中国“三网融合”中的政府规制作用研究

发布时间：2018-07-31 08:15

【摘要】：产业融合是新经济时代的重要特征，不同产业分散独立运营的模式已经不适应新经济的发展，而合作、联盟、并购逐渐成为产业经济发展的热点。从20世纪末开始，网络型产业融合成为世界传媒产业发展的趋势，各国都在经历着一场网络型产业规制上的变革。IT信息技术、通信技术、光线技术等飞速发展，使得电信网、有线电视网、互联网的运营与管理出现了技术、业务、管制等方方面面的融合，网络型产业之间普遍接入也不仅局限于电信领域，需要扩展到互联网与有线电视领域，即“三网融合”的普遍接入。作为实现“三网融合”的首要前提，“三网融合”普遍接入越来越多地引起学术界、企业界及政府的关注。国内的网络型产业融合是于近年才开始的，由于网络型产业在中国社会政治生活中的特殊作用，政府以往对网络型产业实施严格的进入管制和行为管制。但是，随着对外开放的进一步推进和网络型产业的逐步融合，政府的网络型产业管制政策也显现出某些不足和弊端，譬如对网络型产业的界定不明确、管制过于严格等，同时在学术界尽管对网络型产业规制的研究历来就有，但综合考虑到产业融合因素的研究分析并不多见，可以说这方面政府规制研究相对短缺。媒介产业的融合是全球传媒及网络界关注的焦点。在全球信息产业大融合的产业背景下，中国传统媒体和新媒体在内容、渠道和终端等环节加速融合。在内容及服务的生产领域，新旧媒体与网络型行业互为补充、相互借力，促进了新的生产方式和生产形式不断涌现，令人应接不暇。以全媒体生产为路径探索的中国媒介生产融合，其价值不仅是作为一种新的生产方式带来传播变革，更是为日显困顿的传统媒体带来了发展的契机，也为国家“三网融合”战略的实施注入新的活力。网络型产业的互联互通接入定价研究一直是网络产业的焦点领域，更是理论界和实务界广泛探讨的重要议题之一。20世纪80年代以来，发达国家在网络产业，特别是网络型产业相继放松价格规制、打破垄断、引入竞争，实施规制改革。由于各国历史、文化、法律制度等背景不同，规制改革的出发点也有所不同，但30年来世界各国网络型产业规制改革的基本目标却是一致：通过打破垄断、引人竞争，促进网络型产业的有效竞争。自从网络型产业引入竞争以来，网间互联互通成为网络型产监管的重中之重，而制定一个合理的网间接入定价是解决互联互通问题的关键。但是，由于网络型产网络结构的复杂性、业务种类的多样性，因此，很难确定一种各方都认同并且科学合理的定价方案。随着世界各国“三网融合”改革实践的不断深入，建立一种能同时最大化网络性企业营运的社会效益、企业效益和消费者效用的互联互通接入定价模式，这是实现网络型产市场有效竞争的关键。基于上述原因，本文尝试运用数理经济的分析方法研究互联互通中的接入定价对市场结构的影响，同时分析在特定的假设条件下，单向接入中的在位运营商和进入运营商在其各个业务领域的产品定价、接入定价的具体影响因素，从而为制定价格规制政策提供相应的理论及实践建议。基于我国网络型产业规制急需创新的现实问题，以及理论研究方面的不足，本文系统地从产业融合与我国网络型产业融合现状及趋势、国内外网络型产业规制的发展与比较、我国网络型产业政府规制的特点以及缺陷、我国网络型产业政府规制在产业融合背景下的调整和完善等方面进行研究。本文还对网络型产业规制的完善路径进行了分析，以探求科学、可行的规制措施。本文具体的结构安排如下：在分析制度经济学及规制经济学中对于政府规制概念、特征及发展的基础上，研究我国“三网融合”的技术基础及其发展历程、“三网融合”的内在动力及运作机制；利用数理经济分析法研究“三网融合”背景下，网络型产业互联互通中的接入定价对市场结构的影响；同时分析了特定的假设条件下，单向接入的在位运营商和进入运营商在其各个业务领域的市场结构变迁、产品定价、单向接入定价的具体影响因素，从而为制定价格规制政策提供理论和实践建议；接着，分析了我国“三网融合”背景下政府规制的实践及发展、现状及存在的问题；最后，在借鉴国外“三网融合”规制实践的基础上，提出中国应对“三网融合”的政府规制的应对措施。本文的研究结论表明，我国网络型产业规制对整个国民经济产业发展和经济体制改革影响重大。在产业融合发展到一定阶段的时候，政府规制并没有跟上产业融合的脚步，面临着两个方面的问题和挑战：一是尚未完成从行政管理到现代政府规制的转变；二是缺乏从产业分立规制到产业融合规制的转变。中国网络型产业规制具有社会、经济等多方面的效应，规制调整和完善应努力与科学发展经济、建设和谐社会、对外开放与民主法制进程等大局相适应，，稳步推进。同时产业融合对我国网络型产业规制也提出了新要求：坚持党管原则；坚持社会效益与经济效益相统一，社会效益优先的原则；坚持长期持续发展的原则；坚持分类管理，采取激励性规制措施的原则；坚持适应发展趋势，促进产业发展的原则；坚持针对性原则，为提高规制有效性提供前提条件。在这样的原则前提下，构筑完备的法律基础、建立独立的规制机构、培育利益独立的市场竞争主体是中国网络型产业规制改革的取向，而确定分类管理的理念、加强融合和竞争的关系等都是推动规制的有效动力。本文研究的主要特点及创新点在于：（一）分析视角的创新以前对政府规制的研究仅限于针对电信行业或针对有线电视行业进行独立的研究分析。本文首次建立一个跨行业研究的分析框架，构建了以产业组织理论、企业竞争战略、产业链经济学三种理论基础以及政府规制理论、有效竞争市场为主体的理论架构，系统地对电信业规制、互联网业规制、广电业规制的发展进行对比性研究，探寻在三网融合后政府如何进行规制，进而研究政府规制手段、规制效率等问题。从这一视角进行的研究具有创新性，填补了以往研究的盲点。（二）解决目前政府规制存在问题的前瞻性三网融合工作目前仍进展缓慢，针对目前三网融合中的政府规制存在的诸多问题，本文基于政府失灵理论、规制理论、俘获理论等，指出三网融合政府规制的重要性和必要性，以及政府规制的手段和内容，这些措施具有前瞻性。三网融合中政府规制的绩效将决定三网融合是否能顺利的开展。（三）提出了“三网融合”背景下的接入定价策略在充分考虑外部环境下的网络产业，通过在互联互通的分析引入了适合市场发展的接入定价研究，由此构建接入定价模型，由此可知：在基于互联互通条件下的电信业接入定价变化导致的产业配置中业务量的降低会直接对社会净福利造成不良影响，而接入定价的运营商规模是影响产业配置中业务量的决定因素。