【作者】 朱丽萍；

【导师】 焦斌龙；

【作者基本信息】 山西财经大学 ， 政治经济学， 2014， 博士

【摘要】 经过一百多年的发展，世界电信产业已经成为各国重要的基础产业，是体现一个国家竞争能力、创新能力的重要产业。与世界大多数国家电信产业发展水平相比，中国电信技术水平比较低，电信产业综合发展水平较低。本文研究的目的就是分析中国电信产业的规制体系中影响技术创新和产业发展的主要因素，并提出建立激励规制体系的建议。通过分析世界电信技术创新、电信产业发展水平以及各国电信产业的政府规制的发展历程，认为技术创新是电信产业发展的主要推动力量。电信产业的性质在技术创新推动下不断改变，从竞争到自然垄断，再到竞争。随着性质的改变，世界各国的政府规制也从加强规制、放松规制向激励规制转变。这种技术创新、产业发展、政府规制之间的作用关系，呈现出一种螺旋迭代的关系，因此，本文建立了电信产业螺旋迭代发展模型，以解析技术创新、产业发展、政府规制之间作用的机理。运用该模型分析中国电信产业，发现与发达国家以及世界大多数国家相比，中国电信产业是一种结构性规制，这种规制模式是在保持国有产权占主导地位的前提下，通过产业的不断重组加强产业竞争，却忽视了国有产权对技术创新的影响作用，从而导致中国电信产业呈现出技术水平低下，发展落后，规制滞后的特点。落后的电信产业发展、技术创新水平不仅与中国经济大国的国力不符，更是会对中国的国际竞争力造成不利的影响。所以，根据本文提出的世界螺旋迭代发展模型，中国电信产业的结构性规制历程没有进入螺旋迭代发展模型的轨道。为了提高中国电信产业技术创新能力、产业发展水平，必须对中国电信产业的规制体系进行改革，建立一套适合技术创新的激励规制体系，以促进中国电信产业向正确的方向发展。本文提出的主要观点有：1.技术创新是电信产业发展的根本动力和原因。技术创新促进了电信产业的发展，不同阶段的技术创新决定了不同阶段的电信产业的技术特征与产业特征，从而使得电信产业在不同阶段呈现出不同的产业性质，如竞争、自然垄断、垄断竞争等，当电信产业形成自然垄断性质的时候，政府规制出现，构成技术创新的制度环境。2.世界电信产业的技术创新与电信产业、政府规制之间是一种螺旋迭代作用关系。技术创新在一定的规制环境下发展，规制成为技术创新的影响因素，在规制约束下的技术创新推动电信产业的发展。电信产业由于成本的变化，性质也发生变化，政府规制就此做出相应的改革，以实现社会福利最大化。改革后的规制成为下一阶段技术创新的约束条件，新一轮的技术创新又推动电信产业的性质发生新的变化，导致新的规制出现，由此，它们之间交叉迭代，螺旋式上升，形成螺旋迭代发展模式。3.中国电信产业的政府规制的模式是结构性规制。20世纪80年代，在技术创新的推动下，中国电信产业引入竞争，但在之后20多年来的规制改革中，中国电信产业的政府规制一直采取的是保持国有产权主导地位不变的前提下进行产业重组，是一种结构性规制，而不是螺旋迭代发展模式。结构性规制注重的是产业竞争，依靠竞争促进价格的下降和规模的扩大，而螺旋迭代发展模式是通过规制改革，改善电信技术创新的规制环境，以技术创新降低成本与价格，推动电信产业的发展。发展模式的差异导致中国的电信产业技术创新能力低下，产业发展水平落后，规制体系滞后于世界的发展。4.中国电信产业的规制体系不利于技术创新。中国电信产业的规制机构众多，都属于政府部门，规制成本较高，部门利益难以协调。进入规制是以国有所有制为主导的产权结构，并限制私人资本的进入；缺少实质意义的退出机制。这些规制措施导致电信运营企业缺乏足够的技术创新动力。不做调整的价格上限规制也对技术创新激励不足；结构规制下的国有寡头企业易于形成串谋。这些问题造成中国电信产业技术创新激励不足。本文的理论创新是：1.运用制度经济理论、规制理论、产业组织理论以及博弈论建立了世界电信产业技术创新、产业发展、政府规制之间的螺旋迭代发展模型。这一模型的建立，打通了政府、产业、企业三个层面相互作用的机理关系。而已有的电信产业规制理论是从微观层面研究不同主体之间为了自身利益的最大化而展开的博弈关系，由于过于强调利益在各主体之间的分配关系，而忽视了技术创新这一重要推动力量与产业、规制之间的相互作用关系。2.提出了中国电信产业结构性规制的发展模式。将螺旋迭代发展模型与中国电信产业发展路径相比较，发现中国自20世纪90年代以来电信规制的实质是结构性规制，是一种体制内对产业结构不断调整的规制，以平衡各个国有运营企业之间的市场份额，这种规制模式只注重产业竞争关系，而忽视了规制对技术创新的激励作用。中国电信产业结构性规制模式的提出，深刻揭示了中国电信产业规制与世界电信产业螺旋迭代式发展模型的差异，找到了中国电信产业呈现出技术创新能力不足、产业发展水平低下、政府规制滞后的原因。3.运用博弈论提出了国有产权下管理者技术创新的激励模型。螺旋迭代模型的理论与实证检验证明国有产权对技术创新是一种显著的负向影响，而中国电信产业规制与世界大多数国家的差异就在于中国是以国有产权为主导，缺乏独立规制机构的规制体系。本文通过建立国有产权下管理者技术创新的激励模型，揭示出了中国电信产业技术创能力缺乏的原因。本文的实践意义是：1.建立的螺旋迭代发展模型勾勒出世界电信产业发展的规律，这一规律对于各国处理技术创新、产业发展与政府规制的关系具有指导意义。由于政府规制是技术创新的制度条件，而技术创新又是电信产业发展的重要推动力量，因此，政府规制必须消除阻碍技术创新的因素，建立有利于技术创新的激励规制体系，才能够提高电信产业发展水平。2.通过比较研究世界电信产业在技术创新推动、规制约束下的螺旋迭代发展路径，充分揭示了中国电信产业的结构性规制导致的政府规制、技术创新、产业发展水平与发达国家以及世界平均水平的差异，这种差异有助于政府、企业全面了解中国电信产业发展不足的表现。3.本文提出的中国电信产业结构性规制的观点充分显示了中国电信产业近20年来的产业规制与产业发展的特点。中国实施结构性规制的主要原因是要在保持国有运营企业地位的基础上，为了刺激产业竞争不得不进行的一种制度安排。这种制度安排的根源还是规制体系中保持国有产权主导制。所以，本文的研究为中国电信产业国有产权改革提供了理论基础。4.建立了中国ICT产业的激励规制体系。体系中的八项规制内容是在现代激励规制理论与制度经济理论的基础上建立起的逻辑整体。建议尽快颁布实施规制ICT产业的法律《信息通讯法》，设立独立的规制机构；提出尽快开展国有产权改革；实施网业分离，批发环节的价格上限规制与零售领域的市场决定规制，建立技术创新的标尺竞争规制；运用公共利益规制理论提出了实施普遍义务规制与网络安全规制。这些建议对于当前中国电信产业规制体系改革具有实践意义。更多还原

【Abstract】 After more than one hundred years development, the world telecommunicationindustry has become an important basic industry, and also reflects it’s internationalcompetitiveness and innovations in every country.Compared with most countries in theworld, the technology level of Chinese telecommunication industry is relatively low.The purpose of this paper is to analyze the main factors influencing the technologyinnovations and industrial development in regulation system of Chinesetelecommunication industry, and to put forward suggestions for the reform of regulationsystem.By reseaching on the development course of world telecommunication intechnology innovation, industry development and the government