【作者】 徐迟；

【导师】 年志远；

【作者基本信息】 吉林大学 ， 制度经济学， 2012， 博士

【摘要】 中国作为世界人口第一大国，烟草的生产与消费同样高居世界第一，所以烟草行业是中国非常重要的产业，是国家财政收入的重要来源之一，对国民经济和社会的发展有着举足轻重的作用。中国从1983年开始实行烟草专卖制度，并通过立法确立了专卖制度的法律地位。在专卖制度的指导下，烟草行业改变了之前盲目发展的混乱局面，产品结构和质量大幅提高，取得了令人瞩目的成就。然而，随着我国宏观经济的深刻变革和社会主义市场经济体制在我国确立并逐步完善，烟草专卖制度因为源于计划经济而受到国内外学者的诸多质疑。自2001年中国正式成为世界贸易组织成员，世界各国对中国烟草市场提出了诸多要求，放开烟草市场已成为大势所趋。中国烟草行业能否抵挡得住国外高质低价烟草商品的大量涌入，这个问题值得探讨。此外，现行过于僵化的专卖制度与社会主义市场经济难以很好地融合。这就需要中国政府及时完善烟草行业的管理体制，使其能顺应社会主义市场经济改革的需要。因此，烟草行业管理体制改革势在必行，而改革的结果将直接决定中国烟草行业的未来命运。本文从烟草行业可持续发展的角度，立足于中国国情，在现有研究成果的基础上，进行更深入的行业管理体制创新探索。运用新制度经济学和政府管制经济学的相关理论框架，采用分析、比较、实证的研究方法，明确烟草行业管理体制改革的相关理论依据。在理论的指导下分析现行体制中存在的问题，通过实证研究分析烟草行业市场结构和经济效益，寻找行业管理体制弊端及因果关系，同时借鉴国外烟草行业和烟草集团的发展经验，探索中国烟草行业管理体制的创新路径。本文由6章组成。第1章为导论。这一部分明确了选题背景，阐述了所研究问题的理论意义与现实意义，介绍了本文采用的研究方法和研究框架，分析了可能创新与不足之处，综述和评析了烟草行业管理体制的相关研究成果。第2章对烟草行业管理体制相关理论进行了简述，为后面研究做理论铺垫。相关理论主要包括新制度经济学理论和政府管制理论。烟草行业管理体制的创新离不开新制度经济学理论的支持，所以新制度经济学理论是本文的理论基础，它涉及到四个方面，即交易费用理论、企业理论、产权理论和制度变迁理论；同时，烟草行业在中国是国家垄断行业，其行业本身的特殊性决定了政府管制的必要性，所以本文还涉及到政府管制理论，它包含政府管制的内涵与目标，政府管制的经济性与社会性，政府管制改革等。第3章对中国烟草行业管理体制变迁及现状进行了分析。首先，将中国烟草行业管理体制变迁划分为三个时期，即明清时期、民国时期和新中国时期，通过对每一个时期制度变迁的动力、方式及路径的分析，抽象概括出烟草行业管理体制变迁的特点，为管理体制创新提供历史经验教训。其次，分析了明清时期、民国时期和新中国时期烟草专卖制度从萌芽到最终确立的演变过程，为中国烟草专卖制度的完善提供历史依据。再次，分析了中国烟草行业管理体制的现状、问题及原因，为管理体制创新提供方向。第4章运用实证研究方法分析专卖管理体制下中国烟草行业市场运行绩效。本章从两个方面分析烟草行业的市场运行：一是烟草行业市场结构分析，包含烟草行业的市场集中度、产品差别化、进入与退出壁垒；二是烟草行业市场绩效分析，通过研究样本企业的产量、利润、利税、成本费用等指标，运用因子分析法和数据包络法对烟草工业企业经营数据进行分析，指出中国烟草企业由于体制弊端引发的经营问题，并分析这些问题存在的原因、表现形式及制约因素等。第5章比较分析日本和美国烟草行业管理体制。本章选取了对中国烟草行业管理体制创新最具借鉴意义的日本烟草行业管理体制和美国烟草行业管理体制，通过分析这两个国家烟草行业管理体制发展的历史，认清这两个国家烟草集团的成长过程，通过对比发现中国烟草行业管理体制的不足，得到进一步体制创新的启示。第6章在前5章分析研究的基础上，提出中国烟草行业管理体制创新建议。中国烟草行业应在坚持烟草专卖制度的前提下，从降低烟草行业交易成本、完善烟草行业服务制度、加强烟草行业市场建设和深化烟草行业多元化战略四个方面完善烟草行业管理体制，解决烟草行业存在的诸多问题，全面提升行业整体竞争能力。更多还原

