论文标题:中国汽车工业产业组织政策研究
The Civil Ability of Market Corner in Futures Trade
论文作者 孙宏岭
论文导师 李一鸣,论文学位 硕士,论文专业 产业经济学
论文单位 西南财经大学,点击次数 109,论文页数 94页File Size605k
2005-04-01论文网 http://www.lw23.com/lunwen_567653002/ 产业组织政策;汽车工业;市场结构;市场行为;市场绩效
The policy of industry organization; Auto industry; Market structure; Market conduct; Market performance
产业组织理论是以具体的特定产业为研究对象,着重研究产业的规模经济、产业内部企业间的竞争与垄断关系,以谋求规模经济与市场竞争活力相兼容的有效竞争。产业组织理论的奠基人贝恩提出了结构-行为-绩效(SCP)的研究框架,后来随着理论的不断发展和修正,形成了新的 SCP 研究框架,它仍然是以市场结构、市场行为和市场绩效为核心,但这个新的框架强调三者是一个动态的、长期的、相互影响的关系,这就形成了产业组织理论的基础和研究方法。 产业组织政策是整个产业政策体系中的核心内容。产业组织政策就是要解决如何处理规模经济和竞争活力两者的关系,以取得较高的经济效率这个现代产业组织理论所探讨的核心问题。所以,政府制定产业组织政策的直接目标就是促进产业组织合理化,在总体上保证整个产业既能实现规模经济,又有竞争活力,提高产业的经济效率。 本文主要是遵循如下思路来分析研究中国汽车工业产业组织政策: 论文的第一部分对产业组织理论的起源、形成和发展以及产业组织政策作了一个较为详细的介绍和说明。 论文的第二部分介绍了中国汽车工业的发展历程和现状以及对1994 年的《汽车工业产业政策》中产业组织政策执行的反思。 针对中国汽车工业的发展状况,国务院在 1994 年就制定并实施了《汽车工业产业政策》,但是,这个产业政策中的产业组织政策的实施是没有达到目的的。从整体上看,中国汽车工业产业组织结构还是很分散,和发达国家的汽车工业相比,中国的汽车整车生产企业太多,自实施汽车产业组织政策以来,汽车生产企业数并没有明显减少。产业组织政策的实施没有达到预想的效果。 造成产业组织政策失效的原因主要是:(1)行政性重复建设抑制不力。地方政府上马汽车项目的进入管制失效,政府间的博弈使产业组织政策难以落实。由于地方政府发展汽车项目的积极性很高,于是2出现分散、重复投资,使得汽车工业产业组织结构更加不合理。(2)保护过度。过度保护所产生的超额利润使企业缺乏改革和创新的动力,阻碍了在产业组织整合和优化过程中企业自我组织能力的成长和作用的发挥,产品的国际竞争力很弱。(3)滞后的汽车消费政策。生产和消费是相互促进的,没有与生产领域相配套的消费政策来支持汽车工业的产业组织结构的优化。 论文的第三部分,总结了日本和韩国汽车工业产业组织政策实施的经验。日本政府的产业组织政策推行的是寡头垄断组织结构和纵向行业分工协作体系。韩国的主要经验是政府的产业组织集团化的发展政策。日韩两国能给我国制定产业组织政策提供许多可借鉴的经验,当然也有我们需要反思的问题。论文的第四部分通过运用 SCP 框架对中国汽车工业进行产业组织分析,我们可以看到中国汽车工业存在着如下问题: 一、从市场结构来看:(1)市场集中度。我国最大的三家汽车生产企业上汽、一汽和东风 2003 年的 CR3只有 50.2%,而我国的 CR10为 82.4%都不能达到日本 1994 年 CR3为 86%的水平,这说明了我国汽车工业整体市场集中度很低,与汽车工业发达国家差距还很大。(2)规模经济。2003 年,全国有 115 家汽车生产厂家,其中产量超过 50万辆的企业只有上汽和一汽,对于它们来说,规模经济效益开始初步显现。但与世界级的汽车生产企业相比,中国汽车工业企业的规模仍然偏小。(3)进入壁垒。我国近年来汽车整车生产企业数一直是 120家左右,生产厂商的数量比美、日、德、意、法、英、韩等 7 国的总和还多,27 个省市都有自己的整车企业,经济性进入壁垒是非常低的。 二、从市场行为来看:(1)价格行为。汽车市场这几年的价格战是愈演愈烈,汽车产品的价格较上世纪90年代末下降了许多,而产能的提升是汽车降价的先决条件,汽车行业的价格虚高和巨额利润给汽车降价提供了空间。(2)非价格行为。产品差异化和广告策略还是能够对那些潜在的进入者提高进入壁垒,但这种影响在逐渐减弱,许多消费者对国际知名品牌的忠诚度很高;企业间的兼并重组行为时有3发生,但大多是由政府推动的,而不是由市场竞争产生的自发行为 。 三、从市场绩效来看:(1)利润水平。我国汽车行业的利润水平相当高,即使和国外知名汽车厂商相比,也是大大超过,但这并不完全是由市场竞争而形成的,很大程度上是得益于高度保护的产业政策。(2)技术进步与产品创新。中国汽车工业在技术水平上已经得到了较大的提升,现在仍然存在技术引进较大的空间,我们还是处在以技术引进为主的创新过程中。但中国汽车工业用于R&D的投入很低。(3)生产能力和生产效率。中国汽车生产企业逐步逼近国际汽车工业企业的生产最低经济规模。但是劳动生产率很低。在消化、吸收引进技术和引进车型国产化的能力有了较大提高。论文的最后一部分是针对新《汽车产业发展政策》提出完善中国汽车工业产业组织政策的建议。在 1994 年的《汽车工业产业政策》运行了十年之久时,国家发改委于 2004 年 6 月颁布了新《汽车产业发展政策》。“治理投资过热,重复建设”依然是此次 2004 版汽车产业政策出台的背景。所以,这次新《汽车产业发展政策》的颁布实施重要目的就是提高汽车行业的进入门槛,限制行业外资本
Theory of industry organization is study the large-scale production,the competition between enterprises and monopoly inside a specificindustry. It seeks the Effective competition between large-scaleproduction and market competition vigor. J .S .Bein , the founder of thetheory of industry organization, set up a studying frame of marketstructure-market conduct-market performance. With the developmentof the theory, other economists revised the studying frame and formed anew one. The new studying frame is also based on the market structure-market conduct-market performance. But it emphasized a relationshipas dynamic, long-term and inter-influencing. The policy of industrial organization is the key content in the wholeindustrial policy system. The policy of industrial organization deals withthe relation between large-scale production