日 本 特 殊 法 人 研 究/

2019-04-30 08:59:50

reform 日本 monopoly 法人 Japan



论 文 摘 要

论文题目:日本特殊法人研究
专 业:世界经济
指导教师:池 元 吉 教 授

在中国国有企业改革取得重大进展、开始逐步触及到自然垄断行业的今天,在自然垄断行业国有企业有无存在的必要、存在一定时间之后为什么让它退出以及如何才能顺利退出等这些问题,越来越成为理论界的关注的焦点和中央、地方主管部门以及国有企业经营者感到困惑的问题。由于日本与中国一样,同属“赶超型”、“政府主导型”市场经济体制,本文尝试着以“日本特殊法人研究”为题,对上述问题进行比较深入的探索。全文由绪论(作为第一章)和另外七章组成。
第二章为理论探讨与文献综述。主要是对日本特殊法人发展的相关理论问题进行探讨,并对现有相关文献进行重新梳理,概括性地描述前人的研究成果,对后文分析作理论上的准备。这一章主要探讨了自然垄断行业的性质及其动态变化、自然垄断行业建立国有企业的原因与历史必然性,以及自然垄断行业国有企业的退出问题。
第三章为日本特殊法人的内涵、形态及其运营。本章主要对日本特殊法人的界定、内涵、形态及其运营进行介绍,为在后面的几章对日本特殊法人进行深入分析做铺垫。
第四章为日本特殊法人的设立原因、发展历程及积极作用。日本特殊法人的设立原因是多方面的,其发展历程绝不是一帆风顺的,在战后经历了大起大落,它们所起到的积极作用是不可磨灭的。本章主要对日本特殊法人的设立原因、发展历程及其积极作用进行详细分析和阐述。
第五章为日本特殊法人改革的背景和改革历程。随着20世纪70年代初日本经济高速增长时代的结束,随着市场规模的扩大与技术水平的提高,一些传统的自然垄断领域,其自然垄断性不断削弱,可竞争性在增强。另一方面,随着特殊法人的不断发展和作用范围的扩大,在国有企业二重性特征的作用下,其负面效应及其体制本身的弊端也日益突出。特殊法人的增加也导致国家机构的扩大、国家支出的增加和财政危机的加深。正是在这样的背景下,20世纪80年代中后期日本开始了战后第一次大规模的特殊法人改革,主要是对三公社的民营化。20世纪末21世纪初日本政府又对特殊法人特别是邮政事业进行了重点改革。
第六章为日本对国铁和电信的改革。20世纪80年代中后期,以日本电信电话公社、日本国有铁道公社、日本专卖公社为代表的特殊法人民营化实质上是将民间资本引入大型国有企业形成公私混合经济体的过程。因引入了私人资本,持股相对分散,对加强管理和监督,提高企业竞争力和经济效益无疑有很大的促进作用。从实践上看,效果也是明显的,是相当成功的国有企业改革的范例。由于日本专卖公社的改革继续维持了烟叶全部收购义务、维持了公司的垄断地位、维持了固定零售价格制度、维持了新公司对香烟生产的垄断,因此,改革没有取得实质上的进展。本章重点探讨日本两个非常典型的自然垄断行业的特殊法人即国有铁道公社和日本电信电话公社的改革情况。
第七章为日本对邮政的改革。邮政行业属非常典型的自然垄断行业。战后以来,日本邮政事业一直实行国有国营。只不过在2003年4月,邮政事业由邮政事业厅直接经营改为由新成立的邮政公社经营。2004年9月,日本政府通过了《邮政事业民营化的基本方针》,2005年10月,又通过了邮政民营化法,法律规定,自2007年4月开始推行邮政公社民营化,到2017年9月彻底实现民营化。日本邮政事业的改革无疑对我国邮政事业如何推进改革具有重要的借鉴意义。本章重点对日本邮政事业的发展历程、积极作用、改革背景、改革方针及最新进展进行介绍和分析。
第八章为日本特殊法人的沿革及对中国的启示。日本与中国一样,同属“赶超型”、“政府主导型”市场经济体制,对日本的特殊法人特别是自然垄断行业的特殊法人设立历史、发展历程、积极作用、消极影响、改革经过及成果进行详细分析和阐述,从中借鉴经验、吸取教训,必然能够更好地推进中国的国有企业特别是自然垄断行业的国有企业的改革。本章首先介绍了中国自然垄断行业特别是铁路、电信、电力、石化行业国有企业的发展及现状,然后阐述了日本特殊法人改革特别是国铁、电信电话、邮政这三家公社民营化对中国的启示。
总之,本文在阐述自然垄断理论、在自然垄断行业建立国有企业的必要性及退出原因的基础上,对日本的特殊法人特别是建立在自然垄断领域的特殊法人的运营、设立原因、发展历程及其积极作用进行了详细的分析和阐述,然后对日本特殊法人改革的背景及其改革历程做了总体分析和介绍,接着对日本自然垄断行业的三个典型国有企业即国有铁道公社、电信电话公社和邮政公社的发展历程、积极作用、存在的弊端、改革经过及成果进行了详细的剖析,最后在介绍中国自然垄断行业的国有企业特别是铁路、电信、电力、石化行业的发展历程及现状的基础上,提出了日本特殊法人改革对中国自然垄断行业国有企业改革的几点启示,即依法推进、循序渐进、保持稳定、注重和谐等。希望本文能对中国自然垄断行业国有企业改革的顺利开展有所帮助。



