【作者】 王会宗；

【导师】 于良春；

【作者基本信息】 山东大学 ， 国民经济学， 2010， 博士

【摘要】 根据中国对世贸组织的承诺,我国铁路运输市场正逐步对外开放,经过改革后重获活力的国外铁路运输企业将与国内铁路运输企业展开激烈的竞争;与此同时,我国铁路运输业还要面临来自国内其它运输方式的严峻挑战。在这种情况之下,我国铁路运输业仍然依靠其行政垄断体制排斥和限制着行业内竞争,致使整个行业日益陷入困境。在上述背景之下,对我国铁路运输业行政垄断与引入竞争问题进行深入分析,既有助于推进铁路运输理论研究,又能为在铁路运输业内部贯彻实施《反垄断法》提供现实依据,具有重要的理论和现实意义。然而,通过对相关文献进行梳理,我们会发现,国内外学者虽然对行政垄断问题进行了许多非常有意义的研究,但其深度略显不足；国内外学者虽然对铁路运输业相关问题进行了许多极具价值的研究,但对该行业行政垄断问题的系统深入研究却较为少见。为了将现有研究进一步推向深入,本文对我国铁路运输业行政垄断与引入竞争问题进行了一些尝试性的分析,以期为我国铁路运输业进行旨在提高行业整体效率的行政垄断改革提供更充分的理论和实证依据。本文的研究主要分为以下几个部分：第一部分,包括第1章和第2章。首先,第1章介绍了论文的选题背景、研究意义、行政垄断与相关概念的界定与辨析、论文的研究内容和研究方法；然后,第2章通过对国内外行政垄断和铁路运输业相关研究文献的梳理,提出了对中国铁路运输业行政垄断问题进行深入研究的必要性。第二部分,包括第3章、第4章和第5章。首先,第3章对我国铁路运输业行政垄断的形成过程进行了回顾,并运用新制度经济学中的国家理论和路径依赖理论对铁路运输业行政垄断的成因进行了分析；然后,第4章以于良春等(2008)建立的行业性行政垄断测度指标体系为基础,对转轨期中国铁路运输业的行政垄断程度进行了测度；进而,第5章根据于良春等(2008)设计的行政垄断对资源配置效率影响分析的指标体系,对近年来我国铁路运输业在行政垄断之下的效率状况进行了指标体系评价,并运用数据包络分析方法(DEA)测算了我国铁路运输业的综合生产效率状况和生产效率损失。第三部分,包括第6章和第7章。首先,第6章基于对行业性行政垄断作用机制的推演分析了行政垄断导致铁路运输业效率低下的“双重路径”,并指出若要改善我国铁路运输业的效率状况,必须改革其行政垄断体制,引入竞争机制；然后,第7章在总结国外铁路运输业改革经验教训的基础上,对我国铁路运输业开展有效竞争的三大效应进行了分析,并提出了我国铁路运输业进行有效竞争的前提条件和政策建议。第四部分,是论文的第8章。这一章对全文内容进行了总结,指出了论文的不足之处和未来的研究方向。在对我国铁路运输业行政垄断及引入竞争问题进行分析的过程中,本文主要使用了以下几种研究方法：历史分析法、新制度经济学的分析方法、定量分析与定性分析相结合的方法、统计分析与计量分析相结合的方法、数理推导与实证相结合的分析方法、比较的方法。本文对我国铁路运输业行政垄断与引入竞争问题的分析对前人的相关研究可能会有所补充,其主要创新点可简要概括如下：第一,测度了转轨期我国铁路运输业的行政垄断程度,并对该行业在行政垄断下的效率状况进行了评估,从而为我国铁路运输业的行政垄断改革提供了一些实证依据。第二,归纳了行政垄断导致铁路运输业效率低下的“双重路径”,并对铁路运输业有效竞争的效应进行了分析,对我国铁路运输业引入竞争机制有一定的参考价值。第三,将国家理论用于阐释中国铁路运输业行政垄断的形成,分析了铁路运输业行政垄断实行与否给政府带来的收益和成本,对丰富行政垄断的成因解释有一定贡献。更多还原

