中国垄断产业放松规制与机制设计博弈研究
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摘要
20世纪70年代以来,美国、英国等成熟市场经济国家在电信、电力、铁路、民航、石油及天然气输送、煤气、自来水等垄断产业的规制出现了放松的趋势,取得了良好的效果。在美国、英国的带领下各个国家纷纷效仿,各国政府纷纷对本国垄断产业与公用事业进行放松规制、引入竞争的改革。放松规制(Deregulation)意味着放松或者取消诸多规制条款,包括市场准入、退出、价格、投资、财务、会计等规制的一部分或者全部。放松规制的目的就是要通过竞争,提供多种新的服务,降低资费水平,使收费体系多样化,并促进技术革新等。
我国也对垄断产业进行改革,积极探索适合我国国情的垄断产业改革模式与路径,并取得了一些成绩。但是,由于历史原因,我国垄断产业改革还刚刚起步,效果还不显著,与竞争目标相联系的众多深层次问题在相当大程度上还制约着改革地深入。我国在垄断产业改革缺乏战略性设计,具有偶然性、非连续性、不彻底性、反复性和非路径依赖性等特点。目前,我国垄断产业提供的产品价格还比较高,对消费者来说还是较大的负担特别是对中低收入家庭;垄断产业运营企业的效率还比较低下,不利于我国国际竞争力的提高;垄断产业职工工资过高,是我国收入分配不均的一个重要原因,不利于和谐社会的构建;垄断产业规制体制建立不科学,不利于垄断产业改革的自我推进。在这种背景下,党的十七大报告中提出了“深化垄断行业改革,引入竞争机制,加强政府监管和社会监督”的重要任务。
自然垄断产业放松规制改革不单单是一个经济与技术问题,而且是一个政治问题,或者说是一个政治经济问题。垄断产业放松规制的改革本质上是一种利益调整和再均衡的过程,会导致各个利益主体之间的利益冲突。新时期、新阶段,垄断产业放松规制改革目标能否顺利实现取决于利益关系的改革和调整,需要把全面调整利益关系作为新阶段垄断产业改革攻坚的重大课题和重要任务。放松规制的过程会对国家、规制机构、垄断企业以及消费者四个利益主体产生重要影响。有的利益主体会从中受益,有的利益主体会从中受损,并且各利益主体受益与受损的程度各不相同。这样,利益受损主体可能会阻止放松规制改革的顺利进行,导致放松规制改革的流产。因此,全面系统地研究放松规制对各利益主体的影响,研究各利益主体对放松规制的态度、策略性反应以及影响力,研究他们之间的博弈均衡,并设计可行的均衡机制保证各利益主体都能够支持改革,保证放松规制改革的顺利进行,实现各利益主体的多赢,是摆在我们面前的一项重要而紧迫的任务。
本文主要研究我国垄断产业放松规制改革,并回答Stigler提出的在放松规制背景下的类似问题,即回答“谁从放松规制中受益?谁从放松规制中受损?放松规制采取什么形式?放松规制对资源配置的影响”等重要问题。
本文利用博弈论与机制设计理论系统研究我国垄断产业放松规制对国家、规制机构、垄断企业、消费者各利益主体(集团)的影响;系统研究各利益主体对放松规制的态度、策略性反应以及影响力,研究他们之间的博弈均衡;系统研究放松规制改革中改革推动者选择、改革战略选择、改革时机选择以及改革时序设计等改革机制设计与路径选择问题。为我国深化垄断行业改革,引入竞争机制,加强政府监管和社会监督提供理论支持与实践指导。
Telecommunication, electricity, railway, airline, oil and gas, water etc. have undergone deregulation reform in USA, UK from 1970s.This reform have obtained good effects. Many nations imitate in succession under leadership of the United States and UK, deregulate natural monopoly industry and public utilities and introduce competition. Deregulation means reduce or cancel some regulation and rules including market entrance, market exit, price, investment, finance and account. The objective of deregulation includes introduction of competition, decreases fee level and improves technology progress.
