网络产业的结构、行为与绩效研究

【作者】 陶爱萍；

【导师】 钟祥财；

【作者基本信息】 上海社会科学院 ， 政治经济学， 2009， 博士

【摘要】 随着全球网络经济的迅猛发展,网络产业在社会经济中扮演越来越重要的角色。从20世纪90年代起,国内外掀起了对网络经济和网络产业理论研究的热潮,但相比于网络经济和网络产业的发展速度,理论研究是滞后的。网络产业兼容规模经济和竞争活力的市场结构使以“马歇尔冲突”为研究核心的传统产业组织理论面临严重挑战,网络产业不同于传统产业的运行环境、主导要素及经济规律呼唤产业组织理论的创新。在传统经济中孕育诞生的产业组织理论必须与时俱进,才能顺应网络经济和网络产业发展的需要。因此,把产业组织理论与现行的网络经济环境和网络产业特征结合起来进行研究以丰富和拓展产业组织理论和网络经济理论显得迫切而必要。本论文以《网络产业的结构、行为与绩效研究》为题,在扩展的SCP范式即SCP-R范式框架下,对网络产业的市场结构、企业行为、经济绩效以及政府对网络产业的规制进行了比较系统完整地研究。具体内容安排如下:第一章为理论基础和理论概述部分,首先对论文的理论基础即产业组织理论按照历史演进的顺序进行梳理,接着对网络经济和网络产业的有关理论进行概述,内容涉及网络经济的内涵、网络产业的界定、网络经济的特征以及网络产业的运行规律。第二章探讨网络产业垄断形成的机理,分析网络产业垄断的特征、竞争的特征以及垄断和竞争的关系,通过测算网络经济核心行业的集中度对网络产业的市场结构进行实证分析。第三章在指出传统均衡价格决定论和定价策略在网络产业失灵的基础上,探究网络产业的免费定价、渗透定价和歧视定价模式。第四章对网络产业中的竞争行为及策略选择进行研究,内容涉及争夺市场份额的竞争与主流化策略、用户基数的稳定与锁定策略、标准化与标准竞争策略以及差别化竞争与兼容策略。第五章在前三章对网络产业市场结构和企业行为研究的基础上,分析网络产业的经济效率,包括静态的资源配置效率和X效率、动态的技术创新和技术进步效率。第六章对网络产业中政府规制机制的构建、网络产业中可能存在的非效率问题及其规制措施选择以及政府规制的有效性等问题进行研究。本文的主要研究结论有:1.参照贝恩和植草益的市场结构类型划分法,对网络经济核心行业市场集中度的测算结果表明网络产业的市场结构在多数情况下是寡占型垄断结构。与传统经济中的自然垄断、行政垄断和外生型垄断的形成机制不同,网络产业的垄断表现为规模型垄断、技术型垄断和内生型垄断的形成机理。网络经济中的垄断具有客观性和必然性,传统经济中的垄断与竞争是非此即彼、相互排斥的关系,网络经济中的垄断与竞争是相容共生、相互强化的关系,垄断是绝对竞争中的一种暂时垄断。2.为招揽消费者“稀缺的注意力”,达到启动正反馈的临界容量,网络企业常采用免费定价和渗透定价策略;定价导向由卖方边际成本向买方支付成本的转移,使得根据消费者的不同支付意愿确定有差别价格的歧视定价成为网络企业中的一种普遍定价策略。3.网络企业不同于传统企业的竞争优势来源及决定竞争胜负的因素,使得网络企业采取有异于传统企业的竞争策略。如为扩大市场份额而采取的主流化策略;为稳定市场份额而运用的锁定策略;为争夺标准主导者地位而采取的标准竞争策略;为充分利用和发挥网络效应而运用的兼容策略。4.网络产业的寡占垄断市场结构是在动态竞争中形成的一种暂时垄断,网络垄断企业虽在一段时间一定程度上拥有市场势力,但由于垄断的暂时性和难以维持性,这种市场势力很难上升为垄断势力,网络垄断企业不可能像传统垄断企业那样操纵市场、滥用垄断行为,因而网络产业寡占垄断市场结构下的经济效率要优于传统垄断或寡头垄断市场结构。5.网络产业运行中可能产生的一些非效率问题使得政府规制仍有必要,但由于经济规律已经发生变化,依据传统产业的经济规律而制定的反垄断法和设计的政府规制机制不能完全适用于网络产业,政府规制的价值取向、目标、内容等要根据网络产业的特征进行适当调整。网络经济时代经济的全球化和网络产业中比完全竞争更能实现经济效率的动态竞争型寡占垄断市场结构,客观上要求政府规制改革的最终趋向是放松规制。更多还原

