【作者】 李南；

【导师】 李文兴；

【作者基本信息】 北京交通大学 ， 产业经济学， 2007， 博士

【摘要】 港口产业是国民经济的战略性基础产业和自然垄断产业改革的重要对象，研究港口民营化改革具有显著的理论价值和现实意义。20世纪70年代以后，世界范围内出现了经济自由化和民营化的浪潮，这种变革在运输业表现得尤为明显，港口改革的步伐也在加快，私人部门的参与程度不断加深。本文运用现代经济学理论对港口产业这个垄断与竞争并存、公共物品与私人物品特征兼具、公有产权与私有产权均有供给优势的特殊部门的民营化问题进行了系统研究。对港口产业经济特性的传统认识使之长期以政府规制和公共经营为主导发展特征，但这却导致港口服务低效率和高成本。港口产业自然垄断特征弱化等特殊经济属性的动态演变，是世界范围内港口民营化改革的主要依据。改革目标就是提高经营效率和活力，减轻财政负担，改善服务质量和提升综合竞争力。在自由主义经济思想重新占据主导地位的环境下，港口民营化已经成为国际趋势。在私人部门更多参与的过程中，企业激励机制能得到改善，效率也会相应提高。日渐扩大的港口服务需求和相对紧张的财政资金约束必然提出制度创新的要求。本文在考察港口体制历史变迁的基础上分析了港口民营化的理论基础和改革模式，然后从实证角度总结分析了不同类型国家港口民营化的经验。港口经济绩效的提高受产权、竞争和规制的影响，并内生于这些因素形成的相互制约和支持的网络之中，所以应把港口绩效问题放在多维空间进行考察。本文指出了上述三项关键因素对提高港口经济绩效的决定意义，建立了综合分析框架来研究解释因素间的关系与协调。为保障港口民营化改革的成功实施，基于对港口各业务环节不同经济特性的分类识别，本文提出了港口规制改革政策的基本模式，即在仍具有自然垄断特征的基础设施环节保持内生规制和引进接入定价规制，在竞争性环节放松或取消规制、实行竞争强化战略，在中间领域引入激励性规制。最后描述了转轨经济条件下中国港口民营化的特征与进展，提出了民营化改革的方向和途径，并研究了规制框架重构的具体政策。更多还原

【Abstract】 The port industry is the strategic infrastructure of national economy and the important part of the reform of natural monopoly industry. It’s necessary to study the privatization of port industry. After 1970’s, the tide of deregulation and privatization appeared worldwide, especially in the transport industry. As for port industry, the step of reform was rapid and private sector plays a more active role. This paper applied the theory of modern economics to examine the port industry which has special economic characters.The traditional views on port industry make it’s development was accompanied by public operation and strict regulation, but this model created many kinds of government failures which means the high costs and low efficiency of port services. The changes of it’s characters such as the weakness of the natural monopoly feature are the main causes of port privatization in the world. The objectives of reform are to improve the efficiency and service quality, loose the fiscal burden. Under the circumstances of liberalism occupied the key position again, port privatization became trend worldwide. The participation of private sector could greatly improve the incentive mechanism and efficiency of port enterprises. The rapid growth of port service demand and the fiscal pressure of government have to turn to institution innovations to find it’s way out. Based on the review of the changes of port system, this paper analyzed the theory foundation and reform models, and then studied international experiences. The performance of port industry is mainly determined by property rights, competition and regulation, and in the mean time these above factors have mutual effects. So this paper studied the problem of port performance under a multi-dimension framework and pointed out the relations and coordination among these factors. Based on the classification of the different part of port sector, this paper raised the basic model of regulation reform to support the implement of port privatization, which is maintain the implicit regulation and introduce access pricing regulation in the natural monopoly link, deregulation and enhance competition in the competitive link, and introduce incentive regulation in the intermediate area. Finally this paper described the development and features of the privatization of China’s port industry, pointed out the privatization direction and raised the regulation framework.更多还原