China's monopoly industries also continue to explore suitable reform mode and path for China's national conditions and have achieved some success. However, due to historical reasons, China's reform of monopoly industries has just started, the effect is not significant, with the restrictions of many deep-seated problems. Reform of monopoly industries in China is lack of strategic design, with occasional, non-continuity, not completely, iterative and non-path dependence and other characteristics. At present, China's monopoly industry is still relatively high prices for consumers or larger burden especially for low and middle-income families; the efficiency of monopoly industries is still relatively low, not conducive to the country's international competitiveness; the income of workers in monopoly industries is too high, not conducive to building a harmonious society; the regulation system of monopoly industries is unscientific, not conducive to the reform of monopoly industries self-promoting. Against this background, the report to 17th National Congress of the CPC said that we will deepen the reform of monopoly industries, introduce competition mechanism and strengthen government supervision and supervision by society.
Deregulation of natural monopoly industry reform is not only an economic and technical issue, but a political issue, or is a political and economic problem. Monopoly industry deregulation reform is essentially a re-adjustment of interests and balanced process, which will lead to various conflict interests between different interests groups. The new era and new stage, the success of monopoly industries deregulation reform depends on the interests of the smooth realization of the reforms and adjustments, the need to fully adjust interest as a new phase of reform of monopoly industries and the major issues important tasks. Deregulation will have different impact on different interest groups such as nation, regulator, monopoly enterprises and consumer. Some interest groups will benefit from it, interest of some groups will be impaired. The interest groups, whose interest be damaged, will hold back the reform. Then, the deregulation reform will be aborted. Therefore, it is essential to study the impact of various interest groups, the various interest groups on deregulation attitude, as well as strategic responses and influence power, the game equilibrium between them comprehensively and systematicly. The reform needs to design a feasible mechanism to guarantee the interests of all group can supports the reform and achieve the win-win outcome.
This thesis study the deregulation reform of natural monopoly industry in China from the perspective of New-Political economics, transition economics and institution changes, using micro-agent and macro-system methods. We examine the impact of deregulation reform on nation interests group, regulator interests group, the monopoly interests group and consumer group respectively and bring them together to study the game equilibrium of four interests groups. Then, we try to design the deregulation mechanism and path by institution analysis methods. So, this thesis has not only realistic significance, but also theoretical value.
我国也对垄断产业进行改革,积极探索适合我国国情的垄断产业改革模式与路径,并取得了一些成绩。但是,由于历史原因,我国垄断产业改革还刚刚起步,效果还不显著,与竞争目标相联系的众多深层次问题在相当大程度上还制约着改革地深入。我国在垄断产业改革缺乏战略性设计,具有偶然性、非连续性、不彻底性、反复性和非路径依赖性等特点。目前,我国垄断产业提供的产品价格还比较高,对消费者来说还是较大的负担特别是对中低收入家庭;垄断产业运营企业的效率还比较低下,不利于我国国际竞争力的提高;垄断产业职工工资过高,是我国收入分配不均的一个重要原因,不利于和谐社会的构建;垄断产业规制体制建立不科学,不利于垄断产业改革的自我推进。在这种背景下,党的十七大报告中提出了“深化垄断行业改革,引入竞争机制,加强政府监管和社会监督”的重要任务。
自然垄断产业放松规制改革不单单是一个经济与技术问题,而且是一个政治问题,或者说是一个政治经济问题。垄断产业放松规制的改革本质上是一种利益调整和再均衡的过程,会导致各个利益主体之间的利益冲突。新时期、新阶段,垄断产业放松规制改革目标能否顺利实现取决于利益关系的改革和调整,需要把全面调整利益关系作为新阶段垄断产业改革攻坚的重大课题和重要任务。放松规制的过程会对国家、规制机构、垄断企业以及消费者四个利益主体产生重要影响。有的利益主体会从中受益,有的利益主体会从中受损,并且各利益主体受益与受损的程度各不相同。这样,利益受损主体可能会阻止放松规制改革的顺利进行,导致放松规制改革的流产。因此,全面系统地研究放松规制对各利益主体的影响,研究各利益主体对放松规制的态度、策略性反应以及影响力,研究他们之间的博弈均衡,并设计可行的均衡机制保证各利益主体都能够支持改革,保证放松规制改革的顺利进行,实现各利益主体的多赢,是摆在我们面前的一项重要而紧迫的任务。
本文主要研究我国垄断产业放松规制改革,并回答Stigler提出的在放松规制背景下的类似问题,即回答“谁从放松规制中受益?谁从放松规制中受损?放松规制采取什么形式?放松规制对资源配置的影响”等重要问题。
本文利用博弈论与机制设计理论系统研究我国垄断产业放松规制对国家、规制机构、垄断企业、消费者各利益主体(集团)的影响;系统研究各利益主体对放松规制的态度、策略性反应以及影响力,研究他们之间的博弈均衡;系统研究放松规制改革中改革推动者选择、改革战略选择、改革时机选择以及改革时序设计等改革机制设计与路径选择问题。为我国深化垄断行业改革,引入竞争机制,加强政府监管和社会监督提供理论支持与实践指导。
Telecommunication, electricity, railway, airline, oil and gas, water etc. have undergone deregulation reform in USA, UK from 1970s.This reform have obtained good effects. Many nations imitate in succession under leadership of the United States and UK, deregulate natural monopoly industry and public utilities and introduce competition. Deregulation means reduce or cancel some regulation and rules including market entrance, market exit, price, investment, finance and account. The objective of deregulation includes introduction of competition, decreases fee level and improves technology progress.
