【作者】 余东华；

【导师】 赵梦涵；

【作者基本信息】 山东大学 ， 产业经济学， 2005， 博士

【摘要】 20世纪70年代末开始的改革开放,标志着中国进入了由计划经济向社会主义市场经济过渡的转型时期。产业组织结构转型是中国经济转型的一个重要方面,特别是在经济全球化趋势加快和中国加入WTO的背景环境下,优化产业组织结构成为提高产业国际竞争力的重要途径。本文围绕优化产业组织结构、提高产业国际竞争力这一主线,在全面回顾和深入研究前人理论成果的基础上,以体制转轨和经济转型为背景,构建了中国产业组织结构优化研究的理论框架,从市场结构、所有制结构和区域空间结构三个方面深入考察了转型时期中国产业组织结构的现状和演进轨迹,提出了转型期中国工业市场集中的U形假说,并从技术创新、制度变迁和产业集聚等方面探讨了中国产业组织结构优化的动力机制,最后,作为前文分析的逻辑延伸,分别提出了转型时期中国竞争性行业和垄断性行业产业组织结构优化的目标、原则和政策建议。 传统产业组织理论分析问题、研究现象的基本框架是SCP范式。本文在借鉴这一分析范式的基础上,针对中国转型时期特殊的制度背景,在产业组织结构分析中引入了制度属性和区域空间属性,实现了分析框架的突破。市场竞争和政府干预是产业组织结构变动的两大基本动因:通过发挥市场竞争的优胜劣汰作用,能够推进产业集中;通过实行适当的产业政策能够扶持和引导企业做大做强,实现市场集中。同时,市场竞争也孕育着反竞争的力量,政府干预也能够限制垄断,鼓励有效竞争。本文在肯定市场竞争和政府干预这两大基本力量的同时,提出技术创新、制度变迁和产业集聚是转型时期中国产业组织结构优化的重要动力机制,并将产业组织的市场结构、所有制结构和区域空间结构与这三大动力机制相结合,深入研究了转型时期中国产业组织结构优化的理论与实践问题。中国竞争性行业和垄断性行业都具有明显不同于西方市场经济国家的特点,照搬西方国家的产业政策显然是不合适的。中国竞争性行业的市场集中度较低,极度分散和分散竞争的原子型市场结构居于主导地位,过度竞争现象比较严重;中国垄断性行业基本上是在计划经济时期形成并延续而来的,行政性垄断色彩浓厚,生产成本高、服务质量低、竞争能力弱的矛盾比较突出。因此,中国产业组织结构优化不能照搬西方模式,而应结合中国实际,更多还原

