我国电力行业自然垄断结构的效率研究
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摘要
我国电力行业虽然经过多年的发展已经取得了巨大的成就,但是随着我国电力需求的不断增加以及电力改革的不断深化,电力改革政策实施后的效果如何仍然有待检验。同时电力行业作为传统的自然垄断行业,电力改革也不是能一步到位的,用怎样的理论来指导深化改革仍然是个不断摸索的过程。本文从理论分析和实证检验两个方面深入研究了在我国电力行业自然垄断结构的产业效率,分析了影响我国电力行业效率的主要因素,并试图提出自己的政策建议以供参考。
论文首先在综述国内外相关文献的基础上,分析自然垄断作为垄断的一种特殊形式,可以分为垄断结构与垄断行为,着重讨论了自然垄断结构效率的影响。从而得出自然垄断结构对产业效率并不一定全是负效应或不利的影响,反而在一定程度上有利于效率的提高,而垄断行为则会造成社会福利损失即效率损失。本文以电力行业作为我们重点研究的对象,从产业集中度、产品差异和进退壁垒三个方面来考察电力行业自然垄断结构的效率,同时对电力行业的资源配置效率和全要素生产率进行了计算分析。为了更加清晰的了解不同因素对电力行业效率的影响程度,我们建立了利润模型来检验各因素对电力行业的效率影响。实证表明,通过电力体制改革,我国电力行业的效率得到了很大的提高,电力行业的垄断结构对效率影响渐小,发电环节已经初具竞争规模,我们更要注重的是规制电力行业中各个企业的垄断行为。
Having developed for many years,the electric power industry of China gained great achievements.Howerver,under the background that the reform of electric power industry is deepening and electricity damand is increacing,we have to evaluate the policies effectiveness.At the same time, the power industry as a traditional natural monopoly industry,the reform cannot be accomplished in one-step,it still is a process of exploration that what kind of theory we can use to guide the deepening of reform.This thesis study the economic efficiency of China’s electric power industry from the theoretical and empirical aspects,then analyze the major factors that influence the efficiency of power industry,and try to make policy recommendations for reference.
First, the thesis reviewed relevant literatures,then in view of natural monopoly as a special form of monopoly,it can be divided into monopoly structure and monopolistic behavior,which influence the efficiency in different aspects.We can draw a conclusion that the efficiency of natural monopoly structure is not all negative,but to some extent positive.While the monopolistic behavior will certainly result in the loss of social welfare.Focused on the power industry, this paper examine the efficiency change of the power industry structure from the aspect market centralization, the differentiation of products and entry & exit barriers.And preliminarily study the efficiency of resource allocation of the power industry.
In order to understand the impact of different factors more clearly,we have established a profit model and a TFP model to test the effectiveness in China’s power industry.and the results consistently show that since the reform ,the efficiency is statistically improved,moreover the impact of monopoly structure on the efficiency is getting smaller, we must focus on the regulation of the behaviors of power enterprises .
论文首先在综述国内外相关文献的基础上,分析自然垄断作为垄断的一种特殊形式,可以分为垄断结构与垄断行为,着重讨论了自然垄断结构效率的影响。从而得出自然垄断结构对产业效率并不一定全是负效应或不利的影响,反而在一定程度上有利于效率的提高,而垄断行为则会造成社会福利损失即效率损失。本文以电力行业作为我们重点研究的对象,从产业集中度、产品差异和进退壁垒三个方面来考察电力行业自然垄断结构的效率,同时对电力行业的资源配置效率和全要素生产率进行了计算分析。为了更加清晰的了解不同因素对电力行业效率的影响程度,我们建立了利润模型来检验各因素对电力行业的效率影响。实证表明,通过电力体制改革,我国电力行业的效率得到了很大的提高,电力行业的垄断结构对效率影响渐小,发电环节已经初具竞争规模,我们更要注重的是规制电力行业中各个企业的垄断行为。
Having developed for many years,the electric power industry of China gained great achievements.Howerver,under the background that the reform of electric power industry is deepening and electricity damand is increacing,we have to evaluate the policies effectiveness.At the same time, the power industry as a traditional natural monopoly industry,the reform cannot be accomplished in one-step,it still is a process of exploration that what kind of theory we can use to guide the deepening of reform.This thesis study the economic efficiency of China’s electric power industry from the theoretical and empirical aspects,then analyze the major factors that influence the efficiency of power industry,and try to make policy recommendations for reference.
First, the thesis reviewed relevant literatures,then in view of natural monopoly as a special form of monopoly,it can be divided into monopoly structure and monopolistic behavior,which influence the efficiency in different aspects.We can draw a conclusion that the efficiency of natural monopoly structure is not all negative,but to some extent positive.While the monopolistic behavior will certainly result in the loss of social welfare.Focused on the power industry, this paper examine the efficiency change of the power industry structure from the aspect market centralization, the differentiation of products and entry & exit barriers.And preliminarily study the efficiency of resource allocation of the power industry.