China's monopoly industries also continue to explore suitable reform mode and path for China's national conditions and have achieved some success. However, due to historical reasons, China's reform of monopoly industries has just started, the effect is not significant, with the restrictions of many deep-seated problems. Reform of monopoly industries in China is lack of strategic design, with occasional, non-continuity, not completely, iterative and non-path dependence and other characteristics. At present, China's monopoly industry is still relatively high prices for consumers or larger burden especially for low and middle-income families; the efficiency of monopoly industries is still relatively low, not conducive to the country's international competitiveness; the income of workers in monopoly industries is too high, not conducive to building a harmonious society; the regulation system of monopoly industries is unscientific, not conducive to the reform of monopoly industries self-promoting. Against this background, the report to 17th National Congress of the CPC said that we will deepen the reform of monopoly industries, introduce competition mechanism and strengthen government supervision and supervision by society.
Deregulation of natural monopoly industry reform is not only an economic and technical issue, but a political issue, or is a political and economic problem. Monopoly industry deregulation reform is essentially a re-adjustment of interests and balanced process, which will lead to various conflict interests between different interests groups. The new era and new stage, the success of monopoly industries deregulation reform depends on the interests of the smooth realization of the reforms and adjustments, the need to fully adjust interest as a new phase of reform of monopoly industries and the major issues important tasks. Deregulation will have different impact on different interest groups such as nation, regulator, monopoly enterprises and consumer. Some interest groups will benefit from it, interest of some groups will be impaired. The interest groups, whose interest be damaged, will hold back the reform. Then, the deregulation reform will be aborted. Therefore, it is essential to study the impact of various interest groups, the various interest groups on deregulation attitude, as well as strategic responses and influence power, the game equilibrium between them comprehensively and systematicly. The reform needs to design a feasible mechanism to guarantee the interests of all group can supports the reform and achieve the win-win outcome.
This thesis study the deregulation reform of natural monopoly industry in China from the perspective of New-Political economics, transition economics and institution changes, using micro-agent and macro-system methods. We examine the impact of deregulation reform on nation interests group, regulator interests group, the monopoly interests group and consumer group respectively and bring them together to study the game equilibrium of four interests groups. Then, we try to design the deregulation mechanism and path by institution analysis methods. So, this thesis has not only realistic significance, but also theoretical value.
引文
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[38]电力产业的投资方面,水电站投资中在主要河流上建设的项目和总装机容量25万千瓦及以上项目由国务院投资主管部门核准,其余项目由地方政府投资主管部门核准;抽水蓄能电站投资由国务院投资主管部门核准;火电站投资由国务院投资主管部门核准;热电站投资中燃煤项目由国务院投资主管部门核准,其余项目由地方政府投资主管部门核准;风电站投资中总装机容量5万千瓦及以上项目由国务院投资主管部门核准,其余项目由地方政府投资主管部门核准;核电站投资中由国务院核准;电网工程投资中330千伏及以上电压等级的电刚工程由国务院投资主管部门核准,其余项目由地方政府投资主管部门核准.铁道投资方面,新建(含增建)铁路投资中跨省(区、市)或100公里及以上项目由国务院投资主管部门核准,其余项目按隶属关系分别由国务院行业主管部门或省级政府投资主管部门核准.民航投资方面,新建机场投资由国务院核准;扩建机场投资中总投资10亿元及以上项目由国务院投资主管部门核准,其余项目按隶属关系由国务院行业主管部门或地方政府投资主管部门核准.电信产业投资方面,国内干线传输网(含广播电视网)、国际电信传输电路、国际关口站、专用电信网的国际通信设施及其他涉及信息安全的电信基础设施项目由国务院投资主管部门核准.邮政投资方面,国际关口站及其他涉及信息安全的邮政基础设施项目由国务院投资主管部门核准.
