论电信管制中的法律问题

【作者】 王谨；

【导师】 王传丽；

【作者基本信息】 中国政法大学 ， 国际法学， 2007， 博士

【摘要】 20世纪80年代，基于电信技术的发展和经济学对公用事业管制理论的创新，各国纷纷兴起了对电信业放松管制的浪潮。电信业的自然垄断属性遭到质疑，继而动摇了建立在自然垄断理论基础上的电信管制理论。但是电信业的自然垄断属性并没有完全消失，放松管制也不意味着放弃管制，管制在新的电信竞争格局下仍是必要的。本文尝试着对放松电信管制趋势下的电信管制重建进行了初步的研究，并主要对网间互联管制进行了大量的实证分析和探讨，最后落实到我国的实际情况，对我国网间互联管制法律制度提出了笔者自己的建议。本文分六章，主要内容如下：第一章是关于电信管制的概述，是全文的的理论基础篇。本章侧重于从经济学理论对电信管制重建的必要性及可行性进行论述，为本文接下来几章的分析做好理论铺垫。本章分析了管制在经济学和法学上具有的不同含义，电信业的自然垄断性质及由其自然垄断性质决定的管制制度、电信管制的失效、电信管制理论的创新及电信放松管制趋势及放松管制趋势下的管制重建。管制理论的创新主要介绍了施蒂格勒、让-雅克·拉丰的“管制失效”理论，鲍莫尔等人的“可竞争性市场”理论和伯格和奇尔赫特的“自然垄断弹性规制”理论。第二章是关于电信管制的法律制度。与第一章主要从经济学角度论述电信管制不同的是，本章侧重于从法学方面对电信管制进行分析。首先，本章对电信管制法的含义、性质、目标和基本原则进行了论述。在此基础上，本文对独立电信管制机构制度进行了着重剖析，并对独立电信管制机构的“独立性”提出了笔者自己的看法。在进行管制法律制度论述时，本文还对欧盟和新西兰的电信管制法律制度进行了比较。最后，落脚到本文要论证的重点问题——网间互联管制法律制度，集中对网间互联的含义、种类、选择网间互联为研究对象的原因及网间互联管制的主要内容进行了论述。第三章是关于网间互联法律管制之一的经济性管制制度。共涉及七个主要方面的内容：网间互联经济性管制的基本原则、主导运营商的含义和判断标准、市场准入的管制、网间互联协议的管制、网间互联费的管制和网间互联争议解决的管制。第四章是关于网间互联法律管制之一的反垄断法管制制度。共涉及六个方面的主要内容：反垄断法对网间互联行为的适用、网间互联垄断行为涉及的责任类型、网间互联反竞争行为的种类、反垄断法的基本原则对网间互联行为的适用和反垄断法适用网间互联所引起的一些冲突。第五章是关于WTO网间互联管制的规定。我国作为WTO成员，WTO关于网间互联管制的规定是我国必须遵守的义务。因此，研究WTO关于网间互联的规定对我国更好地履行WTO义务是有积极意义的。本章首先论述了电信管制政策的国际化趋势，指出网间互联在新的国际竞争形势下已经演化成为一种新型的贸易壁垒。在此基础上，本文以墨美国际互联案为实证研究对象，对WTO网间互联管制的内容进行了深入的剖析。第六章是关于我国网间互联管制的现状及完善建议，是本文的结论部分。在前几章就具体电信管制分析的基础上，本章针对我国目前网间互联管制遇到的问题进行了具体剖析，并提出了笔者自己的解决建议。首先，笔者对我国电信改革的历史进行了回顾，在其基础上，针对我国网间互联管制中遇到的八个问题进行了剖析并提出了笔者的完善建议。这八个问题分别是产权问题、公司法人治理机制的问题、电信管制机构的问题、主导运营商的界定问题、市场准入的问题、网间互联协议的管制问题、网间互联费的管制问题和反垄断法管制的问题。结论部分对全文的观点进行了总结，指出电信管制重建是整个公用事业管制改革的一部分，其指导理论和经验可以适用到整个公用事业的改革。更多还原