【Abstract】 Implementing the policy of reform and opening-up in the late 1970s is the symbol of China’s entering the transition process from the planning economy to the socialism market economy. The transition of industrial organization structure (IOS) is one of the most important aspects in China’s economic transition. Especially under the background of globalization and China’s entry to WTO, optimization of China’s IOS is one of the most important approaches to enhance the ability of international competition. This thesis regards the optimization of IOS and enhancing the ability of international competition as the main theme and constructs the theory frame of the optimization of China’s IOS after reviewing generally and studying thoroughly the classic literature. The thesis researches the status quo and the evolvement track of China’s IOS from three aspects, i.e., market structure, ownership structure and regional structure. Then, the thesis puts forward a U shape hypothesis of China’s industry concentration and discusses the mechanism of the optimization of China’s IOS from technological innovation, system transition and industrial agglomeration. Finally, the thesis illustrates the aim, principle, countermeasure and suggestions to optimize the structure of China’s IO of competitive and monopoly industries as a logical prolongation of the former analysis.The basic frame to analyze problems and study phenomena of the traditional theory of IO is SCP paradigm. This thesis introduces institutional factor and special factor into the analysis of IOS with reference of the paradigm. So the thesis innovates upon the old frame to analyze IO. Market competition and government policy are the two basic powers to change the IOS. Exerting the function of market competition can promote industries to agglomerate and exerting the function of government policy can make enterprises bigger and stronger and promote market to congregate. At the same time, market competition also gestates the force to oppose competition and government policy could restrict monopoly and encourage workable competition. The thesis affirms the function of market competition and government policy and points out that technological innovation, system transition and industrial agglomeration are the important mechanisms to change the IOS in the process of China’s transition either. The thesis combines the market structure, ownership structure and regional structure of IO with the three mechanisms and studies deeply the theoretical and practical problems of the optimization of China’s IOS. China’s competitive and monopoly industries have characteristics different from the western countries, so copying the policy of the western countries is unseemliness. In China’s competitive industries, the market concentration is very low, decentralization and atomic-type market structure occupies the dominant status and the excessive competition is very serious. Most of China’s monopoly industries were founded in the period ofplanning economy and had many characteristics of administrative monopoly. The inconsistency of high production cost, low service quality and weak competition ability is obvious characteristic of China’s monopoly industries. In conclusion, the optimization of China’s IOS must follow China’s practice and reality, aim to enhance the competitive ability of industries, promote the agglomeration of competitive industries moderately, expedite the market reform of monopoly industries and achieve workable competition.According to the above-mentioned thoughts, the thesis is divided into five parts, eight chapters.The first part is chapter I. It is an instruction of this thesis. After studying the inconsequence phenomena of China’s IOS in the transition process, the author put forward the basic issues and the theoretical and practical significance of the thesis, indicates the basic methods of research, designs the preliminary study frame as a whole, and educes the main conclusion of the thesis in the first part.The second part is chapter II. In this part, the author expatiates systemically on the evolvement and development of the theory of IOS and puts forward the theory frame of research on China’s IOS and its optimization. Focusing on the subjects of IOS theory, the thesis studies and reviews the theory of classic industrial organization (CIO), traditional industrial organization (TIO), new industrial organization (NIO), non-mainstream industrial organization (NMIO ) and Marxist industrial organization (MIO). Then, the thesis puts forward three aspects of studying China’s IOS which are market structure, ownership structure and regional structure and analyzes briefly the dynamic mechanism of China’s IOS optimization in the transition process. The second part is not only a theory prepared for the positive analysis but also a general theory frame for the whole thesis.The third part is chapter HI. This part focuses on analyzing the market structure of China’s IOS. The thesis puts forward a U shape hypothesis of China’s industrial concentration and verifies the hypothesis theoretically and empirically according to the special background in which China is faced with the double transitions of economic system and form. The thesis persists that the relationship between industrial market structure and economic development process shows U shape in China’s economic transition. The market concentration decreased obviously with the transition of economic system and economic development at the initial stage of reform and opening-up. Market concentration became more and more stably when the market system was evolved in the middle period of industrialization. After short fluctuation, market concentration appeared to increase slowly with the economic development. The U shape relationship between industrial market structure and economic development process is the result of market power, government intervening and the effect of other special factors in the transition process.The fourth part includes chapter IV, chapter V and chapter VI. This part is one of the most important contents of the thesis. In this part, the thesis analyzes systemically three optimization mechanisms of China’s IOS and the ownership and regional structure of China’s 10. Chapter IV studies the mechanism in which the technological innovationpromotes the dynamical change of IOS. Dynamical and mutual relationship exists between technological innovation and 10. Technological innovation can promote the concentration of 10 and different IOS affects technological innovation differently. One of the most important mechanisms in which the technological innovation promotes IOS optimization is to accelerate industrial convergence and break the boundary of 10. Chapter V studies the institutional facts of China’s IOS optimization and analyzes with emphasis the influence which the transition of ownership structure of 10 can promote IOS optimization. From the late 1970s and the early 1980s, the ownership of China’s 10 began to reform according to market-leading and multi-property-right. At present, the China’s ownership structure in which public ownership hold the main status and manifold ownership coexist have come into being. The transition of ownership not only changes the ownership structure of 10 but also influences the market performance with other factors. By analyzing the industrial clusters, chapter VI studies the regional structure of China’s 10 and discusses the mechanism in which the industry agglomerating promotes the optimization of IOS. Industry agglomerating and developing in the geographical space engenders industrial cluster. Industrial cluster is one kind of Quasi-market Organizations. It can optimize the IOS, improve the industrial competence and strengthen the regional economy.The fifth part is composed of chapter VII and chapter Vfll. In this part, the thesis analyzes respectively the status quo of China’s IOS of competitive and monopoly industries and raises the aim, principle, countermeasure and suggestions to optimize China’s IOS in the transition process. This part is a logical prolongation and summarization of the thesis. Chapter VII analyzes the optimization of China’s competitive IOS. In this chapter, the thesis defines theoretically the workable competition and excessive competition, analyzes the status quo and cause of formation of excessive competition of China’s competitive IOS and puts forward the suggestions and policies of optimizing IOS of competitive industry and achieving to workable competition. Chapter \1 analyzes the optimization of China’s monopoly IOS. The primary characteristic of China’s monopoly industries is administrative and the ultimate ways of optimizing IOS and improving competitive ability of monopoly industries are breaking monopoly, introducing competition and promoting market reformation. On the base of analyzing deeply the status quo of China’s monopoly IOS, the thesis puts forward the objects, principles and basic thoughts and also the policies and suggestions of optimization of IOS according to the main contradictions and problems existing in monopoly industries.更多还原