电力行业竞争法律机制研究

发布时间：2018-07-16 13:47

【摘要】：电力行业是以生产、传输、销售电力为主的产业,是公用事业的重要组成部分,在国民经济和社会发展中处于基础地位。基于经济、政治和技术等原因,各国及地区的传统电力行业大多实行垂直一体化的垄断经营模式,并受到政府的严格管制。然而,这种经营模式也带来“投资高度政治化；技术、建设和维护效率低下；以及难于监管和定价”等弊端。因此,为了提高效率、促进技术进步和改善消费者福利,自20世纪70年代以来,智利、英国等国开始在电力行业进行引入竞争机制的市场化改革,目前这场改革在全球范围内方兴未艾。我国电力行业顺应世界改革的潮流,从2002年开始,也实行引入竞争机制的市场化改革。本文就是在这一背景下,围绕电力行业引入竞争机制和竞争机制运行过程中的重大和特殊法律问题展开论述。除引言和结论外,本文分为两部分共六章,总论部分,包括第一章和第二章,主要论述电力行业引入竞争机制的正当性,以及对引入竞争机制的法律回应性；分论部分包括第三、四、五、六章,主要对电力行业竞争法律机制进行具体构造。其中,第三章依据相关理论型构出既能促进竞争又能提高效率的新型电力行业竞争性主体和垄断性主体；第四章主要探讨电力行业多元竞争性主体公平交易法律机制；第五章主要探讨输配电网垄断性主体公平开放法律机制；第六章主要论述上述主体竞争违法行为的法律责任及其追究机制。具体言之：第一章从垄断经营到引入竞争机制：电力行业发展趋势。本章首先对传统电力行业垂直一体化垄断经营模式形成的原因和存在的问题进行分析,认为传统电力行业垂直一体化垄断经营模式是基于经济、技术、政治和社会等多方原因合力形成的结果,但这种垂直一体化垄断经营模式也带来效率低下、阻碍技术进步和造成社会福利损失等弊端。为克服这些弊端,世界各国及地区纷纷放弃电力行业传统经营模式,转而引入竞争机制。其次,本章对智利、英国、美国、日本和中国等较为典型的国家如何在电力行业引入竞争机制进行实证考察。最后,以上述实证考察为基础,对电力行业引入竞争机制的理论背景和现实背景进行分析,其中理论背景主要包括自然垄断理论的新发展、规制失败理论和可竞争市场理论；现实背景主要包括电力技术进步和信息技术革命、电力需求扩大、政府的政治需要以及相关领域和地区的示范效应。第二章从竞争机制到竞争法律机制：电力行业改革发展的保障。本章首先分析竞争机制和竞争法律机制的关系,指出竞争机制具有淘汰、引导和创新功能,但与此同时,也存在着自身难以克服的盲目性、容易产生垄断和诱发不公平的竞争。通过发挥创制和抑制功能,法律能使竞争机制发挥应有的效应。其次,对竞争法律机制所追求的效率公平、安全和秩序四种价值目标进行论述,为进一步构建具体的竞争法律机制提供价值指引。最后,对电力行业竞争法律机制内在的逻辑体系进行初步构建。本文认为电力行业竞争法律机制是由市场主体塑造、市场主体行为法律控制、竞争违法行为的法律责任及其追究等内容形成的有机整体。第三章电力行业市场主体塑造。本章着力解决传统电力行业国家垂直一体化垄断经营企业向市场主体转型的问题,以该问题为分析切入点,借此型构出适应竞争机制需要的新型电力行业市场主体。具体言之,首先以贝尔理论和有效竞争理论作为电力行业市场主体结构塑造的理论基础,提出我国电力行业的主体结构应当是在发电环节和售电环节形成多元化的竞争性主体,在输配电网环节形成垄断性主体。其次,以产权理论为基础,对电力行业市场主体的产权进行重塑,在对我国传统电力企业国有产权主导模式形成的原因和主要问题进行分析的基础上,提出具体的产权塑造路径和方法。最后,从电力行业市场主体权责配置角度出发,对电力行业市场主体塑造中的特殊法律制度进行探讨,包括搁浅成本回收法律制度、普遍服务主体制度和交叉经营限制制度。第四章电力行业多元竞争性主体公平交易法律机制。本章在提出制约电力公平交易的主要因素是价格和信息的基础上,进一步对电力行业多元竞争性主体市场力法律控制、价格歧视法律控制和电力交易信息法律控制进行分析,并针对我国现行相关立法存在的问题,提出具体的完善建议。第五章输配电网垄断性主体公平开放法律机制。本章首先提出输配电网垄断性主体公平开放的理论基础为核心设施理论和基础设施理论,并以此理论为据,具体分析世界各国及地区输配电网公平开放的两条法律路径,即反垄断法路径和电力法路径,提出我国应当选择以电力法为主,反垄断法为辅的法律路径。本章还对输配电网垄断性主体公平开放行为控制的两个基本法律制度：强制缔约制度和电价制度进行重构。第六章电力行业市场主体竞争违法行为的法律责任及其追究。本文第四章和第五章针对竞争性主体和垄断性主体的不同行为特征,从正面入手,对两类主体的竞争和交易行为进行控制,而本章则侧重于从反面入手,探讨对两类主体的竞争违法行为实施控制的问题。首先对两类主体的竞争违法行为的具体表现进行概述；然后,对这些竞争违法行为应当承担的民事责任、行政责任和刑事责任进行分析,提出完善我国电力行业市场主体竞争违法行为法律责任的立法建议；最后,本文在分析世界各国及地区电力行业竞争违法行为的法律责任追究的两种模式即司法主导模式和行政主导模式的基础上,结合我国国情,提出我国应当采用行政主导模式,并对该模式主导下的行政权力配置进行初步探讨。
[Abstract]:The power industry is an industry based on production, transmission and sale of electricity. It is an important part of public utilities. It is in the basic position in the national economy and social development. Based on the economic, political and technical reasons, the traditional power industry in various countries and regions mostly implement the vertical and integrated monopoly management mode, and be strictly managed by the government. However, this model also brings "high political investment, technology, construction and maintenance inefficiency, and difficult regulation and pricing". Therefore, in order to improve efficiency, promote technological progress and improve consumer welfare, since 1970s, countries such as Chile, Britain and other countries have begun to introduce competition