【摘要】：航空運輸業(yè)的歷史已近百年。從最初少數(shù)人“能負擔”的交通方式,到成為我們出行的基本選擇。航空運輸業(yè)百年的歷史中,呈現(xiàn)了獨特的演變歷程。從產(chǎn)業(yè)政策看,主要航空運輸大國基本從發(fā)展初期的嚴格管制到輔以反壟斷監(jiān)管的放松管制,國際航空運輸由嚴格的雙邊協(xié)定體制到“天空開放”和區(qū)域航空一體化。從依托的主要生產(chǎn)工具看,從活塞螺旋槳飛機到噴氣式飛機再到大型化、高速化新一代運輸飛機的出現(xiàn)。從企業(yè)組織形式和產(chǎn)業(yè)發(fā)展看,從運營簡單的點對點航線的航空公司,到運營中樞輪輻射式航線網(wǎng)絡(luò)的航空公司占主導(dǎo),再到運營點對點航線的低成本航空公司再度興起,以及航空公司跨國聯(lián)盟的形成。通過對航空運輸業(yè)演變歷程中繁雜表現(xiàn)的梳理,剝離出其內(nèi)的演化機制,用規(guī)范的經(jīng)濟學(xué)方法給予解釋,既可從理論上豐富產(chǎn)業(yè)經(jīng)濟學(xué)的研究方法,對正處于快速發(fā)展期的中國航空運輸業(yè),如何及時調(diào)整政策,也可以提供理論上的支持。 論文以演化經(jīng)濟學(xué)分析方法為主要工具,融合產(chǎn)業(yè)組織理論和運輸經(jīng)濟學(xué)研究成果,從歷史、動態(tài)的視角剖析航空運輸演化的內(nèi)在機制。 首先,論文梳理了經(jīng)濟學(xué)發(fā)展過程的演化思想與演化經(jīng)濟學(xué)的形成發(fā)展,總結(jié)了演化經(jīng)濟學(xué)分析的基本理論范式；對產(chǎn)業(yè)組織研究中演化分析方法的應(yīng)用進行了跟蹤,提出演化動力機制、產(chǎn)業(yè)演化路徑選擇機制和產(chǎn)業(yè)演化的刻畫與描述是產(chǎn)業(yè)演化研究的主要內(nèi)容；在對運輸經(jīng)濟學(xué)的學(xué)術(shù)研究框架進行歸納的基礎(chǔ)上識別了運輸經(jīng)濟學(xué)不同于其他產(chǎn)業(yè)的技術(shù)經(jīng)濟特點。 第二,在以上研究基礎(chǔ)上,論文構(gòu)建了航空運輸業(yè)的演化模型。論文認為航空運輸產(chǎn)品、資源、網(wǎng)絡(luò)經(jīng)濟的特殊性恰是航空運輸業(yè)區(qū)別于其他產(chǎn)業(yè)的技術(shù)經(jīng)濟特點,是其演化的基本“遺傳”信息,而航線網(wǎng)絡(luò)是這些“遺傳”信息的載體,是航空運輸業(yè)演化中的基因?qū)?yīng)物。航空運輸業(yè)發(fā)展過程中,需求、技術(shù)和制度則構(gòu)成了航空運輸演化的外部制約與選擇環(huán)境。 航空運輸業(yè)的演化是基于環(huán)境的變化,航空公司根據(jù)自身資源,通過網(wǎng)絡(luò)調(diào)整,以有效方式提供滿足需求的產(chǎn)品的過程。航空運輸業(yè)的演化過程中,需求是產(chǎn)業(yè)演化的基礎(chǔ),技術(shù)創(chuàng)新是基礎(chǔ)性的推動力量,需求變化與技術(shù)創(chuàng)新提供了制度創(chuàng)新和產(chǎn)業(yè)系統(tǒng)累積式變遷的根本誘因、基礎(chǔ)平臺和漸進動力；而制度變遷則為系統(tǒng)激進式變遷提供了激勵結(jié)構(gòu)以及航空公司組織慣例突變的內(nèi)生機制和外部壓力,是航空運輸業(yè)演化的關(guān)鍵。需求、技術(shù)與制度的變化通過影響航空運輸業(yè)的產(chǎn)品、資源和網(wǎng)絡(luò)經(jīng)濟性,帶來了機會集合的變化。航空公司在變化的環(huán)境中,通過組織的創(chuàng)新,提供滿足需求的產(chǎn)品,取得比較優(yōu)勢,實現(xiàn)組織生存與壯大。航空運輸業(yè)產(chǎn)業(yè)演化過程也是學(xué)習(xí)和知識累積過程。在與環(huán)境的動態(tài)適應(yīng)過程中,缺乏生命力的組織形式被逐步放棄和退化,更有效的組織形式被保留、發(fā)展并被模仿,適應(yīng)、學(xué)習(xí)與模仿結(jié)果的宏觀涌現(xiàn)最終表現(xiàn)為航空運輸業(yè)的產(chǎn)業(yè)演化,也即居主導(dǎo)地位的不同運營模式航空公司的出現(xiàn)和變化。 第三,為了進一步論證模型的有效性,論文從理論和實證方面對模型進行了多角度的檢驗。從理論上分析航空運輸產(chǎn)品的異質(zhì)性與航空公司運營模式的內(nèi)在聯(lián)系,證明了需求是航空運輸業(yè)演化的基礎(chǔ),提供滿足需求的產(chǎn)品是航空運輸業(yè)演化的最終結(jié)果與表現(xiàn)�？