【作者】 陈江华；

【导师】 徐淑萍；

【作者基本信息】 安徽大学 ， 经济法学， 2014， 博士

【摘要】 近年来,三网融合问题研究一直是经济学、法学和政治学等学科研究热点。目前,中国以广电业和电信(互联网)业部分业务双向进入为特征的融合试点工作推进速度缓慢,甚至有学者因监管体制障碍对融合的前景持悲观的态度。从国外三网融合的实践经验和中国三网融合试点中监管体制困境看,监管法律制度的应然性研究,以及设计出现实可行性的监管制度具有急迫性。目前,学界从经济学规模经济和竞争的角度研究三网融合的重要性和融合的模式的论著比较多,而从法学角度系统研究三网融合监管法律制度论著鲜见。作者从经济法视野研究中国三网融合进程中存在的监管法律问题,通过借鉴国外三网融合的经验,重构三网融合的监管理论和制度。界定三网融合概念为三网融合监督的法律制度研究奠定基石。三网融合的概念还没有一个确切的定义。与三网融合相关的信息、传输、传媒、电信、电讯、通信等概念在中国学术界和实务界中使用混乱,增加了给其统一定义的难度。三网融合实质是数字技术和传输技术发展引起电信网、互联网和广电网之间的产业融合。三网融合产业的自然垄断性、外部性和公共性特征说明产业监管的必要性,自然垄断理论和可竞争理论等产业监管理论提供了监管正当性的理论证据。国外三网融合经验启示,三网融合取得成功首先要制定融合的相关法律和建立融合监管机构,融合过程在法律控制下运行,融合完成后对其监管要求会更高。中国尚处在社会和经济转轨时期,各种利益和矛盾交织在一起,三网融合需更应在监管法律控制下进行。现阶段三网融合选择业务融合模式是较优选择。网络融合不断深入对现有的监管法律理念和具体制度都提出了挑战。三网融合产业监管的法律理念需要更新,监管法律应以社会为本位,正确处理监管过程中的公正、公平和效益关系。产业监管的目的很多,就中国三网融合监管来说,主要集中在消费者利益的保护和三网融合产业市场的有效竞争。产业监管的法哲学基础体现在市场自由和秩序关系的基础上,具体制度设计表现为自由与控制的平衡。监管的合法性理论为中国三网融合监管合法性提供理论依据。宪法是产业监管法律的渊源和监管权力行使的根本依据。产业监管权必须要有相应机构来行使,监管机构的设立模式和监管权力的分配构成了监管法律体系。监管权在全球的兴起和权力配置嬗变,从实然角度证实监管的必要性和权力配置的科学性。中国三网融合产业监管机构的演进和现有监管机构的职权配置的现状,说明其权力配置分散和职权划分不清等问题已经直接影响到三网融合的进程。发达国家在产业融合法律中明确规定监管机构的职权,并建立形式各异的统一监管机构模式,统一性和独立性是监管机构的共同特征。中国监管机构重构时要考虑产权构成、市场结构、党政分开与竞争监管机构关系等因素。还应坚持网络和内容分开监管网络和内容,成立两个独立机构分别监管三网融合产业的内容和网络,并成立一个常设的综合性机构协同两个独立监管机构。监管机构的监管界限就是市场失灵,市场在资源配置中起决定作用。监管机构权力范围随着市场发展而改变。三网融合产业在完全自然垄断的情况下则不存在竞争,产业市场化是竞争的基础,市场竞争才是产业监管的土壤。针对三网融合相关产业现有的市场准入制度合理性分析,提出重构中国的三网融合产业的市场准入制度。产业监管重点由经济性监管向社会性监管过渡。网络监管以经济性监管为主,其监管重点由价格监管、互联互通、质量监管等,转变为稀缺资源配置、普遍服务等。网络内容监管以社会监管为主。三网融合后,信息量暴增,互联网和传统的广播电视内容安全、消费者利益保护、未成年人利益保护等问题要求加强社会监管。中国对三网融合产业应实行网络和内容分立监管模式。广电的有线电视网络或其他的电子信息网络归于统一的网络监管部门监管。网络内容监管应由一个内容监管部门统一监管。如何行使好监管权,这会涉及到监管的手段和监管的程序。现有三网融合产业的监管手段存在一些不能适应融合市场发展需要的地方,应适时改变监管手段。监管权行使除使用传统的行政手段外,还要创新新的手段。法律程序不仅有工具价值还有自身的价值。监管权是公权力,现代社会的监管采取概况授权的方式,这就要求权力应严格按照程序使用。监管者由于有国家授权作保障,并享有立法权、许可权、处罚权等重要权力,使其在多数情况下相对被监管者(即使是实力雄厚的)处于优势地位,而且监管者天生就有权力扩张的倾向,监管机构总在力图使其拥有准入和许可权的种类和数量。那么一个问题被提出：谁来监督监管者?如何限制监管者的权力?首先要限制监管职能,一个监管者不能拥有多个监管职能；其次要有程序控制；再次要求人们参与监管活动与透明度；最后司法审查,保证监管者人人可追责。更多还原

