断产业市场有效性时需要注意的一些原则和重点的施行措施。
The reform of natural monopoly industry has always been one of the most heatedly discussed popular research subjects and topics in the fields of the economies of industries. It is also the nuclear problem in China’s deepening reforming process of its economic system in the present situation. Due to the development of the economies of regulation and with its continuous intensifying influence on politics, a wide surge of reform concerning natural monopoly industry market has been taken place on a world wide scale since the beginning of 1980s in the 20th century and the reforming process is still continuing until today.
Decades of years since China first began to adopt the policies of reform and opening-up, China has also started to carry out a market oriented reform in natural monopoly industry with the establishment of a socialist market economic system. The overall efficiency of the industries has been improved, the competitive force of enterprises has been increased, and the prices of many products have been decreased. There is obvious improvement in social welfare cause. However, there are still many remaining problems in this field such as vicious cycles of price competition, the obstacles in interconnection, deficient universal service in many areas and low efficiency in market competition. The existence of these problems has, on the one hand, reflected the common difficulties concerning the reform of natural monopoly industry faced by countries both home and abroad. On the other hand, it also reflected some particular problems and features in the process of our national transition of economic systems. In this way, the key and essential point of the reform of natural monopoly industry lies in how to improve the efficiency of market operation.
On the basis of the above mentioned historical and objective background review, this paper has adopted the theoretical framework of the Theory of Industrial Organization used by western countries to discuss the evolution of natural monopoly theories and the conflicts in the efficiency of natural monopoly theories. It especially focuses on the research of moving and changing features concerning the border area of natural monopoly. Based on the comparison and analysis of the efficiency in the reforming process of natural monopoly industry of some overseas countries, it also makes a study on the efficiency of natural monopoly industry market in China and analyzed some suggestions and modes of development which have constructed the effective market of natural monopoly in China. The paper also put forward a mode of evaluation and its application methods concerning the efficiency of natural monopoly industry market. Finally, by using the examples of several natural monopoly industries in China and considering the present development situation of our country, it discusses some principles and effective practical measures concerning the improvement of market efficiency in our national natural monopoly industry reform.
引文
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