同时，因为规模的差异，会导致市场垄断指数出现不同方向的变化。所以，如果从降低市场垄断、提高社会福利角度来看，应该由大运营商承担提高的接入定价。（四）提出了政府规制下网络产业的单向接入定价策略在政府规制的背景下，当有规制激励存在时，在垄断产业领域中单向接入直接影响产品的定价。影响因素主要包括公共资金的影子成本、产品的需求弹性以及政府边际转移支付。在运营商竞争业务领域中，对产品定价造成影响的因素主要有：产品需求弹性、边际转移支付、边际服务、产品与替代产品的交叉弹性、市场中产品销售份额。因此在制定被规制运营商的政府转移支付制度时，应该充分考虑运营商成本和转移支付对垄断势力的影响，这样才能使产品定价与规制目标相符。否则，垄断企业最终产品就会只考虑企业自身的利润，而不顾社会福利函数的最大化问题。（五）提出了单向接入条件下激励机制结合我国电信业规制的实际特殊背景，分析了单向接入情况下的规制收买和激励机制对运营商、接入定价以及产品定价的影响。最后得知效率较高的企业往往并不存在规制收买动机；当有这种动机时，规制机构的真实性较高，进入运营商的产品定价随之升高，而且得出了能否发生规制收买的概率值；规制收买不会对产品定价和接入定价造成直接影响，但会通过产品需求和价格对其造成间接的影响。本文的研究接触国际最新研究前沿，丰富和完善了“三网融合”背景下政府对于网络型企业规制的理论及实践方法，为中国政府管制政策提供了决策依据，具有十分重要的理论意义和广阔的应用前景。
[Abstract]:Industrial integration is an important feature of the new economic era. The mode of independent operation of different industries has not adapted to the development of the new economy, and cooperation, alliance, merger and acquisition have gradually become the hot spot of the development of industrial economy. From the end of the twentieth Century, the integration of network industry has become the trend of the development of the world media industry. All countries are experiencing a network. .IT information technology, communication technology, light technology and so on are developing rapidly. The operation and management of telecommunication network, cable TV network and Internet have come up with the integration of technology, business and control. The universal access between network industries is not only limited to the telecommunication field, but also needs to be extended to the Internet and cable electricity. As the first premise to realize the integration of the three networks, the universal access of "three networks integration" has attracted more and more attention from the academia, the business community and the government. The domestic network industry integration has only begun in recent years, because the network industry is special in the social and political life of China. However, with the further promotion of the opening to the outside world and the gradual integration of the network industry, the government's network industry control policy also shows some shortcomings and disadvantages, such as the definition of the network industry and the strict control, etc. Although the research on the regulation of network industry has always been in the academic circle, the research and analysis of the factors which consider the factors of industrial integration are not common, which can be said that the research of government regulation is relatively short.