疾炝嗣绹娇者\輸業(yè)的演化歷程,著重分析了需求、技術(shù)變化對美國航空運輸制度變遷的影響及制度變遷的實現(xiàn),從航空公司視角著重分析了環(huán)境變化后航空公司構(gòu)建中樞輪輻式航線網(wǎng)絡(luò)的動因與航空公司采取的行動,通過一個簡單的“價格擠壓”模型分析了技術(shù)發(fā)展對航空公司的影響。此外,通過論文構(gòu)建的演化模型證明,國際航空運輸業(yè)中制度安排的變化、資源的約束、全球化的航空運輸需求,使得在國際航空運輸中航空公司通過戰(zhàn)略聯(lián)盟構(gòu)建全球網(wǎng)絡(luò)成為理性的選擇。 第四,論文分析了我國航空運輸業(yè)的演化。論文研究建立的演化模型對中國航空運輸業(yè)二十年的演化過程也給予了很好的解釋�，F(xiàn)階段中國航空運輸業(yè)在快速發(fā)展的同時,出現(xiàn)了航空公司運營模式的同質(zhì)化,航空運輸產(chǎn)品供給的多樣性不足等問題,空域、機場、專業(yè)人員等資源制約和制度環(huán)境的不適應(yīng)開始凸現(xiàn)。 最后,論文基于研究結(jié)論對中國航空運輸業(yè)的發(fā)展從優(yōu)化演化環(huán)境角度提出了政策建議。我國航空運輸業(yè)已進入了制度變革的機遇期,建議進行更趨向自由化的制度安排調(diào)整,以產(chǎn)品多樣化來提升我國航空運輸業(yè)產(chǎn)業(yè)結(jié)構(gòu)的高度化。形成行業(yè)管理部門與國家相關(guān)部門的有效配合機制,鼓勵技術(shù)創(chuàng)新和優(yōu)化制度環(huán)境,提高航空運輸業(yè)發(fā)展的資源豐裕度。行業(yè)管理思路要從單純注重行業(yè)發(fā)展,轉(zhuǎn)向注重行業(yè)發(fā)展與消費者利益并重。同時,在放松經(jīng)濟規(guī)制的同時,要完善反壟斷監(jiān)管,維護市場的競爭格局,確保經(jīng)濟的自然選擇對產(chǎn)業(yè)演化發(fā)展的正向作用。
[Abstract]:The air transport industry has a history of nearly one hundred years. From the initial "affordable" mode of transportation for a few people to the basic choice of our trip, the air transport industry has shown a unique evolution in the past century. From the perspective of industrial policy, the major air transport countries have basically changed from the strict control in the early stage of development to the liberalization of anti-monopoly supervision. Loose control, international air transport from a strict bilateral agreement system to the "open sky" and regional aviation integration. Relying on the main tools of production, from the piston propeller aircraft to jet aircraft to large-scale, high-speed new generation of transport aircraft. The airlines on point-to-point routes, the airlines operating hub-to-point routes, the low-cost airlines on point-to-point routes, and the formation of transnational alliances of airlines are dominant. Economic methods can not only enrich the research methods of industrial economics in theory, but also provide theoretical support for the rapid development of China's air transport industry.
