中国铁路行业政府监管机制的法经济学分析
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摘要
铁路运输业是国民经济的基础产业,在国民经济和社会发展过程中具有举足轻重的地位。中国铁路作为交通运输的骨干和主要部分,建国以来,为中国经济的发展和人民生活水平的提高做出了巨大贡献。根据自然垄断的特征,铁路行业属于强自然垄断行业。因此铁路业的监管问题一直面临着公共性和企业性的两难选择,需要政府及监管部门在公益性和企业利润之间寻找平衡点,我们应该通过对铁路部门进行有效的监管,使其向高效率、服务大众和制度完善的方向发展。
本文主要从法经济学视角来分析铁路行业的政府的监管机制问题。通过对中国铁路行业监管主体、监管客体、监管内容和监管制度的分析,提出改进中国铁路监管机制设计的建议。铁路行业的监管仅仅停留于经济学意义上的机制设计是不够的,最终都要通过立法、司法和执法程序来实现,可以说,中国铁路行业迫切实现从监管机制到监管法律法规的转化和提升。
Railway transportation is the basis of the national economy and industry in the national economic and social development process plays a decisive role. China railway as the backbone of transportation and the main part, since the founding, for China's economic development and improving people's living standards has made a significant contribution. According to the characteristics of natural monopoly, the railway industry is a strong natural monopolies. Therefore, the regulation of the railway industry has been facing the public and entrepreneurial dilemma, require government and regulatory departments in the public welfare and to find a balance between corporate profits, we should be through the effective supervision of the railway sector to make it to the High efficiency, and systems serving the public good direction.
Full-text is divided into five parts:
The first chapter introduces the technical and economic characteristics of the railway industry, and government regulation of the railway industry, the need for. Railway industry because of its significant economies of scale and cost of poor additive belonging to strong natural monopoly industries, coupled with public nature of its coexistence with entrepreneurial characteristics, asked the Government for its supervision. The supervision of the railway industry is also a need to change development of the industry improved, and regulatory failure substitute’s competition, technological advances and old Zhengqibufen regulatory system requires constant adjustments to government regulation of the industry policy.
Chapter II is the focus of this article. Mainly to explore the railway industry, government regulatory mechanisms, the interaction between institutions and systems. Primarily through the presentation of the main regulation of China's railway industry, regulatory object, content regulation, regulatory systems. A sound and comprehensive system of professional supervision should include the supervision of the main regulatory object, regulatory oversight agencies, and regulators based on the law, which is the regulatory supervision of the main objectives and institutional designers, monitoring the implementation of those objects. China's railway industry, but the vertical monopoly Zhengqibufen management system led to the railway industry, and regulatory supervision of the main object of a de facto vacancy. Ministry of Railways held a variety of roles, making the institutional framework in the real operations into a piece of rhetoric. Setting up a regulatory agency shall be given to the best form of independence, so that the interests of independent regulatory agencies have been monitoring the interests of the object, in the exercise of the powers and functions can be free from political forces and the impact of interest groups in order to ensure fair and equitable regulatory . In the supervision system, the rail is not strong systematic laws and regulations, and the lack of a comprehensive regulatory system to streamline the relationship between the Government and the railway companies. Although the Railway Act and administrative regulations are more than 30 department, but the content has not adapt to new railway construction and development of a harmonious situation.
Chapter III is the Chinese railway regulatory history and current status. From the early days of China's railway transportation experienced a "right place let", the railway economic contract responsibility system, the modern enterprise system and asset management responsibility system, institutional innovation and the four stages. Railway industry at the present stage there is the most lethal of the problem is Zhengqibufen, this mode of operation a serious impact on the efficiency and effectiveness of railway industry, Zhengqibufen also led to the absence of subject and object control and confusion, the government and enterprises ambiguous division of responsibilities, enterprises are short of innovative. Separate government administration from the premise of the railway system innovation, the state should follow the market economy system of the railways macro-control, transform government functions, to create a favorable policy environment to promote the development of China's railway industry.
