电力市场化改革法律问题研究
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摘要
电力体制的改革不仅牵一发而动全身，而且与经济生活的方方面面息息相关，更是国有资产改革和社会主义市场体系建设的重要课题。在自由与管制之间、垄断与竞争之间、效率和公平之间、政府与市场之间面临着一系列的艰难抉择。通过对各种电力工业的运营模式的比较分析，首先我们选择了市场化的道路，并把竞争和效率放在了基础性的位置上。同时，对于必要的自然垄断环节和政府管制进行约束和规范，防止在治理市场失灵时忽视政府失灵的弊端。因为，最大限度的市场化对于具有管制癖好和管制惯性的中国电力工业更有针对性，也更符合资源优化配置的市场需求。
具体来说，为了实现电力体制的市场化，必须为此建立系统的市场制度。首先，完善电力资源的产权制度是电力产品生产环节公平竞争的前提，特别是对水能资源的产权化更应该得到足够的重视。因为，水能资源作为自然资源的一种不仅应该是水权制度的一个重要客体，而且，水能资源的产权制度是电力产品完全商品化的必然要求。其次，竞争还需要有自由公平的电力市场准入制度为依托。在发电环节的竞争来自于电源投资的自由，引入国有资本之外的投资者，实现投资多元化和公开透明的投资审批制度是实现这一目的必备条件。再次，对于管道行业的电力工业而言，如果对电网的自然垄断不加以规范和约束，其他领域的改革将成为无本之木。应该通过对电网运营的企业化改造，并对电网施加必要的政府管制为其他环节的竞争创造必要的市场环境。最后，电力价格是电力市场竞争的主要手段。价格的管制和放开一直是争论不已的问题。而事实上，提供一个规范的电价形成机制并通过法律维持公平竞争的秩序才是市场所需要的改革。
总之，电力体制的改革需要以市场为导向，通过调整政府管制的内容和手段，实现资源的合理配置，并在提高效率的同时为公众提供廉价和安全的电力产品。
The restructuring of electric power is not only a systematic program but also links with all aspects of economic life. In particular, it has become one of the primary tasks of state-owned assets reform and the construction of socialism market system. During the restructuring, we have to be in face of a series of difficult choices between freedom and control, monopolization and competition, efficiency and justice, government and market. First and foremost, through the comparative analysis of all sorts of operation models of electric power industry, we chooses market-oriented road primarily and put the competition and efficiency on the basic status. At the same time, we should restrain and standardize the functions of necessary natural monopoly section and governmental regulation to prevent neglecting the malpractice of government-control failure during administering the governance of market failure. It is because the maximum use of market power is more directed against electric power industry of China which was used to government control and caters to the market needs of optimal distribution of resources.At length, systematic market institution must be set up to fulfill the market-oriented transformation of electric power system. Firstly, it is the precondition of realizing fair competition in producing electric power goods that we should perfect the property rights system of electric power resources. Especially, water power resources, as one of those natural resources, is an important object of water power's property rights, it is necessary for the commercialization of electric products to clarify the property rights of water power, adequate attention should be paid to the clarification of water power's property rights. Secondly, market competition still requires the permission of free and fair market entering. As a result, the competition in electric generation is based on the freedom of investment in electric power industry. To achieve the competition, it is essential to introduce the investors other than the state and to realize the multiple resources of investment and the publicity and transparency of investment approval system. Thirdly, characterized as a pipeline industry, the reform of other fields in this industry is infeasible unless the natural monopoly of wire network is restrained and regulated. Therefore, we should create essential market environment for competition in other fields through the corporation of wire network and the implement of essential governmental regulation. Finally, electric power price is a primary means in market competition. Regulating or openingpower price has been the core of contention. While in fact, it is the reform that provides a regulatory power pricing system and keeps fair competition order by means of law, which market requires.To sum up, the restructuring of electric power system is suggested to be market-oriented, which means realizing the reasonable distribution of resources through adjusting the contents and methods of governmental regulation, and meanwhile to provide the public with cheap and safe electric power goods besides improving efficiency.