regulation, this paperargues that technology innovation is a major driving force for telecommunicationindustry development. The nature of the telecommunication keeps changing, driven bytechnological innovation, from competition to natural monopoly, then to competitivecompetition. With the change of the nature of industry, government regulation in everycountry also keeps reforming, from strengthening regulation, deregulation and toincentive regulation. The relationship among technology innovation, industrialdevelopment and government regulation presents an spiral-iterative feature. Therefore,in order to analyze the function mechanism among the technological innovation,industrial development and the government regulation, this paper establishes the worldtelecommunication industry’s Spiral-Iterative Development Model. Analyzing theChinese telecommunication industry by using this model, this paper finds that Chinesetelecommunication industry is a kind of structive regulation, which strengthens industrycompetition by industrial restructuring, as keeps state-owned property rights dominant.This kind of regulation ignored the impact of state-owned property right on technologyinnovation, so resulted in the lower level of Chinese telecommunication industrytechnology, the backward development, and the lagging regulation. The laggingtelecommunication industrial development and technology innovation are not onlyinconsistent with Chinese economic power, but also unfavorable for Chinesecompetitiveness. According to Spiral-Iteration Model, this paper argues that thestructive regulation of Chinese telecommunication industry misleads the developmentof telecommunication industry deviates from Spiral-Iteration Model orbit. In order toimprove China telecommunication industry technological innovation, industry development, Chinese telecommunication industry regulation system should bereformed, to establish incentive regulation system, and to push the development ofChina telecommunication industry in the right direction.The main ideas of paper are:1. Technological innovation is one of fundamental driving forces of thedevelopment of the telecommunication industry. Technological innovation push thetelecommunicationmunications industry developes fast. The technological innovation invarious stages determines the technology features, and then telecommunication industrypresents the different nature in different stages, such as competition, natural monopoly,and monopolistic competirive. When the telecommunication industry shows the natureof monopoly, government regulation appears, and constitutes the institutionalenvironment for technology innovation.2. The relationship among technology innovation, telecommunication industry andthe government regulation shows the feature of iteration. Technology innovationdevelops under a certain regulation environment, so the regulation becomes one of theinfluence factors on technology innovation. The technology innovation, under therestriction of regulation, pushes the telecommunication industry to develop. Due to thedecrease of operation cost, the nature of telecommunication industry also changes, sogovernment regulation has to take some corresponding reforms to maximize the socialwelfare. Reformed regulation becomes the new constraint envioroment for technologyinnovation in the next stage, and a new round of technological innovation changes thethe nature of the telecommunications industry, and then leads to a new regulation. Thus,they shows the feature of iteration