【作者】 张梦龙；

【导师】 欧国立；

【作者基本信息】 北京交通大学 ， 产业经济学， 2014， 博士

【摘要】 铁路是国民经济的基础产业,在经济和社会发展中具有重要的意义和作用。如何在积极推进高速铁路等铁路现代化建设的同时,通过改革来创造新的制度红利,实现技术进步和改革创新的协调发展,是一项亟待解决的理论和现实问题。铁路改革需要考虑诸多因素,行业所提供的物品属性是其中一个重要方面,本文试图从铁路产业特征和运输产品属性出发,研究分析对改革路径有着深层次影响的铁路改革结构特性及相关问题。具体来讲,论文的主要研究内容包括：1、通过对我国铁路前期改革的反思,以及国内外相关产业改革经验的考察,论证提出研究铁路改革必须重视行业提供的物品属性,尤其是公共物品属性。我国铁路改革已取得了一定进展,然而继续深化却面临诸多难题,行业属性定位的模糊成为铁路改革长期处于“胶着”状态的深层原因。作为兼具商业性和公益性的特殊行业,铁路不可能完全市场化,改革的先行步骤是明确基于行业属性分解的市场边界,这也决定着铁路领域政府与市场关系的正确处理。2、在对铁路产业特征及公共物品属性构成进行分析的基础上,从公益性与商业性、行政性与市场性、共用性与专用性、公共性与企业性等多个维度对铁路公共物品属性的特殊表现展开研究。从不同侧面重点分析了公共物品属性对铁路改革存在的若干结构性影响。论证提出在影响铁路改革结构特性的各种结构性问题中,基于物品属性的结构是最基础性的。探究铁路改革应当首先致力于解决这些结构层面的问题,建立对铁路改革更加全面和理性的经济分析。3、在对铁路作为一个行业整体上的公共物品属性进行分析的基础上,对铁路产业内部各具体业务环节的公共物品属性问题也进行了研究,论证提出在探寻铁路改革目标模式与结构特性时应充分考虑以上问题的特殊影响。基于行业属性分解的铁路分类管理与改革、基于公共企业独立运作的运输生产组织结构调整、基于产业纵向关系调整的铁路运输业重组,以及相应的行业管理和政企关系重构,都是公共物品属性视角下铁路改革需要重点考虑的内容。为此,本文试图从容易引起人们忽视的公共物品属性这一新的视角,从行业所提供物品的属性这一基本维度,来重新认识铁路的性质及对改革的特殊影响,并对其中的主要经济学问题进行探讨,以求建立更具完整意义上的铁路经济和铁路改革分析框架。本文主要运用公共物品理论和公共经济学,采用理论与实践相结合的方法,共分七章的内容,重点就公共物品理论、铁路产业的公共物品属性构成、公共物品属性对铁路改革的结构性影响、国外铁路和国内运输业改革中公共物品属性问题的处理等展开讨论,在对如何区分铁路的公益性和商业性、明确政府在铁路中的作用和铁路的市场边界、铁路公企业的运作及相应的政企关系、政府规制和法律环境等整体性问题进行探讨的基础上,深入到产业内部对铁路产业链各具体业务环节的公共物品属性问题进行研究,从而建立起了对铁路属性的整体认识,构建了一种基于公共物品属性结构性影响的铁路管理体制改革框架。论文的主要论点和创新体现在四个方面：l、在总结国内外经验走向和对我国铁路前期改革进行反思的基础上,论证提出应当重新明确铁路的属性定位并按属性分解进行分类管理。公益性铁路与以盈利为目的的商业性铁路,以及公益性运输和以盈利为目的的商业性运输的明确区分和分离即“公商分离”,按物品属性对行业进行分类管理、投资、建设和运营,是今后铁路改革的重要方向,也是铁路领域政府与市场关系处理的基础。2、对铁路产业中普遍存在而又容易受到忽视的市场失灵、市场边界、公共性、公益性、公平性、正外部性、拥挤性、共用性、市场化指数、可商业化程度、公共物品属性程度、公共物品与私人物品属性的转化、政府作用、公共企业、特殊法人制度等概念及对铁路改革的结构性影响进行了分析,并归纳提出“共用经济”这一经济学概念用以分析铁路经济问题,从而构建了基于公共物品属性视角的铁路改革分析框架。3、将“公共中间品”概念引入对铁路的经济分析,改变对铁路轮轨关系和产业组织的传统看法,并深入到铁路产业链内部,对铁路运输业内部特有的公共物品属性及基于网络型基础产业共用经济现象一般特性的铁路公共中间品和公共企业问题进行探讨,提出了一种基于从“二分法”到“三分法”产业纵向关系调整的铁路运输业重组模式。4、在对铁路改革中若干结构性问题进行分析的基础上,论证提出了基于公共物品属性的中国铁路管理体制改革框架,并对其中的“公商分离”、“调度公共化”、“三分法”行业重组、政企关系重建及改革过渡期的政府职能等有关配套改革进行了探讨。应当说,从结构层面来思考和研究铁路改革,需要回答的问题还很多；从物品属性特别是公共物品属性视角来探究铁路经济和铁路改革问题,本文目前做的还只是初步探索,对相关问题的研究还不够深入和全面,对此寄希望更多的人参与和努力。更多还原

