【作者】 危怀安；

【导师】 徐长生；

【作者基本信息】 华中科技大学 ， 西方经济学， 2007， 博士

【摘要】 本文以经济性垄断(以下简称经济垄断)为研究对象,围绕经济垄断效应这条主线,构建了一个由竞争、技术创新与资源配置组成的三维分析框架,着重研究了经济垄断对市场竞争、技术创新以及资源配置的影响,从而为反垄断政策的制定和实施提供了新的理论支持。通过对垄断范畴的经济学与法律学分析,可以发现,垄断范畴的内涵与外延是动态的、发展的、变化的,人们可以从不同的视角对垄断进行具体的分类。从成因上可把垄断细分为行政垄断、法定垄断、自然垄断和经济垄断。本文的研究对象为经济垄断,并把其定义为:一个或少数企业在特定市场上通过竞争和集中所形成的排他性控制市场状态。本文在对经济垄断检测指标评价的基础上,概括并提炼出经济垄断发展的“四大机制”(主体动力机制、客体动力机制、杠杆机制和保障机制)和“三个阶段”。同时,对经济垄断效应的三种代表性观点(弊害论、效率论和二重性论)进行了一般理论分析,指出混淆垄断市场状态与垄断市场行为、经济垄断与行政垄断的主要区别,是导致“垄断弊害论”泛滥的主要理论根源,从而为经济垄断效应的后续深入讨论提供了基础平台。经济垄断的反竞争性,历来成为政府规制经济垄断的直接依据。因此本文首先对经济垄断的竞争效应作了系统深入的分析。通过对竞争内涵演变的考证,认为作为市场机制的竞争要义乃理性的经济人逐利争胜的活动或过程。以此为基础,探讨了经济垄断对竞争的全面影响。通过系统的理论分析与经验数据的实证研究,得出了本文的第一个重要结论:经济垄断取代自由竞争成为当代经济生活中的主导市场状态以后,从自由竞争中生长起来的经济垄断并没有排除和消灭竞争;从长期的、动态的视角看,经济垄断容许竞争、包含竞争,并可能提升竞争的层次、质量和效率。当代经济垄断状态下竞争的新形式与新特征是:由单一的价格竞争演变为多样化的非价格竞争;由原子式企业的自由竞争演变为垄断企业的全方位竞争;由单个企业之间的竞争演变为“价值链之间的竞争”或“企业网络之间的竞争”;由对抗性竞争演变为合作性竞争。技术创新是产业结构优化升级与经济长期增长的决定性因素。经济垄断阻碍还是推动技术创新的发展,是本文不能回避的又一个重要问题。综观现有研究文献,可把经济垄断对技术创新影响的理论观点与实证结论分为三类:一是主流经济学的流行观点:经济垄断阻碍技术创新的发展;二是“熊彼特假设”与“加尔布雷思观点”:市场结构的垄断程度越高,技术创新就越活跃;三是以莫尔顿·卡曼和南塞·施瓦茨为代表的折衷观点:垄断与竞争结合的市场结构最有利于技术创新的推进。当然还有倒U型理论、阶段性理论、产业差异性理论和不确定理论等其他观点。这些观点的分歧集中于经济垄断对技术创新的动力与能力的影响两个方面。从技术创新的动力看,经济垄断仍然具有竞争压力、市场需求拉力和创新利润激励的综合创新动力;从技术创新的能力看,经济垄断具有显著的技术创新优势。通过理论比较分析、大量的实证对比研究,得出了本文的第二个重要结论:经济垄断有利于技术创新的发展。同时对经济垄断下技术创新效应的不同实证研究得出不同结论的原因进行了剖析,并从八个方面归纳分析了经济垄断企业技术创新的显著优势。主流经济学认为,经济垄断降低了资源配置效率,造成了无谓的社会福利损失。这是各国政府制定反垄断政策的经济学根源。因此展开对经济垄断资源配置效应的讨论,成为本文分析框架的第三个维度。本文通过对主流经济学理论观点与分析方法的缺陷进行分析,指出其理论观点得以成立的条件的虚假性与静态研究方法的局限性;同时对经济垄断如何通过规模经济、范围经济与学习效应等机制来提高资源配置效率,从而增进社会福利的路径展开了具体的讨论,得出了本文的第三个重要结论:经济垄断是竞争获胜和资源优化配置的结果,反过来又对资源配置的优化起促进作用。论文最后明确指出,必须通过深化体制改革和严格反垄断执法,彻底根除行政垄断;并对滥用经济垄断的企业行为予以反垄断规制。本文创新之点归纳如下:(1)把市场经济国家普遍存在的经济垄断从众多垄断现象中剥离出来,运用规范分析与实证研究相结合、历史分析与逻辑分析相结合、经济学分析与法律学分析相结合的方法,从竞争、技术创新与资源配置三维视角展开对经济垄断效应的研究,是一种研究思路的创新。(2)把经济垄断的形成机制归纳并提炼为主体动力机制、客体动力机制、杠杆机制和保障机制四个方面;在此基础上,把西方发达国家经济垄断的形成和发展历程,划分为三个时期: 19世纪末20世纪初是经济垄断取代自由竞争成为主导市场结构时期;二战以后至20世纪80年代是经济垄断的规模发展时期;20世纪90年代以来,经济垄断的新发展时期。(3)在对垄断弊害论的构成进行阐述的基础上,指出了斯密垄断弊害论存在的历史局限性以及引人深思的负面效应;并对经济垄断弊害论扩散的缘由进行了较深入的分析。(4)通过对竞争及其运行条件的多维系统考察,把竞争界定为理性经济人逐利争胜的活动过程;并指出竞争机制运行的根本条件是主体的竞争自由与市场开放。(5)从长期的动态的视角,运用包括博弈论在内的最新理论工具分别讨论垄断竞争、完全垄断和寡头垄断对竞争的全面影响,并运用大量经验数据进行了实证分析,得出经济垄断可能促进竞争。(6)在全面分析经济垄断下技术创新动力和能力的基础上,概括了经济垄断下技术创新的八大优势,并对不同实证分析出现不同结论的现象作出了合理的解释。(7)通过对经济垄断的规模经济、范围经济与学习效应的讨论,进一步支撑了经济垄断有利于技术进步与经济发展这个总的研究结论。更多还原

【Abstract】 This dissertation studies economic monopoly, and constructs a three-dimensional analytical framework composed by competition, technological innovation and resource allocation. It focuses on the effects of economic monopoly on market competition, technology innovation and resource allocation, and tries to provide new theoretical supports for the making and enforcement of anti-monopoly policies.Through the economic and law analysis of the definition of monopoly, we can find that the definition and connotation of monopoly are dynamic, developing and changing. Monopoly can be classified into different categories. In terms of causality, monopoly can be divided into four forms: administrative monopoly, legal monopoly, natural monopoly and economic monopoly. This dissertation mainly discusses the economic monopoly and defines it as that one or some enterprises have exclusive market power in special markets through competition and concentration. Based on the evaluation index measuring the economic monopoly, the dissertation pinpoints“four mechanisms”: the subject-motivation mechanism, the objective-motivation mechanism, the lever mechanism, and insurance mechanism, and divides economic monopoly development into three periods. Meanwhile, it makes a general theoretical analysis of three typical theories: the theory of disadvantages, efficiency theory, and duality. It