中国民航运输业政府管制改革研究

【作者】 秦占欣；

【导师】 何炼成；

【作者基本信息】 西北大学 ， 政治经济学， 2004， 博士

【摘要】 垄断性行业的政府管制改革是目前世界各国政府共同面临的重大课题，更是中国政府今后一段时期内推进经济体制改革的重要任务。民航运输业作为传统的自然垄断性产业，其政府管制改革在各国的管制改革体系中都具有很强的代表性和典型性。近年来，网络型基础产业及其管制问题的研究成为产业经济学的一个重要前沿，这使得从网络经济角度对民航运输业政府管制问题的研究也成为一个新的课题。 本文以中国民航运输业的政府管制改革为研究对象，探究民航运输业政府管制改革的基本经济动因及中国民航运输业政府管制改革的特殊性，从产业组织的视角对中国民航运输业的政府管制改革进行实证分析，并提出了进一步深化政府管制改革的思路和具体措施。文章认为，中国民航运输业政府管制改革的内容是以放松经济性管制、加强安全监管和消费者权益保护等社会性管制为主线，并且在某些领域实施再管制(例如政府管制部门对计算机订座系统由某些航空公司垄断经营的情况进行限制和分拆，等)的复杂体系和过程。政府管制改革的基本原则是在市场机制可以发挥作用的领域放松管制，使企业按照市场经济的规则展开充分有效的竞争，而对市场机制难以发挥作用的领域继续实施管制，但应在管制方式上进行创新，引入激励性管制、协商性管制、自律性管制等措施。 全文内容主要包括四个方面：第一，从民航运输业所具有的网络经济性出发，结合其规模经济、范围经济等经济特性，说明它们对该产业自然垄断性和竞争性产业性质的影响和决定作用，并通过产业经济特性对市场供求结构变化的影响来揭示民航运输业产业性质的动态演变规律，从网络经济性进而产业性质的角度对政府管制改革进行了尝试性解释。第二，紧紧抓住当前中国经济的特殊性，探讨在转轨与发展双重背景下的政府管制改革问题，突破了西方政府管制理论以市场经济的存在为前提条件的研究思路，同时也克服了我国学者主要立足于转轨经济背景对政府管制问题进行研究的不足，提出转轨与发展双重任务下的政府管制改革理论，将民航运输业的政府管制改革作为产业发展的内生变量进行解释。第三，克服了传统政府管制概念的局限，将限制性管制与激励性管制逻辑一致地纳入新的定义之中，并强调了政府管制与产业组织之间的互动关系。从政府管制与产业组织之间互动的观点对中国民航运输业的政府管制改革进行了理论解释，为政府管制及其改革的研究提供了一个新的视角，即政府管制及其改革一方面会影响甚至决定产业组织状况；另一方面，政府管制体制和政策也要与产业组织状况保持西北大学博士学位论文协调和一致，随产业组织的变化而进行相应的改革和调整。第四，从法制建设、重构政企关系、放松经济性管制和管制创新、强化安全管制和消费者权益保护、建立产业援助制度、完善对外政策等六个方面，对中国民航运输业今后进一步深化政府管制改革、建立新型政府管制体制和政策框架提出了具体的措施建议。更多还原

【Abstract】 The government regulatory reform in monopoly industries has become an important issue throughout the world and an even more urgent task for Chinese government to push forward the economic structural reforms. The government regulatory reform of airline industry (AI) as a traditional natural monopoly industry is regarded as a typical case in many countries’ regulatory reform systems. In the past 10 years, research on the industries that have network effects and regulation of these industries are considered as forward position in Industrial Organization (IO) Theory. This also made the study on regulation of AI a newly challenge to be dealt with because the AI has remarkable economic features of network, scale and scope.This dissertation focuses on the regulatory reforms in China’s airline industry (CAI). It discloses the basic economic causes that push forward reforms of regulatory system in AI and further explains the specialties of China’s reform in this field. By empirical analysis from the angle of Industrial Organization Theory, this thesis points out that there are interactions between government regulatory reforms and organizational changes on the industry. Furthermore, it gives some suggestions such as thinking and measures to deepen the regulatory reforms in the future. The author thinks that the regulatory reforms hi China’s AI is a complicated system, whose mainline is to decline economic regulation while to strengthen the social one, in addition to taking reregulatory measures in other fields (for example, the government begins to restrict the airline in controlling the sale channels through computer system, etc). The rules of regulatory reforms in AI are as follows: to deregulate the fields where market competitive mechanism can work well and to regulate the fields where market mechanism cannot operate properly, meanwhile, to improve the traditional regulatory methods. In all, incentive and negotiated regulation as well as self-regulation are three good approaches to improve the efficiency of regulation.This dissertation consists of four aspects. Firstly, the author considered that the monopolistic or competitive nature of an industry was the basic cause that government reformed its regulatory system. From standard points, government should regulate a natural monopoly industry and deregulate a relatively competitive industry. It is well known that the nature of AI has been dynamically changed from natural monopoly to competition on market structure because of the following basic economical properties--economies of network, economies of scale and economies of scope, which affectdemand-supply structure and further determine the nature (monopoly or competition) of this industry. Thus the thesis explained why government regulatory reformsoccurred rationally.Secondly, this dissertation analyzed the regulatory reforms of China’s airline industry based on two facts: one is the transition from planning economy to market economy, the other is the economic development of our country. The author established a theoretical model of regulatory reforms in CAI on the base of the above two facts and took the regulatory system reforms as an endogenous variable in the industrial development equation.Thirdly, this thesis overcame the defects of traditional definition for Government Regulation, it brought the restrictive regulation and incentive regulation coordinately in the same conception and emphasized the interaction between regulatory reforms and industrial organizational evolution. In bilateral reaction perspectives, this dissertation theoretically and empirically explains the regulatory reforms of CAI. It means that government regulation systems and the industrial organizational positions ought to be coordinated to each other, which provide a new angle of view to study the government regulation and its reforms.Lastly, the dissertation gave some suggestions to deepen the reform of regulation and to form the framework of regulatory institutions as well as policies. Six measures are; mentioned as follow更多还原