自然垄断中的规制与有效竞争

【作者】 李峰；

【导师】 张薰华；

【作者基本信息】 复旦大学 ， 政治经济学， 2005， 博士

【摘要】 电信、电力、自来水、煤气和铁路运输等行业由于投资成本巨大,资产专用性强,投资回收期长,存在明显的规模经济效益,因此被称为自然垄断产业(Natural Monopoly)。传统的理论认为,对于这些自然垄断产业,由于其巨大的规模经济效益的存在,应该实行垄断经营,并由政府规制机构对其实行价格和进入规制。20世纪70年代中期开始,英美等发达国家在自然垄断领域开始了轰轰烈烈的放松规制改革。在短短的10年时间里,竞争之风席卷了电信、航空、铁路、电力等过去由政府垄断经营或严格规制的产业,在价格和进入方面都大大放松了规制,并积极引入竞争,建立竞争机制。 我国从20世纪80年代开始,在自然垄断产业进行了某些局部性改革,到90年代,中国自然垄断产业的改革开始逐步推进,在政企分开和引进民间资金等方面做了一些尝试。十六届三中全会提出要加快自然垄断产业的改革,在垄断行业要引进多元投资主体,建立竞争机制,对自然垄断行业要加强规制。我国在自然垄断产业的某些领域的改革,已经取得了明显的成效。 从自然垄断的改革中可以看出,放松规制、引入竞争是自然垄断产业改革的方向。但在自然垄断产业中应该怎样引入竞争、如何进行竞争、什么样的竞争强度和市场结构最为有效:引入竞争以后是否还需要规制,如果需要的话应该采取哪些规制方式最为有效,如何处理好竞争与规制的关系;在目前我国的自然垄断改革中,其有效竞争的市场结构应如何确立,如何处理好私人参与与产权改革的关系等,都需要在理论和实践上进行探讨。 本文共分为七部分。 第一章对自然垄断理论与政府规制理论的发展和演变进行了梳理,为全文作理论铺垫。同时还对自然垄断产业的特征进行了大致概括。在规制理论中分析了规制公共利益理论、规制俘虏理论和规制经济论;还分析了马克思的微观规制理论和可竞争市场理论。 第二章对自然垄断中的传统规制方法进行了分析。主要分析了价格规制和进入规制。并对规制失效的原因进行了分析。 第三章对自然垄断产业放松规制、引入竞争的原因进行了分析。技术进步和市场需求的扩大缩小了自然垄断的边界,使引入竞争成为可能;规制失效是放松规制、引入竞争的最直接原因。在本章对有效竞争理论的发展和标准进行了论述和思考,并认为有效竞争是竞争收益大于竞争成本的竞争,是一种适度竞争,并且要符合规模经济要求。 第四章研究了形成有效竞争的竞争模式。首先用网络经济效益和规模经济效更多还原

【Abstract】 Industries like telecom, railway transportation and supply of power, water and gas distinctly benefit from their economy of scale, due to the immense investment cost, strong asset specificity and long investment payoff period. Therefore, they are called natural monopoly industries. According to the traditional theories, owing to their huge benefits of economy of scale, these natural monopoly industries should be under the monopoly management and regulated by government regulation institutes. Since the middle of 1970s’, the developed countries, including Britain and USA, have conducted a dynamic reform of deregulation in the field of natural monopoly. And after a time as short as 10 years, a vogue of competition raged through industries of telecom, aviation, railway, power supply, etc, which used to be under the monopoly management or strict regulation by the government. Regulations on price and entry were greatly released. Competition was adopted and the system of competition was set up as well.China carried out a partial reform on the natural monopoly industries from the 1980s’. Till the 1990s’, the reform started to develop step by step. Attempts were made to separate the administrative functions from enterprise management and introduce in non-government capital. It was proposed on the 3rd Plenary Session of the 16th Central Committee of the CPC to quicken the reform on the natural monopoly industries: multiple main bodies of investment should be invited; a system of competition should be established; and regulation should be reinforced on the natural monopoly industries. We have seen an evident effect of the reform in some fields of the natural monopoly industries.It can be seen from the reform on the natural monopoly that deregulation and competition introduction is the direction of the reform. However, how to introduce in competition to the natural monopoly industries? How to conduct competition? What competition intensity and market structure are the most efficient? Whether will the regulation still be needed after introducing in the competition? If needed, which means of regulation would be the most effective? How to deal with the relationship between the competition and the regulation? How to establish a market structure for the workable competition in the current natural monopoly reform? How to deal with the relationship between private participation and property rights reform? All these problems need discussing both theoretically and practically.This paper is divided in seven parts.Chapter One clears up and summarizes the development and evolution of the theories on natural monopoly and government regulation, serving as a theoretical foundation for the whole paper. A general sum-up of the characteristics of the natural monopoly industries is also made here. As to the regulation theories, the analysis is about the public interest regulation theory, the regulation capture theory and the theory on regulatory economy, as well as the micro regulation theory and contestable market theory of Karl Marx.Chapter Two analyzes the traditional regulation means in the natural monopoly, mainly the price regulation and entry regulation. Also it explains the reason for the invalidation of the regulation.Chapter Three interprets the reason for the deregulation and the introduction of the competition in the natural monopoly industries. The development of the technology and the expansion of the market demand diminish the boundary of the natural monopoly and thus make it possible to introduce in the competition; the invalidation of the regulation is the most direct reason for deregulation and competition introduction. The development and the standard of the workable competition theory are elaborated in this chapter. The point of view is that the workable competition is one that the competition returns exceeds the competition cost. Thus it is an appropriate competition and meets the requirements of the economy of scale.Chapter Four focuses on the workable competition modes in the natural monopoly. Based on the benefits of network economy and the economy of scale, a differentiation is firstly made between the business fields that can or cannot directly introduce in competition. It then analyzes the boundary determination and the selection of competition modes of the natural monopoly industries in practice. In the business fields that cannot introduce in direct competition, indirect competition modes like concessionary bidding rights competition and inter-regional comparative competition can be adopted. For those that can introduce in direct competition, the loose oligopolistic market is the best.Chapter Five studies the property rights reform and private participation in the natural monopoly industries. As to the privatization reform in the western natural monopoly enterprises, it seems it is the property rights reform that works. However, it is actually the competition that promotes the efficiency. During the process of the更多还原