【作者】 孙放；

【导师】 顾功耘；

【作者基本信息】 华东政法大学 ， 经济法学， 2012， 博士

【摘要】 在社会经济生活中，政府投资与私人投资构成了社会总投资的两个重要组成部分。政府投资因其资本的政府性来源及其对社会经济环境的影响力而备受关注。投资决策是否合理、投资目标是否恰当、执行过程是否严谨以及监督机制是否完善等，这些问题直接决定了政府投资公平与效率的实现。在当前政府投资规模急速膨胀的时代背景下，加速政府投资法律制度的建设将成为保障市场经济环境健康发展的关键。中国的政府投资经历了六十多年的发展。特别是近十年间，其所具有的经济能力得到了空前的提高。然而与这种发展相伴随的是越来越多的质疑与诟病：投资缺乏理性、挤占民营投资空间、贪污腐败泛滥等诸多问题广泛存在于政府投资各个方面。随着地方政府融资平台的提出和实施，政府投资的规模将进一步得到放大。由此带来的问题的增加与深化，将有可能使政府投资走向积重难返的局面。2004年，国务院办公厅以投资管理模式改革为切入点，积极探索和推动政府投资管理制度化建设。到目前为止，从中央到地方出台的法律文件500多件，内容涵盖了政府投资的各个领域。但是对于政府投资问题的解决却收效甚微。法律制度建设暂时陷入一种“量效背反”的困境。“如何通过有效的法律制度设计实现政府投资行为向理性和法治的回归”这个问题已经迫切地摆在我们面前。对于政府投资法律制度的研究必须清醒地认识到一个基本的学术逻辑：法律制度一方面是法学研究的研究对象，另一方面它又有接受其约束的规范对象。法律制度的原理与机制只有契合于其规范对象的内在本质与规律才能行之有效。因此，法学研究如果想要成功地推出一项法律制度，首先必须对这项制度将要规范的对象有一个细致入微、把握本质的了解。基于这样的逻辑，本研究从分析政府投资法律制度的现状入手，首先回归对其规范对象——政府投资本身的探讨，在把握政府投资的本质特征和运动规律的基础上再次返回到对制度的思考与探索上来。本文沿着“基本概念——制度现状——规范对象——制度原理——制度建议”的脉络逐层展开，以权利关系的分析为切入点，以信托结构作为理论工具，对政府投资及其法律制度做了全面而深刻的剖析。在此基础上，为政府投资的立法实践规划了宏观的战略性架构，并为政府投资的绩效管理制度设计了详尽的制度内容。本文的研究共分为七章。第一章政府投资概述本章内容着重于对政府投资概念的定义并对其内涵与外延做明确的说明。“政府投资首先是一种投资行为”，基于这样的认识，首先从法学的角度对投资的概念进行了分析，获得了投资行为所必须具备的四个基本要素：主体、资本、对象和动机。以此为基础，对政府投资的概念进行了定义，认为“政府投资是政府及其各级机构为获得一定的经济效益或社会效益，以一定的资本作为出资参与或主导的经营事业过程。”通过对公共投资、国有资产投资、财政投资、政府投资项目、政府投资工程等概念的辨析，使政府投资概念本身的内涵更加准确、外延更加清晰。最后探讨了政府投资存在的理论基础和对其进行法律规制的必要性。第二章中国政府投资法律制度的现状与困境本章从我国现有的政府投资法律制度入手，实证地分析了政府投资规模的发展、法律制度的建设以及制度规范的效果这三者之间的关系。伴随政府投资的快速发展，中国政府投资的法律制度建设也做出了不懈的努力。截至2010年，从中央各部门到各级地方政府出台了500多部法律法规和规范性文件。同时有8000多部法律法规和规范性文件涉及政府投资问题。但是相关性分析发现，立法在数量上的增长只在低效力层级上与政府投资规模的发展表现出高相关性。更为悖论的是，在政府投资立法实践取得大量制度成果的同时，政府投资中出现的问题却不断增多，问题日趋严重，呈现出“量效背反”的悖论。制度建设从制度体系到立法系统普遍面临一种发展的困境。通过对这些“量效背反”现象的深入剖析，本研究从权利的逻辑、规范的对象、立法进路与制度体系复杂性之间的矛盾以及立法的出发点四个方面指出了导致这些悖论与困境的深层次原因。第三章政府投资的权利（权力）及其内在规律解析本章将研究的视角转回到政府投资法律制度的规范对象——政府投资本身上来。首先分析了政府投资中涉及的各种权利现象和权力现象，指出政府投资中出现的各种资本来源从本质上讲都是人民（或者说公民）所有或者作为出资人。本研究认为，政府投资是一种权利现象，其核心内容是由政府的受托人身份与公民之间形成的信托关系。通过权利关系分析方法，揭示了政府投资中的信托结构及其内部与外部多种权利和权力要素。进一步通过分析这些要素之间的相互关系和相互作用，以及权利转移和权力传递在政府投资中的运动规律，勾勒出政府投资的本质特征和内在规律。指出这种信托结构的不稳定性是政府投资的天然缺陷，是各种因素发生作用、各种关系产生影响的落脚点。因而维持信托结构的稳定性应当是更具现实意义的制度重心。第四至第六章在充分认识政府投资本身的本质特征和内在规律的基础上，这部分的研究又返回到制度层面进行理论的探索。通过对整个政府投资行为的三段式分解，分别从决策、执行和监督三个方面进行法律制度的思考。第四章政府投资决策的法律制度思考本章研究指出，政府投资中主要存在着两类决策行为：预算决策和具体项目决策。通过对预算决策过程的结构化分析，揭示出预算决策对行政系统内部权力安排的过程及其合理性与效率的依赖；并且通过对我国某一具体政府投资项目的决策过程的历史回溯，以及对建国以来政府投资具体方向的历史变迁梳理，揭示出具体项目的决策过程及其中政府的行为。以政府投资的信托结构作为工具，通过对政府投资决策行为的分析，指出对其进行规制的有效机理在于：通过制度设计阻隔可能影响信托结构的各种外部因素与关系，切断外因的影响路径；与此同时，在信托结构内部以政府的受托人身份作为规范的对象进行制度设计，从内因上降低决策主体被影响的可能。对于预算决策，通过分析其中的权利与权力因素，指出预算决策应以受益人利益最大化为决策起点；揭示了政府的权力主体身份以及权力间的竞争关系对预算决策的影响及其行为的本质；进一步，通过政府投资“战略目标”的法制化、“政府支出责任”制度、预算决策责任制度等制度安排摒除政府权力主体身份等因素对预算决策的影响；同时通过构建“绩效预算”制度达到规范政府受托人决策行为的目的。对于具体项目的决策，以内部要素与外部要素的分析为进路，指出“外部要素内部化”的项目决策原则，并对此提出了“重大项目反向举证”、收益目标考评、外部因素选取等制度性救济方式。第五章政府投资执行的法律制度思考政府投资的执行过程本质上讲是权利的转移借助权力传递系统得以实现的过程。由于这是两个截然不同的系统，遵循不同的内在逻辑。权力传递系统无法提供权利在不同的主体之间进行转移时所需要的契约性约束，而其系统内的制度性势能又不可避免地导致权利的体制性消耗。因此，制度的作用是通过对权力系统的规范与制约，使权利的传递在本质上而非形式上回归其应有的逻辑。本章沿着预算执行与项目执行两条脉络，分别对其执行过程的法律制度展开探讨。预算资金的执行过程包括了资金管理的制度和预算调整的制度。其中，针对预算资金的执行过程，首先分别讨论了权力系统在地方政府融资、资金拨付、资金使用管理过程中的影响及现有制度的缺陷，并提出了相应的制度建议。其次，针对预算调整发生的各种可能原因，对其进行了分析和归类，指出产生故意调整行为原因在于政府的自身权利主体身份和权力主体身份的双重身份，并提出了的保证程序正义的规范原则。在项目执行中主要存在三种过程：招投标管理、合同管理以及建设管理。通过分析权力系统对每一种过程所产生的影响，逐一提出制度建议。首先，针对招投标过程，有针对性地提出公开招标制度的刚性化、强制资源整合、完善投标人的救济权利等相关制度；其次，对于合同管理，按照合同订立阶段和履行阶段分别讨论了政府的权力主体身份可能发生的违规行为，分析了其内在的原因以及相应的制度救济；最后，针对建设管理，依据市场化运作的执行原则，建议完善项目法人制、项目代建制、控制性详细规划程序、独立监理人资格及监理责任制等。第六章政府投资监督的法律制度思考本章从政府投资的信托结构入手，从原理上回答了政府投资监督的目的、对象、环节与方式等诸多问题。指出监督权虽然形式上不能由作为受益人的公民直接行使，但是这项权力必须实质上最终由受益人来掌握和左右。只有这样，监督才能达到它应有的效果。本章梳理了政府投资过程中各种监督环节，并按照政府投资的流程环节进行了分类，基本划分为四种类型：审批类监督、审计类监督、建设类监督、使用类监督。绩效管理作为一种高效低成本的监督方式，可以广泛应用于监督的各个环节和各种类型之中，如审批绩效管理中的目标管理、审计绩效管理中的资金考核管理、建设绩效管理中的考核管理、以及使用绩效管理中的反馈管理等。为实现监督的权力最终归属于公民，在制度上必须建立对监督者的监督以及相应的绩效制度。由此而产生监督的链条。无论监督的链条如何延伸，只有其终点“止于公民”，监督才能保证不会流于形式。第七章政府投资法律制度的构想与建议在对政府投资的决策、执行和监督进行充分制度思考的基础上，本章从立法实践和绩效管理两个角度对政府投资的法律制度建设分别提出了战略性构想和一系列具体意见。首先从立法实践的角度来看，本研究认为必须回归权利的视野，以保障权利为基本的立法出发点。以此为基础提出了制度建设的战略性框架：走实体法——程序法——诉讼制度相互协调、相互促进、共同发展的道路；强调实体法以权利和信托关系为立法理论的核心；充分利用程序法立法对实体法立法的推动作用；发挥诉讼制度对程序法和实体法的促进意义。其次针对绩效管理制度的转型，分析了从“投入-过程控制”向“产出-效果控制”转型的实质内容与重大意义，详细探讨了绩效管理制度的内容和可使用的类型，指出绩效管理制度改革必须采取的循序渐进策略并对具体步骤做了介绍。在此基础上，对预算和重大项目的绩效管理制度做了单独分析。同时，对评价机构的独立性制度和责任人制度及其必要性进行了分析。最后，本研究认为绩效制度转型实践必须与政治体制及其改革相结合，充分利用政治体制中的竞争性因素才能发挥其应有的作用。更多还原