crossly, spiral up, and forms a Spiral-iterativeDevelopment pattern. This paper defined it as Spiral-Iterative Development Model.3. The government regulation of China telecommunication industry is a kind ofstructive regulaiton. Under the impetus of the technology innovation in the1980s,Chinese telecommunication industry introduced competition. But after20years ofregulatory reform, the government regulation of Chinese telecommunication industryalways taken way of restructuring, keeping the dominance of state-owned propertyrights, rather than the Spiral-Iterative Development Model. Structive regulation focuson every state-owned operator’s market share and their competition. So the operatorscompete each other mostly by price battle to promote their share quickly, not likeSpiral-Iterative Development Model, which is to improve the regulation environment oftechnological innovation through regulatory reform, then to reduce cost and price to promote the development of telecommunication industry. The difference ofdevelopment model results in the lower level of technology innovation in Chinesetelecommunication industry, and the industry development and regulation system lagsbehind the everage level of the world.4. The regulation system of Chinese telecommunication industry is not benefit fortechnological innovation. There are several regulators in Chinese telecommunicationindustry, belonging to government departments. Regulation cost is higher, anddepartment interest is difficult to coordinate. Regulation of entrance is based onproperty rights structure of state ownership, and limits stricktly the private capital toenter. Regulation system is also lack of substantive withdrawal mechanism. Theseregulations leads that telecommunication enterprises lack enough technology innovationincentiveness. The price cap regulation without adjustment in time is insufficient toinduce technology innovation. Monopoly enterprises under structive regulation is easyto collude together. These problems caused Chinese telecommunication industry lackstechnology innovation incentives.The theoretical innovation of this paper:1.Establishing the Spiral-Iterative Development Model among technologyinnovation, industry competition, and government regulation by using institutionaleconomics theory, regulation theory and industrial theory. This model is based on thethe mechanism of the interaction relations among government, industry, and enterprise.Through establishing the model, we can get the mechanism between the macro level,industry level and the micro level. However, the existing regulation theories oftelecommunication industry focus on maximize self-interest from the micro level by themethod of game theory, while ignoring the interaction between technology innovation(an important driving force) and industry regulation.2.Put forward the structive regulation pattern of Chinese telecommunicationindustry. Compared with Spiral-Iterative Development Model, the essence of Chinatelecommunication regulation is structive regulation pattern since1990s. This is a kindof structive regulation，so as to balance the market share between state-ownedenterprises.This regulation mode mainly focused on industry competition, and neglectedthe incentive effect of the regulation on technology innovation. The concept of structiveregulation is profoundly reveals the difference between Chinesetelecommunicationmunication industry regulation and Spiral-Iterative Development Model of the world telecommunication industry. This theory can help