and market competition vigorand gets high economic efficiency. The direct goal of the policy ofindustrial organization the government made is to promote therationalization of industrial organization. In this article, I study the theory of industry organization of autoindustry like this: The first part of this article I introduct the origin and development ofthe theory of industry organization. The second part of this article is about the State Department hasestablished the Industrial policy of auto industry in 1994. Theimplementation of the policy of industrial organization is unsuccessfulbasically. As a whole, the structure of the auto industry organization isvery scattered. We have too many automobile factories. With theimplementation of the police, the number of our automobile factoriesdoesn’t decrease. The policy of industrial organization has not achievedits goals. The reasons that we fail in implementing the policy is: (1)Administrative repeated constructions can"t be suppressed. The localgovernment develops the auto industry actively. So the phenomenon ofrepeated investment is serious. The government protects the auto industryexcessively. So it has hindered the ability of innovation of the autofactories. The international competitiveness of our auto products is veryweak. (3) The policy of automobile consumption lags behind. So it cannot support the implementation of the policy of industry organization. The third part of this article I introduce the experiences whenJapanese and Korea implement their policy of industry organization. The fourth part of this article I use the SCP frame to study the autoindustry of China, and find out many problems: From the market structure: (1)The CR3 of the three biggest autoenterprises Shanghai automobile factory, the NO.1 automobile factoryand the Dong feng automobile factory is 50.2%. It has showed thatconcentration degree of whole market of auto industry of our country isvery low. (2)In 2003, there are 115 automobile factories in China, butonly tow enterprises’ output has exceeded 500,000. So the scale of theChinese automobile industrial enterprise is still small. (3) 27 provincesand cities have their own automobile enterprises. The economic enteringbarriers of the automobile industry are very low. From the market conduct: (1)The price competition of theautomobile products is very fierce. The price of the automobile productshas decreased much comparing the end of the 1990s last century. (2)Thedifferential of the products and advertising tactics can enhance theentering barriers of the potential entrants, but this kind of influence isfading gradually. The behaviors of annexation and recombination happenoften. But the behaviors are promoted by the government, not by themarket mechanism. From the market performance: (1)The profits of the auto industry ofour country is quite high. The profits are far more than the internationalautomobile manufacturers. (2) The Chinese auto industry has alreadypromoted quickly on the engineering level. But we are still in the stage ofimporting technology and the input of research and development is verylow. (3) The labor productivity of Chinese automobile enterprises is verylow, and the capacity of th
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