中国铁路产业规制新论

【作者】 肖兴志；

【导师】 于立；

【作者基本信息】 东北财经大学 ， 产业经济学， 2003， 博士

【摘要】 中国铁路产业长期实行的是政企一体式管理体制，这是一种严格的内生规制模式。这种内生规制模式暴露出越来越多的问题，解决这一难题的根本出路在于推进中国铁路产业的规制改革与创新。围绕这一主题，本文侧重从产业经济学角度，采用数理分析、实证研究、比较研究等方法进行了研究与探索。 本文首先简要论述了研究的主题，介绍了研究的主要方法，概述了各章节的逻辑体系；针对从规模经济和范围经济角度解释现代自然垄断产业的局限性，从规模经济、范围经济、网络经济“三位一体”角度进一步论述了这些概念与自然垄断的相互关系。并以铁路为例，分析了铁路产业中路网部分具有较强的规模经济、范围经济以及网络经济特性，因而具有较强的自然垄断特征，这为铁路产业规制提供了更为准确的认识基础；同时，本文还论述了规制的基本含义和动机，并以美国为例，分析了铁路产业规制的兴起。围绕铁路产业的主要规制模型以及由此导致的规制失灵与激励性规制改革等核心问题做了较为深入的探讨。 与国外相比，中国铁路产业规制具有较为显著的特殊性。分析这些特殊性，为中国铁路产业规制创新提供实证基础；在此基础上，本文研究设计了中国铁路产业规制新模式，论证推导了中国铁路产业规制创新的基本目标，分析了规制创新的基本框架以及所涉及的重点问题，这是本文的核心部分。最后简要归纳了本文的基本结论以及尚未解决的问题。 本文的研究特点在于：(1)在规模经济、范围经济的基础上进一步推导并证明了网络经济与自然垄断的关系，即自然垄断可以从规模经济、范围经济、网络经济三个角度来解释论述；(2)明确提出了一个与鲍莫尔、潘泽与威利格等人提出的“成本劣加性”相类似的概念——价值优加性，并证明了网络经济的总价值函数和总收益函数具有严格优加性；(3)概括了自然垄断市场界定中所出现的新特征，即在垄断产业中，“市场”正越来越小于“产业”；(4)进一步论证了中国铁路产业规制创新的目标模式是兼有部分内生规制特点的外生规制；(5)在中国铁路产业的结构改革中应体现分层次的思想；(6)明确论述了内容提要铁路路网公司等自然垄断环节是否分割的理论基础;(7)提出并进一步证明了中国铁路产业内部应实行差异化的产权改革模式。更多还原

【Abstract】 The railway industry in China has over time practiced a government-enterprise integrated management system, which is a strictly implicit regulation pattern. Evidence suggests that such implicit regulation pattern in railway industry has no longer been adapted to the development requirements for market economy. The fundamental solution to this problem is to propel the regulation reform in the railway industry in China. Centering on this subject, the dissertation adopting mathematical analysis and comparative research methods, makes exploration into and does research in this field from the angle of industrial economics.The dissertation consists of six chapters: Chapter one is the introduction, which gives a brief introduction of the main contents, the basic methods and the logical systems between chapters and segments; Chapter two, from the angles of economies of scale and economies of scope, depicts the natural monopoly characteristics of the railway industry and explains the limitations of modern natural monopoly industry;from the angles of "three in one"--economies of scale, economies of scope andeconomies of network, it also discusses the interrelationship between these concepts and natural monopoly. In addition, the dissertation taking the railway industry as an example analyses that the infrastructure management and transport operation in the railway industry have more obvious characteristics of economies of scale, economies of scope and economies of network, thus having more marked characteristics of natural monopoly; Chapter three is about the core issues of the railway industry regulation, which makes a discussion of the elementary meanings and motivations of regulation, and also taking the United states as an example, makes an analysis of the startups of railway industry regulation. Moreover, the dissertation makes a deep exploration into the main regulation models and the regulation failures resulting from them, and the nucleus problems of incentive regulation reforms; Chapter four is about the particularities of the railway industryregulation in China. Compared with the western countries, the railway industry regulation in China has more striking particularities. Analyses of these particularities form the empirical bases for the regulation innovations of the railway industry in China; Chapter five is about the new designs of the railway industry regulation in China. It demonstrates and derives the basic objectives of the regulation innovations of the railway industry in China, and analyses the fundamental framework of regulation reforms and the key issues involved; Chapter six is about the relevant conclusions and the pending problems.The main contributions of this dissertation are listed as the followings:l) deducing and proving the "three in one" theory of natural monopoly, that is, from the angles of economies of scale, economies of scope and economies of network, giving an explanation of natural monopoly; 2) putting forward the concept of "strict superadditivity" and proving that total value function and total revenue function of network economy have strict superadditivity; 3) summarizing the emerging characteristics in the market definition of natural monopoly, that is, in the monopoly industry, "market" tends to be more and more smaller than "industry"; 4) expounding that the objective patterns of regulatory reforms of the railway industry in China are explicit regulation with partly characteristics of implicit regulation; 5) proving the idea that the structural reforms of the railway industry in China should be hierarchical; 6)demonstrating the theoretical bases for whether infrastructure management should be separated from transport operation; 7) expounding and proving that the interior of the railway industry in China should implement the differential property rights reform pattern.更多还原