Chapter IV is the international comparison. Through the typical country like the U.S., Japan and Europe railroad regulatory reform models to understand and study found the regulatory reform of China's railway industry insight. Can draw the following main points: 1. Separate government administration from the railway reform, the key to success. 2. Railway reform program should be realistic and in line with national conditions. 3. The Government of the railway reform and development should be given more help and support.4. Railway reform should be gradual.
Chapter V is to improve the rail industry, the main regulatory mechanism, improve the regulatory regime. Recommendations are: 1. Separating the government-funded separately from the premise of carrying out the reforms and conditions. 2. To establish an independent and effective regulator. 3. To relax into the control. 4. For the railway freight rate reform, improve the price hearing system. 5 modified "Railway Law" and relevant regulations and policies, in order to provide legal guarantee for railway development.
本文主要从法经济学视角来分析铁路行业的政府的监管机制问题。通过对中国铁路行业监管主体、监管客体、监管内容和监管制度的分析,提出改进中国铁路监管机制设计的建议。铁路行业的监管仅仅停留于经济学意义上的机制设计是不够的,最终都要通过立法、司法和执法程序来实现,可以说,中国铁路行业迫切实现从监管机制到监管法律法规的转化和提升。
Railway transportation is the basis of the national economy and industry in the national economic and social development process plays a decisive role. China railway as the backbone of transportation and the main part, since the founding, for China's economic development and improving people's living standards has made a significant contribution. According to the characteristics of natural monopoly, the railway industry is a strong natural monopolies. Therefore, the regulation of the railway industry has been facing the public and entrepreneurial dilemma, require government and regulatory departments in the public welfare and to find a balance between corporate profits, we should be through the effective supervision of the railway sector to make it to the High efficiency, and systems serving the public good direction.
Full-text is divided into five parts:
The first chapter introduces the technical and economic characteristics of the railway industry, and government regulation of the railway industry, the need for. Railway industry because of its significant economies of scale and cost of poor additive belonging to strong natural monopoly industries, coupled with public nature of its coexistence with entrepreneurial characteristics, asked the Government for its supervision. The supervision of the railway industry is also a need to change development of the industry improved, and regulatory failure substitute’s competition, technological advances and old Zhengqibufen regulatory system requires constant adjustments to government regulation of the industry policy.
Chapter II is the focus of this article. Mainly to explore the railway industry, government regulatory mechanisms, the interaction between institutions and systems. Primarily through the presentation of the main regulation of China's railway industry, regulatory object, content regulation, regulatory systems. A sound and comprehensive system of professional supervision should include the supervision of the main regulatory object, regulatory oversight agencies, and regulators based on the law, which is the regulatory supervision of the main objectives and institutional designers, monitoring the implementation of those objects. China's railway industry, but the vertical monopoly Zhengqibufen management system led to the railway industry, and regulatory supervision of the main object of a de facto vacancy. Ministry of Railways held a variety of roles, making the institutional framework in the real operations into a piece of rhetoric. Setting up a regulatory agency shall be given to the best form of independence, so that the interests of independent regulatory agencies have been monitoring the interests of the object, in the exercise of the powers and functions can be free from political forces and the impact of interest groups in order to ensure fair and equitable regulatory . In the supervision system, the rail is not strong systematic laws and regulations, and the lack of a comprehensive regulatory system to streamline the relationship between the Government and the railway companies. Although the Railway Act and administrative regulations are more than 30 department, but the content has not adapt to new railway construction and development of a harmonious situation.
Chapter III is the Chinese railway regulatory history and current status. From the early days of China's railway transportation experienced a "right place let", the railway economic contract responsibility system, the modern enterprise system and asset management responsibility system, institutional innovation and the four stages. Railway industry at the present stage there is the most lethal of the problem is Zhengqibufen, this mode of operation a serious impact on the efficiency and effectiveness of railway industry, Zhengqibufen also led to the absence of subject and object control and confusion, the government and enterprises ambiguous division of responsibilities, enterprises are short of innovative. Separate government administration from the premise of the railway system innovation, the state should follow the market economy system of the railways macro-control, transform government functions, to create a favorable policy environment to promote the development of China's railway industry.