to find thefundamental reason of insufficient technology innovation, low development level ofindustry and lagged government regulation in Chinese telecommunication industry.3. Puts forward the incentive model of technology innovation of state-ownedenterprise in telecommunication industry. Spiral-Iterative Development Model theoryand empirical test prove that the state-owned property rights is a significant negativeimpact on technology innovation, while the difference between Chinesetelecommunication regulation and most countries in the world is that China keeps thestate-owned property right dominant position in the telecommunication industry. Lackof independence regulator is also a feature of the regulation system in Chinesestelecommunication industry. This model reveals the causes why the Chinesetelecommunication industry lack of the innovation incentives.The practical significance of this paper:1.Spiral-Iterative Development Model outlines the rules of worldtelecommunication industry development, and the rules has a guiding significance onsettle the the relationship among technology innovation, industrial development andgovernment regulation. Due to the government regulation is the institutionalenvironment for technology innovation, and technology innovation is an importantdriving force for the development of telecommunication industry, therefore, thegovernment should eliminate the factors hindering the technology innovation, andsetting up the incentive regulation system for technology innovation, so as to improvethe level of telecommunication industry development.2.Through study on the development path of world telecommunication industry bythe Spiral-Iterative Development Model, under technological innovation and regulationrestriction, this paper fully reveals the difference between Chinese sructive regulationand most other countries’ government regulation. Just because the model of sructiveregulation, the level of technology innovation and industrial development are lower thaneverage level of the world. These analysis will let the government, the enterprises fullunderstand the performance of Chinese telecommunication industry.3.The idea of structive regulation of Chinese telecommunication industry fullyshows the characteristics of telecommunication industry regulation and development inthe past20years in China. The structive regulation was a necessary institutionalarrangements in oder to keep state-owned enterprises in a dominant position, and also tobalance their market shares. So, the main reason of this institutional arrangement is the state-owned property right. The research of this paper provodes the theoretical basis forthe reform of state-owned property rights of China telecommunication industry.4.Establish an incentive regulation system for Chinese ICT industry. Eightcounterpolocies of the system is a logical unit based on incentive regulation theory andinstitutional economic theory. This paper proposes to enact the law regulating ICTindustry—The Act of Information and Communication; to set up independentregulatory agencies; to carry out the reform of state-owned property rights as soon aspossible; to carry out network separation; to separate regulations in the field ofwholesale and retail; to establish the yardstick regulation for technological innovation;to implement universal compulsory regulation and network safety regulation. Theserecommendations have practical significance on the present regulation system reformfor Chinese telecommunicationm industry.更多还原