【Abstract】 In the social and economic life, government investment and private investmenthave constituted two important parts of the total social investment. Governmentinvestment has attracted great attention due to its governmental capital resources andinfluences on the social and economic environment. Whether the investment decisionis reasonable, the investment objective is appropriate, the implementation process isrigorous and the supervision mechanism is complete directly determine theimplementation of equity and efficiency of government investment. Under the currenttimes background of rapid expansion of government investment scale, the accelerationof construction of government investment legal system will become the key forguaranteeing healthy development of market economic environment.Chinese government investment has experienced over sixty years’ development.Its economic capability has been improved unprecedentedly especially during the lastten years. However, more and more doubts and criticism are accompanied with suchdevelopment: many problems such as lack of investment rationality, occupation ofprivate investment space and corruption widely exist in various aspects of governmentinvestment. With the establishment and implementation of local government financingplatforms, the scale of government investment will be further expanded. Increase anddeepening of resulting problems might bring government investment into a situationwhere confirmed habits are hard to get rid of. In2004, the General Office of the State Council positively explored and promoted the construction of government investmentmanagement system with the reform of investment management mode as the entrypoint. Up to now, there are over500legal documents issued by the central and localauthorities, covering each field of government investment. However, there are feweffects on solving government investment problems. The construction of legalsystems has temporarily got into the trouble of “opposite quantities and effects”. Theproblem–how to implement the regression of government investment behaviorstowards rationality and legality–is urgently presented in front of us.Researches on legal systems of government investment must be clearly aware ofa basic academic logic: on one hand, legal systems are the object of legal studies; onthe other hand, they have objects of standardization restrained by them. The principleand mechanism of legal systems can only be effective when corresponding to theintrinsic nature and law of their objects of standardization. Therefore, if expecting topromote a legal system successfully, legal studies must have a detailed understandingof the object to be standardized by the system and grasp its essence. Based on thislogic, this research first discusses its object of standardization–governmentinvestment, starting from the analysis on the status quo of government investmentlegal systems, and then returns to the thinking and exploration of the system on thebasis of grasping the substantive characteristics and motion characteristics ofgovernment investment. This paper comprehensively and deeply analyzes governmentinvestment and its legal systems subject to the line “basic concept–status quo of thesystem–object of standardization–system principle–system recommendation” withthe analysis of power relationship as the entry point and the trust institution astheoretical tool. Based on this, this paper plans a macro strategic framework forlegislative practice of government investment and designs detailed system contentsfor the performance management of government investment. The research of thispaper is divided into seven chapters.Chapter I: Government investment overview. This chapter focuses on thedefinition of government investment and clear explanation of its connotation andextension.