具体来说，为了实现电力体制的市场化，必须为此建立系统的市场制度。首先，完善电力资源的产权制度是电力产品生产环节公平竞争的前提，特别是对水能资源的产权化更应该得到足够的重视。因为，水能资源作为自然资源的一种不仅应该是水权制度的一个重要客体，而且，水能资源的产权制度是电力产品完全商品化的必然要求。其次，竞争还需要有自由公平的电力市场准入制度为依托。在发电环节的竞争来自于电源投资的自由，引入国有资本之外的投资者，实现投资多元化和公开透明的投资审批制度是实现这一目的必备条件。再次，对于管道行业的电力工业而言，如果对电网的自然垄断不加以规范和约束，其他领域的改革将成为无本之木。应该通过对电网运营的企业化改造，并对电网施加必要的政府管制为其他环节的竞争创造必要的市场环境。最后，电力价格是电力市场竞争的主要手段。价格的管制和放开一直是争论不已的问题。而事实上，提供一个规范的电价形成机制并通过法律维持公平竞争的秩序才是市场所需要的改革。
总之，电力体制的改革需要以市场为导向，通过调整政府管制的内容和手段，实现资源的合理配置，并在提高效率的同时为公众提供廉价和安全的电力产品。
The restructuring of electric power is not only a systematic program but also links with all aspects of economic life. In particular, it has become one of the primary tasks of state-owned assets reform and the construction of socialism market system. During the restructuring, we have to be in face of a series of difficult choices between freedom and control, monopolization and competition, efficiency and justice, government and market. First and foremost, through the comparative analysis of all sorts of operation models of electric power industry, we chooses market-oriented road primarily and put the competition and efficiency on the basic status. At the same time, we should restrain and standardize the functions of necessary natural monopoly section and governmental regulation to prevent neglecting the malpractice of government-control failure during administering the governance of market failure. It is because the maximum use of market power is more directed against electric power industry of China which was used to government control and caters to the market needs of optimal distribution of resources.At length, systematic market institution must be set up to fulfill the market-oriented transformation of electric power system. Firstly, it is the precondition of realizing fair competition in producing electric power goods that we should perfect the property rights system of electric power resources. Especially, water power resources, as one of those natural resources, is an important object of water power's property rights, it is necessary for the commercialization of electric products to clarify the property rights of water power, adequate attention should be paid to the clarification of water power's property rights. Secondly, market competition still requires the permission of free and fair market entering. As a result, the competition in electric generation is based on the freedom of investment in electric power industry. To achieve the competition, it is essential to introduce the investors other than the state and to realize the multiple resources of investment and the publicity and transparency of investment approval system. Thirdly, characterized as a pipeline industry, the reform of other fields in this industry is infeasible unless the natural monopoly of wire network is restrained and regulated. Therefore, we should create essential market environment for competition in other fields through the corporation of wire network and the implement of essential governmental regulation. Finally, electric power price is a primary means in market competition. Regulating or openingpower price has been the core of contention. While in fact, it is the reform that provides a regulatory power pricing system and keeps fair competition order by means of law, which market requires.To sum up, the restructuring of electric power system is suggested to be market-oriented, which means realizing the reasonable distribution of resources through adjusting the contents and methods of governmental regulation, and meanwhile to provide the public with cheap and safe electric power goods besides improving efficiency.
