發(fā)布時間：2018-07-16 13:47

【摘要】：電力行業(yè)是以生產(chǎn)、傳輸、銷售電力為主的產(chǎn)業(yè),是公用事業(yè)的重要組成部分,在國民經(jīng)濟和社會發(fā)展中處于基礎(chǔ)地位�；诮�(jīng)濟、政治和技術(shù)等原因,各國及地區(qū)的傳統(tǒng)電力行業(yè)大多實行垂直一體化的壟斷經(jīng)營模式,并受到政府的嚴格管制。然而,這種經(jīng)營模式也帶來“投資高度政治化；技術(shù)、建設(shè)和維護效率低下；以及難于監(jiān)管和定價”等弊端。因此,為了提高效率、促進技術(shù)進步和改善消費者福利,自20世紀(jì)70年代以來,智利、英國等國開始在電力行業(yè)進行引入競爭機制的市場化改革,目前這場改革在全球范圍內(nèi)方興未艾。我國電力行業(yè)順應(yīng)世界改革的潮流,從2002年開始,也實行引入競爭機制的市場化改革。本文就是在這一背景下,圍繞電力行業(yè)引入競爭機制和競爭機制運行過程中的重大和特殊法律問題展開論述。除引言和結(jié)論外,本文分為兩部分共六章,總論部分,包括第一章和第二章,主要論述電力行業(yè)引入競爭機制的正當(dāng)性,以及對引入競爭機制的法律回應(yīng)性；分論部分包括第三、四、五、六章,主要對電力行業(yè)競爭法律機制進行具體構(gòu)造。其中,第三章依據(jù)相關(guān)理論型構(gòu)出既能促進競爭又能提高效率的新型電力行業(yè)競爭性主體和壟斷性主體；第四章主要探討電力行業(yè)多元競爭性主體公平交易法律機制；第五章主要探討輸配電網(wǎng)壟斷性主體公平開放法律機制；第六章主要論述上述主體競爭違法行為的法律責(zé)任及其追究機制。具體言之： 第一章從壟斷經(jīng)營到引入競爭機制：電力行業(yè)發(fā)展趨勢。本章首先對傳統(tǒng)電力行業(yè)垂直一體化壟斷經(jīng)營模式形成的原因和存在的問題進行分析,認為傳統(tǒng)電力行業(yè)垂直一體化壟斷經(jīng)營模式是基于經(jīng)濟、技術(shù)、政治和社會等多方原因合力形成的結(jié)果,但這種垂直一體化壟斷經(jīng)營模式也帶來效率低下、阻礙技術(shù)進步和造成社會福利損失等弊端。為克服這些弊端,世界各國及地區(qū)紛紛放棄電力行業(yè)傳統(tǒng)經(jīng)營模式,轉(zhuǎn)而引入競爭機制。其次,本章對智利、英國、美國、日本和中國等較為典型的國家如何在電力行業(yè)引入競爭機制進行實證考察。最后,以上述實證考察為基礎(chǔ),對電力行業(yè)引入競爭機制的理論背景和現(xiàn)實背景進行分析,其中理論背景主要包括自然壟斷理論的新發(fā)展、規(guī)制失敗理論和可競爭市場理論；現(xiàn)實背景主要包括電力技術(shù)進步和信息技術(shù)革命、電力需求擴大、政府的政治需要以及相關(guān)領(lǐng)域和地區(qū)的示范效應(yīng)。 第二章從競爭機制到競爭法律機制：電力行業(yè)改革發(fā)展的保障。本章首先分析競爭機制和競爭法律機制的關(guān)系,指出競爭機制具有淘汰、引導(dǎo)和創(chuàng)新功能,但與此同時,也存在著自身難以克服的盲目性、容易產(chǎn)生壟斷和誘發(fā)不公平的競爭。通過發(fā)揮創(chuàng)制和抑制功能,法律能使競爭機制發(fā)揮應(yīng)有的效應(yīng)。其次,對競爭法律機制所追求的效率公平、安全和秩序四種價值目標(biāo)進行論述,為進一步構(gòu)建具體的競爭法律機制提供價值指引。最后,對電力行業(yè)競爭法律機制內(nèi)在的邏輯體系進行初步構(gòu)建。