【Abstract】 As the world’s largest population, Chinese tobacco production and consumptionis ranked first in the world, so that tobacco industry is the main source of nationalfinance income and plays an very important role to national economy and socialdevelopment. China has executed tobacco monopoly system since 1983, andestablished legal status of the system through legislation. Under the guidance of themonopoly system, the tobacco industry has made achievement attracted people’sattention, which changed the chaotic sistuation of development to the improvement ofthe product structure and quality. However, as China macroscopical economy reformand the establishment of market economic system, tobacco monopoly systembecomed the last stronghold of planned economy, which provoked lots of doubts fromdomestic public and foreign experts. Since 2001, China officially became a memberof the world trade organization, countries in the world put forward some requirementsto Chinese tobacco market，so that the liberalisation of the tobacco market becomesgeneral trend. Whether the current Chinese tobacco industry could resist the influx offoreign low-cost high-quality tobacco goods is the problem worth discussing. Inaddition, the current monopoly system is too rigid to mix well with the socialistmarket economy. It requires Chinese government to improve the tobacco industrymanagement system, so that it can be adapted to the reform of socialist marketeconomy. Therefore, the reform of the management system of tobacco industry isimperative, and the outcome of the reform will directly determine the future fate ofChinese tobacco industry.This paper is a in-depth innovation of tobacco industry management system,which is in the angle of tobacco industry sustainable development, and based on theChinese national conditions and the previous relavent research results. It doesresearch on the problems existing in the current tobacco managment system andempirically analyzes the tobacco industry market structure and economic benefits bythe methods of analysis, comparison and empirical research, based on the new institutional economics theory frame and regulation economics theory frame, and thenlook for tobacco industry management system malpractice and causality. The finalresult of this paper is to explore the Chinese tobacco industry management systeminnovation by drawing lessons from the experience of foreign tobacco industrymanagement.This paper consists of 6 chapters. The first chapter is introduction. This partclarifies the research background, expounds the research’s theoretical and practicalsignificance, introduces the research methods and research framework, analyzes theresearch’s possible innovation and shortage, reviews and comments the relevantresearches of tobacco industry management system.The second chapter introduces relevant theories of tobacco industry managementsystem, which is to make bedding of the paper’s following analysis. Relevant theoriesinclude the new institutional economics theory and the government regulation theory.The tobacco industry management system innovation cannot exist without the supportof the new institutional economics theory, so that new institutional economics theoryis the base theory of this paper. It relevantly includes transaction cost theory,enterprise theory, property rights theory and institution change theory. The tobaccoindustry in China is a state monopoly industry, which decides the necessity ofgovernment regulation, so that the government regulation theory is included in thispaper. The government regulation theory contains the connotation and target,government regulation of the economy and society, the reform of governmentregulation.The third chapter does the research on the history evolution and current situationof the Chinese tobacco industry management system. First of all, the evolution ofChinese tobacco industry management system can be divided into three periods,namely, the Ming and Qing Dynasties, the period of the Republic of China and newChina period. Then we can get the characteristics of history evolution that generalizefrom the analysis of the power, mode and route for each evolution period, which welloffer historical experience lesson to the management system innovation. Secondly, itcan provide the historical basis for Chinese tobacco monopoly system innovationfrom the analysis on the evolution of Chinese tobacco monopoly system from buddingto eventual establishment during each period. Thirdly, it can provide direction for theinnovation of the management system from analysis on current situation , problemsand reasons of Chinese tobacco industry management system. In the fourth chapter, it does an empirical research on Chinese tobacco industrymarket performance that under monopoly management system. This chapter analysesthe tobacco industry’s market operation from two aspects. One is the market structureanalysis, including the market concentration, product differentiation, barriers to entryand exit. The other is the tobacco industry’s market performance analysis which isresearch on a sample of tobacco enterprises’yield, profits, costs and other indicatorsby using the factor analysis and data envelopment analysis. It pointed out that thereare many management problems in Chinese tobacco enterprises, which are caused bysystem defects. So it’s necessary to analyze the reasons, form of expression and therestricted factors of those management problems.The fifth chapter comparatively studies on the Japanese and American tobaccoindustry management system. These two countries’tobacco industry managementsystems are the most significant to the system innovation of Chinese tobacco industry.Through the analysis of the two national tobacco industry management systemdevelopment history, recognize the two National Tobacco Group ’s growth process,find Chinese tobacco industry management system deficiencies by contrast studies,get inspiration of further system innovation.In the sixth chapter, it suggests specfic measures for Chinese tobacco industrymanagement system innovation, which are based on the first five chapters. Chinesetobacco industry system innovation should adhere to the tobacco monopoly system,under which premise the system reform could start. The tobacco industry systemreform should include four aspacts, which are reducing the transaction cost, perfectingservice system, strengthening market construction and deepening diversificationstrategy. The results of such reform well be that lots of system problems are solvedand Chinese tobacco industry’s competition ability is promoted.更多还原