“Government investment is first a kind of investment behavior”. Based on this knowledge, this chapter first analyzes the concept of investment from theperspective of law and obtains four basic elements that must be possessed byinvestment behaviors: subject, capital, object and motivation. This chapter defines theconcept of government investment based on this and considers that “governmentinvestment is a business management process joined or led by the government and itssubordinate institutions with a certain amount of capitals as investment for thepurpose of obtaining certain economic or social benefits”. Through analysis on suchconcepts as public investment, state-owned asset investment, financial investment,government invested projects and government invested engineering, this chaptermakes the connotation of government investment more accurate and the extensionmore clear. Finally, this chapter discusses the theoretical basis of the existence ofgovernment investment and the necessity of legal regulations.Chapter II: Status quo and dilemma of Chinese government investment legalsystems. This chapter empirically analyzes the relationship between the developmentof government investment scale, the construction of legal systems and the effects ofsystem standardization, starting from the current legal systems of governmentinvestment of China. With the rapid development of government investment,continuous efforts have also been made for the construction of legal systems ofChinese government investment. As of2010, over500laws and regulations andnormative documents have been issued by each central department and localgovernments at all levels. Meanwhile, over8000laws and regulations and normativedocuments are involved in government investment issue. However, the relativityanalysis shows that the increase of legislation number only has a high relativity withthe development of government investment scale at low effectiveness level. A paradoxis that while the legislative practice of government investment gets greatachievements with respect to systems, problems occurred in government investmenthave constantly increased and those problems become more serious, presenting aparadox of “opposite quantities and effects”. The system construction is faced with adevelopment dilemma ranging from the system to legislative system. Through deeplyanalysis on these phenomena of “opposite quantities and effects”, this research points out the deep causes of these paradox and dilemma from four aspects–logic of rights,object of standardization, legislative way and the complexity of system.Chapter III: Analysis on interests (rights) and intrinsic rules of governmentinvestment. This chapter returns the perspective of research to the object ofstandardization of government investment legal systems–government investment.This chapter first analyzes various interests phenomena and rights phenomenainvolved in government investment and points out that various capitals occurred ingovernment investment are owned or invested by the people (or citizens). Thisresearch considers that government investment is a kind of rights phenomenon and itscore content is the fiduciary relationship between the government’s trusteeship andcitizens. This paper reveals the fiduciary structure in government investment andvarious internal and external interests and rights elements through the analysis methodof rights relationship; further describes the intrinsic features and rules of governmentinvestment through analyzing the correlation and interaction between these elementsand the characteristics of motion of interests and rights transfer; points out that theinstability of this fiduciary structure is the natural defect of government investmentand the stance of effects of various factors and influences of various relationships.Thereby, the maintenance of stability of fiduciary structure should be the system corewith more realistic significances.From Chapter IV to VI: based on full cognition of substantive characteristics ofgovernemnt investmwnt and internal rules, ths research in this part returns tosystematical layer for theoretical exploration. Ponder over legal systems from threeaspects including decision making, execution and supervision through three-sectiondecomposition