【作者】 王婕妤；

【导师】 徐海成；

【作者基本信息】 长安大学 ， 道路经济与管理， 2013， 博士

【摘要】 长期以来，收费公路产业整体运营效率低下，其鲜明标志之一就是通行费收入不足以抵偿贷款利息，如何提高收费公路的经济绩效已成为整个收费公路产业所面临的最大问题。基于此，本研究力图通过以适度规模与适度竞争的实现引入有效竞争，进而优化收费公路产业的市场结构，最终达到提高收费公路产业经济绩效的目的。在对已有文献梳理的基础上，本研究采用新比较制度经济学的研究视角，沿袭系统性动态比较的研究思维，围绕“制度-组织-经济体制”这一核心，从制度层面、组织层面、经济体制层面选取主要研究对象，最终确定了研究的总体思路与框架：首先，依据收费公路产业的资源配置效率特征，在“总投入—总产出”的评价思路下，运用DEA数据包络分析方法，对收费公路产业当前的经济绩效做出了量化评价；基于此量化评价结果以及收费公路产业市场结构的现状与特征，构建市场结构与经济绩效之间的关联函数，探究并归纳了收费公路产业市场结构与经济绩效之间的动态单向决定关系。其次，通过借鉴发达国家在基础性产业诸如航空运输业、电信业、邮政业以及铁路业进行市场结构优化的改革经验，挖掘其改革成效背后所隐含的经济规律，确定以引入有效竞争作为优化我国收费公路产业市场结构的可行性策略；进而，依据有效竞争的基本理论，探究收费公路产业适度规模与适度竞争的具体参照标准，并以此双向标准对我国收费公路产业目前的规模经济状况与竞争状况进行了评价。再次，从影响收费公路产业规模经济水平的因素着手进行分析，通过归纳相关影响因素的作用机理，探究造成收费公路产业规模不经济的根本原因，在对规模不经济的本质的认识基础上，提出收费公路产业实现规模经济应采取横向扩张的方式；进而，遵循收费公路产业实现适度规模的宗旨，针对先进地区与落后地区的收费公路，分别制定适度规模的实现策略并设计实现适度规模的具体路径。最后，鉴于在收费公路产业内行政垄断极大地抑制了适度竞争的形成，本研究以破除行政垄断为目的，重构收费公路产业政府规制的行政维度，以此作为实现适度竞争进而引入有效竞争的前提与基础；在此前提与基础上，构建以促进竞争为目的的激励性机制，在收费公路产业内部产生适度的竞争压力，从而激发收费公路运营单位降低成本、提高效率，此为收费公路产业内实现适度竞争的具体路径。在研究方法上，本研究运用计量经济学的相关方法评价了收费公路产业当前的经济绩效、构建了市场结构与经济绩效之间的关联函数、确定了收费公路产业的最小经济规模、衡量了收费公路产业内行政垄断的真实作用程度；运用类比分析与实证分析等方法评价总结了收费公路产业目前的规模经济状况与竞争状况；运用比较借鉴与系统创新等方法设计了收费公路产业市场结构的优化策略；通过文献分析、专题研讨、行业主管部门调研等途径与方法，构建了收费公路产业适度规模与适度竞争的具体实现路径。本研究在理论层面上，验证和确立了收费公路产业市场结构与经济绩效之间的关联、构建和充实了收费公路产业有效竞争与市场结构之间的关系，对于弥补收费公路产业经济绩效这一研究领域的理论空缺具有重要意义；在应用层面上，以推进民营化改革和跨行政区域联盟实现收费公路产业的适度规模、以行政维度的重构和竞争性激励机制的建立实现收费公路产业的适度竞争，是针对收费公路产业以提高经济绩效为目标的规制改革的路径设计。更多还原

【Abstract】 For a long time, toll-road industry operates inefficiently. One of these brightidentifications is that tolls can not atone for interests of loans. So, how to improve theeconomic performance of toll-road industry is the key issue in this industry. Based on this,this dissertation tries to through achieving moderate scale and moderate competition introduceefficient competition further in order to optimize market structure, and ultimately promoteperformance.On basis of summarizing existing research works, this dissertation takes a different butequally illuminating perspective of new system economics, passes down systematic, dynamicand commensurable thought, surrounds the core of economic systems, organization andeconomic structure, chooses research objects from these three levels, and finally establishesthe research mentality and conception.First, according to symptomatic attributes of resource allocation efficiency in toll-roadindustry, along with input and output train of thought, applying data envelopment analysis,economic performance of toll-road industry is estimated. Based on this result and existingcircumstances and characteristics of market structure, dependent function is structures andone-way dynamic decisive relation is concluded between market structure and economicperformance in toll-road industry.Second, through drawing lessons from reform experience of optimizing market structurein air industry, telecommunications industry, postal service and rail industry, the laws of theeconomy behind remarkable results is excavated, then introduce efficient competitionmechanisms is taken granted as the effective strategy for optimizing market structure in ourtoll-road industry. And then, upon the basic contents and characteristics of efficientcompetition, the criterions of moderate size and moderate competition are established andcurrent economies of scale and competitive status are evaluated in accordance with these twostandards.Third, by analyzing predominant influential factors to economies of scale of toll-roadindustry, mechanism of action of relative factors is explored and primary causes are unearthed.On the basis of recognition of its essence, transverse extension is the powerful way forachieving economies of scale in toll-road industry. And then, insisting on the aim of achievingeconomies of scale, strategies and routes of achieving economies of scale are drawn uppointing at the advanced areas and backward areas.Fourth, in consideration of administrative monopoly grievously restraining reforming of moderate competition, reconstructing administrative dimensionalities in toll-road industry inorder to restrict administrative monopoly is fundamental for achieving moderate competitionand introduce effective competition. On this base and foundation, inspiriting mechanism tofoster competition should be set up. Under these circumstances, pressure from the competitionwill motivate the toll-road operation units to cut down the cost of production and managementand raise efficiency. This is the main way for achieving moderate competition in toll-roadindustry.On the research method, correlative methods of econometrics are applied to evaluate theeconomic performance in toll-road industry, construct the relative function between marketstructure and economic performance, clear and definite the minimum effective scale andmeasure the degree of administrative monopoly. Analogy analysis and example analysis areused to assess the current scale level and competitive status of toll-road industry. Comparisonand system innovation are mainly used in principle and strategy on systematic design ofoptimizing market structure. Document retrieval, symposium and field investigation are usedto build the feasible rational paths for achieving moderate scale and moderate competition.One theoretical shelf, the relevance between market structure and economic performanceis tested and verified in toll-road industry; the correlation between workable competition andmarket structure is founded and enriched. These are of great importance to fill the gaps intheory system of toll-road economic performance. On application level, implementing theprivatization and alignment leaping over the administrative divisions are proposed forachieving moderate size in toll-road industry; reconstructing the administrativedimensionalities and establishing effective inspiriting mechanism are proposed for achievingmoderate competition in toll-road industry. These are key simulating paths of the regulatoryreform for performance promotion in toll-road industry.更多还原