points out that it is exactly the confusion between the two pair of terms: market monopoly and market monopoly behavior, and economic monopoly and administrative monopoly, that causes the domination of“the monopoly disadvantage theory”, which provides a basic platform for further discussion of economic monopoly effects.The anti-competition characteristic of economic monopoly has become a direct cause that government regulates economic monopoly. Therefore, this dissertation firstly analyses the competition effect of economic monopoly systematically and profoundly. By tracing the evolution of the connotation of competition, we believe that competition, as a market mechanism, means a process or movement in which rational individuals seek benefits and success. Based on this, we discuss the overall effects which economic monopoly affects competition. Using systematic theory research and empirical analysis of existing data, we get the first conclusion: economic monopoly becomes the dominant market structure of modern economic life after economic monopoly replaces free competition. Economic monopoly which grew up from free competition does not exclude and eliminate competition. In long-term and dynamic perspective, economic monopoly permits and includes competition, and may promote the strata, quality and efficiency of competition. The new form and features of competition in modern economic monopoly state are: the evolution from a single price competition to diversified non-price competition; evolution from atomic enterprises for free competition to the all-round competition monopoly enterprises; the competition between individual enterprises extended into " competition for value chains " or " competition for networks " between the enterprises; and competition evolution from confrontation to cooperation.Technological innovation is a decisive factor in industrial structure optimization, upgrading and long-term economic development. Whether economic monopoly impedes or promotes the development of technological innovation is an unavoidable and important issue. Looking at existing research literature, the economic monopoly in technological innovation perspective on the theory and empirical findings can be divided into three categories: first, the mainstream economics popular viewpoint: economic monopoly obstructing the development of technological innovation; second is "the Schumpeterian Hypothesis " and " the Calbraith,View": the more monopoly in market structure, the more active the degree of technological innovation; and third, Kaimen and Schwartz’s views, representing a compromise perspective: a market structure mixed by monopoly and competition is most advantageous to promote technological innovation. Of course, there are other theories, such as the inverted U-type theory, stage theory, industry differences theory, uncertainty theory, and other viewpoints. All these views’differences center on the effects of economic monopoly on the motivation and ability of technological innovation. In terms of the motivation of technological innovation, economic monopoly produces innovation motives by keeping competitive pressures, market demand pull-up effects, and profit incentives. As for technological innovation ability, economic monopoly has significant advantages of technological innovation. By the theoretical analysis and a large number of empirical comparative studies, this dissertation obtains the second conclusion: economic monopoly is conducive to the development of technological innovation. The dissertation also analyzes the causes why different empirical studies of the effects of economic monopoly came to different conclusions, and from 8 aspects, we summarize