Abstract

Title of Thesis: Study on Special Corporations in Japan
Major: World Economy
Advisor: Prof. Chi Yuanji

As China’s reform of State-owned Enterprises has made considerable progress, The target of reform turn to the natural monopoly industries today. Is it necessary to maintain the existence of the monopolistic State-owned Enterprises? Why they should quit after a long term existence? And how they can quit successfully? These are very important and very difficult problems faced by the theoreticians and the policy makers. Because that Japan has a economic system and institution arrangement similar with China in some aspects just like “Overtake model”, “Government-oriented Economy”, etc., So this paper put the focus on the Special Corporations in Japan and try to draw some implications for China’s reform of State-owned Enterprises in natural monopoly industries.
The whole paper included a preface (as Chapter 1) and other 7 chapters.
Chapter 2 is a theoretic discussion and literature review. This chapter discussed the theoretic problems related with Japan’s Special Corporations to make a theoretic prepare for the analysis in next chapters. In this chapter, the main problems discussed are the nature of natural monopoly industries and its dynamic changes, the cause and necessity of the State-owned enterprises’ existence in these industries, and their exit.
Chapter 3 introduced the concept, the conformation and the operation of Special Corporations in Japan. In this paper, “Special Corporation” defined as a public enterprise not directly attached to a Division of a Ministry, an agency, or a local government. It may be founded under a special law or jointly established by the government and the private sector.
Chapter 4 introduced the cause of establishment, the development and the positive effects of Japan’s Special Corporations. The establishment of the Special Corporations in Japan after the World War II has complex background, its development experiences are flexuous, and its positive effects for Japanese economy are undeniable.
Chapter 5 analyzed the background and the experiences of Japan’s reform of the Special Corporations. With the termination of the high speed growth period at early 1970’s, with the enlargement of the size of market, and the progress of technology, the monopolistic character in some traditional natural monopoly industries generally decreased. On the other hand, the nature of dualism of the State-owned Enterprises has some negative effects, and these effects will be more and more obvious as time goes by. And last but not least, the development of Special Corporations will increase the financial burden of the governments. Theses factors made Japan’s policy makers made the decision to reform the Special Corporations in some traditional natural monopoly industries at 1980’s, especially the famous “three public corporations”. And at the begin of 21st century there is a second wave of reform in Japan.
Chapter 6 analyzed the reform experiences of Japanese National Railways (JR) and Nippon Telegraph and Telephone Public Corporation (NTT). The privatization reform of these Special Corporations at middle and late 1980’s are in fact a process to introduce the private capital into the big State-owned Enterprises and to build some kind of mixed enterprises. Introducing private capital would improve the management and the corporation governance, increase the competitiveness and profit, so these are the successful examples. On the contrary, the reform of Japan Tobacco & Salt Public Corporation had not got the real improvement because it didn’t change the capital structure and monopoly status of the corporation.
Chapter 7 analyzed ed the reform of post sector in Japan. This sector is a typical natural monopoly industry, and in Japan it was owned and operated directly by the government. And it just reorganized to be a public corporation just at 2003. After that, Japanese government and congress passed the law about the privatization of this public corporation at 2004 and 2005. this chapter introduced the development and the positive effects of state owned post service sector in Japan, and analyzed the background, the direction and the newly progress of the reform in this sector.
Chapter 8 discussed the implications of the reform in Japan for the reform in China. Because that Japan has a economic system and institution arrangement similar with China in some aspects just like “Overtake model”, “Government-oriented Economy”, etc., the development of Special Corporations in Japan and their reform must have valuable lessons for China’s reform of State-owned Enterprises, especially the enterprises in the traditional natural monopoly industries. This chapter summarized these implications based on a concise discussion of the situations of China’s State-owned Enterprises in the railway, telecom and post sectors.
In short, based on the analysis of the theory of natural monopoly and State-owned enterprises in the natural monopoly industries, this paper discussed the background, the operation, the development, the effects for economic growth of the Special Corporations in Japan, especially in the natural monopoly industries, and analyzed the reform of Japan’s State-owned Enterprises in natural monopoly industries, especially Japan National Railways, Nippon Telegraph and Telephone Public Corporation and Japan Post Public Corporation. At the end of this paper, the author summarized some implications for China’s reform of State-owned Enterprises in natural monopoly industries based on an introduction of China’s reform experiences in railway, telecom and post sectors.