中国产业组织合理化问题研究

【作者】 徐田华；

【导师】 谢鲁江；

【作者基本信息】 中共中央党校 ， 政治经济学， 2014， 博士

【副题名】以制造业为例

【摘要】 我国历来重视产业结构调整，忽略产业组织调整。从20世纪80年代末开始，我国实施产业政策已经有20多年，制定出台了一系列的产业政策，但是绝大多数都是产业结构政策，产业组织政策非常少，而且为数不多的产业组织政策都是围绕形成合理的市场结构展开的。这与我国产业组织合理化理论研究上的混乱不无关系。产业组织是产业结构的基础，产业组织合理化有助于理顺产业内企业间的关系，为产业结构调整打下良好的基础，从而推动产业结构的优化升级，改善当前产业结构矛盾。因此，产业政策要重视产业组织合理化，如果忽视产业组织调整而过于重视产业结构调整，就有点舍本逐末了。制造业以其对国民经济的重要影响而一直备受产业政策重视，所以本文选择制造业的产业组织合理化作为研究对象。第一章首先提出选择制造业产业组织合理化作为研究对象的原因。制造业在我国国民经济中具有重要地位，但是制造业繁荣的表象下问题重重，我国对制造业的研究忽视了产业组织的重要性，产业组织合理化对制造业发展乃至国民经济发展具有重要意义。第二章是基本理论与文献综述。西方产业组织理论是我国产业组织合理化研究的基础和源头，本章首先回顾了西方产业组织理论发展的历史。虽然西方产业组织理论中缺乏对产业组织合理化这一问题的研究，但是对产业组织理论的研究推动了自由竞争和产业政策两种产业合理化思想的形成。接下来，本章梳理了中国对产业组织合理化的研究，并对中国产业组织合理化研究做了简评。第三章是中国制造业产业组织合理化的实践。首先梳理了中国产业组织演进的历史，然后介绍了中国产业组织合理化演进过程中伴随的产业政策干预，并指出我国产业政策干预没有取得预期效果，正是因为对产业组织政策的忽视和以往产业组织政策目标不合理。因此，产业政策要重视产业组织合理化。第四章是产业组织合理化的内涵。通常概念界定不清晰是研究无法深入的主要原因，因此本章首先定义了产业组织合理化，然后提出了当前产业组织合理化评价标准的困惑，分析阐述之后，提出多维度的产业组织合理化的评价标准及产业组织合理化的目标。第五章构建了合理的产业组织评价指标体系。根据第四章提出的多维度评价标准，本章提出合理的产业组织评价指标选取的原则，并构建了包括集中度、总资产贡献率和显示性指数在内的评价指标体系。第六章对中国制造业产业组织合理化进行了实证研究。分别对中国制造业30个大类的市场集中度、总资产贡献率和显示性指数及其变化规律进行了测算，发现中国制造业产业组织合理化程度不高，有些行业趋向产业组织合理化，但是有些行业背离产业组织合理化。第七章对中国制造业产业组织不合理的状况进行原因分析。中国制造业产业组织合理化深受中国特色的所有制结构、地方政府以及产业政策的影响，当前中国产业组织不合理的实质是竞争不足。第八章针对中国制造业产业组织竞争不足的现状，提出了对策建议。既要深化改革，发挥市场的决定性作用；又要提高产业组织政策的地位，充分发挥产业组织政策的作用促进产业组织合理化，并提出了产业组织政策的目标体系。本文通过规范分析方法构建了中国产业组织合理化的研究框架，并通过实证分析方法对中国制造业30个行业的产业组织合理化状况进行了测算和分析，发现当前中国的产业组织合理化程度不高，有些行业趋向于产业组织合理化，有些行业背离产业组织合理化，并在分析原因的基础上提出对策建议。本文主要的研究成果为：一是提出产业政策要重视产业组织合理化的观点。我国产业结构调整多年，效果并不理想，其中很重要的原因是片面强调产业结构调整而忽视产业组织调整。解决产业结构矛盾需要重视产业组织政策，促进产业组织合理化。二是界定了产业组织合理化的概念，并构建了产业组织合理化多维度的评价标准和评价指标体系。针对有效竞争、“结构主义”学派、“效率主义”学派等都未能有效衡量产业组织合理化的问题，本文结合经济全球化条件下产业组织理论的新发展，提出以市场结构、经济绩效以及产业国际竞争力三个维度作为产业组织合理化的评价标准，以市场集中度、总资产贡献率和显示性指数作为评价指标的综合评价体系。三是按照本文的分析框架对中国制造业产业组织合理化状况进行测算和分析。对中国制造业30个大类的市场集中度、总资产贡献率和显示性指数进行了考察，得出中国产业组织合理化程度整体不高，除烟草制品业以外，其他绝大部分行业都集中在产业组织合理化程度较低的水平。分析具体行业的变化趋势发现，只有5个行业趋向产业组织合理化，其他25个行业都背离产业组织合理化，尤其是黑色金属冶炼及压延加工业。作为进入“中国企业500强”中企业最多的行业，不仅在国际竞争中处于劣势，而且集中度和总资产利润率呈现双下降趋势，表现出令人担忧的演变趋势。四是提出产业组织政策的目标体系。从市场结构、经济绩效和产业国际竞争力三个维度，提出包括鼓励形成“寡头主导，大中小企业共生”的竞争合作关系；提高产业的经济绩效，尤其是国有及国有控股行业的经济绩效；培育不同层次的竞争优势，提高产业国际竞争力三方面在内的产业组织政策目标体系。更多还原

