电力行业垄断及规制问题研究
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摘要
自然垄断理论主要经历了与自然资源稀缺性混同阶段、以规模经济为支撑的理论阶段、以成本可次加性理论为主导的理论阶段和现在以网络经济理论为主的理论阶段。至20世纪80年代,以网络经济性、成本沉没性、单一网络性和公共服务性为标准的新自然垄断判断标准产生。根据新的自然垄断标准,电力行业各领域的自然垄断属性有所不同。发电企业所具有的强规模经济性因不符合新自然垄断标准而被划入竞争领域,但应该控制竞争者数量。而输配电领域则因网络经济性被划分为自然垄断行业,应实行垄断经营。最后售电领域因其竞争性应该开放竞争。对电力行业旧的一体化结构改革后,会使一些新的垄断行为出现在电力领域,如发电领域和售电领域引入竞争后出现的限制竞争协议、行政垄断等垄断行为；改革后依然具有自然垄断属性的输配电领域在其领域内继续享有支配地位,则一方面可以借助其享有的支配地位为自身谋利,另一方面还可以对上下游的竞争产生影响。为了防止这些垄断行为危害竞争,经过对西方各国电力行业改革成功经验的分析,我们认为在对电力行业结构调整后,还要根据反垄断法对电力行业各领域的经营行为进行规制,制定能够培养市场竞争的市场运行规则。只有将电力行业结构调整为竞争性的市场结构,便于反垄断法对垄断行为进行规制,才能防止行业垄断行为发生。为此我国电力的法律规制应当先从行业结构调整入手,根据各领域的经济学属性进行自然垄断行业划分。然后创新输配电领域管理模式,在网络所有权国有的情况下将输配电网络交由专业电网管理公司来运营和管理,实现决策权和运营权的分离,以保障输配电领域的公共服务性。在市场竞争机制的培养方面,建立电力自由交易平台,通过公正、透明的交易机制来防止发电和售电领域垄断行为的发生。在电力监管机关和反垄断法执法机关的关系处理上,引入类似“公诉”案件的处理模式,由电监会负责反垄断案件的初步受理和调查工作,由国务院反垄断执法机构进行最终裁决,充分结合电监会和反垄断机构在各自领域的专业性和权威性,从执法角度保证市场竞争的顺利进行。最后,将行业改革的目标、方式以及行业运营规则法制化,完善行业立法。
The natural monopoly theory mainly experiences the stages of the economies of scale mixed with the natural resource scarcity, scale economy, cost sub additivity and network economic theory. Up to the 1980s, a new natural monopoly judgment standard appeared. According to the new natural monopoly standard, various domains of the electricity industry have different natural monopoly attributes. The strong scale efficiency of the electricity generation enterprise does not conform to the new natural monopoly standard. Because of the network efficiency of the electric power transmission domain, it is divided into the natural monopoly profession and implemented the monopoly management. It is competitive in the sales industry, thus it should be opened to the competitors. After the reform of the electric industry, some new monopolization appeared in the electric industry, such as restrictive practice and administrative monopoly. The electric power transmission domain which has the natural monopoly attribute continue enjoying the dominant position. Then one can make use of its dominant position for its own profit, on the other hand it can also affect downstream competitions. After the analysis of the successful experience of the power sector reforms in Western countries, we should regulate business acts in all areas of the power industry under the anti-monopoly law, and cultivate the market operating rules. Thus the electricity regulation should start with the adjustment of the industry structure, and then split the industry sectors based on their natural monopoly attributes. Then we should innovate the management method of the transmission domain and separate the proprietary rights from management rights, establish electrical free trading platform, and prevent monopoly behavior in the generation and sales sector of electricity. Let the SERC deal with the initial acceptance and investigations of antitrust cases, and give the antimonopoly law enforcement agencies rights to make the final decision. Finally, we should improve the trade legislation and put the sector reform objectives, methods, and industries operating rules into the Electric Power Law.