machines in the power industry. The market reform of the system is in the ascendant in the world. China's electric power industry is complying with the trend of the world reform, and since 2002, it has also introduced the market-oriented reform of the introduction of competition mechanism. This paper is the major and special law of introducing competition mechanism and competition mechanism into the power industry under this background. In addition to the introduction and conclusion, this article is divided into two parts and six chapters, the general part, including the first and second chapters, mainly discusses the legitimacy of the introduction of the competition mechanism in the electric power industry and the legal responsiveness to the introduction of the competition mechanism; the part includes the third, fourth, five, and six chapters, mainly to the legal mechanism of the power industry. The third chapter constructs the competitive and monopolistic subjects of the new power industry, which can promote the competition and improve the efficiency. The fourth chapter mainly discusses the legal mechanism of the fair trading of the multi competitive subject in the electric power industry, and the fifth chapter mainly discusses the fair and open law of the monopoly main body of the transmission and distribution grid. The sixth chapter mainly discusses the legal liability and the investigation mechanism of the above subjects.
The first chapter from the monopoly to the introduction of the competition mechanism: the development trend of the electric power industry. This chapter first analyzes the reasons and problems of the formation of the traditional vertical integrated monopoly management mode in the traditional power industry, and holds that the traditional vertical integrated monopoly management mode in the traditional power industry is based on the economic, technical, political and social reasons. The result of force formation, but this vertical integrated monopoly management model also brings inefficiency, hinders technological progress and causes loss of social welfare. In order to overcome these disadvantages, countries and regions all over the world have abandoned the traditional operation mode of electric power industry and turn into competitive machine system. Secondly, this chapter is to Chile, Britain, America, Japan and China. In the end, the theoretical background and realistic background of the introduction of competition mechanism in the power industry are analyzed on the basis of the above empirical investigation. The theoretical background mainly includes the new development of the theory of natural monopoly, the theory of regulation failure and the competitive market theory. The realistic background mainly includes the progress of electric power technology and the information technology revolution, the expansion of electricity demand, the political needs of the government and the demonstration effect of the related fields and regions.
