中国垄断行业公平规制问题研究
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摘要
上世纪九十年代中后期开始,中国对垄断行业实施了大规模以提高效率为目标,以引入竞争为主题的改革。多数垄断行业实现了政企分开、主体多元、绩效提升、规模扩大的改革效果。但与此同时,中国民众对垄断行业的不满却日益增加。垄断行业产品市场普遍服务的缺失和劳动力市场不合理高收入屡屡成为大众的关注焦点。公众对垄断行业的不满源于垄断行业公平规制的缺失,而公平规制缺失形成的利益集团又成为垄断行业进一步改革的羁绊。事实上,垄断行业产品在消费上的必需品特性催生了其产品市场上的公平规制要求;在生产上的自然垄断特性所导致的产品市场规制派生出其要素市场公平规制的需求。中国垄断行业公平规制的“供需”失衡促发了本文的研究。本文的研究主题是垄断行业公平规制问题,总体研究思路是在熟悉现状和相关理论的基础之上将其分解为产品市场和劳动力市场两个部分来分别展开研究。
     本文首先在回顾中国垄断行业改革历程的基础上,重点对垄断行业公平规制的现状和理论基础进行了梳理,以期为后面章节的分析提供一个现实背景和理论参照。通过概览垄断行业公平规制的历史和现状,我们不难发现,公平规制是垄断行业的一项基本规制要求,随着改革的推进,垄断行业公平规制越来越显重要。对垄断行业产品市场公平规制理论基础的考察表明,政府可能会基于网络外部性、收入再分配、公共品、区域规划和利益集团等原因而对垄断行业产品市场进行公平规制;Atkinson和Stiglitz定理的前提假定在现实垄断行业难以成立,因而以扭曲垄断行业产品相对价格的方式来实现公平规制对垄断行业而言是适宜的。对垄断行业劳动力市场公平规制理论基础的考察表明,中国垄断行业产品市场的垄断和规制失灵带来的高利润构成了垄断行业高收入之源;国有产权的所有者缺位和中国劳动力市场的非竞争性开辟了垄断利润流入员工腰包的闸门;对垄断行业劳动力市场进行公平规制离不开行业产品市场结构、企业产权结构以及劳动力市场特性的考量。
     垄断行业产品市场公平规制的目标是普遍服务,核心问题是普遍服务的实现机制。本文先分析了垄断行业引入竞争后,其传统交叉补贴机制面临的“撇脂现象”,而后从融资和分配两个方面分析了竞争环境下的普遍服务实现机制问题。这部分研究所采用的主要研究方法是博弈论。在传统垄断时期,垄断行业运营商通过交叉补贴来维持普遍服务。市场开放后,新的市场进入者会基于利润最大化服务于低成本地区而不进入高成本地区。本文通过构建数理模型来对这一“撇脂现象”进行了理论解读。传统垄断时期的内部交叉补贴机制在引入竞争后受到挑战,竞争环境下的普遍服务融资需要新机制。财政补贴、分片包干和普遍服务基金是三种选择。本文在保证企业不亏损的前提下,通过市场价格和财政补贴支出两个纬度来作为三种机制优劣的评价标准,通过建模比较分析财政补贴、分片包干和普遍服务基金三种普遍服务融资方式。内生市场结构普遍服务拍卖结合了传统的代理模型和一般拍卖的优点,既可以通过事前竞争产生准确的补贴额,又保留了事后竞争以增进市场效率。本文在对普遍服务分配机制的讨论中,重点研究了这一新的分配机制。本文首先给出了内生市场结构拍卖的基本模型,而后给出不同情形下的最优市场结构的成本条件并提出一个修正的第二价格拍卖来内生实现不完全信息下的最优市场结构。
     垄断行业劳动力市场公平规制主要是针对垄断行业员工收入而言的。本文将垄断行业收入问题置于整个行业收入的视野之下来对此展开研究。先全方位地考察中国行业收入差距的演化状况;然后测算了行业垄断对行业收入差距的贡献;最后再分析垄断行业和非垄断行业收入决定机制的差异并得出相关的政策建议。这部分研究所采用的主要方法是统计测算和计量经济分析。本文运用《中国统计年鉴》门类行业和细分行业职工平均工资数据,采用多种不平等指数,从静态和动态两个方面全方位刻画了改革以来中国行业收入差距的演化特征。静态角度主要是通过不平等指数和核密度估计两种方法来进行刻画,动态角度主要是通过收入转换矩阵和收入流动性指数来对行业收入流动性进行刻画。本文将所有行业的不平等指数分解为垄断行业与非垄断行业组内的不平等指数和两类行业之间的不平等指数,以两类行业之间的不平等来测度垄断对行业收入差距的贡献。本文采用中国健康与养老追踪调查数据,以Mincer工资方程为基础,借助于Oaxaca-Blinder分解和Melly(2006)分解方法,从均值收入和分布收入角度考察了中国垄断行业和非垄断行业收入决定机制的差异。
     本文的主要研究结论如下:
     (1)普遍服务约束下的垄断行业在引入竞争后的市场出现了“撇脂现象”,若继续沿用传统内部交叉补贴的融资方式为普遍服务融资的话,则产品市场会有价格上涨的压力;引入竞争对在位者总体上是不利的,对消费者总体上是有利的,但竞争的好处更多地被低成本的城市消费者所获得,高成本的农村消费者则没有分享到改革的成果。
     (2)分片包干是一种较财政补贴和普遍服务基金更优的普遍服务融资机制,它相对财政补贴而言具有低成本的优势,相对普遍服务基金而言又具有低价格的优势。
     (3)当两企业成本均较低时,最优市场结构为双寡头共同生产;当两企业成本均较高时,最优市场结构为不生产;当两企业成本适中时,社会最优为由成本相对较低的企业垄断生产。不完全信息相对完全信息而言,双寡头生产的区域变小,而不生产的区域变大。对于不完全信息下的最优市场结构,可以通过修正的第二价格拍卖内生实现。
     (4)中国行业收入差距在上世纪八十年代下降后自九十年代开始上升至今,呈现出高者愈高、低者愈低的行业马太效应,收入增长更多地集中在高收入行业;中国行业收入流动性越来越弱。
     (5)垄断对门类行业收入差距的贡献份额在上世纪八十年代和九十年代前期处于低位,而在上世纪九十年代中期之后,则一直处于高位。垄断对细分行业收入差距的贡献份额在2003年之前处于波动状态,自2003年之后则呈逐渐上升态势。上世纪九十年代以来,垄断行业组内收入差距和非垄断行业组内收入差距均随时间演进而增加。
     (6)中国垄断行业存在着较为明显的“共享式”收入决定特征,其在性别和地区差异的平衡上有积极作用,但其过度的“论资排辈”拉高了工资分布高端的工资溢价;对于垄断行业的收入规制,对象应是工资分布高端人群,措施应是减少论资排辈而实施更具激励性的工资决定机制。