【Abstract】 According to China’s WTO commitments, our railway transport market is gradually opening to the outside world. Foreign railway transport enterprises that regain vigor through reform will fiercely compete with domestic railway transport enterprises. At the same time, our railway transport industry must also face severe challenges from other domestic transportation means. In this situation, our railway transport industry still relies on the administrative monopoly system to exclude and limit the competition in the industry, which leads the industry into trouble day by day.Under this background, making a thorough analysis on the reform of our railway transport industry’s administrative monopoly and the problem of its bringing in competition will not only promote the study of railway transport theory, but also provide realistic basis for the anti-monopoly law’s implementing in railway transport industry, which is of great significance in theory and practice. However, through collecting and analyzing literatures available, it can be found that although domestic and foreign scholars have done much valuable and significant research on administrative monopoly and railway transport industry, in-depth studies in the field of administrative monopoly and railway transport industry’s administrative monopoly are fairly scarce.In order to promote the existing research, this thesis does some tentative analysis on the reform of our railway transport industry’s administrative monopoly and the problem of its bringing in competition, which tries to provides more effective theoretical and empirical proof for the efficiency improvement reform of our railway transport industry’s administrative monopoly. The study of this thesis includes the following parts:The first part includes chapter 1 and chapter2. Firstly, chapter 1 introduces the background of selecting the title, the significance of the study, the definition and identification of administrative monopoly and other related concepts, the contents and research methods of the thesis. Secondly, through collecting and analyzing existing lectures on administrative monopoly and railway transport industry, chapter2 proposes the necessity of making a deep study on Chinese railway transport industry’s administrative monopoly.The second part includes chapter3, chapter4 and chapter5. At the beginning, based on the important role of the railway transport industry in the development of our national economy, chapter3 employs the sate theory and path dependence theory in the new institutional economics to explain the formation and continuation of the railway transport industry’s administrative monopoly. Next, based on the measurement index system of the administrative monopoly put forward by Liangchun Yu and others (2008), chapter4 measures the degree of Chinese railway transport industry’s administrative monopoly in the transitional period. Finally, according to the index system of administrative monopoly’s influence on efficiency designed by Liangchun Yu and others (2008), chapter5 evaluates the efficiency of our railway transport industry under the administrative monopoly in recent years and estimates the overall production efficiency and efficiency loss of this industry using the method of data envelopment analysis.The third part includes chapter6 and chapter7. Firstly, basing on the deduction of industrial administrative monopoly’s mechanism, Chapter6 analyses the dual paths of administrative monopoly causing the railway transport industry’s inefficiency and points out reforming the system of our railway transport industry’s administrative monopoly and bringing in competition mechanism are necessary if we want to improve the industry’s efficiency. Secondly, on the basis of summarizing the experiences and lessons of foreign Railway Transport Industries’reforms, Chapter7 analyses the three effects of developing effective competition in our railway transport industry and puts forward prerequites and policy recommendations for the industry to bring in competition.The fourth part includes chapter8. This chapter concludes the whole thesis and points out the shortcomings of thesis and the prospects of its future research.In the course of the analysis, this thesis mainly uses the following several kinds of methods:history analysis, new institutional economics analysis, combining quantitative analysis with qualitative analysis, combining statistical analysis with econometric analysis, combining mathematical analysis with empirical analysis, comparative analysis.The analysis of this thesis may make some supplements to previous related researches and its main innovations can be briefly summarized as follows:First, it measures the degree of our railway transport industry’s administrative monopoly and assesses the state of the industry’s efficiency under administrative monopoly, which provides some empirical proof for the reform of the industry’s administrative monopoly.Second, it induces the dual paths of administrative monopoly causing the railway transport industry’s inefficiency and analyses the effects of the railway transport industry’s effective competition, which is of some reference value to our railway transport industry’s bringing in competition.Third, it employs the sate theory to illustrate the formation of the railway transport industry’s administrative monopoly and analyses the government’s benefit and cost of implementing administrative monopoly in this industry or not, which does some contribution to the explanation of the administrative monopoly’s formation.更多还原