论文标题:中国石油产业组织研究
On China"s Petroleum Industrial Organization
论文作者 杨嵘
论文导师 王忠贤,论文学位 博士,论文专业 农业经济管理学
论文单位 西北农林科技大学,点击次数 92,论文页数 155页File Size10284k
2002-04-01论文网 http://www.lw23.com/lunwen_616619802/ 石油产业;产业组织;市场结构;市场行为;市场绩效;寡头垄断
petroleum industry;industrial organization;market structure;market conduct;market performance;oligopoly
产业组织是指同一产业内企业与企业之间的关系。产业组织的核心问题是垄断与竞争的关系问题，产业组织优化的目标就是要实现产业的有效竞争，这是产业组织理论最基础的内容。SCP循环是主流产业组织理论的分析范式，众多研究成果表明，结构、行为、绩效之间的关系对某一特定产业的发展，对某一特定产业中企业的进入退出决策、重组决策、规模经济决策、价格决策等至关重要，是影响产业组织优化决策的主要因素。 中国石油产业市场结构的基本特征是产业层面上的分割分治及垄断经营，以及企业层面上的低集中度与规模不经济，同时，市场准入的高壁垒阻碍了其它主体参与市场竞争，缺乏市场形成的高集中度所带来的规模经济效应，整个石油产业的市场结构亟待重新整合。 市场行为是指产业市场上具有市场主体地位的企业为追求自身利益最大化而采取的对付竞争对手、适应市场环境的行为。中国石油企业已经历了20多年市场化取向的改革实践和探讨，但由于长期计划经济体制运作下的惯性作用，其市场行为实质还具有很强的“过渡性”色彩，政府高度规制、企业自组织力量不足是市场行为的基本表现。不论是从价格行为，还是从组织调整行为上看，政府行政力量介入过多，石油企业自组织能力不足，这已成为石油产业市场绩效不确定的重要原因。 有效竞争作为产业组织优化的目标模式，是对市场上企业之间垄断与竞争态势的理想状态的综合描述，即是对市场结构、市场行为和市场绩效等方面的综合把握。根据产业组织理论，结合石油产业的特点和中国石油产业发展现状，本文认为，中国石油产业组织优化的目标隐含了国家和企业的行为目标，双方行为的均衡就是石油产业组织优化目标的实现。具体来说，中国石油产业组织优化的目标模式是：从市场结构看，是规模经济与竞争活力兼容的寡占型市场结构；从市场行为看，一方面，政府能依据法律和规章实施有效的规制，另一方面，企业具有很强的自组织能力。政府“被组织”力量与企业自组织力量的有机融合是市场行为优化的目标；从市场绩效看，资源配置达到最优，产业国际竞争力增强。 按照产业组织的SCP理论范式，市场结构决定市场行为，市场行为影响市场绩效。所以，优化中国石油产业组织的首要环节应从市场结构开始。有效竞争是理想的市场结构必须具备的基本特征，也是评价、构建市场结构的理论依据。通过各种市场结构的比较分析，得出寡头垄断是与有效竞争要求偏差最小的一种市场结构形式。世界各国石油产业市场结构的主要形式是寡头垄断。对石油产业来说，寡头垄断既可以有效实现规模经济效益，又可保证政府对其有效调控，还可促进石油企业技术创新能力的提高。可供中国石油产业选择的寡头垄断的市场结构模式有四种，本文经过比较二 中国石油产业组织研究分析认为，多元制模式是优化中国石油产业市场结构的目标模式。 企业自组织能力成长是产业组织优化的微观基础。但是长期以来，中国石油产业组织形成过程中企业自组织能力缺乏，严重制约了石油企业的成长和发展，阻碍了石油产业组织的优化。为此，本文指出，建立现代企业制度和实施企业重组是石油企业自组织能力成长和发展的有效途径。企业之间通过产权流动、整合，以及与此相伴随的企业组织结构、组织形式、管理模式等的改造，提供石油企业自组织能力生成的环境与条件，并通过企业重组使企业自组织能力获得进一步发展，最终使企业核心竟争力得到提高。 利用企业自组织行为来推动石油产业组织优化是增强产业竞争力的根本途径。但由于市场自身存在的缺陷，在市场机制调节下，由企业自组织行为所形成的石油产业内企业与企业之间的关系可能是优化的，也可能是劣化的（垄断或过度竟争）。为此，需要政府依据有关法律法规，对石油企业的生产经营行为进行有效的规制。根据国外石油产业政府规制改革的经验，针对中国石油产业政府规制的现状，中国石油产业政府规制改革的目标和政策建议是：区分自然垄断领域与非自然垄断领域，采取有差别的规制政策；建立独立的规制机构，实现政企分开；引入竞争机制，放开进入壁垒；科学定价，提高政府宏观调控石油资源的效率。上述目标的实现将为石油产业组织的优化奠定良好的制度基础。 加入WTO标志着中国石油产业市场国际化进入了一个新的阶段，国际石油市场的发展趋势将对中国石油产业组织产生深刻的影响。面对国际石油竞争愈演愈烈，较强的产业竞争力是取得国际石油竟争胜利的必要保证。但是不论是从竟争实力、竟争潜力，还是竟争环境来看，中国石油产业与国外相比均具有较大差距。因此，实施大石油公司战略，加强科技创新以及构建多层次的战略联盟是我们在市场国际化条件下优化石油产业组织的重要保证。
The term Industrial Organization refers to the relations among enterprises within one industry. The core issue of industrial organization is the relation between monopoly and competition. The goal of optimizing industrial organization, which is foundation of industrial organization theory, is to realize effective competition of the industry. A lot of studies delicate that the relations among structure, conduct and performance, as a major factor of optimizing industrial organization, is very important to making decisions on entry-and-exit, restructure, scale economy and price in certain industry.Market structure of China"s petroleum industry has some distinct characters. On the industry level, administration is geographically divided and operation is monopolistic; on the enterprise level, concentration is low and scale non-economy exists. Meanwhile, high entry barriers hinder other competitors from participating in market competition, resulting in