【作者】 刘大伟；

【导师】 唐晓华；

【作者基本信息】 辽宁大学 ， 企业管理， 2008， 博士

【摘要】 公用事业价格听证作为公用事业价格管制的重要组成部分,近年来已经在相当程度上成为人们的公共话题。然而,理论上对于公用事业价格听证中消费者的研究还相当缺乏。本文以信息的获取、运用和保障为主线,从信息、能力和制度三个方面系统论述了公用事业价格听证中的消费者参与问题。论文认为,消费者利益集团参与价格听证主要有两方面的作用:一是以自已获取和运用的信息来参与公用事业价格决策过程,从而有效地制约管制机构与厂商之间的合谋行为;二是提供价值信息,为管制机构的科学决策提供依据。对于信息、能力和制度这一基本框架,论文认为决策过程本质上是一种利益竞争和选择的过程。同时,决策权力的配置实质上是“话语权”的分配,而信息及其运用在很大程度上就等同于话语权。因此,信息、能力和制度框架的内容是:通过制度设计使博弈主体能够尽量拥有平等(但并不要求相同)的信息,保证博弈主体(尤其信息运用弱势群体)的信息运用能力,实现博弈主体建立在充分信息运用基础上的有效对抗。对于信息的获取而言,减轻消费者与厂商之间信息不对称制度设计的关键是:(1)管制机构和厂商应提供充分有效的信息,从而有效在减轻信息不对称;(2)通过专家参与提供的专业性知识减轻两者之间信息不对称。对于信息的利用而言,由于消费者利益集团自身存在的搭便车倾向和内部分化的特征决定了消费者参与动力不足。因此,必须通过制度设计实现消费者利益集团有效参与。这种制度设计的重点是通过消费者组织的载体作用保证消费者代表的志愿性、代表性和专业性。由于消费者个体的有限理性,在实践中,作为“消费者家园”和以信誉作为其唯一资产的消费者组织就成为消费者参与公用事业价格听证的主要载体,其参与公用事业价格听主的主要方式是选拔消费者代表。因此,在能力方面,相关内容主要包括(1)消费者组织的有效参与;(2)选拔具有参与志愿和一定专业性的消费者代表;(3)对消费者代表的激励与约束。对于信息的保障而言,权力是一种话语权(影响力)。在公用事业价格听证中,消费者的权力体现为获取和运用信息的能力。为了保证消费者参与公用事业的影响力,必须依赖一定的制度保障。综合各国的实践,这些制度一般管制机构独立、多次听证后决策、案卷排他制度和司法审查制度。在此基础上,论文对中国公用事业价格听证中消费者参与进行了评述,并从信息、能力和制度三个方面提出了改进路径。与之相对应,论文的主要框架也与上述的核心观点紧密相联:论文的第一章主要论述了价格管制、价格听证与消费者参与的关系,这一章的重点是介绍了公用事业价格管制的目标和价格听证模型、消费者参与价格听证与公用事业价格听证的关系,从而为全篇的论述打下了基础。论文第二章主要论述了信息、能力和制度框架,说明了信息的获取、运用及保障对于消费者参与的作用,从而引出后四章的核心内容。论文的第三章至第五章分别从信息、能力和制度三个方面各自论述了消费者参与公用事业价格听证所需信息的获取、运用及保障三方面的内容。论文的第六章继接前四章的内容,从信息、能力和制度三个方面论述了中国公用事业价格听证中消费者参与的改进路径。论文第七章总结了全文的基本观点,并提出了论文研究展望。为了有效地论证上述的观点,结合论文的研究对象,论文主要运用了博弈论、调查研究和案例分析的方法。其中,在博弈论方面,论文认为,公用事业价格听证的过程可以被模拟为一种由消费者利益集团和厂商在管制机构制定的规则下参加的非合作博弈。在某些情况下,由于专家的参与,各参与主体基于专家提供的权威性信息而形成的一致同意导致了又可以将价格听证模拟为一种合作博弈。在调查研究方面,笔者以客运铁路这一典型的公用事业为暗含假设,分别通过调查问卷的形式调查了大学生、商务和民工三大主要客源对象。其中,大学生以辽宁大学法学院50名大三学生为对象,商务以沈阳市三家律师事务所的30名律师为对象,民工以大连华通·和平海岸工地的120名春节回家省亲的民工为对象。通过调查问卷及其分析,笔者得出了消费者对于公用事业价格听证参与的第一手资料。此外,价格听证作为公用事业价格决策的必经程序,消费者参与在实践中有较多的实例,笔者在论文中选取一些在某此方面具有代表情的侧面对消费者的参与进行了论证。更多还原