In order to understand the impact of different factors more clearly,we have established a profit model and a TFP model to test the effectiveness in China’s power industry.and the results consistently show that since the reform ,the efficiency is statistically improved,moreover the impact of monopoly structure on the efficiency is getting smaller, we must focus on the regulation of the behaviors of power enterprises .
引文
[1]于立,肖兴志,姜春海.自然垄断的“三位一体”理论[J].当代财经,2004(8)
[2]约翰.穆勒.政治经济学原理(下卷)[M].北京:商务印书馆,1991:472
[3]Clarkson,K.W.andR.L.Miller,IndustrialOrganization:Theory,Evidence,andPublicPolicy,McGraw-HillBookCompany,1982
[4]W.W.Sharkey,TheTheoryofNaturalMonopoly,Cambridge:CambridgeUniversityPress,1982
[5]Baumol,W.J.,Panzar,J.C.andR.D.Willig,ContestableMarketandtheTheoryofIndustryStructure,HarcourtBraceJovanovich,1982
[6]植草益.微观规制经济学[M].中国发展出版社,1992
[7]亚当.斯密.国富论[M].郭大力,王亚南译.上海:上海三联书店,2006
[8]王俊豪.政府管制经济学导论[M].北京:商务出版社,2001
[9]夏大慰,史东辉等著.政府规制:理论、经验与中国的改革[C].北京:经济科学出版社,2003
[10]乔治.J.斯蒂格勒.产业组织[M].上海:上海三联书店,上海人民出版社,2006
[11]Demsetz.H.Whyregulateutilities?JournalofLawandEconomics,1968
[12]熊彼特.资本主义、社会主义和民主主义[M].北京:商务印书馆,1979
[13]M.KamienandN.Schwartz.MarketStructureandInnovation:ASurvey.JournalofEconomicLiterature,1975(13):1-37
[14]龚维敬.西方经济学家的垄断利弊之争[J].经济评论,2003(5)
[15]肯尼.克拉克森.产业组织:理论、证据和公共政策[M].上海:上海三联书店,1993:174-175.
[16]A.Leibenstein.AllocativeEfficiencyversus“X-Efficiency”.AmericanEconomicReview.1966(56):392-415
[17]HarbergerArnoldC.MonopolyandResourceAllocation[J].TheAmericanEconomicReview,1969(44)
[18]LandesWilliamM,PosnerRichardA.TheIndependentJudiciaryinanInterest-GroupPerspective.JournalofLaw&Economics.UniversityofChicagoPress,1975vol.18(3):875-901
[19]JamesGwartney,RichardStroup.Cooperationorconniving:Howpublicsectorrulesshapethedecision.JournalofLaborResearch,1982vol.3(3)
[20]DavidN.Laband,JohnP.Sophocleus.TheSocialcostofrent-seeking.PublicChoice,1987vol.46(3)
[21]Demsetz.H.TheTheoryoftheFirmRevisited,inO.E.WilliamsonandS.Winter(Eds.).TheNatureoftheFirm,NewYork:OxfordUniversityPress,1991:159-178
[22]DsavidL.Weimer,AidanR.Vining.PolicyAnalysis:ConceptsandPractice.Pearson:PrenticeHall,2005:102
[23]LeGrand,Julian.Thetheoryofgovernmentfailure.Britishjournalofpoliticalscience,1991.21(4):423-442
[24]MarcIvaldi.SubadditivityTestsforNetworkSeparationwithanApplicationtoU.S.Railroads.ReviewofNetworkEconomics,2008.3(1)
[25]戚聿东.垄断的资源配置效应分析[J].学习与探索,2001(1)
