中国产业进入规制的经济学分析

【作者】 胡洪斌；

【导师】 张荐华；

【作者基本信息】 云南大学 ， 政治经济学， 2011， 博士

【摘要】 在现实生活中,产业进入规制是政府干预经济的一个广谱现象。无论是市场经济体制比较完善的发达国家,还是市场经济体制相对不甚发达和完善的转型经济国家以及发展中国家,政府都不同程度地对产业的进入或退出实施规制。在不断放松自然垄断产业进入规制的同时,产业进入条件规制则越来越受到广泛重视,其规制的标准和内容都呈现出不断加强的趋势。与此相反,现有的大多数关于产业进入规制的理论研究则散见于法学、产业经济学、法和经济学、新制度经济学等方面的文献中,对其全面和系统的经济学专项研究并不多见。这与现实中产业进入规制的广谱实践形成了较大的反差。新中国自成立以来,经历了从计划经济向市场经济的转型,其转型过程俨然就是一个产业进入规制的放松过程。他通过非公有制企业的不断进入和扩张,实现了资源从传统的低效率部门向高效率的新兴部门的再配置。中国产业进入规制的实践是在计划经济体制下以“所有制形式”为标准的“产业进入规制”为特殊性前提,开始市场经济意义的产业进入规制；是一边完善市场机制、“制造”独立市场主体、塑造市场结构、建立竞争环境,一边进行产业进入规制改革的实践。这与西方经济发达国家和地区在产业进入规制源起和发展环境上存在着较大差异,他们在政治上存在一个相对有效的制衡机制,在经济上市场体系比较发达,规制对象是真正意义上的市场主体。由此,在没有充分把握中国“特殊性”前提和整体发展的全貌,直接对某一产业的进入规制进行分析,往往会导致“仁者见仁、智者见智”的认识差异,即使是做出了一般性的效率评价,也往往会由于模型变量的权重变动、数据获取的完整程度,或数据样本的时间跨度等因素,难以达成一个普遍的共识。本文对国内外产业进入规制相关的经济学文献进行了梳理研究,通过引入“ER-SCP”和“成本收益”分析框架,对产业进入规制的经济学理论进行了系统的研究。在此基础上,深入分析了中国产业进入规制的特殊性和相应的规制环境,梳理和探究了中国产业进入规制的整个动态演化过程,以此指出了中国产业进入规制存在的问题,并提出了加强产业进入规制的思路和政策措施。这对于建立和完善社会主义市场经济体制,充分认识现行行政审批制度改革,具有现实和借鉴意义。更多还原

【Abstract】 In real life, industry entry regulation is a common phenomenon of government intervention to economy. Governments have in some extent implemented industry entry or exit regulation in countries with relatively complete market economy system and countries whose economies in transition and are relatively less developed in terms of market economy system, or in developing countries. Though the industry entry regulation for natural monopoly industry has been relaxed, great importance has been attached to industry entry conditions and regulations. The standard and content of industry entry regulations have trended to be strengthened. In contrast, current theoretical research on industry entry regulation has mainly centered on law, industry, economics, law and economics, new institutional economics as well as other related aspects, and comprehensive and systematic study of industry entry regulation has been ignored. It is quite contradictory with the extensive industry entry regulation practice in reality.Since 1949, China has been switching from planned economy to market economy. The process of economic transition has to some degree relaxed industry entry regulation. With increasing industry entry and expansion of privately-owned enterprises, China has succeeded in reallocating resources between traditional low efficiency sectors and new high efficiency sectors. Based on the standard "industry entry regulation" of "ownership by the whole people" under planned economy, China has begun to carry out its new industry entry regulation under market economy. While carrying out the practice of reforming industry entry regulation, China has perfected market mechanism, "created" an independent market body, shaped the market structure, and established a competitive environment as well. The origin and development environment of China’s industry entry regulations are quite different from those of western developed countries and regions. Western developed countries and regions have their own relatively effective political check-and -balance mechanism and their market system is well developed in terms of economy. The object of regulation is the main body of market in the real sense. Therefore, we shouldn’t try to directly analyze the industry entry regulation of a certain industry prior to fully understanding the "characteristics" of China and overall perspective of industry entry regulation. Otherwise it will result in "eyes of the beholder, the wise see wisdom,"—the difference in understanding. Even if we’ve made a general evaluation of efficiency, it is often variable due to the weight of the model changes, the full extent of data acquisition, or the time span of data samples and other factors, and it is difficult to reach a general consensus.This paper has sorted out and studied a large number of economic articles related to domestic as well as foreign industry entry regulation. Through the introduction of "ER-SCP" and "cost-benefit" analysis framework, it has systematically probed into the economic theories concerning to industry regulation. Based on the above-mentioned analysis, the author has further analyzed the peculiarity and relevant environment of Chinese industry entry regulation. Meanwhile it has sorted out and explored the dynamic process and evolution of China’s industry entry regulation so as to point out the problem of China’s industry entry regulation. The author has put forward the train of thought and some policies and measures in terms of re-regulation of industry entry. It is of great and practical significance to establish and perfect socialist market economy mechanism, and fully understand the reform of administrative examination and approval as well.更多还原