【作者】 董艳华；

【导师】 荣朝和；

【作者基本信息】 北京交通大学 ， 产业经济学， 2006， 博士

【摘要】 铁路产业组织结构的变化是一个非常有趣的现象。发达资本主义国家最初修筑铁路的时候,一般都是由私人投资修建的,各段铁路的功能单一且不互相连通。后来由于铁路在战争中的重要作用,以及在国家政治、经济中的重要地位,20世纪20年代,曾经在世界范围内掀起过一场铁路国有化浪潮,并在这些资本主义国家长期保持着全部或绝大部分的国有铁路。这些国家渐渐将分割的铁路连接成网,且保持了上下一体的产业组织结构。而在那些曾经属于殖民地、半殖民地国家,由于民族资本不够发达,铁路的修建一般受到发达资本主义国家的干涉。因而路权也常常受这些资本主义国家的主导,或是被迫维持着被殖民国家政府所有,以实现资本主义国家控制路权的意志。当时唯一例外的是美国,在第一次世界大战后很快就恢复了铁路的私营。美国铁路几十年来建成了世界上最大的铁路网络,其铁路产业组织结构的变化呈现几个明显特征:一是大的铁路公司不断合并,扩大路网规模;二是大铁路公司与航空、海运等运输方式联合,组成一体化的“多式联运”公司;三是小铁路公司大量涌现;四是铁路的一些中间作业环节,如编组、装卸等业务独立出去成立专业公司。而在那些曾实行铁路国有化的国家,20世纪80年代却又掀起完全反方向的铁路民营化和私有化浪潮。并力图通过铁路产业的重组,恢复铁路的活力。于是随着各种重组方案的出台,涌现出许多类型的铁路企业,如只负责线路维护而不从事运输的路网公司、只从事运营服务而不拥有线路的客货运输企业以及其他专业性公司等。铁路改革和重组取得了一些成效,如欧盟以“网运分离”为特征的铁路改革,使德国、法国、瑞典等成员国铁路的运营效率提高;日本按区域分割方式组建的6家客运公司也有三家盈利并成功上市,政府补贴减少,生产率提高。但是也有许多失败的现象,如英国路网公司在私有化之后,接连发生交通事故,后来改制成为受政府担保限制的公司;我国在进行“网运分离”改革过程中尝试的客运公司模式,也在没实行多久之后,就被撤销。种种迹象表明,铁路行业的重组不能任意为之,必须遵循一定的规律。本论文的主要目的就在于揭示铁路产业组织结构变化的一般规律,探索铁路产业组织结构设计应遵循的原则。已有的对铁路产业组织结构变化现象进行解释的理论主要有规模经济和范围经济理论、市场势力理论、交易成本理论和完整运输产品理论,这些理论分别从某一方面解释了铁路产业组织结构的变化。本文从作业的层次分析铁路产业组织结构,建立新的产业组织结构分析框架,探讨铁路产业的特征对其产业组织结构的影响,将现有理论在新的分析框架下进一步阐释和发展,并通过各国网运分离的比较分析、我国铁路行包运输组织结构的变化以及我国铁路产业组织结构演变进程和方向几个案例对理论进行实证检验和应用。在理论部分,本文的主要观点和研究结论如下:1、建立新的产业组织结构分析框架。生产过程可以分解为多个相对独立的作业,在作业之间存在水平依赖和垂直依赖两种基本关系。水平依赖度和垂直依赖度分别表示这两种关系的程度,其中水平依赖度指作业之间资源依赖的相似程度,垂直依赖度指作业之间物质和信更多还原

【Abstract】 The transformation of railroad industry organization structure is a very interesting phenomenon. Although most railroads in developed nations were first built by private capital and thus formed many disconnected short lines, there was a trend to nationalize them in the 1920s due to railroads’important roles in war, politics and economy. Most nations except the United States, who returned its railroads to the private hands after the First World War, maintained the status que and integrated those short lines into a completed network. While in those colonial or half-colonial nations, railroads construction was interfered by those developed capitalism nations due to their under-developed national capital, and the property of their railroads were also controlled by them, or owned by the government.The railrods in the United Stated have grown into the largest railroads transport network in the world. Its organization structure show several distinctive characteristics: firstly, Class 1 railroads continually expanded their network through merging and acquisition among themselves; secondly, the bigger compnies combined with other transport modes, as aviation, ocean, etc., to form integrated“multimode transportation”company; thirdly, hundreds of short lines were set up providing local services for those class 1s; and fourth, some activities, such as transfer, load and unload in the transportation process, were outsourced by class 1s. At the meantime, privatization and reorganization reforms were carried out in those nations who once held and operated railroads by the government in the 1980s. Various reorganization plans came into forth and formed many man-made transport enterprises, some specialized in local transport services, some specialized in freight or passenger transportation, and some others focused their business on specific transport services, such as container transport, luggage transport, etc. Some reforms made success. For example, in the European Union characterized by“separating between transport services and infrastructure operation”, saw higher efficiency of railrods in Germany, France and Sweden; In Japan, who divided its national railraids into 6 local passenger companies, saw 3 of them made profits and came into the market. However, some other reforms failed. For instance, several traffic accidents occurred in Britain after Railtrack, the company operating the railroads network, was privatized, and it turned into a company limited by gurantee later; In our nation, to establish passenger transport companies had been regarded as the breakthrough of“separating between transport services and infrastructure operation”, but only proved to be unimplementable. All of these evidences show that the reorganization process cannot be arbitrary, and some rules must be followed. What are the rules behind railroads industry organization structure? What principles should be followed in railroad industry reorganization? They are the main questions we try to answer in this dissertation.更多还原