From the late nineties of last century, China has implemented a large-scale reform in monopoly industries through introducing competition to improve efficiency. Most monopoly industries have achieved the reform effect with separation between enterprise and government, diversity subject, performance improvement and scale expanding. But at the same time, Chinese people have growing discontent with monopoly industries. The lack of universal service in product market and unreasonable high income in labor market often become public focus. The public's dissatisfaction with monopoly industries stems from the lack of fair regulation. Interest group which was formed by the lack of fair regulation has become fetters of further reform of monopoly industries. In fact, the characteristic of necessities has given birth to a fair regulatory requirement in product market. The product market regulation because of natural monopoly characteristic in production has given birth to a fair regulatory requirement in factor market. The imbalance supply and demand of fair regulation in China monopoly industries stimulates this study. The research them of this paper is the issue of fair regulation in monopoly industries. The overall idea is to decompose the question into product market and labor market to research respectively based on the familiar with current situation and relevant theory.
     This paper first reviews the history of the reform of China monopoly industries, and then investigates the current situation and theoretical basis in order to provide a practical background and theoretical reference for later chapters. Through overview the history and current situation of fair regulation in monopoly industries, we can easily find that fair regulation is an essential requirement in monopoly industries and it has become more and more important with the reform. After investigate the theoretic basis of fair regulation on product market of monopoly industries, we learn that the government may enforce fair regulation on monopoly industries based on network externalities, income redistribution, public goods, interest groups, regional planning and other reasons. The assumptions of Atkinson and Stiglitz theorem are difficult to set up in real monopoly industries, so distorting the relative price of the product of monopoly industries to achieve a fair way to regulate the monopoly industries is appropriate. After investigate the theoretic basis of fair regulation on labor market of monopoly industries, we learn that the high monopoly profits from monopoly and regulatory failures constitute a source of high-income in monopoly industries, absence of state property owners and non-competition in Chinese labor market open the door for monopoly profits going into the pockets of the staff. The fair regulation on monopoly industries must consider product market structure, ownership structure and characteristics of the labor market.
