【作者】 曾进；

【导师】 唐守廉；

【作者基本信息】 北京邮电大学 ， 管理科学与工程， 2007， 博士

【摘要】 我国政府于2005年10月开始对电信企业的部分电信资费实行上限规制，目的是限制电信企业获取高额垄断利润，放松规制以促进企业由垄断经营向市场化竞争阶段过渡，保护并提高消费者的福利。但目前理论上缺乏支撑，政府没有具体的实际操作。因此，当国外流行的价格上限规制结合我国国情后，如何建立我国电信资费的上限规制公式以及怎样计算价格上限指数?政府具体实施价格规制的方法是什么?这就是本文需要研究解决的问题。本文共分为八章。其中第一章为绪论，第二章为价格上限规制理论和实践方法综述，第三章为国外电信资费制度的变迁分析，第四章、第五章、第六章及第七章为论文的核心内容，其中第四章是对我国电信业的规制制度变迁进行分析，第五章为我国电信资费的上限规制的模型建立，第六章对我国电信业的价格上限指数的计算，第七章为对我国的电信资费设计实施的规制制度，第八章是对本论文的总结。具体内容是：第一章：绪论。综合分析了介绍我国电信资费的发展现状，阐述了本文的研究内容和研究意义，概括了本文的研究方法和结构安排。，第二章：价格上限规制理论与实践综述。总结价格上限规制的概念、计算公式、理论计算方法和应用实践情况。第三章：国外电信资费的规制制度变迁分析。描述了国外发达国家执行价格上限规制的过程与方法，对国外执行价格上限规制的实施效果进行分析，提出各国实施上限规制普遍存在的具体困难和需要解决的问题，总结价格上限规制的经验和发展趋势。第四章：我国电信业的规制制度变迁分析。对我国电信业的市场结构性质进行赫芬达尔指数分析，并对市场效益情况进行阐释，得到对我国电信业市场情况的总体判断。对我国电信业规制制度的变迁进行计量经济学分析，证明我国资费规制的变迁对电信业的发展产生非常显著的影响。详细阐述我国电信资费规制发展的四个阶段，分析电信资费规制发展历程中的政府、电信企业和消费者的利益变迁，得到我国电信资费规制制度变迁符合帕累托改进原则的结论。第五章：我国电信资费的上限规制模型构建。首先建立适合我国国情的电信资费的变化率上限的计算模型，然后建立上限规制的激励因素一生产效率因素X值的计算公式和价格上限规制公式，并对该模型对我国电信资费规制产生的影响进行经济分析。第六章：计算我国电信业的生产效率因素和价格上限指数。对我国电信业的1990～2005年全要素生产率增长率进行测算，并与资本存量、产出增长率、全要素生产增长对产出增长的贡献率等多项指标相结合对我国电信业的发展历程进行经济学分析，得出一些有现实意义的结论。对价格上限规制公式的生产效率因素X值进行计算，并与国外的情况进行比较分析，判断我国电信业的X值水平。对价格上限指数进行计算，并与国外通用的公式相比进行了偏差分析，结果表明我国电信资费规制模型提高了我国电信资费规制的准确性和合理性。第七章：我国电信资费的上限规制实施。对目前受规制的电信资费指数和未受规制的电信资费指数进行计算并分析，得到我国各项电信资费的变化趋势判断。对我国电信资费的上限规制制度进行详细设计，这其中包括：确定规制过程与制定规制期限，设计价格上限规制核定企业电信资费的规制方法，这些方法是：生产效率因素X的确定、单项业务资费的核定计算方法和规制措施、受规制的业务整体执行价格上限规制的核定方法、对受规制企业的违规行为的控制方法、对受规制企业基于不同电信服务质量进行拉姆士定价时的规制方法设计和规制中的约束规定。最后，对规制设计目标进行总结。第八章：结束语。是对全文的概括性总结，包括研究成果、创新点及研究未尽之处。创新点主要表现在五个方面：第一，建立了我国电信资费的上限规制模型；第二，建立X值的计算模型并计算出了在非普遍服务条件下的我国电信业的生产效率因素X值；第三，计算出了我国电信业的价格上限指数和各种电信语音业务的实际价格指数；第四，建立了基于质量差异的拉姆士定价模型，完善了包含质量因素的价格上限规制设计，第五，设计了适合我国国情的价格上限核算方法和规制企业的实施方法。研究未尽之处是：由于研究对象涉及面广，个人的时间、精力和水平有限，研究中存在着一些未尽之处，有待进一步提高。价格上限规制在我国的应用刚刚起步，以后还有许多工作需要值得深入下去。更多还原