The natural monopoly theory mainly experiences the stages of the economies of scale mixed with the natural resource scarcity, scale economy, cost sub additivity and network economic theory. Up to the 1980s, a new natural monopoly judgment standard appeared. According to the new natural monopoly standard, various domains of the electricity industry have different natural monopoly attributes. The strong scale efficiency of the electricity generation enterprise does not conform to the new natural monopoly standard. Because of the network efficiency of the electric power transmission domain, it is divided into the natural monopoly profession and implemented the monopoly management. It is competitive in the sales industry, thus it should be opened to the competitors. After the reform of the electric industry, some new monopolization appeared in the electric industry, such as restrictive practice and administrative monopoly. The electric power transmission domain which has the natural monopoly attribute continue enjoying the dominant position. Then one can make use of its dominant position for its own profit, on the other hand it can also affect downstream competitions. After the analysis of the successful experience of the power sector reforms in Western countries, we should regulate business acts in all areas of the power industry under the anti-monopoly law, and cultivate the market operating rules. Thus the electricity regulation should start with the adjustment of the industry structure, and then split the industry sectors based on their natural monopoly attributes. Then we should innovate the management method of the transmission domain and separate the proprietary rights from management rights, establish electrical free trading platform, and prevent monopoly behavior in the generation and sales sector of electricity. Let the SERC deal with the initial acceptance and investigations of antitrust cases, and give the antimonopoly law enforcement agencies rights to make the final decision. Finally, we should improve the trade legislation and put the sector reform objectives, methods, and industries operating rules into the Electric Power Law.
引文
[1]钟诚.对我国电力行业垄断现象法律规制的探析：[硕士学位论文].贵州大学,2007
[2]冀利民.我国电力监管体制的制度变迁分析：[硕士学位论文].山东大学,2007
[3]欧新桥.电力行业反垄断法律问题研究：[硕士学位论文].西南政法大学,2007
[4]何涛.中国电力市场化竞争与对策研究：[硕士学位论文].华中科技大学,2006
[5]Daniel F Spulber. Myths of Market Failures. New York:Blackwell Publishers, 2001,210
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[7]袁超.论自然垄断的法律规制：[硕士学位论文].湖南大学,2008
[8]闫恩晓.我国铁路产业引入竞争机制法律问题研究：[硕士学位论文].西南政法大学,2007
[9]许光耀.欧共体竞争法通论.武汉：武汉大学出版社,1999,375
[10]盛杰民.刍议反垄断法对市场支配地位的规制.学术交流,2005,(32)：106-108
[11]张波.知识产权滥用反垄断规制之实证分析.知识产权，2006,(4)：96-99