【Abstract】 With the rapid development of network economics in the world, network industries have gained an increasing importance in social economy. Ever since the 1990s, scholars at home and abroad have begun to show great interest in the theoretical studies of network economics and network industries, but theoretical studies tend to be far more than enough to be in line with the rapid development of the network economics and the network industry. The traditional theories of industrial organization, which focused on the“Marshall conflict”, are seriously challenged by the market structure of network industries that can hold economies of scale as well as competition vitality. And also network industries’operating environment, the leading factors and economic laws which are different from that of traditional industries, all call for the innovation of industry organization theories. Thus, the industrial organization theories, originated from the traditional economy, must advance with the times to meet the needs of the development of the network economy and the network industry. As a result, it is an urgent necessity to connect the theories of industrial organization with the current network economic environment and the characteristics of network industries, with a view to enriching and expanding the theories of industrial organization and network economic theories.Under the framework of expanded SCP paradigm, namely SCP-R paradigm. this dissertation, titled“Research on the Structure, Conduct and Performance of the Network Industry”, attempts to conduct a more systematic and complete study of the market structure, enterprise behaviors, economic performance of network industries and the government’s regulations on the network industry. The main contents are as follows:Chapter I outlines the theoretical foundations of this dissertation and summarizes other related theories. First of all, theories of industrial organization are presented in the order of historical evolution, and then some other theories related to the network economics and network industries are summarized, including the nature of network economics, the definition of the network industry, the characteristics of network economics as well as the operating laws of the network industry.Chapter II probes the formation mechanisms of the monopoly in network industries, analyses the characteristics of monopoly, the defining features of competition and the relation between monopoly and competition. An empirical analysis of the market structure of the network industry is conducted by measuring the concentration ratio of the core industries in network economics.Chapter III explores the free pricing, penetration pricing and discriminatory pricing model of network industries since the traditional equilibrium price determinism and pricing strategies cannot be applied in network industries.Chapter IV studies the competitive behaviors in the network industry and the selection of the corresponding strategies: the competition for market share vs. the mainstreaming strategy, the stability of user base vs. the lock-in strategy, standardization vs. the standard competitive strategy, differentiation competition vs. the compatibility strategy.Chapter V analyses the economic efficiency of network industries based on the first chapter’s research of the market structure and enterprise behaviors of network industries, including the static efficiency of resource allocation and X efficiency, dynamic technological innovation and technological progress efficiency.Chapter VI elaborates on the construction of government regulation mechanism in network industries, the possible non-efficiency problems, selection of the corresponding regulation measures and the effectiveness of government regulations.The main findings of this dissertation are as follows:1. According to the categorization of market structure made by Bain and Zhi Caoyi, the result of measuring concentration ratio of the core industries in network economics shows that the market structure of network industries is, in most cases, oligopoly-type structure. Different from the formation mechanism of the natural monopoly, administrative monopoly and exogenous monopoly in traditional economy, forms of monopoly in network industry are the scale monopoly, technology monopoly and endogenous monopoly. The monopoly of the network economy is objective and inevitable.The monopoly and competition of the network economy is compatible and symbiotic while the monopoly and competition repel each other in traditional economy, the monopoly is a temporary form of absolute competition.2. To attract consumers and get the critical capacity to start the positive feedback, network enterprises often adopt strategies of free pricing and penetration pricing; the pricing is directed by the transfer from the marginal cost of sellers to the payment cost of buyers, which made discrimination pricing the most common pricing strategy in network industries. discrimination price is determined in accordance with the different consumers’willingness to pay. 3. Different source of competitive advantage and different factors which decide the winning and defeat of competition made network companies take different competitive strategies from the traditional enterprises. For example, to take mainstreaming strategy to increase their market share; to stabilize market share by using lock-in strategies; to adopt standard competitive strategies to compete for leading status; to adopt compatible strategies to take full advantage of network effects.4. Network industries’oligopoly market structure is a temporary monopoly formed in the process of dynamic competition. Although network monopoly enterprises hold market force to a certain extent for a period of time, this market force cannot be developed into monopoly power easily because of the temporality and not maintainability of their monopoly. network monopoly enterprises can not manipulate the market and abuse monopolistic behaviors just as traditional monopoly companies did.. Thus, the economic efficiency of network industry oligopoly market structure is superior to that of the traditional monopolistic or oligopolistic market structure.5. It is still necessary of government regulation since the operation of network industries might have made a number of non-efficiency issues, but due to the change of economic laws, the anti-monopoly laws and the government regulations, which were based on traditional industries’economic laws are not fully applicable to network industries. Value orientation, objectives, content, etc. of government regulation should be adjusted properly in accordance with the characteristics of the network industry. The globalization of network economy and the dynamic oligopoly competitive market structure will inevitably lead to a more loose government’s regulation system.更多还原