【Abstract】 Railway is a basic industry in economics and plays an important role in economic and social development. How to create institution bonus through reform, thus realize the harmony development of technology and institution innovation is an urgent theoretical and practical problem. Although a lot of factors should be considered in the research of railway reform, product attributes of an industry is an important factor. Starting from characteristic of railway industry and railway product attributes, the thesis tried to research on structural characteristic and related problems in railway reform which have deep influence on railway path. To be more detailed, the problems discussed include:First, on the basis of reviewing our past railway reform and generalizing both domestic and foreign railway reform experience and, it demonstrated that railway reform research must value product attribute of the industry, especially public goods attribute. Although reform has already made some progress, further steps are confronted with many difficulties, and the fuzzy positioning of railway attribute is the deep reason leading to the long-term stalemate of reform. As a unique industry possessing attribute of both private goods and public goods, railway sector couldn’t be entirely operated by private organizations. The initial step of railway reform is to clarify market boundary based on the different attributes of the industry, which also decides the right relationship between government and market in railway.Second, after analyzing railway characteristic and composition of public goods, the thesis focused on the unique performance of railway public goods attribute from the diverse perspective of nonprofit and commercial, administrative and marketable, commonality and specificity, public nature and corporate nature, etc. The structural impact of public goods attribute on railway reform was elaborated from various aspects. The thesis argued that, among the different structural problems affecting railway reform, the structure of product attribute is the most fundamental one. The research effort of railway reform should first be made to solve these structural problems, thus build a more comprehensive and rational economic analysis for railway reform.Third, after detailing on the public goods attribute of railway as an integrated entity, the thesis elaborated the public goods attribute of each specific business sectors in railway industry, and demonstrated that the unique impact of those public goods attribute should be considered in exploring the target model and structural characteristic of railway reform. Various railway management and reform based on breakdown of industry attribute, structural adjustment of transportation production organization based on the separate operation of public enterprise, railway transportation reorganization based on vertical adjustment of a industry and correspondent industry management and restructure of government-enterprise relationship are key topics worthy attention under the view of public goods attributes.Base on the above understanding, from the easily neglected new angle of public goods attribute and the basic dimension of industry product attribute, the paper renewed our recognition on railway nature and its special impact on reform; main economic problem was also discussed in the process in order to build a complete analysis framework on railway economy and railway reform.By applying public goods theory and public economics, the paper combined theory and practice in discussion and is divided into seven sectors. Emphasis is given to public goods theory; attribute composition of public goods in railway industry, influence of public goods attributes on the structure of railway reform, solutions of public goods problems in reform of foreign railway and other domestic transportation industries. After discussion on how to distinguish public goods attributes and private goods attributes of railway, government role and market boundary in the railway sector, operation of railway public company and its relationship with government, government regulation and law environment and so on, the thesis probes into problems brought by public goods attribute in different concrete business of railway industry, in order to build up a integrate recognition of railway attribute and reform framework for administrative mechanism of China’s railway based on structural impact of public goods attribute.Main arguments and innovation of this thesis lie in the following four aspects:First, on the basis of generalizing both domestic and foreign railway reform experience and reviewing past railway reform of China, it put forward the necessity of rediscovering railway attributes and different treatments according to its attribute decomposition. Separation of railway for public welfare and profitable railway, as well as transportation for public welfare and commercial transportation aiming for profit, i.e. separation of public goods and private goods, and treating different goods attributes of a industry with diverse management, investment, construction and operation are an important direction for further railway reform, and the basis for management of government and market relationship in railway sector.Second, it detailed concepts that are ubiquitous but easily neglected in railway industry and their structural influence on railway reform, such as market failure, market boundary, public attributes, public welfare, justification, positive externality, congestion, commonage, market-oriented index, capitalization degree, degree of public goods attributes, attribute transformation of public goods and private goods, government role, public enterprise, special organization institution, etc; and bring forward commonage economics in analyzing railway economic questions, thus build up an analysis framework for railway reform from the view of public goods attributes.Third, the thesis brought the concept of public intermediate goods into the economic analysis of railway, and changed the traditional view on industrial organizations and relationship between rail and train. The thesis reached into the industry chains of railway sector and elaborated on unique public goods attribute in railway transportation and intermediate public goods of railway that has general attributes of commonage economics phenomena in network infrastructure industries. In addition, it put forward a railway transportation reorganization idea with vertical adjustment from2-part separation to3-part separation.Last, after analyzing some structure problem in railway reform, it argued and proposed a ideal reform model of China’s railway management institution based on public goods attributes, and detailed on separation of public goods and private goods, dispatch sharing,3-part separation in railway industry reorganization, reconstruction of government-enterprise relationship and complementary reform about government role in reform transition period.Honestly speaking, a lot of problems still wait to be answered when we research railway reform from the perspective of structure. The thesis did a very preliminary probe in railway economics and reform from goods attribute view, especial public goods attributes. Further and comprehensive research needs future participants to contribute.更多还原