The second chapter from the competition mechanism to the competition legal mechanism: the protection of the reform and development of the electric power industry. This chapter first analyzes the relationship between the competition mechanism and the competition legal mechanism, and points out that the competition mechanism has the function of elimination, guidance and innovation, but at the same time, there is also the blindness which is difficult to overcome, and it is easy to produce monopoly and induce unfair competition. By giving full play to the function of creation and suppression, the law can make the competition mechanism play its due effect. Secondly, it discusses the four values of efficiency equity, security and order pursued by the legal mechanism of competition, and provides value guidance for the further construction of specific competitive legal mechanism. Finally, the internal logic of the legal mechanism of the power industry competition. This paper holds that the legal mechanism of competition in the electric power industry is an organic whole which is formed by the market subject, the legal control of the behavior of the main body of the market, the legal responsibility and the investigation of the illegal activities of the competition.
The third chapter is to shape the market subject of electric power industry. This chapter focuses on solving the problem of the transformation of the traditional electric power industry to the market subject, taking this issue as the point of analysis and constructing the new power industry market subject to meet the needs of the competition mechanism. In the specific words, Baer theory and effective competition are the first. As the theoretical basis of the construction of the market main structure of the power industry, the theory that the main structure of China's power industry should be the formation of a diversified competitive body in the generation and sale of electricity, and the formation of monopolistic main body in the link of power transmission and distribution. Secondly, the property rights of the market subject in the power industry should be remodeled based on the property rights theory. On the basis of the analysis of the causes and main problems of the state-owned property rights leading mode in China's traditional power enterprises, this paper puts forward the specific path and method of property right molding. Finally, from the angle of power and responsibility allocation in the electric power industry, the special legal system in the molding of the market subject in the power industry is discussed, including the stranding. This recovery legal system, the universal service main body system and the cross operation restriction system.
The fourth chapter is the legal mechanism of multi competitive subject in power industry. On the basis of the price and information, this chapter further analyzes the legal control of the market force of multiple competitive subjects in the electric power industry, the legal control of price discrimination and the legal control of electricity trading information. The existing problems in China's legislation and put forward specific suggestions for improvement.
The fifth chapter is about the fair and open legal mechanism of the monopoly main body of the power transmission and distribution network. This chapter first proposes that the theoretical basis of the fair opening of the main body of the power transmission and distribution power grid is the theory of core facilities and the theory of infrastructure, and based on this theory, the two legal paths for the fair opening of the power transmission and distribution grid in various countries and regions, that is, the path of the antitrust law, are concretely analyzed. And the power law path, it is proposed that China should choose the legal path which is mainly based on the power law and the antitrust law is supplemented. This chapter also reconstructs the two basic legal systems of controlling the fair and open behavior of the monopoly main body of the transmission and distribution grid: the compulsory contracting system and the electricity price system.
The sixth chapter is the legal responsibility and investigation of the competition illegal behavior of the market subject in the power industry. The fourth chapter and the fifth chapter, in view of the different behavior characteristics of the competitive subject and the monopolistic subject, control the competition and trading behavior of the two types of subjects from the front, and Moto Akinori focuses on the competition from the opposite side to discuss the competition for the two types of subjects. The problem of controlling the violation of illegal acts. First, a summary of the specific performance of the two types of competitive illegal acts is made. Then, the civil liability, administrative responsibility and criminal responsibility of these illegal acts should be analyzed, and the legislative proposals to improve the legal responsibility of the competition illegal behavior in the market subject of the power industry in China are proposed. Finally, on the basis of the analysis of the two modes of legal responsibility investigation in the world and regional power industry, the judicial leading mode and the administrative dominant mode, and combining with the national conditions of our country, this paper puts forward that our country should adopt the administrative dominant mode and discuss the administrative power allocation under the main guidance of the model.
【学位授予单位】：西南政法大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：D922.294;D922.67;F426.61

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