significant advantages an economic monopoly enterprise has in technological innovation.Mainstream economics think that economic monopoly reduces the efficiency of resource allocation, resulting in senseless loss of social welfare. This is due to a government anti-monopoly policy economics root. Thus, this dissertation starts the discussion for the resource allocation effects of economic monopoly, which becomes a third dimension of the article’s analytical framework. Based on defective analysis for mainstream economic theory perspective and analysis measures, we point out the false features behind those views, and the limitations in the methodology of those static analyses. The dissertation then discusses how economic monopoly can improve the efficiency of resource allocation through economy of scale, scope and learning process, so that social welfares are increased. Therefore, we get the third conclusion: economic monopoly is the result of optimizing resource allocation, and it in return, facilitates the optimization of resource allocation.In the last part, the dissertation clearly suggests that administrative monopoly be eliminated through deepening reforms and strict anti-trust enforcement, and that abuses of economic monopoly behavior be strictly regulated.The new ideas of the dissertation can be summarized as below:(1) It separates economic monopoly, a common market phenomenon in many market economies, from other monopolies. This article takes a new research approach which combines empirical analysis and normative analysis, historical analysis and logic analysis, economic analysis and law analysis to carry out the research on economic monopoly effects in three dimensions, i.e., competition, technological innovation, and resource allocation.(2) It summarizes and refines the forming mechanisms of economic monopoly as the subject-motivation mechanism, objective-motivation mechanism, lever mechanism and insurance mechanism. Based on this, we separate economic monopoly into three periods for western developed countries. In the early of 20th and the end of 19th century, this is governing market structure period that economic monopoly replaced free competition. From the World War II to the 1980s, this is scale developing period for economic monopoly. Since 1990s, it is the new developing period.(3) It makes a comprehensive analysis for giving rise to disadvantage theory of economic monopoly, and points out that the limitations and thought-provoking negative effects advanced by Adam Smith about monopoly.(4) By inspecting the operating conditions of competition and multi-dimensional systems, we define competition as action which rational economic individuals seek profits; and the fundamental operation conditions of the mechanism of competition is the free and open market .(5) From the perspective of long-term dynamics, it uses the latest theoretical tools including game theory, discusses overall effects for monopolistic competition, oligopoly and monopoly to competition, and extensive experience; uses the empirical data analysis of the economic monopolies and makes the conclusion that economic monopoly may promote competition.(6) In a comprehensive analysis of the motivation and ability of technological innovation of economic monopoly on the basis of summarizing the eight advantages of technological innovation, it is easy to make reasonable explanation for different empirical analysis giving rise to the different phenomena.(7) Based on the discussions of economy of scale, scope, and learning effects of economic monopoly, it further supports a total researching conclusion that economic monopoly benefits technological innovation and economic development.更多还原