【Abstract】 In 1980s, with the development of telecommunication technology and the theory of public utility regulation, telecommunication industry was deregulated in many countries. The natural monopoly of telecommunication industry was questioned and the theory of telecommunication regulation based on it was challenged. However, since the natural monopoly of telecommunication industry is not disappeared completely, the deregulation does not mean abandoning the regulation. The regulation is still needed after introducing the competition in the telecommunication industry. This dissertation attempts to do some research for the re-regulation of the telecommunication industry, and then mainly focuses on the interconnection regulation with a great deal of analyses empirically. Finally, some suggestions about the legal system of interconnection regulation for China are proposed.There are six chapters in the dissertation. The first chapter is the general description of telecommunication regulation, which is the theory foundation of this paper. In this chapter, the necessity and feasibility of telecommunication re-regulation are discussed according to the economic theory. The following are analyzed in this chapter: the different implications of regulation in economics and laws, the natural monopoly of telecommunication industry, the telecommunication regulation system decided by the natural monopoly of telecommunication industry, the failure of telecommunication regulation, the innovation of telecommunication regulation theory, the trend of telecommunication deregulation and the re-regulation under the trend. The theory of "Regulation Failure Theory" by Stigler、Jean-Jacques Laffont, the theory of "Contestable Market Theory" by Baumol, the theory of "Elastic Regulation Theory of Natural Monopoly" by Berg and Tschirhart are introduced in the innovation of regulation theory.The second chapter is on the legal system of telecommunication regulation. This chapter is mainly focusing on analyzing telecommunication regulation in the law point of view compared with in the economic point of view in the first chapter. First, the meaning, character, objective and basic principle of the telecommunication regulation law are discussed. Then the independent telecommunication regulation system is analyzed and the author’s opinion on the independence characteristic of independent telecommunication system is proposed. The difference of telecommunication regulation systems between European Union and New Zealand is also discussed in this chapter. Finally, this chapter discusses the legal system of network interconnection, focusing on the meaning, categories, contents of network interconnection and the reason to analyze it.The third chapter discusses the economic regulation system, one of legal regulations of interconnection. There are seven parts in this chapter: the basic principle of economic regulation in interconnection, the definition of dominant operator and its criteria, the regulation of market access, the regulation of interconnection agreements, the regulation of interconnection fee and the regulation of interconnection dispute.The fourth chapter discusses the anti-monopolization law regulation system. The following six parts are included in this chapter: the application of anti-monopolization law on interconnection, the responsibility types of interconnection monopolization, the categories of anti-competition interconnection, the application of the basic principle of anti-monopolization on interconnection, and the conflicts aroused by the application of anti-monopolization law on interconnection.The fifth chapter studies the rule of interconnection regulation under WTO. As a member of WTO, it is the obligation for China to follow the interconnection regulation of WTO. So, it is beneficial for us to do some research on the rule of interconnection regulation of WTO. This chapter introduces the international tendency of telecommunication regulation law and then points out that the interconnection in the new international competition is becoming a new trade barrier. Taking the interconnection dispute of the United States and Mexico as an example, this chapter does a deep research for the interconnection regulation under WTO.The sixth chapter introduces the current interconnection regulation in our country and proposes some suggestions about it. On the base of previous chapters’ analysis about telecommunication regulation, this chapter analyzes some problems existed in the Chinese interconnection regulation at length and make some suggestions. First, the history of telecommunication reform in our country is introduced. Then, eight problems in our country’s interconnection regulation are analyzed and some suggestions about them are proposed. The eight problems are problems of property, corporate governance, telecommunication regulation system, the criteria for dominant operators, market access, the regulation of interconnection agreements, the regulation of interconnection fee and anti-monopolization law regulation.In the conclusion part of this paper, it is pointed out that the re-regulation of telecommunication industry is only a part of reform of public utilities’ regulation, its principle and experience can be applied to all the reform of public utilities.更多还原