     Product market fair regulation on monopoly industries aims to achieve universal service. The core issue is the realization mechanism. This paper first analyzes the skimming phenomenon faced by traditional cross-subsidy mechanism after the introduction of competition in monopoly industries, and then analyzes the realization mechanism of universal service under competition environment from financing and distribution. The main research method of this part is game theory. In the traditional monopoly period, the monopoly operator maintains universal service through cross-subsidies. After market liberalization, new market entrants will service in the low-cost region rather than access to high-cost areas to maximize profits. This paper builds a mathematical model to interpret this "skimming phenomenon" theoretically. The traditional internal cross-subsidy mechanism in monopoly period is challenged after the introduction of competition. The universal service under competitive environment requires new mechanism. Financial subsidies, area divided and universal service fund are three options. Ensuring no loss of business, this paper uses market prices and financial subsidies as the evaluation criteria of those three mechanisms and builds model to compare them. Endogenous market structure auction for universal service combines the merit of the traditional agency model and the general auction. It both generates accurate subsidy pre-competition and retains post-competition to improve market efficiency. This paper puts this new distribution mechanism as focal point to discuss. This paper first gives the model of endogenous market structure auction, secondly gives the optimal cost conditions of market structure under different circumstances and then gives a modified second-price auction to achieve the optimal market structure endogenously with incomplete information.
     Fair regulation on labor market of monopoly industries is mainly aimed at employees'income. This issue will be placed on the view of industry income differentials to research. This paper firstly studies the evolution of Chinese industry income differentials, secondly measures industry monopoly's contribution to income inequality, and finally analyzes the different decision mechanism between monopoly industries and non-monopoly industries. The main research methods of this part are statistical estimates and econometric analysis. In this paper, average salary data of big industries and small industries in "China Statistical Yearbook" and various inequality indices are used to measure the evolution characteristics of Chinese industry income differentials from static and dynamic aspect since the reform and opening up. The static perspective mainly uses inequality indexes and kernel density estimation; the dynamic perspective mainly uses the income transformation matrix and income mobility indexes. This paper decomposes the inequality index of all industries into the intra-group index and the inter-group index between monopoly industries and non-monopoly industries. The inter-group index is used to measure the monopoly's contribution to industry income differentials. In this paper, the CHARLS data and the Mincer wage equation with Oaxaca-Blinder and Melly(2006) methods are used to study the wage decision mechanism differential between Chinese monopoly industries and non-monopoly industries from the perspective of average revenue and distribution revenue.
     The main conclusions of this paper are as follows:
     (1) Monopoly industries with the constraint of universal service appear "skimming phenomenon" after the introduction of competition. If the traditional internal cross subsidy of financing for universal service is continued to used, the product market will face the pressure of prices rising. Introducing competition is not good for the existing firm but it's good for consumers in the overall. The benefits of competition are owned by the urban consumers with low cost and are not shared to the rural consumers with high cost.
     (2) The method of area divided is a better financing mechanism than financial subsidies and universal service fund. It has lower lost than financing subsidies and lower price than universal service fund.
     (3) The optimal market structure is duopoly when both firms'costs are low. There is no production when both firms'costs are high. The optimal market structure is monopoly by the firm with lower lost when both firms'costs are medium. Compared to complete information, the duopoly production area becomes smaller and non-production area becomes larger under incomplete information circumstance. The optimal market structure with incomplete information can be endogenously realized by a modified second price auction
     (4) China industry income differentials declined in the1980s and have been up to now from1990s. They have appeared Matthew effect with higher than higher and lower than lower. Income growth is focused on high income industries. The income mobility of China industries is become weaker and weaker.
     (5) The monopoly's contribution to big industries was low in1980s and early stage of1990s. It has been high since the middle of1990s. The monopoly's contribution to small industries fluctuated before2003and it's being rising gradually since2003. Since1990s, both the income gaps of monopoly industries and non-monopoly industries become larger.
     (6) Chinese monopoly industries have obvious sharing type income decision characteristic. It has positive role on the balance of sex and regional disparity. But its excessive ranking pulled the wages premium on the high-end wages distribution. The policy implication is that we should focus on the high-end wages crowd and implement more incentive wage decision mechanism.
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