[39]据新华网报道,上世纪60年代开始,中国进入了长期的电力短缺期,至1986年,短缺超过了,总发电量的20%.1997年,电力供需达到平衡.到了1999年,电力过剩10%.2002年再次出现电力短缺,2005年全国26个省(市、自治区)经历了电力短缺,为1990年代以来最为严峻的一年.2006年,电力供需大体平衡,但2007年电力过剩似乎成为定局.即便如此,电力投资仍热度不减.推动了中国固定资产投资的旺盛.http://news.xinhuanet.com/fortune/2006-08/31/content_5029520.htm
[40]详见王佐军(2004),自然垄断部门国有企业改革的经济学分析,《天府新论》2004年第4期.
[43]引自在新华网 http://news.xinhuanet.com/fortune/2006-07/11/content_4816092.htm
[44]引自新华网 http://news.xinhuanet.com/fortune/2006-O6/26/content 4748660.htm
[45]引自新华网http://news.xinhuanet.com/fortune/2006-08/15/content_4963744.htm.
[46]详见http://news.xinhuanet.com/politics/2006-07/31/content_4889118.htm.
[47]转引自http://news.xinhuanet.com/politics/2006-07/31/content_4889118.htm.
[48]盛洪,2007,垄断企业的平均工资到底有多高,《南方都市报》,2007年02月08日.
[49]详见http://beis.icoupon.com.cn/info/html/2007/2/info_show_27546.html.
[55]摘自《世界经济年鉴》2004-2005卷.
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[75]欧共体工业联合会(1995),《欧共体工业联合会规制报告--通过明确的规制改革来发挥欧洲的潜力》,转引自施枉植、张荐华等编译的《国外经济规制改革的实践及经验》,上海财经出版社,2006年.
[99]转引自新华网http://news.xinhuanet.com/politics/2006-07/11/content_4818829.htm
[100]引自新华网http://news.xinhuanet.com/fortune/2006-06/26/content_4748660.htm
[101]引自新华网http://news.xinhuanet.com/fortune/2006-07/21/content_4863790.htm
[102]引自新华网 http://news.xinhuanet.com/fortune/2006-08/15/content_4963744.htm
[103]引自新华网http://news.xinhuanet.com/fortune/2007-06/05/content_6202461.htm
[104]国家发改委杨宜勇在《2005-2006年:中国收入分配问题与展望》中指出,国有垄断行业与一般行业的收入差距,与它们之间的经济效益、劳动强度及劳动复杂程度的差距关联性较低,收入差距既脱离了按劳分配原则,又脱离了效率优先原则.事实上,行业收入水平与其垄断程度高低,及对国有资产处置权力大小成正比.
[105]详见http://news.xinhuanet.com/politics/2006-07/31/content_4889118.htm.
[106]转引自http://news.xinhuanet.com/politics/2006-07/31/content_4889118.htm.
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[121]Alexey.Levkov,Ross.Levine and Thorsten.Beck,2007,Big Bad Banks ? The Impact of U.S.Branch Deregulation on Income Distribution,World Bank,Policy Research Working Paper,No 4330
[122]汪贵浦、沈怡,2007,我国垄断型行业高收入的成因与形成机理分析,《经济论坛》,2007年第8期
[132]邵学峰,2007.经济转型、利益调整与财政政策选择,《财政研究》,2007年第8期.
[135]张曙光,1992,论制度均衡与制度变革,《经济研究》,1992年第2期.
[136]见本文第4章.
