自然垄断产业规制改革研究及对中国实践的初步分析
发布时间：2018-09-01 13:38
【摘要】： 包括电信、电力、供水、交通在内的自然垄断产业一向是各国政府规制的主要内容。这是由自然垄断产业的经济技术特征——原来主要是规模经济而现在主要是范围经济——所决定的。传统规制理论认为只有对自然垄断产业实行进入、价格等方面的规制才能既保证自然垄断产业实现生产效率又保证消费者的福利最大化。但是在近年来的实践中，西方许多国家以及一些发展中国家却出现了放松规制的趋势。 这种世界范围内的自由化趋势一方面与日益加快的技术进步和不断的制度创新密不可分，，因为需求规模的扩大和技术进步大大削弱了自然垄断的程度。但这只是对自然垄断产业进行规制改革的外部推动力量。更重要原因是受规制的自然垄断企业并没有实现生产者和消费者福利最大化这个最终目标。从自然垄断企业和政府两个方面找原因，本文发现自然垄断企业中x-非效率的存在是导致整体生产效率低下的主要原因；而政府与企业之间的信息不对称、政府的官僚化和不完全承诺是造成政府规制失灵的主要原因。 相应地，对自然垄断产业规制的改革也应该从这两个方面着手：一方面，在自然垄断产业中引入竞争；另一方面，设计科学合理的规制方法来决定垄断定价。但是由于生产力发展的程度不允许，目前只能在自然垄断产业的部分环节如非自然垄断业务部门和弱自然垄断部门引入竞争。因此规制改革过程既是一个放松规制的过程同时也是一个重建规制的过程，要求把引入竞争与规制方法改革相结合，特别是在那些竞争与垄断相联系的环节。在设计科学规制方法时，要特别考虑到政府与企业之间信息不对称这个导致政府规制失灵因素，在企业可以获得的生产效率和信息租金之间进行权衡，针对生产成本不同的企业设计不同的合同菜单。 在我国，对自然垄断产业实行严格的规制不是出于保证实现其规模经济和范围经济的考虑，而是计划经济条件下的必然选择。目前，计划经济条件下沿袭下来的对所有的产业都实行严格规制的传统在很多竞争性行业已经被打破，国有企业改革卓有成效。但是，在自然垄断产业领域改革步伐还不大。而且在我国的自然垄断产业领域，存在的主要是行政垄断。所以我们在借鉴西方规制改革经验的同时，要尤其注重构建配套的规制制度，从规制机构、规制企业以及规制法律法规方面入手，用强约束力来保证规制合同的履行。因此，这对我国政府职能的转换来说也是一个挑战。
[Abstract]:Natural monopoly industries, including telecommunications, electricity, water supply and transportation, have always been the main contents of government regulation. This is determined by the economic and technological characteristics of natural monopoly industries-originally mainly economies of scale but now mainly economies of scope. The traditional regulation theory holds that only when the natural monopoly industry is entered and the price can be regulated, can the natural monopoly industry realize the production efficiency and the consumer welfare maximization. However, in recent years, many western countries and some developing countries have shown the trend of deregulation. On the one hand, the trend of liberalization in the world is closely related to the accelerating technological progress and continuous institutional innovation, because the expansion of demand scale and technological progress greatly weaken the degree of natural monopoly. However, this is only the external driving force of regulation reform of natural monopoly industry. The more important reason is that regulated natural monopolies do not realize the ultimate goal of maximizing the welfare of producers and consumers. From the two aspects of natural monopoly enterprises and government, this paper finds that the existence of x- non-efficiency in natural monopoly enterprises is the main reason leading to the inefficiency of the whole production, and the information asymmetry between the government and the enterprises. Government bureaucracy and incomplete commitment are the main causes of government regulation failure. Accordingly, the reform of regulation of natural monopoly industry should start from these two aspects: on the one hand, introducing competition into natural monopoly industry; on the other hand, designing scientific and reasonable regulation methods to determine monopoly pricing. However, due to the degree of productivity development, competition can only be introduced in some parts of the natural monopoly industry, such as the unnatural monopoly business and the weak natural monopoly. Therefore, the process of regulation reform is not only a process of deregulation but also a process of rebuilding regulation, which requires the combination of the introduction of competition and the reform of regulation methods, especially in those links where competition and monopoly are linked. When designing the scientific regulation method, we should consider the information asymmetry between the government and the enterprise, which leads to the failure of the government regulation, and weigh the production efficiency and the information rent that the enterprise can obtain. Design different contract menus for enterprises with different production costs. In our country, the strict regulation of natural monopoly industry is not to ensure the realization of its economies of scale and scope economy, but the inevitable choice under the planned economy. At present, the tradition of strict regulation of all industries inherited from planned economy has been broken in many competitive industries, and the reform of state-owned enterprises has been fruitful. However, the pace of reform in the field of natural monopoly industry is not big. Moreover, in the field of natural monopoly industry of our country, administrative monopoly mainly exists. Therefore, we should pay special attention to the construction of supporting regulation system while learning from the experience of western regulatory reform. We should start with regulatory institutions, regulatory enterprises and regulatory laws and regulations, and use strong binding force to ensure the implementation of regulatory contracts. Therefore, this is also a challenge to the transformation of government functions in our country.
