【作者】 万红；

【导师】 周庭芳； 谭德绥；

【作者基本信息】 武汉理工大学 ， 交通运输工程， 2003， 硕士

【摘要】 船闸是水利枢纽的通航设施，其管理体制的科学性和有效性，在很大程度上决定着水利枢纽综合功能的发挥。我国船闸管理体制基本是在计划经济时代形成，随着我国市场经济的日益深化，建立一种新型的、适应我国政治、经济体制的船闸管理体制显得必要和迫切。 国内外船闸管理国内外船闸管理各不相同，优缺点互异。考察船闸管理，国内典型的有安徽、江苏、福建闽江水口船闸，最具代表性的是葛洲坝船闸；考察国外船闸管理，必须与其内河航运管理一并考察，典型的有美国、俄罗斯、德国、法国、比利时、荷兰，最具代表性的是美国田纳西河。 我国目前船闸管理体制基本有两种：一种是“电航统管”模式(即水利枢纽的发电和航运由一个单位统一管理)，一种是“电航分管”模式(即水利枢纽的发电和航运分别由不同单位管理)。“电航统管”模式的矛盾集中在业主(或电厂)统管船闸后实际上形成的水利枢纽业主(或电厂)的经济效益与航运社会效益冲突上，“电航分管”模式的矛盾集中在电厂(或水利工程业主)与航运管理部门之间关于管理主体和经费来源的问题上。这两种体制中电航矛盾产生的根源在于国家法规不健全、电力体制改革的推动、企业产权制度改革带来的观念冲击、事业单位体制改革的压力和财政压力。 船闸从属性上来讲，属交通航道设施和公共基础设施。在经济学意义上，船闸具有正负外部性，正的外部性为，船闸作为原航道的替代物或新航道的一部分，保证了航道的连续性，为保证航道畅通、航运发展提供了可能；负的外部性为，船闸同时给航运带来了一些问题，如船舶过闸时间长、船舶积压，引起他人效用的减少和成本增加，以及运输组织条件、方式改变，使水上交通安全管理和船舶航行秩序维护更加复杂，增加运输成本。船闸所有权属国家，但国家所有权主体的唯一性，并不意味着国有资产只能由国家占有。为了实现国有资产的有效利用，国家可以将国有资产按用途交给国家机关、国有企事业单位、其他经济组织或个人占有和使用。 三峡水利枢纽是当今世界上规模最大、运行要求十分复杂的工程。其永久船闸已在2003年6月建成投入运行，升船机预计在2009年建成。三峡水利枢纽施工期船闸管理采取的是由业主(三峡开发总公司)委托交通部所属长江三峡通航管理局管理的方式，该方式保障了三峡工程施工顺利和葛洲坝、三峡航运畅通，但毕竟是工程施工期的过渡办法，工程完工后必须建立 武汉理工大学工程硕士学位论文 新的船闸管理体制。新型的船闸管理体制，以电航分管为基本特征，但却是 一种完全不同于旧的电航分管模式，其要点是：一、电厂和船闸产权属国家， 建成后由国家分别交由水利管理部门和交通管理部门占有和使用。二、成立 由三峡建委、三峡总公司、交通部、长航局等部门组成的三峡工程运营管理 协调委员会。三、通过招投标方式产生船闸运营主体。四、航运管理部门是 船闸行业管理主体。新体制确立的基本原则是：政事分开、政企分开、依法 治闸、竟争与效率、创新、积极与稳妥。新体制下需要解决的若干问题：船 闸运营经费的来源、船闸运营机构的组建、航运管理部门的改革等。更多还原

【Abstract】 Shiplocks are navigation-aid facilities in water conservancy projects. Whether the management system of a shipiock is scientific and efficient determines largely whether the comprehensive functions of a water conservancyproject can be fully brought into play. As our country’s shipiock management system was formed in the time of command economy, it is necessary and urgent to establish a new kind of shipiock management system, which is adaptable to our country’s political and economic system , while market economy is being greatly put forword in our country.Shipiock managements domestic and overseas are very different, the advantages and disadvantages of which are not the same either. While we investigate shipiock management domestic, focus should be put on shiplocks in anhui province, jiangshu province, fujian province and the most representative Gezhouba shipiock. While we investigate shipiock management oversesa, focus should be put on shiplocks and the rivers they lie in at the same time, in US, Russia, Germany, France, Belgium, and the most representative Tennesse River and its shiplocks.At present, there are two kinds of shipiock management system in our country: one is unified management mode (i.e. the hydro-power and navigation of a water conservancy project is managed by one unit ), and the another is separate management mode (i.e. the hydro-power and navigation of a water conservancy project is managed by separate units. ). The contradiction of the former mode focuses on the conflicts of economic benefits and social benefits of the water conservancy project when the proprietor of water conservancy project (or power plant) puts shipiock in its command. The contradiction of the latter focuses on the problems of ownership and fund sources between power plant (or proprietor of water conservancy project) and navigation administration. The sources of contradiction between hydro-power and navigation in the two modes are the imperfect legal system, the push of power system reform, the ideas punch brought up by enterprise’s property ownership reform, the pressure of public utilities system reform and public financial pressure in our country.Speaking the nature, shiplock belongs to water channel facility in transportation and public foundation construction. From the meaning of economy, shiplock has positive and negative externalities. The positive is that as a substitute of old channel or a part of the new channel shiplock maintains the continuation of channel and makes possible the channel free from navigational obstruction and waterway transportation progress. The negative is that shiplock at the same time brings some problems to waterway transportation, such as the long time passing through shiplock, the piling up of vessels, making less other’s benefits and making more other’s costs, making conditions and forms of transportation change, making more complicated the waterway transportation safety management and navigation order keeping, and adding up transportation costs. Shiplock’s ownership is attributed to state and the uniqueness of state ownership subject means not only that state-owned assets can only be occupied by the state. To realize the full utility , state-owned assets can be given according to their way of use by the state to state institutions, state-owned public utilities units and enterprises, other economic organizations and and persons to be occupied and utilized.Three Gorges Water Conservancy Project is the biggest one in size at present in the world and its operation requirements are very complicated. Its permanent shiplocks was established and put into use in June, 2003 and its ship-lifting elevator would be accomplished in 2009. In the construction period, the shiplocks are managed through the method of being entrusted to Three Gorges Navigation Administration of Communication Ministry by the proprietor of water conservancy project (i.e. Three Gorges Development Company), by which the project’s construction smoothness and Gezhouba Dam’s and Three Gorges Dam’s navigation更多还原