自然垄断行业国有企业改革模式研究——基于竞争、产权与绩效关联性的视角

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浙江财经学院硕士学位论文

内容摘要

长期以来，我国国有企业改革与发展呈现出明显的非均衡性，国有企业改革

的重点主要是在大量的竞争性行业，而对于自然垄断行业的国有企业改革没有给

予足够重视。20 世纪 80 年代，我国开始在某些自然垄断行业进行了局部性改革，

到20 世纪 90 年代，中国自然垄断行业的改革开始逐步推进，在政企分开和引进

民间资金等方面做了一些尝试。十六届三中全会提出要加快自然垄断行业的改革，

在垄断行业要引进多元投资主体，建立竞争机制，对自然垄断行业要加强激励性

管制等思路，从而加快了改革步伐，且在自然垄断行业的某些领域已经取得了明

显的成效。然而与西方发达国家相比，目前我国自然垄断行业的改革还停留在政

企分开以及对原有国家垄断格局的分拆上，自然垄断行业的效率依旧低下。因此，

有必要构建一个适合我国国情的自然垄断行业国有企业改革的目标模式，本论文

的写作目的也正是基于此。

自然垄断行业国有企业改革的最终目的是为了提高国有企业的运营效率，而

企业绩效主要决定于外部竞争机制与企业内部产权机制，纵观当前这一领域的研

究，可以发现一个明显不足之处是将宏观市场结构与微观产权结构即竞争与产权

割裂开，分别构建改革的理论基础。然而，竞争、产权与绩效三者之间是密切相

关的，将这三者放在同一个框架内进行分析较为合理，本论文正是按照这一思路，

展开对自然垄断行业国有企业改革的研究的。

文章首先分析了自然垄断行业的技术经济特征及国有企业垄断的传统理论与

实践，并对其绩效进行了较为详细的评述，以此作为本论文研究的逻辑起点。自

然垄断行业国有企业改革模式的构建，必须基于坚实的理论基础。为此，笔者着

重分析了产权及竞争的效率机制，在此基础上，引入超产权理论的基本模型，按

照市场结构与产权结构两个维度将企业分为四种类型：垄断性市场环境下的国有

企业与民营企业及竞争性环境下的国有企业与民营企业，深入分析在不同的市场

环境下国有企业与民营企业绩效的差异及原因，并最终推导出竞争、产权与绩效

三者关联性的若干结论，以此作为自然垄断行业国有企业改革的理论基础。理论

的构建需要经验上的支持，我国自然垄断行业的国有企业改革有必要借鉴西方发

达国家的经验教训。因此，本文着重论述了西方发达国家自然垄断行业的国有企

业改革，并将其与我国自然垄断行业的国有企业改革相比较，探询若干有益启示。

本文结合当前我国自然垄断行业存在的主要问题，进一步构建了我国自然垄断行

业国有企业改革的目标模式，该模式以我国垄断行业的国有企业垄断经营为起点，

充分考虑竞争、产权对绩效的影响，把自然垄断行业的国有企业改革分为四个层

浙江财经学院硕士学位论文

面：市场结构改革，目的是打破垄断，引入竞争；对国有企业的布局进行战略性

调整，目的是提高国有企业的控制力；民营化改革，目的是重塑垄断行业的微观

企业主体；重构政府管制体制，目的是彻底实现政企分离，提高管制效率。通过

上述四方面的改革，最终形成在垄断性业务领域以国有企业为经营主体，竞争性

业务领域以民营企业为经营主体的有效竞争格局。

自然垄断行业国有企业改革的目标模式，更多体现出的是当前我国自然垄断

行业改革的共性规律，对于具体行业的国有企业改革，在遵循共性规律的前提下，

还必须结合行业自身的特点及面临的主要问题，提出相应的改革方案。为了将本

文所构建的改革目标模式更好的应用到实践中去，本文选择电力行业为研究对象，

在对当前电力行业的绩效进行多角度定量分析之后，构建了该行业改革的具体模

式，提出若干对策建议，以期对进一步的改革实践有所裨益。

关键词：自然垄断；竞争；产权；绩效；改革模式

浙江财经学院硕士学位论文

III

ABSTRACT

For a long time, it is non-harmonious that the SOE reform and development of our

country, the focal point of the reform of state-owned enterprise is mainly in a large

number of competitive industries, having not administrated the SOE reform of the

natural monopoly industries and fully paid attention to. In the eighties of the 20th

century, our country began to carry on some locality to reform in the natural monopoly

industries. By the 1990s, the reform of the natural monopoly industries of China began

to move forward progressively, having done some tries in separating government

function from enterprise management and introducing the nongovernmental fund etc..

The Third Plenary Session of the 16th Party Central Committee proposed accelerating

the reform of the natural monopoly industries, introducing the plural investment subject

in the monopoly industries, setting up competition mechanism, which would strengthen

encouraging reform of the natural monopoly industries, thus accelerating the steps of

reform, and it has already made the obvious effect in some fields of the natural

monopoly industries. But compared with developed countries in the west, our country

natural reform of monopoly industries at present stays in separate government function

from enterprise management and monopolize on pattern break to original country also,

the efficiency of natural monopoly industries remain low. Under this kind of situation,

the goal mode of structuring a natural SOE reform of monopoly industry which is

suitable for the national conditions of our country seems particularly important, the

writing purpose of this thesis is just because of this.