【Abstract】 From Oct 2005, China has started to carry out price-cap regulation for telecom tariffs. The aim was to constraint telecom enterprises for monopoly profits. Deregulations speeds up enterprises to transit the market from monopoly to free competition while to improve consumers’ welfare, but there is no proper theory support for carrying out price-cap regulation at present. Therefore, there is no practical operation in action in China as well. How does the status of China telecom industries combine with price-cap regulation used in foreign countries so as to set up the model of price-cap regulation in telecom tariffs? How to calculate the price-cap index? What is the correct way for actualizing price-cap regulation? This is the topic I have researched in the paper.There are eight chapters in the paper. Chapter 1 is an introduction. Chapter 2 shows the summarization of the price-cap regulation in the fields of the theory and practice ways. Chapter 3 analyses the vicissitudes of foreign countries’ telecom tariffs. The core of the paper is chapter 4, chapter 5, chapter 6, and chapter 7. Chapter 4 describes the regulatory system vicissitudes of China telecom industries. Chapter 5 sets up the model of price-cap regulation in China telecom tariffs. Chapter 6 is about the calculation process of the price-cap index of China telecom industries. Chapter 7 designs regulatory system in China telecom tariffs. Chapter 8 is the summarization of the paper. The content of the paper is as follows:Chapter 1 is "Introduction". The chapter introduces the current status of China telecom tariffs, expatiates on the research content and research meaning of this paper and generalizes the research method and structure of this paper.Chapter 2 is "Summary of Price-cap Regulation Theory and Practice". The chapter summarizes the concept of price-cap regulation, various formulas of price-cap regulation, the calculation theory and practical status.Chapter 3 is "Analysis of the Vicissitudes of Regulatory System of Foreign Countries’ Telecom Tariffs". The chapter describes the process and ways for carrying out price-cap regulation in foreign countries and analyzes the effect. It puts forward to the difficulties existed widely in executing and some problems needed to be solved and provides a summarization for experiences and development trend in regulation.Chapter 4 is "Study on the Change of the Regulatory Regime of China Telecom Industries". The paper uses Herfindahl Index to analyze the character of China telecom market structure and explains the market efficiency so as to get a whole judgment on China telecom industries. It makes an econometrical analysis on the vicissitudes of the regulatory system of China telecom industries and shows that the tariffs regulation reform produces a significant effect in the telecommunication development. It describes four development phase of China telecom tariffs in detail and expounds the benefit changes among the government, telecom enterprises and consumers in the course of telecom tariffs development. It gets a conclusion that the vicissitudes of regulatory system of China telecom tariffs is the Pareto improvement.Chapter 5 is "Study on the Model of the Price-cap Regulation in China Telecom Tariffs". The paper sets up the calculation model of price increase in telecom tariffs to suit for the status of China. It not only sets up a calculation model of productive efficiency factor X value and sets up a model of price-cap regulation, but also explains the model of price-cap regulation for China telecom tariffs to develop perfectly in economics analysis.Chapter 6 is "Calculation of the productive effciency factor X value and the Price-cap Index of China Telecom Industries". The chapter has calculated the TFP increase of China telecom industries from 1990 to 2005 and analysed the development of China telecom industries combining with the capital stock, product increase and TFP contribution, and gets some valuable conclusions. It has calculated the productive efficiency factor X value of formula and compared with foreign countries, and then makes a judgment on the level of X value. It has calculated the price-cap index and analysed the deviation comparing with the common formula used in foreign countries so as to prove the model accuracy.Chapter 7 is "Actualization of the Price-cap Regulation in China Telecom Tariffs". The paper has calculated the regulated and non-regulated telecom tariffs and analysed it in order to get the judgment on the change of each telecom tariffs. It has designed the system of price-cap regulation in China telecom tariffs. It includes the regulatory process, regulatory term and the methods for checking the telecom tariffs of telecom enterprises. The methods consist of confirming the X value, the calculated ways of checking telecom enterprises and regulatory measurements, checking the whole operation regulated, the ways of control disobedience, the regulatory methods on regulated enterprises which have a Ramsey pricing based on various telecom service quality and some restrictions. It summarizes the object of regulation design.Chapter 8 is "Conclusion". It is a concise summary of the paper. Five innovation points in the paper are: The first, a new model of price-cap regulation is set up in China telecom tariffs. The second, the model of productive efficiency factor X value has set up and calculated in China telecom industries under no universal service. The third, the paper has calculated the price-cap index and various actual price index of telecom call service. The fouth, the paper has set up a new Ramsey pricing model based on different quality and made the price-cap regulation perfect based on including quality factor. The last one, the paper provides the methods for checking and control enterpridses.For a pretty new topic, due to time and other conditions limit, there are still more details need to be studied, it also leaves us more opportunities to develop more.更多还原