[26]刘茂松,曹虹剑.信息经济时代产业组织模块化与垄断结构[J].中国工业经济,2005(8)
[27]张理智.垄断有效论——兼论“垄断者主权”[J].天府新论,2007(3)
[28]刘树杰主编.垄断性产业价格改革.北京:中国计划出版社,1999
[29]胡鞍钢,过勇.从垄断市场到竞争市场:深刻的社会变革[J].改革,2002(1)
[30]楼旭明,窦彩兰,汪贵浦等.基于DEA的中国电力改革绩效相对有效性评价[J].当代财经,2006(4)
[31]侯风云,周广肃.自然垄断产业效率实证研究_济南市自来水产业市场状况调查[J].山东经济,2009(6)
[32]肖兴志.自然垄断型国企改革的战略思考[J].改革,2001(3)
[33]肖兴志,孙阳.中国电力产业规制效果的实证研究[J].中国工业经济,2006(9)
[34]于良春,丁启军.自然垄断产业进入管制的成本收益分析—以中国电信业为例的实证分析[J].中国工业经济,2007(1)
[35]保罗·萨缪尔森,威廉·诺德豪斯.经济学(第十六版).北京:机械工业出版社,1998
[36][美]曼昆..经济学原理.北京:北京大学出版社,1999
[37]马鹏飞.垄断效率论.安阳工学院学报[J],2008(5)
[38]约翰·伊特维尔,墨里·米尔盖特,彼得·纽曼.新帕尔格雷夫经济学大辞典(第三卷)[M].北京:经济科学出版社,1996
[39]侯风云.自然垄断与规制定位[J].理论学刊,2007(5)
[40]杜传忠.对垄断及其效率的再认识——兼论我国《反垄断法》实施的目标取向[J].中州学刊,2008.11(6)
[41]刘茂松.论自然垄断性行业处于组织制度的改革_以湖南大小电网资源优化整合为例[J].产业经济评论,2003(2)
[42]刘茂松,曹虹剑.论经济全球化时代跨国公司垄断结构[J].中国工业经济,2004(9)
[43]闫星宇.可竞争市场理论综述[J].产业经济研究,2009(1)
[44]于立,姜春海.规模经济与自然垄断的关系探讨[J].首都经贸大学学报,2002(5)
[45]罗纳德.哈里.科斯.企业、市场与法律.上海:上海三联书店,1990
[46]Joseph.A.Schumpeter.HistoryofEconomicAnalysis.Routledge.1954
[47]Freemance.TheEconomicsofIndustrialInnovation.Cambridge,TheMITPress,1982:132
[48]王颖捷.我国自然垄断产业组织优化研究[D].中国优秀博士论文,2001
[49]萨缪尔森等.经济学(上册).北京:首都经济贸易大学出版社,1996
[50]王俊豪等.中国垄断性产业结构重组分类管制与协调政策.北京:商务印书馆,2005
[51]周建.自然垄断产业有效竞争模式的界定[J].北方经济,2007(7)
[52]范金,郑庆武,梅娟.应用产业经济学.北京:经济管理出版社,2004
[53]JoeS.Bain.RelationofProfitRatetoIndustryConcentration:AmericanManufacturing.TheQuarterlyJournalofEconomics.1951,Vo1.65:293-324
[54]唐要家.电力行业规制绩效的实证分析[J].产业经济与产业,2004(1)
[55]肖兴志.自然垄断性产业改组的进一步思考[J].热点探踪,2002(1)
[56]谢洪军.市场化进程中中国电力产业绩效评价研究[D].重庆大学博士学位论文,2007
[2]约翰.穆勒.政治经济学原理(下卷)[M].北京:商务印书馆,1991:472
[3]Clarkson,K.W.andR.L.Miller,IndustrialOrganization:Theory,Evidence,andPublicPolicy,McGraw-HillBookCompany,1982
[4]W.W.Sharkey,TheTheoryofNaturalMonopoly,Cambridge:CambridgeUniversityPress,1982
[5]Baumol,W.J.,Panzar,J.C.andR.D.Willig,ContestableMarketandtheTheoryofIndustryStructure,HarcourtBraceJovanovich,1982
[6]植草益.微观规制经济学[M].中国发展出版社,1992
[7]亚当.斯密.国富论[M].郭大力,王亚南译.上海:上海三联书店,2006
[8]王俊豪.政府管制经济学导论[M].北京:商务出版社,2001
[9]夏大慰,史东辉等著.政府规制:理论、经验与中国的改革[C].北京:经济科学出版社,2003
[10]乔治.J.斯蒂格勒.产业组织[M].上海:上海三联书店,上海人民出版社,2006
[11]Demsetz.H.Whyregulateutilities?JournalofLawandEconomics,1968
[12]熊彼特.资本主义、社会主义和民主主义[M].北京:商务印书馆,1979
[13]M.KamienandN.Schwartz.MarketStructureandInnovation:ASurvey.JournalofEconomicLiterature,1975(13):1-37
[14]龚维敬.西方经济学家的垄断利弊之争[J].经济评论,2003(5)
[15]肯尼.克拉克森.产业组织:理论、证据和公共政策[M].上海:上海三联书店,1993:174-175.