[12]张利改.滥用市场支配地位行为的法律规制.经济论坛,2006,(14)：75-76
[13]王红周.我国自然垄断行业监管机构的法律调整：[硕士学位论文].湖南大学,2007
[14]周明.中国自然垄断产业政府规制改革研究：[硕士学位论文].上海师范大学,2008
[15]熊敬坤.电力反垄断法律规制研究：[硕士学位论文].湖南大学,2007
[16]张金平.电力行业垄断的法律规制：[硕士学位论文].郑州大学,2007
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[18]T H Farrer. The State in Its Relation to Trade. London:Macmillan Publishing Press,1902,152
[19]Richard G Lipsey, Peter O Steiner, Douglas D Purvis. Economics. Oxford:Harpe and Row Publishers,1987,300
[20]Kenneth W Clarkson, Roger Leroy Miller. Industrial Organization:Theory, Evidence and Public Policy. New York:Me Craw Hill Book Company,1982,98
[21]Paul A Samuelson, Willian D Nordhaus. Economics. New York:New York University Press,1998,180
[22]James Bonbright. Principles of Public Utility Rates. New York:Clumbia University Press,1961,165
[23]John C Panzar. Technological Determinants of Firm and Industry Structure. Stanford:Stanford University Press,1989,310
[24]William J Baumol. On the Proper Cost Tests for Natural Monopoly in a Multiproduct Industry. New York:American Economic Press,1977,280
[25]Stigler G J. The Theory of Economic Regulation. Bell Journal of Economics and Management Science,1971, (2):21
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[27]陈小丽.自然垄断管制与电力体制改革：[硕士学位论文].山东大学,2007
[28]曹静.中国自然垄断行业政府管制问题研究：[硕士学位论文].东北财经大学,2007
[29]李春友.中国电力行业的技术效率分析：[硕士学位论文].山东大学,2008
[30]黄继忠.自然垄断与规制的理论和经验.北京：经济科学出版社,2004,254
[31]孟宇.网络经济对电力企业的影响.科技促进发展,2009,(5)：392-395
[32]胡重坷.中国自然垄断性行业的体制改革与法律规制：[硕士学位论文].西南政法大学,2007
[33]李宝婧.基于规制与竞争的我国电力产业运营模式研究：[硕士学位论文].哈尔滨理工大学,2008
[34]范建得,庄春发.公平交易法.台湾：台湾汉兴书局有限公司,1992,122-139
[35]卫哲.论拒绝交易的反垄断法规制：[硕士学位论文].对外经贸大学,2006
[36]张靖.论对企业集团限制竞争协议的反垄断规制.湘潭大学学报,2009,(2)：84-86
[37]王保树.企业联合与制止垄断.法学研究,1990,(1)：126
[38]鲁海燕,宋永华.英国电力工业概述.现代电力,2005,(2)：91-94
[39]赵九斤.英国新电力交易制度近况.农电管理,2003,(12)：40-42
[40]曾鸣,吴至夏,董军.国外电力改革对我国电力市场建设的启示.国家电网,2006,(8)：62-67
[41]中国弱电门户网.欧盟电力市场化改革的情况和启示.http://www.chinawe.n et/html/building/gzzsq/20080425_3358.html.2009-4-25
[42]仲福森,刘云涛.欧盟电力改革最新进展.电力技术经济,2008,(6)：26-28
[43]魏玢,马莉.欧盟电力市场化改革最新进展及启示.电力技术经济,2007,(2)：123-125
[44]刘世元.欧共体竞争法与欧洲经济一体化.国际经贸探索,2008,(1)：59-63
[45]晋自力,陈松伟.欧盟电力市场化改革及其启示.生产力研究,2009,(16)：133-134
[46]中国经济网.我国电力结构不合理矛盾突出.http://www.ce.cn/cysc/ny/meita n/scgc/200805/07/t20080507_15385642.shtml.2008-05-07
[47]王学庆.垄断性行业的政府管制.北京：中国水利水电出版社,2004,126
[48]吕正君.浅析反垄断执法机构的权限.经营管理者,2009,(12)：282
[49]刘丹.浅析我国反垄断执法机构的设置.法制与社会,2009,(7)：270
[2]冀利民.我国电力监管体制的制度变迁分析：[硕士学位论文].山东大学,2007
[3]欧新桥.电力行业反垄断法律问题研究：[硕士学位论文].西南政法大学,2007
[4]何涛.中国电力市场化竞争与对策研究：[硕士学位论文].华中科技大学,2006
[5]Daniel F Spulber. Myths of Market Failures. New York:Blackwell Publishers, 2001,210
[6]W W Sharkey. The Theory of Natural Monopoly. Cambridge:Cambridge University Press,1982,103