【学位授予单位】：华中师范大学
【学位级别】：硕士
【学位授予年份】：2003
【分类号】：F062.9
本文编号：2217374
[Abstract]:Natural monopoly industries, including telecommunications, electricity, water supply and transportation, have always been the main contents of government regulation. This is determined by the economic and technological characteristics of natural monopoly industries-originally mainly economies of scale but now mainly economies of scope. The traditional regulation theory holds that only when the natural monopoly industry is entered and the price can be regulated, can the natural monopoly industry realize the production efficiency and the consumer welfare maximization. However, in recent years, many western countries and some developing countries have shown the trend of deregulation. On the one hand, the trend of liberalization in the world is closely related to the accelerating technological progress and continuous institutional innovation, because the expansion of demand scale and technological progress greatly weaken the degree of natural monopoly. However, this is only the external driving force of regulation reform of natural monopoly industry. The more important reason is that regulated natural monopolies do not realize the ultimate goal of maximizing the welfare of producers and consumers. From the two aspects of natural monopoly enterprises and government, this paper finds that the existence of x- non-efficiency in natural monopoly enterprises is the main reason leading to the inefficiency of the whole production, and the information asymmetry between the government and the enterprises. Government bureaucracy and incomplete commitment are the main causes of government regulation failure. Accordingly, the reform of regulation of natural monopoly industry should start from these two aspects: on the one hand, introducing competition into natural monopoly industry; on the other hand, designing scientific and reasonable regulation methods to determine monopoly pricing. However, due to the degree of productivity development, competition can only be introduced in some parts of the natural monopoly industry, such as the unnatural monopoly business and the weak natural monopoly. Therefore, the process of regulation reform is not only a process of deregulation but also a process of rebuilding regulation, which requires the combination of the introduction of competition and the reform of regulation methods, especially in those links where competition and monopoly are linked. When designing the scientific regulation method, we should consider the information asymmetry between the government and the enterprise, which leads to the failure of the government regulation, and weigh the production efficiency and the information rent that the enterprise can obtain. Design different contract menus for enterprises with different production costs. In our country, the strict regulation of natural monopoly industry is not to ensure the realization of its economies of scale and scope economy, but the inevitable choice under the planned economy. At present, the tradition of strict regulation of all industries inherited from planned economy has been broken in many competitive industries, and the reform of state-owned enterprises has been fruitful. However, the pace of reform in the field of natural monopoly industry is not big. Moreover, in the field of natural monopoly industry of our country, administrative monopoly mainly exists. Therefore, we should pay special attention to the construction of supporting regulation system while learning from the experience of western regulatory reform. We should start with regulatory institutions, regulatory enterprises and regulatory laws and regulations, and use strong binding force to ensure the implementation of regulatory contracts. Therefore, this is also a challenge to the transformation of government functions in our country.
【学位授予单位】：华中师范大学
【学位级别】：硕士
【学位授予年份】：2003
【分类号】：F062.9
【引证文献】
相关硕士学位论文 前2条
1 蔡皓;我国输配电成本监管研究[D];长沙理工大学;2010年
2 杨建荣;政府规制下公共基础设施产业的公司治理研究[D];华东师范大学;2005年
本文编号：2217374
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