The final purpose of the natural SOE reform of monopoly industry is for

improving the operation efficiency of the state-owned enterprise, and the enterprise's

performance explained on the whole, is decided by external competition mechanism and

property right mechanism inside enterprises mainly. Making a general survey of the

research of this field at present, we can find an obvious weak point is that the academia

more one is they separated from two angles of property right and competition to

structure theoretical foundation of the reform, but competition, property right,

performance three are closely related .it is meaningful to go on in one frame to launch

the study on SOE reform of natural monopoly industries. The article has analyzed the

economic characteristic of technology and traditional theory and practice which the

state-owned enterprise monopolize of the natural monopoly industry at first, and has

浙江财经学院硕士学位论文

carried on the comparatively detailed commentary , regarding this as the logic starting

point of this thesis. The construction of the natural SOE reform mode of natural

monopoly industries must be on the basis of the solid theoretical foundation. For this

reason, we have analyzed the efficiency mechanisms of property right and competition,

and introduced the basic model of the beyond property- right theory on this basis,

dividing enterprises into four kinds according to market structure and property right

structure: State-owned enterprise and private enterprise under competitiveness

environment ,State-owned enterprise and private enterprise under the monopoly market

environment. I analyzed in depth the relation among the three of competition, property

right and performance, and derived several conclusions with related three finally,

regarding this as the theoretical foundation of the natural SOE reform of natural

monopoly industry. The construction of the theory needs support on experience, in

addition, of our country natural SOE reform of monopoly industry is necessary to use

western experience and lessons of developed country for reference, so, after the theory,

this text has described the SOE reform of the western natural monopoly industry of

developed country emphatically, and compared it with SOE reform of the natural

monopoly industry of our country. When the theory analysis and experience were

analyzed , this text combined the subject matter that the present natural monopoly

industry of our country exists, structure the goal mode of the natural SOE reform of

monopoly industry of our country further, this mode is monopolized for the starting

point with the state-owned enterprise of the monopoly industry of our country, fully

consider the impact on performance of the competition , property right, divide the SOE

reform of the natural monopoly industry into four aspects: market structure reform, the

purpose is to break the monopoly and introduce the competition; carrying on

strategically readjustment to the overall arrangement of the state-owned enterprise. The

purpose is to improve the control of the state-owned enterprise; privatization reform, the

purpose is to reinvent the micro enterprise's main body of the monopoly industry;

constructing the government control system again, the purpose is to realize completely

the government and enterprises separate , improve the efficiency of controlling. Pass the

reform of four above-mentioned respects, form and regard state-owned enterprise as the

management mainstay in the field of monopoly business finally, pattern of effective

competition taking enterprise run by the local people as management mainstay of

business field of competitiveness.

Goal mode of the natural SOE reform of monopoly industry was the generality law

浙江财经学院硕士学位论文

of the present natural reform of monopoly industry of our country that embodied more,

to the SOE reform of the concrete industries, on the premise of following the generality

law, it must also combine the industry's own character and the subject matter faced. For

the goal mode better applying to practice of reform of structuring this text, at the end

partly, this text chooses the electronic power industry to analyze. After analyzing the

performance of the present electronic power industry from several different angles, I

structure the concrete mode of this industry reform, and propose several

countermeasures and suggestions, expecting to practice it to the further reform

beneficially.

Key words: natural monopoly; competition; right-property; effect

浙江财经学院硕士学位论文

第一章导论...................................................... 1

第一节选题意义.................................................. 1

第二节国内外研究综述............................................ 2

第三节论文基本思路与逻辑框架.................................... 4

第四节论文主要创新之处.......................................... 6

第二章传统自然垄断理论与国有企业的垄断经营......................... 8

第一节自然垄断行业的技术经济特征................................ 8

第二节自然垄断行业国有企业垄断经营的传统理论和实践............. 11

第三节自然垄断行业国有企业垄断经营的效率评价................... 13

第三章自然垄断行业国有企业改革的理论分析.......................... 17

第一节竞争的效率机制........................................... 17

第二节产权的效率机制........................................... 18

第三节竞争、产权与绩效的机理分析............................... 20

第四章自然垄断行业国有企业改革的经验分析.......................... 25

第一节西方发达国家自然垄断行业国有企业改革的经验总结........... 25

第二节我国自然垄断行业的国有企业改革........................... 31

第三节中西方自然垄断行业国有企业改革的比较分析................. 35

第五章我国自然垄断行业国有企业改革的模式构建...................... 37

第一节我国自然垄断行业国有企业改革面临的主要问题 .............. 37

第二节我国自然垄断行业国有企业改革的基本思路................... 39

第三节我国自然垄断行业国有企业改革的目标模式................... 43

第六章我国自然垄断行业国企改革的模式运用 ......................... 53

——电力行业的个案分析..................................... 53

第一节我国电力行业的现状分析................................... 53

第二节电力行业绩效分析......................................... 54

第三节电力行业国有企业改革的模式构建........................... 60

结束语.............................................................. 65

参考文献............................................................ 66

后记............................................................. 69

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摘要：

浙江财经学院硕士学位论文I内容摘要长期以来，我国国有企业改革与发展呈现出明显的非均衡性，国有企业改革的重点主要是在大量的竞争性行业，而对于自然垄断行业的国有企业改革没有给予足够重视。20世纪80年代，我国开始在某些自然垄断行业进行了局部性改革，到20世纪90年代，中国自然垄断行业的改革开始逐步推进，在政企分开和引进民间资金等方面做了一些尝试。十六届三中全会提出要加快自然垄断行业的改革，在垄断行业要引进多元投资主体，建立竞争机制，对自然垄断行业要加强激励性管制等思路，从而加快了改革步伐，且在自然垄断行业的某些领域已经取得了明显的成效。然而与西方发达国家相比，目前我国自然垄断行业的改革还停留在政企...

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