【Abstract】 Our country has since the very beginning emphsized the importance ofrestructing industries but ignored the adaptation of industrial organiztions. Since theend of1980s, we have adopted industrial policies for more than20years andimplemented a series of industrial policy documents. However, there were relativelyfew policies about industrial organization policies, which are mostly about formationof proper market structure. Industrial organizations are the foundation of industrialstructure, and proper arrangement of industrial organizations is beneficial tooptimations of relations in internal structure, paving the foundation for adaptation ofindustrial structure, accelerating the progress of upgrading industrial structure, andhaving partly resolved the conflicts of industrial structure. Therefore, industrialpolicies must accommodate the proper industrial organizaions. If we ignore theadoptation of industrial organizations and unduly emphazise the importance ofrescructuring industries, we may make the mistake of pursuing the trivivals andigoring the core materials. Manufacures, due to its contribution to whole economy,attracted most attention of industrial policies, and proper arrangement of industrialorganizatons constitutes the core of this paper.The first chapter proposes the reasons of focusing on better arrangement ofindustrical organizaions in manufacture sector. Manufacture plays the key role inwhole economy. Under the surface of manufacture prosperity lays multiple problems.Scholars ignored industrial organizations and its importance to whole economicdevelopment.The second chapter is about basic theories and bibliographies. Westernindustrial organization theories are the basis and source of research about industrialorganiztions in China. This chapter, firstly, describes the history of Westernindustrial organizations. Although there is no direct reseach on proper arrangementof industrial organizations in Western industrial organization theories, reseach onindustrial organization helped shape the ideas of free competition and industrialpolicies. Later on, this paper describs the research history of China’s industrialorganization rationalization and make brief comments on this research. The third chapter focuses on the temporal progresses of industrial policies andrationalization of industrial organizations in China. Firstly deliniating the history ofChina industrial organization, and then introdusing the history of China industrialorganization accompanied by intervention of industrial polies, this chapter points outthe reason why our industrial policies did not reach their goals is the lack ofindustrial organization policies or improper objectives of industrial organizationpolicies. Therefore, industrial policies should pay more attention on rationalizationof industrial organization.The fourth chapter is about meaning and scope of rationalization of industrialorganizations. Generally speaking, vague definition is the main obstacle to deep andthorough research. It then mentions theThe fifth chapter builds a critarion for proper industrial organizations. Basingon multi-dimentional criratia put forward in the previous chapter, this chapterproposes the appropriate principles of selecting a set of critaria for industrialorganizations, and builds a critaria including concentration, contribution rate ofaggregate asset and appearance index.The sixth chaper does the positive research on rationalization of industrialorganizations in China’s manufacture sector, and calculates respectively marketconcentration, aggregate asset contribution rate, appearance rate and its changes in30manufacture departments. This chapter finds inadequate rationalization ofindustrial organizations in China’s manufature. Some sectors may be approching therationalization of industrial organizations, but others are drifting away from therationalization.The seventh chapter explores the reasons for inadequate rationalization ofindustrial organizations in China’s manufature, which are property system withChina’s charateristics, local governments and industrial policies. The fundamentalreason is inadequate competition.The eighth chapter puts forward some policies targetted at inadequatecompetition in China’s manufature industrial organizations. We should not onlydeepen reforms and let the market play the key role, but also improve the status ofindustrial organization policies and let industrial organizaion policies play theirparts. Through normative analysis, this paper builds a research structure about therationalization of China’s industrial organizations. Through positive analysis, thispaper calculates the rationalization of industrial organizations in30China’smanufacture sectors. It finds inadequate industrial organizations rationalization atpresent China. Some sectors are approaching rationalization, but others are drifingaway from rationalization. The main results of this paper are as following:The first viewpoint is that industrial policy should pay attention to therationalization of industrial organization perspective. China’s industrial restructuringfor many years, results have been poor. The important reason is that one-sidedemphasis on industrial restructuring and ignored adjustment of industrialorganization. Resolve conflicts need to focus on the industrial structure of industrialorganization policies and promote the rationalization of industrial organization.The second is that it defines the concept of industrial organizationrationalization and builds a comprehensive criteria applied to industrial organizationrationalization. In cope with efficient competition, structuralism and efficientism,China’s criteria concerning industrial organization rationalization do not properlyaddress the issue at its core. This paper, basing on the new development in industrialorganization rationalization under the circumstance of economic globalization,proposes a set of criteria apprising industrial organization rationalization intri-dimentional of market stucture, economic efficiency, and industrialcompetitiveness globally. It also proposes a comprehensive star criteria according tomarket concentration, aggregate asset contribution and appearance index.The third result is the calculation and analysis on China’s manufactureindustrial organization according to this paper’s analysis structure. After studing onmarket concentration, aggregate asset contribution, and appearance index of China’s30manufacture sectors, this paper concludes that China’s industrial organizationrationalization is inadequate, except the tobacco sector. After analying specificsectors, this paper finds that only five sectors are approaching rationalization and25sectors are drifting away form rationalization. This problem is especially severe inblack metal smelting and planting sectors, though many “China enterprise500” areconcentrating on these sectors. They are demonstrating a dissappointted trend indecreasing concentration and net profit rate when faced with disadvantageous international competition.The last one is is that it proposes a system of industrial organization policyobjectives. It rises from three dimensions which are the market structure, economicperformance and international competitiveness. The industrial organization policyobjective system include encouraging the formation of "Oligopoly, medium andsmall enterprises symbiotic" relationship between competition and cooperation,improving economic performance industry, especially state-owned andstate-controlled industries, cultivating different levels of competitive advantage andimprove the international competitiveness of the industry.更多还原