引文
[1] 保罗·萨缪尔森、威廉·诺德豪斯．经济学．北京：华夏出版社，1999，268
[2] 理查德·波斯纳．法律的经济分析．北京：中国大百科全书出版社，1997，451
[3] 王晓晔．反垄断法与市场经济．北京：法律出版社，1998，147
[4] Joseph P·Tomain, Sidney A·Shapiro. Analyzing Government Regulation. Adiminstrative Law Review, Vol. 49, No. 2, 403-411
[5] Ioffe, Maggs. The soviet Economic System. Boulder: Weetview Press, 1987,6
[6] 金泽良雄．经济法概论．兰州：甘肃人民出版社，1985，207
[7] J·Buchanan.Politics,Property and the Law.Journal of law and Economics, 1972, 16: 439-452
[8] 罗伯特·吉尔平．国家关系政治经济学．北京：经济科学出版社，1992，9
[9] 雅克·勒卡荣．混合经济．北京：商务印书馆，1995，120
[10] 托尼·基利克．过分的倒退．北京：企业管理出版社，1994，18
[11] Emmerich. Wctbewerbsbeschrnkungen durch die Rechtsperchung. Festschrift für Joachim Gernbuber,1993,S.857ff
[12] 肖乾刚，肖国光．能源法．北京：法律出版社1996，171
[13] Wilfred Beckerman. Economic Growth and the Environment" World Dvelopment, vol. 20,no.4,1992, 482
[14] 易纲．环境与自然资源经济学．上海：上海人民出版社，1998，56
[15] 陈守煜，张道军，洪一平．水资源优化配置中产权问题的研究．大连理工大学学报(社科版)，2000，2：30-35
[16] I.Fisher. Elementary Principles of Economics. New York: Macmillan,1923, 27
[17] 单飞跃．经济法理念与范畴的解析．北京：中国检察出版社，2002，167-168
[18] 粱彗星，陈华彬．物权法．北京：法律出版社，1997，28
[19] 刘世锦，冯飞．对电力工业政府管制、电价和投资体制改革的建议．经济工作者学习资料，2001，18：37-41
[20] Grundsaetze der Wirtschaftspolitik,6.Aufl.1997,275
[21] 覃里雯．谁为气温负责．经济观察报，2003-08-25
[22] Cento Veljanvski. Regulators and the Market:An Assesssment of the Growth of Regulation in the Uk. London:The Institute of Economic Affiairs, 1991,98-106
[23] 黄一琨．怒江工程重审．经济观察报，2004-04-12
[24] 张听竹．如何深化垄断行业的改革．中国经济时报，2001-06-15
[25] 叶卫星．英国电力民营化改革及其启示．电力技术经济，2000，3：37-40
[26] Valentine Korah. An Introductory Guide to EC Competition Law and Practice. London: Sweet&Maxwell,1994,39
[27] 刘纪鹏．从国电公司改革看我国电力工业发展．中国工业经济，2000，8：33-35
[28] 李兆清．中国2.5万亿电业资产重组大局已定．财经时报，2002-09-06
[29] 薛惟中．涪陵电力IPO：电网上市潮的可能前兆．经济观察报，2004-03-01
[30] Pappalardo. Measures of the States and Rules of competition of the E.E.C.Treaty. Eleventh Annual Proceedings of Fordham Corporate Law Institute,1984,5:15-41
[31] 国务院．国家电网公司组建方案．www．zdxw．com．cn，2003-04-04
[32] 冯飞．构建现代电力监管制度的建议．经济要参，2002，14：5-15
[33] 徐新桥，张金隆．澳大利亚电力市场化改革考察与借鉴．科技进步与对策，2002，9：67-69
[34] 姚峰．巨额利润暗中转移——国家电网公司超低利润率之谜．21世纪经济报道，2004-03-17
[35] 刘乾坤．低调的电力改革．经济观察报，2002-09-18
[36] 李其道．电力体制及相关问题杂谈．www．shp．com．cn，2003-03-21
[37] 邵汉桥．对上网电价改革的几点看法．中国能源，1998，1：33-39
[38] 宋密．电力市场是电价改革的必需载体．中国电力报，2003-12-02
[39] 袁懋振．把南方电网建成现代化大电网．www．hdsg．com．cn，2003-07-10
[40] 叶泽方．建立我国电价管制制度．中国工业经济，1999，4：42-46
[41] 张文泉，何庭全．国际电力市场经验教训与我国电力市场改革．华北电力大学学报(社科版)，2002，4：30-33