The integration of media industry is the focus of global media and network. Under the background of global information industry, Chinese traditional media and new media have accelerated the integration of content, channels and terminals. In the field of content and service production, the new and old media and the network industry complement each other and promote a new life. The mode of production and the form of production are constantly emerging. The integration of Chinese media production with the path of full media production is not only a new mode of production, but also an opportunity for the development of the traditional media, as well as the implementation of the "three network integration" strategy. Energy.
The research on interconnection and interoperability pricing of network industry has always been the focus area of the network industry. It is one of the important issues which are widely discussed in the theoretical and practical circles. Since the 80s of.20 century, the developed countries have relaxed the price regulation in the network industry, especially the network industry, breaking the monopoly, introducing the competition and implementing the regulation reform. The background of history, culture and legal system of various countries is different, and the starting point of regulation reform is different. However, in the past 30 years, the basic goals of the network industry regulation reform in the world are the same: by breaking the monopoly and attracting the competition, promoting the effective competition of the network industry. Since the network industry introduced the competition, the Internet interconnected and interconnected. It is the most important of network production supervision, and making a reasonable Internet access pricing is the key to solve the interconnection and interoperability problem. However, because of the complexity of the network structure and the diversity of business types, it is difficult to determine a pricing scheme which is identified by all parties and scientific and reasonable. With the "three networks integration" in the world. "The continuous deepening of the reform practice, the establishment of an interconnected and interconnected pricing model which can maximize the social benefits of the network enterprise operation, the benefit of the enterprise and the utility of the consumer, is the key to the effective competition of the network production market. Based on the above reasons, this paper tries to use the analytical method of mathematical economics to study the interconnection and interoperability. The effect of access pricing on the market structure is analyzed. At the same time, it analyzes the pricing of the products and the specific factors of access pricing in the various business areas under the specific assumption, and provides the theoretical and practical suggestions for the formulation of the price regulation policy.
Based on the practical problems that the network industry regulation is in urgent need of innovation and the lack of theoretical research, this paper systematically analyzes the current situation and trend of the integration of industrial integration and China's network industry, the development and comparison of domestic and foreign network industry regulation, the characteristics and defects of the government regulation of China's network industry, and the network type industry administration in China. The government regulation is studied in the aspects of adjustment and perfection under the background of industrial integration. This paper also analyzes the improvement path of the network industry regulation, in order to explore the scientific and feasible regulation measures.
The concrete structure of this paper is as follows: on the basis of the analysis of the concept, characteristics and development of government regulation in institutional economics and regulation economics, the technical basis and development course of the "three networks integration" in China are studied, the internal motive force and operation mechanism of "three networks integration", and the use of mathematical economic analysis to study the integration of the three networks. Under the background, the effects of access pricing on the market structure in the Internet industry interconnection and interoperability; at the same time, it analyzes the market structure changes of the unidirectional access operators and the entry operators in their various business areas, the pricing of products, and the specific factors of the unidirectional access pricing under specific assumptions, so as to formulate price regulation. The policy provides theoretical and practical suggestions. Then, it analyzes the practice and development of government regulation under the background of "three networks integration" in China, and the current situation and existing problems. Finally, on the basis of reference to the practice of "three networks integration" in foreign countries, it puts forward the Countermeasures to deal with the government regulation of China's "three nets convergence".
