中国航空运输业经营者集中问题的反垄断法分析

【作者】 张子川；

【导师】 徐士英；

【作者基本信息】 华东政法大学 ， 法律， 2008， 硕士

【摘要】 随着《中华人民共和国反垄断法》于2008年8月1日颁布施行,人们越来越关注这部有经济宪法之称的法律能够给现实经济生活带来怎样的变化。说到垄断,人们对长期受到国家法律政策保护的公用事业垄断的灰色记忆挥之不去;对近年来外资在华的斩首并购高度警惕,而我国航空运输业作为曾经铁板一块的垄断行业和面临激烈外部竞争的国际化产业,同时兼具了人们对反垄断两方面的忧思,所以发生在航空运输业的经营者集中引起社会极大的关注就不足为奇了。2008年初,资本市场最沸沸扬扬的一件事就是东航和国航围绕新航入股东航问题展开的激辩以及背后的资本较量。双方论战的焦点就是“东新合”或者“国东合”将给中国航空运输市场生态带来怎样的重大变化,这种可能的变化是否有利于中国民航业的做大做强,是否有利于中国航空运输市场的有效竞争,是否有利于航空消费者的福祉,是否有利于中国的经济安全。本文将尝试结合作者十余年从事民航市场监管的工作经历,借助反垄断法理论深入剖析中国航空运输业联合重组中不同形态及特点,分析联合重组过程中的控制权问题、实质审查标准问题、国际并购问题等,来梳理经营者集中问题背后的四大关系:经营者集中与规模经济的关系;经营者集中与民族经济的关系;经营者集中与政府主导的关系;经营者集中与消费者利益的关系。尝试以民航业为样本,探讨国务院反垄断机构与行业监管机构的关系以及《反垄断法》与行业管理部门规章的关系,希望从实务角度出发,通过对航空运输业这一具有较典型意义的公共行业经营者集中问题的分析,来为《反垄断法》的有效贯彻实施,促进《反垄断法》立法目的的实现提供一些可行的思路。具体而言,在体例上本文分为五章。第一章介绍我国航空运输市场的基本情况,首先介绍了航空市场的类型界定和市场边界,阐述了航空运输的一般规律与特点,然后介绍了中国民航改革开放三十年的发展轨迹以及现状与存在的问题,由此对中国航空运输市场有基本的了解。第二章阐述了中国航空运输业经营者集中的表现形态,包括通过股权、资产取得控制权的情况和通过合同安排获得控制权的情况,重点介绍了两种航空运输业特有的集中表现形态:代码共享和航空公司联盟。第三章从实质性审查的角度来研究分析中国航空运输业经营者集中所要考虑的因素,包括准入情况分析、市场份额分析、对消费者利益的影响、对国民经济发展的影响、对国家经济安全的影响以及破产公司原则的适用,从而梳理出处理中国航空运输业经营者集中问题的一般原则。第四章根据前面的分析对航空运输市场可能发生的若干集中情形进行实证分析,进一步说明处理中国航空运输业经营者集中问题应遵循的一般思路。第五章则对现行法律体系下反垄断执法机构与民航行业监管机构之间的关系进行了研究和论述,并提出自己的建议。由于民航是受到特殊管制的公共行业,在《反垄断法》出台之前,就已经有规制行业内企业联合重组的法规规章,并且由民航行业监管部门实施上述管理工作,那么在《反垄断法》出台后,如何理顺民航行业监管部门与反垄断执法机构之间的关系显得十分重要和迫切。当然限于本人的法学素养以及长期在行业监管部门工作形成的思维定势,对这一问题的论述还有许多浅薄疏漏之处,敬请批评指正。更多还原

【Abstract】 As the "Anti-Monopoly Law of People’s Republic of China " was promulgated in August 1, 2008, more and more people are concerned how the actual economy will be changed by this so-called Constitution of Economy. The gray memory on monopolized utility enterprises protected by the national laws and policies for the long-term still remains, while the vigilance on the bloody Merge and Acquisition by foreign investment recently in China was raised to a high degree. China’s air transport industry as an absolute monopoly of this industry sector is facing now intense external competition of the internationalization, which brought much concern on both aspects of antitrust. And it’s not a surprise that the industry operators focus great deal of concern on enterprises’concentration. Early in 2008, one of the most publicized affairs on capital market is the debate between China Eastern and Air China on that Singapore Airline would buy the share of China Eastern, as well as the capital contest in the related background. The focus of the debate lies in the consequence on the Chinese air transportation environment after the concentration of "Eastern & Singapore" or "Eastern & AC", in the eventual favor to strengthen China’s air transportation industry, in whether it is conducive to effective competition on China’s air transportation market, in whether it benefits the well-being of consumers, in whether it is conducive to China’s economic security.In this paper, the author tries to combine more than 10 years supervision experience on the air transportation market, with the theory of anti-monopoly law, to analysis in-depth the different types and characters on alliance and reform of Chinese airlines, to analysis the dominance power, censor criteria and international M&A during the alliance and reform, to clear 4 main relations behind the enterprises’concentration: the relation to the economy of scale, to the national economy, to the government dominance, and to the interest of customers. Taking the air transportation industry for sample, the author tries to explore the relationship between anti-monopoly agency of the State Council and the industry regulator, as well as the relationship between the "anti-monopoly law" and the industry management regulations, and hope that from the practical point of view, this analysis on the typical air transportation industry can provide some feasible ideas to prompt the effective implementation of the“Anti-Monopoly Law”and realization of the legislation targets.In particular, this article is divided into five chapters in style. The first chapter introduces the basic situation of China’s air transport market. The market type and market scopes are firstly defined, as well as the general rules and characters of air transportation. Then it comes to the reform and opening-up in the last 30 years, its present status and remaining problems, to understand this Chinese air transportation market. The second chapter elaborated on the expressive form on the enterprises’concentration of Chinese airlines, including buying share, equity and assets to obtain control, and to reach contractual arrangements to obtain control, with focus on two types of concentration in air transport with unique patterns: code sharing and airline alliance. From the substantial censor’s view the third chapter studies the necessary considering factors of during enterprises’concentration of Chinese airlines, including market entry analysis, market share analysis, the influence on the interests of consumers, on the development of the national economy, on the country’s economic security, as well as the application of the insolvent principle, in order to sort out general principle to deal with the problems during enterprises’concentration of Chinese airlines. Based on the previous analysis on possible scenario Chapter IV clarifies the common consideration on such problems. Chapter V studies and discusses the relationship between the anti-monopoly law enforcement agencies under the current legal system and civil aviation regulatory body, and put forward author’s proposals. Due to that air transportation industry is subject to the special controlled public sector, prior to the introduction of "the anti-monopoly law", there are already regulations in the industry to stipulate enterprises consolidation and reorganization, which are manipulated by the civil aviation industry regulator, then how to rationalize the relationship between the industry regulator and anti-monopoly law enforcement agencies is extremely important and urgent, after the promulgation of the law.I, of course, limited to the quality of law as well as mind-orientation due to long-term monitoring in this industry sector lean to many shallow omissions on this issue. Please correct and criticize me.更多还原