[2] 理查德·波斯纳．法律的经济分析．北京：中国大百科全书出版社，1997，451
[3] 王晓晔．反垄断法与市场经济．北京：法律出版社，1998，147
[4] Joseph P·Tomain, Sidney A·Shapiro. Analyzing Government Regulation. Adiminstrative Law Review, Vol. 49, No. 2, 403-411
[5] Ioffe, Maggs. The soviet Economic System. Boulder: Weetview Press, 1987,6
[6] 金泽良雄．经济法概论．兰州：甘肃人民出版社，1985，207
[7] J·Buchanan.Politics,Property and the Law.Journal of law and Economics, 1972, 16: 439-452
[8] 罗伯特·吉尔平．国家关系政治经济学．北京：经济科学出版社，1992，9
[9] 雅克·勒卡荣．混合经济．北京：商务印书馆，1995，120
[10] 托尼·基利克．过分的倒退．北京：企业管理出版社，1994，18
[11] Emmerich. Wctbewerbsbeschrnkungen durch die Rechtsperchung. Festschrift für Joachim Gernbuber,1993,S.857ff
[12] 肖乾刚，肖国光．能源法．北京：法律出版社1996，171
[13] Wilfred Beckerman. Economic Growth and the Environment" World Dvelopment, vol. 20,no.4,1992, 482
[14] 易纲．环境与自然资源经济学．上海：上海人民出版社，1998，56
[15] 陈守煜，张道军，洪一平．水资源优化配置中产权问题的研究．大连理工大学学报(社科版)，2000，2：30-35
[16] I.Fisher. Elementary Principles of Economics. New York: Macmillan,1923, 27
[17] 单飞跃．经济法理念与范畴的解析．北京：中国检察出版社，2002，167-168
[18] 粱彗星，陈华彬．物权法．北京：法律出版社，1997，28
[19] 刘世锦，冯飞．对电力工业政府管制、电价和投资体制改革的建议．经济工作者学习资料，2001，18：37-41
[20] Grundsaetze der Wirtschaftspolitik,6.Aufl.1997,275
[21] 覃里雯．谁为气温负责．经济观察报，2003-08-25
[22] Cento Veljanvski. Regulators and the Market:An Assesssment of the Growth of Regulation in the Uk. London:The Institute of Economic Affiairs, 1991,98-106
[23] 黄一琨．怒江工程重审．经济观察报，2004-04-12
[24] 张听竹．如何深化垄断行业的改革．中国经济时报，2001-06-15
[25] 叶卫星．英国电力民营化改革及其启示．电力技术经济，2000，3：37-40
[26] Valentine Korah. An Introductory Guide to EC Competition Law and Practice. London: Sweet&Maxwell,1994,39
[27] 刘纪鹏．从国电公司改革看我国电力工业发展．中国工业经济，2000，8：33-35
[28] 李兆清．中国2.5万亿电业资产重组大局已定．财经时报，2002-09-06
[29] 薛惟中．涪陵电力IPO：电网上市潮的可能前兆．经济观察报，2004-03-01
[30] Pappalardo. Measures of the States and Rules of competition of the E.E.C.Treaty. Eleventh Annual Proceedings of Fordham Corporate Law Institute,1984,5:15-41
[31] 国务院．国家电网公司组建方案．www．zdxw．com．cn，2003-04-04
[32] 冯飞．构建现代电力监管制度的建议．经济要参，2002，14：5-15
[33] 徐新桥，张金隆．澳大利亚电力市场化改革考察与借鉴．科技进步与对策，2002，9：67-69
[34] 姚峰．巨额利润暗中转移——国家电网公司超低利润率之谜．21世纪经济报道，2004-03-17
[35] 刘乾坤．低调的电力改革．经济观察报，2002-09-18
[36] 李其道．电力体制及相关问题杂谈．www．shp．com．cn，2003-03-21
[37] 邵汉桥．对上网电价改革的几点看法．中国能源，1998，1：33-39
[38] 宋密．电力市场是电价改革的必需载体．中国电力报，2003-12-02
[39] 袁懋振．把南方电网建成现代化大电网．www．hdsg．com．cn，2003-07-10
[40] 叶泽方．建立我国电价管制制度．中国工业经济，1999，4：42-46
[41] 张文泉，何庭全．国际电力市场经验教训与我国电力市场改革．华北电力大学学报(社科版)，2002，4：30-33