[16]A.Leibenstein.AllocativeEfficiencyversus“X-Efficiency”.AmericanEconomicReview.1966(56):392-415
[17]HarbergerArnoldC.MonopolyandResourceAllocation[J].TheAmericanEconomicReview,1969(44)
[18]LandesWilliamM,PosnerRichardA.TheIndependentJudiciaryinanInterest-GroupPerspective.JournalofLaw&Economics.UniversityofChicagoPress,1975vol.18(3):875-901
[19]JamesGwartney,RichardStroup.Cooperationorconniving:Howpublicsectorrulesshapethedecision.JournalofLaborResearch,1982vol.3(3)
[20]DavidN.Laband,JohnP.Sophocleus.TheSocialcostofrent-seeking.PublicChoice,1987vol.46(3)
[21]Demsetz.H.TheTheoryoftheFirmRevisited,inO.E.WilliamsonandS.Winter(Eds.).TheNatureoftheFirm,NewYork:OxfordUniversityPress,1991:159-178
[22]DsavidL.Weimer,AidanR.Vining.PolicyAnalysis:ConceptsandPractice.Pearson:PrenticeHall,2005:102
[23]LeGrand,Julian.Thetheoryofgovernmentfailure.Britishjournalofpoliticalscience,1991.21(4):423-442
[24]MarcIvaldi.SubadditivityTestsforNetworkSeparationwithanApplicationtoU.S.Railroads.ReviewofNetworkEconomics,2008.3(1)
[25]戚聿东.垄断的资源配置效应分析[J].学习与探索,2001(1)
[26]刘茂松,曹虹剑.信息经济时代产业组织模块化与垄断结构[J].中国工业经济,2005(8)
[27]张理智.垄断有效论——兼论“垄断者主权”[J].天府新论,2007(3)
[28]刘树杰主编.垄断性产业价格改革.北京:中国计划出版社,1999
[29]胡鞍钢,过勇.从垄断市场到竞争市场:深刻的社会变革[J].改革,2002(1)
[30]楼旭明,窦彩兰,汪贵浦等.基于DEA的中国电力改革绩效相对有效性评价[J].当代财经,2006(4)
[31]侯风云,周广肃.自然垄断产业效率实证研究_济南市自来水产业市场状况调查[J].山东经济,2009(6)
[32]肖兴志.自然垄断型国企改革的战略思考[J].改革,2001(3)
[33]肖兴志,孙阳.中国电力产业规制效果的实证研究[J].中国工业经济,2006(9)
[34]于良春,丁启军.自然垄断产业进入管制的成本收益分析—以中国电信业为例的实证分析[J].中国工业经济,2007(1)
[35]保罗·萨缪尔森,威廉·诺德豪斯.经济学(第十六版).北京:机械工业出版社,1998
[36][美]曼昆..经济学原理.北京:北京大学出版社,1999
[37]马鹏飞.垄断效率论.安阳工学院学报[J],2008(5)
[38]约翰·伊特维尔,墨里·米尔盖特,彼得·纽曼.新帕尔格雷夫经济学大辞典(第三卷)[M].北京:经济科学出版社,1996
[39]侯风云.自然垄断与规制定位[J].理论学刊,2007(5)
[40]杜传忠.对垄断及其效率的再认识——兼论我国《反垄断法》实施的目标取向[J].中州学刊,2008.11(6)
[41]刘茂松.论自然垄断性行业处于组织制度的改革_以湖南大小电网资源优化整合为例[J].产业经济评论,2003(2)
[42]刘茂松,曹虹剑.论经济全球化时代跨国公司垄断结构[J].中国工业经济,2004(9)
[43]闫星宇.可竞争市场理论综述[J].产业经济研究,2009(1)
[44]于立,姜春海.规模经济与自然垄断的关系探讨[J].首都经贸大学学报,2002(5)
[45]罗纳德.哈里.科斯.企业、市场与法律.上海:上海三联书店,1990
[46]Joseph.A.Schumpeter.HistoryofEconomicAnalysis.Routledge.1954
[47]Freemance.TheEconomicsofIndustrialInnovation.Cambridge,TheMITPress,1982:132
[48]王颖捷.我国自然垄断产业组织优化研究[D].中国优秀博士论文,2001
[49]萨缪尔森等.经济学(上册).北京:首都经济贸易大学出版社,1996
[50]王俊豪等.中国垄断性产业结构重组分类管制与协调政策.北京:商务印书馆,2005
[51]周建.自然垄断产业有效竞争模式的界定[J].北方经济,2007(7)
[52]范金,郑庆武,梅娟.应用产业经济学.北京:经济管理出版社,2004
[53]JoeS.Bain.RelationofProfitRatetoIndustryConcentration:AmericanManufacturing.TheQuarterlyJournalofEconomics.1951,Vo1.65:293-324
[54]唐要家.电力行业规制绩效的实证分析[J].产业经济与产业,2004(1)
[55]肖兴志.自然垄断性产业改组的进一步思考[J].热点探踪,2002(1)
[56]谢洪军.市场化进程中中国电力产业绩效评价研究[D].重庆大学博士学位论文,2007