The conclusion of this paper shows that the regulation of network industry in China has a great influence on the industrial development and economic system reform of the whole national economy. When the industrial integration is developing to a certain stage, the government regulation does not keep pace with the pace of industrial integration, and faces two problems and challenges: first, it has not completed the administrative management to the present. The transformation of government regulation and regulation; two is the lack of transformation from industrial separation regulation to industrial integration. China's network industry regulation has many aspects such as social and economic effects. Regulation adjustment and improvement should work hard with the scientific development of economy, build a harmonious society, open to the outside world and the process of democracy and legal system. The industrial integration has also put forward new requirements for China's network industry regulation: adhere to the principle of party management, adhere to the principle of unity of social and economic benefits, and give priority to social benefits; adhere to the principle of long-term sustainable development; adhere to the original rules of classified management and adopt incentive regulation measures; adhere to the trend of development and promote industrial development. On the premise of such principles, building a complete legal basis, establishing independent regulatory institutions and cultivating independent market competition subject are the direction of China's network industry regulation reform, and the concept of classified management is determined, and the integration and competition are strengthened. The relationship between disputes and so on is the effective motive force to promote the regulation.
The main features and innovation points of this study are as follows:
(1) innovation of analysis angle of view
The previous research on government regulation is limited to the research and analysis of the telecommunication industry or the cable television industry. This paper first establishes an analysis framework for cross industry research, and constructs three theoretical bases, which are industrial organization theory, enterprise competition strategy, industrial chain economics, and government regulation theory, and effective competitive market The theoretical framework of the subject makes a comparative study on the regulation of telecommunication industry, the Internet industry regulation and the regulation of radio and television industry. It explores how the government regulates the government after the integration of the three networks, and then studies the government regulation means and the efficiency of regulation. The research from this perspective is innovative and fills the blind spot of the previous research.
(two) to solve the problems existing in the current government regulation.
The integration of three networks is still slow. In view of the many problems existing in the government regulation in the current three networks integration, this paper is based on the theory of government failure, the theory of regulation, the theory of capture and so on, and points out the importance and necessity of the government regulation of the integration of the three networks, as well as the hand and content of the government regulation. These measures are forward-looking. The performance of government regulation will decide whether the integration of three networks can be carried out smoothly.
(three) put forward the access pricing strategy under the background of "three networks convergence".
Considering the network industry under the external environment, the access pricing research which is suitable for the market development is introduced through the analysis of interconnection and interoperability. Therefore, the access pricing model is constructed. It is clear that the reduction of business volume in the industry allocation caused by the change of telecom industry access pricing under interconnection and interoperability will directly affect the net benefit of the society. The size of the operator is the decisive factor affecting the business volume in the industrial allocation. At the same time, because of the difference in scale, the market monopoly index will change in different directions. Therefore, if the market monopoly is reduced and the social welfare angle is raised, the big operators should take on the improved access set. Price.
(four) put forward a one-way access pricing strategy under the government regulation.
Under the background of government regulation, when there is regulatory incentive, unidirectional access directly affects the pricing of products in the field of monopoly industry. The main factors are the shadow cost of public funds, the elasticity of product demand and the marginal transfer payment of the government. In the field of business competition, the factors that affect the product pricing are the main factors. The product demand elasticity, the marginal transfer payment, the marginal service, the cross elasticity of the product and the substitute product, the market share of the product in the market. Therefore, when the government transfer payment system of the regulated operators is formulated, the cost of the operators and the influence of the transfer payment on the monopolistic forces should be fully considered so as to make the product pricing and regulation. Otherwise, the final product of monopoly enterprise will only consider the profit of the enterprise itself, regardless of the maximization of social welfare function.
(five) the incentive mechanism under unidirectional access condition is put forward
According to the actual special background of China's telecommunications industry regulation, the influence of regulation buying and incentive mechanism on operators, access pricing and product pricing under unidirectional access is analyzed. At last, it is found that the enterprises with high efficiency often do not have the incentive to regulate buying. When there are such machines, the truthfulness of the regulatory institutions is high, and it enters the operation. The price of the product is increased, and the probability of regulation is obtained. Regulation buying will not have a direct impact on the pricing of products and access pricing, but it will have an indirect effect on the product demand and price.
The research of this paper is in contact with the latest international research frontier, enriches and perfects the theory and practice of government regulation on network enterprise under the background of "three networks integration", which provides a decision basis for Chinese government regulation policy. It has very important theoretical significance and broad application prospects.
【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：D630;F49;F626;G229.2

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