【Abstract】 Public utilities price hearing as an important component part of public utility prices control, to a considerable extent, has become public topic, but, theoretically, the study of consumer in public utility prices hearing is still unfledged. On the base of information access, use and protection, this dissertation deals with the consumer participation on the public utility prices hearing from these three aspects of information, capacity and institution.This dissertation argues that the participation of consumer’s interest groups in the price hearing has two main aspects of the role: Joining in the decision-making process of public utility prices by their own access and use of information as well as providing the information of value.For the basic framework of information, capacity and institution, the dissertation thinks that the decision-making process is essential a competing and selected process of interests. At the same time, the allocation of decision-making authority is essential the distribution "the right of speaking", which means the information and its application to a large extent. Therefore, the contents of the framework of information, capacity and institutional are: the institution design to make sure the game subjects have equal (but does not require the same) information; ensure the consumer interest group’s ability to utilize the information; achieving the game subjects’effective confrontation on the basis of the establishment of adequate information use.For access to information, the key of designing system to reduce the information asymmetry between consumers and manufacturers is: (1) regulatory bodies and manufacturers should provide adequate and effective information, in order to effectively reduce the information asymmetry (2) through the participation of experts providing professional knowledge to reduce the information asymmetry between the two.For the use of information, consumer interest groups tend to free riding and internal division determines the characteristics of the lack of consumer participation, therefore, a system must be designed to fulfill effective participation of consumer interest groups. Such a system design is focusing on the carrier function of consumer organizations to assure the voluntary nature, representatives and professionalism of the consumers’ represents. Because of the limited rational individual consumers, in practice, "consumer home" and credibility as its sole asset of consumer organizations have become the main carrier of the consumer prices of public utilities hearing, which main function is to select some representatives as from general consumer. Therefore, on the aspects of capacity, related main contents include: (1) the effective participation of consumer organizations; (2) selection of voluntary and certain professional consumer representatives, (3) the incentive and restraint on consumer representatives.For information protection, the right to speak is a power (influencing power). In the hearing of public utilities prices, the power of consumers embodies through the access and use of information. In order to ensure the participation of consumer utility’s influence, we can account on a kind of system. Synthesizing varied national practices, these systems involved general independent regulatory bodies, multi decision-making after hearing, exclusive file system and judicial review system.On this basis, consumer participation in Chinese utility prices hearing is reviewed, and three improving ways are proposed through the information, capacity and institution. Correspondingly, the main framework is: the first chapter focuses on the relationship between the price control, price hearing and consumer participation, the key point is to introduce the target of utility price control and prices hearing model, which are the basis of later chapter on the major factors influencing consumer participation in public utilities prices. Chapter two focuses on the framework of information, capacity and institution, which stated the obtaining and use of information, protection of the consumer participation. It leads to the core of later four chapters. From Chapter three to Chapter five, dissertation discusses three aspects of information acquisition, use and the protection which are necessary to the participation of consumers on public utility price hearing from information, capacity and institution respectively. Continuing these four chapters’contents, Chapter six discusses the improving way of Chinese public utility prices hearing from the three aspects of information, capacity and institution. Chapter seven summarizes the full text of the basic viewpoints, and put forward an outlook.In order to effectively demonstrate the above viewpoints, concerning the object, this dissertation applied the use of game theory, research, and investigation as well as case analysis. On the game theory, the thesis thinks that the process of public utility prices hearing can be modeled as a group from the interests of consumers and manufacturers in regulatory agencies under the rules established by the participation of non-cooperative game. Under certain circumstances, due to the participation of experts, every participants based on the experts to provide authoritative information conclude to a consensus can lead to the cooperative game. In the survey research, the author based on the typical public utility implicit assumptions of passenger transport railroad, researches three major customers group of university students, commercial purpose, and migrant workers in the form of the questionnaire. Among them, university students are Liaoning University Law School junior students, commercial purpose group contains 30 lawyers from 3 law firms in Shenyang City law, migrant workers group has 120 workers from Dalian·Peace Coast construction site who are going to be back their home in Spring Festival. Through questionnaires and its analysis, the authors come by the first-hand information about consumer participation in the public utility prices hearing. In addition, the public utility prices hearing as an indispensable part of the decision-making process, the participation of consumers in practice has some more examples, the author choose some representative aspects to demonstrate the consumer participation.更多还原