Chapter IV is the international comparison. Through the typical country like the U.S., Japan and Europe railroad regulatory reform models to understand and study found the regulatory reform of China's railway industry insight. Can draw the following main points: 1. Separate government administration from the railway reform, the key to success. 2. Railway reform program should be realistic and in line with national conditions. 3. The Government of the railway reform and development should be given more help and support.4. Railway reform should be gradual.
Chapter V is to improve the rail industry, the main regulatory mechanism, improve the regulatory regime. Recommendations are: 1. Separating the government-funded separately from the premise of carrying out the reforms and conditions. 2. To establish an independent and effective regulator. 3. To relax into the control. 4. For the railway freight rate reform, improve the price hearing system. 5 modified "Railway Law" and relevant regulations and policies, in order to provide legal guarantee for railway development.
引文
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[3]G·J·施蒂格勒著,潘汉民译.产业组织和政府管制[M].上海:三联书店上海分店和上海人民出版社,1996.
[4]王俊豪等.中国自然垄断经营产品管制价格形成机制研究[M].中国经济出版社,2001.
[5]肖兴志.自然垄断产业规制改革模式研究[M].大连:东北财经大学出版社,2003.
[6]谢地.自然垄断行业国有经济调整与政府规制改革互动论[M].北京:经济科学出版社,2007.
[7]王惠臣.论运输管制—公共性与企业性的悖论[M].北京:高等教育出版社,1997.
[8]吕忠梅,陈虹,彭晓晖.规范政府之法—政府经济行为的法律规制[M].北京:法律出版社,2001.
[9]和军.自然垄断产业规制改革理论研究—新制度经济学视角[M].北京:经济科学出版社,2008.
[10]王俊豪等.中国垄断性产业结构重组分类管制与协调政策[M].北京:商务印书馆,2005.
[11]周荷芳.铁路体制改革若干问题的研究[D].成都:西南交通大学,2002.
[12]吴崎右.自然垄断行业规制的理论与改革[J].中央财经大学学报,2002.
[13]刘戒骄.自然垄断产业的放松管制和管制改革[J].西安石油学院学报,2000.
[14]张帆.对自然垄断的管制[M].北京:商务印书馆,1993.
[15]欧国立,张梦龙.推进铁路运输制度创新—试论铁路“网运分离”[J].铁道经济研究,2000,3.
[16]刘世锦,冯飞.垄断行业改革攻坚[M].北京:中国水利水电出版社,2006.
[17]王学辉,邓华平.行政立法成本分析与实证研究[M].北京:法律出版社,2008.
[18]李京文等.铁道与发展[M].北京:社会科学文献出版社,2000.
[19]谭克虎.美国铁路业管制研究[M].北京:经济科学出版社,2008.
[20]李雪松.博弈论与经济转型—兼论中国铁路改革[M].北京:社会科学文献出版社,1999.
[21]石淑华.行政垄断的经济学分析[M].北京:社会科学文献出版社,2006.
[22]刘戒骄.垄断产业改革—基于网络视角的分析[M].北京:经济管理出版社,2005.
[23]帅斌,霍亚敏.交通运输经济[M].成都:西南交通大学出版社,2007.
[24]刘树杰.垄断性产业价格改革[M].北京:中国计划出版社,1999.
[25]朱家贤.反垄断立法与政府管制[M].北京:知识产权出版社,2007.
[26]黄云鹏.公共服务监管研究[M].北京:经济科学出版社,2008.
[27]舒英杰.关于我国铁路规制改革问题的研究[J].西南财经大学学报,2007.
[28]杨斌.日本铁路改革及启示[J].铁道经济研究.2000,2.
①石淑华.行政垄断的经济学分析.[M]北京:社会科学文献出版社,2006. p110
①G·J·施蒂格勒著,潘汉民译.产业组织和政府管制[M].上海:三联书店上海分店和上海人民出版社,1996.
②植草益著,朱绍文等译.微观规制经济学[M].北京:中国发展出版社,1992.
①CavesDW,ChristensenLR,SwansonJA. Economic Performance in Regulated and Unregulated Environment: a Comparison of US and Canadian Railroads[J] The Quarterly Journal of Economics,1981.
②王会宗.行政垄断行业的生产效率分析—以中国铁路运输业为例[J]山西财经大学学报,2009.
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