[7]袁超.论自然垄断的法律规制：[硕士学位论文].湖南大学,2008
[8]闫恩晓.我国铁路产业引入竞争机制法律问题研究：[硕士学位论文].西南政法大学,2007
[9]许光耀.欧共体竞争法通论.武汉：武汉大学出版社,1999,375
[10]盛杰民.刍议反垄断法对市场支配地位的规制.学术交流,2005,(32)：106-108
[11]张波.知识产权滥用反垄断规制之实证分析.知识产权，2006,(4)：96-99
[12]张利改.滥用市场支配地位行为的法律规制.经济论坛,2006,(14)：75-76
[13]王红周.我国自然垄断行业监管机构的法律调整：[硕士学位论文].湖南大学,2007
[14]周明.中国自然垄断产业政府规制改革研究：[硕士学位论文].上海师范大学,2008
[15]熊敬坤.电力反垄断法律规制研究：[硕士学位论文].湖南大学,2007
[16]张金平.电力行业垄断的法律规制：[硕士学位论文].郑州大学,2007
[17]John Stuart Mill. Principles of Political Economy with some of their Applications to Social Philosophy. London:Science Publishing Press,1988,269
[18]T H Farrer. The State in Its Relation to Trade. London:Macmillan Publishing Press,1902,152
[19]Richard G Lipsey, Peter O Steiner, Douglas D Purvis. Economics. Oxford:Harpe and Row Publishers,1987,300
[20]Kenneth W Clarkson, Roger Leroy Miller. Industrial Organization:Theory, Evidence and Public Policy. New York:Me Craw Hill Book Company,1982,98
[21]Paul A Samuelson, Willian D Nordhaus. Economics. New York:New York University Press,1998,180
[22]James Bonbright. Principles of Public Utility Rates. New York:Clumbia University Press,1961,165
[23]John C Panzar. Technological Determinants of Firm and Industry Structure. Stanford:Stanford University Press,1989,310
[24]William J Baumol. On the Proper Cost Tests for Natural Monopoly in a Multiproduct Industry. New York:American Economic Press,1977,280
[25]Stigler G J. The Theory of Economic Regulation. Bell Journal of Economics and Management Science,1971, (2):21
[26]李怀.自然垄断理论研究.大连：东北财经大学出版社,2003,88
[27]陈小丽.自然垄断管制与电力体制改革：[硕士学位论文].山东大学,2007
[28]曹静.中国自然垄断行业政府管制问题研究：[硕士学位论文].东北财经大学,2007
[29]李春友.中国电力行业的技术效率分析：[硕士学位论文].山东大学,2008
[30]黄继忠.自然垄断与规制的理论和经验.北京：经济科学出版社,2004,254
[31]孟宇.网络经济对电力企业的影响.科技促进发展,2009,(5)：392-395
[32]胡重坷.中国自然垄断性行业的体制改革与法律规制：[硕士学位论文].西南政法大学,2007
[33]李宝婧.基于规制与竞争的我国电力产业运营模式研究：[硕士学位论文].哈尔滨理工大学,2008
[34]范建得,庄春发.公平交易法.台湾：台湾汉兴书局有限公司,1992,122-139
[35]卫哲.论拒绝交易的反垄断法规制：[硕士学位论文].对外经贸大学,2006
[36]张靖.论对企业集团限制竞争协议的反垄断规制.湘潭大学学报,2009,(2)：84-86
[37]王保树.企业联合与制止垄断.法学研究,1990,(1)：126
[38]鲁海燕,宋永华.英国电力工业概述.现代电力,2005,(2)：91-94
[39]赵九斤.英国新电力交易制度近况.农电管理,2003,(12)：40-42
[40]曾鸣,吴至夏,董军.国外电力改革对我国电力市场建设的启示.国家电网,2006,(8)：62-67
[41]中国弱电门户网.欧盟电力市场化改革的情况和启示.http://www.chinawe.n et/html/building/gzzsq/20080425_3358.html.2009-4-25
[42]仲福森,刘云涛.欧盟电力改革最新进展.电力技术经济,2008,(6)：26-28
[43]魏玢,马莉.欧盟电力市场化改革最新进展及启示.电力技术经济,2007,(2)：123-125
[44]刘世元.欧共体竞争法与欧洲经济一体化.国际经贸探索,2008,(1)：59-63
[45]晋自力,陈松伟.欧盟电力市场化改革及其启示.生产力研究,2009,(16)：133-134
[46]中国经济网.我国电力结构不合理矛盾突出.http://www.ce.cn/cysc/ny/meita n/scgc/200805/07/t20080507_15385642.shtml.2008-05-07
[47]王学庆.垄断性行业的政府管制.北京：中国水利水电出版社,2004,126
[48]吕正君.浅析反垄断执法机构的权限.经营管理者,2009,(12)：282
[49]刘丹.浅析我国反垄断执法机构的设置.法制与社会,2009,(7)：270