可竞争市场上的进入壁垒——非经济垄断的理论和实证分析

The Barriers to Entry of Contestable Market——Theoretical and Empirical Analysis of the Non-economical Monopoly

本文把垄断和竞争放在统一的理论框架内分析,因而能够发现中国大量存在的垄断与竞争交织的市场结构,能够发现在可竞争市场上也存在着局部垄断,存在着许多不公平竞争,这些行为表现为系统的偏离均衡的结果。本文通过企业成本模型,区分和厘清了垄断的不同性质,从理论上界定了非经济垄断的范畴,并提出相应的假设;然后,采用中国1998—2008年部分企业数据,选择了六个同质性较高的行业,通过对成本函数和勒纳指数的测定,以及对成本曲线的拟合与比较,检验这种性质的垄断是否存在。实证分析结果证实并表明这种非经济垄断长期和稳定地存在于不同所有制的企业之间。这种垄断与公平竞争的市场经济是完全相悖的,它保护了低效率的长期存在,不仅导致社会资源错配引起的社会效率和福利的损失,而且导致公平的损失是存在大量腐败现象的根源。由此,本文提出:调整目前产业法规及政策细则,打破非经济垄断和促进合理竞争,消除市场的进入壁垒与退出壁垒。

Owing to putting the competition and monopoly in a unified theoretical framework, we can find a large number of market structures interweaving competition with monopoly, the partial monopoly and the unfair competitions in the contestable markets, which leads to the system＇s deviation from equilibrium. Firstly, using the enterprise＇s cost model, we distinguish and clarify the different nature of monopoly theoretically, and define the scope of the non-economic monopoly, then put forward the corresponding assumptions. Secondly, based on the Chinese firms＇ dataset from 1998 to 2008 in 6 industries, the translog cost model is constructed. Furthermore, the average cost function and Leruer Index is measured and compared among the enterprises with three kinds of ownerships. The empirical result verifies that the non-economical monopoly stably exists between the enterprises with different ownership in the long run. The non-economical monopoly is completely contradicting the fairly competitive market economy and protecting the long-term existence of low efficiency, which results in the loss of social welfare, unfairness, and corruption. Finally, some policies suggestion： to promote competition and break the non-economical monopoly, to adjust the industrial policy and regulations for removing the barrier to entry/exit.