本文認為電力行業(yè)競爭法律機制是由市場主體塑造、市場主體行為法律控制、競爭違法行為的法律責(zé)任及其追究等內(nèi)容形成的有機整體。 第三章電力行業(yè)市場主體塑造。本章著力解決傳統(tǒng)電力行業(yè)國家垂直一體化壟斷經(jīng)營企業(yè)向市場主體轉(zhuǎn)型的問題,以該問題為分析切入點,借此型構(gòu)出適應(yīng)競爭機制需要的新型電力行業(yè)市場主體。具體言之,首先以貝爾理論和有效競爭理論作為電力行業(yè)市場主體結(jié)構(gòu)塑造的理論基礎(chǔ),提出我國電力行業(yè)的主體結(jié)構(gòu)應(yīng)當(dāng)是在發(fā)電環(huán)節(jié)和售電環(huán)節(jié)形成多元化的競爭性主體,在輸配電網(wǎng)環(huán)節(jié)形成壟斷性主體。其次,以產(chǎn)權(quán)理論為基礎(chǔ),對電力行業(yè)市場主體的產(chǎn)權(quán)進行重塑,在對我國傳統(tǒng)電力企業(yè)國有產(chǎn)權(quán)主導(dǎo)模式形成的原因和主要問題進行分析的基礎(chǔ)上,提出具體的產(chǎn)權(quán)塑造路徑和方法。最后,從電力行業(yè)市場主體權(quán)責(zé)配置角度出發(fā),對電力行業(yè)市場主體塑造中的特殊法律制度進行探討,包括擱淺成本回收法律制度、普遍服務(wù)主體制度和交叉經(jīng)營限制制度。 第四章電力行業(yè)多元競爭性主體公平交易法律機制。本章在提出制約電力公平交易的主要因素是價格和信息的基礎(chǔ)上,進一步對電力行業(yè)多元競爭性主體市場力法律控制、價格歧視法律控制和電力交易信息法律控制進行分析,并針對我國現(xiàn)行相關(guān)立法存在的問題,提出具體的完善建議。 第五章輸配電網(wǎng)壟斷性主體公平開放法律機制。本章首先提出輸配電網(wǎng)壟斷性主體公平開放的理論基礎(chǔ)為核心設(shè)施理論和基礎(chǔ)設(shè)施理論,并以此理論為據(jù),具體分析世界各國及地區(qū)輸配電網(wǎng)公平開放的兩條法律路徑,即反壟斷法路徑和電力法路徑,提出我國應(yīng)當(dāng)選擇以電力法為主,反壟斷法為輔的法律路徑。本章還對輸配電網(wǎng)壟斷性主體公平開放行為控制的兩個基本法律制度：強制締約制度和電價制度進行重構(gòu)。 第六章電力行業(yè)市場主體競爭違法行為的法律責(zé)任及其追究。本文第四章和第五章針對競爭性主體和壟斷性主體的不同行為特征,從正面入手,對兩類主體的競爭和交易行為進行控制,而本章則側(cè)重于從反面入手,探討對兩類主體的競爭違法行為實施控制的問題。首先對兩類主體的競爭違法行為的具體表現(xiàn)進行概述；然后,對這些競爭違法行為應(yīng)當(dāng)承擔(dān)的民事責(zé)任、行政責(zé)任和刑事責(zé)任進行分析,提出完善我國電力行業(yè)市場主體競爭違法行為法律責(zé)任的立法建議；最后,本文在分析世界各國及地區(qū)電力行業(yè)競爭違法行為的法律責(zé)任追究的兩種模式即司法主導(dǎo)模式和行政主導(dǎo)模式的基礎(chǔ)上,結(jié)合我國國情,提出我國應(yīng)當(dāng)采用行政主導(dǎo)模式,并對該模式主導(dǎo)下的行政權(quán)力配置進行初步探討。
[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.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2010
【分類號】：D922.294;D922.67;F426.61

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