【作者】 柳青；

【导师】 吴桐水；

【作者基本信息】 南京航空航天大学 ， 交通运输规划与管理， 2012， 博士

【摘要】 民航普遍服务（Universal Air Service）是实现民航大众化目标的重要基础，其核心内容是综合运用政策、机制以及制度安排解决偏远和欠发达地区民航服务缺失的问题。本论文分析了民航普遍服务的历史发展和最新研究成果；从基本概念和体系构成等方面深入阐述，为我国开展民航普遍服务提供理论依据。本论文分析和论述了民航普遍服务基本理论问题，重点研究了构成民航普遍服务体系的三个方面主要内容：服务范围、服务水平和服务机制，为研究出台我国民航普遍服务相应政策奠定基础。针对民航普遍服务基本理论问题，从普遍服务本质出发，通过对比不同产业普遍服务概念和国外民航普遍服务发展实践，采用比较、归纳和演绎的方法，系统提出了民航普遍服务概念的内涵和外延；阐述了民航普遍服务的基本特征和主要功能；在此基础上，分析服务范围、水平和机制三个构成民航普遍服务体系的核心问题；最后详细论述了民航普遍服务的理论基础。针对民航普遍服务范围问题，建立了服务范围机场选点和航线节点选择评价指标体系；使用变精度粗糙集综合评价方法，确定政府拟资助的普遍服务机场和航线节点排序；基于粗糙集评价排序的结论，利用设施布局优化理论，建立最大覆盖模型，设计拉格朗日算法求解模型，并以新疆地区为例进行算例分析。结论表明，提出将综合评价和布局优化结合的方法，能兼顾公平与效率的目标，统筹人口覆盖、资源分布和现实需求等因素，求得满足目标需求的优化方案。针对民航普遍服务水平问题，为解决航班频率、票价和座位数三个服务水平变量的整体优化，引入了单元体理论，根据问题特征，建立民航普遍服务水平单元体模型；设计了改进粒子群算法求解模型，并以新疆地区为例进行算例分析。结论表明，在政府价格和准入规制的前提下，以普遍服务运营收益最大为目标建立模型，能较好地兼顾市场需求、企业运营和政府监管的目标，得到满足实际需求的优化方案；同时，从设计算法的求解效率看，改进的粒子群算法用于求解此类NP复杂难问题较之标准粒子群算法，兼具运算效率和精度优势。民航普遍服务机制问题包括补偿机制和保障机制等方面。针对补偿机制问题，分析了民航普遍服务补偿的经济学原理，在对比不同产业普遍服务补偿经验基础上，提出了民航普遍服务补偿模式；采用基于委托代理理论的成本补偿分析模型，提出两种成本补偿标准计算方法；统筹考虑服务范围、服务水平、公平和效率等因素，建立了多目标补贴优化模型，最后以新疆地区为例进行算例分析。结论表明，提出以普遍服务基金为基础的成本补偿模型、补偿标准计算以及与多目标优化相结合的方法体系，能合理分配补贴资金，实现范围、水平和补贴资金的优化配置。针对保障机制问题，从法律、制度、组织、技术和人才五方面阐述，结合对我国民航普遍服务发展现状和存在问题的分析，提出相关政策建议。本文较系统地研究了民航普遍服务理论，弥补了国内该研究方向上的不足，从对新疆地区的实证研究可知，本文提出的民航普遍服务理论和方法体系有很强的实际应用价值，不但有利于拓展产业普遍服务理论，而且有助于我国民航普遍服务的实践应用，具有一定的社会效益。更多还原

【Abstract】 Universal Air Service are the most important step to popularize the air service, its core purpose is forthe government to synthetically employ the macro policy, mechanisms and institutional arrangements to solve theproblems of remote and underdeveloped areas which lacks of air services. In this dissertation, the historydevelopment and the latest research results of universal service are summarized in detail, and the conceptsand system composition of universal air service are detailed researched respectively. This provides atheoretical basis for CAAC (Civil Aviation Administration of China) carring out the universal service.This paper analyzes and discusses the basic theoretical issues of universal air service, focusingon three main aspects of universal air service system including the coverage of services, service levelsand service mechanism. The study of universal air service laid the foundation of CAAC’s policies.Aiming at the basic theory of the universal air service, the nature concept of universal service isexplored. By comparison, inductive and deductive methods for different industries and foreign universalservice development practice in civil aviation, the connotation and denotation of universal air service aredescribed, so as the basic characteristics and main functions. Next, further analyses are put on the coreissue of coverage, service levels and mechanism. Finally, detailed discussion is focused on the basis of thetheory of universal air service.Aiming at the coverage of universal air service, the evaluation index system of airport and airline routeselection is established. Variable Precision Rough Set (VPRS) comprehensive evaluation method is appliedto determine the priority and the qualifications of airports and routes that funded by government for universal airservice. On the basis of the results calculated by VPRS, the maximum coverage model andLagrange algorithm are designed under the facility layout optimization theory. The conclusion shows thatthe method of combining the comprehensive evaluation and optimization can balance fairness and efficiencyfairly well; taking the population coverage proportion, the distribution of resources and practical needs intoaccount, and the optimized scheme is accordance with the actual situation.Aiming at service level of universal air service, the cell theory (CT) is introduced to solve the overalloptimization problems of the service variables of frequency of flights, fares and seat numbers. Then, theuniversal air service model based on cell theory established with the improved particle swarm optimizations(PSO) are designed to solve the model, and the Xinjiang province is taken as an empirical case. Theconclusion shows, taking the maximum profit as the model goal can balance market demand, businessoperations and the target of government regulation under the premise of the government price andaccess regulation, and the optimization scheme meet the realistic situation well. Meanwhile, the improved PSO algorithms have more advantages on efficiency and accuracy in solving such NP complexand difficult problems than the standard PSO algorithm.The mechanisms of universal air service include compensation and guarantee problems. Aiming atcompensation mechanism, the economics principles of universal air service is analyzed. By comparingdevelopment experience of the different industries, the universal air service compensation model is proposed.Then, based on principal-agent theory, the analysis model of cost compensation and two methods ofcost compensation criteria are proposed. Finally, the multi-objective optimization subsidy model isestablished by taking the coverage of services, level of service, fairness, efficiency and other factors asconsideration. It can be seen from the empirical case of Xinjiang province, the proposed methods system bycombination of cost compensation model, calculation of the compensation criteria and multi-objectiveoptimization can reasonably allocate subsidy funds, optimal allocating the resources. Aiming at guaranteemechanism, five aspects of guarantee problems including laws, institutional arrangements, organization, technology andhuman resources are proposed. Finally, in order to compensate for the lack of practical experience, somepolicy recommendations are putting forward.In this paper, the theory of universal air service is comprehensively and systematically studied, compensatingfor the deficiencies of the research in the field. From the empirical case research of Xinjiang province, wecan conclude that the Civil Aviation theories and methods of the universal service proposed in this studyhave a strong practical value, which not only extends the theoretical study of industrial universal service,but significantly guides the Chinese universal air service practice.更多还原