poor efficiency of the industry. The market structure of whole petroleum industry demands restructuring and integrating.Market conduct of an enterprise holding dominant position in the market refers to its behaviors to deal with its competitors and adapt itself to market surroundings for maximizing its profit. China"s petroleum enterprises have been experiencing market-oriented reform for more than years. Because of the inertia! effect of planning economic system, however, the market conduct of China"s petroleum enterprises has a strong characteristic of "transitional period", which leads to lack of the ability of enterprises" self-organization and highly governmental regulation. In terms of both price determining and organization adjusting, there exist excessive government regulation and little ability of enterprises" self-organization, which results in uncertainty of market performance.As a goal pattern of optimizing industrial organization, effective competition is a comprehensive description of relation between monopoly and competition among enterprises, which is a comprehensive understanding of market structure, market conduct and market performance. This dissertation holds, according to industrial organization theory, and in the light of the features and status quo of China"s petroleum industry, that the definition of optimizing industrial organizational implies the behavioral goals of government and enterprises and that the behavioral equilibrium of government and enterprises is the realization of the goal of optimizing petroleum industrial organization. Particularly speaking, the goal pattern of optimizing China"s petroleum industrialorganization is as following. Firstly, from the view of market structure, the market is oligopoly with scale economy and competition. Secondly, from the view of market conduct, the government can exercise effective regulation by laws and rules, while enterprises have sufficient ability of self-organization. The organic integrating of government"s effective regulation and enterprises" self-organization is the goal of optimizing market conduct. Thirdly, from the view of market performance, the allocation of resources will reach the optimism and the international competitive ability will be strengthened.According to the SCP theory, market structure determines market conduct and market conduct in turn affects market performance. Therefore, optimizing China"s petroleum industrial organization should begin with market structure. Effective competition is the basic feature of effective market structure and a criterion for assessing market structure. Through comparative analyses of four market structures, we reach a conclusion that oligopoly is a market structure that has a minimized deviation from effective competition. The market structure of international petroleum industry is largely oligopoly. With oligopoly petroleum industry could reach scale economy, guarantee the governmental effective regulation and promote the ability of technology innovation. There are four patterns of oligopoly market structure for option, and the
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