【Abstract】 In the recent ten years, research on tri-networks integration has always been a hot spot in economics, law and political science and other disciplines. At present, integration pilot work which characterized by two-way entered broadcasting and telecommunications (Internet) developed slowly in China. even some scholars are pessimistic about the prospects of integration due to regulatory barriers. From the abroad tri-networks integration experience and the regulatory regime of our pilot plight, the research on legal supervision system is necessary. Most of Chinese economists research on the importance and tri-networks integration models based on economies of scale and competition, but less people research from a legal point of supervision legal system on tri-integration. In this paper author study from the perspective of economic law on the supervision law problem in the process of convergence. He is trying to learn from foreign experience, theory and reconstructed tri-networks integration supervision theory and system.Supervision legal issues starts from the concept of tri-networks integration as the cornerstone of the article. Informations, transmission, media, telecommunications, communications and other related concepts of tri-networks used by Chinese academic and industry make chaos and increase the difficulty of definition. The essence of the integration is the industry convergence of telecommunication network, Internet and TV network caused by the development digital technology and transfer technology. The tri-networks integration related industries all have natural monopoly, externalities and public characteristics which in need of industry legal regulation. Industrial regulation theory such as natural monopoly theory and competition theory provides legitimacy theory evidence regulation. Foreign experience has shown that integration success must formulate relevant laws and establish regulators first, Integration process running under the legal control, and legal supervision requirements will be higher after completion. China is still in its social and economic transition period. A variety of interests and conflicts are intertwined,tri-networks integration should be under the control of the regulatory law. At the present stage of tri-networks integration choose services integration is a better choice.Network integration is increasingly deepening and challenges existing regulatory concepts and specific system.The legal concept of industry regulation on tri-networks integration needs to be updated, regulatory law should be based on community basement, correctly handle the relationship between regulatory processes of justice, fairness and efficiency. The purpose of industry regulatory is a great many, the main of them focus on the protection of the interests of consumers and effectively compete of tri-networks integration market based on China. Philosophical foundation of industry regulation law embodied in the relations between market order and free. Legitimacy theory provides a theoretical basis for China’s tri-networks integration regulatory legitimacy.The Constitution is the guide industry and regulatory sources of law. Supervision must be carried out by institutions in accordance with the law to exercise, regulatory agencies set up models and regulatory power allocation system supervision system.The rise of regulatory authority in the global and power configuration changes, confirmed the necessity of regulation and power configuration of science from the realistic perspective.The evolution of Chinese tri-networks integration industry regulators and the situation of the existing regulatory power allocation proved that power allocation dispersion and the division of powers clearly has a direct impact on the convergence process. Foreign developed country merged law stipulates regulatory authority, and the establishment of different form of unified regulatory mode, Unity and independence is a common feature in foreign tri-networks integration regulatory. China should consider the supervision institution reconstruction about system of ownership and property right structure, market structure, separation of the party and government, and the competition regulator factors. Networks convergence in China supervision institution reconstruction should adhere to the network and the content of separate supervision, into two separate institutions discrete regulatory elements and network, and set up a permanent mechanism of comprehensive coordination of the two independent regulatory agencies.Regulatory limit is market failure, The market play a decisive role in the allocation of resources. The scope of regulatory power changes with the development of market. there is no competition of tri-networks integration industry in natural monopoly situation. The market is the basis of competition, the market competition is the soil of industry regulation.Through the Rational analysis of market access system in tri-networks integration related industry, proposed reconfiguration of China tri-networks integration industry market access system. Industry regulatory focus from economic regulation to social regulation. Network supervision focus on economic regulation, key point changes from price regulation, interconnection, quality supervision, into the scarce source configuration, universal service. Internet content regulation focus on social supervision. After integration, information explosion.The problem of Internet and traditional broadcast television content security, consumer interests protection, minors interests protection requires strengthen social supervision. So China has to implement the integration industry network and content of discrete regulatory mode. The convergence of network supervision in the Department of Public Works letter regulation is established based on the telecommunications network, radio and television cable network or other electronic information network to the uniform network regulation.It will be involved in regulation and supervision program about how to exercise supervision right. It needs to change the way of supervision as tri-networks integration industry has some fusion way which can not adapt to the market development.Exercise supervision not only use the traditional administrative means, but also the innovation of new means. Legal procedure not only has the tool value but also has self value. Supervision right is the public power, modern society of regulatory taking of the authorized way, which requires power in accordance with the procedures of legal regulations on the use.Regulators have the protection of national authorization, and legislative, law enforcement and other important powers, which in most cases is regulators (even strong) in the relatively dominant position, and regulators are born with the power of the tendency of expansion, regulators is always trying to increase the number of its own access and license types. Then a question will be bring up, how to supervise the regulator of tri-networks integration industry? limiting the regulators’power must limit the regulatory functions first, one supervisor can not have multiple regulatory functions; then followed by the exercise of the power requirements and program control; Then require people involved in regulatory activity and transparency once again; finally, establish and perfect the judicial review and accountability.更多还原