This paper takes evolutionary economics as the main tool, combines the theory of industrial organization and the research results of transport economics, and analyzes the internal mechanism of the evolution of air transport from a historical and dynamic perspective.
Firstly, the paper combs the evolutionary thought of the development process of economics and the formation and development of evolutionary economics, summarizes the basic theoretical paradigm of evolutionary economics analysis, traces the application of evolutionary analysis method in the study of industrial organization, puts forward the evolutionary dynamic mechanism, the mechanism of choosing the path of industrial evolution and the description and description of industrial evolution. Description is the main content of the research on industrial evolution, and on the basis of summarizing the academic research framework of transport economics, this paper identifies the technical and economic characteristics of transport economics which are different from other industries.
Secondly, on the basis of the above research, the paper constructs the evolution model of the air transport industry. The particularity of the air transport products, resources and network economy is just the technical and economic characteristics that distinguish the air transport industry from other industries. It is the basic "genetic" information of its evolution, and the route network is the carrier of these "genetic" information. In the process of the development of air transport industry, demand, technology and system constitute the external constraints and selection environment of the evolution of air transport.
The evolution of air transport industry is based on the change of environment, and airlines provide the products satisfying the demand effectively through network adjustment according to their own resources. In the evolution of air transport industry, demand is the basis of industry evolution, technological innovation is the basic driving force, and demand change and technological innovation provide the system. The fundamental incentives, basic platforms and progressive motives for innovation and cumulative changes in the industrial system, while institutional changes provide an incentive structure for systematic radical changes, as well as an endogenous mechanism and external pressure for the sudden change of airline organizational practices, which are the key to the evolution of the air transport industry. The product, resource and network economy of the transportation industry bring about the change of opportunity set. In the changing environment, the airlines provide the products satisfying the demand through organizational innovation, obtain comparative advantage, and realize the survival and growth of the organization. The evolution of the aviation industry is also a process of learning and knowledge accumulation. In the process, the lack of vitality of the organizational form is gradually abandoned and degenerated, more effective organizational form is retained, developed and imitated, adapted, learning and simulation results of the macro-emergence of the final performance of the air transport industry evolution, that is, the emergence and change of the dominant mode of operation airlines.
Thirdly, in order to further demonstrate the validity of the model, the paper examines the model from both theoretical and empirical perspectives. Theoretically, the heterogeneity of air transport products and the inherent relationship between the airline operation mode are analyzed, and it is proved that demand is the basis of the evolution of air transport industry, and the provision of products to meet the demand is the air transport industry. The final result and performance of the evolution of the U.S. air transport industry are investigated. The impact of demand and technological change on the institutional change of the U.S. air transport and the realization of institutional change are analyzed. The motivation of airlines to construct hub-and-spoke airline network after environmental change and airlines are analyzed from the perspective of airlines. In addition, an evolutionary model constructed in this paper proves that changes in institutional arrangements, resource constraints, and global air transport demand in the international air transport industry have enabled airlines to pass the war in international air transport. The alliance has become a rational choice to build a global network.
Fourthly, this paper analyzes the evolution of China's air transport industry. The evolution model established in this paper also gives a good explanation to the evolution process of China's air transport industry in the past 20 years. Such problems as lack of space, airports, professionals and other resource constraints and institutional environment are beginning to emerge.
Finally, based on the conclusions of the study, the paper puts forward policy suggestions for the development of China's air transport industry from the perspective of optimizing the evolutionary environment. The effective cooperation mechanism between the administrative departments of the industry and the relevant departments of the State shall encourage technological innovation and optimize the institutional environment so as to improve the resource abundance of the development of the air transport industry. Monopoly supervision can safeguard the competition pattern of the market and ensure the positive effect of the natural selection of the economy on the evolution and development of the industry.
【學(xué)位授予單位】：北京交通大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2012
【分類號】：F562

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