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[145]更详细的文献参看罗兰(2002)以及陈钊(2004a,2004b)及其参考文献
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[39]据新华网报道,上世纪60年代开始,中国进入了长期的电力短缺期,至1986年,短缺超过了,总发电量的20%.1997年,电力供需达到平衡.到了1999年,电力过剩10%.2002年再次出现电力短缺,2005年全国26个省(市、自治区)经历了电力短缺,为1990年代以来最为严峻的一年.2006年,电力供需大体平衡,但2007年电力过剩似乎成为定局.即便如此,电力投资仍热度不减.推动了中国固定资产投资的旺盛.http://news.xinhuanet.com/fortune/2006-08/31/content_5029520.htm
[40]详见王佐军(2004),自然垄断部门国有企业改革的经济学分析,《天府新论》2004年第4期.
[43]引自在新华网 http://news.xinhuanet.com/fortune/2006-07/11/content_4816092.htm
[44]引自新华网 http://news.xinhuanet.com/fortune/2006-O6/26/content 4748660.htm
[45]引自新华网http://news.xinhuanet.com/fortune/2006-08/15/content_4963744.htm.
[46]详见http://news.xinhuanet.com/politics/2006-07/31/content_4889118.htm.
[47]转引自http://news.xinhuanet.com/politics/2006-07/31/content_4889118.htm.
[48]盛洪,2007,垄断企业的平均工资到底有多高,《南方都市报》,2007年02月08日.
[49]详见http://beis.icoupon.com.cn/info/html/2007/2/info_show_27546.html.
[55]摘自《世界经济年鉴》2004-2005卷.
[60]王林生、张汉林,2006,《发达国家规制改革与绩效》,上海财经大学出版社,P95.
[61]符合成本就是企业为应对政府规制政策而支出的成本.
[62]OECD,2000,Businesses' Views on Red Tap..Administrative and Regulatory Burdens on Small and Medium-sized Enterprise,OECD,Working Papero
[63]A.Brunetti,G.Kisunko and B.Weder,1997,Institutional Obstacles to Doing Business,World Bank Policy.Research Paper 及 A.Brunetti,G.Kisunko and B.Weder,1997,How Businesses See Government,IFC Discussion Paper No.33.
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[65]详见http://www.doingbusiness.org/MethodologySurveys/infrastructure.aspx
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[68]Wallace.Richard and Paul E.Junk,1970,Economic Inefficiency of Small Municipal Electric Generating Systems,Land Economics,1970 February,Voi.46,No.1,98-104.
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[74]A.Brunetti,G.Kisunko and B.Weder,1997,Institutional Obstacles to Doing Business,World Bank Policy.Research Paper 及 A.Brunetti,G.Kisunko and B.Weder,1997,How Businesses See Government,IFC Discussion Paper No.33.
[75]欧共体工业联合会(1995),《欧共体工业联合会规制报告--通过明确的规制改革来发挥欧洲的潜力》,转引自施枉植、张荐华等编译的《国外经济规制改革的实践及经验》,上海财经出版社,2006年.
[99]转引自新华网http://news.xinhuanet.com/politics/2006-07/11/content_4818829.htm
[100]引自新华网http://news.xinhuanet.com/fortune/2006-06/26/content_4748660.htm
[101]引自新华网http://news.xinhuanet.com/fortune/2006-07/21/content_4863790.htm
[102]引自新华网 http://news.xinhuanet.com/fortune/2006-08/15/content_4963744.htm
[103]引自新华网http://news.xinhuanet.com/fortune/2007-06/05/content_6202461.htm
[104]国家发改委杨宜勇在《2005-2006年:中国收入分配问题与展望》中指出,国有垄断行业与一般行业的收入差距,与它们之间的经济效益、劳动强度及劳动复杂程度的差距关联性较低,收入差距既脱离了按劳分配原则,又脱离了效率优先原则.事实上,行业收入水平与其垄断程度高低,及对国有资产处置权力大小成正比.
[105]详见http://news.xinhuanet.com/politics/2006-07/31/content_4889118.htm.
[106]转引自http://news.xinhuanet.com/politics/2006-07/31/content_4889118.htm.
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[122]汪贵浦、沈怡,2007,我国垄断型行业高收入的成因与形成机理分析,《经济论坛》,2007年第8期
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[136]见本文第4章.
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