of government investment behaviors.Chapter IV–deliberation of legal system of government investment decisions.The research of this chapter points out government investment mainly includes twotypes of decision-making behaviors: budget decision and specific item decision.Through structural analysis of the process of budget decision, reveal the dependenceof budget decision on internal power arrangement of administrative system and therationality and efficiency; and through back tracing of the decision process of certain government investment project and setting historical changes of specific governmentinvestment direction, reveal the decision process of specific projects and governmentbehaviors. Taking fiduciary structure of government investment as the tool, throughanalysis of government investment decision behaviors, point out effective mechanismof regulation is: obstruct various external factors and relations that may affect thefiduciary structure and cut off influencing paths of external factors through systemdesign; meanwhile, carry out system design in the internal of the fiduciary structure,taking government’s fiduciary as the standardization object and reduce the possibilityof decision-making subject being affected.As for budget decision, point out the characteristics of budget decision: take theprofit maximization of the beneficiary as the staring point; reveal power subject statusof the government and the competitive relation among powers and its impact on thebudget decision and the nature of the behavior; further, through institutionalization ofgovernment investment “strategic objective”, arrangement of “governmentexpenditure liability” system and budget decision liability system, get rid of theimpact of factors including power subject status of the government on the budgetdecision; meanwhile, reach the purpose of standardizing the fiduciary’s decisionbehaviors through construction of “performance budget”. As for specific projectdecision, through analysis of internal elements and external elements, point out theproject decision principle of “internalization of external elements”, and put forwardinstitutional relief methods including “reverse testification of great project”, earningstarget appraisal and external factor selection.Chapter V: deliberation of legal system implemented for government investment.The execution process of government investment essentially is the process ofrealization of power transfer with the help of power delivery system. Since these aretwo completely different systems, they abide by different internal logics. Powerdelivery system cannot provide contractual restraint required for power transfer indifferent subjects. The institutional potential energy in the system inevitably leads toinstitutional consumption of power. Therefore, institutional effect is to make powertransfer return to proper logic in nature not formally through standardization and restriction of power system.This chapter along two thoughts (budget execution and project execution)discusses legal systems of the executions processes respectively. The executionprocess of budget funds includes fund management system and budget regulationsystem. Aiming the execution process of budget funds, first discuss the influence ofpower system on management of local government financing, fund appropriation andfund use and the defects of existing systems and put forward correspondingsuggestions on systems. Second, aiming at various possible causes of budgetregulation, analyze and classify them and point out the cause of intentional regulationis the dual identity of self power subject status and power subject status of thegovernment and raise standardization principles to ensure just proceduresThere are mainly three processes during execution of projects including bidingand bid invitation management, contract management and construction management.Put forward suggestions on systems one by one through analysis of the impact ofpower system on each process. First, aiming at biding and bid invitation process, putforward rigidity of open bid invitation, mandatory resource integration and perfectionof relief rights of bidders and other relevant systems; second, with regard to contractmanagement, discuss possible illegal behaviors of power subject status of thegovernment according to contract conclusion stage and performance stagerespectively, and analyze internal causes and corresponding institutional relief.;finally, aiming at construction management, in accordance with the implementationprinciples of marketization operation, offer suggestions to perfect project legal entitysystem, project agency system, regulatory detailed planning procedure, independentsupervisor qualification and supervisor responsibility system etc.Chapter VI: deliberation of legal system of government investment supervision.This chapter starts with the fiduciary structure of government investment and answersquestions including the purpose, object, link and way of government investmentsupervision in principle. Point out although the power of supervision cannot bedirectly exercised by the citizen as the beneficiary formally, this right must bemastered and controlled by the beneficiary finally substantially. Only in this way, supervision can reach the due effect.This chapter sets various links during the process of government investment, andclassifies them according to the procedure and link of government investment. Theyare basically classified into four types: examination and approval supervision, auditsupervision, construction supervision and use supervision. As an efficient andlow-cost supervision way, performance management can be widely applied to eachlink of supervision and each type, such as management by objectives in examinationand approval performance management, fund assessment management in auditperformance management, assessment management in construction performancemanagement and feedback management in use performance management etc. Torealize that supervision power belongs to citizens finally, institutionally, it is requiredto establish supervision system for supervisors and corresponding performance system,thus generating the supervision chain. Regardless of how the supervision chainextents, only with “all for citizens” as the end point, it can be guaranteed thatsupervision will not become a mere formality.Chapter VII: Conception and suggestion on legal system of governmentinvestment. On the basis of full consideration of decision, execution and supervisionof government investment, this paper puts forward strategic ideas and a series ofspecific suggestions for legal system of government investment from two perspectivesincluding legislation practices and performance management. First, in terms oflegislation practices, this research considers it is required to return to power view soas to ensure power is the basic starting point of legislation. The strategic frame ofsystem construction is raised based on this: take the way of mutual coordination,promotion and common development of substantive law-procedural law–litigationsystem; emphasize the core that the substantive law is based on rights and fiduciaryrelation; make full use of the promotion effect of procedural law legislation onsubstantive law legislation; give play to the promotion significance of litigationsystem on procedural law. Second, aiming at the transition of performancemanagement system, analyze the substantial content and great significance of thetransition from “input–process control” to “output–effect control”, discuss the content of performance management in details and workable types and point outevolutionary strategy required for performance management system reform andintroduce the specific steps. Based on this, analyze budget and performancemanagement system of significant project separately. In addition, analyzeindependence system of evaluation units and responsible persons system and thenecessity. Finally, this research considers performance system transition practicesmust be combined with political system and the reform and make full use ofcompetition factor in political system to give play to its due effects.更多还原